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

of September 25, 2024 No. 09/21/1174/K03

About approval of Changes in Regulations on implementation of depository activity

According to Item of 1 part three of Article 2, of Items 1, 38 parts one of Article 7, of part 5 of article 30 of the Law of Ukraine "About state regulation of the capital markets and the organized goods markets", the Law of Ukraine "About depositary system of Ukraine", the Law of Ukraine "About agrarian notes", the National commission on securities and the stock market solved:

1. Approve the Change in Regulations on implementation of depository activity approved by the decision of the National commission on securities and the stock market of April 23, 2013 No. 735, registered in the Ministry of Justice of Ukraine on June 27, 2013 at No. 1084/23616, which are applied.

2. To provide to department of methodology of regulation of professional participants of the security market submission of this decision on state registration in the Ministry of Justice of Ukraine.

3. To provide to management of administrative activities promulgation of this decision on the official website of the National commission on securities and the stock market.

4. This decision becomes effective since January 1, 2025, except paragraph two, the third subitem 2 Items 1, of paragraphs of the seventh, ninth or eleventh, nineteenth-twenty third subitem 1, of paragraphs of the sixth-twenty fourth subitem 2, of paragraphs of the thirteenth or fifteenth, twentieth, twenty sixth, twenty seventh subitem 3, of paragraphs of the second or seventh, ninth, tenth subitem 5 of Item 5, of paragraphs of the seventh, eighth subitem 2, of the paragraph of the third subitem 5 of Item 6, of Item 7 of Changes in Regulations on implementation of depository activity approved by the decision of the National commission on securities and the stock market of April 23, 2013 No. 735, registered in the Ministry of Justice of Ukraine on June 27, 2013 at No. 1084/23616, approved by this decision which become effective from the date of, its official publication following behind day.

5. To Central Securities Depository, depository institutions to bring the internal documents into accord with this decision no later than three months from the date of the introduction it in force.

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

Approved by the Decision of the National commission from securities of the stock market of Ukraine of September 25, 2024 No. 09/21/1174/K03

Changes in Regulations on implementation of depository activity, the approved Decision of the National commission on securities and the stock market of April 23, 2013 No. 735, registered in the Ministry of Justice of Ukraine on June 27, 2013 at No. 1084/23616

1. In the Section I:

Item 1 to state 1) in the following edition:

"1. This Provision determines procedure of depository activity by Central Securities Depository (further - the Central depositary) and depository institutions by provision of services on storage and accounting of securities, accounting and servicing of acquisition, the termination and transition of the rights to securities and the list not of issued securities which depositary account is kept by the Central depositary, and features of their depositary accounting, the requirement to procedure for opening and account management in securities, to procedure for carrying out transactions on accounts in securities and their types, procedure for introduction not of issued security and deposition of the document on introduction not of issued security, procedure for transfer of securities in system of depositary accounting, accounting treatment and storage of securities, and also write-off of securities in connection with their repayment and/or cancellation or the termination is right on securities and restrictions of the rights to securities on accounts in securities, procedure for modification of system of depositary accounting concerning securities of the specific owner, concerning all issue of securities, concerning implementation of payment under transactions concerning securities and so forth, requirements to activities of participants of depositary system and relations between them, requirements to procedure for creation of the register of owners of securities, including order of interaction of depository institutions with the Central depositary concerning creation of the register, the requirement to contents of internal documents of professional participants of depositary system of Ukraine and other requirements which establishment is within the competence of the National commission on securities and the stock market (further - the Commission) according to the Law of Ukraine "About depositary system of Ukraine" (further - the Law).";

2) in Item 2:

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