Regulatory Alerts2025-12-16 | 09/21/3369/К03Added · Updated
Regulation on Self-Regulatory Organizations of Professional Participants in Capital Markets and Amendments to Licensing Conditions
The National Commission on Securities and Stock Market approves the Regulation on Self-Regulatory Organizations (SROs) of professional participants in capital markets and amendments to licensing conditions, effective January 1, 2026. SROs holding valid certificates as of January 1, 2026, must align their internal documents and activities with the Law on Capital Markets by that date and obtain a new Certificate of Inclusion in the SRO Register. The Commission transfers the authority to establish certification procedures for SRO member executives to the SROs upon compliance, and non-compliance by January 1, 2027, results in exclusion from the Register and revocation of the certificate.
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