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DECISION OF THE NATIONAL COMMISSION ON SECURITIES AND STOCK MARKET

of August 19, 2024 No. 09/21/1037/K03

About modification of the Decision of the National commission on securities and the stock market of June 18, 2013 No. 1047

According to Item of 1 part one of article 7 of the Law of Ukraine "About state regulation of the capital markets and the organized goods markets", article 6 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. Bring in the decision of the National commission on securities and the stock market of June 18, 2013 No. 1047 "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", registered in the Ministry of Justice of Ukraine on July 17, 2013 at No. 1198/23730, the following changes:

1) in heading and Item 1 the solution of the word "and maintaining the Unified state register of institutes of joint investment" to exclude;

2) in preamble the solution of the word of "the security market in Ukraine" shall be replaced with words "the capital markets and the organized goods markets".

2. Make changes to Regulations on registration of regulations of institutes of joint investment and maintaining the Unified state register of institutes of the joint investment approved by the decision of the National commission on securities and the stock market of June 18, 2013 No. 1047, registered on August 21, 2013 at No. 1198/23730, having been reworded as follows it which is applied the Ministry of Justice of Ukraine.

3. To provide to department of methodology of regulation of professional participants of the security market submission of this decision on state registration in the Ministry of Justice of Ukraine.

4. To provide to management of administrative activities promulgation of this decision on the official website of the National commission on securities and the stock market.

5. This decision becomes effective from the date of the following, behind day of its official publication on the website of the National commission on securities and the stock market.

6. 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 August 19, 2024 No. 09/21/1037/K03

Approved by the Decision of the National commission from securities of the stock market on June 18, 2013 No. 1047

Regulations on registration of regulations of institutes of joint investment

I. General provisions

1. This Provision establishes regulations order of registration (changes in it) mutual investment fund (further - share fund) and corporate investment fund (further - corporate fund), registration of the report on results of private placement of shares among founders of corporate fund, the basis of introduction of information on institutes of joint investment into the Unified state register of institutes of joint investment and procedure for issue of the certificate on introduction of data on institute of joint investment into the Unified state register of institutes of joint investment (further - the certificate on introduction of data on institute of joint investment into the Register).

2. In this Provision terms are used in the following values:

the applicant - corporate fund, the company for asset management, the documents performing representation in NKTsBFR provided by this Provision;

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

for institute of joint investment with public placement - the depositary organization bank having the license for activities on storage of assets of institutes of joint investment granted by NKTsBFR 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 - the depository institution having the license for activities on storage of assets of institutes of joint investment granted by NKTsBFR and which in the procedure established by the legislation signs the contract with the keeper;

the investment declaration document, being the integral component of regulations of institute of joint investment and appendix to the agreement on asset management of corporate fund in which the main directions and restrictions of investing activities of institute of joint investment are determined;

the regulations document determining procedure, terms, conditions and features of activities of institute of joint investment;

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