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Ministry of Justice of Ukraine

March 23, 2021

No. 379/36001

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

of January 21, 2021 No. 34

About approval of the Regulations on the admission of securities of foreign issuers to the address in the territory of Ukraine

(as amended on 13-10-2021)

According to Item 6 parts two of Article 7, to Item 13 of article 8 of the Law of Ukraine "About state regulation of the security market in Ukraine", article 2 of the Law of Ukraine "About securities and the stock market" and for the purpose of reduction of regulatory legal acts in compliance with requirements of the legislation the National commission on securities and the stock market RESHILA:

1. Approve Regulations on the admission of securities of foreign issuers to the address in the territory of Ukraine which is attached.

2. Declare invalid the decision of the National commission on securities and the stock market of November 22, 2012 No. 1692 "about approval of the Regulations on the admission of securities of foreign issuers to the address in the territory of Ukraine", registered in the Ministry of Justice of Ukraine on December 26, 2012 for No. 2178/22490 (with changes).

3. Declare invalid the decision of the National commission on securities and the stock market of September 10, 2013 No. 1754 "About approval of the List of foreign stock exchanges on which securities of the foreign issuers having the intention to get the admission to security circulation in the territory of Ukraine" registered in the Ministry of Justice of Ukraine on September 27, 2013 for No. 1672/24204 shall be allowed to the address.

4. Bring in the Regulations on procedure for the reporting depository institutions in the National commission on securities and the stock market approved by the decision of the National commission on securities and the stock market of June 11, 2013 No. 992, registered in the Ministry of Justice of Ukraine on July 05, 2013 for No. 1126/23658 (with changes), the following changes:

1) paragraph two of Item 2 of the Section II after words "executed according to requirements of article 65-2 of the Law of Ukraine "About joint-stock companies" to add with the words "and transactions of transfer/write-off of the rights to securities which are not connected with the acquisition/termination of the property rights to securities which happen owing to increase/reduction of quantity of securities on the account in securities of depository institution in foreign financial institution".

2) in the table of appendix 16:

in line eighth to exclude the word "complete";

in line of the fourteenth words "security, UAH" shall be replaced with words "security";

in line of the sixteenth words "securities, UAH" shall be replaced with words to "securities";

line the seventeenth after words "security, piece" to add with words "(in the presence)".

5. The list of foreign stock exchanges on which securities of foreign issuers which can be the part of assets of institutes of joint investment approved by the decision of the National commission on securities and the stock market of July 11, 2019 No. 378, registered in the Ministry of Justice of Ukraine on July 29, 2019 for No. 824/33795, to add after item 4 with two new Items 5, 6 following contents address:

"5. London Stock Exchange.

6. Japan Exchange Group, Inc.".

6. In the capital markets and the organized goods markets (Peresunko D.) to provide to department of methodology of corporate management, corporate finances, financial instruments:

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.

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

8. Control over the implementation of this decision to assign to the member of the commission Libanov M.

Commission chairman

T. Hromayev

It is approved:

First Deputy Minister of digital transformation of Ukraine

 

A. Vyskub

Approved by the Decision of the National commission on securities and the stock market of Ukraine of January 21, 2021 No. 34

Regulations on the admission of securities of foreign issuers to the address in the territory of Ukraine

I. General provisions

1. This Provision establishes:

conditions of the admission of securities of foreign issuers to the address in the territory of Ukraine;

the list of the documents submitted to the National commission on securities and the stock market (NKTsBFR) for decision making about the admission of securities of foreign issuers to the address in the territory of Ukraine (further - the admission);

procedure for acceptance of NKTsBFR of the decision on the admission.

2. In this Provision the stated below terms are used in such values:

the admission to the address on the foreign stock exchange - decision making of foreign stock exchange by authorized body about the admission of securities to the biddings at this exchange;

the account of depository institution as nominee holder - the account in securities of depository institution intended for accounting of valuable papers / rights on the securities belonging to depositors of this organization and which is open in the foreign financial institution registered in the state which is the member of the European Union and/or the member Gruppy of development of financial measures of anti-money laundering (FATF) and which, according to the legislation of the state in which it is registered has the right to provide to the clients services in accounting of securities and registration of transition of the property right to securities, or other similar account which corresponds to the above-stated criteria.

In this Provision the term «foreign issuer» is used in the value determined by the Law of Ukraine «About the capital markets and the organized goods markets».

3. Action of this Provision extends to issued securities of foreign issuers, including depositary receipts.

4. The decision on the admission is made by NKTsBFR according to the statement of the foreign issuer of securities or the professional participant of the capital markets (further - the applicant) on securities of the corresponding release of the foreign issuer.

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