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Information for Audit Firms

  • 08 March 2021
Notice to Audit Firms: This notice concerns only tho audit firms who have not yet succeeded to achieve compliance with the Audit Law that the final deadline to do this is 31 March 2021. The audit firms are required to officially notify the Securities Commission of their achieved compliance with the new Audit Law. At the same time, the public is hereby informed that there will be no extending of the deadline.
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Amendments to the liquidity rules for broker-dealer companies

  • 25 January 2021
Adoption of the new Rulebook on Chart of Accounts and Financial Statements for Broker-Dealer Companies brought about the need to modify the present Rulebook on Liquidity of a Broker-Dealer Company. The numbers of accounts and the names of account relating to the liabilities due or maturing required for calculation of liquidity indicators have been adjusted. The Annex to the Rulebook entitled Form 1 has also been changed.
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Rulebook on the Rules of Conduct of an Investment Firm when Providing Services
Rulebook on Criteria for Auditing Financial Statements of Public Companies
Rulebook on the conditions and manner of establishing and verifying the identity of a natural person using electronic communication means
RULEBOOK on White Paper and Supplementary White Paper Related to Digital Tokens
RULEBOOK on Granting Operating Licences to Market Operators and Conditions for the Operation of Trading Venues and Systematic Internalisers
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