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President
of Ukraine
Verkhovna
rada of Ukraine
Government
portal
 : : Legal Framework
2009-01-01 00:00:00  Print Version



 
On approval of Regulation on the State Register of Financial Institutions
Order of State commission for regulation of markets of financial services of Ukraine on August, 28, 2003 №41
 
Registered in Ministry of Justice of Ukraine
on September, 11, 2003 №797/8118
 
            (From the day of  coming into force by Law of Ukraine "On state
registration of legal entities and physical persons - entrepreneurs"
changes will be brought to this order pursuant to the Order of the
State commission for regulation of markets of financial services of  
Ukraine of October, 23, 2003 №93)
 
 
In accordance with the requirements of subpoint 2 of point 1 of the article 28 and point 3 of the Final provisions of Law of Ukraine "On Financial Services and State Regulation of Markets of Financial Services" and requirements of subpoint 4 of the point 4 of Statute about the State commission for regulation of markets of financial services of Ukraine, ratified by the Decree of the President of Ukraine of April, 4, 2003 N 292/2003, and with the purpose of improvement of the state regulation for providing of financial services the State commission for regulation of markets of financial services of Ukraine STATED:
 
1. To approve Regulation on the State register of financial institutions (added).
 
2. The Department of the state regulation and development of markets of financial services is to submit the Regulation on the State register of financial institutions to Ministry of Justice of Ukraine for state registration.
 
3. The Department of co-operation with mass media is to provide the publication of Regulation on the State register of financial institutions in mass media after the state registration.
 
4. Control on implementation of the order is laid on the Head of the Commission.
 
 
 
Head of Commission                                                                                            V.Suslov
 
 
 
Protocol № 12  of the sitting of the Commission
of August, 28, 2003 
 

 
APPROVED by
the Order of the State Commission for Regulation of Market of Financial Services of Ukraine
August, 28, 2003, Number 41
 
REGISTERED
in Ministry of Justice of Ukraine
September, 11, 2003 for N 797/8118 

 
 
 
Regulation
on the State Register of Financial Institutions
 
Regulation on the State Register of Financial Institutions (Regulation) is developed in accordance with the requirements of Laws of Ukraine "On Financial Services and State Regulation of Financial Services Market", "On Prevention and Counteraction of Legalization (Laundering) of the Proceeds from Crime", "On information", "On Information Protection in the Automated Systems", the Decrees of the President of Ukraine of April, 4, 2003 N 292 "On regulation on the State Commission for Regulation of Financial Services Market of Ukraine", of July, 22, 2003 N 740 "On Actions of Development of the System of Counteraction to Legalization (Laundering) of the Proceeds from Crime and Terrorism Financing" and other legal normative acts regulating  the financial services market.
 
Section 1. General statements
 
1.1. The terms of this Regulation are used with the following meaning:
 
The State Register of Financial Institutions (the Register) is the system of receiving, accumulation, storage, protection, use and distribution of administrative information (information) about financial institution;
 
the separated subunit of legal entity (the Separated subunit) is subunit of legal entity, that located out of its location. It provides services in the unified technological process with a legal entity; and it is not a legal entity;
 
the applicant is a legal entity or person planning to become a legal entity (credit union or pension fund), who submits documents to register in the Register, make amendments to the Register, receive the certification on registration of financial institution or its duplicate, rewrite the certificate on registration of financial institution, or register the information on the separated subunit of financial institution;
 
a registration card is a document with the proper properties of standard pattern, which is submitted by a legal entity to make a proper record on it and/or on its separated subunit in the Register. It is also application of legal entity to be considered as one who fulfil the requirements for financial institutions;
 
registration case is the folder of organized and registered documents (paper and electronic form), which are submitted by a legal entity to the State Commission for Regulation of Market of Financial Services of Ukraine (the Commission), which needs to be stored for a long-term;  the term is set by this Regulation;
 
the certificate on registration of financial institution is the document of standard pattern that certifies that legal entity acquires the of status of financial institution and is registered by the Commission in the Register as financial institution.
 
Other terms are used in this Regulation in accordance with the requirements of the Laws of Ukraine "On the Financial Services and State Regulation of Market of Financial Services", "On Prevention and Counteraction of Legalization (Laundering) of the Proceeds from Crime", "On information", "On Information Protection in the Automated Systems" and the Regulation on the State Commission for Regulation of Market of Financial Services of Ukraine, approved by the Decree of the President of Ukraine from April, 4, 2003 N 292.
 
1.2. This Resolution shall apply to all legal entities (except for banks, professional operators on stock and securities’ market, joint investment institutions in part of their activities at the stock market, financial institutions, which have status of intergovernmental international organizations, State Treasury of Ukraine and state-owned special purpose funds) regardless of their organisational and legal form and form of ownership –  which provide one or several kinds of financial services in accordance with Law of Ukraine "On financial services and state regulation of markets of financial services" and are under state regulation of the Commission.
 
1.3. Financial services are provided only by financial institutions, and also, if it is strictly stipulated in the laws of Ukraine, – by physical persons - subjects of entrepreneurial activity.
 
1.4. An exceptional right or other limitations regarding granting of separate financial services, which is regulated by the Commission, is set by the laws on activity of the corresponding financial institutions and normative acts of the Commission.
 
