On Amendments to the Regulation on the Procedure for Reporting by Depository Institutions to the National Securities and Stock Market Commission

NATIONAL SECURITIES AND STOCK MARKET COMMISSION DECISION Kyiv On Amendments to the Regulation on the Procedure for Reporting by Depository Institutions to the National Securities and Stock Market Commission Pursuant to paragraphs 1 and 30 of part one of Article 7 of the Law of Ukraine "On State Regulation of Capital Markets and Organized Commodity Markets", paragraph six of paragraph 2 of Article 28 of Chapter V of the Law of Ukraine "On the Depository System of Ukraine" The National Securities and Stock Market Commission HAS DECIDED:

1. To make the following amendments to the Regulation on the Procedure for Reporting by Depository Institutions to the National Securities and Stock Market Commission, approved by decision of the National Securities and Stock Market Commission of 29 April 2026 No. 09/21/4220/K03, registered with the Ministry of Justice of Ukraine on 12 May 2026 under No. 663/46057:
   1) in Appendix 1 to this Regulation:
   in line 24, the figures and words ","5" – on the basis of information received from the Central Securities Depository on the conduct of a corporate operation on an agrarian note 6, "6" – other" shall be replaced with the figures and words ";"5" – other; "6" – on the basis of information received from the Central Securities Depository on the conduct of a corporate operation on an agrarian note 6"; line 31 shall be supplemented with the figures and words "; "5" – a court decision on recognition of ownership of securities; "6" – a court decision on recognition of ownership of ownerless securities"; after line 34, supplement with line 35 as follows:
   "
   2
   35 Operations as a result of the application of the exception from the grounds for refusal to accept for execution an order and/or to perform a depository operation, provided for by paragraph 12 of Chapter 3 of Section V of the Regulation on Conducting Depository Activity, approved by decision of the National Securities and Stock Market Commission of 23 April 2013 No. 735, registered with the Ministry of Justice of Ukraine on 27 June 2013 under No. 1084/23616 (hereinafter in this Appendix – the Regulation): "1" – No; "2" – Yes 7 ". In this connection, line 35 shall be considered line 36 accordingly; in footnote "6", the figures "35" shall be replaced with the figures "36"; supplement with footnote "7" as follows:
   "
   7 In the case of application in line 35 of "2" – Yes" in line 36 "Notes", information shall be provided on the circumstances of non-application of the grounds for refusal to accept for execution an order and/or to perform a depository operation, in particular on a specific exception provided for by paragraph 12 of Chapter 3 of Section V of the Regulation, specified in the order, as well as the results of the verification carried out by the depository institution that provided such order of the facts provided for by subparagraphs 1–3 of paragraph 14 of Chapter 3 of Section V of the Regulation.";
   2) in Appendix 7 to this Regulation, in line 8, the words "identification code of the legal entity in the Unified State Register of Enterprises and Organizations of Ukraine" shall be replaced with the words "code under the Unified State Register of Collective Investment Institutions (for collective investment institutions)";
   3) in Appendix 8 to this Regulation, after line 21, supplement with eight new lines as follows:
   "
   22 Servicing of operation: on the basis of information received from the Central Securities Depository on the conduct of corporate operations on agrarian notes, total number of operations, pcs.
   23 Servicing of operation: on the basis of information received from the Central Securities Depository on the conduct of corporate operations on agrarian notes, total number of securities, pcs.
   24 Servicing of operation: on the basis of information received from the Central Securities Depository on the conduct of corporate operations on agrarian notes, currency code 2 25 Servicing of operation: on the basis of information received from the Central Securities Depository on the conduct of corporate operations on agrarian notes, total nominal value of securities 26 Servicing of operation: as a result of the application of the exception from the grounds for 3 refusal to accept for execution an order and/or to perform a depository operation, provided for by paragraph 12 of Chapter 3 of Section V of the Regulation on Conducting Depository Activity, approved by decision of the National Securities and Stock Market Commission of 23 April 2013 No. 735, registered with the Ministry of Justice of Ukraine on 27 June 2013 under No. 1084/23616 (hereinafter in this Appendix – the Regulation), total number of operations, pcs. 27 Servicing of operation: as a result of the application of the exception from the grounds for refusal to accept for execution an order and/or to perform a depository operation, provided for by paragraph 12 of Chapter 3 of Section V of the Regulation, total number of securities, pcs. 28 Servicing of operation: as a result of the application of the exception from the grounds for refusal to accept for execution an order and/or to perform a depository operation, provided for by paragraph 12 of Chapter 3 of Section V of the Regulation, currency code 2 29 Servicing of operation: as a result of the application of the exception from the grounds for refusal to accept for execution an order and/or to perform a depository operation, provided for by paragraph 12 of Chapter 3 of Section V of the Regulation, total nominal value of securities ". In this connection, lines 22–38 shall be considered lines 30–46 accordingly.
2. The Department of Methodology for the Activities of Professional Participants shall ensure the submission of this decision for state registration to the Ministry of Justice of Ukraine.
3. The Office for Ensuring the Activities of Collegial and Advisory Bodies shall ensure the publication of this decision on the official website of the National Securities and Stock Market Commission.
4. The Legal Department, after state registration of the decision by the Ministry of Justice of Ukraine, shall ensure the publication of this decision on the official website of the National Securities and Stock Market Commission.
5. This decision shall enter into force on 01 December 2026, but not earlier than the day following the day of its official publication.
6. Control over the implementation of this decision shall be entrusted to the member of the National Securities and Stock Market Commission I. Baramiia.
   Chairman of the Commission Oleksii SEMENIUK
   Minutes of the Commission meeting of 28.10.2026 No. 49