Bodies of the Agency
The bodies of the Agency are the Council and the Director. The Council is competent for adopting the Rules of Procedure of the Agency and the implementing regulations, issued by the Agency as well as deciding on licences, approvals and other individual matters decided upon by the Agency. It is also in charge of adopting the annual report on the work of the Agency and the report on the situation on the market in financial instruments, the annual plan of the expert services and the financial plan of the Agency. The Council also adopts the annual statement of account of the Agency, which must be audited by a certified auditor. The Director of the Agency presents and represents the Agency, manages the Agency’s operations and organises its work. He is appointed by the National Assembly of the Republic of Slovenia at the proposal of the Government of the Republic of Slovenia. The Director is appointed for a six-year term of office with the possibility of re-appointment. He performs the function on the basis of the employment contract concluded with the Agency.
Director of the Agency is Anka Čadež.
Internal organisational structure
The Agency consists of the following departments:
Financial Instruments Market Department
Performs all duties and tasks related to the supervision, regulation and issuance of licenses and approvals in the field of financial instruments market (related to the provision of investment services, acquisitions, trading systems, settlement systems in accordance with the provisions of the ZTFI, ZNVP, ZPre-1, MAR, MiFIR/MiFIDII). In addition, this department performs the competencies of the ATVP in the field of money laundering and terrorist financing and financial conglomerates.
Financial Instruments Market Department supervises operations of entities such as investment firms, banks, management companies and alternative investment funds in the part of performing investment services and activities, it supervises the operations of the Central Securities Clearing Corporation and Ljubljana Stock Exchange. It performs supervision over market abuse and verifies the correctness of the conduct of the supervised entities in the field of anti-money laundering and terrorism financing and financial conglomerates.
Performs all duties and tasks related to the issuance of licenses and approvals in the field of offers of securities to the public and takeovers. It conducts supervision over the regularity of the conduct of supervised entities in the field of offers of securities to the public, takeovers procedures and the obligation to disclose regulated information, also supervises the abuse of inside information and therefore monitors trading of financial instruments.
Performs all duties and tasks related to the issuance of licenses and approvals in accordance with the provisions of regulations governing investment funds and mutual pension funds, such as ZISDU-3, ZUAIS, ZPIZ, Money markets Regulation, Regulation on European venture capital funds etc. It also supervises the operations of these entities operating under those regulations.
In addition, this department performs all duties and tasks related to the regulation in the field of investment funds and mutual pension funds, namely participation in the drafting laws, preparation of bylaws, and the formulation and preparation of the ATVP’s opinions in the field of investment and mutual pension funds.
It performs legal and expert tasks relating to the Agency and exercises the powers of the Agency as a minor offence authority. In particular, the Legal Department advises to director, prepares legal opinions and positions on issues related to the work of the Agency, exercises legal help for other departments in case of any open legal issues, prepares Agency's draft decisions, carries out Agency‘s competences as a minor offence authority, and provides work and tasks relating to the execution of tasks and authorities of the Agency.
Financial and General Affairs Department
It performs general tasks related to the functioning of the Agency. In particular, the Financial and General Affairs Department organizes the Agency's work, prepares internal acts related to the organization of the Agency's work, carries out the human resource management, security at work, performs tasks in the field of public procurement, the protection of personal information at the Agency, prepares the Agency's annual report and plan, and maintains relations with the public and employees. Furthermore, this department also carries out duties in the field of finance and accounting, as well as other general work and tasks necessary for the smooth functioning of the agency.
International Cooperation Department
It performs its tasks and duties relating to the co-operation with the supervisory institutions in the European Union in the scope of its full membership in ESMA (European Securities and Markets Authority). It is the central contact point of communication between the Agency and ESMA and co-ordinates the Agency’s participation in individual expert workgroups set up within ESMA. It also co-operates with the supervision institutions in other countries, especially in the framework of the IOSCO (International Organization of Securities Commissions), with the EU bodies and institutions, other international institutions, such as the World Bank and the International Monetary Fund, OECD and others. The Department also performs all other tasks and duties related to the Agency’s international co-operation.
It performs all tasks related to the installation, upgrading and maintenance of the entire information system (including the security system of the Agency), organizes the recording, management and processing and analysis of all Agency’s data, takes care of the computer support for the Agency’s presentation on the Internet and performs other tasks and duties related to the use of information technology.
Organisational Structure of the Agency