It is registered
Ministry of Justice of Ukraine
August 4, 2006
No. 938/12812
of May 26, 2006 No. 346
About approval of Licensed conditions of implementation of professional activity in the stock market of activities for the securities trading
According to Civil and Economic codes of Ukraine, Articles 3, of 4, of 7, 8 Laws of Ukraine "About state regulation of the security market in Ukraine", Articles 16, of 17, of 19, 20 - 27 Laws of Ukraine "About securities and the stock market", the Laws of Ukraine "About economic societies", "About joint-stock companies" "About financial services and state regulation of the markets of financial services", "About the prevention and counteraction of legalization (washing) of income gained in the criminal way", "About state registration of legal entities and physical persons - entrepreneurs", "About banks and banking activity", taking into account Articles 13, 19 Laws of Ukraine "About licensing of certain types of economic activity", other regulatory legal acts State commission on securities and the stock market SOLVED:
1. Approve Licensed conditions of implementation of professional activity in the stock market - activities for the securities trading (are applied).
2. To dealers in securities which perform activities based on the corresponding license to bring the activities into accord with requirements of Licensed conditions of implementation of professional activity in the stock market - activities for the securities trading within six months from the effective date these Licensed conditions.
3. To provide to the chief of staff of State commission on securities and the stock market M. Nepran:
submission on registration of this decision to the Ministry of Justice of Ukraine;
publication of this decision according to the legislation.
4. This decision becomes effective in the procedure established by the legislation.
5. Control over the implementation of this decision to assign to the Chief of staff of State commission on securities and the stock market M. Nepran.
Commission chairman
A. Balyuk
Approved by the Decision of State commission on securities and the stock market of May 26, 2006 No. 346
These Licensed conditions, 8 Laws of Ukraine "About state regulation of the security market in Ukraine", Articles 16, of 17, of 19, 20 - 27 Laws of Ukraine "About securities and the stock market", the Laws of Ukraine "About economic societies" are drafted according to Civil and Economic codes of Ukraine, Chapter III of the Labor code of Ukraine Articles 3, of 4, of 7,, "About financial services and state regulation of the markets of financial services", "About the prevention and counteraction of legalization (washing) of income gained in the criminal way", "About state registration of legal entities and physical litspredprinimatel", "About banks and banking activity", other regulatory legal acts, and determine qualification, organizational, production and other requirements for implementation of activities for the securities trading.
1. These Licensed conditions establish the requirements obligatory for accomplishment when implementing professional activity in the stock market - activities for the securities trading.
2. Professional activity in the stock market - activities for the securities trading is performed by dealers in securities - economic societies for which transactions with securities are exclusive type of activity, and also banks.
3. Professional activity in the stock market - activities for the securities trading includes:
dealer activities;
broker activities;
underwriting;
activities for management of securities.
4. The requirements established by these Licensed conditions shall be carried out by licensees (dealers in securities, including banks) during all term of carrying out activities for the securities trading.
1. The licensee can carry out professional activity in the stock market - activities for the securities trading according to the obtained license only on condition of membership in self-regulatory organization of professional participants of the stock market on this type of activity which acquired this status according to the procedure, established by the Commission (further - SRO) and inclusions of the licensee (except bank) to the state register of financial institutions which provide financial services in the security market, according to Procedure for forming and maintaining the state register of the financial institutions providing financial services in the security market, the approved decision of State commission on securities and the stock market (further - the Commission) of 14.07.2004 No. 296, registered in the Ministry of Justice of Ukraine 02.08.2004 for No. 957/9556 (with changes).
2. The licensee (except bank) for implementation of professional activity in the stock market shall have in property or in use the non-residential premise which is completely separated rooms of other legal entities on the location specified in the Unified State Register of Legal Entities and physical persons - entrepreneurs and the license. For implementation of activities by separate division of the licensee based on the corresponding copy of the license or the specialized structural division of the licensee which is integral part of its internal organizational structure and having other location, the licensee shall have in property or in use the non-residential premise on the location of such division which shall conform to the requirements established for this room.
For implementation of activities for the securities trading total area of such room of the licensee (except bank), its separate division shall constitute at least 20 sq.m (except case of implementation only of dealer activities when the room can be at least 10 sq.m).
