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

of April 26, 2012 No. 583

About procedure for representation by the responsible person of non-bank financial group of information of the National commission on securities and the stock market about existence, structure of property of non-bank financial group and about changes concerning structure of property and types of activity of members of non-bank financial group

According to article 16-1 of the Law of Ukraine "About financial services and state regulation of the markets of financial services", the Law of Ukraine of May 19, 2011 No. 3394-VI "About introduction of amendments to some laws of Ukraine concerning supervision on the consolidated basis" the National commission on securities and the stock market RESHILA:

1. Establish such procedure for representation by the responsible person of non-bank financial group (further - the responsible person) information of the National commission on securities and the stock market (further - the Commission) about existence of non-bank financial group, structure of property of the relevant non-bank financial group and about changes concerning structure of property and types of activity of members of non-bank financial group:

1.1. The responsible person within 30 days from the date of the message on adoption of the decision by the Commission concerning coordination of such responsible person provides to general department of central office of the Commission information on existence of non-bank financial group and structure of property of non-bank financial group according to appendix 1 to this decision.

1.2. The responsible person shall provide observance by non-bank financial group of the requirements established by this decision.

2. Interaction between members of non-bank financial group and the responsible person is performed according to the accounting procedures installed in group, information systems necessary for ensuring accomplishment with requirements on the consolidated basis.

3. Members of non-bank financial group not later than 10 calendar days after change of the structure of property and types of activity shall report about it to the responsible person.

4. The responsible person provides to general department of central office of the Commission the following information:

annual, not later than February 1 - information on members of the relevant non-bank financial group and information on non-bank financial institution (non-bank financial institutions) which, (which) performs (yut) in group preferential activities, according to appendix 2 to this decision, constituted by condition for January 1;

information on changes concerning structure of property of non-bank financial group and types of activity of her participants - not later than 30 calendar days after approach of such changes according to appendix 3 to this decision.

5. During consideration of information on existence of non-bank financial group, structure of property of the relevant non-bank financial group and about changes concerning structure of property and types of activity of members of the non-bank financial group provided by the responsible person, the Commission can make request concerning explanation of their separate provisions or concerning posylaniye within 10 days of the specified information.

6. The state control of observance of requirements of this decision is exercised by the Commission.

7. And stock exchanges (O. Naumenko) to provide to department of regulation of activities of dealers in securities submission of this decision on state registration in the Ministry of Justice of Ukraine.

8. (Yu. Zhuly) to provide to department of external and internal communications publication of this decision according to requirements of the legislation of Ukraine.

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

10. Control over the implementation of the decision to assign to the member of the National commission on securities and the stock market K. Krivenko.

Appendix 1

to the Decision of the National commission on securities and the stock market of Ukraine of April 26, 2012 No. 583

Information on existence of non-bank financial group and structure of property of non-bank financial group

See Information on existence of non-bank financial group and structure of property of non-bank financial group (8Kb In original language)

Appendix 2

to the Decision of the National commission on securities and the stock market of Ukraine of April 26, 2012 No. 583

Information on members of the relevant non-bank financial group and information on non-bank financial institution (non-bank financial institutions) which, (which) performs (yut) in group preferential activities

See Information on members of the relevant non-bank financial group and information on non-bank financial institution (non-bank financial institutions) which, (which) performs (yut) in group preferential activities (7Kb In original language)

Appendix 3

to the Decision of the National commission on securities and the stock market of Ukraine of April 26, 2012 No. 583

Information on changes concerning structure of property of non-bank financial group and types of activity of her participants

See Information on changes concerning structure of property of non-bank financial group and types of activity of her participants (8Kb In original language)

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