# Investment firm licence (Slovakia)

Source page: https://protegra.io/licensing/licences/investment-firm/slovakia/

The Investment firm licence (povolenie na poskytovanie investičných služieb pre obchodníka s cennými papiermi) is issued by National Bank of Slovakia (NBS) under Act No 566/2001 on securities and investment services (and amending certain laws). It can be passported to the other EU/EEA states by notification. Ownership changes need the regulator's approval before completion.

## At a glance

| Official name | Investment firm licence [1] |
| --- | --- |
| Local name | povolenie na poskytovanie investičných služieb pre obchodníka s cennými papiermi |
| Also known as | Povolenie na poskytovanie investičných služieb · Slovak investment firm licence · NBS investment firm licence |
| Issued by | [National Bank of Slovakia](https://protegra.io/licensing/regulators/nbs-slovakia/) |
| Jurisdiction | [Slovakia](https://protegra.io/licensing/jurisdictions/slovakia/) |
| Licence family | [Investment firm / broker-dealer](https://protegra.io/licensing/licences/investment-firm/) |
| Legal basis | Act No 566/2001 on securities and investment services (and amending certain laws) [2]; Directive 2014/65/EU on markets in financial instruments (MiFID II) [3] |
| Passporting | EU/EEA passport available |

## What it lets you do

| [Reception and transmission of orders](https://protegra.io/licensing/activities/order-reception-transmission/) | Receiving client orders in financial instruments and passing them to another firm for execution. |
| --- | --- |
| [Execution of orders on behalf of clients](https://protegra.io/licensing/activities/order-execution/) | Concluding agreements to buy or sell financial instruments on behalf of clients. |
| [Dealing on own account](https://protegra.io/licensing/activities/dealing-own-account/) | Trading financial instruments against proprietary capital, which includes acting as counterparty to client trades. |
| [Portfolio management](https://protegra.io/licensing/activities/portfolio-management/) | Managing client portfolios that include financial instruments on a discretionary, client-by-client basis. |
| [Investment advice](https://protegra.io/licensing/activities/investment-advice/) | Giving personal recommendations to a client about one or more transactions in financial instruments. |
| [Underwriting or placing on a firm commitment basis](https://protegra.io/licensing/activities/underwriting-firm-commitment/) | Guaranteeing the sale of an issue of financial instruments by committing to buy what is not sold to investors. |
| [Placing without a firm commitment](https://protegra.io/licensing/activities/placing-without-commitment/) | Placing financial instruments with investors on a best-efforts basis, without guaranteeing the sale. |
| [Operating a multilateral trading facility (MTF)](https://protegra.io/licensing/activities/operating-mtf/) | Running a multilateral system, other than a regulated market, that matches third-party interests in financial instruments under non-discretionary rules. |
| [Operating an organised trading facility (OTF)](https://protegra.io/licensing/activities/operating-otf/) | Running a multilateral system for non-equity instruments where the operator exercises discretion over order execution. |
| [Safekeeping and administration of financial instruments](https://protegra.io/licensing/activities/safekeeping-financial-instruments/) | Holding financial instruments for clients and related services such as cash and collateral management, as an ancillary service. |
| [CFD and forex brokerage](https://protegra.io/licensing/activities/cfd-fx-brokerage/) | Offering retail and professional clients contracts for difference and rolling spot forex, usually as dealing on own account or order execution. |

## Where it is valid

_Issued in Slovakia (gold); can be passported to the other EU/EEA states (blue) by notification._