1.5. Possibility and order of granting of separate financial services, which is regulated by the Commission, by legal entities, which? According to their legal status, are not financial institutions, is determined by the laws and normative acts of the Commission.
 
1.6. A legal entity acquires to status of financial institution from the date of making an appropriate record in the Register.
 
1.7. To obtain the status of financial institution, a legal entity is under an obligation to meet the requirements of the corresponding normative acts of Ukraine.
 
1.8. The certificate of state registration of financial institution is a document, which confirms status of financial institution (attachment 1).
 
1.9. The certificate of state registration of financial institution (further - the Certificate) is not a subject to the transmission for the use by other legal or physical entities for granting of financial services.
 
1.10. Financial institution has a right to provide the certain types of financial services through its separated subdivision,  on condition of granting by this financial institution of the proper report and bringing of information on mentioned separated subdivision to the  Register.
 
1.11. In the case of any reasons for re-formalizing of certificate on registration of financial institution or issue of doublet of this Certificate, – the financial institution is under an obligation to execute actions in accordance with the requirements of this Regulation.
 
1.12. Requirements, set by the legislation of Ukraine in relation to the activity related to providing of the proper types of financial services, must be executed by financial institution during all term of stay of information about this institution in Register.
 
1.13. If, in accordance with legal acts for the provision of certain financial service, it is necessary to have a license, financial institution has a right to provide such service only after the receipt the proper license. For the receipt of license, the financial institution is under an obligation to execute all requirements of the proper legal acts of Ukraine.
 
1.14. The certificate is to be stored in a place, accessible for a review, at the location of financial institution.
 
1.15. Requirements for acquisition by the legal entity of status of financial institution, order of bringing of information on a legal entity to the Register and requirements to the documents, which are here given by legal entities, – is determined by the corresponding legal acts in relation to the separate types of financial institutions.
 
Section 2. Requirements to the State register of financial institutions
 
2.1. A register is created for the purpose of assistance in protection of interests of users of financial services and providing of the state regulation of markets of financial services, and also for providing of state bodies, operators of markets of financial services – with information on financial institutions which are included to the Register.
 
2.2. The proprietor of information, entered to a Register, is the state. 
 
2.3. Receiving, accumulation, storage, defence, usage and distribution of information about financial institution carries out the Commission which in accordance with this Regulation provide registration and decides a question on entering of financial institution to the Register. 
 
2.4. The Register is conducted on electronic transmitters in accordance with state standards, which provide his compatibility and co-operation with other informative systems and networks which make the informative resource of the state. 
 
2.5. The Register is created and is conducted by Commission which is its manager and administrator. 
 
2.6. Technical and programmatic facilities of conducting of Register must provide: 
 
· automatic conducting of a standard of Register; 
 
· control after plenitude of bringing of information to Register; 
 
· transmission to the proper public authorities of reports and information from Register; 
 
· implementation in full scale of functions of administrator of database of a Register (accumulation, data analysis, actualization of information, setting of rights for access and others like that); 
 
· storage of information about financial institution during 5 (five) years from the date of exception of financial institution from Register and transmission of registration business to the state archived establishment; 
 
· protection of information from illegal assess; 
 
· authenticity and plenitude of information from registration cards; 
 
· control after conducting of registration actions; 
 
· operative distribution of Certificates and notes from Register, and also documentary recreation of the procedures of registration.
 
     2.7. Regulations and rules on defense of the information in the Register are set by the empowered state body.
 
 
Section 3. Information of the State Register of financial institution
 
     3.1. Only open information, the list of which is set by this Regulation, is brought in to Register.
 
     3.2. Information with limited access (confidential information) and information, which contains state secret.
 
     3.3. Commission sets the structure of files and description of data of the State Register of financial institution.
 
     3.4. the following information is to be entered to the Register:
 
1) general information on legal entity, which include information:
-         on legal entity (full name of applicant, abbreviated name of applicant and name by a foreign language, organizational legal form, identification code for SSREOU,
-         name the management body, the form of property, basic types of activity for the Classification of types of economical activity,  place of activity);
-         about its participation in associations of financial institutions;
-         on state registration of legal entity (date, series and number of the certificate on state registration and by whom it was given, and also information on introduction of amendments to the state registration of legal entity and information about state registration of ceasing of legal entity;
-         about state registration of legal entity (date, series and number of certificate about state registration and by whom issued, and also information about bringing of changes to state registration of legal entity and information about termination of state registration of legal entity);
 
-         about location of legal entity (code of territory, zip code, region, district, settlement, street, number of house, number of building, number of office (apartment), telephone, fax, e-mail, web-page);
 
-         about properties of bank (name of bank and BIC code, its location, current account);
 
-         about statutory  fund (statutory  capital): registered amount; paid part in fact; code of currency; share of amount that belongs to the state and/or non-resident;
 
-         about officials of legal entity (last name, name and patronymic (futher - LN.N.P.), who have a right to accomplish the juristic acts on behalf of legal entity without letter of attorney, including sign of agreements, LN.N.P. and the name of position of leader, deputy leader, chief accountant);
 
-         about carrying out of the internal financial monitoring (date and number of document about confirmation of rules of conducting of the internal financial monitoring, date and number of document about assignment of worker in charge of carrying out of the internal financial monitoring, and his LN.N.P.);
 
-         about the types of financial services which gives or plans to give legal entity;
 
2) information about licenses (in cases foreseen by normatively-legal acts) to the grant of certain type of financial services (name of license, series, number and date of delivery of license, term of its action, and also information about reregistration, delivery of doublet and cancellation of license);
 
3) information about rules (in cases foreseen by normatively-legal acts) for realization of financial service in accordance with a license (name of rules, date and number of document about their registration, expiration date of action of rules);
 
4) information about the separated subsections (if present) of financial institution (date and number of decision about creation of the separated subsection, information about his registration and about the types of financial services, that can give the separated subsection, location of the separated subsection, telephone, fax, e-mail, web-page, information about guidance of the separated subsection);
 
5) information about financial institution which is brought in by Commission (registration number in the State register of financial institutions, code of financial institution, series, number and date of certification about registration of financial institution, foundation, number and date of exception of financial institution from Register).
 
