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

of June 18, 2013 No. 1047

About approval of the Regulations on registration of regulations of institutes of joint investment

According to Item and Item 13 of article 8 of the Law of Ukraine "About state regulation of the capital markets and the organized goods markets" and the Law of Ukraine "About institutes of joint investment" the National commission on securities and the stock market SOLVED 25 parts two of Article 7:

1. Approve Regulations on registration of regulations of institutes of joint investment which are applied.

2. Declare invalid the decision of State commission on securities and the stock market of July 6, 2002 No. 197 "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 August 14, 2002 for No. 657/6945 (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 O. Tarasenko.

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 18, 2013 No. 31

Approved by the Decision of the National commission on securities and the stock market of Ukraine of 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;

The unified state register of institutes of joint investment (dalee-Reestr) - the information and communication system which is component of the integrated subsystem of complex maintaining the register of infrastructure of the complex information system NKTsBFR (PUSSYCATS) providing collection, accumulating, protection, accounting, reflection, processing of register data and provision of register information concerning the institutes of joint investment determined by regulatory legal acts NKTsBFR;

registration code according to the Register (further - the EGRISI code) - unique identification number of institute of joint investment in the Register;

The certificate on introduction of data on institute of joint investment into the Register document issued to NKTsBFR after registration of regulations of institute of joint investment and certifying introduction of data on institute of joint investment into the Register;

the term of activities of institute of joint investment - the term established by regulations of urgent institute of joint investment during which the institute of joint investment performs the activities.

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