The NSSMC collects information on Ukrainian investment companies’ ties with Russia

The NSSMC (the National Securities and Stock Market Commission of Ukraine) will analyze the involvement of residents and companies of the russian federation in domestic capital markets in order to reduce their impact and minimize threats to Ukrainian financial markets.

Therefore, the NSSMC requests that domestic asset management companies (AMCs), collective investment schemes (CISs), corporate investment funds (CIFs) and non-state pension funds (NPFs) provide the following information:

• on the presence/absence of persons related to the Russian Federation in the ownership structure of the AMC and the administrator of the NPF;
• on the presence/absence of persons related to the Russian Federation among the participants of the CIS;
• on the presence/absence of real estate, corporate rights, receivables, other property located on the territory of Ukraine and owned by the Russian Federation or its citizens in the assets of CIS/NPF;
• on the presence/absence of the citizens of the Russian Federation among the members of supervisory boards of CIFs managed by the asset management company and the persons on whose instructions they operate;
• on the presence/absence of Russian citizens among the members of NPF boards managed by the asset management company and the persons on whose instructions they operate;
• a list of all transactions with CIS/NPF assets, starting from 24.02.2022 to 19.04.2022 inclusive.

This information must be provided in the Excel format within 10 calendar days after the publication of the relevant Resolution to the e-mail [email protected]. It is important that the documents must be certified by a qualified electronic signature of the applicant’s authorized person.

The Resolution shall enter into force on the day of its publication on the NSSMC’s official website. The full text of the Resolution can be found here.