Section 4. General order of bringing of information about financial institution in Register
 
4.1. For acquisition of status of financial institution declarant in accordance with the requirements of normatively-legal acts submits documents (in a paper and electronic form) to Commission, namely:
 
-         statement about bringing of information to the State register of financial institutions (enclosure 2);
 
-         registration card with general information about a legal entity (enclosure 3);
 
-         in cases foreseen by normatively-legal acts, - information about licenses and rules of grant of financial services (enclosure 4);
 
-         registration card with information about the separated subsections of legal entity (if present) (enclosure 5);
 
-         other documents, list and its forms are set by the proper normatively-legal acts for the separate types of financial institutions.
 
4.2. The requirements to the legal entity for bringing of information about it to Register and requirements to the documents that a legal entity gives, are set by the proper normatively-legal acts for the separate types of financial institutions.
 
4.3. The general order of conduct of the State register includes, in particular:
· verification of completeness of documents, which are given to Commission, and plenitude of information which are indicated in a registration card;
 
· verification of documents which are given to Commission, on absence of grounds for the refusal in bringing into Register;
 
· bringing of information about a legal entity to Register;
 
· registration and certification about registration of financial institution.
 
4.4. All documents which are given for bringing into Register belong to the category of documents of long-term storage and must be given in a binder, with internal description and numbered pages.
 
4.5. Statement on bringing in Register together with all necessary documents legal entities send by mail or give personally to Commission together with description.
 
4.6. A declarant carries responsibility according to the legislation and requirements set by this Provision, for authenticity of the information, indicated in the statement and documents given for bringing into Register, and in their electronic copies.
 
4.7. The statement on bringing into Register remains without consideration, if:
 
· statement is signed by a person which does not have plenary powers on it;
 
· documents are processed with violation of requirements of current legislation.
 
4.8. On abandonment of statement on bringing into Register without consideration is revealed to the declarant in writing with pointing of grounds of abandonment of statement about bringing in Register without consideration in a term not more than 30 calendar days from the day of documents receiving.
 
4.9. After the removal of reasons which were foundation for deciding on abandonment of statement on bringing into Register without consideration, a declarant can repeatedly hand in an application on bringing into Register, which is examined in the set order.
 
4.10. Not later than 30 calendar days from the day of receipt of statement and all necessary documents from a declarant Commission is to make decision in relation to approve of decision on bringing into Register or on the refusal in relation to bringing into Register.
 
4.11. About the decision-making on bringing into Register or on the refusal in relation to bringing into Register is messaged (it is given out) to the declarant in a writing form during three working days from the date of acceptance of the proper decision. In the decision on the refusal in relation to bring the grounds of such refusal are marked in Register.
 
4.12. The grounds for the decision-making on the refusal in relation to bring into Register are:
 
· disparity of the given documents which are added to the statement, to the requirements of current legislation;
 
· no authenticity of information in the documents given by a declarant for bringing into Register;
 
· disparity of declarant pursuant to the given documents to the requirements of legal normatively acts in the field of adjusting of markets of financial services.
 
4.13. In the case of refusal in relation to bring into Register on the basis of exposure of unreliable information in the given documents a declarant can hand to Commission in a new application on bringing of information into Register not earler than in three months from the date of decision-making on the refusal in relation to bring into Register.
 
4.14. The decision on the refusal in relation to bring into Register can be appealed in a judicial order.
 
4.15. In the case of acceptance by Commission of positive decision in relation to bring in Register, Commission processes Certificate and bring information into Register not later then in five working days from the date of the positive decision is taken.
 
4.16. If declarant during thirty calendar days from the day of direction to him report about the decision-making about bringing in Register did not appeal for the receipt of the designed Certificate, Commission has a right to abolish the decision about bringing in Register.
 
Section 5. Bringing of information about the separated subsection of legal entity to Register
 
5.1. In the case of creation by financial institution of a new separated subsection, that will provide financial services, financial institution is obliged to report and give to Commission in an application about bringing of information about the separated subsection of legal entity to Register (addition 6) and registration card with information about the separated subsection of legal entity (addition 5). Presence of such statement and registration card which is filled in separately for every separated subsection, and bringing of information about the separated subsection to Register is the obligatory condition of granting by financial institution of financial services through the such separated subsection.
 
5.2. During ten working days from the date of presentation of the proper statement in accordance with the requirements of legal normatively acts Commission brings in information about the separated subsection of legal entity to Register.
 
Section 6. Re-registration of Certificate
 
6.1. The grounds for re-registration of Certificate are:
 
· change of the name of financial institution, if this change is not connected with its reorganization;
 
· change of location of financial institution.
 
