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Ministry of Justice of Ukraine 

 September 11, 2013

No. 1572/24104

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

of August 13, 2013 No. 1464

About approval of the Regulations on certification of specialists in questions of the capital markets and the organized goods markets

(as amended on 05-08-2021)

According to Item 17 parts two of article 7 of the Law of Ukraine "About state regulation of the security market in Ukraine" and for the purpose of ensuring control of activities of persons performing professional activity with securities, the National commission on securities and the stock market RESHILA:

1. Approve Regulations on certification of specialists in questions of the capital markets and the organized goods markets which are applied.

2. Recognize invalid the decision of State commission on securities and the stock market of July 29, 1998 as No. 93 "About approval of the Regulations on certification of the persons performing professional activity with securities in Ukraine", the decision of State commission registered in the Ministry of Justice of Ukraine on October 6, 1998 No. 631/3071, on securities and the stock market of January 5, 1999 No. 1 "About determination of the list of the leading officials who are subject to certification for implementation by their legal entities of professional activity in the security market" registered in the Ministry of Justice of Ukraine on January 19, 1999 for No. 25/3318, and the decision of State commission on securities and the stock market of March 2, 2001 No. 50 "About approval of the Instruction about procedure for acceptance, consideration and document storage, provided for receipt of certificates by persons performing professional activity with securities in Ukraine", registered in the Ministry of Justice of Ukraine on March 21, 2001 No. 256/5447.

Item 3 is excluded according to the Decision of the National commission on securities and the stock market of Ukraine of 04.02.2016 No. 135, with respect thereto items 4 - 7 to consider respectively Items 3 - 6

3. This decision becomes effective in 30 calendar days from the date of its official publication.

4. To provide to department of the analysis, strategy and development of the legislation (M. Libany) submission of this decision on state registration in the Ministry of Justice of Ukraine.

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

6. Control over the implementation of this decision to assign to the member of the commission A.Mozgovy.

Commission chairman     

D. Tevelev

It is approved:

The chairman of Public service of Ukraine concerning regulatory policy and development of entrepreneurship

 

 

M. Yu. Brodsky

Approved by the Decision of the National commission on securities and the stock market of Ukraine of August 13, 2013 No. 1464

Regulations on certification of specialists in questions of the capital markets

I. General provisions

1. This Provision establishes procedure for carrying out by the National commission on securities and the capital markets and the organized goods markets (further - the Commission) certifications of persons which make the actions connected with direct implementation of professional activity in the capital markets and the organized goods markets.

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

the applicant - physical person which files to the Commission documents for receipt of the certificate, receipt of the duplicate of the certificate;

the register of the certified persons "Accounting of the Certified Persons Making the Actions Connected with Direct Implementation of Professional Activity in the Capital Markets and the Organized Goods Markets" - the automated system of collection, accumulating and information processing about persons who received the certificate on the right of making of the actions connected with direct implementation of professional activity in the capital markets and the organized goods markets including persons whose certificate of ceased to be valid or was cancelled which is posted on the website of the Commission (http://cert.nssmc.gov.ua/) (further - the Register of the certified persons);

the certificate on the right of making of the actions connected with direct implementation of professional activity in the capital markets and the organized goods markets (further - the certificate) - the document which confirms the fact of entering of the applicant into the register of the certified persons and its statement on accounting as the certified person and grants the right to making of the actions connected with direct implementation of professional activity in the capital markets and the organized goods markets;

certification - the procedure of registration of physical persons and introduction of physical persons which make or intend to make the actions connected with direct implementation of professional activity in the capital markets and the organized goods markets and conform to requirements of this provision, in the register of the certified persons by issue of certificates;

the certified person - the physical person entered in the register of the certified persons and addressed to which the certificate on the right of making of the actions connected with direct implementation of professional activity in the capital markets and the organized goods markets is written out;

The term "goodwill" is used in the value given in the Law of Ukraine "About the capital markets and the organized goods markets.

The term "qualification certificate" is used in the value given in Regulations on the procedure for training and certification of specialists in questions of the capital markets and the organized goods markets approved by the order of State commission on securities and the stock market of September 24, 1996 No. 215, registered in the Ministry of Justice of Ukraine on October 8, 1996 for No. 584/1609.

The term "faultless goodwill" is used in the value given in the Law of Ukraine "About prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction".

3. The certificate is issued based on the order of the Commission chairman, is acting in all territory of Ukraine and shall contain the following details:

text "National commission on securities and capital markets and organized goods markets";

text "Certificate";

number, effective date and end date of action of the certificate;

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