Financial Intermediary (Art. 3 MiFID 2 Firm)

What can we do for you?

• We will assess your business model and discuss with you the scope of authorisations you should apply for in the licensing procedure before the CNB.
• We will prepare a detailed checklist for the application for the relevant licence.
• We will advise you on the appropriate organisational structure and internal management.
• We will help you prepare a detailed business plan as one of the most important parts of the licence application, including financial projections.
• We will arrange a personal meeting with the CNB to discuss the business plan before submitting the licence application.
• We will prepare all necessary internal regulations, including AML/CFT guidelines, regulations on the provision of investment services, risk management, conflicts of interest and outsourcing.
• We will assess the requirements for persons with qualified participation in OCP and senior management, including their trustworthiness and expertise.
• We will create the necessary client documentation.
• We will assist you in preparing all other relevant documents for the licence application, including resumés, affidavits and other declarations.
• We will assist you in obtaining a draft contract with an insurance company with which you will be insured in connection with the provision of investment services.
• We will guide you through the entire licensing process.
• We will actively communicate with the CNB throughout the licensing process and, in cooperation with you, we will ensure that any information and documents requested by the CNB are provided, including participation in any meetings with CNB representatives.
• Once you obtain the licence, we will be happy to assist you in fulfilling your regular reporting obligations to the CNB, ensure compliance and internal audit, assist you in the event of an inspection by the CNB, or provide you with any other legal services.

If you are interested in obtaining an FI licence, arrange an initial meeting with us, where we will discuss all the steps that need to be taken together to achieve this.