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Ministry of Justice of Ukraine

June 1, 2013

No. 857/23389

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

of May 14, 2013 No. 819

About approval of Licensed conditions of conducting professional activity in the stock market (security market) - activities for the securities trading

(as amended on 10-08-2017)

According to Articles 3, 4, part one and Items 9, 17, 27, 28 parts two of Article 7, Items 2 - 4, 13, 20, 33 articles 8 of the Law of Ukraine "About state regulation of the security market in Ukraine" the National commission on securities and the stock market (further - the Commission) RESHILA:

1. Approve Licensed conditions of conducting professional activity in the stock market (security market) - activities for the securities trading which are applied.

3. Professional participants of the stock market who obtained termless licenses on maintaining certain type of professional activity in the stock market within two years after entry into force of the Law of Ukraine of July 04, 2012 "About modification of some legal acts of Ukraine concerning enhancement of the legislation on securities" shall submit No. 5042-VI to NKTsBFR information provided by Items 2 - 13 parts two of article 27-1 of the Law of Ukraine "About securities and the stock market".

4. To banks which obtained the license for conducting professional activity in the stock market - activities for the securities trading to bring the activities into accord with requirements of Item 6 of the Section ІІ these Licensed conditions within three months from the effective date of this decision.

5. And stock exchanges (I. Ustenko) 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.

6. (Yu.Zhuly) to provide to department of external and internal communications of management of information technologies, external and internal communications publication of this decision according to the legislation.

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

8. Control over the implementation of this decision to assign to the member of NKTsBFR O. Tarasenko.

Commission chairman

D. Tevelev

Approved by the Decision of the National Commission on securities and the stock market of Ukraine of May 14, 2013 No. 819

Licensed conditions of conducting professional activity in the stock market (security market) - activities for the securities trading

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