It is registered
Ministry of Justice
Republic of Uzbekistan
On December 20, 2013 No. 660-5
of December 9, 2013 No. 2013-12
About modification and amendments in Regulations on certification (recertification) of physical persons on the right of making of transactions with securities
According to the Law of the Republic of Uzbekistan "About the security market" (Collection of the legislation of the Republic of Uzbekistan, 2008, Art. No. 29-30, 278), the Presidential decree of the Republic of Uzbekistan of August 28, 2013 No. UP-4561 "About Modification and Amendments, and also Recognition Voided Some Acts of the President of the Republic of Uzbekistan" (Collection of the legislation of the Republic of Uzbekistan, 2013, No. 36, the Art. 477) and the Regulations on the Center for coordination and market development of securities in case of Goskomkonkurention of the Republic of Uzbekistan approved by the resolution of the Cabinet of Ministers of the Republic of Uzbekistan of March 30, 1996 No. 126 (Collection of the orders of the Government of the Republic of Uzbekistan, 1996, to No. 3, of the Art. 11), I order:
1. Make changes and addition to Regulations on certification (recertification) of physical persons on the right of making of transactions with securities approved by the Center for coordination and control of functioning of the security market under the State Property Committee of the Republic of Uzbekistan on March 1, 1999 No. 42 (рег. No. 660 of March 3, 1999), according to appendix.
2. This order becomes effective from the date of its official publication.
CEO
B. Atakhanov
Appendix
to the Order of the CEO of the Center for coordination and market development of securities in case of Goskomkonkurention of the Republic of Uzbekistan of December 9, 2013 No. 2013-12
1. In Item 1.1 of the word "The center for coordination and control of functioning of the security market under the State Property Committee" shall be replaced with words "The center for coordination and market development of securities in case of Goskomkonkurention".
2. In the paragraph the second Item 1.2 of the word "The Center for Coordination and Control of Functioning of the Security Market under the State Property Committee" shall be replaced with words "The center for coordination and market development of securities in case of Goskomkonkurention".
3. In Item 1.3-1:
to exclude from paragraph one of the word of "the corresponding profile";
in paragraph five of the word "or notary" shall be replaced with words "or the notary (for bachelors)";
add with the paragraph of the following content:
"the copy of the diploma about the higher education with confirmation of higher educational institution about the termination of magistracy with honors (for masters).".
4. State Item 3.14 in the following edition:
"3.14. Person recognized as not certified has the right to certification with repeated submission of documents according to the procedure, specified in Items 3.1 - 3.4 this provision.".
5. Appendices No. No. 1 - 4 to state in edition according to appendices No. No. 1 - 4 to these changes and amendment.
to the changes and amendment brought in Regulations on certification (recertification) of physical persons on the right of making of transactions with securities
Appendix №1
to Regulations on certification (recertification) of physical persons on the right of making of transactions with securities
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Center for coordination and market development of securities |
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_________________________________ | |||||||||||||
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_________________________________ | |||||||||||||
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(First name, middle initial, last name, address of permanent registration of the applicant) | |||||||||||||
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STATEMENT | ||||||||||||||
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I ask you to issue me the competence certificate II of category on the right of making of transactions with securities. | ||||||||||||||
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Education: _______________________________________________, | ||||||||||||||
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(name of educational institution) |
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specialty _____________________, year of the termination ___________________. | ||||||||||||||
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Place of employment now: ____________________________________. | ||||||||||||||
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The following documents are enclosed to this application (the complete list of the submitted documents is specified): | ||||||||||||||
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This is to confirm: |
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availability of the honors degree at me about the higher education (in financial and economic or legal spheres) from which date of issue there did not pass three years; * | ||||||||||||||
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availability of the diploma at me about the higher education (in financial and economic or legal spheres), with confirmation of higher educational institution about the termination of magistracy with honors from which date of issue there did not pass three years; ** | ||||||||||||||
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absence at me unspent conviction for crimes in the field of economy or for crimes against procedure for management; | ||||||||||||||
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authenticity, reliability and compliance of validity of all data stated in the application and also the data containing in the documents and materials enclosed to this application. | ||||||||||||||
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This statement and documents are submitted by me personally / through my representative (necessary to emphasize) ***. | ||||||||||||||
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"___" ____________ 20 ___. |
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______________________ | |||||||||||
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(date of filing of application) |
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(signature of the applicant) | |||||||||||
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Contact telephone number: ______________ |
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E-mail address (e-mail): _____________ (in the presence) |
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* It is specified by provision of the bachelor's degree.
