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Licensing procedure for obtaining prior permission to open a bank.
Individuals and legal persons.
ave.Uzbekistanskaya 6, Tashkent, the Central Bank of the Republic of Uzbekistan.
Shareholders, not later than one month after the signing of the memorandum submitted to the Central Bank an application for prior authorization to open a bank ( download form ) .The application shall be accompanied by the following documents:
1) Memorandum of Association ( in three copies, one of which is authentic ) , signed by the founders and certified by their seals ( if the founder is a private entrepreneur or legal entity) . Signatures of individuals and copies certified by the founding treaties notaries (except the sole founder) ;
2) the bank's charter , approved by the founders and signed by the chairman of the Board of the bank ( in triplicate );
3) protocol of the founding meeting in triplicate . This document should be a decision on the establishment of the bank, the amount of the share capital, approval of the charter and business plan , election of the Board , the Management Board and the Audit Commission. Copies of the minutes shall be certified by the Chairman of the Board;
4) documents containing the following information about the founders :
a) details of all the founders, Chairman of the Board approved by the bank;
b) founders - individuals: • information on persons holding one percent or more of the voting shares of the new bank and their close relatives ;
• additional information on persons holding five percent or more of the voting shares of the new bank;
• Additional tax return for the last two years on individuals (except for resident individuals involved in the authorized capital of a private bank ) owning ten percent or more of the voting shares of the new bank;
c) by the founders - legal entities :
• A copy of state registration and payment details ;
• the amount of capital contributions established bank (including the percentage of the total share capital) ;
• balance sheets for the past three years , including the last two reporting dates , certified by the tax authorities and the audit firm ;
• about the founders, owning five percent or more of the voting shares of the new bank - an additional copy of the certificate of state registration and payment details of each party involved in the authorized capital of the entity, as well as the size of their share ( in percentage terms );
• if in the authorized capital of the entity present a major party - an individual information about it ;
• information about the members of the Council and Board legal person - founder created bank .
g ) information on related persons :
• The following information about the founder - the physical ( legal ) person or close relatives of the founder - a natural person , legal entities that may affect the activities of an entity in connection with participation in the authorized fund or otherwise , as well as the proportion ( if any) of the founder - a legal entity in the authorized capital :
• A copy of state registration and payment details ;
• A list of the founders and the amount of contributions to the charter capital of the legal entity (including , as a percentage of the total share capital) ;
• information about the financial condition ( financial report , including information on issued bonds, loans and bank guarantees );
• surname , first name of the legal entity ;
5) about the founders, owning five percent or more of the voting shares of the new bank , additionally submit information on any legal sanctions imposed on them by a court or governmental authorities for the past five years prior to submission of the application . The Central Bank may , if necessary, request the information specified in this subparagraph , about the founders, who own less than 5 percent of the voting shares of the new bank.
6 ) a list of members of the Board of the bank to specifying the chairman and his deputies, as well as Chairman of the Board and other senior officials , including the form including information about previous work experience , education level , legal sanctions applied to them , as well as information confirming their compliance to the senior staff of the Central Bank .
7 ) The organizational structure of the bank;
8) provisions of the internal audit of the bank;
9) the bank's internal credit policy ;
10) business plan of the bank. It is necessary to reveal the strategy , direction , extent and financial prospects of the bank and other relevant data ;
11 ) notarized or otherwise certified document confirming the representative's authority to submit the application on behalf of the founders;
12 ) Provision for the investment policy of the bank. In the position of the investment policy of the bank, the bank approved by the Board , shall contain the following :
• strategy and investment objectives ;
• the types and forms of securities , planned for investment bank funds , the timing of investments;
• limiting the accumulation of shares by issuers of securities and their areas of activity;
• assessment of the safety and quality of contributions in securities;
• evaluation of the financial position and management experience of the securities issuer ;
• Implementation of investment diversification ;
13) provision for emission bank policy . In the position of the emission bank policy approved by the Board of the bank will be accounted for as follows:
• strategy and objectives of the note issue ;
• the types and forms of securities , planned for release by the bank , the timing issue ;
• maintaining liquidity and circulation of securities ;
• ensuring timely repayment of debt ;
14 ) a document confirming payment of the consideration of the application .
The minutes of the constituent assembly should be a decision on approval of the documents referred to in paragraphs 7-9 , 12 and 13 of this paragraph , as well as the election of the Chairman of the Council.
In summary, a personal balance sheet and business plan of the bank on all questions must be given full answers . Documents submitted in triplicate .
Resolution of the Central Bank of the Republic of Uzbekistan "On the procedure of registration and licensing of banks" from 08.10.2009 № 2014
Licensing authority for the issuance of a license a state duty. Dimensions collection and the state fee established by Cabinet of Ministers of the Republic of Uzbekistan.
Department of licensing in accordance with the requirements of this Regulation within one month, considering the documents submitted by the founders. Decision to grant a prior authorization is received not later than three months from the date of submission of the application with all necessary documents.
The licensing authority shall notify the licensee of the decision, to grant or refuse the grant of prior authorization for the creation of the bank after the decision.
On granting or denying a preliminary permission to open a bank.
The grounds for refusal of prior authorization for the registration and issuance of license to the bank is: • Submission of documents, not designed in a proper manner; • The presence of incorrect or distorted information submitted documents.
Decision to refuse to grant a license may be appealed to the court in accordance with legislation.