## Buying a company that already holds it

**Prior approval required.**

## IF in other countries

| Country | Licence | Regulator | Min. capital | Application fee | Statutory time |
| --- | --- | --- | --- | --- | --- |
| [Abu Dhabi Global Market (ADGM)](https://protegra.io/licensing/licences/investment-firm/adgm-cat2/) | Investment firm licenceFinancial Services Permission for Dealing in Investments as Principal (Category 2) | FSRA |: | USD 40,000 |: |
| [Abu Dhabi Global Market (ADGM)](https://protegra.io/licensing/licences/investment-firm/adgm-cat3a/) | Investment firm licenceFinancial Services Permission for Dealing in Investments as Agent or Matched Principal (Category 3A) | FSRA |: |: |: |
| [Abu Dhabi Global Market (ADGM)](https://protegra.io/licensing/licences/investment-firm/adgm-cat4/) | Investment firm licenceFinancial Services Permission for Advising on Investments or Arranging Deals in Investments (Category 4) | FSRA |: |: |: |
| [Australia](https://protegra.io/licensing/licences/investment-firm/australia/) | Australian financial services licence (AFSL) | ASIC |: |: |: |
| [Bermuda](https://protegra.io/licensing/licences/investment-firm/bermuda/) | Investment Business LicenceInvestment Business Licence (standard licence, under the Investment Business Act 2003) | BMA |: |: |: |
| [British Virgin Islands](https://protegra.io/licensing/licences/investment-firm/bvi/) | Investment Business LicenceInvestment Business Licence (Categories 1-4: dealing, managing, advising, custody/administration of investments) | BVI FSC |: |: |: |
| [Cayman Islands](https://protegra.io/licensing/licences/investment-firm/cayman-islands/) | Securities Investment Business Licence / Registered Person | CIMA |: |: |: |
| [Cyprus](https://protegra.io/licensing/licences/investment-firm/cyprus-cif/) | Cyprus Investment Firm (CIF) authorisation | CySEC |: | EUR 7,000 | ~6 mo |
| [Czech Republic](https://protegra.io/licensing/licences/investment-firm/czech-republic/) | Investment Firm licence | CNB |: | CZK 20,000 | ~6 mo |
| [Dubai International Financial Centre (DIFC)](https://protegra.io/licensing/licences/investment-firm/difc-cat2/) | Investment firm licenceFinancial Services Permission for Dealing in Investments as Principal (Category 2) | DFSA |: | USD 40,000 |: |
| [Dubai International Financial Centre (DIFC)](https://protegra.io/licensing/licences/investment-firm/difc-cat3a/) | Investment firm licenceFinancial Services Permission for Dealing in Investments as Agent or Operating an Alternative Trading System (Category 3A) | DFSA |: | USD 25,000 |: |
| [Dubai International Financial Centre (DIFC)](https://protegra.io/licensing/licences/investment-firm/difc-cat4/) | Investment firm licenceFinancial Services Permission for Advising on Financial Products or Arranging Deals in Investments (Category 4) | DFSA |: | USD 15,000 |: |
| [Estonia](https://protegra.io/licensing/licences/investment-firm/estonia/) | Authorisation as an investment firm | FI |: | EUR 3,000 | ~2 mo |
| [France](https://protegra.io/licensing/licences/investment-firm/france-cif/) | Financial investment adviser status | AMF |: |: |: |
| [Germany](https://protegra.io/licensing/licences/investment-firm/germany/) | Investment firm licence | BaFin |: | EUR 6,336 | ~6 mo |
| [Hong Kong](https://protegra.io/licensing/licences/investment-firm/hong-kong-type1/) | Type 1 Licence for Dealing in Securities | SFC |: | HKD 4,740 | ~3.5 mo |
| [Hong Kong](https://protegra.io/licensing/licences/investment-firm/hong-kong-type2/) | Type 2 Licence for Dealing in Futures Contracts | SFC |: | HKD 4,740 | ~3.5 mo |
| [Hong Kong](https://protegra.io/licensing/licences/investment-firm/hong-kong-type4/) | Type 4 Licence for Advising on Securities | SFC |: | HKD 4,740 | ~3.5 mo |
| [Hong Kong](https://protegra.io/licensing/licences/investment-firm/hong-kong-type6/) | Type 6 Licence for Advising on Corporate Finance | SFC |: | HKD 4,740 | ~3.5 mo |
| [Hong Kong](https://protegra.io/licensing/licences/investment-firm/hong-kong-type7/) | Type 7 Licence for Providing Automated Trading Services | SFC |: | HKD 4,740 | ~3.5 mo |
| [Ireland](https://protegra.io/licensing/licences/investment-firm/ireland/) | Investment Firm Authorisation (MiFID II) | CBI |: |: |: |
