Uchwała KNF ws. określenia zasad wyboru firmy inwestycyjnej

Where a company loses its authorization to provide broker services, KNF requests that all assets be transferred to another company. The company chosen by KNF must fulfill all of the following criteria:
– have officially submitted an interest to take over the assets
– have enough own capital
– offer broker services as their activity
– have an official authorisation to settle transactions
– have the status of a direct participant of the conducting entity settlement
– have the status of a member of a commodity exchange and a member of the exchange clearing house.
In case more than one firm fulfills the above mentioned criteria, KNF’s decision will be based on the following:
– the transfer of assets is offered free of charge
– the software used is compatible with that of the former broker firm
– office proximity to the former broker firm
– the amount of fees and commissions charged for activities performed under brokerage activities
– the firm’s financial situation
– no KNF sanctions or open disputes.
In some cases, KNF might request the transfer of assets to more than one firm.