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

of February 7, 2012 No. 234

About approval of Changes to the Procedure and conditions of licensing for implementation of activities for management of mortgage covering and its cancellation

According to Civil and Economic codes of Ukraine, Articles 15, of 21, 27 Laws of Ukraine "About mortgage bonds", Articles 4, of 8, 11 Laws of Ukraine "About state regulation of the security market in Ukraine", article 27 of the Law of Ukraine "About securities and the stock market", the Laws of Ukraine "About banks and banking activity", "About joint-stock companies", "About institutes of joint investment (share and corporate investment funds)", "About financial services and state regulation of the markets of financial services", "About economic societies", "About state registration of legal entities and physical persons - entrepreneurs" and other regulatory legal acts the National commission on securities and the stock market SOLVED:

1. In the decision of State commission on securities and the stock market of 09.10.2007 No. 2009, registered in the Ministry of Justice of Ukraine 19.11.2007 for No. 1285/14552:

state heading in the following edition:

"About approval of the Procedure and conditions of licensing for implementation of professional activity in the security market - activities for management of mortgage covering";

state Item 1 in the following edition:

"1. Approve the Procedure and conditions of licensing for implementation of professional activity in the security market - activities for management of mortgage covering it (is applied)".

2. Approve Changes of 09.10.2007 No. 2009, registered in the Ministry of Justice of Ukraine 19.11.2007 for No. 1285/14552 (are applied) to the Procedure and conditions of licensing for implementation of activities for management of the mortgage covering and its cancellation approved by the decision of State commission on securities and the stock market.

3. And stock exchanges of O. Naumenko to provide to the director of the department of regulation of activities of dealers in securities:

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

publication of this decision according to the legislation.

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

5. Control over the implementation of this decision to assign to the member of the commission O. Tarasenko.

Approved by the Decision of the National commission on securities and the stock market of Ukraine of February 7, 2012 No. 234

Changes to the Procedure and conditions of licensing for implementation of activities for management of mortgage covering and its cancellation

1. State heading in the following edition:

"Procedure and conditions of licensing for implementation of professional activity in the security market - activities for management of mortgage covering".

2. In preamble of figure "13" to exclude, after words of "the Laws of Ukraine" to add with the words "About Banks and Banking Activity", "About Joint-stock Companies",".

3. In Chapter 1:

3.1. In Item 1:

after words "licensing conditions on" the words "activities implementation" shall be replaced with words "implementation of professional activity in the security market - activities"; after the word "bases" of the word "and procedure of cancellation of the license" shall be replaced with words "refusal in licensing".

3.2. In Item 2:

in the paragraph the second ambassador of the word "applicant" of the word "non-bank financial institution" shall be replaced with words "financial institution (bank or non-bank financial institution)";

in paragraph nine to exclude the word "non-bank"; "State" to replace the word with the word "National";

the tenth - the thirteenth to state paragraphs in the following edition:

"the connected persons are:

legal entities provided that one of them exercises control over another or both are under control of the third party;

members of the family of physical person - the husband (wife), and also parents (adoptive parents), guardians (custodians), brothers, sisters, children and their husbands (wives);

the physical person and members of his family and the legal entity, if such physical person and/or members of his family exercise control over the legal entity;";

add Item after the paragraph of the thirteenth with the new paragraph the fourteenth the following content:

"legal entities who directly or mediately own one in another share of the authorized capital, component of 10 and more percent of the authorized capital of such legal entity;".

With respect thereto the fourteenth - the seventeenth to consider paragraphs respectively paragraphs the fifteenth - the eighteenth;

the fifteenth to state the paragraph in the following edition:

"control - opportunity to perform decisive influence on management and/or activities of the legal entity by immediate and/or mediate possession by one person independently or together with other persons of shares in the legal entity, corresponding to equivalent of 50 or more percent of the authorized capital and/or voices of the legal entity, or irrespective of formal ownership opportunity to perform such influence based on the agreement or somehow.";

the sixteenth - the eighteenth to exclude paragraphs.

