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

of August 26, 2021 No. 700

About approval of the Procedure for maintaining registers of members of the capital markets and the organized goods markets

According to Item 13 of article 8 of the Law of Ukraine "About state regulation of the capital markets and the organized goods markets", to the Law of Ukraine of September 12, 2019 No. 79-IX "About modification of some legal acts of Ukraine concerning enhancement of functions on state regulation of the markets of financial services", to the Law of Ukraine of June 19, 2020 No. 738-IX "About modification of some legal acts of Ukraine concerning simplification of investment attraction and implementation of new financial instruments" the National commission on securities and the stock market RESHILA:

1. Approve the Procedure for maintaining registers of members of the capital markets and the organized goods markets which is applied.

2. In case of loss or damage of the registration certificate of the financial institution granted to non-state pension fund by State commission on regulation of the markets of financial services / the National commission which performs state regulation in the sphere of the markets of financial services the duplicate of the registration certificate of financial institution it is issued to NKTsBFR non-state pension fund according to its address according to requirements of the Procedure and for the form established by appendix 5 to it.

3. To non-state pension funds no later than 60 days from the date of entry into force of this decision to provide information on the form established by appendices 3 and 4 of this Procedure in NKTsBFR.

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

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

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

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

6. Control over the implementation of this decision to assign to the member of the National commission on securities and the stock market Boyko Yu.

Approved by the Decision of the National commission on securities and the stock market of Ukraine of August 26, 2021, No. 700

Procedure for maintaining registers of members of the capital markets and organized goods markets

I. General provisions

1. This Procedure determines procedure for maintaining registers of members of the capital markets and the organized goods markets: The register of professional participants of the capital markets and the organized goods markets, the Register of non-state pension funds, the Unified state register of institutes of joint investment (further - the Register(s)), conditions of inclusion/exception of Registers of the corresponding members of the capital markets and the organized goods markets and provision of information from Registers.

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