CUSTODY
AND REGISTRAR

Questions & Answers

• How to transfer securities from a broker to a depositary, registrar, or another broker?

  You can submit a transfer order in one of three ways:

  • Via our mobile app (recommended),
  • By email to orders@roqcapital.am, attaching the completed Securities transfer order form,
  • At the company office.

• Are services available to non residents?

  Yes. Our services are available to non‑resident clients

• What is a custody service?

  Custody service ensures the safe holding, protection, and administration of a client’s securities. It helps prevent loss or misuse of assets and facilitates proper settlement, record‑keeping, and handling of dividends and corporate actions.

• What are the fees for custody services?

  Custody service fees are set according to the company’s tariff schedule and may include charges for securities maintenance, transaction services, statement issuance, and other related services. You can find the full list of fees here.

• What happens if the custodian fails?

  If a custodian fails, the client’s securities remain protected because they are held in segregated accounts under the client’s name and are not part of the custodian’s own assets. In such cases, the securities are transferred to another custodian or authorized institution according to regulatory procedures. Both international standards and local regulations ensure that client assets remain safe, accessible, and legally separated from the custodian’s financial obligations.

• What documents are required to open an account?

  The required documents depend on whether the client is an individual or a legal entity.

  For Individuals

  • Passport or other identification document
  • Social security number or equivalent (if available)
  • Completed application form
  • Document confirming the legal origin of funds
  • Proof of address (utility bill, bank statement, etc.)

  For Legal Entities

  • Copy of the charter or incorporation document
  • Document confirming taxpayer identification number
  • Document confirming authority of authorized persons
  • Proof of address for the Director and UBOs (utility bill, bank statement, etc.)
  • Latest audited financial statements

  For UBOs and Authorized Persons

  • Identification document
  • Proof of address

• What documents are required to sign a registry keeping and maintenance agreement (as an Account Operator)?

  To sign a registry‑keeping and maintenance (Account Operator) agreement, the following documents must be provided:

  • Charter or other incorporation documents
  • Certificate of state
  • Taxpayer identification number
  • Identification documents of the Director, UBO(s), and authorized persons (passport + SSN or ID card)
  • For sole proprietors: registration number and TIN or equivalent documents
  • Proof of residence and registration address (if not already indicated in other submitted documents)
  • Statement on the center of vital interests (if a UBO is a foreign national and the address is not confirmed elsewhere)
  • List of shareholders and their identification documents (passport photo page + address page, TIN, or ID card + proof of address)
  • Notarized power of attorney if an authorized representative is involved

  Additional Information

  • Bank details (bank name, account number)
  • Contact details (business address, phone, email)

• What are the fees for registry keeping services?

  The fees for registry‑keeping and maintenance services depend on the number of shareholders and range from AMD 10,000 to AMD 750,000. You can find the full tariff schedule here.