Article 5. Subjects of the securities market The Law on the Securities Market

Home / RLA / Article 5. Subjects of the securities market The Law on the Securities Market

1. The subjects of the securities market are individual and institutional investors, issuers, professional participants in the securities market, bidders and professional organizations.

1-1. Professional participants in the securities market have the right to collect copies of identity documents of non-residents for the purposes provided for by this Law.

2. Individual investors invest in equity securities and other financial instruments independently or using the services of professional securities market participants who have licenses to carry out brokerage and dealer activities or investment portfolio management activities.

3. Institutional investors make investments using the services of professional securities market participants who have licenses to carry out investment portfolio management activities, except in cases established by the laws of the Republic of Kazakhstan.

The Law of the Republic of Kazakhstan dated July 2, 2003 No. 461.

 This Law regulates public relations arising in the process of issuing, placing, circulating and redeeming equity securities and other financial instruments, the specifics of the creation and operation of securities market entities, defines the procedure for regulating, controlling and supervising the securities market in order to ensure the safe, open and effective functioning of the securities market, and the protection of investors' rights. and holders of securities, fair competition of securities market participants.

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