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Ministry of Justice of Ukraine

February 1, 2016

No. 166/28296

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

of January 12, 2016 No. 11

About approval of Changes in Licensed conditions of implementation of professional activity in the stock market (security market) - activities for asset management of institutional investors (activities for asset management)

According to Articles 3, 4, Items 9, 28, 38 parts two of Article 7, Items 2 - 4, 13, 20,33 of article 8 of the Law of Ukraine "About state regulation of the security market in Ukraine", the Laws of Ukraine "About institutes of joint investment", "About licensing of types of economic activity" the National commission on securities and the stock market RESHILA:

1. Approve Changes in Licensed conditions of implementation of professional activity in the stock market (security market) - activities for asset management of institutional investors (activities for asset management), No. approved by the decision of the National commission on securities and the stock market of July 23, 2013 1281, registered in the Ministry of Justice of Ukraine on September 12, 2013 at No. 1576/24108 (further - Licensed conditions) which are applied.

2. The legal entities who obtained licenses for implementation of professional activity in the stock market - activities for asset management of institutional investors (activities for asset management) before entry into force of this decision, shall within three months after entry into force bring the activities into accord with licensed conditions.

The legal entities who obtained termless licenses on implementation of professional activity in the stock market - activities for asset management of institutional investors (activities for asset management), shall within three months after entry into force of this decision to submit to the National commission on securities and the stock market the documents provided by subitems 7 - 9, the 13th Item 1 of Chapter 2 of the Section II of Licensed conditions.

3. To department of general investment and regulation of activities of institutional investors () provide Simonenko A.:

submission of this decision on conducting examination on compliance of the Convention on human rights protection and fundamental freedoms in the Secretariat of the Government representative for cases of the European Court of Human Rights of the Ministry of Justice of Ukraine;

submission of this decision on state registration in the Ministry of Justice of Ukraine.

4. And clerical works to provide to department of information technologies promulgation of this decision on the official website of the National commission on securities and the stock market.

5. 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.

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

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

Commission chairman

T. Hromayev

It is approved:

Acting as Chairman of the Public regulatory service of Ukraine

 

 

A. N. Miroshnichenko

Chairman of Public service of financial monitoring of Ukraine

I.B.Cherkassky

The chairman of the National commission performing state regulation in the sphere of the markets of financial services of Ukraine

 

I. Pashko

Chairman of the Antimonopoly Committee of Ukraine

Yu. Terentyev

Approved by the Decision of the National commission on securities and the stock market of Ukraine of January 12, 2016 No. 11

Changes in Licensed conditions of implementation of professional activity in the stock market (security market) - activities for asset management of institutional investors (activities for asset management)

1. In the Section I:

To exclude 1) in Item 1 of the word of "issue of the duplicate and the copy of such license";

2) in Item 2:

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