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Friday, July 31, 2015

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Enforcement of the AML/TF Law
Monday, 22 June 2015
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The Securities Commission supervises application of the Law by its supervised entities, in the part concerning custody and broker-dealer activities. The enforcement of this Law concerns investment fund management companies, broker-dealer companies, authorized banks and custody banks. The responses to the Questionnaire were submitted by 55 entities in total (32 broker-dealer companies, 16 authorized banks and 7 custody banks). The conclusions drawn from the responses follow.
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New form of the AML/TF Questionnaire
Monday, 22 June 2015
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The Securities Commission would like to point out that the obligors of the Law on Prevention of Money Laundering and Terrorism Financing are required to submit the information on a new form of the AML/TF Questionnaire. As it has been so far, the supervised entities are required to submit their responses two times a year.
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License withdrawn from the broker-dealer company ŠUMADIJA BROKER
Wednesday, 17 June 2015
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Following a supervision procedure, the Securities Commission adopted a decision at the 280th session held on 15 June 2015, revoking a license for carrying out activities of an investment firm from the broker-dealer company Šumadija broker a.d. Kragujevac.
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