LICENSE

No РГ-03-217/05.05.2020

 

The Financial Supervision Commission, pursuant to Article. 17, paragraph 1 and Article 20,

paragraph 2 of the Markets in Financial Instruments Act (MFIA), Article 13, paragraph 1,

item 5 of the Financial Supervision Commission Act and Article 49, paragraph 1 of Ordinance

11 of 03.12.2003 on licenses to carry out activity as regulated market, organizer of

multilateral trading facility, investment intermediary, investment company, management

company and special investment purpose company, national investment fund and entity

 

managing an alternative investment fund, issued a license to

 

MK Brokers AD

with seat and management address:

 

Sofia 1000, Sredets region, 8 Tsar Osvoboditel Blvd. fl. 4

 

to carry out the investment services and activities under Art. 6, para. 2, item 1, 2, 4,5 and 7

of the MFIA, as follows:

- reception and delivery of orders in relation to one or more financial instruments;

- execution of orders on behalf of clients;

- portfolio management;

- investment consultations;

-. offering for initial sale of financial instruments without an unconditional and irrevocable

commitment for acquisition of the financial instruments for own account (placement of

financial instruments);

and the additional services under Article 6, para. 3, item 1-5 of the MFIA, as follows:

- safekeeping and administration of financial instruments for client account, including

custodianship and related services such as management of the received cash/provided

collateral;, except centralized securities account maintenance according to Section A, item 2

of the annex to Regulation (EU) No 909/2014 of the European Parliament and off the Council

of 23 July 2014 on improving securities settlement in the European Union and on central

securities depositories and amending Directives 98/26/EC and 2014/65/EU and Regulation

(EU) No 236/2012

- granting loans to investors for carrying out of transactions in one or more financial

instruments, provided that the entity granting the loan is involved in the transaction;

- advice to undertakings on capital structure, industrial strategy and related matters, as well as

advice and services relating to mergers and the purchase of undertakings;

- providing of services, related to foreign exchange services where these are connected with

the provided investment services;

 

- investment research and financial analysis or other forms of general recommendation

relating to transactions in financial instruments;

 

CHAIRMAN: (sgd. ill.)

BOYKO ATANASOV

Round seal of the Financial Supervision Commission

The license is issued on the basis of Decision No 789-ИП of 21.12.2005 and Decision No

264-ИП of 05.04.2006 of the Financial Supervision Commission and is reissued in view of a

change in the company’s name, according to a resolution of the General Meeting of

Shareholders of 18.02.2020.

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