** It is specified by provision of the diploma of the master.
*** In case of submission of the statement and documents through the representative it is necessary to enter in addition surname, name and middle name, the signature of person submitting documents, the address of permanent registration, series and passport number (other identity document) of the representative with indication of the issued body and date of issue).
to the changes and amendment brought in Regulations on certification (recertification) of physical persons on the right of making of transactions with securities
Appendix № 2
to Regulations on certification (recertification) of physical persons on the right of making of transactions with securities
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Center for coordination and market development of securities | ||||
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from |
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_________________________________ | |||||
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_________________________________ | |||||
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(First name, middle initial, last name, address of permanent registration of the applicant) | |||||
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STATEMENT | |||||||||
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I ask for your permission to passing of certification (recertification) appointed on "___" __________ 20 ___ for obtaining | |||||||||
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competence certificate _________________ of category | |||||||||
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(I or II) |
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on the right of making of transactions with securities. | |||||||||
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Education: _______________________________________________________, | |||||||||
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(name of educational institution) | |||||||||
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specialty _____________________, year of the termination ___________________. | |||||||||
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Place of employment now: ______________________________________. | |||||||||
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The following documents are enclosed to this application (the complete list of the submitted documents is specified): | |||||||||
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This is to confirm: |
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absence at me unspent conviction for crimes in the field of economy or for crimes against procedure for management; | |||||||||
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within the last three years I did not perform function of sole executive body, was not part of collegiate executive body or was not founder of the professional participant of the security market, stock exchange, share departments of other exchanges, credit, insurance or auditing organization at the time of cancellation of licenses for implementation of professional activity at the specified organizations for violations of the licensed requirements and conditions allowed through my fault; * | |||||||||
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within the last two years I did not perform function of sole executive body and was not part of collegiate executive body of the legal entity at the moment when such person was declared bankrupt; * | |||||||||
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authenticity, reliability and compliance of validity of all data stated in the application and also the data containing in the documents and materials enclosed to this application. | |||||||||
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This statement and documents are submitted by me personally / through my representative (necessary to emphasize) **. | |||||||||
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"___" ____________ 20 ___. |
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(date of filing of application) |
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(signature of the applicant) | ||||||
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Contact telephone number: ______________ | |||||||
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E-mail address (e-mail): _____________ (in the presence) | |||||||
* It is specified in case of receipt of the competence certificate I of category.
** In case of submission of the statement and documents through the representative it is necessary to enter in addition surname, name and middle name, the signature of person submitting documents, the address of permanent registration, series and passport number (other identity document) of the representative with indication of the issued body and date of issue).
to the changes and amendment brought in Regulations on certification (recertification) of physical persons on the right of making of transactions with securities
Appendix №. 3
to Regulations on certification (recertification) of physical persons on the right of making of transactions with securities
See Appendix 3 (11Kb In original language)
to the changes and amendment brought in Regulations on certification (recertification) of physical persons on the right of making of transactions with securities
Appendix №4
to Regulations on certification (recertification) of physical persons on the right of making of transactions with securities
See Appendix (11Kb In original language)
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The document ceased to be valid since October 18, 2022 according to Appendix to the Order of the Minister of Finance of the Republic of Uzbekistan of October 5, 2022 No. 55