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The Ministry of Justice of Ukraine has registered two new documents developed and approved by the NSSMC. These are the Resolutions on establishing the criteria for recognizing a person as a qualified investor and the Regulation on conducting soundings in the capital markets.

The regulator has developed both documents in order to implement the provisions of the Law on simplifying the attraction of investments and the introduction of new financial instruments. They come into force on December 10, 2021, ie from the moment of their publication in the Official Newsletter of Ukraine №94.

«These documents disclose at the regulatory level and explain the mechanisms of operation of new concepts in capital markets, which are enshrined in current legislation. We tried to develop the most understandable mechanisms for market participants, which in one way or another will help increase the level of protection of investors’ rights in the Ukrainian capital market,» said Maxym Libanov, Сommissioner.

Thus, the NSSMC has established clear criteria for recognizing a person as a qualified investor, namely:

– criteria for foreign financial institutions to be recognized as qualified investors;

– criteria for recognizing transactions in financial instruments that have been concluded during the last four quarters, for recognizing a person as a qualified investor;

– method of calculating own funds for the purposes of recognizing a person as a qualified investor, etc.

The NSSMC has also developed rules for conducting sounding in capital markets, which provide for:

– the procedure for obtaining consent to the transfer of insider information to a potential investor;

– responsibilities of the person being probed;

– the procedure for the transfer of information on probing in the capital markets and record keeping;

– the amount of information that is disclosed, etc.

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