Membership
Trading members

 

 

Name of the member company Broker Dealer Underwriter Market maker Phone Address
1 Delger Khangai Securities UTsK 9090-4648,
9909-3482
Bayanzurkh district, 14th khoroo, Ulaanbaatar shopping center, 9th floor, room 907
2 Monsec UTsK 7015 3090 Chingeltei district, 2nd khoroo, Sambuu street, room 701
3 Bats UTsK 326042,
9911 1134
Sukhbaatar district, 1st khoroo, Olymp Street 8, Mongol-3000 apartment
4 Gauli UTsK 7015 3300 Sukhbaatar district, 8th khoroo, Student street, Sonor plaza, room 602
5 Zerged UTsK 367609,
9929 7779
Bayangol_district, 4th khoroo, 5th building, room 24
6 Bumbat Altai UTsK 99431202 Chingeltei_district 4th khoroo Khot Ail LLC 16/4 building, 2nd floor
7 Bulgan Broker UTsK 324449 Sukhbaatar district, 3rd khoroo, 5th district, 9/33
8 Golomt Capital UTsK 70121530, 80045151 Sukhbaatar_district, 1st khoroo, Chinggis avenue-24, “Park place” office building, 4th floor, rooms 403, 404
9 Undyr Khaan Invest UTsK
99081660 Chingeltei District, Ikh toiruu 15th street "Aerogeodesy" LLC, 3rd floor, room 301
10 Mongol Khuvitsaa UTsK 453941,
9919 0794
Bayanzurkh district, 14 khoroo, Namyanju street 47/1 building
11 Invescore Capital UTsK 7709 0077 Sukhbaatar District, 2nd khoroo, Seoul street, Twin Tower-1, 13th floor
12 Lifetime Investment UTsK 9999 6457 Bayanzurkh district, 1st khoroo, Youth avenue, "Royal" business center, 4th floor
13 TDB Capital UTsK 311914 Sukhbaatar district, Peace avenue 19, 14210, Trade and Development Bank
14 Hunnu Empire UTsK 7777-8881 Chingeltei District, 4th khoroo, Sambuu street, 16/4, Khot Ail office, room 34
15 Ard Securties UTsK 7707-8181,
7707-8282
Sukhbaatar district, Prime Minister Amar street, Ard holdings building, 2nd floor
16 Apex Capital UTsK 7510-7500 Sukhbaatar district, 8th khoroo, Great Chinggis khaan square-2, Central tower, 9th floor, room 903
17 National Securities UTsK 7709-7070 Sukhbaatar district 8th khoroo J.Batmunkh street Velox Center, 5th floor, room 503
18 Argai Best UTsK 99195753 Chingeltei_district 1st khoroo 2nd 40 thousand 1st place No. 33
19 Tavan Bogd UTsK 99089224 Chingeltei_district 5th khoroo Sukhbaatar street, 8/5 building, Peace building, 2nd floor, No. 201
20 Tavan Bogd Capital UTsK 72727282 Sukhbaatar_district 8th khoroo Sukhbaatar Square-16, Galleria Ulaanbaatar
21 Standard Investment UTsK 70114433 Bayangol_district 3rd khoroo Tuul Gol St., AutoHab Center, 1-2 floors
22 Novel Investment UTsK 70121616 Sukhbaatar_district 1st khoroo Shangri-La Office 2301

Membership Requirements 

Based on the requirements outlined in the relevant regulations of UBX and the set of documents attached to the application, the UBX will decide whether to accept the applicant as a member of the UBX. Applicants for membership must meet the following requirements and additional requirements set by the UBX from time to time.

An applicant to become a member of the Securities Exchange shall meet the following criteria.
1 Human resource At least 5
2 Share Capital • Broker - 100 million MNT
• Dealer - 200 million MNT
• Underwriter - 1 billion MNT
3 Technical capacity • The system can be connected over a network
• Meet the minimum requirements for server and PC network performance
4 General requirement • Requirements specified in 2.1 of Trading membership regulation of UBX

Membership application procedure

An individual wishing to become a member of the company shall be registered in two main stages. These include:

  1. An applicant who meets the relevant requirements of the “Ulaanbaatar Securities Exchange Membership Procedure” shall submit an application to become a member of the Exchange, and the Exchange shall review the relevant materials and send the user's name and password to the applicant, so then that individual will have the right to submit an application.
  2. The applicant shall submit the application using the provided username and password and attach the documents specified in the relevant regulations to the application.

The process of applying for membership in the Exchange and deciding the application:

  • If the Board of Directors of UBX has declined the membership application, that individual can apply again after 6 months.
Clearing Members

Clearing members shall be professional participants in the market and legal entity having participantship with the CCP, who has responsibilities to ensure that securities clearing and settlement procedures should be completed regularly and to mitigate credit risk. Clearing member could be one of the 2 types of memberships, a general clearing member who can handle settlement for other members and a direct clearing member who can conduct settlement for itself.

