LICENSING

I. Licensing:

1) Register of professional participants of the securities market:

As of January 1, 2022; (excel) As of January 1, 2023. (excel) As of May 1, 2023. (Information is being disclosed based on paragraph 5 of the decision of the President of the Republic of Uzbekistan 415-con of November 8, 2022)

2) Procedures for obtaining a license for professional participants of the securities market:

The Laws of the Republic of Uzbekistan "On Licensing, Permitting and Notification Procedures" and "On the Securities Market", as well as the Cabinet of Ministers of the Republic of Uzbekistan dated February 21, 2022 No. 80 "On the Procedure for Licensing Certain Activities Through a Special Electronic System" Appendices 16 and 24 of the Charter approved by the decision of the Cabinet of Ministers No. 88 of February 25, 2022 "On approval of the unified regulation on the procedure for notifying the authorized body for the start or termination of activity" , as well as the regulation "On the internal control of the professional participant of the stock market" registered by the Ministry of Justice (registration number 1899, 02.06.2009) and other legal documents regulating relations related to the activity of the stock market.

The following activities are licensed:

Professional activity in the stock market:

- investment intermediary (depository, underwriting, market maker, dealer, broker);

- trustee of investment assets;

Activities of the organizer of stock exchange and over-the-counter trades with securities

- notification of the start or end of the activity of the investment consultant;

3) Legislative documents related to licensing of professional participants of the securities market:

Law "On Licensing, Permitting and Notification Procedures"; https://lex.uz/docs/5511879

Law "On Stock Market"; https://lex.uz/docs/2662539

Resolution No. 80 of the Cabinet of Ministers dated February 21, 2022 "On approval of the unified regulation on the procedure for licensing certain types of activities through a special electronic system"; https://lex.uz/docs/5870213

Resolution of the Cabinet of Ministers No. 88 of February 25, 2022 "On approval of the uniform regulation on the procedure for notifying the competent body for starting or ending activity"; https://lex.uz/docs/5877863

4) Order "On approval of the Charter and its contents of the Expert Commission on issuing or refusing to issue licenses to professional participants of the stock market and stock exchanges, preparing conclusions on suspending, restoring, terminating and revoking the license" (pdf) file).

06.01.2023

6270

General Statistics

Number of issuers by year

Top 4 essential facts type

General statistics by year

2021

2020
2021
2022
2023

	JSC	LLC
Total issuers, of which	699	1
active issuers*	593	1
Total disclosures, of which	7305	1
active issuers*	6886	1
Essential facts, of which	5221	1
active issuers*	4948	1
Prospectuses, of which	23	0
active issuers*	21	0
Quarterly reports, of which	1653	0
active issuers*	1537	0
Annual reports, of which	407	0
active issuers*	380	0
Charters, of which	171	1
active issuers*	148	1

	JSC	LLC
Total issuers, of which	717	3
active issuers*	599	3
Total disclosures, of which	7292	5
active issuers*	6895	5
Essential facts, of which	5293	4
active issuers*	5030	4
Prospectuses, of which	16	1
active issuers*	11	1
Quarterly reports, of which	1526	0
active issuers*	1431	0
Annual reports, of which	452	0
active issuers*	423	0
Charters, of which	166	0
active issuers*	150	0

	JSC	LLC
Total issuers, of which	755	20
active issuers*	607	20
Total disclosures, of which	8710	37
active issuers*	8248	36
Essential facts, of which	6326	33
active issuers*	6000	32
Prospectuses, of which	12	4
active issuers*	12	4
Quarterly reports, of which	1822	0
active issuers*	1747	0
Annual reports, of which	510	0
active issuers*	489	0
Charters, of which	300	18
active issuers*	293	17

	JSC	LLC
Total issuers, of which	760	23
active issuers*	613	22
Total disclosures, of which	2222	13
active issuers*	2138	13
Essential facts, of which	1676	12
active issuers*	1616	12
Prospectuses, of which	4	1
active issuers*	4	1
Quarterly reports, of which	468	0
active issuers*	459	0
Annual reports, of which	60	0
active issuers*	59	0
Charters, of which	65	1
active issuers*	63	1