The Securities Commission supervises application of the Law by its supervised entities, in the part concerning custody and broker-dealer activities. The enforcement of this Law concerns investment fund management companies, broker-dealer companies, authorized banks and custody banks. The responses to the Questionnaire were submitted by 55 entities in total (32 broker-dealer companies, 16 authorized banks and 7 custody banks). The conclusions drawn from the responses follow.

The Securities Commission would like to point out that the obligors of the Law on Prevention of Money Laundering and Terrorism Financing are required to submit the information on a new form of the AML/TF Questionnaire. As it has been so far, the supervised entities are required to submit their responses two times a year.

Following a supervision procedure, the Securities Commission adopted a decision at the 280th session held on 15 June 2015, revoking a license for carrying out activities of an investment firm from the broker-dealer company Šumadija broker a.d. Kragujevac.