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Ministry of Justice of Ukraine

 October 1, 2013

No. 1689/24221

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

of September 10, 2013 No. 1753

About approval of the Regulations on structure and structure of assets of institute of joint investment

(as amended on 09-09-2021)

According to Item 3 parts one of Article 7 and Item 13 of article 8 of the Law of Ukraine "About state regulation of the security market in Ukraine", the Laws of Ukraine "About securities and the stock market", "About economic societies", "About institutes of joint investment", the subitem 59 of item 4 of the Regulations on the National commission on securities and the stock market approved by the Presidential decree of Ukraine of November 23, 2011 No. 1063, the National commission on securities and the stock market RESHILA:

1. Approve Regulations on structure and structure of assets of institute of joint investment which is applied.

2. Declare invalid decisions of State commission on securities and the stock market of January 11, 2002 No. 12 "About approval of the Regulations on structure and structure of assets of institute of joint investment", registered in the Ministry of Justice of Ukraine on February 6, 2002 at No. 108/6396 (with changes).

3. Department of general investment and regulation of activities of institutional investors (A. Simonenko) to provide submission of this decision on state registration in the Ministry of Justice of Ukraine.

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

5. Control over the implementation of this decision to assign to the member of the National commission on securities and the stock market A. Tarasenko.

6. This decision becomes effective since January 1, 2014.

The commission chairman on securities and the stock market

D. Tevelev

 

The minutes of the Commission of September 10, 2013 No. 46

Approved by the Decision of the National commission on securities and the stock market of Ukraine of September 10, 2013 No. 1753

Regulations on structure and structure of assets of institute of joint investment

I. General provisions

1. This Provision is developed according to the Laws of Ukraine "About institutes of joint investment", "About the capital markets and the organized goods markets", "About state regulation of the capital markets and the organized goods markets" and establishes requirements to structure and structure of assets of institute of joint investment (further - ISI) for the purpose of effective placement of financial resources of investors.

2. The structure and structure of assets of ISI are determined by regulations of ISI according to requirements of the Law of Ukraine "About institutes of joint investment" (further - the Law), this provision and other laws of Ukraine.

3. The requirements to structure of assets of ISI established by the Law and this Provision are applied in mutual investment fund (further - share fund) in six months from the date of registration of the prospectus of the issue of investment certificates of such fund by the National commission on securities and the stock market.

4. The requirements to structure of assets of ISI established by the Law and this Provision are applied to corporate investment fund (further - corporate fund) in six months from the date of registration of regulations of such NKTsBFR fund.

5. The requirements to structure of assets of ISI established by the Law and this Provision are not applied to qualification ISI.

6. From decision date about liquidation of ISI:

the requirements for structure of assets of ISI provided by the Law and this Provision are not applied to such ISI.

7. No. 910 is excluded according to the Decision of the National commission on securities and the stock market of Ukraine of 27.12.2018.

II. General requirements to structure and structure of assets of ISI

1. Assets of ISI consist of money, including in foreign currency, on the current and deposit accounts opened in bank institutions, the bank metals, real estate objects, securities determined by the Law of Ukraine "About the capital markets and the organized goods markets", securities of foreign states and other foreign issuers, corporate laws expressed in other securities, forms, property rights and requirements, and also the derivative contracts and other assets permitted by the legislation of Ukraine taking into account the restrictions set by the Law directly for specific types and types of investment funds.

The specified assets are created paid) at the expense of means of joint investment.

2. Assets of ISI cannot include:

1) the securities issued by the company on asset management, the keeper of assets of ISI, Central Securities Depository, the appraiser of property of ISI and the auditor (auditing firm) of such ISI;

2) the securities issued by the connected faces of the company on asset management, the keeper of assets of ISI, Central Securities Depository, the appraiser of property of ISI and the auditor (auditing firm) of such ISI;

3) securities of the foreign states and foreign legal entities who are not admitted to trading at one of the leading foreign exchanges which list is determined by NKTsBFR;

4) securities of other ISI;

5) corporate bonds, mortgage bonds and bonds of local loans which credit rating does not correspond to the investment grade determined by authorized or acknowledged international rating agency by the National rating scale on the amount more than 20 percent of asset cost of ISI;

6) means and the bank metals placed on the current and deposit accounts in banks which credit rating does not correspond to the investment grade determined by authorized or acknowledged international rating agency by the National rating scale on the amount more than 20 percent of asset cost of ISI;

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