6.2. In the case of appearing of grounds for re-registration of Certificate financial institution is obliged to give to Commission a proper application during ten working days (addition 7) and new registration card (addition 3) together with Certificate, that is subject to re-registration. In addition financial institution gives originals and/or notarial witnessed copies of the proper documents, which certify the changes marked in п. 6.1 of this Statute.
 
6.3. Commission during ten working days from the date of receiving of statement, registration card and documents which are added to it, issues  a new Certificate taking into account the changes marked by a declarant.
 
6.4. In the case of replacement of Certificate Commission makes decision about confessioning of Certificate, that was transferable, invalid, with bringing of the proper changes to Register not later than three working days after acceptance of such decision.
 
Section 7. Delivery of doublet of Certificate
 
7.1. The grounds  for delivery of doublet of Certificate are:
 
· loss of Certificate;
 
· damage of Certificate.
 
7.2. In the case of loss of Certificate financial institution is under an obligation to appeal to Commission and give:
 
· statement about delivery of doublet of Certificate (addition 8);
 
· information about the publication of announcement in the proper mass medias.
 
7.3. If the form of Certificate is not suitable for the use as a result of it’s damage, financial institution gives to Commission:
 
· statement about delivery of doublet of Certificate;
 
· Certificate unfit for the use.
 
7.4. A commission is during ten working days from the date of receipt of statement is to give out to the declarant the doublet of Certificate in place of loss or damaged.
 
 
     7.5. In the case of issuance of doublet of Certificate instead of lost or damaged one Commission makes decision about acknowledgement Certificates that was lost or damaged invalid, with bringing relevant changes to Register during three working days after making such decision.
 
      Section 8. Exclusion from Register and cancellation of Certificate
 
     8.1. The grounds for the exclusion from Register and cancellation of Certificates are:
     statement of financial institution on the exclusion from Register (annex 9) in connection with termination of granting financial services;
     decision on cancellation of state registration of financial institution;
     decision on exclusion from Register upon a fact of exposure in the documents issued by financial institution unreliable information in Register.
 
     8.2. In the case of exclusion from Register and cancellation of Certificate in accordance with the statement (annex 9) financial institution should add to the statement:
     -  copy of report in mass media about decision-making on the exclusion from Register;
     - copy of document of the relevant management body of financial institution,  confirming a decision-making fact about the appeal  to Commission in relation to the exclusion from Register;
     - order form of Certificate (original); 
     - other documents foreseen by normative-legal acts of Commissions for the separate types of financial services.
 
     8.3. In the case of receipt in accordance with established procedure the statement of financial institution (adding relevant documents) about exclusion from Register or decision about cancellation of state registration of financial institution as legal entity Commission should during thirty calendar days from the date of receipt of indicated documents to make decision about the exclusion from Register and cancellation Certificates on condition of observance by financial institution of requirements of normative-legal acts.
 
            Section 9. Procedure of the use the information in State register
 
     9.1. Users of information in State register are bodies of public authority, bodies of local self-government, legal and natural persons.
 
     9.2. Natural and legal persons can obtain information from Register by the appeal to Commission or by direct sanctioned access to Register.
 
     9.3. Control on access to Register and grant of informative services from Register is carried out in accordance with set by Commission requirements.
 
     9.4. Transmitting of information of Register to the third persons on commercial basis is forbidden.
 
         Section 10. Control over the fulfillment of requirements of present Regulation
 
     10.1.   The control over the fulfillment of present Regulation is the component of realization by Commission of the state regulation and supervision over the activity of financial institutions.
 
     10.2.   Control   over the fulfillment of present Regulation is carried out by Commission by conducting of on sight and off sight verifications, including thematic and mutual verifications conducted in accordance with relevant normative-legal acts.
 
     10.3. Financial institution is obliged during ten workings days after the appearing of changes and/or additions to the documents given by it for adding in Register, to report to Commission in writing and give relevant confirming documents.
 
     10.4. Financial institution is obliged during ten workings days after imposition of sanctions by other public authorities to report to Commission in writing and give relevant confirming documents.
 
     10.5. For non presentation, non-timely presentation or presentation of unreliable information to Commission, if presentation of this information is foreseen by the current legislation, financial institutions are responsible according to the legislation of Ukraine.
 
     10.6. In the case of exposure of violations during realization of control over fulfillment of present Regulation the measures of influencing foreseen by the legislation of Ukraine should be implicated.
 
 
Deputy Director of department for
state regulation and development
of financial services markets                                                       S. Horuzhiy
 
 
 
                                      Annex 1
                                      to Regulation on State
                                      register of financial institutions
 
 
 State commission on regulation of financial services markets of Ukraine
 
 
CERTIFICATE
on registration of financial institution
 
 
__________________________________________________________________
(complete name of legal person )
__________________________________________________________________
(brief name of legal person (at presence of) )
 
__________________________________________________________________
(location)
__________________________________________________________________
(identification code for Unified State Register of Enterprises Organizations and Institutions)
 
registered as financial institution in accordance with________________
 
date of acceptance and code of decision about certification:
_________________________________________________________________,
registration number:
_________________________________________________________________
series and number of certificate:
_________________________________________________________________,
date of certification:
_________________________________________________________________,
term of action of certificate :
with ________________ on ____________________________,
 
code of financial institution
__________________________________________________________________
 
Director of department __________________________________________
Signature                   (name, surname)
 
"____" ____________ 200__
 
 
 
 
                                      Annex 2
                             To Statute of State Register of financial institutions
 
 
                              STATEMENT
                     On bringing information to 
             State Register of financial institutions
 
 
 Declarant__________________________________________________________
              (complete name of legal entity)
__________________________________________________________________
      (brief name of legal entity (if present)
__________________________________________________________________
                        (location)
__________________________________________________________________
                      (bank essential elements)
__________________________________________________________________
(identification code in Unified State Register of Enterprises, Organizations and Institutions)
__________________________________________________________________
                          (telephone/fax)
 
 Asks to bring information to State Register of financial institutions.
 
