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Ministry of Justice of Ukraine

November 17, 2020

No. 1134/35417

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

of October 6, 2020 No. 578

About establishment of the list of non-bank financial institutions which shall fulfill duties of financial agents

(as amended on 19-08-2021)

According to Item 33 of article 8 of the Law of Ukraine "About state regulation of the security market in Ukraine", to subitem 14.1.257-1 of Item 14.1 of Article 14 of the Section I of the Tax code of Ukraine the National commission on securities and the stock market RESHILA:

1. Determine that in the list of non-bank financial institutions which shall fulfill duties of financial agents according to requirements of international treaties which contain regulations on exchange of information for the tax purposes which consent to be bound is provided by the Verkhovna Rada of Ukraine, or the interdepartmental agreements signed on their basis and shall provide information on accountable accounts according to the Agreement between the Government of Ukraine and the Government of the United States of America for improvement of accomplishment of tax rules and application of provisions of the Law of the USA "About the tax claims to foreign accounts" (FATCA), and also other international treaty which contains regulations on exchange of information for the tax purposes which consent to be bound is provided by the Verkhovna Rada of Ukraine, or the interdepartmental agreement signed on its basis, professional participants of the share capital (except for those which answer the criteria established in Appendix II to the Agreement between the Government of Ukraine and the Government of the United States of America for improvement of accomplishment of tax rules and application of provisions of the Law of the USA "About the tax claims to foreign accounts" (FATCA) ratified by the Law of Ukraine "About ratification of the Agreement between the Government of Ukraine and the Government of the United States of America for improvement of accomplishment of tax rules and application of provisions of the Law of the USA "About the tax claims to foreign accounts of" (FATCA)") who based on the license granted by the National commission on securities and the stock market perform professional activity in the capital markets belong, namely:

activities for trade in financial instruments - subbroker activities;

activities for trade in financial instruments - broker activities;

activities for trade in financial instruments - activities for portfolio management of financial instruments;

depository activity - depository activity of depository institution.

2. To department of methodology of regulation of professional participants of the security market () provide Kurochkin I.:

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

promulgation of this decision on the official website of the National commission on securities and the stock market.

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

4. Control over the implementation of this decision to assign to the member of the National commission on securities and the stock market Tarabakin D.

Commission chairman

T. Hromayev

 

Disclaimer! This text was translated by AI translator and is not a valid juridical document. No warranty. No claim. More info

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