Information disclosure
Information and documents disclosed by Broker Asia Capital LLC as a professional securities market participant. The structure of this section follows the list in the Appendix to Bank of Russia Directive No. 6496-U.
Professional securities market participant licence for broker activity No. 045-14292-100000, issued by the Bank of Russia on 18.03.2026 with no expiry date. Bank of Russia decision
Section I
Information about the professional participant
| No. | Disclosed item | Details | Date of publication | Period of relevance |
|---|---|---|---|---|
| 1.1 | Full, short and foreign-language name | Limited Liability Company Broker Asia CapitalShort name: Broker Asia Capital LLC. No foreign-language name has been established. | 19.03.2026 18:33 | from 30.09.2025 to date |
| 1.2 | Licence number and date of issue | No. 045-14292-100000 for broker activity, issued by the Bank of Russia on 18.03.2026, with no expiry dateBank of Russia decision on the issue of the licence | 19.03.2026 18:33 | from 18.03.2026 to date |
| 1.3 | Taxpayer number (INN) | 9714081499KPP 771401001 | 19.03.2026 18:33 | from 30.09.2025 to date |
| 1.4 | State registration number (OGRN) | 1257700431493Entry made on 30.09.2025 by Interdistrict Inspectorate of the Federal Tax Service No. 46 for Moscow | 19.03.2026 18:33 | from 30.09.2025 to date |
| 1.5 | Address within the place of location | 125252, Moscow, Khoroshevsky municipal district, Khodynsky boulevard 11, unit 4/1 | 19.03.2026 18:33 | from 30.09.2025 to date |
| 1.6 | Telephone number, fax | +7 495 374-61-21Fax is not used | 03.08.2026 15:00 | from 31.07.2026 to date |
| 1.7 | Official websites and social media accounts where services are offered | Official website: asia-capital.ruNo other websites, pages or accounts in social networks and messengers are used to offer services. | 19.03.2026 18:33 | from 18.03.2026 to date |
| 1.8 | Email address | info@asia-capital.ru | 19.03.2026 18:33 | from 18.03.2026 to date |
| 1.9 | Bank details of the settlement account for payment by clients of the costs of producing documents in hard copy | No fee is charged for making copies. | 19.03.2026 18:33 | from 18.03.2026 to date |
| 2 | Information on persons in the management bodies, on the controller and the head of the risk management unit | Sole executive body: the information is not disclosed on the basis of the Decision of the Board of Directors of the Bank of Russia dated 09.12.2025Controller: the information is not disclosed on the basis of the Decision of the Board of Directors of the Bank of Russia dated 09.12.2025Head of the risk management unit: the information is not disclosed on the basis of the Decision of the Board of Directors of the Bank of Russia dated 09.12.2025Board of directors, collegial executive body: not provided for by the charter, not formed. | 19.03.2026 18:33 | from 18.03.2026 to 31.12.2026 |
| 7 | Membership in a self-regulatory organisation | National Association of Securities Market Participants (NAUFOR), since 20.05.2026naufor.ru | 25.05.2026 10:45 | from 20.05.2026 to date |
| 8 | Branches and representative offices | No branches or representative offices have been established none | 19.03.2026 12:00 | from 19.03.2026 to date |
| 9 | Places where agreements are concluded and documents are accepted | 125252, Moscow, Khodynsky boulevard 11, unit 4/1Business hours: working days from 10:00 to 18:00 Moscow time. Documents are accepted and the brokerage agreement is concluded at the address above.Documents in electronic form: info@asia-capital.ru | 21.05.2026 18:10 | from 21.05.2026 to date |
| 10 | Persons engaged to accept documents and conclude agreements (agents, attorneys) | None engaged none | 19.03.2026 12:00 | from 19.03.2026 to date |
Section II
Licence status
This information is disclosed upon occurrence of the relevant event. As at the current date no such events have occurred.
| No. | Disclosed item | Details | Date of publication | Period of relevance |
|---|---|---|---|---|
| 3 | Information on suspension of the licence | no suspension of the licence | 19.03.2026 12:00 | from 19.03.2026 to date |
| 4 | Information on resumption of the licence | no resumption of the licence | 19.03.2026 12:00 | from 19.03.2026 to date |
| 5 | Information on filing an application with the Bank of Russia for cancellation of the licence | not filed | 19.03.2026 12:00 | from 19.03.2026 to date |
| 6 | Information on cancellation of the licence due to breach of law | no cancellation of the licence | 19.03.2026 12:00 | from 19.03.2026 to date |
| · | Other types of professional activity | Depository activity and securities management (trust management) are not carried out noneThe relevant licences have not been issued by the Bank of Russia. The company holds a licence for broker activity No. 045-14292-100000. | 19.03.2026 12:00 | from 19.03.2026 to date |
Services
Services
Documents and information relating to the services provided.
