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

of December 3, 2015 No. 2030

About approval of the Procedure for forming and maintaining the state register of the financial institutions providing financial services in the security market

According to Item 13 of article 8 of the Law of Ukraine "About state regulation of the security market in Ukraine" and to Item of 1 part one of article 20 of the Law of Ukraine "About financial services and state regulation of the markets of financial services" the National commission on securities and the DECIDED: stock market

1. Approve the Procedure for forming and maintaining the state register of the financial institutions providing financial services in the security market which is applied.

2. Declare invalid the decision of State commission on securities and the stock market of July 14, 2004 No. 296 "About approval of the Procedure for forming and maintaining the state register of the financial institutions providing financial services in the security market", registered in the Ministry of Justice of Ukraine on August 2, 2004 at No. 957/9556 (with changes).

3. Stock market participants who received the status of financial institution according to Procedure for forming and maintaining the state register of the financial institutions providing financial services in the security market, the approved decision of State commission on securities and the stock market of July 14, 2004 No. 296, registered in the Ministry of Justice of Ukraine on August 2, 2004 at No. 957/9556 (with changes) and were in the state register of financial institutions which provide financial services in the security market (further - the Register), at the time of entry into force of this decision, keep the status of financial institution for which confirmation can address to the National commission on securities and the stock market for receipt of information from the register according to Procedure for forming and maintaining the state register of the financial institutions providing financial services in the security market the approved this decision.

4. To department of regulation of activities of dealers in securities and stock exchanges () provide Ustenko I.: provision of this decision:

for conducting examination on compliance of the Convention on human rights protection and fundamental freedoms - in the Secretariat of the Government representative for cases of the European Court of Human Rights of the Ministry of Justice of Ukraine;

on state registration - in the Ministry of Justice of Ukraine.

5. And clerical works to provide to department of information technologies promulgation of this decision on the official website of the National commission on securities and the stock market.

6. To management of international cooperation and communications (Yushkevich A.) provide publication of this decision in the official printing publication of the National commission on securities and the stock market.

7. This decision becomes effective from the date of its official publication.

8. Control over the implementation of this decision to assign to the member of the commission Panchenko A.

Approved by the Decision of the National commission on securities and the stock market of Ukraine of December 3, 2015, No. 2030

Procedure for forming and maintaining the state register of the financial institutions providing financial services in the security market

I. General provisions

1. This Procedure determines conditions of inclusion in the state register of financial institutions which provide financial services in the security market (further - the Register), professional participants of the stock market, including professional participants of depositary system (except banks), and corporate investment funds, condition of exception and provision of information from the Register.

2. Action of this Procedure extends to professional participants of the stock market who perform professional activity, enter the list of the financial services determined by article 4 of the Law of Ukraine "About financial services and state regulation of the markets of financial services", corporate investment funds which are registered by the National commission on securities and the stock market (further - the Commission) in the Unified state register of institutes of joint investment (further - the register of ISI) and Central Securities Depository (further - stock market participants).

3. The register is list of information on financial institutions which is created and generalized by the Commission according to requirements of this Procedure as system of collection, accumulating and accounting of data on these organizations.

4. The professional participant of the stock market acquires the status of financial institution from the date of entering of record about it into the Register after execution by the Commission of the corresponding license for implementation of professional activity in the stock market (security market) in electronic form, corporate investment fund - after inclusion in the register of ISI, Central Securities Depository - after registration of rules of the Central depositary in the procedure established by the legislation.

5. The financial institution during all term of stay in the Register shall fulfill the requirements of the legislation regulating its activities.

II. Conditions of forming and maintaining register

1. The register is created by the Commission for the purpose of accounting of financial institutions which provide financial services in the security market, systematization of data on these organizations and provisions of data from the Register.

2. The register is kept in electronic form.

3. The owner of information entered in the Register is the state.

III. Inclusion and modification of the register

1. For receipt of the status of the Commission financial institution within ten working days from the date of execution by the Commission of the license for implementation of professional activity in the stock market (security market) in electronic form, or from the date of inclusion of corporate investment fund in the register of ISI, or from the date of acquisition of the status of Central Securities Depository includes the corresponding stock market participant in the Register.

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