3.3. In Item 3 of the word "and its cancellations" to exclude.

3.4. In item 4:

in paragraph one: the first offer after the words "applicant (licensee)" to add with words "(except bank)", after the words "in use" to add with the word "non-residential", "the certificate on state registration of the legal entity" shall be replaced with words words "to the extract from the Unified State Register of Legal Entities and physical persons - entrepreneurs and the license"; the second offer after the words "in use" to add with the word "non-residential", to add the offer with words "which shall meet the requirements concerning the room of the applicant (licensee) established by this Procedure";

to add the second and fifth paragraphs after the words "applicant (licensee)" with words "(except bank)";

paragraphs of the sixth - to exclude the eighth.

With respect thereto the ninth to consider the paragraph the paragraph the sixth.

3.5. State Item 6 in the following edition:

"6. Effective period of license for activities on management of mortgage covering is established by the resolution of the Cabinet of Ministers of Ukraine of 07.06.2006 No. 802 "About establishment of effective period of licenses for implementation of professional activity in the security market".".

3.6. To add Item 7 after words of "license effective period" with words "(in the presence of the corresponding term in the form of the license)", after words "invalid or" to add with words "entry into force of the decision about".

3.7. To add Item 8 after words of "license effective period" with words "(in the presence of the corresponding term in the form of the license)", the words "recognition its invalid or cancellation of the license is not allowed" shall be replaced with words "recognition its invalid (except cases of recognition of the invalid license in connection with its renewal and issue of the duplicate of the license) or the decision on cancellation of the license which became effective in the procedure established by the legislation (except case of cancellation of the license in connection with the termination of the licensee by reorganization as a result of transformation) it is not allowed".

3.8. To add Item 9 after the words "upon termination of license effective period" with words "(in the presence of the corresponding term in the form of the license)".

3.9. In Item 10:

to add paragraph two after words of "the renewed license" with words "(in the presence of the corresponding term in the form of the license)";

third to add the paragraph with the offer of such content: "The license which is renewed, recognized invalid.".

3.10. To add Item 11 after words of "the license for implementation" with words "professional activity in the security market -", after the word and figure" (1)" to add appendix with words and figure", the statement for licensing for implementation of professional activity in the security market - activities for management of mortgage covering (appendix 2)".

3.11. State Item 12 in the following edition:

"12. For licensing, renewal of the license, issue of the duplicate and copy of the license the payment in the amount of, established by the relevant decision of the Commission approved by the resolution of the Cabinet of Ministers of Ukraine of 26.10.2011 No. 1097 "Some questions of provision by the National commission on securities and the stock market of paid administrative services" is collected.".

3.12. In Item 13 after the words "is not subject to transfer" of the word "other persons" shall be replaced with words to "other subjects of managing".

3.13. In Item 14 of the word of "action of the license" shall be replaced with words "activities for management of mortgage covering".

4. In Chapter 2:

4.1. In Item 1:

the paragraph one after the words "sends by mail" to add with words "registered mail", after the words "on implementation" to add with words "professional activity in the security market -", to add the paragraph with words "(with indication of on envelope of division of the central office of the Commission performing consideration of this documents)";

paragraph two after the word "documents" to add with the word "exhaustive";

the paragraph of third after words to "the established form" to add with the word "be", after the words "are certified by seal" of the word of "legal entity" to replace with the word of "applicant";

in paragraph four after words "not the head of the applicant, and" the word "other person" shall be replaced with words "fulfilling its duties (except the cases established by the laws)";

add Item after the paragraph of the sixth with the new paragraph the seventh the following content:

"Besides, documents which are provided by the applicant according to requirements of this Procedure in writing are provided also electronically in the format determined by the Commission.".

With respect thereto to consider the paragraph of the seventh the paragraph the eighth.

