Regulators

Securities Commission of the Republic of Serbia (SEC)

The Serbian Securities Commission SEC was established in 1990 and is an independent government agency accountable to Parliament.

Organization Profile

Institutional nature
The Serbian Securities Commission, the SEC, is an independent government agency that is accountable to Parliament.
Institutional History
Founded in 1990
Legal Framework
Serbian Capital Market Law
Serbian Company Acquisition Law
Law on Open Investment Funds Publicly Offered in Serbia
Serbian Alternative Investment Funds Law
Serbian Commodity Exchange Law
Serbian Audit Law
Institutional Functions
1) promulgate and implement secondary legislation and other regulations;
2) Approval of public offering and market access of financial instruments;
3) Arrange courses and exams, issue, refuse, suspend or revoke licenses: investment companies, market operators, investment advisors, brokers, portfolio managers, etc.;
4) Cooperate with international organizations, foreign regulatory agencies or organizations, and domestic agencies or organizations to exchange information;
5) Implementation of anti-money laundering and terrorist financing regulations;
6) Investor education.
Organization Structure
1) Chairman and three members
2) Securities and Listed Company Registration Department
3) Market Participant Department
4) Supervision Department
5) Legal Department
6) Information Technology Department
7) International Cooperation and Development Department
8) Financial Affairs Department
9) Quality Assurance Review Department

License Fee

Company type fee (Serbian dinar) Investment company (receive and transmit orders to buy and sell financial instruments; execute orders on behalf of clients; portfolio investment management; investment advice; placement of financial instruments) 500,000 investment companies (trading own accounts) 0.84 million investment companies (underwriting and/or underwriting of financial instruments; operation of multilateral trading facilities) 2.85 million
Note: 10,000 Serbian dinars are about 690 yuan.

Regulatory Inquiries

1. Go to http://www.sec.gov.rs/index.php/en/ and select Market Participants.
2. Take BROKER-DEALER COMPANIES as an example, the company details are as follows.

Regulatory complaints

The Serbian SEC receives complaints about violations of financial market regulations. The complaint must include: the complainant's contact information (name, address, telephone number and email address), the object of the complaint, and the matter of the complaint.
Email: [email protected]

Contact information

Address: Omladinskih brigada 1, 7 Floor, Belgrade, Serbia
Tel: +381 11 3115-118, +381 11 2603-774
Email: [email protected]
Online contact:
http://www.sec.gov.rs/index.php/en/contacts
http://www.sec.gov.rs/index.php/en/education/investor-protection/ask-a-question

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