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Ministry of Justice of Ukraine

October 29, 2015

No. 1325/27770

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

of October 13, 2015 No. 1707

About procedure for accomplishment by stock market participants of decisions of the National Security and Defense Council of Ukraine on application of personal special economic and other rationing measures (sanctions)

(The last edition from 05-02-2019)

According to Article 2, Item 18 parts two of article 7 of the Law of Ukraine "About state regulation of the security market in Ukraine", taking into account the Law of Ukraine "About sanctions" and based on the decision of the National Security and Defense Council of Ukraine of September 2, 2015 "About application of personal special economic and other rationing measures (sanctions)", No. 549 enacted by the Presidential decree of Ukraine of September 16, 2015 "About the decision of the National Security and Defense Council of Ukraine of September 2, 2015 "About application of personal special economic and other rationing measures (sanctions)" (further - the Presidential decree of Ukraine of September 16, 2015 No. 549), the National commission on securities and the stock market SOLVED:

1. Professional participants of the stock market after entry into force of the Presidential decree of Ukraine which enacts certain decision of the National Security and Defense Council of Ukraine on application of personal special economic and other rationing measures (sanctions) against physical persons and legal entities, information on which is attached to such decision of the National Security and Defense Council of Ukraine (further - the sanctions list):

1) shall establish availability/absence among clients with whom agreements on provision of financial services are signed, depositors/owners of securities which accounts are serviced by depository institution (further - owners), the physical persons and legal entities specified in the sanctions list to which according to this decision of the National Security and Defense Council of Ukraine rationing arrangements (sanctions) are applied: "blocking of assets - temporary restriction of the right of person to use and dispose of the property belonging to it" (further - "blocking of assets"), "stop of financial transactions", "prevention of removal of the capitals out of limits of Ukraine", "suspension of execution of economic and financial liabilities", "suspension of execution of economic and financial liabilities (prohibition to grant the loans, loans, financial aid, guarantees; prohibition perform crediting through security purchase; will lock acquisitions of securities);

2) to refuse establishment of business contacts with persons specified in the sanctions list to whom the sanction "prohibition on establishment of business contacts" is applied;

3) in case of insufficiency of data for unambiguous identification of the owner/client with which the agreement on provision of financial services as persons is signed specified in the sanctions list, it is necessary to carry out refining of information on such person according to the legislation. Before establishment of accessory (or not accessories) it to persons specified in the sanctions list, accomplishment of orders/orders/orders of such person (his representative, the authorized person) and the actions determined by this decision stops.

2. To depository institutions after entry into force of the Presidential decree of Ukraine which enacts certain decision of the National Security and Defense Council of Ukraine on application of personal special economic and other rationing measures (sanctions) (further - the Decree):

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