Investment Banking Credit Suisse Securities (Moscow)

Credit Suisse Securities (Moscow)

Welcome to Credit Suisse Securities (Moscow)

  • General information
Full name in Russian

Общество с ограниченной ответственностью «Кредит Свисс Секьюритиз (Москва)»

Abbreviated name in Russian

ООО «Кредит Свисс Секьюритиз (Москва)»

Full name in English

Limited Liability Company "Credit Suisse Securities (Moscow)"

Abbreviated name in English

LLC "Credit Suisse Securities (Moscow)"

Tax Identification Number

7705183980

Address

Russia, 125009 Moscow, Romanov per., 4, bld. 2

Phone

+7 495 967 8200

Fax

+7 495 967 8210

E-mail

moscow.reception@credit-suisse.com

Management

General director – Monakhov Sergei Vladimirovich

Branches and representative offices

LLC "Credit Suisse Securities (Moscow)" doesn't have branches or representative offices

Membership in self-regulated associations

LLC "Credit Suisse Securities (Moscow)" is a member of National Association of Securities Market Participants (NAUFOR).

Information on standards of self-regulated associations applicable to us

Our company is governed by the following standards of NAUFOR that are available here: www.naufor.ru

Disclosure


Here we publish the capital ratio in accordance with the Federal Financial Markets Service (FFMS) order dd. February 11, 2010 #10-7/pz-n On the procedure and term for professional participants in the securities market, management companies of investment companies, mutual funds and non-state pension funds to disclose information on  the capital ratio on the Internet.

Information about risks associated with uncovered positions

LLC "Credit Suisse Securities (Moscow)" hereby informs its customers about the risks associated with  uncovered positions.

An unsecured position is one where the client has no required securities or funds in its account to settle the transaction and utilizes cash or borrowed securities from the broker or plans to purchase securities on the market after the initial sale.

Such uncovered transactions can lead to significant losses and are subject to a number of risks.

General Risks

Liquidity risk difficulties to sell or purchase the security at an expected price at a certain moment in time.
Price risk associated with a sudden change in prices for a particular security.
Interest rate risk the risk of losses that may be incurred as a result of negative changes in interest rates.
Currency risk the risk of losses due to adverse changes in exchange rates.
The risk of issuer  bankruptcy the possibility of insolvency of the Issuer, which will lead to a sharp drop in prices of issued securities.
Counterparty credit risk the risk of loss due to nonfulfillment or delay in fulfillment of a counterparty’s obligations.
Operational (technical) risk the probability of direct or indirect losses caused by the malfunction or inadequacy of information systems, imperfection of securities market infrastructure, operations technology, management procedures, accounting and control, dishonesty of personnel as well as external events.

Special risks

Risk of unlimited losses caused by the sale of securities without coverage. The risk of an increase in prices of a security required for the final settlement of a transaction. The current market value of securities may considerably exceed the cost at initial sale.
Risk of dividends payment

when selling uncovered securities, the obligation to pay compensation of the full amount of declared dividends may occur. The amount of such compensation will be deducted automatically and without further notice as per the standard terms of the brokerage services agreement. Such obligation to pay compensation for dividends may adversely affect the financial result.

The risk of loss of control lack of appropriate controls can lead to the forced reduction or closure of positions, thereby increasing  the risk of losses.

License for broker's activities (PDF)
No. 045-12077-100000
License issued on: 17.03.2009
Term of validity: unlimited
Types of licensed activity: broker's activities

License for dealer's activities (PDF)
No. 045-12080-010000
License issued on: 17.03.2009
Term of validity: unlimited
Types of licensed activity: dealer's activities

Registered with Interdistrict Inspectorate of the Russian Ministry for Taxes and Levies No. 39 for Moscow on 10.11.2002 under main statutory registration number 1027739518927 (PDF)

Certificate of the records' change with the Unified State Register of the legal entities (change of the legal entity name). Registered with Interdistrict Inspectorate of the Russian Ministry for Taxes and Levies No. 46 for Moscow on 23.07.2008 under main statutory registration number 1027739518927 (PDF)

This information is disclosed pursuant to FSFM Order No. 05-77/pz-n dated 08.12.2005 "On Approval of the Regulation on Requirements for the Conduct of Financial Market Operators when Using Electronic Documents" (as amended).

Credit Suisse Securities (Moscow) OOO uses the following electronic document management systems ("EDMS"):

RTS EDMS. Electronic document management services are provided in accordance with the Agreement on the Use of Electronic Digital Signatures in the RTS EDMS. For the full text of the Agreement on the Use of Electronic Digital Signatures in the RTS EDMS, please see RTS web-site ( www.rts.ru).

MICEX EDMS. Electronic document management services are provided in accordance with the Agreement on Participation in the EDMS and the Rules of Electronic Document Management. For the full text of the Agreement on Participation in the EDMS and the Rules of Electronic Document Management, please see MICEX web-site ( www.micex.ru).

List of Insider Information of LLC
"Credit Suisse Securities (Moscow)"* 

1. The insider information of LLC "Credit Suisse Securities (Moscow)" as a professional participant of the securities market carrying on transactions with financial instruments on behalf of its clients includes the following information, when received from clients:

1.1. the contents of clients' executable instructions for securities transactions, when the execution of such instructions may have a material impact upon the prices of the securities involved, if such securities are admitted to organised trading or an application on admission of such securities to organised trading was submitted;
 
1.2. the contents of clients' executable instructions to enter into any contracts that represent:

  • derivative financial instruments, when the execution of such instructions may have a material impact upon the prices of the securities involved, if such securities are admitted to organised trading or an application on admission of such securities to organised trading was submitted;
  • derivative financial instruments, which the underlying asset is a commodity, when the execution of such instructions may have a material impact upon the prices of the commodity involved, if such securities are admitted to organised trading or an application on admission of such securities to organised trading was submitted.

2. In any instructions such as those mentioned in Par. 1 above, received from clients and due for execution, the information deemed "insider information" includes the details of the prices and amounts (quantities) of securities, foreign currency, commodity or contracts that represent derivative financial instruments, and of acts that are to be performed for such instructions to be executed, namely: acquisition (purchase) or divestiture (sale), or conclusion of a contract(s) that represents a derivative financial instrument.

* This information is being disclosed pursuant to Par. 4, Art. 3 of Federal Law No. 224-FZ of 27 July 2010 "On the Prevention of the Unlawful Use of Insider Information and of Market Manipulation, and On Changes to Selective Laws of the Russian Federation".

  • According to the Bank of Russia dated December 28, 2015 No. 3921-this section provides information on technical failures in the automated systems of the company that caused the termination (limitation) of operability of such systems, which led to the inability to carry out activities of professional participant of the securities market in respect of all clients of the professional participant of the securities market for one hour at a time.

A list of clearing houses with whom the broker has entered into contracts for the provision of clearing services

Non-Bank credit organization closed joint stock company "national settlement Depository"

Non-Bank credit organization closed joint stock company "national settlement Depository"

The list of organizers of trading where the broker is a participant

Closed joint-stock company "Stock exchange MMVB"

The list of credit institutions in which the broker open a special brokerage account

N/A
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