Currently, the following members that signed membership contract with the Exchange operate:

General clearing member Kharz Trade NBFI LLC, Neren Clearing LLC
Direct clearing member Bumbat-Altai LLC, Ard Securities LLC, National Securities LLC

Admission Criteria for Clearing Member

An applicant to become a clearing member of the Securities Exchange shall meet the following criteria
1 Should be a legal entity that operates under the law of Mongolia
2 Meet the requirements and criteria set out in the relevant laws and regulations of the Financial Regulatory Commission
3 Have adequate human resources, financial and technical capacity to operate clearing and settlement operations 
4 Have an ability to develop and implement risk management plans
5 An account must have been opened at the Settlement bank that has entered into an agreement with the CCP
6 Have the ability to deploy collateral and margin, in accordance with the regulations of the Risk Reserve and other relevant documents

 

Clearing membership document

Documents Attachment № Description Information channel
Online form Paper form
Account Membership Application Attachment 4 Тийм
Central Clearing Membership Agreement Attachment 1 A template Тийм
Clearing Service Agreement Attachment 2 A template Тийм
Settlement Agreement Attachment 5 Тийм

 

Clearing membership application

If you are interested in becoming a clearing member of the Ulaanbaatar Securities Exchange, please click here.

Phone: +976-7000-0501, +976-7000-0502

The compliance adviser

The compliance adviser is responsible for engraining the securities issuing company and its compliance with the law and regulations. Accordingly, we require security issuers’ to have a contract with the compliance adviser for at least one year after listing on the stock exchange, which has the advantage of streamlining the company's operations and providing timely information about the company to investors.

 

Name of compliance advisers Contact number Email Web page
Legal compliance advisers
1 “Anderson & Anderson” LLP 70119339 anderson.mongolia@anallp.com anallp.com
2 “LehmanLaw Mongolia” LLP 11-327810 alkhagvaa@lehmanlaw.com lehmanlaw.mn
3 “Melville Erdenedalai” LLP 70128900 contact@melvilledalai.com melvilledalai.com
4 "Bez Partner Law firm” LLC 99994739 zagdaa@bezpartners.mn
5 “Zaya & Zoloo Law firm” LLC 70000809 zayalawzoloo@gmail.com zzlawfirm.mn
6 “ELC Law firm” LLC 77118193, 77118194 Info@elclawoffice.mn elclawoffice.mn
7 “Mongol Advocates” LLC 77119206 info@advocate.mn advocate.mn
8 “Advoncacy Consulting Partners” LLC 99115492 enkhtur2005@yahoo.com
9 “Snow Hill Consultancy” LLC 77003010, 80044850 info@snowhill.mn snowhill.mn
10 “KhanLex Partners” LLC 77471122 info@khanlex.mn khanlex.mn
11 “MDS KhanLex" LLC
12 “MJL Attorneys” LLC 70129665 info@mjlattorneys.mn mjlattorneys.mn
Financial compliance advisers
1 “Account Trust Audit” LLC 99130778 nrntstsg@yahoo.com
2 “Akpar Audit” LLC 91919758 akpar.audit@gmail.com
3 “BDO Audit” LLC 77404040, 80088786 info@bdo.mn bdo.mn
4 “Golden Page Audit” LLC 70117179, 99170900 info@goldenpageaudit.mn goldenpageaudit.mn
5 “Growth Finance Audit” ХХК 99094391, 99194341 info@growthfinance.mn growthfinance.mn
6 “Dulguun Khairkhan-uul Audit” LLC 99055711, 99178026 erdene.263038@gmail.com
7 “Info Audit” LLC 70159511, 99049511 medeelelaudit@gmail.com
8 “New Capital Balance Audit” LLC 70582688, 99992596 ts_bayarbold@yahoo.com
9 “Ulziit Account Audit” LLC 70130460, 99109702 auditulziit@gmail.com
10 “CSI Audit” LLC 70001981, 99096584 csi_sevjee@yahoo.com
11 “Suld Audit” LLC 70118016, 99114056 info@suld-audit.mn suld-audit.mn
12 “Ted Audit” LLC 99190483 tedaudit96@gmail.com
13 “Uliastai Van Audit” LLC 70157405, 99097405 uliastaivanaudit@ubaudit.mn ubaudit.mn
14 “Fiscal Audit” LLC 70106099, 99991914 audit@fiscal.mn fiscal.mn
15 “Khulegtkhunnu Audit” LLC 701405058 99100064 gurragchaa@hulegthunnu.mn
16 “Shine Ikh Terbum Audit” LLC 70114144, 99199075 ikhterbum@gmail.com
17 “SM Audit” LLC 99996778 shagjsuvd@gmail.com

Request to work as compliance advisories

Requirements for compliance advisories

  1. To be a legal entity operating based on obtaining a license from the Commission in accordance with Article 24.1.15 or 24.1.17 of the Securities Market Law.
  2. Have a lawyer who has passed the lawyer bar and an auditor licensed to conduct auditing activities, regardless of the main field of activity.

If you want to work as a supplier, please fill in the information below and send it to listing@ubx.mn.

  1. Brief introduction of legal entity
  2. Application for registration in the list of compliance advisory
  3. Copies of licenses and other relevant materials required for professional activities