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1.
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General provisions and scope the Regulation covers
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6
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2.
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Concluding agreements with the CSD and securities accounts opening procedure
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7
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3.
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Procedure for compleeting and submitting documents to the CSD
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8
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4.
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Refusal/rejection reasons in executing operations by the CSD
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9
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5.
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Reporting documents submitting procedure
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13
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6.
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Moment of SSI execution, cancellation, irrevocability and finality
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17
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Section І Issuers service procedure
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1.
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Opening, maintaining and closing of securities accounts
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21
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1.1.
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Securities account(s) opening to issuers
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21
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1.2.
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Securities account(s) opening to mutual investment funds
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23
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1.3.
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Securities account(s) opening to corporate investment funds (hereinafter referred to as the CIF), being at the creation stage and compleeting the Securities Account Questionnaire after its state registration
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26
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1.4.
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Securities account(s) opening to Joint-Stock Company being at the creation stage
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29
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1.5.
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Appointment of securities account management Trustee
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32
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1.6.
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Appointment of account management Trustee of the State Property Fund of Ukraine (hereinafter referred to as SPF) or the regional branch of SPF
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35
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1.7.
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Ammending of Securities Account Questionnaire
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37
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1.8.
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Ammending of securities account management Trustee Questionnaire
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39
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1.9.
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Termination of securities account management Trustee powers
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41
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1.10.
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Registration of information about the person/replacement of the person authorised to provide the issuer with the Register of securities registered securities owners
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42
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1.11.
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Procedure and grounds for closing the issuer's securities account(s)
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43
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1.12.
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Securities account(s) opening to an international financial institution
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44
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1.12.1.
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Appointment of securities account management Trustee of international financial institution
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46
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1.13.
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Issuers data updating
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49
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1.14.
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Securities account(s) opening to the municipal bond issuer (hereinafter referred to as MB issuer)
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50
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2.
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The procedure of ISIN code allocation to financial instruments
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52
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3.
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Operations execution procedure on issuers' accounts
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53
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3.1.
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Crediting of securities (including the municipal bonds) to the issuer's securities account as a result of a global or temporary global certificate depositing
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53
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3.1.1.
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Crediting the bank deposit certificates to the issuer's securities account as a result of depositing the information on the issued bank deposit certificates
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55
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3.1.2.
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Depositing a global certificate of bank deposit certificate issue, registration of bank deposit certificates issue
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56
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3.2.
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Crediting of securities in the result of global certificate replacement with a new global certificate in cases of CIV securities issue registration / decision to increase the number of issued bank deposit certificates
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57
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3.3.
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Depositing a securities global certificate (including the municipal bonds) as the result of global/ temporary global certificate replacement with a new global certificate
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60
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3.4.
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Renewal of the global/temporary global certificate/ information on issued bank certificates of deposit resulting from adjustment to Prospectus /Decision on the securities issue / issuer's details
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61
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3.5.
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Debiting of securities, municipal bonds in the result of global/ temporary global certificate replacement with a new global certificate, provided that the securities number of the new issue is less than the securities number of the previous issue
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62
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3.6.
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Securities (including municipal bonds) issue redemption maintenance procedure
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64
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3.7.
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Redemption of the temporary global certificate in the result of recognition of securities (including municipal bonds) issue as such that did not take place
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66
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3.7.1.
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Redemption of information on issued bank deposit certificates as a result of the issuer refusal to issue bank deposit certificates
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68
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3.8.
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Securities (including municipal bonds)OTC placement maintenance procedure
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69
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3.9.
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Securities (including municipal bonds) stock exchange placement maintenance procedure
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70
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3.10.
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Maintenance procedure of OTC buy-back of securities (including municipal bonds) by the issuer in securities owners
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70
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3.11.
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Maintenance procedure of OTC selling of previously bought-back securities (including municipal bonds and bank deposit certificates) registered in the issuer's securities account as intended for alienation to owners
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71
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3.12.
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Transfer of Real Estate Transactions Fund Certificates (hereinafter - RETF) from the issuer's securities account to the securities account opened with the depository institution/ transfer of securities from the issuer's securities account to the underwriter's securities account opened with the depository institution
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72
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3.13.
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Securities issue denomination. Securities nominal value change that is not related to the denomination
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73
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3.13.1.
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Issuer’s authorized capital increase/decrease by relevant change in the nominal value of the shares
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73
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3.13.2.
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Denomination (split/consolidation) of securities issue
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75
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3.14.
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Operations related to the shares conversion
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76
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3.14.1.