  Types of financial services which would be given by declarant:
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
__________________________________________________________________
 
  place of financial services realization:
__________________________________________________________________
 
------------------------------------------------------------------
         Name          |     location    |name of type(s) of financial |
|of the separated| of the separated   |services which are carried
|   subsection of|   subsection    |out by the separated
                                            subsection                                                          |
|    declarant   |                 |                             |
|----------------+-----------------+-----------------------------|
|----------------+-----------------+-----------------------------|
------------------------------------------------------------------
 
     Two copies of description (list) of documents are added.
 
 
 "__"______ 200_. N___ Signature of Director of legal entity ________
                                                          (Name, First name, Father’s name)
                               Place of stamp
 
 
                                      Annex к 3
                                      To Statute of State Register of financial institutions
 
 
                       REGISTRATION CARD
                         of legal entity
 
 
 I confirm information.     ------------------------------------
 Information in electronic |   Position |                     
 Form that is added coincide 
 With paper form of 
 Registration card         |------------+---------------------|
                           |Name        |                     |
                           |First name  |                     |
                           |Father’s name                     |
                           |------------+---------------------|
                          |Date        |"__"__________200_ |
                           |------------+---------------------|
                             |   Signature   |                     |
                             ------------------------------------
 
 Date of compilation of information by declarant.
 "__" __________________ 200___ .               Place of stamp
 
 
 
                  Information on legal entity
 
------------------------------------------------------------------
|Complete name of applicant (due to   |                    |
|statutory documents)                       |                    |
|-------------------------------------------+--------------------|
|Brief name of applicant (due to statutory  |
|documents, if present)                     |
|-------------------------------------------+--------------------|
|Name of applicant on other language      |                    |
|(due to statutory documents, if present)|                    |
|-------------------------------------------+--------------------|
|Organizational – legal form              |                    |
|-------------------------------------------+--------------------|
| identification code in Unified 
  State Register of Enterprises, 
  Organizations and Institutions            |                    |
|-------------------------------------------+--------------------|
|Management  organ                          |                    |
|-------------------------------------------+--------------------|
| Patterns of ownership                     |                    |
|-------------------------------------------+--------------------|
|Basic types of activity for Code of foreign
 economic activity                          |                    |
|-------------------------------------------+--------------------|
|Place of activity realization              |                    |
|(Ukraine, region, oblast or other country) |                    |
|-------------------------------------------+--------------------|
|Participation in association of financial                     |institutions
|(yes/no)                                   |                    |
|-------------------------------------------+--------------------|
|Name association of financial institutions |                    |
|where declarant takes part and their                      |
|identification code in Unified 
 State Register of Enterprises, 
 Organizations and Institutions                    |                    |
|-------------------------------------------+--------------------|
|Presence of separated subsections of legal|                    |
|entity (yes/no)             |                    |
------------------------------------------------------------------
 
        Information on State Registration of Legal Entity
 
------------------------------------------------------------------
|Date of state registration|Series and number of certificate |
|                          |    |on state registration       |   |
|--------------------------+-------------------------------------|
|who issued certificate on |                                     |
|state registration       |                                     |
|--------------------------+-------------------------------------|
|Date of record on bringing|    |Number of record on bringing|   |
|changes to state registration | changes to state registration  |
|of legal entity                | of legal entity        |   |
|--------------------------+-------------------------------------|
|State of declarant (operates,                                   |
|in process of liquidation,|                                     |
|reorganization)           |                                     |
|--------------------------+-------------------------------------|
|Date of State registration|    |Number of State registration |   |
|of termination of legal entity|of termination of legal entity |   |
|--------------------------+-------------------------------------|
|Grounds for state registration                                 |
| of termination of legal entity |                                     |
| |
|--------------------------+-------------------------------------|
|Date of liquidation 
beginning, reorganization   |Number of decision on beginning
                             of liquidation, reorganization
|                          |        |   |
------------------------------------------------------------------
 
         Information on location of legal entity
 
------------------------------------------------------------------
|Territorial code of Ukraine|           |Post code     |            |
|                         |           |      |            |
|-------------------------+-----------+-------------+------------|
|Oblast                  |           |District        |            |
|-------------------------+-----------+-------------+------------|
| Settlement          |           |Street       |            |
|-------------------------+-----------+-------------+------------|
|Building                   |   |House|             |Flat|   |
|-------------------------+---+-------+-------------+--------+---|
|Telephone code         |   |Тelephone|             |Fax     |   |
|-------------------------+-----------+-------------+------------|
|e-mail (if present)     |           |WEB-page |            |
|               |                   |( if present)               |            |
|                         |           |         |            |
------------------------------------------------------------------
 
