Rioni Capital Documentation and Key Regulatory Requirements

Founding Documents

• Rioni Capital Charter 0.75 мб
• Founding Agreement 0.05 мб

Extract from Registry

• Extract from Public Registry 0.27 мб

Code of Ethics

• Code of Ethics 0.65 мб

Rioni Capital Policies

• Rioni Capital ANTI-CORRUPTION POLICY 0.38 мб
• POLICY on Best Execution of Client Orders 0.59 мб
• Rioni Capital Conflicts of Interest POLICY 0.43 мб
• PRICING POLICY of Brokerage Company Rioni Capital 0.46 мб
• Client Categorisation POLICY 0.51 мб
• POLICY on the Protection of Clients’ Personal Data 0.46 мб
• POLICY on Inactive Accounts and Accounts of Deceased Clients 0.43 мб
• AML & CTF POLICY 0.42 мб
• POLICY on the use of Cookies files 0.31 мб

Agreement and Regulations

• Agreement on the Provision of Brokerage Services 0.41 мб
• CLIENT SERVICE REGULATIONS of the Brokerage Company 0.85 мб
• CLIENT QUESTIONNAIRE – Physical Person 0.26 мб
• CLIENT QUESTIONNAIRE – Legal Entity 0.29 мб
• APPLICATION – Physical Person 0.26 мб
• THE RATES for Retail Clients 1.11 мб

Risk Disclosures

• DECLARATION on Risks Related to Investing in the Financial Market 0.31 мб
• DECLARATION on Risks Related to Day Trading and the Client’s Aggressive Market Strategy 0.28 мб
• DECLARATION on Risks Related to Electronic Trading and Routing of Client Orders 0.27 мб
• DECLARATION on Risks Related to Execution of Operations on the Foreign Exchange and Precious Metals Markets 0.27 мб
• DECLARATION on Risks Related to Combination of Different Types of Professional Activities 0.27 мб
• DECLARATION on Risks Related to Margin Trading 0.31 мб
• DECLARATION on Risks Related to the Provision of Investment Advisory Services 0.27 мб
• DECLARATION on Risks Related to Entering into Contracts on Various Derivatives 0.29 мб
• DECLARATION on Risks Related to the Execution of Securities Lending Transactions 0.27 мб
• NOTICE on Risks Related to the Recording of Client Assets Transferred as Collateral Together with Assets of Other Clients 0.26 мб
• NOTICE on Risks Related to the Use of Insider Information and Market Manipulation 0.29 мб

Annexes

• AGREEMENT on the Use of the “Personal Account” Software and Remote Client Services 0.46 мб
• AGREEMENT on the Use of Electronic Document Flow and Electronic Signatures 0.43 мб
• RULES for Conducting Margin Transactions 0.44 мб
• GLOSSARY Of The Brokerage Company Rioni Capital 0.45 мб
• Standard Customer Order Forms 0.64 мб
• LIST OF JURISDICTIONS Online-Onboarding Procedure 0.23 мб
• LIST OF DOCUMENTS Required for the Onboarding Procedure 0.27 мб
• INTERNALISATION RULES of Brokerage Company Rioni Capital 0.4 мб
• List of Regulatory Acts Governing the Activities of Rioni Capital Brokerage Company 0.24 мб
• PROCEDURE for Recognition of a Person as an Informed Investor 0.4 мб
• TERMS AND CONDITIONS for Participation in the Securities Lending Programme 0.45 мб

• Civil Code of Georgia
• Tax Code Of Georgia
• Law Of Georgia On Securities Market
• Law Of Georgia On Personal Data Protection
• Law Of Georgia On Facilitating The Prevention Of Money Laundering And The Financing Of Terrorism

• Organic Law Of Georgia On The National Bank Of Georgia
• Law Of Georgia On Electronic Commerce
• Organic Law Of Georgia On Economic Freedom
• Law Of Georgia On Electronic Documents And Electronic Trust Services
• Law Of Georgia On Holding Of Dematerialised Securities

• On the rules for licensing and regulation of brokerage companies*
• On additional regulation of brokerage companies engaged in trading high-risk financial instruments*
• On the rules for filling out and submitting reports by brokerage companies on the supervision of risks of money laundering and terrorist financing*
• On the procedure for recognizing a person as an Informed Investor*

• On nominal ownership of securities*
• On the unlawful disclosure of insider information, insider trading and market manipulation*
• On the rules for the public offering in Georgia of securities of issuers admitted to trading on stock exchanges of foreign countries*
• Guide to Assessing the Risks of Money Laundering and Terrorist Financing*