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Terminating joint stock company’s (issuer’s) shares conversion into shares of assignee company as a result of merger (reorganization process)
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77
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3.14.2.
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Terminating joint stock company’s (issuer’s) shares conversion into shares of assignee company as a result of acquisition (reorganization process)
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79
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3.14.3.
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Terminating joint stock company’s (issuer’s) shares conversion into shares of assignee companies as a result of division (reorganization process)
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81
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3.14.4.
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Joint stock company’s (issuer’s) shares conversion into shares of two companies and company’s split off as a result of separation (reorganization process)
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83
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3.15.
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Conversion of securities issue from definitive physical form into electronic one
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85
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3.16.
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Return to/from the issuer's account of unpaid/incorrectly transferred securities
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85
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3.17.
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Unconditional operation on imposing/removal of restrictions to securities (including municipal bonds) transactions with certain securities issue
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87
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3.18.
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Conversion of Collective investment vehicle’s securities
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88
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3.19.
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Corporate events, including interest payment/redemption/ other cash related payments provided for by the law when the global certificate of securities (including municipal bonds) deposited in the Central Depository
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89
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3.20.
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Joint-stock company creation in the result of the enterprise termination and transformation
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94
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3.21.
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Operation on imposing/removal of restrictions to execute transactions with securities of mutual and corporate investment funds upon adoption a decision on its liquidation/cancellation a decision on its liquidation
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95
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3.22.
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Conversion of debt securities
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97
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3.23.
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Unconditional operation on securities transfer to the issuer's securities account from the securities account of a depository institution terminated its depository activities
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99
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3.24.
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Mandatory sale of shares by shareholders on the request of the owner of a controlling stake according to the Article 65 of the Law of Ukraine "On Joint Stock Companies"
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100
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3.25.
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Transfer of option certificates to the issuer account resulting from the issuer performance of its obligations
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102
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3.26.
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The Procedure for executing securities transactions (including municipal bonds), concluded by the Issuer on the organized capital market with/without "DVP" principle and over-the-counter with "DVP principle"
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103
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3.27.
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Conversion of RETF
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105
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4.
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The Procedure for information provision at the request of the securities issuer (including municipal bonds)
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105
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4.1.
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Providing an Account Statement of Holdings to issuers
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106
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4.2.
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Providing a Statement of securities transactions executed on the issuer's account
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106
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4.3.
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Information provision about the CSD the issuer concluded agreement with on securities issues maintenance
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106
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4.4.
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Information provision on the concluded agreement on securities issues maintenance and global certificate registering
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107
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4.5.
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Providing of the Register of securities owners /list of shareholders/list of owners
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107
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4.6.
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Information provision on the owners of voting shares holding share package not less than 5 percent
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114
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4.7.
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Information provision on state share in the issuer authorized capital based on the Register of securities owners
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115
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4.8.
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Information provision on non-resident shareholders indicating their share volume, based on the Register of securities owners
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115
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4.9.
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Information provision on shareholders type such as legal entities and individuals indicating their share volume, based on the Register of securities owners
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116
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4.10.
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Information provision on the concluded agreement on securities issues maintenance, global certificate registering and state share in the authorized capital based on the Register of securities owners
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116
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4.11.
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Provision of notifications or other information through the depository system
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117
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4.12.
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Certification of the issuer's report/statement in accordance with the legislative requirements
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118
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4.13.
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Information provision of depository institution on shareholders who are legal entities being under the issuer control
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119
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4.14.
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Information provision of issuer (by request) on not executed placement of investment certificates of the mutual investment fund
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120
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4.15.
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Information provision of issuer (by request) on investment certificates balance in securities accounts opened with the CSD
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120
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5.
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Services provided to shareholders who collectively own 10 and more percent of the voting shares registered in the CSD
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120
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6.
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Services provided to issuers of ordinary registered shares registered in the CSD
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122
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7.
|
Services provided by the CSD in relation to holding of remote General Meeting of shareholders and corporate investment fund participants
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123
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8.
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Services provided by the CSD in relation to holding of Bondholders Meeting
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125
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Appendices to Section I
|
128
|
|
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Section ІІ Services providing procedure for depository institutions, National Bank of Ukraine, foreign CSDs, clearing institutions
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|
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1.
|
Opening, maintaining and closing of securities accounts
|
180
|
|
1.1.
|
Securities account(s) opening to depository institution/clearing institution/ National Bank of Ukraine
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181
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|
1.2.
|
Securities account(s) opening to foreign CSD
|
184
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|
1.3.
|
Adjustment of Securities Account Questionnaire
|
186
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|
1.4.