4.2. In Item 2:

state subitem 2.1 in the following edition:

"2.1 the extract from the Unified State Register of Legal Entities and physical persons - entrepreneurs;";

in subitem 2.3 "applicant" shall be replaced with words the word "the signature of the head and the applicant's seal";

in subitem 2.4:

in paragraph one of the word "audit opinion concerning forming and payment of the authorized capital of the applicant (licensee) (the company on asset management)" shall be replaced with words "for financial institution (except bank) - audit opinion";

exclude paragraph two.

With respect thereto third to consider the paragraph the paragraph the second;

add the subitem with the new paragraph of the following content:

"for bank - the certificate of the National Bank of Ukraine (its territorial administration) of the size of the registered and actually paid authorized capital of bank for date of filing of application about licensing;";

state subitem 2.6 in the following edition:

"2.6 for bank - the copy of the banking license which is granted by the National Bank of Ukraine, certified by the signature of the head and the applicant's seal;";

subitems 2. 2.8 to state 7, in the following edition:

"2.7 the copy of Balance (No. form 1) according to appendix to the Provision (standard) of the financial accounting 2 "Balance" approved by the order of the Ministry of Finance of Ukraine of 31.03.99 No. 87, registered in the Ministry of Justice of Ukraine 21.06.99 for No. 396/3689 (with changes), and the copy of the Report on financial results (No. form 2) according to appendix to the Provision (standard) of financial accounting 3 "The report on financial results" approved by the order of the Ministry of Finance of Ukraine of 31.03.99 No. 87, registered in the Ministry of Justice of Ukraine 21.06.99 for No. 397/3690 (with changes), for the last accounting year, certified by the signature of the head and the applicant's seal (except bank).

If the applicant (licensee) in the current year registers increase in the authorized capital, then it is necessary to put these forms as well for reporting quarter in which there was increase in the authorized capital (except case when documents are provided before the termination of reporting quarter in which there was this increase);

2.8 for the applicant (bank) - the reference on the leading officials and the applicant's specialists who will perform (perform) professional activity in the security market, - activities for management of mortgage covering and certified in the procedure established by the Commission (appendix 4), with application of copies of the appropriate certificates certified by the signature of the head and the applicant's seal;";

in subitem 2.9:

" (licensee) (the company on asset management)" shall be replaced with words words "(non-bank financial institution)"; after the words "and applicant's specialists" to exclude the word of "(licensee)"; after the word "attested" "applicant" shall be replaced with words the word "the signature of the head and the applicant's seal";

in subitem 2.10:

after the word "attested" of the word "the applicant (licensee)" shall be replaced with words "the signature of the head and the applicant's seal (except bank)"; after the words "the property right on" to add with the word "non-residential"; after the words "concluded by the applicant" "(licensee)" to exclude the word;

in subitem 2.11:

in the first paragraph after the word "attested" of the word "the applicant (licensee)" shall be replaced with words "the signature of the head and the applicant's seal"; after words of "structure of the applicant" to exclude the word of "(licensee)";

in the second paragraph of the word "The Specified Copy of the Document Moves the Applicant (Licensee)" shall be replaced with words "Moves the applicant";

in subitem 2.12:

in the first paragraph after the word "attested" of the word "the applicant (licensee)" shall be replaced with words "the signature of the head and the applicant's seal (except bank)";

the second paragraph after the word "right" to add with words "property or";

to add subitem 2.14 after words of "securities" with words of "the applicant (licensee)";

state subitem 2.15 in the following edition:

"2.15 the reference constituted by the applicant (except bank) in any form, about availability at it of the equipment, including at least three computers, with the device for uninterrupted power supply, and also are obligatory means of communication (e-mail, phone, the fax) and program complex which will provide provision in the Commission of administrative data and information in the form of electronic documents using the digital signature;";

in subitem 2.16:

in paragraph one "(licensee)" shall be replaced with words the word "(except bank)";

in the paragraph the second "(licensee)" and "(licensee)" to exclude words;

exclude subitem 2.17.

With respect thereto to respect subitem 2.18 subitem 2.17;

in subitem 2.17 after words "the applicant (licensee)" shall be replaced with words "the signature of the head and the applicant's seal".

