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The National Securities and Stock Market Commission, according to its established procedure, issues licenses for the following types of professional activity in the securities market:

BROKER ACTIVITY means a securities trader’s entering into civil law contracts, including commission or agency contracts, regarding securities on its own or another person’s behalf, by order of and at the expense of another person;

DEALER ACTIVITY means a securities trader’s entering into civil law contracts on its own behalf and at its own expense to resale securities, unless otherwise provided by law;

UNDERWRITING means a securities trader’s entering into securities alienation contracts and/or performing actions or providing services associated with such alienation in the issue of these securities by order of, on behalf of and at the expense of the issuer under the relevant agreement with the issuer;

SECURITIES MANAGEMENT means a paid activity carried out by a securities trader on its behalf within a specified period of time in its interests or in the interests of the third parties identified by it under the agreement for the management of securities and funds to be invested in securities, transferred to it, received in the course of the management, or owned by the management founder under the right of ownership;

ASSET MANAGEMENT means a paid professional activity of a stock market participant—asset management company—conducted on its own behalf or under the relevant agreement for management of the asset owned by the institutional investors under the right of ownership;

MORTGAGE COLLATERAL MANAGEMENT means a paid activity carried out by the mortgagee on its own behalf within a specified period of time under the mortgage collateral management agreement and providing the representation of mortgage bonds holders’ interests, monitoring of the compliance with the mortgage assets replacement conditions or inclusion of new mortgage assets to mortgage coverage, monitoring of the timeliness and completeness of the issuer’s payments for common mortgage bonds, ensuring that the mortgage coverage meets legal requirements, and other functions prescribed by law;

DEPOSITORY ACTIVITY OF THE DEPOSITORY INSTITUTION includes depository accounting, placement of securities, stock trading, and issuer’s transactions regarding securities placed on the securities accounts of depository institution depositors;

ASSETS IN CUSTODY BY COLLECTIVE INVESTMENT SCHEMES means a custodian activity carried out by collective investment schemes (documents confirming the title to assets of collective investment schemes), processing of collective investment schemes’ transactions, and control over their activities in cases and according to the procedure established by law;

ASSETS IN CUSTODY BY PENSION FUNDS means pension fund service activities in accordance with the Law of Ukraine “On Non-State Pension Provision”;

SETTLEMENT OF STOCK MARKET TRADING means the stock exchange’s activity for the creation of organizational, technological, informational, legal and other conditions to collect and disseminate information on offering securities and other financial instruments and demand for the same, conduct of regular stock trading in securities and other financial instruments, centralized conclusion of agreements on securities and other financial instruments in accordance with the regulations established by such stock exchange and registered under the law. Settlement of stock market trading may include clearing and settlements of financial instruments, other than securities;

CLEARING means an activity of definition of the obligations to be executed under the transactions on securities and other financial instruments, preparation of documents (information) for settlements, as well as creation of the performance guarantee system for the transactions on securities and other financial instruments.

CONTACTS
+38 (044) 254 24 30 (RECEPTION)
+38 (044) 254 23 77 (PRESS SERVICE)
+38 (044) 254 23 31, +38 (044) 280 40 95 (DOCUMENT CONTROL DIVISION)
8, MOSCOVSKA STREET, KYIV, 01010
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National Securities and Stock Market Commission