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Ministry of Justice of Ukraine

September 9, 2013 

No. 1550/24082

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

of August 15, 2013 No. 1518

About approval of Requirements to the agreement on provision of the register of owners of personalized securities

(as amended on 22-07-2021)

According to Article 3, Item 38 parts two of Article 7, Item 13 of article 8 of the Law of Ukraine "About state regulation of the security market in Ukraine", Articles 14, 21, 22 Laws of Ukraine "About depositary system of Ukraine" the National commission on securities and the stock market RESHILA:

1. Approve Requirements to the agreement on provision of the register of owners of personalized securities which are attached.

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 in the official printing publication of the Commission;

promulgation of this decision on the official site of the Commission according to the legislation.

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 commission O. Tarasenko.

Commission chairman                                                          

D. Tevelev

Approved by the Decision of the National commission on securities and the stock market of Ukraine of August 15, 2013 No. 1518

Requirements to the agreement on provision of the register of owners of personalized securities

І. General provisions

1. These Requirements extend to depository institutions, issuers and Central Securities Depository (further - the Central depositary) in case of the conclusion them agreements on provision of the register of owners of personalized securities (further - the Agreement), modification of it.

2. The agreement is signed between the issuer and person determined by the issuer (further - the Parties) which can be the Central depositary or depository institution (further - Certain person). Such Agreement can not be signed between the issuer and the Central depositary if Certain person elects the Central depositary and conditions and procedure for provision of the register are provided in the service agreement of issues of securities.

3. The terms of the contract limiting the issuer's rights in comparison with the rights established by the law are insignificant.

Any proposals of Certain person of the issuer on change of essential terms of the contract shall be performed in the terms established by the Agreement, way of the direction Certain person to the issuer of the notification by method which allows to establish date of sending such notification. Terms of the contract about provision to the issuer of offers on change of essential terms of the contract otherwise, than that which allows to establish date of sending the notification to such issuer without its written consent, are insignificant.

4. In all that it was not stipulated by the Parties in the Agreement, the Parties are guided by the legislation of Ukraine.

ІІ. Requirements to the Agreement

1. The agreement shall meet general requirements which are stipulated by the legislation Ukraine.

2. The agreement shall be constituted in the form of the single document signed by the parties or in electronic form according to the Laws of Ukraine "About electronic documents and electronic document management", "About electronic confidential services".

The agreement fastening can be determined by seals (in case of their use) by the written arrangement of the parties.".

3. In the Agreement shall be specified:

1) place, date of the conclusion of the Agreement and agreement number;

2) Agreement details of the parties - full names of the Parties, their codes on EGRPOU, bank details, details of documents according to which the Parties have the right to sign the Agreement and on the basis of which agents of the parties act;

3) the subject of the agreement - service concerning provision of the register of owners of personalized securities and other services according to the Laws of Ukraine "About depositary system of Ukraine", "About joint-stock companies", "About the capital markets and the organized goods markets".

By the agreement the right concerning provision by Certain person of additional services when holding general meeting can be caused (next or extraordinary) joint-stock company, in particular to perform functions of the registration commission or counting board, to perform for the issuer preparation and provision to it help and analytical materials which characterize the security market, consultation on questions of accounting and/or turnover of securities, or other services which are not forbidden by the legislation concerning the securities issued by the issuer and if Certain person is the depository institution, - also services concerning management of its account in the Central depositary;

4) information concerning cost and payment procedure of service (services);

5) method and procedure for exchange of information between the Parties. The form, content and terms of submission of information, and also method which will perform this representation are subject to coordination by Agreement parties;

6) rights and obligations of the Parties;

7) responsibility of the parties, conditions under which the Parties are exempted from liability, and procedure for resolution of disputes;

8) duration of the agreement and other terms of the contract. Each of the Parties in case of failure to carry out, inadequate, untimely accomplishment of terms of the contract, liquidation of one of Agreement parties, impossibility of accomplishment of terms of the contract has the right ahead of schedule to terminate the Agreement, having in writing warned about it other Party in time, established by the Agreement;

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