Rates

RATES FOR BROKERAGE SERVICES

COMMISSION COSTS FOR TRANSACTIONS FOR THE NATIONAL CURRENCY (UZS)

Tariff plan "INDIVIDUAL"Tariff plan "Strategic"
Transaction amount% of transaction amountNoteTransaction amount% of transaction amountNote
up to 1 bln inclusive1%

for all legal entities and individuals purchasing and selling securities

up to 1 bn inclusive0,85%

for legal entities and individuals who enter at least 1% of the issue of shares in a single transaction or for investors using consulting services in transaction

from 1 bn to 100 bn

from 0,85% to 0,45%from 1 bn to 100 bnfrom 0,75% to 0,35%
more than 100 bn0,35%more than 100 bn0,25%



Tariff plan "Institutional"Tariff plan "IPO/PO"
Transaction amount% of transaction amountNoteTransaction amount% of transaction amountNote
up to 100 mln inclusive0,65%

for institutional investors such as: commercial banks, insurance companies, investment funds and large corporate clients

up to 10 bn inclusive3%for issuers carrying out additional issue of shares to public and IPO but individual cases are negotiated by a separate agreement
from 100 mln to 100 bnfrom 0,55% to 0,25%from 10 bn to 100 bnот 2,5% до 1,5%
more than 100 bn0,15%more than 100 bn1%

 

The Company shall notify the Client of changes made to the Rates at least 10 (ten) calendar days before the entry into force of these changes by publishing the relevant information on the official website of the Investment intermediary.

Preliminary deposit of funds for transactions is carried out according to the following Special accounts for clearing transactions of Portfolio Investments LLC:

Bank: Main Operational Branch of the NB FEA RUz;
Bank Code (MFI): 00407
SWIFT CODE: NBFA UZ 2X
Special Account in National Currency (UZS): 22608,000 0049 8063 4001
Special Account in US Dollars (USD): 22,608,840 2,049,8,063,4001

When selling shares, an individual seller who requires transferring the proceeds from the sale to his/her bank account shall indicate to the Investment intermediary a Personal Account opened with any bank and a copy of the agreement drawn up between the bank and the client. (Note. The transfer is carried out only on balance accounts 20206 and 29801).

 

Sample of filling in a payment order
Recipient brokerPortfolio Investments LLC
Payee's bankMain operational department of the NB FEA RUz
Beneficiary account22608000004980634001
Bank code (MFI)00407
PayerFull name

 

Purpose of paymentTransaction amount

“Last name First name, AA (Passport series) No. 0000000 (Passport number), for exchange trading in accordance with the Agreement for No. 000 dated“ ___ ”_________ 20 ___ g.” *

9 999 999,99

 

  • The full name, series and number of the Passport, the number and date of preparation of the Agreement must be fully and accurately entered into the details (purpose of payment) when making the payment, to identify the Recipient when the funds are received in the Special Account. If the data is incorrect or it is impossible to determine the Recipient, the funds will be sent back to the account from which they arrived

 

RATES FOR CUSTODIAN SERVICES

SERVICES FOR WHICH A FEE IS TAKEN

No.Services listCost of services (% of the amount of the transaction / transaction with  securities)
1.Registration of transactions with securities on the unorganized OTC market: 
1.1When placing securities: 
 up to 1 bn0,4%
 from 1 bn to 10 bn0,2%
 more than 10 bn0,1%
1.2

upon circulation of securities, except donation

0,5%
1.3when donating securities5%
2Intra-depository transfers on custody accounts for all types of transactions: 
2.1when placing securities0,1%
2.2upon circulation of securities, except donation and inheritance of securities
0,5%
2.3upon donation and inheritance of securities
0,5%
3Transfer of securities: 
3.1as a pledge and return from the pledge, if the conditions of the pledge agreement are not fulfilled
0,5%
3.2in asset management, return from asset management0,6%
4Acceptance of securities by the issuer2 times the minimum wage

 

FREE OF CHARGE SERVICES

  1. Opening a custody account;
  2. Change of account details;
  3. Closure of custody account;
  4. Amendment of the description of securities;
  5. Amendment of the description of securities;
  6. Transfer on custody accounts when placing shares from a share of the labor collective of a privatized Issuer;
  7. Transfer of securities in custody accounts in case of corporate actions of the Issuer (splitting, consolidation, conversion, etc.);
  8. Transfer of securities on custody accounts upon liquidation and reorganization of the Issuer;
  9. Transfer of securities in custody accounts in connection with a change in the form of securities issue;
  10. Transfer of bonds from the investor's custody account to the Issuer's custody account for subsequent redemption;
  11. Inter-depositary write-off of securities for servicing to another II at the request of the client or upon termination of the contract with the Investment intermediary;
  12. Inter-depositary crediting of securities for servicing from another II at the request of the Client, based on the results of the transaction and upon conclusion of the contract *;
  13. Inter-depository write-off of securities for servicing to another II based on the results of an OTC transaction;
  14. Issue of a statement from the custody account;
  15. Blocking Securities;
  16. Unlocking Securities;
  17. Acceptance for storage of documentary securities, storage and accounting of rights to documentary securities;
  18. Removal from storage of documentary securities;
  19. Registration of uncertificated securities issue *;
  20. Deregistration of uncertified securities under a concluded agreement upon reorganization and liquidation of the Issuer;
  21. Deregistration of uncertified bonds under an agreement for their subsequent redemption;
  22. Issuance of a certificate based on the results of an administrative operation;
  23. Issuance of a historical statement on the movement of securities by the Issuer.

 

BASIC CONCEPTS, DESIGNATIONS AND TERMS OF APPLICATION OF TARIFFS:

"Investment intermediary" - Portfolio Investments LLC;

"another II" - another investment intermediaries;

"Clients" - individuals and legal entities using the services of an Investment intermediary;

"CD" - Central Securities Depository of the Republic of Uzbekistan;

"Issuer" - Joint-stock company or other legal entity issuing securities;

* only CD services are paid.

 

TARIFF APPLICATION CONDITIONS:

  1. These tariffs apply if a different cost of services is not provided for in contracts with clients of the Investment intermediary;
  2. Pensioners are served free of charge during administrative operations and in the provision of information services;
  3. Participants of the Great Patriotic War, the war in Afghanistan, liquidation of the consequences of the Chernobyl accident, disabled people of the 1st and 2nd groups are served for free;
  4. The tariff policy of the Investment intermediary is adjusted in accordance with changes in market conditions;
  5. Depending on the needs of the Client and the specification of his/her activities, the Investment intermediary may develop an individual tariff structure;
  6. The investment intermediary may make changes to these tariffs, including in connection with a change in the minimum wage, an increase in the price of consumables, holding special promotions to provide benefits, etc. Changes to tariffs are made unilaterally without agreement with the Client by publishing the relevant information in print and / or on the website of Portfolio Investments LLC;
  7. On the basis of the Clients' application for certain types of services, preferential tariffs may be applied, the amount of which is established by the Investment intermediary;
  8. Transfers to custody accounts when combining accounts, as well as upon the liquidation of an individual entrepreneur, are free of charge;
  9. Information at the request of the authorized state body (CMDA), the Central Securities Depository, judicial and other bodies in accordance with the legislation of the Republic of Uzbekistan is provided free of charge;
  10. Also, the list must comply with the minimum list of services established by Regulation No. 809.