On Jul. 23, BUL FSC issued notice on examinations for broker activity.
At its meeting on Jul. 23, 2024, BUL FSC made a decision under Protocol 50 to conduct examinations for acquiring the right to exercise activity as either a broker of financial instruments, or as an investment consultant, and set dates for both of these exams.
Qualification Overview
The summaries and order of examinations for acquiring the right to exercise activity as a broker of financial instruments or as an investment consultant are published on the official page of the Financial Supervision Commission in section on Investment Activity.
Thematic synopsis for the exam for brokers of financial instruments and the thematic synopsis for exam for exercising activity as investment consultant, are both provided.
As annexes to Ordinance 7, the samples of the required applications for admission to the exam and the associated declarations have been prepared for reference purposes.
Those who want to exercise activity as a broker of financial instruments and/or as an investment consultant, must submit relevant applications for admission to the exam.
The documents required in order to ensure that applications can be made for the examination(s), set out in legislation, are all explicitly stated in the application form.
Applications for admission to the examination, submitted after the announced deadline for submitting all documents set as Sep. 30, 2024, will not be considered by BUL FSC.
Effectiveness
BUL FSC set dates for these exams on Nov. 9, 2024 and Nov. 11, 2024, respectively, by approving the Order for conducting exams for acquiring a right to exercise activity.
Regulators
BUL FSC
Entity Types
B/D; IA
Reference
PR 7/23/2024
Functions
Compliance; Financial; HR; Legal; Registration/Licensing; Reporting; Training
