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

of June 21, 2018 No. 407

About modification of some regulatory legal acts of the National commission on securities and the stock market (rather registration procedures of institutes of joint investment)

According to Item 13 of article 8 of the Law of Ukraine "About state regulation of the security market in Ukraine", to Articles 6, of 9, 42 Laws of Ukraine "About institutes of joint investment", article 3 of the Law of Ukraine "About depositary system of Ukraine", to the Law of Ukraine of November 26, 2015 No. 835-VІII "About introduction of amendments to the Law of Ukraine "About state registration of legal entities and physical persons - entrepreneurs" and to some other legal acts of Ukraine concerning decentralization of powers on state registration of legal entities, physical persons entrepreneurs and public forming", to the Law of Ukraine of March 23, 2017  "About modification of some legal acts of Ukraine concerning use of seals by legal entities and physical persons entrepreneurs" the National commission on securities and the stock market SOLVED No. 1982-VIIІ:

1. Approve Changes in the Regulations on registration of regulations of institutes of joint investment and maintaining the Unified state register of institutes of joint investment approved by the decision of the National commission on securities and the stock market of June 18, 2013 No. 1047, registered in the Ministry of Justice of Ukraine on July 17, 2013 for No. 1198/23730 (with changes) which are applied.

2. Approve Changes in the Regulations on order of registration of the prospectus of the issue and release of investment certificates of mutual investment fund approved by the decision of the National commission on securities and the stock market of June 20, 2013 No. 1103, registered in the Ministry of Justice of Ukraine on July 16, 2013 for No. 1188/23720 (with changes) which are applied.

3. Approve Changes in the Regulations on order of registration of the prospectus of the issue and share issue of corporate investment fund approved by the decision of the National commission on securities and the stock market of June 20, 2013 No. 1104, registered in the Ministry of Justice of Ukraine on July 16, 2013 for No. 1187/23719 (with changes) which are applied.

4. To department of methodology of regulation of professional participants of the security market () provide Kurochkin I.:

submission of this decision on state registration in the Ministry of Justice of Ukraine;

promulgation of this decision on the official website of the National commission on securities and the stock market.

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

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

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

Approved by the Decision of the National commission on securities and the stock market of Ukraine of June 21, 2018 No. 407

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

1. In the Section I:

1) in Item 2:

 to state the paragraph of the sixth in the following edition:

"the keeper of assets of institute of joint investment (further - the keeper):";

add Item after the paragraph of the sixth with two new paragraphs the seventh, eighth the following content:

"for institute of joint investment with public placement - depository institution - bank which has the license for activities on storage of assets of institutes of joint investment granted by the Commission and with which in the procedure established by the legislation the service agreement is signed by the keeper of assets of institute of joint investment (further - the contract with the keeper);

for institute of joint investment with private placement - depository institution which has the license for activities on storage of assets of institutes of joint investment granted by the Commission and which in the procedure established by the legislation signs the contract with the keeper;".

With respect thereto paragraphs of the seventh - to consider the thirteenth respectively paragraphs the ninth - the fifteenth;

  To exclude 2) in Item 12 of the word "and seals";

 Items 13, 14 to state 3) in the following edition:

"13. Documents which are filed to the Commission on 2 and more sheets shall be surely stitched, numbered and certified by the authorized signature.

14. According to the written address of the applicant the Commission can return the documents filed according to this Provision on completion.".

2. In the Section II:

1) in Item 2:

2, 3 to state subitems in the following edition:

"2) the original (copy) of the protocol (minutes abstract) of the constituent assembly of corporate fund which contains the decision concerning approval of results of private placement of shares among founders of corporate fund and election of the supervisory board, certified by signatures of founders (authorized persons of founders - legal entities), or the decision of the individual founder on creation of corporate fund certified by the signature of the founder (the authorized person of the founder - the legal entity). If individual founder is the physical person, its signature is subject to the notarial certificate;

3) the original (copy) of the protocol (minutes abstract) of the supervisory board of corporate fund which contains the decision on approval of regulations and the investment declaration, certified by the signature of the supervisory board presiding over meeting, or the decision of the individual member of corporate fund on approval of regulations and the investment declaration certified by the signature of the participant (the authorized person of the participant - the legal entity) and notarially;";

in subitems 4, of 5,  to exclude 7 - 10 words "and seal";

 state subitem 11 in the following edition:

"11) the original (the copy certified by the authorized signature of corporate fund) of the contract with the keeper approved by the company on asset management (in case of its conclusion);";

 exclude subitem 12.

With respect thereto  to consider subitem 13 subitem 12.

In subitem 12 of the word "and seal" to exclude;

add Item with the new subitem 13 of the following content:

"13) the reference in any form certified by the authorized signature of corporate fund on lack of coherence of the keeper with the company on asset management and founders of corporate fund (in case of the conclusion of the contract with the keeper). The reference shall be constituted not earlier than before 7 working days before date of its representation.";

 Item 6 to state 2) in the following edition:

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