               Information on bank essential elements
 
------------------------------------------------------------------
|Name of bank institution   |                                   |
|and its code in Unified 
 State Register of Enterprises, 
 Organizations and Institutions            |                                   |
|----------------------------+-----------------------------------|
|Location            |                                   |
|----------------------------+-----------------------------------|
|Current account            |         |Interbranch turnover|
------------------------------------------------------------------
 
              Information on types of financial services provided or planed to be provided by legal entity
------------------------------------------------------------------
|Types of financial services| Necessity of license presence                                                                                                                                                             yes/no                                                                                           |
|-----------------------+----------------------------------------|
|-----------------------+----------------------------------------|
|-----------------------+----------------------------------------|
------------------------------------------------------------------
 
        Information on statutory fund (authorized capital)
 
 
 
 
 
------------------------------------------------------------------
|Registered amount of statutory fund    |   |Code of currency |             |
| (statutory capital)        |   |          |             |
|-----------------------------------+---+----------+-------------|
|Share of statutory fund (statutory capital)           actually paid                      |Code of currency |             |
|         |   |          |             |
|-----------------------------------+---+------------------------|
| Share of statutory fund (statutory 
capital, which belongs to state, %   |   |Share of statutory 
                         fund(statutory
                        capital),
       which belongs to 
      non-residents, %     
                                                                                   capital, which belongs to |    |
| |   |   |    |
|                                   |   |       |    |
|                                   |   |            |    |
|                                   |   | |    |
------------------------------------------------------------------
 
            Information on leaders of legal entity 
 
------------------------------------------------------------------
|Family name, name   |Family name,   name  | Family name, name  |
|and fathers name,    and fathers name    | and fathers name        name of position 
of director          of Deputy Director  | of chief accountant
| |           |                      |                     |
|-------------------+----------------------+---------------------|
|                   |                      |                     |
|------------------------------------------+---------------------|
| Family name, name and fathers name of persons, 
|who are entitled to legal acts on behalf 
of legal entity   without power of attorney,
including signing of agreements      |---------------------||---------------------|
|          |---------------------|
------------------------------------------------------------------
 
  Information on conducting of internal financial monitoring 
 
------------------------------------------------------------------
|Date of approving of procedure   Number of document on 
for conducting of internal      approving of procedure for 
financial monitoring |   |      conducting of internal        |  |
|  |   |                         financial monitoring |  |
|  |   |          |  |
|------------------------+---+--------------------------------+--|
|Date of document        |   |Number of a document on     |
|on assigning of a person, |  assigning of a person |  |
|responsible for conducting    responsible for conducting            |   |          |  |             of internal        |  |
|                               financial monitoring
        of internal        |  |
|financial monitoring |   | 
| 
|----------------------------------------------------------------|
|Family name, name and fathers name of a person, responsible for conducting  of internal financial monitoring  
------------------------------------------------------------------
 
      Information on financial institution (is filled in by the Commission)
 
------------------------------------------------------------------
|Registered number in State
 Register of Financial institutions   |
|-----------------------------------------+----------------------|
|Code of financial institution                    |                      |
|(is assigned by the Commission)                 |                      |
|-----------------------------------------+----------------------|
|Series and number of                   Date of issuance of
registration certificate of             registration certificate 
 a financial institution    |         of a financial  
|     |     |                           institution
|                              |          | 
       |     |
|-----------------------------------------+----------------------|
|Name of position of a person signed 
registration certificate of  
 a financial institution,
as well as family name, name
and fathers name of a person
                          |
|       |                      |
| 
|-----------------------------------------+----------------------|
|Ground for excluding from 
the Register and canceling of     |                      |
| a certificate                     |                      |
|-----------------------------------------+----------------------|
 
 
|Date of excluding from               Date of last introducing 
the Register and canceling of a       of amendments into   |          | certificate |     |                     information in the  
|           |          | |          | Register   |
|-----------------------------------------+----------------+-----|
|Status of registration certificate 
of a financial institution (valid, canceled)                                       |     |
------------------------------------------------------------------
 
 Signature of responsible person of the Commission (compliance officer) ________________
 
 Date_______________________
 
 
                                      Annex 4
                                     to Regulation on State Register of Financial Institutions 
 
 
INFORMATION
on licences and procedures for carrying out of
a certain kind of financial services  
 
 
 I confirm the information.     ------------------------------------
 Data in electronic form,   |         Position  |                     |
 which is enclosed,    |------------+---------------------|
 agree with                      |       Family name,   |                     |data in paper form 
 of this registration           | name,       |                     |
  card.                                 |fathers name|                     |
                             |------------+---------------------|
                             |Date        |"__"__________200_  |
                             |------------+---------------------|                  Signature
Date of composition of information by applicant
|"__"__________200_  
 
