DECISION OF THE NATIONAL COMMISSION ON SECURITIES AND STOCK MARKET OF UKRAINE

of September 14, 2017 No. 691

About modification of some regulatory legal acts of the National commission on securities and the stock market on application of seals

According to Item 13 of article 8 of the Law of Ukraine "About state regulation of the security market in Ukraine", to the Law of Ukraine of March 23, 2017 No. 1982-VIII "About modification of some legal acts of Ukraine concerning use of seals by legal entities and physical persons - entrepreneurs", to the Law of Ukraine of November 26, 2015 "About introduction of amendments to the Law of Ukraine "About state registration of legal entities and physical persons entrepreneurs" and some other legal acts of Ukraine on decentralization of powers on state registration of legal entities, physical persons entrepreneurs and public forming "the National commission on securities and the stock market SOLVED No. 835-VIII:

1. Approve Changes in some regulatory legal acts of the National commission on securities and the stock market on application of seals which are applied.

2. To provide to department of methodology of regulation of professional participants of the security market (I. Kurochkin) submission of this decision on state registration in the Ministry of Justice of Ukraine.

3. To provide to department of information technologies (E. Fomenko) promulgation of this decision on the official website of the National commission on securities and the stock market.

4. (A. Yushkevich) to provide to management of international cooperation and communications publication of this decision in the official printing publication of the National commission on securities and the stock market.

5. This decision becomes effective from the date of its official publication.

6. Control over the implementation of this decision to assign to the member of the National commission on securities and the stock market A. Panchenko.

Approved by the Decision of the National commission on securities and the stock market of Ukraine of September 14, 2017 No. 691

Changes in some regulatory legal acts of the National commission on securities and the stock market on application of seals

1. In Regulations on order of registration of release of investment certificates of investment fund and information on their release approved by the decision of State commission on securities and the stock market of January 15, 1998 No. 8 (with changes):

Item 1.13 of Section 1 to exclude 1);

2) in Item 2.1 of Section 2:

in the subitem "v" of the word "notarized" shall be replaced with words "certified by the authorized person of the issuer";

in the subitem "d" of the word "and seal" to exclude;

in the subitem "e" of the word "notarized" shall be replaced with words "the issuer assured by the authorized person";

in subitems "zh" - "and" words "notarized" shall be replaced with words "the issuer assured by the authorized person";

subitem in paragraph nine "і" shall be replaced with words the words "and issuer's seal" "and the authorized signature of the issuer";

in the paragraph the thirteenth the subitem "m" of the word "also it is assured him by seal" to exclude;

In paragraph one of Item 3.2 of Section 3 of the word "also it is certified by seals of the issuer and investment managing director" to exclude 3);

4, of the 5th Item 4.1 of Section 4 of the word "notarized" shall be replaced with words 4) in subitems "certified by the authorized person of the issuer";

To exclude 5) in the subitem 7 of Item 5.1 of Section 5 of the word "and seal";

1, 2 letters "L. S." to exclude 6) in appendices.

2. In Regulations on order of registration of release of investment certificates of investment company and information on their release approved by the decision of State commission on securities and the stock market of January 15, 1998 No. 8 (with changes):

Item 1.13 of Section 1 to exclude 1);

2) in Section 2:

in the subitem "d" of the word "and seal" to exclude;

in paragraph ten of the subitem "i" of the word "and issuer's seal" shall be replaced with words "and the authorized signature of the issuer";

in the paragraph the twelfth the subitem "l" of the word "also it is assured him by seal" to exclude;

To exclude 3) in Item 3.2 of Section 3 of the word "also it is assured him by seal";

4, of the 5th Item 4.1 of Section 4 of the word "notarized" shall be replaced with words 4) in subitems "certified by the authorized person of the issuer";

To exclude 5) in the subitem 6 of Item 5.1 of Section 5 of the word "and seal";

1, 2 letters "L. S." to exclude 6) in appendices.

3. In Regulations on the procedure for cancellation of registration of release (releases) for investment certificates of investment fund (investment company) approved by the decision of State commission on securities and the stock market of November 05, 1999 No. 229, registered in the Ministry of Justice of Ukraine on December 17, 1999 for No. 881/4174 (with changes):

1) in Item 2.1 of Section 2:

in the subitem "an" of the word "and certified by seal of investment fund" to exclude;

in subitems "b", "e" of the word "and seal of society (applicant)" to exclude;

in the subitem "d" of the word "and seal" to exclude;

in the subitem "є" to exclude the words "and seal of society (applicant)", "and seal";

2) in appendices:

in appendix 1 of the word "seal of society" to exclude;

in appendices 2, to exclude 3 letters "L. S.

4. In Regulations on the evaluation procedure of net assets value of investment funds and mutual funds of investment companies approved by the decision of State commission on securities and the stock market of March 18, 2002 No. 104, registered in the Ministry of Justice of Ukraine on April 24, 2002 for No. 392/6680:

1) in Section 4:

in Item 4.1 of the word "and certified by the managing director's seal" to exclude;

in Item 4.2:

state subitem 4.2.1 in the following edition:

"4.2.1. Certificate of value assessment of net assets (appendix 1).

