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

of June 20, 2013 No. 1104

About approval of the Regulations on order of registration of the prospectus of the issue and share issue of corporate investment fund

According to Item of 1 part two of Article 7 and Item 13 of article 8 of the Law of Ukraine "About state regulation of the capital markets and the organized goods markets", the Laws of Ukraine "About the capital markets and the organized goods markets" and "About institutes of joint investment" the National commission on securities and the stock market RESHILA:

1. Approve Regulations on order of registration of the prospectus of the issue and share issue of corporate investment fund which are applied.

2. Declare invalid the decision of State commission on securities and the stock market of December 21, 2006 No. 1585 "About approval of the Regulations on order of registration of share issue of corporate investment fund", registered in the Ministry of Justice of Ukraine on January 20, 2007 on No. 46/13313 (with changes).

3. To provide to department of general investment and regulation of activities of institutional investors (A. Simonenko) submission of this decision on state registration in the Ministry of Justice of Ukraine.

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

5. Control over the implementation of this decision to assign to the member of the National commission on securities and the stock market A. Amelin.

6. This decision becomes effective since January 1, 2014, but not earlier than day of its official publication.

Approved by the Decision of the National commission on securities and the stock market of Ukraine of June 20, 2013 No. 1104

Regulations on order of registration of the prospectus of the issue and share issue of corporate investment fund

I. General provisions

1. This Provision establishes order of registration of the prospectus of the issue of shares (changes in it) and share issue of corporate investment fund (further - corporate fund).

2. Registration of share issue, the prospectus of the issue of shares of corporate fund, changes in the prospectus of the issue of shares and coordination of the draft of the charter of corporate fund are performed by the National commission on securities and the stock market according to requirements of this provision and cannot be considered as guarantee of cost of these shares.

3. Administrative services NKTsBFR in registration of changes in the prospectus of the issue of securities (except cases if changes in the prospectus of the issue of securities of institute of joint investment are connected only with the second and each subsequent issue of securities of institute of joint investment and/or concern only changes of the text of regulations of institute of joint investment), registration of changes in regulations of institute of joint investment are paid services which Amount of payment for provision is established by the amount of payment for registration actions concerning members of the capital markets and other persons approved by the decision of the National commission on securities and the stock market of June 13, 2022 No. 620, registered in the Ministry of Justice of Ukraine on August 10, 2022 at No. 909/38245.

4. Administrative services NKTsBFR which Procedure for provision is established by this Provision it is provided taking into account the requirements determined by Procedure for provision of administrative services by the National commission on the securities and the stock market approved by the decision of the National commission on securities and the stock market of November 17, 2021 No. 1124, registered in the Ministry of Justice of Ukraine on February 03, 2022 at No. 147/37483.

5. Receipt of the registration certificate of share issue of corporate fund, the interim certificate on registration of share issue of corporate fund is the basis for registration according to the global share certificate (the temporary global share certificate).

6. In case of share placing of corporate fund the company on asset management and/or the investment firm(s) having the license for implementation of the corresponding type of activity on trade in financial instruments with which (which) the company on asset management signed the relevant agreement(s) on carrying out by it (them) such placement perform actions for financial monitoring according to the legislation on 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.

7. The conclusion of the contract with the first shareholder of corporate fund in case of their public placement is performed not earlier than in 10 days after placement of the prospectus of the issue of shares of corporate fund (changes in it) in the database of person performing activities for promulgation of regulated information on behalf of members of the capital markets and professional participants of the organized goods markets.

8. The signature of the documents submitted for review the draft of the charter of corporate fund, registration of the prospectus of the issue of shares (changes in it) and share issue of corporate fund, confirms with the corresponding persons accuracy of the data, provided in such documents.

The losses caused as a result of representation of the unreliable information containing in the prospectus of the issue of shares and changes to it are compensated according to the procedure, established by the legislation.

9. The financial reporting of corporate fund shall be constituted according to the Law of Ukraine "About financial accounting and the financial reporting in Ukraine" and correspond to international accounting standards. The audit report of rather annual financial reporting and the report on the overview of interim financial statements shall be constituted according to the Law of Ukraine "About financial records audit and auditor activities", international standards of quality control, audit, the overview, other provision of confidence and the accompanying services and taking into account provisions of Requirements to information concerning audit or the overview of the financial reporting of members of the capital markets and the organized goods markets, supervision of which is exercised by the National commission on securities and the stock market, No. approved by the decision of the National commission on securities and the stock market of July 22, 2021 555, registered in the Ministry of Justice of Ukraine on September 07, 2021 at No. 1176/36798 (further - Requirements to information).

The financial reporting and other financial records of corporate fund are filed in the form determined by the legislation.

The specified financial reporting of corporate fund shall be signed by the authorized person, the chief accountant (person to who conducting financial accounting is assigned) of the company on asset management.

10. Giving by the applicant in NKTsBFR of the statement and documents and sending NKTsBFR to the applicant of the messages and documents provided by this Provision is performed electronically taking into account requirements of the legislation on electronic documents and electronic document management by official channel of communication by the means determined by the separate document of normative and technical nature, information on which is promulgated on the NKTsBFR official website, according to requirements of this document.

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