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

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

According to Item of 1 part two of Article 7 and Item 13 of article 8 of the Law of Ukraine "About state regulation of the capital markets and the organized goods markets", the Laws of Ukraine "About the capital markets and the organized goods markets" and "About institutes of joint investment" the National commission on securities and the stock market SOLVED:

1. Approve Regulations on order of registration of the prospectus of the issue and release of investment certificates of mutual investment fund which are applied.

2. Declare invalid the decision of State commission on securities and the stock market of November 24, 2009 No. 1478 "About approval of the Regulations on order of registration of release of investment certificates of mutual investment fund", registered in the Ministry of Justice of Ukraine on December 24, 2009 for No. 1246/17262 (with changes).

3. To provide to department of joint investment and regulation of activities of institution investors (O. Simonenko) submission of this decision on state registration in the Ministry of Justice of Ukraine.

4. To provide to management of information technologies, external and internal communications (A. Zaik) publication of this decision according to the legislation of Ukraine.

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

6. This decision becomes effective since January 1, 2014, but not earlier than day of its official publication.

The minutes of the Commission of June 20, 2013 No. 32

Approved by the Decision of the National commission on securities and the stock market of Ukraine of June 20, 2013 No. 1103

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 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.

7. Receipt of the registration certificate of release of investment certificates of share fund is the basis for execution of the global certificate of investment certificates.

8. In case of placement of investment certificates of share 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 the company on asset management signed corresponding (corresponding) the agreement (agreements) 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.

9. The conclusion of contracts with the first owners of investment certificates of share fund in case of their public placement is performed not earlier than in 10 days after placement in the database of the person performing activities for promulgation of regulated information on behalf of members of the capital markets and professional participants of the organized goods markets, registered (registered) in NKTsBFR of the prospectus of the issue investment certificates of share fund (changes in it).

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