In case of the organization by the licensee (except bank) activities as a part of the specialized structural divisions which are integral part of its internal organizational structure and having other location, than the licensee, room space on each such division shall constitute at least 10 sq.m.
The executive body of the licensee (except bank) shall be in the non-residential premise on the location specified in the Unified State Register of Legal Entities and physical persons - entrepreneurs and the license. Documents which concern carrying out professional activity shall be stored in this room of the licensee.
On the location of the licensee (its separate division) (except bank) there shall be sign with indication of the name and the place of its arrangement (the floor and numbers of rooms, and also the working schedule).
3. The certified specialists of the licensee (including the leading officials), its separate divisions or specialized structural divisions when implementing activities for the securities trading shall conform to the qualification requirements established in case of receipt of the license.
In case of origin the licensee (including in the isolated or specialized structural divisions), but up to one specialist has less when implementing activities for the securities trading by its separate types the fact of reduction of the assigned amount of the certified specialists (including the leading officials) established in case of receipt of the license (the copy of the license or creation of specialized structural division), it needs to recover required quantity within three months and to notify on it the Commission in accordance with the established procedure.
The head of the dealer in securities (its isolated and/or specialized structural divisions) when implementing activities for the securities trading cannot work at the same time in other professional participants of the stock market.
The head of the dealer in securities (except bank) shall have length of service in the stock market at least three years, and in the last two years these activities shall not have the fact of cancellation of the certificate on the right to perform professional activity with securities in Ukraine - activities for the securities trading; be the head of the professional participant of the stock market which is liquidated by a court decision or to which the sanction in the form of cancellation of the license for types of professional activity in the stock market was applied.
Besides, in case of position assignment of the new head the licensee (except bank) shall check its perfect goodwill according to requirements of the legislation in the field of prevention and counteraction of legalization (washing) of income gained in the criminal way or to terrorism financing.
The certified specialists of the dealer in securities (its isolated or specialized structural divisions) when implementing activities for the securities trading cannot work at the same time in other professional participants of the stock market.
At the same time, if the head of the licensee is dismissed (except bank) who had the corresponding length of service in the security market, fulfilling its duties can be the nominated person without the corresponding length of service in the security market which is certified in the procedure established by the Commission, for the term of no more than three months.
For the period of absence of the head the authorized body of the licensee shall provide availability of person who fulfills its duties. Such person is designated from among the certified specialists of the licensee (except bank) on any kind of activities which will see off the licensee.
In the presence at the licensee (except bank) person holding position of the chief accountant it when implementing activities for the securities trading shall conform to Professional requirements to the chief accountants of professional participants of the security market approved by the decision of the Commission of 24.04.2007 No. 815, registered in the Ministry of Justice of Ukraine 16.05.2007 for No. 510/13777 (with changes).
4. The licensee shall have the equipment, including at least two computers with the device for uninterrupted power supply, and also the means of communication (e-mail, phone, the fax) and software and hardware complex which will provide fulfillment of requirements, established by the Commission for these activities, in particular established by Rules (conditions) of implementation of activities for the securities trading: also will provide to broker activities, dealer activities, underwriting, management of the securities approved by the decision of State commission on securities and the stock market of 12.12.2006 No. 1449, registered in the Ministry of Justice of Ukraine 23.01.2007 for No. 52/13319, giving in the Commission of administrative data and information in the form of electronic documents using the digital signature.
5. The licensee for implementation of professional activity in the stock market - activities for the securities trading shall:
develop regulations on implementation of activities for the securities trading;
develop regulations on separate division of the licensee (except bank) and/or specialized structural division which carry out activities for the securities trading (in case of their creation);
develop regulations on internal control;
appoint the controller;
develop rules of carrying out internal financial monitoring and the program of its implementation no later than the first performed operation or the signed agreement;
appoint the worker responsible for implementation of internal financial monitoring and approve its job description.
develop risk management system of professional activity according to the securities trading (except bank) which includes such elements: determination of the basic principles of risk management of professional activity according to the securities trading; identification, accounting and the description of risks separately by each type of risk; estimation of risks and control (monitoring) of level of risks; measures for decrease (minimization) in risks and liquidation of negative effects of realization of risks, including procedure and sources of financing of measures for compensation of the received losses; forming of managerial structure of the licensee, development of internal regulations, procedures and technologies taking into account the basic principles of risk management accepted by the licensee; control of effective management of risks.