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Data updating on CSD clients: depository institution, National Bank of Ukraine, foreign CSDs
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188
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|
1.5.
|
Data updating on Account operator(s)
|
189
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|
1.6.
|
Procedure and grounds for closing securities accounts
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189
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|
2.
|
Operations execution procedure on accounts of depository institutions, National Bank of Ukraine, foreign CSDs, clearing institutions
|
191
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|
2.1.
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Transfer of securities from the issuer account while OTC placement
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191
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2.2.
|
OTC securities buy-back by the issuer from holders
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192
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2.3.
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Transfer of previously bought-back securities and bank certificates of deposit intended for alienation to owners to their own accounts
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192
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2.4.
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Executing of unconditional operations on securities accounts of depository institutions while issuer holding securities transactions
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193
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2.4.1.
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Securities issue redemption
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193
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|
2.4.2.
|
Securities issue cancellation
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194
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|
2.4.3.
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Denomination (split/consolidation) of securities issue
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195
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2.4.4.
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Conversion of shares resulting from Joint-Stock Companies merger
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197
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2.4.5.
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Conversion of shares resulting from Joint-Stock Company acquisition
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198
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|
2.4.6.
|
Conversion of shares resulting from Joint-Stock Company division
|
200
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|
2.4.7.
|
Conversion of shares resulting from company separating
|
201
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|
2.4.8.
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Conversion of debt securities
|
203
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|
2.5.
|
Unconditional operation on imposing/removal of restrictions to execute securities transactions with certain securities issue
|
204
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|
2.6.
|
Free of payment securities transfer between depository institutions’ securities accounts
|
204
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|
2.7.
|
Operation on blocking/unblocking rights to securities registered on the owner securities account
|
208
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|
2.8.
|
Transactions with securities offered as a colateral under refinancing loans
|
210
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|
2.9.
|
Mandatory sale of shares by shareholders on the request of the owner of a controlling stake according to the Article 65 of the Law of Ukraine "On Joint Stock Companies"
|
210
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|
2.10.
|
Maintenance of option certificates transferring to the issuer account resulting from the issuer performance of its obligations
|
212
|
|
3.
|
The Procedure for information provision at the request of depository institutions/National Bank of Ukraine
|
212
|
|
3.1.
|
Providing an Account Statement of Holdings to depository institution and National Bank of Ukraine
|
213
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|
3.2.
|
Providing a Statement of securities transactions to depository institution and National Bank of Ukraine
|
213
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|
3.3.
|
Notification of the depository institution on the receipt by the Central Depository from the Deposit Guarantee Fund of Individuals (hereinafter referred to as the Fund) of the notification of the Fund's approval of the settlement plan, which provides for the sale of an insolvent bank to an investor, and/or of the Fund's receipt of the decision of the Cabinet of Ministers of Ukraine on the participation of the state in the withdrawal of an insolvent bank from market in the manner determined by Clause 5 of Part Two of Article 39 of the Law of Ukraine "On the Deposit Guarantee System of Individuals"
|
213
|
|
3.4.
|
Provision of notifications or other information types through the depository system
|
214
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|
3.5.
|
Information provision of depository institution on shareholders who are legal entities being under the issuer control
|
215
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|
3.6.
|
Services provided to depository institutions which clients collectively own not less than 10 percent of the voting shares of certain issuer and have concluded an appropriate agreement on holding extraordinary general meeting
|
216
|
|
4.
|
Immobilization of bearer definitive securities placed by the issuer before the entry into force the Law of Ukraine "On Capital Markets and Organized Commodity Markets"
|
218
|
|
5.
|
The Procedure for executing transactions, concluded on the organized capital market or OTC with/without "DVP" principle
|
219
|
|
6.
|
Cross-border securities transactions execution in depository system of Ukraine
|
223
|
|
6.1.
|
Executing of cross-border foreign securities transactions
|
223
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|
6.2.
|
Placement and circulation of Ukrainian issuers securities on foreign markets
|
228
|
|
7.
|
The cooperation procedure between depository institution and CSD in the processes of remote general meeting holding
|
228
|
|
8.
|
The cooperation procedure between depository institution and CSD in the processes of Bondholders meeting
|
229
|
|
|
Appendices to Section II
|
231
|
|
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Section III Procedure for providing services to entities receiving notifications or another data through the depository system (except issuers)
|
261
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Section IV Depository accounting Standard (rules)
|
264
|
Depositary institutions 
