DECISION OF EXECUTIVE DIRECTORATE OF FUND OF GUARANTEEING HOUSEHOLD DEPOSITS OF UKRAINE

of February 11, 2016 No. 135

About approval of Changes in Regulations on procedure for maintaining the register of members of Fund of guaranteeing household deposits

According to Item of 1 part three of article 12 of the Law of Ukraine "About system of guaranteeing household deposits" the executive directorate of Fund of guaranteeing household deposits solved:

1. Approve Changes in the Regulations on procedure for maintaining the register of members of Fund of guaranteeing household deposits approved by the decision of executive directorate of Fund of guaranteeing household deposits of July 12, 2012 No. 7, registered in the Ministry of Justice of Ukraine on September 7, 2012 at No. 1547/21859, which are applied.

2. To provide to department of strategy and normative and methodological providing together with legal department submission of this decision to the Ministry of Justice of Ukraine for state registration.

3. This decision becomes effective from the date of, its official publication following behind day.

4. To banks which are entered in the register of members of Fund of guaranteeing household deposits to bring the activities into accord with requirements of the Regulations on procedure for maintaining the register of members of Fund of the guaranteeing household deposits approved by the decision of executive directorate of Fund of guaranteeing household deposits of July 12, 2012 No. 7, registered in the Ministry of Justice of Ukraine on September 7, 2012 at No. 1547/21859, no later than fourteen days after entry into force of this decision.

5. And the international organizations to provide to department of public relations placement of this decision on the official page of Fund of guaranteeing household deposits on the Internet after its state registration.

Approved by the Decision of executive directorate of Fund of guaranteeing household deposits of Ukraine of February 11, 2016 No. 135

Changes in Regulations on procedure for maintaining the register of members of Fund of guaranteeing household deposits

1. To state Item 3 of the Section I in the following edition:

"3. The fund shall once a year, post as of January 01 on the official website the participant list of Fund no later than one month after approach of the corresponding term. The fund shall post in addition on the official website information on changes in the list of members of Fund no later than 14 days after entering of corresponding changes into the register of members of Fund, and also the participant list of Fund.".

2. In the Section II:

The subitem 7 of Item 5 to state 1) in the following edition:

"7) surname, name and middle name (in the presence) the chairman of the board (board of directors) or the acting as the chairman of the board (board of directors), the director or the acting as the director of the member of Fund, the authorized person of Fund on temporary administration;";

Item 6 to state 2) in the following edition:

"6. In the register in electronic form, except listed in Item 5 of this Section, the following data are in addition entered:

1) surname, name and middle name (in the presence), birth date and birth place, the residence and passport data (type on temporary/permanent residence), registration number of accounting card of the taxpayer, information on date and number of the administrative document which confirms the fact of appointment/transfer/dismissal and date of actual start of accomplishment of job responsibilities in full, phone numbers and the address of such categories of persons:

members of the supervisory (supervising) board of the member of Fund;

board members (board of directors) of the member of Fund;

the chairman of the board (board of directors), either the acting as the chairman of the board (board of directors), or directors or the acting as the director of the member of Fund, or the authorized person of Fund on temporary administration;

vice chairmen of the board or deputy directors;

chief accountant or acting as the chief accountant of the member of Fund.

If persons stated above on the religious beliefs refuse adoption of registration number of accounting card of the taxpayer and notified on it the relevant monitoring body, information on mark in the passport of such persons about availability of the right at them is entered in the register to make any payments on series and passport number (for residents);

2) bank code (IFI);

3) EGRPOU code;

4) room of correspondent account of bank in the National Bank of Ukraine;

5) information on twenty largest members of bank (except for transitional bank);

6) address of the subscriber of e-mail of the National Bank of Ukraine;

7) information on the curator of bank of the National Bank of Ukraine (surname, name and middle name (in the presence), date of appointment/replacement/authorization of other person on accomplishment of functions of the curator of bank/cancellation, number and date of the decision on introduction of specific mode of control of activities of bank and appointment of the curator of bank/replacement / authorization of other person to accomplishment of functions of the curator bank/difference);

8) information on mother company of the member of Fund in whom the share of the foreign capital constitutes more than 50 percent, the company country.".

3. In the Section III:

Item 1 to state 1) in the following edition:

"1. Inclusion of the member of Fund in the register of members of Fund.

The fund enters data on bank in the register with assignment to it unique number - registration number of the member of Fund and performs issue of the Certificate after:

1) obtaining by Fund of the notification of the National Bank of Ukraine on issue of the banking license;

2) obtaining from bank of data which shall contain in the register.

