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

of July 6, 2002 No. 197

About approval of the Regulations on registration of regulations of institutes of joint investment and maintaining the Unified state register of institutes of joint investment

According to Art. 7 of the Law of Ukraine "About state regulation of the security market in Ukraine" and the Law of Ukraine "About institutes of joint investment (share and corporate investment funds)" State commission on securities and the stock market

SOLVED:

1. Approve Regulations on registration of regulations of institutes of joint investment and maintaining the Unified state register of institutes of joint investment it (is applied).

2. To provide to management of investing activities (A. Rybalchenko) state registration of this decision in the Ministry of Justice of Ukraine.

3. (N. Piskun) to provide to management of organizational support publication of this decision according to the current legislation.

4. The decision becomes effective according to the current legislation.

5. Control of execution of this decision to assign to the member of the commission - the vice-chairman S. Biryuk.

Approved by the Decision of State commission on securities and the stock market on July 6, 2002 No. 197

Regulations on registration of regulations of institutes of joint investment and maintaining the Unified state register of institutes of joint investment

I. General provisions

1. This Provision is drafted according to articles 7 and 8 of the Law of Ukraine "About state regulation of the security market in Ukraine", Articles 3, of 4, 6-1, 9, of 11, 23-25 Laws of Ukraine "About institutes of joint investment (share and corporate investment funds)", the Law of Ukraine "About joint-stock companies" for the purpose of establishment of order of registration of regulations of share, corporate investment funds and maintaining the Unified state register of institutes of joint investment (further - EGRISI).

2. In this Provision the stated below terms are used in the following value: endurance - the reference document signed by the authorized person of the holder of EGRISI who is presented at the request of legal entities or physical persons taking into account the restrictions of rather insider information established by the Law of Ukraine "About securities and the stock market";

holder of EGRISI - State commission on securities and the stock market (further - the Commission) which provides storage and functioning of EGRISI, provides excerpts from it;

EGRISI - the information database about institutes of joint investment (daleeisa) which provides storage of information on ISI;

request for receipt of endurance from EGRISI (further - request) - the document constituted какимлибо by physical person or legal entity for the purpose of receipt of endurance from EGRISI;

the investment declaration - the document which is component of regulations of ISI and appendix to the contract with the company on asset management in which the main directions and restrictions of investing activities of ISI are determined;

regulations of ISI - the document which determines features of activities of ISI;

registration code on EGRISI - record code in EGRISI;

the certificate on entering of ISI into EGRISI (further - the Certificate) - the document which is issued by the Commission after registration of regulations of ISI and certifies entering of fund into EGRISI;

the term of activities of ISI - the term established by regulations of urgent ISI during which ISI performs the activities;

entering of record into EGRISI - entering of record into the information database about ISI which provides storage of information on ISI.

Other terms are used in this Provision according to the Laws of Ukraine "About state regulation of the security market in Ukraine", "About securities and the stock market", "About institutes of joint investment (share and corporate investment funds)", "About joint-stock companies", "About National depositary system and features of electronic security circulation in Ukraine".

3. Action of this Provision extends to ISI which are created and perform the activities according to the Law of Ukraine "About institutes of joint investment (share and corporate investment funds)" and other normative legal acts.

4. This Provision determines order of registration the Commission of the report on results of the closed (private) share placing for the purpose of forming of the seed authorized capital of corporate investment fund, the regulations of ISI (changes to it), entering of ISI by the Commission into EGRISI and maintaining EGRISI, and also issue of the Certificate by the Commission.

5. The basis for entering of ISI into EGRISI are the regulations of ISI registered in the procedure established by the Commission. Entering of ISI into EGRISI is performed by assignment of ISI of registration code. In case of entering of ISI into EGRISI the Certificate is granted.

6. Activities for joint investment are performed after entering of ISI into EGRISI and receipts of the Certificate.

7. Registration of the report on results of the closed (private) share placing for the purpose of forming of the seed authorized capital of corporate investment fund, registration of regulations of ISI (changes to it) and entering of ISI into EGRISI are performed within 30 working days from receipt date in the Commission of documents according to this Provision.

According to the written application of the applicant the term of consideration of documents is prolonged, but no more than for 15 working days from the date of submission of such statement.

8. Registration of regulations of ISI and its entering into EGRISI, registration of changes to regulations of ISI, and also issue of excerpts from EGRISI are paid services which amount of payment for provision is established by the order of the Cabinet of Ministers of Ukraine of July 25, 2002 N 419-p "About establishment of service fee which are provided by State commission on securities and the stock market".

Funds for provision by the Commission of the specified services are allocated in the government budget.

9. State bodies are exempted from payment for obtaining on their request of excerpts from EGRISI if such request is represented in connection with implementation by them of the powers determined by the legislation.

10. Aggregated data EGRISI are open for use.

11. In case of the termination of activities of ISI of such ISI it is excluded from EGRISI, the Certificate is cancelled.

II. Order of registration of the report on results of the closed (private) share placing for the purpose of forming of the seed authorized capital of corporate investment fund, the regulations of corporate investment fund and entering of corporate investment fund into EGRISI

1. Within six months from the date of state registration of corporate investment fund as legal entity the corporate investment fund shall register regulations.

2. The corporate investment fund for the purpose of registration of the report on results of the closed (private) share placing for the purpose of forming of the seed authorized capital of corporate investment fund, the regulations of corporate investment fund and entering of corporate investment fund into EGRISI submits the following documents to the Commission:

a) the statement for registration of the report on results of the closed (private) share placing for the purpose of forming of the seed authorized capital of corporate investment fund, the regulations of ISI and entering of corporate investment fund into EGRISI according to appendix 1;

b) the copy of the extract from the Unified State Register of Legal Entities and physical persons - entrepreneurs, certified by the authorized signature and seal of corporate investment fund;

c) original (copy) of the protocol (excerpt from the protocol):

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