In case of appointment of the certain worker (it is appointed from among the certified specialists) the licensee (except bank) or in case of creation by the licensee (except bank) divisions it is necessary to determine by risk management in internal documents of the licensee its functions, order of interaction with other divisions, including with the controller of the licensee.
It is necessary to carry such questions to competence of this division (worker) of the licensee: development and deployment of techniques of identification, estimation and control of level of risks of professional activity; the analysis and forecasting of condition of risk management system, identification of the critical (most risk) business - processes, clients, partners, financial instruments and services; detection of concentration of risks and reason of their emergence; implementation of actions, procedures, mechanisms and technologies of risk minimization and organization of mitigation of consequences of realization of risks; operational coordination of interaction of divisions and executive body of the licensee concerning risk management; participation in investigation of cases of realization of risks; development of training programs of workers of the licensee to methods and risk management tools; preparation and provision of the reporting under questions of risk management to executive body of the licensee.
6. The regulations on implementation of activities for the securities trading shall contain in particular procedure:
conclusion of agreements;
works with clients;
implementation of activities for the securities trading on types of activity on which the dealer has the corresponding licenses;
accounting and submission of the reporting concerning transactions with securities;
accounting and submission of the reporting concerning means of clients.
7. The regulations on the isolated and/or specialized structural division which carry out activities for the securities trading shall contain, in particular:
core activities, powers;
requirements to availability of the minimum number of the certified specialists (including the leading officials);
requirements to availability of the computer equipment and corresponding software;
requirements to the room;
settlement terms.
8. The regulations on internal control of the dealer in securities shall contain in particular:
procedure and terms of consideration of addresses of clients and professional participants of the stock market;
the procedure of the prevention of unauthorized access to office information and its unauthorized use, including in case of combination of different types of professional activity;
the liquidity and other indicators limiting the risks on transactions with securities for the dealer in securities established by the Commission;
the requirements directed to the prevention of manipulation by stock market prices, established by the dealer in securities;
description of functions, rights and controller's obligations;
powers of the controller in case of identification of violations by it;
form and terms of submission of the reporting by the controller to the head of the dealer in securities;
requirements to execution of source documents of internal accounting, conducting accounting transactions and creation of the internal reporting;
the requirements directed to settlement and the prevention of conflict of interest when implementing professional activity in the stock market.
9. The controller of the dealer in securities is appointed from among the certified specialists and is responsible for completeness and reliability of provision of information in the Commission.
10. Rules of carrying out internal financial monitoring and the program of its implementation are developed and change taking into account regulatory legal acts which regulate question of the prevention and counteraction of legalization (washing) of income gained in the criminal way.
11. The licensee shall fulfill during all term of carrying out activities for the securities trading requirements of the legislation in the field of the prevention and counteraction of legalization (washing) of income gained in the criminal way.
12. The bank (its separate divisions) shall organize the activities according to requirements of the Provision for the organization of activities of banks and their separate divisions when implementing of professional activity by them in the stock market approved by the decision of the Commission of 16.03.2006 No. 160, registered in the Ministry of Justice of Ukraine 10.04.2006 for No. 409/12283 (with changes).
13. The licensee (except bank) when carrying out activities for the securities trading shall have equity according to the financial reporting, in year (Balance (No. form 1)) according to appendix to the Provision (standard) of the financial accounting 2 "Balance" approved by the order of the Ministry of Finance of Ukraine of 31.03.99 No. 87, registered in the Ministry of Justice of Ukraine 21.06.99 for No. 396/3689 (with changes), in the amount of not smaller, than the minimum size of the authorized capital established by the legislation about securities for separate type of professional activity in the stock market following the results of the second and each subsequent financial year from the date of creation of this society. The size of the registered authorized capital shall be at least established by the legislation on securities.
the paragraph two is excluded.
the paragraph third is excluded.