For entering of data on bank into the register and for receipt of the Certificate banks within seven working days from the date of receipt of the banking license shall give to Fund of the data in type:

1) statements on receipt of the certificate of the member of Fund of guaranteeing household deposits in the form given in appendix 1 to this Provision (further - the Statement);

2) certified of the procedure for the copy of the banking license granted by the National Bank of Ukraine established by the legislation;

3) tables in electronic form in Excel-file format according to information on persons, data on which join in the register of members of Fund of guaranteeing household deposits in the form given in appendix 2 to this Provision;

4) copies of the documents certified by the signature of person authorized by bank, and impress of a seal of bank (in the presence) concerning the chairman of the board (board of directors) or the acting as the chairman of the board (board of directors), the director or the acting as the director of the member of Fund namely: the administrative document confirming the fact and date of appointment/transfer / dismissal, and the written consent of the National Bank of Ukraine to the introduction of candidates for positions of the chairman of the board (board of directors) and the chief accountant;

5) information on twenty largest members of bank in the form established by the Section 2 of appendix 1 to Rules of the organization of the statistical reporting represented to the National Bank of Ukraine, the approved resolution of Board of the National Bank of Ukraine of March 19, 2003 No. 124, registered in the Ministry of Justice of Ukraine on May 7, 2003 on No. 353/7674, for form No. 670 (quarter);

6) information on mother company of the member of Fund and its ratings with reference to the web page of the relevant agency on which in open entry viewing of this information or copy of the report of the relevant agency on assignment of credit rating of the mother company certified by the chairman of the board (board of directors) of such member of Fund (if mother company of the member of Fund in whom more than 50 percent, the long-term credit score on the international scale according to obligations in foreign currency assigned by one or several rating agencies, such as has participation of the foreign capital is possible: S "Standard & Poor"", "Fitch Ratings" or "Moody" s Investors Service"), in the form of the spreadsheet in the form given in appendix 5 to this Provision.

The transitional bank is exempted from obligation of representation of Fund of information specified in subitems 5 and 8 of Item 6 of the Section II of this provision.

The fund enters information on bank in the register and performs execution of the Certificate according to appendix 3 to this Provision which is issued to the chairman of the board of bank (board of directors), the director of the member of Fund or person authorized by it based on properly drawn up power of attorney.";

2) in Item 2:

in the paragraph the second words", including the transitional bank created according to part of the seventeenth article 42 of the Law" to exclude;

add Item after paragraph two with the new paragraph third the following content:

"In case of change of information on mother company and its ratings given in appendix 5 to this Provision, the participant Fonda shall provide in Fund information on such changes certified by the chairman of the board (board of directors) of such member of Fund within seven working days from the date of emergence of changes in spreadsheet type in the form given in appendix 5 to this Provision.".

With respect thereto third - the twenty second to consider paragraphs respectively paragraphs the fourth - twenty third;

paragraphs of the sixth - to state the eighth in the following edition:

"In case of change of information on twenty largest members of bank (No. form 670, established by the Section 2 of appendix 1 to Rules of the organization of the statistical reporting represented to the National Bank of Ukraine, the approved resolution of Board of the National Bank of Ukraine of March 19, 2003 No. 124, registered in the Ministry of Justice of Ukraine on May 7, 2003 at No. 353/7674) such information moves within seven working days after the term determined for representation of the specified reporting form in the National Bank of Ukraine with the cover letter in electronic form means of electronic communication of the National Bank of Ukraine. The transitional bank is exempted from obligation to provide such information.

Date of emergence of changes in data on appointment/transfer/dismissal of the chairman of the board (board of directors) or acting as the chairman of the board (board of directors), director or acting as the director of the member of Fund, the authorized person of Fund on implementation of temporary administration, vice chairmen of the board (board of directors) or deputy directors, chief accountant of the member of Fund or acting as the chief accountant, board members (board of directors) of the member of Fund, members of the supervisory (supervising) board of the member of Fund is the date specified in the administrative document which confirms the fact of appointment/transfer / dismissal or date of actual start of accomplishment of job responsibilities in full (if the introduction of candidates for positions requires approval of the National Bank of Ukraine).

Date of emergence of changes in data on appointment/replacement/authorization of other person on accomplishment of functions of the curator bank/difference of the curator of bank of the National Bank of Ukraine is the date of receipt by bank of the decision on introduction of specific mode of control of activities of bank and appointment of the curator of bank/replacement / authorization of other person to accomplishment of functions of the curator bank/difference.";

after the paragraph of the eighth to add with the new paragraph the ninth the following content:

"Date of emergence of changes in the location information and the name of the member of Fund is date of state registration of the Charter of the member of Fund in the new edition.".

With respect thereto the ninth - twenty third to consider paragraphs respectively paragraphs the tenth - the twenty fourth;

the thirteenth to exclude the paragraph.

With respect thereto the fourteenth - the twenty fourth to consider paragraphs respectively paragraphs the thirteenth - twenty third;

in the paragraph the sixteenth words "by merge, accessions or transformations" to exclude;

in the paragraph the seventeenth words "day of registration by the National Bank of Ukraine of the changes provided by paragraph one of this Item" shall be replaced with words "approval dates of balance of bank legal successor".

4. 1, 2 to be reworded as follows appendices which are applied.

