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Professional Help For Brokerage License in Georgia | Kaukapital

Get maximum help and assistance to obtain a brokerage license in Georgia. At Kaukapital, we also provide all types of documentation and application help.

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Professional Help For Brokerage License in Georgia | Kaukapital

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  1. Brokerage license

  2. Activities allowed: Providing direct consultations to investors on investments to clients, including issues concerning the price of securities, investment in securities, buying and selling of securities, as well as related foreign exchange transactions  Consulting on securities issuance and money arising services  Arranging and carrying out the distribution of the issuer's securities on a non-guaranteed basis  Receiving and transmitting clients orders in connection with securities, effecting transactions in securities for clients' accounts, with clients' funds  Managing clients' investment portfolios and funds allocated for operations in securities  Holding clients' investment funds and/or securities, providing safekeeping, custody and nominee services for securities  Effecting transactions in securities for their own account with their own funds(proprietary trading)  Arranging and carrying out the distribution of the issuer's securities on a guaranteed basis  Loaning securities to and borrowing securities from clients as well as using their own funds for the acquisition of securities for clients, engaging in short selling as defined in Commission regulations. 

  3. Requirements  Minimum capital 500 000 Gel within 1 year  Be registered under a JSC or LLC  Provide respective certificate from registry of companies to the NBG  Management of the company should present certificate of non-conviction  Information on the significant shareholder (10% and more)  Proof of payment of license fee  Audited financial statement of previous year or half year should be presented to the NBG or if company is newly founded (no more than 6 month has passed from the date of registration) company can provide only present financial statement (non-audited)

  4. Documents needed  Certificate of incorporation, memorandum and articles of the JSC or LLC  Criminal record on the last 10 years for every members of the board  Information about the applicant's and other members’ identity , who directly or indirectly own a significant share (10% or more), documents must be notarized and apostilled.  Last year or last half year financial statements or the current balance (show the minimum capital requirements).  Payment proof of the license  Time to get the license is 30 days after submitted all the documents and application

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