When carrying out regular value assessment of net assets the certificate of value assessment of net assets is constituted on 01 dates, following the accounting period, signed by the head of the investment managing director, the head of depositary (keeper) and/or the head of investment company.

When carrying out systematic value assessment of net assets of the certificate of value assessment of net assets are signed by the head of the investment managing director and/or the head of investment company.";

in subitem 4.2.2 of the word "also it is certified by seal of the investment managing director, seal of depositary (keeper) and/or seal of investment company" to exclude;

in subitem 4.2.5 of the word "also are certified by seal of the investment managing director and/or seal of investment company" to exclude;

in paragraph five of Item 4.3 of the word "seal and" to exclude;

exclude Item 4.4;

To exclude 2) in appendices 1-4 of the letter "L. S.

5. In Regulations on the procedure for determination of net value of assets of the pension fund approved by the decision of State commission on securities and the stock market of August 11, 2004 No. 339, registered in the Ministry of Justice of Ukraine on January 25, 2005 at No. 96/10376 (in edition of the decision of the National commission on securities and the stock market of February 28, 2012 No. 333):

Item 4 of the Section VI to exclude 1);

To exclude 2) in appendix of the letter "L. S.

6. In Licensed conditions of implementation of professional activity in the security market - activities for management of mortgage covering, No. approved by the decision of the National commission on securities and the stock market of February 07, 2012 235, registered in the Ministry of Justice of Ukraine on February 28, 2012 for No. 328/20641 (with changes):

Item 3 of the Section I to exclude 1);

2) in the Section III:

in paragraphs three, the fourth Item 5 of the word "and seal" to exclude;

in subitems 6, of 8, of 9, of 11, of the 12th Item 7 of the word "and seal", "(in the presence)" to exclude;

state Item 10 in the following edition:

"10. All documents and information are represented to the Commission with the cover letter certified by the signature of the head of the licensee.".

7. Item 4 of the Section I of the Regulations on procedure for creation and disclosure of information by the companies on asset management and persons exercising asset management of non-state pension funds, and the submission of the relevant documents to the National commission on securities and the stock market approved by the decision of the National commission on securities and the stock market of October 2, 2012 No. 1343, registered in the Ministry of Justice of Ukraine on October 19, 2012 at No. 1764/22076 (with changes) to state in the following edition:

"4. According to the written requirement of the authorized person of the Commission the Company or person shall submit Information according to this Provision in paper form.

If the paper form of Information contains more than one leaf, such paper form of Information shall be strung together, sheets are numbered and certified by the signature of the company executive, either person, or person, acting as the head. On the back the last leaf such text becomes: "It is strung together, numbered and is attested the signature of the head (quantity) of sheets".".

8. In Regulations on mortgage covering of regular mortgage bonds, the procedure for maintaining the register of mortgage covering and management of mortgage covering of regular mortgage bonds approved by the decision of the National commission on securities and the stock market of December 27, 2012 No. 1902, registered in the Ministry of Justice of Ukraine on January 22, 2013 for No. 160/22692:

To exclude 1) in Item 3 of Chapter 3 of the Section IV of the word "also it is sealed (in the presence)";

"The Unified State Register of Legal Entities and physical persons entrepreneurs" shall be replaced with words 2) in Item 6 of Chapter 4 of the Section V of the word "The Unified State Register of Legal Entities, physical persons entrepreneurs and public forming";

To exclude 3) in appendix 2 of the letter "L. S.

9. In Regulations on the procedure for cost determination of net assets of institutes of joint investment approved by the decision of the National commission on securities and the stock market of July 30, 2013 No. 1336, registered in the Ministry of Justice of Ukraine on August 21, 2013 at No. 1444/23976:

Item 3 of the Section I to exclude 1);

To exclude 2) in appendix of the letter "L. S.

10. In appendix registered in the Ministry of Justice of Ukraine on October 22, 2013 at No. 1796/24328, of letter "M.P." exclude 2 Provisions on procedure for converting of securities of institute of the joint investment approved by the decision of the National commission on securities and the stock market of October 1, 2013 No. 2073,.

11. According to the procedure of the order the means which are not paid to members of institutes of joint investment in connection with non-presentation them at the scheduled time to the redemption of the securities of institutes of joint investment belonging to them which are liquidated No. approved by the decision of the National commission on securities and the stock market of July 29, 2014 972, registered in the Ministry of Justice of Ukraine on December 24, 2014 at No. 1631/26408:

Item 5 of the Section I to exclude 1);

2) in appendices:

in appendix 1 footnote "** the Seal of corporate investment fund or company on asset management." and also to exclude the letters "L. S. **";

in appendix 2 of the letter "L. S." to exclude.

 

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