Regulation

Internal Rules

• Brokerage (dealer) activity rules

• Rules for securities porfolio management

• Rules for the provision of advisory services

• Rules for securities placement activities

• Rules for securities custody operations

• Rules for the activity of a member of the unified system of securities registration and settlement

• Regulation of the independent internal audit department

• Procedure for engaging a person to conduct an audit of financial and economic activities

• Regulation on establishing requirements for the company's internal control system

• Terms for identifying account holders and payment recipients for FATCA purposes

• Regulation on document circulation

• Risk disclosure

• Privacy Policy

• Tariff of charges for services provided by "ROQ Capital" OJSC