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) As of August 1, 2023. (excel)

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: 

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).