------------------------------------------------------------------
|Code of financial institution (is filled in by the Commission)|                   |
|--------------------------------------------+-------------------|
|Identification code of the main enterprise from the Single State Register of enterprises, institutions and organizations              |                   |
|--------------------------------------------+-------------------|
|Name of licence                               |                   |
|----------------------------------------------------------------|
|Date  of issuance
of licence  |                |Series and number    |        |
|          |        |              of issued licence
|-------------+---------------+----------------------------------|
|Date of coming into 
force of licence|     |Term of validity     Date of expiry of licence 
                            of licence       |    |
 
|-----------------------------+----------------------------------|
|Title of position of person signed 
licence           |                                  |
|-----------------------------+----------------------------------|
|Status of licence (acting, canceled)        |                                  |
|-----------------------------+----------------------------------|
|Ground for issuance of
duplicate of licence                                   |
|                   |                                  |
|-----------------------------+----------------------------------|
| Date of issuance of |         |Series and number   |        |
| duplicate of licence |         | of duplicate of licence                |        |
|-----------------------------+----------------------------------|
|Ground for  rebilling
of licence
  |                                  |
|                     |                                  |
|-----------------------------+----------------------------------|
|Date of rebilling                 Series and number 
                                    of licence rebilled |            |        |
|of licence          |         |   |        |
|-----------------------------+----------------------------------|
|Ground for canceling      |                                  |
|of licence                     |                                  |
|-----------------------------+----------------------------------|
|Date of canceling   |         |Number of document       |        |
|of licence          |         |on canceling of licence     |        |
|-----------------------------+----------------------------------|
|Presence of procedures for
conducting of financial service
due to a licence (yes/no)            |                                  |
------------------------------------------------------------------
 
------------------------------------------------------------------
|   Name of procedures   |---------------------------------------------|
|                  |---------------------------------------------|
|                  |---------------------------------------------|
|                  |---------------------------------------------|
|                  |---------------------------------------------|
|------------------+---------------------------------------------|
|Date of registration |Number of registration|    Date of expiry|   |
|of procedures            |of  procedures |    |of procedures |   |
------------------------------------------------------------------
 
Annex to registration card
 
     Registration number in State Register of Financial Institutions ____________________
        (to be filed by the Commission)
 
 
Annex 5
To Regulation on State Register
 of Financial Institutions
 
 
REGISTARTION CARD
with information on separate subdivision of legal entity
 
 
I confirm information.     ------------------------------------
 Information in electronic |   Position |                     
 form that is added coincide 
 with paper form of 
 Registration card         |------------+---------------------|
                           |Name        |                     |
                           |First name  |                     |
                           |Father’s name                     |
                           |------------+---------------------|
                          |Date        |"__"__________200_ |
                           |------------+---------------------|
                             |   Signature   |                     |
                             ------------------------------------
 
 Date of compilation of information by declarant.
 "__" __________________ 200___ .               Place of stamp
 
 
 
                             |    
 
 
------------------------------------------------------------------
|Code of financial institution        |                          |
|(filled in by Commission)            |                          |
|-------------------------------------+--------------------------|
|Identification code in accordance    |                          |
 with STATE REGISTER OF ENTERPRISES   |                          |
 ORGANIZATIONS AND INSTITUTIONS       |                          |
|of chief enterprise                  |                          |
|-------------------------------------+--------------------------|
|Date of establishing   |   |Number of decision| |Code in accordance                                             STATE REGISTER OF ENTERPRISES ORGANIZATIONS AND INSTITUTIONS  |   |
|of separate subdivision|   |on establishing of| | with SREOI of |
|                       |   |separate          | | separate      |
|                       |   |subdivision       | | subdivision   |
                                               | |(if available) |
|-------------------------------------+--------------------------|
|Types of financial services    |  Necessity of licensing |
|subdivision planning to provide|  (yes/no)               |
|-------------------------------------+--------------------------|
|-------------------------------------+--------------------------|
|----------------------------------------------------------------|
|Code of territory |                     | Zip  |   |
|in accordance with|                          
|Territorial Code
 of Ukraine                              | code |   |
|------------------+------------------------------+--------------|
|Region            |                  |District   |              |
|------------------+------------------+-----------+--------------|
|Settlement        |                  |Street     |              |
|------------------+------------------+-----------+--------------|
|Building          |                  |House  |   |Office    |   |
|                  |                  |       |   |(Flat)    |   |
|------------------+------------------+-------+---+----------+---|
|City telephone    |                  |Teleph.|   | Fax      |   |
|code              |                  |       |   |          |   |
|------------------+------------------+-----------+--------------|
|E-mail            |                  |WEB-       |              |
|(if available)    |                  |page       |              |
|                  |                  |(if        |              |
|                  |                  |available) |              |
|-------------------------------------+--------------------------|
|Full name and title of leader        |                          |
|                                     |                          |
|-------------------------------------+--------------------------|
|Full name of                         |                          |
|deputy leader                        |                          |
|-------------------------------------+--------------------------|
|Full name of                         |                          |
|chief accountant                     |                          |
------------------------------------------------------------------
 
      Information on banking requisites  (if available)
 
------------------------------------------------------------------
|Name of banking institution and its code   |                    |
|in accordance with SREOI                   |                    |
|-------------------------------------------+--------------------|
|Location                                   |                    |
|-------------------------------------------+--------------------|
|Current account                            |     |   Inter branch
                                             |     |   turnover
------------------------------------------------------------------
 
              Information on carrying out internal
              financial monitoring (further on IFM)
 
------------------------------------------------------------------
|Date of IFM rules       |  |Approval of IFM rules document  |   |
|performance approval    |  |number                          |   |
|------------------------+--+--------------------------------+---|
|Date of document        |  |Number of document on           |   |
|on appointment of       |  |on appointment of               |   |
|compliance officer      |  |compliance officer              |   |
|------------------------+---------------------------------------|
|Full name of compliance |                                       |
|officer                 |                                       |
------------------------------------------------------------------
 