5. In Chapter 3:

5.1. Add Item 1 with the new paragraph of the following content:

"On management of mortgage covering the bank, the minimum size of the authorized capital and which financial condition meet the requirements established by the National Bank of Ukraine can obtain license for activities.".

5.2. "Covering" to add Item 2 after the word with words "(except the cases provided by the laws)".

5.3. State item 4 in the following edition:

"4. The size of the authorized capital of the applicant (except bank) for implementation of management of mortgage covering of regular mortgage bonds cannot be less, than 25 million hryvnias, and for management of mortgage covering of the structured mortgage bonds cannot be less, than 35 million hryvnias according to the financial reporting for the last accounting period which moves it according to subitem 2.7 of Item 2 of Chapter 2 presents of the Procedure, at the same time the authorized capital shall be paid only with money.

The applicant (except bank) in case of receipt of the license shall meet the requirements concerning the size of its equity according to the financial reporting which is provided according to subitem 2.7 of Item 2 of Chapter 2 presents of the Procedure which shall be at least, than the size of its registered authorized capital.

At the same time on result of the second and each following financial year from the date of creation of this society the size of its equity shall be at least, than the size of the registered authorized capital.".

5.4. In Item 5:

the paragraph one to state in the following edition:

"5. The leading officials of the applicant, its separate divisions to whom the powers concerning implementation of activities for management of mortgage covering determined by the decision of State commission by the securities and the stock market of 05.01.99 No. 1 "About determination of the list of the leading officials who are subject to certification for implementation by their legal entities of professional activity in the security market" registered in the Ministry of Justice of Ukraine 19.01.99 for No. 25/3318 are conferred (with changes) and also specialists of the applicant, its isolated and/or specialized structural divisions which directly perform activities for management of mortgage covering shall be certified according to Regulations on certification of persons performing professional activity with securities in Ukraine approved by the decision of State commission on securities and the stock market of 29.07.98 No. 93, registered in the Ministry of Justice of Ukraine 06.10.98 for No. 631/3071 (with changes), on specialization of the specialist in asset management";

after paragraph one to add Item with the new paragraph the second the following content:

"In the presence at the applicant (except bank) person holding position of the chief accountant it shall meet the Professional requirements to the chief accountants of professional participants of the security market approved by the decision of State commission on securities and the stock market of 24.04.2007 No. 815, registered in the Ministry of Justice of Ukraine 16.05.2007 for No. 510/13777 (with changes).".

With respect thereto to consider paragraph two the paragraph third;

in paragraph three shall be replaced with words the word of "(licensee)" "(except bank)".

5.5. State Item 6 in the following edition:

"6. For the applicant who intends to exercise control of mortgage covering of regular mortgage bonds in case of receipt of the license, qualification requirements following: at least three certified specialists (including the leading officials) and at least two certified specialists (including the leading officials) - for each separate division to which powers are conferred to perform these activities (in case of receipt of the copy of the license).".

5.6. In Items 7, shall be replaced with words the 8th word of "(licensee)" "(except bank)".

5.7. State Item 9 in the following edition:

"9. For the applicant who intends to exercise control of mortgage covering of the structured mortgage bonds in case of receipt of the license, qualification requirements following: at least four certified specialists (including the leading officials) and at least three certified specialists (including the leading officials) - for each separate division to which powers are conferred to perform these activities (in case of receipt of the copy of the license).".

5.8. In Item 10 to exclude the word of "(licensee)".

5.9. In Item 11 "(licensee)" shall be replaced with words the word "(except bank)".

5.10. State Item 12 in the following edition:

"12. In case of the organization by the applicant of activities for management of mortgage covering of regular mortgage bonds as a part of the specialized structural divisions having other location, than the applicant (including in other region), the number of the certified specialists (including the head of this division) shall make at least two on each such division, and in case of implementation of management of mortgage covering of the structured mortgage bonds - at least three.".

