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

of October 18, 2016 No. 1017

About modification of some regulatory legal acts of the National commission on securities and the stock market

According to Item of 1 part two of Article 7, Item 13 of article 8 of the Law of Ukraine "About state regulation of the security market in Ukraine" the National commission on securities and the stock market SOLVED:

1. Bring in the Procedure of consolidation and share split of joint-stock company approved by the decision of the National commission on securities and the stock market of March 6, 2012 No. 371, registered in the Ministry of Justice of Ukraine on March 23, 2012 on No. 440/20753 (with changes), the following changes:

Item 7 of the Section I to state 1) in the following edition:

"7. For registration of share issue of new nominal value society files the documents determined by this Procedure (if the data containing in them are not introduced in the relevant information bases in sufficient amount).

The documents (their copy) submitted according to this Procedure also shall be certified by seal (seals), require such certificate in the presence of corresponding seal (seals).";

2) in Item 1 of the Section III:

exclude subitem 1.5.

With respect thereto subitems 1.6 - 1.10 to consider respectively subitems 1.5 - 1.9;

exclude subitem 1.7.

With respect thereto subitems 1.8 - 1.9 to consider respectively subitems 1.7 - 1.8;

The table of appendix 1 to add 3) with new line of the following content:

"

                                                                ".

2. Bring in the Order of registration of share issues of the joint-stock companies created before entry into force of the Law of Ukraine "About securities and the stock market", and transfer of such releases in system of depositary accounting, approved by the decision of the National commission on securities and the stock market of February 26, 2013 No. 249, registered in the Ministry of Justice of Ukraine on March 20, 2013 for No. 444/22976 (with changes), the following changes:

Item 8 to state 1) in the following edition:

"8. After registration of share issue of joint-stock company modification of system of depositary accounting concerning such release is performed in the way:

execution of the global certificate by the issuer based on the received registration certificate of share issue in paperless form and its depositions in Central Securities Depository;

transfers by Central Securities Depository within three working days from the date of receipt of the global certificate according to the order of the issuer into the account in securities of the issuer of the number of shares specified in the global certificate;

transfer by Central Securities Depository based on the order of the issuer which shall contain all necessary details for accomplishment of the specified transaction, shares from the account in securities of the issuer into the account (accounts) in securities of depositary organization (organizations) in Central Securities Depository for further transfer of the rights to these shares into accounts in securities of persons which acquired the specified shares;

transfer of share rights by depositary organization(s) into the account (a) in securities of person (persons) who acquired the specified shares is unconditional transaction which is performed according to the order of Central Securities Depository which the Central Securities Depository provides to depositary organization(s) no later than the next working day from the date of transfer of these shares into the account in securities of it (these) of depositary organization (organizations) in Central Securities Depository.

The property right to shares arises from the moment of their transfer into the account in securities of the owner in depository institution.";

"Depositary about issue servicing" shall be replaced with words 2) in subitem 9.7 of Item 9 of the word "Central Securities Depository on servicing of releases";

Item 12 to state 3) in the following edition:

"12. For registration of share issue the joint-stock company files the documents determined by this Procedure (if the data containing in them are not introduced in the relevant information bases in sufficient amount).

Documents (their copy), are represented according to this Procedure and shall be certified by seal (seals), require such certificate in the presence of corresponding seal (seals).".

3. Item 7 of the Section I of the Procedure of issue and registration of share issue of the joint-stock companies created by merge, separation allocations or transformation or to which accession, No. approved by the decision of the National commission on securities and the stock market of April 9, 2013 520, registered in the Ministry of Justice of Ukraine on May 21, 2013 for No. 795/23327 is performed (with changes), to state in the following edition:

"7. For registration of share issue, the report on results of placement (exchange) of shares, stop/renewal of the circulation of shares the applicant files the documents determined by this Procedure (if the data containing in them are not introduced in the relevant information bases in sufficient amount).

Documents (their copy) which according to this Procedure are filed to the Commission and shall be certified by seal (seals), require such certificate in the presence of corresponding seal (seals).".

4. Bring in the Regulations on order of registration of release (releases) of shares under organization of joint-stock companies approved by the decision of the National commission on securities and the stock market of May 27, 2014 No. 692, registered in the Ministry of Justice of Ukraine on June 17, 2014 for No. 642/25419 (with changes), the following changes:

Item 35 of the Section I to state 1) in the following edition:

"35. For registration of share issue of the report on results of private placement of shares, cancellation of registration of share issue the applicant files the documents determined by this Provision (if the data containing in them are not introduced in the relevant information bases in sufficient amount).

Documents (their copy) which according to this Provision are filed to the Commission and shall be certified by seal (seals), require such certificate in the presence of the corresponding seal (seals).";

The subitem 10 of Item 1 of the Section II to state 2) in the following edition:

"10) the document(s) on property condition of founders - physical persons which confirms (ют) their capability to perform the corresponding fees in the authorized capital of joint-stock company (for physical resident persons - the certificate of body of the income and charges of submission of the declaration on property condition and the income (tax declaration) and the corresponding tax declaration) for the period in which income which is source of implementation of fee in the authorized capital of society is gained;".

5. Item 13 of the Replacement procedure of the certificate (certificates) on registration of release (releases) of issued securities in connection with change of the name of the issuer and/or ensuring the existence of personalized securities in paperless form approved by the decision of the National commission on securities and the stock market of April 23, 2013 No. 736, registered in the Ministry of Justice of Ukraine on May 22, 2013 for No. 802/23334 (with changes) to state in the following edition:

"13. For replacement of the certificate (certificates) the issuer files the documents determined by this Procedure (if the data containing in them are not introduced in the relevant information bases in sufficient amount).

Documents (their copy), are represented according to this Procedure and shall be certified by seal (seals), require such certificate in the presence of corresponding seal (seals).".

6. And corporate finances to provide to corporate management department submission of this decision on state registration in the Ministry of Justice of Ukraine.

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

8. To provide to department of information technologies promulgation of this decision on the official site of the National commission on securities and the stock market.

9. To provide to management of international cooperation and communications publication of this decision in the official printing publication of the National commission on securities and the stock market.

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

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