     Annex to registration card and registration number in State Register of Financial Institutions____________________________________________________________________
                                       (filled in by Commission)
 
 
                                      Annex 6
                                      to State Register of Financial Institutions
 
 
                              APPLICATION    
on bringing to the State Register of Financial
Institutions the information on separate subdivisions
of legal entity
 
 
 Applicant
__________________________________________________________________
              (full name of the legal entity)
__________________________________________________________________
                        (location)
__________________________________________________________________
(identification code in accordance with
STATE REGISTER OF ENTERPRISES ORGANIZATIONS AND INSTITUTIONS)
 
 registered as financial institution in accordance with___________
 date of approval and number of decision on
 issuance of certificate__________________________________________
 series and number of certificate_________________________________
 date of issuance of certificate__________________________________
 code of financial institution____________________________________
 
 apply to Commission to bring information pertaining separate 
subdivision of the legal entity to the State Register of
Financial Institutions for the reason of establishing of 
new separated subdivision and/or widening the list of acting ones:
 
------------------------------------------------------------------
| Full names     | Location of     |  Name of type(s) of financial  |
| of applicant’s | separated       |  services the separated        |
|  separated     | subdivision     |   subdivision plans to provide |
| subdivisions   |                 |                                |
|----------------+-----------------+-----------------------------   |
|----------------+-----------------+-----------------------------   |
 ------------------------------------------------------------------
 
     Two copies of list of documents enclosed.
 
 
 "__"______ 200_ р. N___ Signature of the leader of legal entity________
                                                               (Full name)
                               Place for stamp
 
 
                                      Annex 7
                                      to Regulation on State
                                      Register of Financial Institutions
 
 
                              APPLICATION
on rebilling of certificate on registration
of financial institution
 
 
Applicant
__________________________________________________________________
               (full name of the legal entity)
__________________________________________________________________
                        (location)
__________________________________________________________________
(identification code in accordance with SREOI)
 
 registered as financial institution in accordance with___________
 date of approval and number of decision on
 issuance of certificate__________________________________________
 registration number______________________________________________
 series and number of certificate_________________________________
 date of issuance of certificate__________________________________
 code of financial institution____________________________________
 
apply to Commission to rebilling the certificate for the reason of
__________________________________________________________________
                       (indicate reason)
 
------------------------------------------------------------------
| Full names     | Location of     |  Name of type(s) of financial  |
| of applicant’s | separated       |  services the separated        |
|  separated     | subdivision     |   subdivision plans to provide |
| subdivisions   |                 |                                |
|----------------+-----------------+-----------------------------   |
|----------------+-----------------+-----------------------------   |
 ------------------------------------------------------------------
 
     Two copies of list of documents enclosed.
 
 
 "__"______ 200_ р. N___ Signature of the leader of legal entity________
                                                               (Full name)
                               Place for stamp
 
 
                                      
 
                                             Annex 8
                                                                            to Regulation on State
                                             Register of Financial Institutions
 
                              APPLICATION
on issuance of duplicate certificate
 on registration of financial institution
 
 
 Applicant
__________________________________________________________________
               (full name of the legal entity)
__________________________________________________________________
                        (location)
__________________________________________________________________
(identification code in accordance with SREOI)
 
 
 registered as financial institution in accordance with___________
 date of approval and number of decision on
 issuance of certificate__________________________________________
 registration number______________________________________________
 series and number of certificate_________________________________
 date of issuance of certificate__________________________________
 code of financial institution____________________________________
 
apply to Commission to issue duplicate certificate for the reason of
__________________________________________________________________
                       (indicate reason)
 
------------------------------------------------------------------
| Full names     | Location of     |  Name of type(s) of financial  |
| of applicant’s | separated       |  services the separated        |
|  separated     | subdivision     |   subdivision plans to provide |
| subdivisions   |                 |                                |
|----------------+-----------------+-----------------------------   |
|----------------+-----------------+-----------------------------   |
 ------------------------------------------------------------------
 
     Two copies of list of documents enclosed.
 
 
 "__"______ 200_ р. N___ Signature of the leader of legal entity________
                                                               (Full name)
                               Place for stamp
 
 
                                      Annex 9
To the Provision on State Registry of Financial institutions 
                                      
 
                              Statement
On excluding from State Registry of Financial institutions
 
 
 
Declarant 
__________________________________________________________________
               (full name of legal entity)
__________________________________________________________________
                        (location)
__________________________________________________________________
                 (identification code according to UNIFIED STATE REGISTER OF ENTERPRISES and ORGANIZATIONS of UKRAINE)
 
 registered as financial entity according to
 date of taking and number of the decision on issuing of the Certificate _____________
 registration number______________________________________________
 series and number of Certificate _________________________________________
 date of issuing of the Certificate ____________________________________________
 code of financial entity__________________________________________
 
 ask for excluding from State Registry of Financial institutions due to _______________________________________________________
                       (indicate the reason)
 
 

Name of the separate subdivision of the declarant
Location of the separate subdivision
Name of sphere (s) of financial cervices carried out by separate subdivision
 
 
 
 
 
 

 
 
 
 
Two copies of the description (list) of documents are added.
 
 
"__" ______ 200_, N___ Signature of the official of the legal entity ________
 
                                                         (full name)
                                
                                                               Place of stamp
 
 


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