| No. | Disclosed item | Details | Date of publication | Period of relevance |
|---|---|---|---|---|
| 11 | Standards of the self-regulatory organisation applied by the professional participant | In carrying out its activity on the securities market, Broker Asia Capital LLC applies the mandatory standards in force of the National Association of Securities Market Participants (NAUFOR). | 25.05.2026 10:45 | from 25.05.2026 to date |
| 12 | Model agreements (form of the application for accession) | to be published | - | - |
| 13 | Regulations (terms) of service provision | to be published | - | - |
| 14 | Document setting out the procedure for the exchange of electronic documents | to be published | - | - |
| 15 | Procedure for recognising a person as a qualified investor | PDF Regulations on the recognition of persons as qualified investors of LLC Broker Asia CapitalA new version of the Regulations on the recognition of persons as qualified investors of LLC Broker Asia Capital comes into force on 31.08.2026. The document has been amended editorially in accordance with the requirements of Bank of Russia Directive No. 7402-U dated 29.06.2026. | 25.08.2026 14:00 | from 31.08.2026 to date |
| 29 | Software used for interaction with the client | to be published | - | - |
| 30.1 | Type of broker licence: the right or the prohibition to use client funds in its own interests | The right to use client funds in its own interests is not provided forThe brokerage agreement does not provide for the right to use in its own interests client funds held in the special brokerage account. | 19.03.2026 12:00 | from 19.03.2026 to date |
| 30.2 | Brokers with which a brokerage agreement has been concluded | No brokerage agreements with other brokers have been concluded none | 19.03.2026 12:00 | from 19.03.2026 to date |
| 30.3 | Clearing organisations with which an agreement has been concluded | No agreements with clearing organisations have been concluded none | 19.03.2026 12:00 | from 19.03.2026 to date |
| 30.4 | Trade organisers that admitted the broker to organised trading | Admission to organised trading has not been obtained none | 19.03.2026 12:00 | from 19.03.2026 to date |
| 30.5 | Suspension of admission to organised trading | no suspension of admission | 19.03.2026 12:00 | from 19.03.2026 to date |
| 30.6 | Suspension of admission to clearing services | no suspension of admission | 19.03.2026 12:00 | from 19.03.2026 to date |
| 30.7 | Credit institutions where special brokerage accounts are opened | No special brokerage accounts have been opened none | 19.03.2026 12:00 | from 19.03.2026 to date |
Other activity
Activity of the bondholders representative
| No. | Disclosed item | Details | Date of publication | Period of relevance |
|---|---|---|---|---|
| · | Activity of the bondholders' representative | There are no bond issues in which the company acts as the bondholders' representative noneThe company was included in the list of persons carrying out the activity of bondholders' representatives on 18.05.2026. Bank of Russia list | 18.05.2026 12:00 | from 18.05.2026 to date |
Reporting
Financial statements
| No. | Disclosed item | Details | Date of publication | Period of relevance |
|---|---|---|---|---|
| 16 | Annual accounting (financial) statements and the auditor's report | The disclosure deadline has not yet comeThe company was registered on 30.09.2025. The first reporting year is 2026: the statements and the auditor's report will be disclosed within the established period after it ends. | 19.03.2026 12:00 | from 19.03.2026 to date |
| 17 | Interim accounting (financial) statements | Interim accounting statements as at 30.06.2026PDF Open document | 04.08.2026 10:00 | from 30.06.2026 to date |
| Interim accounting statements as at 31.03.2026PDF Open document | 04.05.2026 17:50 | from 31.03.2026 to date | ||
| 18 | Annual consolidated financial statements | not prepared not applicableThere are no grounds for preparing consolidated statements. | 19.03.2026 12:00 | from 19.03.2026 to date |
| 19 | Interim consolidated financial statements | not prepared not applicable | 19.03.2026 12:00 | from 19.03.2026 to date |
Reporting
Own funds and ownership structure
| No. | Disclosed item | Details | Date of publication | Period of relevance |
|---|---|---|---|---|
