To the attention of professional participants! The NSSMC reminds which investment firms can provide additional services

The NSSMC (hereinafter – National Securities and Stock Market Commission) reports on the current list of investment firms, which can provide additional services. The Regulator warns other market participants not to carry out such activities if they haven’t indicated such an intention to the NSSMC, and in return, the NSSMC hasn’t taken relevant decisions.

The investment firms can provide additional services to clients if they are specified in the relevant resolutions of the Regulator. This is about additional services such as storage of financial instruments and clients’ funds, conclusion of derivative contracts, provision of advice and conducting investment research, underwriting-related services, etc.  

Therefore, at this point 137 investment firms can provide additional services in the capital market.

We recall that in the Resolution On the Procedure for Fulfilling the Requirements of paragraphs 10 and 12 of section XIII of the Law of Ukraine “On Capital Markets and Organized Commodity Markets  dated June 23, 2021 №420, the NSSMC clearly set out a deadline for applying the documents for the provision of additional services, dated September 30, 2021.

The full list of investment firms who active in accordance with the law is presented here:

https://www.nssmc.gov.ua/register/litsenzuvannia-ta-reestratsiia/traders.