14. The licensee shall observe requirements, in particular:
Civil and Economic codes of Ukraine;
The law of Ukraine "About securities and the stock market", and also the Laws of Ukraine "About joint-stock companies" and "About economic societies" regarding fulfillment of requirements concerning forming of the reserve capital (fund) of society;
the procedure for acceptance and registration of citizens established by the legislation for work according to requirements of Chapter III of the Labor code of Ukraine (execution of an employment agreement with hired employee) (except bank);
the regulatory legal acts of the Commission regulating question of implementation of professional activity in the stock market on each type of activity on which the licensee obtained the corresponding license;
registration and conditions of agreement performance of the order, the commission, underwriting or the agreement on management of securities which are established by the legislation of Ukraine.
15. For implementation of activities for management of securities money of the client is enlisted on the separate current account of the dealer in securities in bank separately from own means of the dealer in securities, means of other clients and in accordance with the terms of the agreement on management of securities. The dealer in securities reports to clients on use of their money.
16. The dealer in securities records securities, money separately for each client and separately from securities, money and property which are in property of the dealer in securities, according to the requirements established by the Commission in coordination with the Ministry of Finance of Ukraine, and in the cases established by the legislation - also with the National Bank of Ukraine.
17. The licensee shall provide free entry of authorized persons of the Commission into rooms in which it performs professional activity in the stock market, in connection with realization of powers by them according to the laws of Ukraine.
18. The licensee which made the decision on the termination of activities for the securities trading shall notify on it all the clients with whom it signs agreements (in case of their availability, in particular: the contract for broker servicing, the agreement of underwriting, the agreement on management of securities and money) to execute all agreements (obligations) concerning implementation of activities for the securities trading and after that to submit the plea of nullity of the license for implementation of professional activity in the stock market and the relevant documents provided for the dealer in securities in Chapter 4 of the Procedure for the cancellation and cancellation of the license for separate types of professional activity in the stock market approved by the decision of the Commission of 23.06.2006 No. 432, registered in the Ministry of Justice of Ukraine 11.08.2006 for No. 976/12850 (with changes).
19. If the licensee has no intention to perform the type of activity specified in the license after the termination of term of its action, it shall at least in sixty calendar days prior to expiration of the license inform on it the Commission, and also before expiration of the license to execute all agreements (obligations) which concern implementation of professional activity according to the securities trading according to the requirements established by the legislation.
1. The licensee shall within twenty working days from date of issue of the license (which is specified on the form of the license) to provide to territorial authority of the Commission for the location in writing information on receipt of the license and accounting card of the professional participant of the stock market on form according to appendix to these Licensed conditions.
In case of change in process of activities of the licensee of the data specified in accounting card and also receipt of copies of the license for implementation by the isolated subsections of the licensee of professional activity in the stock market (their cancellation) the licensee shall notify in writing within twenty working days on these changes territorial authority of the Commission, provide accounting card with corresponding changes, fill in the accounting card concerning each isolated subsection which received in accordance with the established procedure the copy of the license.
If the separate division of the licensee opens in other administrative and territorial unit (not in administrative and territorial unit of the location of the licensee), then the licensee shall notify in writing within twenty working days on it territorial authority of the Commission for the location of such division and provide it accounting card or changes to it according to the procedure and the terms established by this Item.
2. In case of the termination of the licensee by reorganization as a result of transformation if the licensee intends to perform the types of activity specified in the license, then he within twenty working days from registration date of new constituent documents shall submit to the Commission the application according to appendix 14 together with the original of the license and the statement for licensing for implementation of professional activity in the stock market and the documents attached to it, for receipt of the new license according to requirements of the Procedure and conditions of licensing for implementation of separate types of professional activity in the stock market, renewals of the license, issue of the duplicate and the copy of the license approved by the decision of the Commission of 26.05.2006 No. 345, registered in the Ministry of Justice of Ukraine 28.07.2006 for No. 890/12764 (with changes) (further - the Procedure and conditions of licensing).
In case of the termination of the licensee by reorganization as a result of transformation of the licensee to joint-stock company he submits the specified documents within twenty working days from registration date of the corresponding share issue.
