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

of March 20, 2024 No. 318

About modification of the decision of the National commission on securities and the stock market of June 20, 2013 No. 1103

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 42 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 of the decision of the National commission on securities and the stock market of June 20, 2013 No. 1103 "About approval of the Regulations on order of registration of the prospectus of the issue and release of investment certificates of mutual investment fund", the word of "the security market in Ukraine" registered in the Ministry of Justice of Ukraine on July 16, 2013 at No. 1188/23720, 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 release of investment certificates of the mutual investment fund approved by the decision of the National commission on securities and the stock market of June 20, 2013 No. 1103, registered on July 16, 2013 at No. 1188/23720, 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.

The Decision of the National commission from securities of the stock market of Ukraine of June 20, 2013 is approved No. 1103

(in edition of the Decision of the National commission from securities of the stock market of Ukraine of March 20, 2024 No. 318)

Regulations on order of registration of the prospectus of the issue and release of investment certificates of mutual investment fund

I. General provisions

1. This provision establishes order of registration of the prospectus of the issue of investment certificates (changes in it) and release of investment certificates of mutual investment fund (further - share fund).

2. The prospectus of the issue is registered within one year from the date of entering of data on share fund into the Unified state register of institutes of joint investment (further - the Register).

3. Registration of the prospectus of the issue of investment certificates (changes in it) and release of investment certificates of share fund is 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 investment certificates.

4. 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.

5. Administrative services NKTsBFR which procedure for provision is established by this Provision are 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.

6. As the issuer of investment certificates of share fund the company on asset management of such fund acts.

The company on asset management (further - the applicant) submits to NKTsBFR the application and documents necessary for registration of release and the prospectus of the issue of investment certificates of share fund not later than within 60 days after decision making about placement of investment certificates of share fund by authorized body of the company on asset management.

Registration of the prospectus of the issue of investment certificates and release of investment certificates is performed concerning each share fund separately.

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