5. Add with new appendix 5, which is applied.

Appendix 1

to Regulations on procedure for maintaining the register of members of Fund of guaranteeing household deposits (Item 1 of the Section III)

See Appendix 1 (4Kb In original language)

 

Appendix 2

to Regulations on procedure for maintaining the register of members of Fund of guaranteeing household deposits (Item 1 of the Section III)

Information on persons, data on whom join in the register of members of Fund of guaranteeing household deposits,

№ of payment order	position code	Job title	Code: acting (1)/inactive (0) / before approval (3)	Surname, name, middle name (in the presence)	The registration number of accounting card of the taxpayer assigned by monitoring body *
Number and series of the passport or other identity document		Who issues the passport or other identity document	Date of issue of the passport or other identity document	Residence	The administrative document confirming the fact of appointment/transfer into position (date, number, the name of the document)

Date of appointment / transfer into position	Date of actual start of accomplishment of job responsibilities	The administrative document confirming the fact of dismissal / transfer from position (date, number, the name of the document)	Date of termination / transfer from position		Birth date of person
Birthplace of person		Phone number		E-mail

__________ 

* If persons because of the religious beliefs refused adoption of registration number of accounting card of the taxpayer and notified on it the relevant monitoring body, information on mark in the passport of such persons about availability of the right at them is entered in the register to make any payments on series and passport number (for residents).

Data are filled in with bank in case of changes in persons this on the following categories:

Codes of positions:

Position code - 1	Job title
1	Chairman of the board (board of directors) of the participant Fonda
2	Acting as chairman of the board (board of directors)
3	Chief accountant
4	Acting as the chief accountant
5	Board member (board of directors) of the participant Fonda
6	Vice chairman of the board (board of directors)
8	Chairman of the supervisory board
9	Member of the supervisory board
10	Vice-chairman of the supervisory board
11	Director
12	Acting as director
13	Deputy director
14	The authorized person of Fund on temporary administration
15	Another (if the corresponding name is not provided in the list)

___________

- 1 If one person has several positions, data are entered in the table in two different lines by each code of position.

- 2 Members of Fund of guaranteeing household deposits shall adhere accurately to structure of template of the table of the Excel file, specify value only in the cells provided for this purpose, not supplement with additional columns and lines, except lines of the table. This file needs to be saved in format of the Book Excel 97-2003 file (* .xls).

The Excel file shall have such structure - 2:

line 1: name of the table;

line 2, column A: registration number of the member of Fund, 3 figures;

line 3, since column A: full name of bank;

line 4, column A: date of filling of the table (DD.MM.GGGG format)

From the 5th line - the table according to appendix 2 to this Provision.

Table cells in columns B ("Position code") and D ("the Code: acting (1)/inactive / before approval (3)") only figures shall contain (0).

Table cells in columns L ("Date of appointment/transfer into position") and P ("Birth date of person") shall contain dates in the DD.MM.GGGG format. Table cells in columns M ("Date of actual start of accomplishment of job responsibilities") and O ("Date of termination/transfer from position") shall contain dates in the DD.MM.GGGG format or to be empty (if the specified event did not take place for date of filling of the table).

The name of the Excel file shall consist of 12 symbols and have the following format:

Êbbbmrrn.XLS,

where K, X, L, S - the fixed symbols which determine file belonging to information concerning heads of bank and file type;

bbb - registration number of the member of Fund (3 figures);

m - the coded month of provision of the file;

rr - the last two figures of year of provision of the file;

n - number of sending for current month.

Coding of number of month and number of sending is made as follows: numbers from 1 to 9 correspond to figures 1 - 9, number 10 - 35 correspond to letters of the Latin alphabet of A-Z, and number 36 corresponds to figure 0 (see the Tab. 1).

Table 1

Number	Code	Number	Code
1	1	19	J
2	2	20	K
3	3	21	L
4	4	22	M
5	5	23	N
6	6	24	O
7	7	25	P
8	8	26	Q
9	9	27	R
10	A	28	S
11	B	29	T
12	With	30	U
13	D	31	V
14	E	32	W
15	F	33	X
16	G	34	Y
17	H	35	Z
18	I	36	0

Number of month is ranging from 1 to 12 - [1 - 9, A - C].

Number of sending is ranging from 1 to 36 - [1 - 9, A-Z, 0].

Appendix 5

to Regulations on procedure for maintaining the register of members of Fund of guaranteeing household deposits (Item 1 of the Section III)

Information on mother company of the member of Fund of guaranteeing household deposits and its ratings

No. according to the register of Fund of guaranteeing household deposits

Name of the member of Fund

Name of mother company

Country of mother company

% of Participation of mother company in bank

Long-term credit rating on the international scale according to obligations in foreign currency

"Standard & Poor's"

"Fitch Ratings"

"Moody's Investors Service"

level and forecast

date of assignment / confirmation

references to the source

level and forecast

date of assignment / confirmation

references to the source

level and forecast

date of assignment / confirmation

references to the source

 

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