3. In case of origin in the course of professional activity of the licensee of the bases for renewal of the license, namely: changes of the name of the legal entity (if change of the name is not connected with reorganization of the legal entity), changes of the location of the legal entity, the licensee shall submit within fifteen working days the application and the relevant documents in the procedure established by the Commission for renewal of the license.
4. If in the course of activities by the licensee the license is lost or the form of the license is not suitable for use owing to its damage, the licensee shall submit the application and the relevant documents in the procedure established by the Commission for receipt of the duplicate of the license.
5. In case of creation at the licensee in the course of professional activity of new separate division which carries out professional activity in the stock market - activities for the securities trading according to the obtained license the licensee shall submit the application and the relevant documents in the procedure established by the Commission for receipt of the copy of the license.
6. In case of liquidation of separate division and/or the termination of carrying out of activities for the securities trading by it it agrees the copy obtained in the Commission of the license the licensee shall within ten working days from the date of the termination of the specified activities by this division to submit the application and the relevant documents in the procedure established by the Commission for cancellation of the copy of the license.
7. In case of creation by the licensee in the course of implementation of activities for the securities trading of specialized structural divisions which have other location, than the licensee and to which powers are conferred to perform these activities, the licensee shall provide prior to implementation of activities by such structural division in the Commission:
and other location, than the licensee (appendix 15 to the Procedure and conditions of licensing) have the certificate of specialized structural divisions of the licensee which perform professional activity in the stock market by its separate types;
certified by the signature of the head and seal of the licensee (except bank) copies of the documents confirming its property right to the non-residential premise in which professional activity according to the securities trading will be performed or right to use by the non-residential premise (the lease agreement, subleases, etc. which is concluded by the licensee), with familiarizing of the delivery-acceptance certificate of this room (in the presence) and the plan of the room (with indication of its size).
In case of the organization by the licensee of the activities as a part of specialized structural divisions which have other location than the licensee or its separate division the licensee shall notify in writing prior to implementation of activities by such division on it territorial authority of the Commission for the location and the location of such division and to provide it accounting card or changes to it concerning each specialized structural division of the licensee according to the procedure and terms, stipulated in Item 1 this Chapter.
8. In case of change of the name of separate division and/or its location the licensee within fifteen working days from the date of entering of corresponding changes into regulations on separate division shall submit the application and the relevant documents in the procedure established by the Commission.
9. The licensee in the course of carrying out activities for the securities trading shall report the Commission about all changes of the data specified in the documents enclosed to the application for licensing.
In case of such changes the licensee shall provide within twenty working days in the Commission (with indication of management of licensing of activities of professional participants of the security market) the corresponding message in writing and the documents confirming the specified changes namely:
9.1 certified notarially or the body which issued the document, the copy of changes to the constituent document of the licensee which are registered in accordance with the established procedure. The constituent document of the licensee shall conform to requirements of the Law of Ukraine "About securities and the stock market".
In case of modification of the constituent document, connected with increase in the authorized capital, the dealer in securities shall pay only at the expense of money that shall be confirmed by the copy of the relevant document of bank (except case of increase in the authorized capital by profit, reinvestment of dividends);
9.2 the certificate of changes as a part of owners of the licensee with indication of share of everyone in the authorized capital, in the form of the reference on owners of the applicant (licensee) established by the Commission (with allocation of professional participants of the stock market) which was enclosed by the applicant to the application for licensing.
For the applicant formed in the form of joint-stock company, the specified information is provided on owners who own more, than five percent of its authorized capital;
9.3 the certificate of changes in the list of legal entities at whom the licensee has share over five percent of authorized fund (capital) of these legal entities and/or changes of the size of the specified share in the form of the reference on legal entities established by the Commission at whom the applicant has share over five percent of the authorized capital of these legal entities which was enclosed by the licensee to the application for licensing;
9.4 the certificate of changes in the list of the leading officials and specialists of the licensee (its separate division) who directly perform professional activity according to the securities trading and are certified in the procedure established by the Commission, in the form of this reference established by the Commission which was enclosed by it to the application for licensing, with addition of copies of appropriate certificates (in case of the appointment of the new head and specialists of the licensee or receipt of the new certificate by the working specialists (including the head)) certified by the signature of the head and seal of the licensee.
