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The document ceased to be valid since  April 6, 2021 according to Item 2 of the Decision of the National commission on securities and the stock market of Ukraine of  January 21, 2021 No. 34

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Ministry of Justice of Ukraine

December 26, 2012

No. 2178/22490

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

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

(as amended on 07-12-2017)

According to Items 1, 6 parts two of Article 7, Item 13 of article 8 of the Law of Ukraine "About state regulation of the security market in Ukraine", part one of article 37 of the Law of Ukraine "About securities and the stock market", for the purpose of establishment of requirements concerning the admission to the address in the territory of Ukraine of securities of foreign issuers 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. And corporate finances (A. Papaik) to provide to corporate management department submission of this decision on state registration in the Ministry of Justice of Ukraine.

3. To provide to management of information technologies, external and internal communications (A.Zaik) publication of this decision according to requirements of the legislation of Ukraine.

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 National commission on securities and the stock market O. Petrashko.

 

Commission chairman

D. Tevelev

Approved by the Decision of the National commission on securities and the stock market of Ukraine of November 22, 2012 No. 1692

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

І. 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 (further - the Commission) for decision making about the admission of securities of foreign issuers to the address in the territory of Ukraine (further - the admission);

procedure for adoption by the Commission of the decision on the admission.

2. Action of this provision extends to issued securities of foreign issuers, including depositary receipts.

3. The impress of a seal is optional detail of any of documents which submission to registering body is provided by this Provision. Copies of documents which submission to the Commission is provided by this Provision are considered certified in accordance with the established procedure if on such copies the authorized signature of the subject of managing is put down.

II. Conditions and procedure for the admission of securities of foreign issuers to the address in the territory of Ukraine

1. Securities of the foreign issuer can be allowed to the address in the territory of Ukraine in case of simultaneous observance of the following conditions:

the issuer is registered in foreign state according to its legislation;

release and/or the prospectus of the issue of securities of the foreign issuer (in case of its absence - other document containing information on issue of securities of the foreign issuer) is registered in country of source of the issuer and/or the country where the circulation of its securities on the stock exchange (if need of such registration is stipulated by the legislation the respective country) is performed, and such securities are placed outside Ukraine;

the international identification number (ISIN code), code of classification of financial instruments is assigned to securities of the foreign issuer (CFI code);

there is written confirmation of Central Securities Depository about possibility of accounting of securities of the foreign issuer on the correspondent account of Central Securities Depository opened in depositary of foreign state or the international depositary and clearing organization with which, (which) Central Securities Depository establishes correspondence relations (except case when the statement for the admission is made by Central Securities Depository);

securities of the foreign issuer are allowed to the address at least on one of the foreign stock exchanges entering the list approved by the Commission.

2. The decision on the admission is made by the Commission on the statement of the foreign issuer of securities or Central Securities Depository (further - the applicant) on all securities of the corresponding release of the issuer.

3. For receipt of the admission the applicant files the documents determined by the Section III of this provision to the Commission.

The decision on the admission or on refusal in the admission is accepted by the Commission within 30 calendar days from the date of receipt of the documents determined by the Section III of this provision.

4. The decision on refusal in the admission is made in the following cases:

lack of any of the documents determined by the Section III of this provision;

unauthenticity of data in the documents submitted by the applicant;

availability of the restrictions provided by conditions of securities placement concerning the circulation of such securities in the territory of Ukraine;

discrepancies of the issuer and/or its securities to the admission conditions determined by this Provision.

The bases of refusal are specified in the decision on refusal in the admission.

In case of refusal all submitted documents remain in the Commission.

Documents for receipt of the admission can be filed repeatedly after elimination of the circumstances which formed the basis for refusal in the admission.

5. In the decision on the admission it shall be specified, in particular:

full name and location of the foreign issuer;

international security identification number (ISIN code), code of classification of financial instruments (CFI code) of securities on which the decision on the admission is made;

full name and the location of the foreign depositary organization in which for date of submission to the Commission of the statement for the admission of securities of the foreign issuer to the address in the territory of Ukraine securities of the corresponding release are considered.

6. Adoption by the Commission of the decision on the admission cannot be considered as guarantee of cost of such securities.

7. The commission provides:

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