6. In Chapter 4:

6.1. In Item 1:

to add subitem 1.4 after words of "the statement for licensing" with the words "or during its consideration";

add Item with the new subitem of the following content:

"1.5 the electronic document form in the format determined by the Commission according to requirements of Item 1 of Chapter 2 presents of the Procedure is not enclosed.".

6.2. Add paragraph one of Item 2 with words and figures ", and in case of obtaining by the Commission of the documents provided by subitem 1.4 of Item 1 of this Chapter within five working days from the date of their obtaining.".

6.3. In paragraphs one and the second Item 6 of the word of "(licensee)" and "(licensee)" to exclude.

6.4. To add Item 7 after the words "about adoption of the relevant decision" with words "(with application of a copy of this decision)".

7. In Chapter 5:

7.1. Item 1 in paragraph one after the words "from date" of the word of "issue of the new certificate on state registration (in which corresponding changes are specified)" shall be replaced with words "implementation of registration action (the state registrar) of rather corresponding changes".

7.2. In Item 2:

state subitem 2.1 in the following edition:

"2.1 the extract from the Unified State Register of Legal Entities and physical persons - entrepreneurs (in which corresponding changes are specified);";

to add subitem 2.2 after words of "the constituent document" with words "(new edition)";

in subitem 2.4: after the word "attested" "licensee" shall be replaced with words the word "the signature of the head and seal of the licensee (except bank)"; after the words "the property right on" to add with the word "non-residential";

add Item with the new subitem of such content:

"2.6 the copy of the payment document confirming introduction by the licensee of payment for renewal of the license according to Item 12 of Chapter 1 of this Procedure certified by the signature of the head and the applicant's seal.".

7.3. In item 4 to replace the word of "seven" with the word of "ten".

7.4. In Item 6:

to add subitem 6.4 after words of "renewal of the license" with the words "or during its consideration";

add Item with the new subitem of the following content:

"6.5 the room does not meet for the new location of the licensee the requirements established by the Commission for this type of activity.".

7.5. Item 7 in paragraph one after the words "no later than" to replace the word "seven" with the word "ten", to add the paragraph with words and figures ", and in case of obtaining by the Commission of the documents provided by subitem 6.4 of Item 6 of this Chapter within five working days from the date of their obtaining".

7.6. Exclude Item 8.

8. In Chapter 6:

8.1. In Item 1:

add subitem 1.1 with the words "according to the established requirements (except bank)";

state subitem 1.3 in the following edition:

"1.3 for bank - the copy of regulations on separate division of the bank approved in accordance with the established procedure, and the copy of regulations on structural division of this separate division which performs activities for management of mortgage covering, approved in accordance with the established procedure which shall meet the requirements of the Provision concerning the organization of activities of banks and their separate divisions when implementing of professional activity by them in the stock market approved by the decision of State commission on securities and the stock market of 16.03.2006 No. 160, registered in the Ministry of Justice of Ukraine 10.04.2006 for No. 409/12283 (with changes);";

in subitem 1.4 of the word "for the company on asset management -" and "the professional level" to exclude; replace figures "13" with figures "12";

in subitem 1.5 "licensee" shall be replaced with words the word "the signature of the head and seal of the licensee (except bank)"; after the words "the property right on" to add with the word "non-residential";

in subitem 1.6 "licensee" shall be replaced with words the word "the signature of the head and seal of the licensee (except bank)"; after the word "protection" to add with the word of "above";

add Item with the new subitem of the following content:

"1.7 the copy of the payment document confirming introduction by the licensee of payment for issue of the copy of the license according to Item 12 of Chapter of 1 this Procedure certified by the signature of the head and seal of the licensee.".

8.2. In Item 2:

subitem 2.1 after the words "in separate division" to add with words "the licensee (except bank)";

in subitem 2.4 of the word" (the company on asset management)" to exclude.