| [Italy](https://protegra.io/licensing/licences/investment-firm/italy-sim/) | Investment firm licence (SIM) | CONSOB |: |: | ~6 mo |
| [Latvia](https://protegra.io/licensing/licences/investment-firm/latvia/) | Investment firm licence | LB |: |: |: |
| [Lithuania](https://protegra.io/licensing/licences/investment-firm/lithuania/) | Financial brokerage firm licence | LB |: |: |: |
| [Luxembourg](https://protegra.io/licensing/licences/investment-firm/luxembourg/) | Investment firm authorisation | CSSF |: | EUR 50,000 | ~6 mo |
| [Malaysia (Labuan)](https://protegra.io/licensing/licences/investment-firm/labuan-labuan/) | Securities Licensee licenceSecurities Licensee licence (dealing in / advising on securities) | Labuan FSA |: |: |: |
| [Malta](https://protegra.io/licensing/licences/investment-firm/malta/) | Investment services licence (Category 1, 2, or 3) | MFSA |: | EUR 7,250 | ~6 mo |
| [Mauritius](https://protegra.io/licensing/licences/investment-firm/mauritius-investment-adviser/) | Investment Adviser Licence | FSC |: |: |: |
| [Mauritius](https://protegra.io/licensing/licences/investment-firm/mauritius-investment-dealer/) | Investment Dealer Licence | FSC |: | USD 500 | ~0.5 mo |
| [Netherlands](https://protegra.io/licensing/licences/investment-firm/netherlands/) | Investment firm licenceInvestment firm licence (Vergunning beleggingsonderneming) under Wft Article 2:96 and MiFID II | AFM |: | EUR 200 | ~3 mo |
| [Poland](https://protegra.io/licensing/licences/investment-firm/poland-brokerage/) | Brokerage House licence (dom maklerski) | KNF |: | EUR 4,500 | ~2 mo |
| [Seychelles](https://protegra.io/licensing/licences/investment-firm/seychelles/) | Securities Dealer's Licence | FSA |: |: |: |
| [Singapore](https://protegra.io/licensing/licences/investment-firm/singapore-cms/) | Capital Markets Services (CMS) Licence | MAS |: | SGD 1,000 |: |
| Slovakia | Investment firm licence | NBS |: |: |: |
| [South Africa](https://protegra.io/licensing/licences/investment-firm/south-africa-fsp-cat1/) | Financial Services Provider licence - Category IFinancial Services Provider licence - Category I (advice and/or intermediary services, non-discretionary, incl. crypto assets) | FSCA |: |: |: |
| [South Africa](https://protegra.io/licensing/licences/investment-firm/south-africa-fsp-cat2/) | Financial Services Provider licence - Category II (discretionary FSP) | FSCA |: |: |: |
| [South Africa](https://protegra.io/licensing/licences/investment-firm/south-africa-odp/) | Over-the-Counter Derivative Provider (ODP) authorisationOver-the-Counter Derivative Provider (ODP) authorisation under the Financial Markets Act | FSCA |: |: |: |
| [Spain](https://protegra.io/licensing/licences/investment-firm/spain-broker-dealer/) | AV) investment firm licence | CNMV |: | EUR 10,000 | ~6 mo |
| [Spain](https://protegra.io/licensing/licences/investment-firm/spain-eaf/) | Empresa de Asesoramiento Financiero (EAF) licence | CNMV |: | EUR 1,000 | ~6 mo |
| [Switzerland](https://protegra.io/licensing/licences/investment-firm/switzerland-portfolio-manager/) | Portfolio manager licence | FINMA |: |: |: |
| [Switzerland](https://protegra.io/licensing/licences/investment-firm/switzerland/) | Securities firm licence | FINMA |: |: |: |
| [United Kingdom](https://protegra.io/licensing/licences/investment-firm/united-kingdom/) | MIFIDPRU Investment Firm Authorisation (Part 4A FSMA) | FCA |: | GBP 2,820 | ~6 mo |

Values come from each licence's page, where every figure has its source.

## Laws behind it

- [Directive 2014/65/EU on markets in financial instruments](https://protegra.io/licensing/laws/eu-mifid2-2014-65/): Directive 2014/65/EU

## Sources

1. [subjekty.nbs.sk](https://subjekty.nbs.sk/?c=1007): retrieved 2026-09-24
2. [Slovak legislation (Slov-Lex): 566](https://www.slov-lex.sk/pravne-predpisy/SK/ZZ/2001/566/): retrieved 2026-09-24
3. [EUR-Lex: CELEX 32014L0065](https://eur-lex.europa.eu/legal-content/EN/TXT/HTML/?uri=CELEX:32014L0065): retrieved 2026-09-24

Last verified 2026-09-24 · Author: Danil Marmysh · Reviewed by Anastasia Sidorenkova · © Protegra. Data: CC BY 4.0, cite "Protegra Licensing Atlas". Not legal advice.