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Taras Miroshnychenko

Head of International Corporate Law and Fintech Practice

A specialist in the practice of migration and corporate law, he also specializes in legal support for business in EU countries.

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License for professional activity on the stock market in Ukraine

The stock market is one of the most important components of the financial world. It is a place where traders, investors, brokers, and other professional participants buy and sell securities such as stocks, bonds, funds, and other financial instruments.

To carry out activities on the stock market, professional participants need a license.

Below we will consider what the stock market is, why a license is needed, different types of licenses for professional activity in the stock market, the procedure for obtaining them, and how our law firm can help in this matter.

What is the stock market?

The stock market is a financial market where the buying and selling of securities takes place through stock exchanges and other trading platforms.

This market allows companies to raise capital, investors to invest in various assets, and traders to profit from fluctuations in securities. The stock market plays an important role in the global economy and financial system.

Why do you need a license for professional activity on the stock market in Ukraine?

A license for professional activity in the stock market is mandatory since the stock market is of great importance for the economy and financial stability.

The license allows for monitoring and regulating the activities of professional participants, ensuring investor protection and market stability.

It also ensures high standards of activity and reduces risks for all parties involved in stock market operations.

Types of licenses for professional activity on the stock market

License for brokerage activity (Broker License):

  • Field of activity. Allows companies to carry out brokerage activities, that is, to execute orders for the purchase and sale of securities on behalf of clients.
  • Requirements. To obtain this license, you need to meet the requirements for financial capital and have the appropriate infrastructure and qualified personnel.

License for dealer activity (Dealer License):

  • Field of activity. Allows to carry out dealer activity, i.e. to own securities for their further sale.
  • Requirements This license includes capital, security, and market compliance requirements.

Asset management license (Asset Management License):

  • Field of activity. Allows companies to manage clients’ assets and invest their money in various investment instruments.
  • Requirements Requires compliance with financial requirements and compliance with asset management standards.

Investment consulting license (Investment Advisory License):

  • Field of activity. Grants the right to advise clients on investments and financial planning.
  • Requirements Requires a high level of qualification and adherence to consultation standards.

How to get a license for professional activity on the stock market?

The process of obtaining a license on the stock market includes the following stages:

  • Preparation of documents. Prepare all necessary documentation, including business plans, financial statements, infrastructure, and other mandatory documents.
  • Application submission. Apply for a license to the relevant regulatory authority.
  • Financial assessment. The regulatory body conducts a financial assessment of your company.
  • Passport data. Specify the passport data and qualifications of the personnel who will carry out fund activities.
  • Review and supervision. The regulatory body reviews your company and issues a license if all requirements are met.

How does our law firm help with this?

Our law firm has many years of experience in obtaining licenses on the stock market. We provide individual consultation, support in the preparation of documents, cooperate with regulatory bodies, and ensure compliance with all requirements and standards.

We help our clients successfully obtain a license and develop their activities on the stock market, ensuring a high level of professionalism and compliance with regulations.

Our lawyers work as responsibly as possible and guarantee high-quality services. With us, you can be sure of the reliability and efficiency of cooperation.

Conclusion

A license for professional activity in the stock market is key for participants in this market, ensuring legal admissibility and stability in transactions with securities.

Despite the complex process of obtaining a license, it is worth the effort, as it determines the possibility of participation in a large and important financial market.

Our law firm is ready to provide the necessary support and advice to achieve success in this matter.

For consultation or calculation of the price of obtaining a license for professional activity on the stock market – fill out the form below.

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Taras Miroshnychenko
Head of International Corporate Law and Fintech Practice

A specialist in the practice of migration and corporate law, he also specializes in legal support for business in EU countries.

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