8.3. In item 4 of the word "three working days" shall be replaced with words "five working days".

8.4. In Item 5: after the words "refusal in issue of the copy of the license" to add with words "(with application of a copy of the relevant decision)"; after the word "during" to replace the word of "three" with the word of "five"; add Item with words "(it is signed by the head of the structural unit of the Commission which performs consideration of the application about receipt of the copy of the license and the relevant documents).".

8.5. Add Item 6 with the new subitem of the following content:

"6.3 absence at the licensee on the location of its separate division of the room or discrepancy of such room to the requirements established by the Commission.".

8.6. In Item 8 shall be replaced with words the word of "applicant" "separate division of the licensee".

8.7. In Item 10:

in paragraph one to replace the word of "twenty" with the word of "fifteen";

in subitem 10.5 "licensee" shall be replaced with words the word "the signature of the head and seal of the licensee (except bank)"; after the words "the property right on" to add with the word "non-residential"; after words of "management of mortgage covering" to add with the words "on its new location";

add Item with the new subitem of the following content:

"10.6 certified by the signature of the head and seal of the licensee (except bank) the copy of the document confirming providing the above-stated room with the round-the-clock protection in which it will be performed (is performed) activities for management of mortgage covering of the structured mortgage bonds.

If in the document confirming right to use by the room it is provided such protection, the specified document separately is not filed.".

8.8. In Item 12:

add Item after paragraph one with new subitem 12.1 of the following content:

"12.1 the application is signed by person which does not have on it powers;".

With respect thereto subitems 12. 12.2 to consider 1, respectively subitems 12. 2,

12.3;

add Item with the new subitem of the following content:

"12.4 the room does not meet for the new location of separate division of the licensee the requirements established by the Commission".

8.9. In Item 13 to replace the word "seven" with the word "five".

9. In Chapter 7:

9.1. In the paragraph the second Item 1 after the word "appendix" of figure "14" to replace with figures "13"; add the paragraph with words and figures "and the copy of the payment document confirming introduction by the licensee of payment for issue of the duplicate of the license according to Item 12 of Chapter 1 of this Procedure certified by the signature of the head and the applicant's seal.".

9.2. In Item 2 after the word "appendix" of figure "14" to replace with figures "13"; add Item with words and figures "and the copy of the payment document confirming introduction by the licensee of payment for issue of the duplicate of the license according to Item 12 of Chapter 1 of this Procedure certified by the signature of the head and the applicant's seal.".

9.3. Add Item 3 with words "(in the presence of the corresponding term in the form of the license)".

10. Chapter 8-10 of the Procedure to exclude.

11. 1, 2 to the Procedure after words of "the license for implementation" to add the name of appendices with words "professional activity in the security market -".

12. In appendix 3:

12.1. In the table "Information on Owners and Head of the Applicant (Licensee)":

in the name of the word "and head" to exclude;

in the text the line "In ___ Head of the Applicant (Licensee)" to exclude.

12.2. In the table "Information on the Connected Faces of Owners of the Applicant (Licensee) — Physical Persons":

in the name of column to exclude 2 words of "group of the connected persons";

exclude column 9;

footnote to the table after the words "»-the professional participant of the security market" to add with the words "and-the auditor (auditing firm) defined by the agreement on management of mortgage covering at-the servicing organization"; replace figures "20" with figures "10".

12.3. In the table "Information on Legal Entities in Whom Owners of the Applicant (Licensee) — Legal Entities — Take Part":

in the name of the word "take part" shall be replaced with words and in figures "at least than 10 percent of the authorized capital of such legal entity or over which they exercise control own share";

after column 1 to add with new column 2 "The name of the owner".

With respect thereto to consider columns 2-7 respectively columns 3-8;

footnote to the table after the words "»-the professional participant of the security market" to add with the words "and-the auditor (auditing firm) defined by the agreement on management of mortgage covering at-the servicing organization"; replace figures "20" with figures "10".

12.4. In the table "Information on Persons Owning at Least than 20 Percent in the Authorized Capital of Legal Entities — Owners of the Applicant (Licensee)":

in the name of figure "20" to replace with figures "10", after words of "the applicant (licensee)" to add with the words "or exercise over them control";

after column 1 to add with new column 2 "The name of the owner".