| 20 | Information on the structure and composition of shareholders (participants), including persons controlling or significantly influencing the professional participant (form 0420402) | The information is not disclosed on the basis of the Decision of the Board of Directors of the Bank of Russia dated 09.12.2025 | 19.03.2026 18:33 | from 18.03.2026 to 31.12.2026 |
| 21 | Calculation of own funds (form 0420413) | Calculation of own funds as at 31.07.2026PDF Open document | 21.08.2026 17:40 | from 31.07.2026 to date |
| Calculation of own funds as at 30.06.2026PDF Open document | 29.07.2026 10:10 | from 30.06.2026 to date | ||
| Calculation of own funds as at 31.05.2026PDF Open document | 19.06.2026 11:10 | from 31.05.2026 to date | ||
| Calculation of own funds as at 30.04.2026PDF Open document | 21.05.2026 18:10 | from 30.04.2026 to date | ||
| Calculation of own funds as at 31.03.2026PDF Open document | 22.04.2026 16:10 | from 31.03.2026 to date |
Events
Complaints, disputes and technical failures
| No. | Disclosed item | Details | Date of publication | Period of relevance |
|---|---|---|---|---|
| 22 | Occurrence of a technical failure | no technical failures | 19.03.2026 12:00 | from 19.03.2026 to date |
| 23 | Elimination of a technical failure | - | 19.03.2026 12:00 | from 19.03.2026 to date |
| 24 | Occurrence of circumstances preventing access to the disclosed information | no such circumstances have occurred | 19.03.2026 12:00 | from 19.03.2026 to date |
| 25 | Elimination of circumstances preventing access to the disclosed information | - | 19.03.2026 12:00 | from 19.03.2026 to date |
| 26 | Court disputes exceeding 10 % of the book value of assets | no court disputes | 19.03.2026 12:00 | from 19.03.2026 to date |
| 27 | Information on bankruptcy proceedings | no bankruptcy proceedings | 19.03.2026 12:00 | from 19.03.2026 to date |
| 28 | Ways to submit enquiries and complaints | An enquiry may be sent: to 125252, Moscow, Khodynsky boulevard 11, unit 4/1; by email to info@asia-capital.ru; or handed in person at the office on working days from 10:00 to 18:00.Time limit for review: no more than 15 business days from the date of receipt. The reply is sent by the same means through which the enquiry was received, unless another means is specified in the enquiry.An enquiry may also be sent to NAUFOR and to the Bank of Russia online reception. | 19.03.2026 18:33 | from 18.03.2026 to date |
Documents
Internal policies and other documents
Documents published in addition to the list in the Appendix to Directive 6496-U.
| No. | Disclosed item | Details | Date of publication | Period of relevance |
|---|---|---|---|---|
| · | Information document on services | version in forcePDF Open document | 19.03.2026 18:33 | from 18.03.2026 to date |
| · | Risk declarations | 6 appendices, version in forcePDF Appendices 1 - 6 | 19.03.2026 18:33 | from 18.03.2026 to date |
| · | Policy on trading operations at the client's expense | version in forcePDF Open document | 20.07.2026 12:30 | from 20.07.2026 to date |
| · | List of insider information | version in forcePDF Open document | 19.03.2026 18:33 | from 18.03.2026 to date |
| · | Criteria for identifying tax non-residents | version in forcePDF Open document | 19.03.2026 18:33 | from 18.03.2026 to date |
| · | Personal data processing policy | to be published | - | - |
| · | Conflict of interest management policy | to be published | - | - |
| · | Brokerage service fees | to be published | - | - |
Archive
Archive of previous versions
Information and documents that are no longer current, with the period during which they were in force.
| No. | Disclosed item | Details | Date of publication | Period of relevance |
|---|---|---|---|---|
| 15 | Procedure for recognising a person as a qualified investor | PDF Regulations on the recognition of persons as qualified investors of LLC Broker Asia CapitalA new version of the Regulations on the recognition of persons as qualified investors of LLC Broker Asia Capital came into force on 19.08.2026. The document was amended editorially in accordance with the requirements of Bank of Russia Directive No. 7060-U dated 21.05.2025. | 18.08.2026 15:20 | from 19.08.2026 to 30.08.2026 |
| 1.6 | Telephone number, fax | +7 903 145-66-44Fax: +7 906 750-75-92 | 19.03.2026 18:33 | from 18.03.2026 to 30.07.2026 |
| 15 | Procedure for recognising a person as a qualified investor | PDF Regulations on the recognition of persons as qualified investors of LLC Broker Asia CapitalVersion in force from 26.03.2026 to 18.08.2026. Superseded by the new version effective 19.08.2026. | 26.03.2026 18:20 | from 26.03.2026 to 18.08.2026 |