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FC Sokrat LLC, the Custodian provides a package of services to legal entities and individuals, both resident and non-resident. In order to be provided the Custodian service, a customer needs to open a securities account and thereafter, he receives the status of Depositor.
Regulations on the depository activities depository institutions "Financial Company "Sokrat" LLC (Ukrainian version)
In order to open a securities account an individual, whether resident or non-resident, must provide the following documents:
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Contract maintenance of a securities account in two counterparts with the corresponding rates therein;
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Application/ request to open a securities account;
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Application form for a securities account;
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Copy of official document indicating one’s personal tax identification number;
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Copy of all pages of passport containing any information;
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Card with a specimen of the signature of the account’s administrator;
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Official document indicating the bank account, issued by the respective bank (either the original or the copy certified by a notary), if the individual holds his / her own bank account.
Download the package of documents for individuals
The card with a specimen of the signature of the account’s administrator is to be signed by the holder of this account in the presence of a responsible professional employee of the Custodian or, in the case that the documents are mailed by post, this card is to be certified by a notary.
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In order to open a securities account an individual, whether resident or non-resident, who will subscribe to internet trading, must provide the following documents:
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Contract maintenance of a securities account in two counterparts with the corresponding rates therein;
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Application/ request to open a securities account;
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Application form for a securities account;
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Copy of official document indicating one’s personal tax identification number;
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Copy of all pages of passport containing any information;
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Card with a specimen of the signature of the account’s administrator;
—
Official document indicating the bank account, issued by the respective bank (either the original or the copy certified by a notary), if the individual holds his / her own bank account.
Download the package of documents for individuals, who will subscribe to internet trading
The card with a specimen of the signature of the account’s administrator is to be signed by the holder of this account in the presence of a responsible professional employee of the Custodian or, in the case that the documents are mailed by post, this card is to be certified by a notary.
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List of documents required for opening a securities account for legal entity that is resident:
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Contract maintenance of a securities account in two counterparts with the corresponding rates therein;
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Application/ request to open a securities account;
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Application form for a securities account ;
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Copy of certificate on state registration, which is to be certified by a notary or verified by the body that issued this certificate;
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Copy of the official document confirming the respective entry in the Uniform state register of enterprises and organizations in Ukraine, which is to be certified by a notary or verified by the body that issued this document;
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The details on where the bank account was opened and the account number (a copy of the official document issued upon opening the bank account, which is to be certified by a notary or verified by the body that issued this document);
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In the case that the account’s administrator and the director of the legal entity are not the same person (on the customer’s letterhead), the Power of Attorney for the securities account’s administrator, which is to be issued and signed by the director and affixed with the seal of this legal entity ;
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Card with specimens of the signatures of officials and an impression of the legal entity’s seal, which to be certified by a notary and verified by the director of this legal entity;
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Incorporation documents (articles of association, memorandum of association and other documents), which are to be certified by a notary;
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Documents appointing officials of the legal entity to their posts (letter of appointment, minutes of a company shareholders’ meeting, or minutes of a management body meeting), which are to be affixed with the seal of this legal entity;
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Copy(ies) of passport(s) or other documents that verify the identity of the account administrator according to the current laws of Ukraine, as well as a copy of one’s personal tax identification code.
Download the package of documents for legal entities which are residents
The card with a specimen of the signature of the account’s administrator is to be signed by the holder of this account in the presence of a responsible professional employee of the Custodian or, in the case that the documents are mailed by post, this card is to be certified by a notary.
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List of documents required for opening a securities account by a legal entity that is a non-resident:
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Contract for opening the securities account in two counterparts with the corresponding rates therein;
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Application/ request to open a securities account;
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Application form for securities account;
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Notarized copy of legalized extract on registration of legal entity from the trade, bank or court registry, or else from a registration certificate issued by a local government of a foreign state;
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Notarized copies of legal documents verifying the powers of persons authorized to act on behalf of the legal entity without the Power of Attorney ;
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In the cast that the account’s administrator and the director of the legal entity are not the same person, the original or notarized copy of the Power of Attorney granted to the securities account’s administrator that is issued and signed by the director of this legal entity;
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Original or notarized copy of the document containing information on the respective bank details about where the bank account was opened and the number of this account;
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Photocopies of passports and the personal tax identification codes of the account’s administrators;
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Notarized card with signatures of the securities account’s administrators and an impression of the legal entity’s seal (if one exists).
Download the package of documents for legal entities which are non-residents
The card with a specimen of the signature of the account’s administrator is to be signed by the holder of this account in the presence of a responsible professional employee of the Custodian or, in the case that the documents are mailed by post, this card is to be certified by a notary.
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The Custodian works with its Depositors on the basis of principles of mutual respect and confidence and, therefore, it is accepted practice that exchangeing information with reliable customers is carried out by means of electronic, fax and telephone communications. The Custodian undertakes to take appropriate action as may be necessary to protect Depositors’ rights and interests and abide by the principle of confidentiality in its work, as well as informing the customer as much as possible of new developments in the stock market, which enable the Depositor to react in a timely manner to the changes that take place. In the course of its work with Sokrat as the Custodian, the customer receives professional support from the Custodian’s employees, which allow Depositors to save both money and time.
In order to carry out a transaction with securities, the customer of the Custodian lodges a request as well as submitting the respective supporting documents (contract for purchase and sale, additional agreement to the contract, contract of pledge, loan agreement, etc.). After submission of these documents, the Custodian carries out the requested transactions with securities.