With respect thereto to consider columns 2-6 respectively columns 3-7.

12.5. In the table "Information on Legal Entities in Whom the Applicant (Licensee) Takes Part":

in the name of the word "takes part" shall be replaced with words and in figures "at least than 10 percent or over which exercises control own share of the authorized capital";

exclude column 2.

With respect thereto to consider columns 3-7 respectively columns 2-6;

footnote to the table after the words "»-the professional participant of the security market" to add with the words "and-the auditor (auditing firm) defined by the agreement on management of mortgage covering at-the servicing organization"; replace figures "20" with figures "10".

12.6. To it to exclude the table "Information on the Connected Faces of the Head of the Applicant (Licensee)" and footnote.

13. Be reworded as follows appendix 4 it (is applied).

14. In appendix 5:

to state the name of column 7 in such edition: "Certificate of the specialist in asset management: date of issue, number, effective period (for the bukhgalterakvalifikatsionny certificate of the specialist in questions of financial accounting of professional participants of the stock market)";

to add the name of column 8 with the words "according to the corresponding sanction".

15. In appendices 9, 10:

to add the name after the words "on implementation" with words "professional activity in the security market -";

to add the text after the words "license effective period with __ on __" with words "(in the presence of the corresponding term in the form of the license)".

16. Exclude appendix 12.

With respect thereto to respect appendices 13-16 respectively appendices 12-15.

17. To state the name of column 6 of appendix 12 in such edition: "Certificate of the specialist in asset management: date of issue, number, effective period".

18. In appendix 13:

to add the name after the words "on implementation" with words "professional activity in the security market -";

after the words "license effective period with __ on ___" to add with words "(in the presence of the corresponding term in the form of the license)".

19. 14, 15 to the Procedure to exclude appendices.

20. In marks to appendices 1-13 of the word "to the Procedure and conditions of licensing for implementation of activities for management of mortgage covering and its cancellation" shall be replaced with words "to the Procedure and conditions of licensing for implementation of professional activity in the security market - activities for management of mortgage covering".

Appendix 4

to the Procedure and conditions of licensing for implementation of professional activity in the market valuable bumagdeyatelnost on management of mortgage covering

The reference on the leading officials and the applicant's specialists who will perform (perform) professional activity in the security market - activities for management of mortgage covering and certified in the procedure established by the Commission

Дата подписания справки:
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| № |Фамилия, |Идентификацион- |Долж- |Телефоны|Сертификат|  Сведения о   |  Название   |
|п/п|имя,     |ный номер физи- |ность |        |специалис-|  судимости,   |  документа  |
|   |отчество |  ческого лица  |      |        |та по уп- |   штрафы за   |  (дата и    |
|   |         | (при наличии)  |      |        |равлению  |административн.|номер), кот. |
|   |         |                |      |        |активами: |правонарушения |   назначен  |
|   |         |                |      |        |номер,дата|на рынке ценных|   (уволен)  |
|   |         |                |      |        |  выдачи, |    бумаг      | специалист  |
|   |         |                |      |        |   срок   |               | или которым |
|   |         |                |      |        | действия |               |  назначены  |
|   |         |                |      |        |          |               | полномочия  |
|   |         |                |      |        |          |               | непосредств.|
|   |         |                |      |        |          |               | осуществлять|   
|   |         |                |      |        |          |               | профессиона-|
|   |         |                |      |        |          |               |    льную    |
|   |         |                |      |        |          |               |деятельность |
|---+---------+----------------+------+--------+----------+---------------+-------------|
| 1 |         |                |      |        |          |               |             |
|---+---------+----------------+------+--------+----------+---------------+-------------|
| 2 |         |                |      |        |          |               |             |
|---+---------+----------------+------+--------+----------+---------------+-------------|
| 3 |         |                |      |        |          |               |             |
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 Руководитель юридического лица     М.П. _______________  (Ф.И.О.)
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