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Decree of the Ministry of Finance of the Slovak Republic No. 43/2002
Coll. on the Requisites of an Application for a Prior Approval based on Section 70 (1) of the
Securities Act No. 566/2001 Coll.
This Decree describes the documents required to be submitted to the Office for Financial
Market for the purpose of prior approval, in case the applicant intends to:
- a)
- acquire or exceed an interest in the registered capital or voting rights of a Securities
Broker of 10%, 20%, 33%, 50%, or 66% in one or several operations directly, or by action in
concert,
- b)
- reduce the registered capital of a Securities Broker, except for a decrease due to
losses,
- c)
- appoint persons proposed as members of the Board of Directors of a Securities Broker,
manager of a branch of foreign Securities Broker; if the activity of a Securities Broker is
performed by a bank, such prior approval applies only to those persons who would be in charge
of the Securities Broker business,
- d)
- change of the registered seat of a Securities Broker,
- e)
- merge, amalgamate, or divide a Securities Broker, including a merger of another legal
person with the Securities Broker, or intends to return the investment services license,
- f)
- sell a Securities Broker, a branch of a foreign Securities Broker, or any part
thereof,
- g)
- execute activities of a member of the Central Depository.
The documents shall be provided in originals, or in verified copies.
This Decree is effective as of 1 February 2002.
Last modified: 2003-03-01
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