The Stock Exchange mediator rules

The Stock Exchange mediator rules
(Consent Securities Commission RS No. 01-UP-051-2437-3/12, od 29.10.2012.)

Pursuant to the Article 304 of the Company Law (“Official Gazette of the Republic of Srpska“no. 127/08, 58/09 and 100/11), the articles 43 and 50 Regulations on business of stock brokers (“Official Gazette of the Republic of Srpska” no. 67/12) and the article 36 of the Statute, on the seventh meeting which was held on October 1st, 2012, the Board of the Broker – dealer company “ADVANTIS BROKER” JLC Banja Luka established the following

R U L E S   O F   T H E

S T O C K    E X C H A N G E    M E D I A T O R

BROKER – DEALER COMPANY “ADVANTIS BROKER“

JLC BANJA LUKA

I GENERAL PROVISIONS

  1. Obligations of the stock exchange mediator when performing brokerage services
  2. Obligations of the stock exchange mediator when performing dealer services
  3. Obligations of the stock exchange mediator when performing management of securities portfolio
  4. Obligations of the stock exchange mediator when performing issuer agent’s services
  5. Obligations of the stock exchange mediator when performing market support services
  6. Obligations of the stock exchange mediator when performing investment advisory services

II CATEGORISATION OF CLIENTS AND LEVELS OF PROTECTION OFFERED TO PARTICULAR CLIENTS

  1. Request from a client – a professional investor for changing the category of the client
  2. Request for classifying in the professional clients category

III INFORMATION DELIVERED TO THE CLIENTS AND THE POTENTIAL CLIENTS

  1. Directing information
  2. Information specifically offered to small clients
  3. Information about a stock exchange mediator and their services
  4. Information on securities
  5. Cost and fees data

IV ASSESSMENT CRITERIA OF THE ELIGIBILITY OF THE SERVICES, OR THE PRODUCT FOR SPECIFIC CLIENT CATEGORIES

  1. Acquisition of information when performing investment consulting or portfolio management
  2. Acquisition of information when performing other investment services

V REGULATIONS FOR THE GROUNDS TO PERFORM STOCK EXCHANGE MEDIATOR SERVICES (STOCK EXCHANGE MEDIATION AGREEMENT AND ORDER)

VI REGULATIONS FOR THE GROUNDS TO CONCLUDE THE STOCK EXCHANGE MEDIATION AGREEMENT AND ITS ELEMENTS

VII ORDER REGULATIONS

  1. Order definition and content
  2. Types of orders
  3. The manner of delivering, filling up and accepting the order
  4. Order revocation
  5. The reasons and ways to reject an order

VIII REGULATIONS ON THE RESPONSIBILITY OF THE STOCK EXCHANGE MEDIATOR TOWARDS A CLIENT FOR DAMAGE AND LOSS

IX REGULATIONS ON THE MANNER OF INFORMING CLIENTS ABOUT THE SECURITIES AND REGULATIONS ON RISKS INVOLVED IN DEALING WITH SECURITIES

X CLIENT RESPONSIBILITY FOR THE ACCURACY OF THE DATA

XI INFORMING CLIENTS

XII THE CONTENT AND THE MANNER OF BOOK KEEPING AND OTHER TYPES OF RECORDS

XIII INFORMATION PRIVACY

XIV ORDER IMPLEMENTATION

XV INVESTMENT RISKS

XVI THE MANNER OF FULFILLING THE CONTRACTUAL OBLIGATIONS

XVII THE AMOUNT AND THE MANNER OF DETERMINING AND CALCULATING COMMISSIONS AND OTHER FEES

XVIII MUTUAL RIGHTS AND OBLIGATIONS

XIX CODE OF ETHICS

XX INFORMING THE ADMINISTRATION

XXI THE INTERNAL CONTROL PROCEDURES

XXII MARKET MANIPULATIONS

XXIII PROTECTION OF THE CONFIDENTIAL INFORMATION AND FIGHT AGAINST MONEY LAUNDERING AND/OR FINANCING TERORIST ORGANISATIONS

XXIV SUNSET CLAUSE

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