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Information on the investor compensation scheme

This is an English translation of the Slovenian original provided as a reference to aid the understanding of the relevant documents. Equito Brokerage Company, Ltd. shall not be held responsible for any erroneous translations and is presented as is. In case of a discrepancy, the Slovenian original will prevail as an official document and applicable for interpretation.

The Company, as an investment firm, is included in the Investor compensation scheme pursuant to Article 450 of ZTFI-1 and in accordance with the Decision on investors’ guaranteed claims (Official Gazette of the Republic of Slovenia, No. 47/22, as amended and supplemented) in accordance with the provisions of Article 450 of ZTFI-1 and the Decision on Guaranteed Investors’ Claims. 

A claim is the total balance of all claims of a natural or legal person from the Company on the basis of a contract for the provision of investment services and transactions referred to in Article 11(1), (2) and (7)(1) of the ZTFI-1 or ancillary investment services referred to in Article 19(1)(1) of the ZTFI-1. However, the investor’s exclusion claims for the delivery of financial instruments or cash for which the investor is granted an exclusion right in bankruptcy proceedings shall not be considered as an investor’s claim. 

The claim of the investor is, under the same conditions, also: 

i. a claim by an investor against the Company under the custodial services provided for by law, which is asserted by an authorised person and which is treated separately from other claims and assets of the authorised person in accordance with the law;  

ii. a claim by an investor against the Company arising out of a joint investment transaction entered into by two or more persons as members of a business partnership, association or relationship of a similar nature which is not a legal person. In the absence of any other provision in the joint investment contract, the investors shall be recognised in equal shares. 

The Eligible Investor Claim shall be the balance of the Investor’s claim on the Company less the aggregate balance of all the Investor’s liabilities to the Company on the basis of the investment services and transactions referred to in paragraph 2 of this document, irrespective of the number of the Investor’s accounts with the Company or the currency. The Eligible Investor Claim shall be taken into account as the basis for the calculation of the investor guaranteed claim. 

The investor’s secured claim is the investor’s allowed claim as at the date of the opening of insolvency proceedings against the Company, up to an amount of EUR 22,000. 

Notwithstanding the above, these claims are not taken into account in the calculation of eligible claims and are not covered by the guarantee: 

i. claims of persons referred to in Article 246(1) of the ZTFI-1, even if they have requested to be treated as retail clients by the Company, 

ii. claims of persons treated as professional clients by the Company in accordance with Articles 247 and 248 of the ZTFI-1, 

iii. claims relating to transactions for which the holder of the claim has been convicted of a money laundering offence, 

iv. claims of members of the Company’s management and supervisory bodies and their close family members, 

v. claims by shareholders of the Company who hold at least 5% of the capital or voting rights of the investment firm, 

vi. claims of legal entities that are subsidiaries of the Company, 

vii. claims of members of the management and supervisory bodies of the legal persons referred to in points 5 and 6 of this paragraph and of their close family members, 

viii. claims that, by their nature, are taken into account in the calculation of the Company’s capital, 

ix. claims of legal entities that, based on the data in their last published annual report, are classified as large or medium-sized companies under the Companies Act (Official Gazette of the Republic of Slovenia, No 65/09, as amended and supplemented; ZGD-1), 

x. claims on a bearer account as referred to in the first indent of the fourth paragraph of Article 450 of the ZTFI-1. 

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  • Terms and conditions

Equito, brokerage company, Ltd. is a licensed investment firm under the Slovenian Securities Market Agency, authorised to provide investment services listed under 1, 2 and 7 in Section A and ancillary services listed under 1 and 3 of Section B of Annex I to MiFID II.

Equito® is a registered trademark of Equito brokerage company Ltd. and its licensors. Other trademarks displayed on the Equito platform are the property of their rightful owners’ unless otherwise indicated. Any trading symbols displayed are for illustrative purposes only and are not intended to portray recommendations.

Financial instruments offered within Equito platform involve certain risks and are not suitable for all investors. The risk of loss in online trading of stocks, options, futures, currencies, foreign equities, mezzanine instruments, and other financial instruments can be substantial.

Before trading and/or investing in any financial instruments available within Equito platform, clients must read and understand the relevant risk disclosures in our Description of financial instruments and risks document. Furthermore, before investing in any financial instrument available on the Equito Platform in the context of a public offer of securities, the investor should carefully read the relevant disclosures and other contents of the prospectus in connection with the individual public offer of securities.

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