In case of position assignment of the new head of the licensee (except bank) the reference in any form of its previous activities in the stock market in the last two years before date of appointment to this post which shall contain information on absence or availability of the facts moves: cancellations of the certificate on the right to perform professional activity with securities in Ukraine - according to the securities trading; liquidations by a court decision or imposings of the sanction in the form of cancellation of the license to the professional participant of the stock market whom the appointed head of the licensee headed;
9.5 the certificate of the performed and registered own issues of securities of the licensee in the reference form established by the Commission of the performed and registered own issues of securities of the applicant (licensee) which was enclosed by it to the application for licensing;
9.6. Certified by the signature of the head and seal of the licensee (except bank) copies of changes to the documents confirming its property right to the non-residential premise in which it will be performed professional activity in the stock market, or right to use by the non-residential premise (the lease agreement, subleases, etc. which is concluded by the applicant or the founder (during creation of the legal entity) for the benefit of this legal entity), with familiarizing of the delivery-acceptance certificate of this room (in the presence) and the plan of the room (is performed) (with indication of its size);
9.7. Changes to the certificate of specialized structural divisions of the licensee which perform professional activity in the stock market by its separate types and have other location, than the licensee or its separate division (appendix 15 to the Procedure and conditions of licensing).
In case of change of the location of such specialized structural division the licensee (except bank) shall apply to this reference of the copy of the documents provided by subitem 9.6 of Item 9 of this Chapter.
9.8. The reference in any form concerning years of service of labor activity of person holding position of the chief accountant, as the chief accountant or the accountant in the professional participant of the stock market or in other financial institution with application of a copy of the qualification certificate of the specialist in questions of financial accounting of professional participants of the stock market, certified by the signature of the head and the applicant's seal.
In case of lack of position of the chief accountant the applicant (except bank) the reference in any form concerning person to who conducting financial accounting is assigned, with indication of surname, name, middle name and years of service of labor activity as the accountant (for physical person) or names, identification code of the legal entity and surname, name, middle name of his head (for auditing firm), certified by the signature of the head and the applicant's seal moves.
Moves the applicant (except bank) in case of dismissal of person who holds position of the chief accountant, or person to who conducting financial accounting of the licensee is assigned.
10. The licensee, except documents, stipulated in Item the 9th this Chapter, shall provide within ten working days in the Commission information about:
arrest of bank accounts of the licensee;
exception of the licensee of SRO on the corresponding type of activity;
the termination of activities of the licensee by its reorganization (merge, accession, separation, allocation, transformation) or liquidations for any reasons, including according to the decision of the supreme body of society with application of a copy of the relevant decision;
the termination of activities of the dealer in securities in connection with expiration of the license (in the presence of the corresponding term in the form of the license) with application of a copy of the document of relevant organ of the licensee confirming decision making certified by the licensee.
In case of exception of SRO the licensee shall become within two months the member of SRO on the corresponding type of activity and within five working days from date of issue of the certificate to the member of self-regulatory organization to report about it to the Commission.
11. The licensee shall provide in the Commission administrative data according to the decision of the Commission of 08.06.2004 No. 279 "About approval of the Regulations on procedure for creation of administrative data concerning activities of dealers in securities and submission of the relevant documents to State commission on securities and the stock market", registered in the Ministry of Justice of Ukraine 09.09.2004 for No. 1122/9721 (with changes).
12. Documents which are provided by the licensee according to requirements of subitems 9.2 - 9.5 Items 9 of this Chapter in writing are provided also electronically in the format determined by the Commission.
13. The licensee (except bank) shall meet the requirements established by Regulations on liquidity measure calculation which limit risks of professional activity in the stock market, the approved decision of the Commission of 27.12.2007 No. 2381, registered in the Ministry of Justice of Ukraine 28.01.2008 for No. 61/14752 (with changes).
