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

of March 20, 2024 No. 319

About modification of the decision of the National commission on securities and the stock market of June 20, 2013 No. 1104

According to Item 13 parts one of article 8 of the Law of Ukraine "About state regulation of the capital markets and the organized goods markets", article 9 of the Law of Ukraine "About institutes of joint investment", the Law of Ukraine "About the capital markets and the organized goods markets", in connection with adoption of law of Ukraine "About ministerial procedure", for the purpose of enhancement and reduction of the regulatory legal act in compliance with requirements of the legislation the National commission on securities and the stock market SOLVED:

1. In preamble the decision of the National commission on securities and the stock market of June 20, 2013 No. 1104 "About approval of the Regulations on order of registration of the prospectus of the issue and share issue of corporate investment fund", the word of "the security market in Ukraine" registered in the Ministry of Justice of Ukraine on July 16, 2013 at No. 1187/23719, shall be replaced with words "the capital markets and the organized goods markets", the words "securities and stock market" shall be replaced with words "the capital markets and the organized goods markets".

2. Make changes to Regulations on order of registration of the prospectus of the issue and share issue of the corporate investment fund approved by the decision of the National commission on securities and the stock market of June 20, 2013 No. 1104, registered on July 16, 2013 at No. 1187/23719, having been reworded as follows it which is applied the Ministry of Justice of Ukraine.

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

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.

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

5. Control over the implementation of this decision to assign to the member of the National commission on securities and the stock market Boyko Yu.

Approved by the Decision of the National commission on securities of the stock market of Ukraine of June 20, 2013 No. 1104

(in edition of the Decision of the National commission on securities and the stock market of March 20, 2024 No. 319)

Regulations on order of registration of the prospectus of the issue and share issue of corporate investment fund

I. General provisions

1. This Provision establishes order of registration of the prospectus of the issue of shares (changes in it) and share issue of corporate investment fund (further - corporate fund).

2. Registration of share issue, the prospectus of the issue of shares of corporate fund, changes in the prospectus of the issue of shares and approval of the draft of the charter of corporate fund are performed by the authorized person of the National commission on securities and the stock market according to requirements of this provision and cannot be considered as guarantee of cost of these shares.

3. Administrative services NKTsBFR in registration of changes in the prospectus of the issue of securities (except cases if changes in the prospectus of the issue of securities of institute of joint investment are connected only with the second and each subsequent issue of securities of institute of joint investment and/or concern only changes of the text of regulations of institute of joint investment), registration of changes in regulations of institute of joint investment are paid services which Amount of payment for provision is established by the amount of payment for registration actions concerning members of the capital markets and other persons approved by the decision of the National commission on securities and the stock market of June 13, 2022 No. 620, registered in the Ministry of Justice of Ukraine on August 10, 2022 at No. 909/38245.

4. Administrative services NKTsBFR which Procedure for provision is established by this Provision it is provided taking into account the requirements determined by Procedure for provision of administrative services by the National commission on the securities and the stock market approved by the decision of the National commission on securities and the stock market of November 17, 2021 No. 1124, registered in the Ministry of Justice of Ukraine on February 03, 2022 at No. 147/37483.

5. Receipt of the registration certificate of share issue of corporate fund, the interim certificate on registration of share issue of corporate fund is the basis for registration according to the global share certificate (the temporary global share certificate).

6. In case of share placing of corporate fund the company on asset management and/or the investment firm(s) having the license for implementation of the corresponding type of activity on trade in financial instruments with which (which) the company on asset management signed the relevant agreement(s) on carrying out by it (them) such placement perform actions for financial monitoring according to the legislation on prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction.

7. The conclusion of the contract with the first shareholder of corporate fund in case of their public placement is performed not earlier than in 10 days after placement of the prospectus of the issue of shares of corporate fund (changes in it) in the database of person performing activities for promulgation of regulated information on behalf of members of the capital markets and professional participants of the organized goods markets.

8. The signature of the documents submitted for review the draft of the charter of corporate fund, registration of the prospectus of the issue of shares (changes in it) and share issue of corporate fund, confirms with the corresponding persons accuracy of the data, provided in such documents.

The losses caused as a result of representation of the unreliable information containing in the prospectus of the issue of shares and changes to it are compensated according to the procedure, established by the legislation.

9. The financial reporting of corporate fund shall be constituted according to the Law of Ukraine "About financial accounting and the financial reporting in Ukraine" and correspond to international accounting standards. The audit report and the report on the overview shall be constituted according to the Law of Ukraine "About financial records audit and auditor activities", international standards of quality control, audit, the overview, other provision of confidence and the accompanying services and taking into account provisions of Requirements to information concerning audit or the overview of the financial reporting of members of the capital markets and the organized goods markets, supervision of which is exercised by the National commission on securities and the stock market, No. approved by the decision of the National commission on securities and the stock market of July 22, 2021 555, registered in the Ministry of Justice of Ukraine on September 07, 2021 at No. 1176/36798 (further - Requirements to information).

The financial reporting and other financial records of corporate fund are filed in the form determined by the legislation.

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