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The National Securities and Stock Market Commission shall, in accordance with the established procedure, issue licenses for the following types of professional activity in the securities market:

Securities trading activities are carried out by securities traders, which are created in the form of a company and for which transactions with securities and other financial instruments are an exclusive activity, except in certain cases provided for by law and banks. Professional activities in securities trading include the following types of licenses: brokerage; dealer activity; underwriting; securities management activities.

Institutional Investor Asset Management Activity – An activity carried out by an asset management company for consideration on its own behalf or under a relevant asset management agreement owned by institutional investors in ownership.

Mortgage Coverage Management Activity – An activity performed by a mortgage coverage manager on your own behalf and for a fee within a specified period of time under a mortgage management agreement.

Depository activity – the activity of professional participants of the depository system of Ukraine and the National Bank of Ukraine on the provision of services in the storage and accounting of securities, accounting and servicing of the acquisition, termination and transfer of rights to securities and rights over securities and restrictions of rights to securities in securities accounts securities of depository institutions, issuers, correspondent depositories, persons conducting clearing activities, Settlement center for servicing contracts in the financial markets (hereinafter – Settlements and center), depositors nominee, and providing other services under the Law of Ukraine “About Depository System in Ukraine” have the right to professional participants of the depository system of Ukraine. This type of activity involves the following types of licenses: depository activity of the Central Depository; depositary activity of the National Bank of Ukraine; depositary activity of the depositary institution; asset storage activities of joint venture institutions; asset management activities for pension funds.

Stock market trading activities – stock exchange activities to create organizational, technological, informational, legal and other conditions for collecting and disseminating information regarding the supply and demand of securities and other financial instruments, conducting regular stock exchange trading of securities and other financial instruments, centralized conclusion of securities agreements and other financial instruments in accordance with the rules established by such stock exchange, by them in the manner prescribed by law. Stock market trading activities may include clearing and settlement activities for financial instruments other than securities.

Clearing activity – the activity of defining the obligations to be executed on transactions with securities and other financial instruments, the preparation of documents (information) for settlements, as well as the creation of a guarantee system for the fulfillment of obligations on transactions with securities and other financial instruments tools.

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