Document from CIS Legislation database © 2003-2021 SojuzPravoInform LLC

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Ministry of Justice of Ukraine

July 17, 2013

No. 1199/23731

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

of June 20, 2013 No. 1106

About approval of the Regulations on activities of depository institutions concerning storage of assets of institution investors

(as amended on 22-07-2021)

According to Articles 3, 19 Laws of Ukraine "About depositary system of Ukraine", Item 13 of article 8 of the Law of Ukraine "About state regulation of the security market in Ukraine", for the purpose of settlement of activities for storage of assets of institutes of joint investment and activities for storage of assets of the pension funds from the date of the introduction in operation of the Law of Ukraine "About depositary system of Ukraine" the National commission on securities and the stock market RESHILA:

1. Approve Regulations on activities of depository institutions concerning storage of assets of institution investors it (is applied).

2. To provide to department of regulation of depository and settlement and clearing activity (I. Kurochkin) 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 the legislation.

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

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

Commission chairman

D. Tevelev

Approved by the Decision of the National commission on securities and the stock market of Ukraine of June 20, 2013 No. 1106

Regulations on activities of depository institutions concerning storage of assets of institution investors

I. General provisions

1. This Provision determines procedure for carrying out by depository institution of activities for storage of assets of institutional investors, namely institutes of joint investment (further - ISI) and non-state pension funds (further - PF), according to the Laws of Ukraine "About institutes of joint investment" (further - the law on ISI), "About non-state pension provision" (further - the law on oil refinery) and "About depositary system of Ukraine" and establishes procedure for granting of services in servicing of transactions with assets of ISI and assets of PF, and also procedure of supervision of compliance of transactions with assets of ISI to the regulations, the prospectus of the issue of securities of ISI and the legislation.

2. Documents (their copy) which according to this Provision require assurance by seal (seals) can be certified by seal (seals) in case of use by person in the activities of seal (seals).

3. In this Provision terms are used in the following values:

depository institution - the legal entity who in accordance with the established procedure obtained the license for implementation of depository activity of depository institution;

keeper of assets of ISI:

for ISI with public placement - the depositary organization - the bank having the license for activities on storage of assets of ISI granted by the National commission on securities and the stock market (further - the Commission) and with which in the procedure established by the legislation the service agreement is signed by the keeper of assets of ISI;

for ISI with private placement - the depository institution having the license for activities on storage of assets of ISI granted by the Commission and with which in the procedure established by the legislation the service agreement is signed by the keeper of assets of ISI;

the keeper of PF - the depositary organization - the bank having the license for activities on storage of assets of PF granted by the Commission and with which in the procedure established by the legislation the service agreement PF is signed by the keeper;

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