14. The licensee (except bank) in case of temporary change of the location (repair of the room and so forth) less than for six months shall not later than in five working days prior to date of the actual change of the location to report to the Commission about these changes (with indication of the new location) and within fifteen working days from the date of emergence of such changes to provide in the Commission the copy of the agreement (except case, when temporary change of the location will not exceed thirty calendar days, about what is specified in the corresponding message) confirming the right of temporary use by the room which shall meet the requirements concerning the room of the licensee established for this type of activity and the copy of the publication about these changes in printing mass media.
All information which are provided by the licensee according to this Item are provided with the cover letter certified by the signature of the head and seal of the licensee (with indication of structural division of central office of the Commission which performed consideration of documents for licensing).
15. All data go to the Commission with the cover letter in which it is necessary to specify surely license number of the licensee, signed by the head of the licensee, the confirmed seal.
If documents are signed not by the head of the licensee, and performing its obligations (except the cases established by the laws), the licensee shall provide the copy of the document which confirms powers of this person.
1. The state control of implementation of professional activity in the stock market - activities for the securities trading is performed by the Commission, and also its territorial authorities according to the Law of Ukraine "About state regulation of the security market in Ukraine", these Licensed conditions and other regulatory legal acts.
Other state bodies exercise control of the specified activities within the powers determined by the legislation.
2. Claims to the actions of territorial authorities of the Commission connected with implementation by them of control of activities for the securities trading are considered by the Commission. The decisions of the Commission made by results of consideration of such claims can be appealed judicially.
Head of department of licensing of activities of professional participants of the security market
I.Zanoza
to Licensed conditions of carrying out professional activity in the stock market - activities for the securities trading
Accounting card of the professional participant of the stock market (its isolated and/or specialized structural divisions which have other location than the licensee or its separate division) *
Дата составления карточки: ______________________________________
Полное наименование профессионального участника (обособленного
и/или специализированного структурного подразделения)
______________________________________________________________________
Сокращенное наименование профессионального участника
(обособленного и/или специализированного структурного подразделения)
______________________________________________________________________
Идентификационный код по ЕГРПОУ _____________________________________
Вид(ы) деятельности по торговле ценными бумагами, который (ые)
проводит профессиональный участник (обособленное и/или
специализированное структурное подразделение) ________________________
Местонахождение профессионального участника (обособленного и/или
специализированного структурного подразделения) __________________
______________________________________________________________________
Телефон, электронный адрес ______________________________________
Банковские реквизиты:
Наименование банка ______________________________________________
Местонахождение банка ___________________________________________
МФО, текущий счет _______________________________________________
Дата и номер решения о выдаче лицензии (копии лицензии)
______________________________________________________________________
Дата выдачи лицензии (копии лицензии), серия лицензии и ее номер
______________________________________________________________________
Дата и номер решения о выдаче переоформленной лицензии
______________________________________________________________________
Дата выдачи переоформленной лицензии (копии лицензии), серия
лицензии и ее номер __________________________________________________
Дата и номер решения об остановке действия лицензии или ее
аннулировании (копии лицензии) _______________________________________
Дата начала проведения профессиональной деятельности
специализированным структурным подразделением ________________________
Дата прекращения проведения профессиональной деятельности
специализированным структурным подразделением ________________________
Фамилия, имя, отчество руководителя профессионального участника
(его обособленного и/или специализированного структурного
подразделения)________________________________________________________
Фамилия, имя, отчество главного бухгалтера профессионального
участника ____________________________________________________________
Фамилию, имя, отчество сертифицированных специалистов
обособленного и/или специализированного структурного подразделения
______________________________________________________________________
Руководитель юридического лица
________________________
(подпись) (Ф.И.О.) М.П.
--------------
* Учетная карточка заполняется отдельно по лицензиату, по каждому
обособленному подразделению лицензиата и специализированному
структурному подразделению лицензиата, которое имеет другое
местонахождение, чем лицензиат или его обособленное подразделение (при
их наличии). В связи с этим в учетной карточке заполняются только
реквизиты, которые касаются этого конкретного случая, а другие
реквизиты не заполняются.
Disclaimer! This text was translated by AI translator and is not a valid juridical document. No warranty. No claim. More info
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The document ceased to be valid according to the Decision of the National commission on securities and the stock market of Ukraine of May 14, 2013 No. 819