КУА "Укрсиб Эссет Менеджмент" : How to become an investor

First step. Decision-making on purchase
Second step. Opening of an account in securities and current account in hryvna.
Third Step. Conclusion of contracts on buying-selling securities.
Forth step. Payment of the acquired securities
Contacts
Sample forms of the documents

How to buy securities being under control of AMC “UkrSib Asset Management” on the primary market?

First step. Decision-making on purchase

For the purchase of fund’s securities Investor needs to:

а) define total sum of investments (minimum possible sum - 1 000 hryvnas);

b) choose the Fund and investment strategy;

c) fill in the Application for acquisition of fund securities;

d) fill in the Form of the buyer.

You are able to consult employees of AMC «UkrSib Asset Management» on all arising questions. Employees of AMC «UkrSib Asset Management» will help you to choose the Fund, investment strategy, fill in all necessary documents. For this purpose you may contact the below mentioned consultants or visit the office of AMC «UkrSib Asset Management».

Contacts:

Larisa Abramova. Tel.: 8 (044) 201-22-74 (multi-channel)

Anatoliy Zub. Tel.: 8 (044) 201-22-74 (multi-channel)

Anna Tihaja. Tel.: 8 (044) 537-50-74

Ksenija Voronzova. Tel.: 8 (044) 537-50-56.

Addresses of AMC’s offices in Kiev:

2/12 Andreevskaya str.

3 Sholudenko str.

E-mail: funds@ukrsibfunds.com, larisa.abramova@ukrsibfunds.com

Second step. Opening of an account in securities and current account in hryvna

As a rule, Securities of Funds are issued in a paperless (electronic) form. It is a more convenient form as it reduces risk of loss or theft of securities as well as risk of their damage. For acquisition of Fund’s securities the Investor should possess an account in securities at the Keeper onto which the securities bought by the Investor will be included. In case of absence of the Investor’s account in securities, JSCIB «UkrSibbank» is ready to offer you opening such an account under special tariffs.

Investor may sign all necessary for opening an account in securities documents at the moment of conclusion of the contract on buying-selling the Fund’s shares.

You have the opportunity to open a hryvna account at the nearest to you branch office of JSCIB «UkrSibbank»

Procedure of opening an account in securities

For signing of the contract on opening an account in securities and attachment on tariff plan the proprietor /representative submits to the Keeper the documents which are necessary for opening an account:

· for physical persons - residents and non-residents:

· Depositor’s form (holder of an account in CB);

· Card with sample of the Depositor’s signature and, if necessary, sample of signature of the manager of an account in securities;

· Copy of the legalized (if necessary) power of attorney which is notarially certified according to the current legislation of Ukraine (if the proprietor - the physical person is a non-resident and appoints the other physical person to be the manager of an account in the Central Bank).

The client should identify himself by showing his passport or other document according to requirements of the current legislation.

The physical person may fill in the card with sample of the Depositor’s and Account Manager’s signature in the presence of the Keeper’s. Card will be then certified by this employee. In the other case, signatures of the Depositor and of the Account Manager should be certified notarially or in any other way according to provisions of the current legislation.

For legal bodies - residents:

account form of the legal person, forms of physical persons – account managers;

notarially certified copy of the state registration certificate or certified by the body which issued this certificate, and copy of the certificate on registration in the uniform state register of the enterprise and the organization of Ukraine, certified by the notary or body which issued this certificate;

· copy of a tax payer’s identification code certificate (VAT and/or F.4-OPP )

· power of attorney of the manager of account in securities, issued and signed by the head of the legal person and authenticated by the seal of this legal person if the account manager is not the head of this legal person.

· Card with samples of signatures of not less than two managers of account in securities and impression of a seal of the legal person signed by the head and the chief accountant (the bookkeeper of the legal person), notarially assured.

For legal bodies – non-residents:

account form in CB, forms of physical persons – account managers

copy of the document testifying registration of this legal person in the country of its performance (state registration certificate, legalized extract from the trading, judicial or bank register of the foreign state on registration of this legal person, notarially certified or testified according to the current legislation of Ukraine);

power of attorney of the manager of account in securities issued and signed by the head of the legal person and assured by the seal of this legal person if the account manager is not the head of this legal person (if necessary - legalized);

card with samples of signatures of not less than two managers of account in securities and impression of a seal of the legal person signed by the head and the chief accountant (the bookkeeper of the legal person, if position of chief accountant is stipulated by the staff list of the legal person), notarially assured.

(!) In addition to set forth above the Keeper should receive complete set of documents for Depositor’s identification in accordance with legislation concerning financial monitoring:

for physical persons (depositors, first persons, founders and account managers) - copies of passports and identification codes of the physical persons assured by their signatures;

For legal bodies - notarially certified copies of constitutional instruments, certified copies of constituent documents, reports or orders of election/appointment to the post of the first persons, certificates on opening of the bank accounts which are specified in forms.

Third Step. Conclusion of contracts on buying-selling securities.

On the basis of the parameters defined in the Application for acquisition and information in the Form of the buyer, employees of the Asset Management Company will prepare the Contract on buying-selling Fund’s shares.

It is possible to fill in the Application and Form as well as sign all necessary Contracts for buying the Fund’s shares at the Asset Management Company “UkrSib Asset Management” located at the address: Kiev, 3, Sholudenko str., 4 th floor, tel. 8 (044) 537-50-56, fax.: 8(044) 537-50-74 or at the address: Kiev, 2/12 Andreevskaya str., tel. 8 (044) 201-22-74.

Non-resident investors can direct the necessary package of documents by mail: 04116, Kiev, 3, Sholudenko str., Joint-Stock Company "AMC "UkrSib Asset Management» or scanned samples of documents to the e-mail addresses: funds@ukrsibfunds.com, larisa.abramova @ukrsibfunds.com,

For drawing up of the contracts investors submit documents listed below.

Investors-physical persons are obliged to submit the following documents:

Passport;

Tax identification code certificate;

Notarially certified consent of the purchaser’s spouse to acquisition of Fund’s shares. If spouse of the purchaser has possibility of coming together with the investor to the office of the Company, the notarial consent assurance is not required.

Investors-legal bodies are obliged to submit the following documents:

Notarially certified copy of the Charter, Constituent contract or a document replacing already mentioned tools;

Notarially certified copy of state registration certificate

The document which confirms election (assignment) of the officials having the right to operate on behalf of the legal person without the power of attorney, or notarially certified copy of such document. In case when the authorized person is operating on behalf of the legal person, the notarially certified power of attorney or notarially certified copy of this power of attorney and the copy of this document assured by the legal body should be given;

· Certificate with requisites of bank account in hryvna on the territory of Ukraine;

· The document identifying the head or the authorized representative (the person signing the Application)

· The license (if available) on the right on realization of professional work on securities market or notarially certified copy of such license;

The fourth step. Payment of the acquired securities.

After signing the buying-selling contract and opening an account in securities the Investor is liable to paying for the acquired securities:

а) At payment by cash - through cash desk of any branch office of JSCIB "UkrSibbank" on the account of Fund № 2650 1001 116 800 in JSCIB «UkrSibbank», МFО 351005;

б) At cashless payment - from personal current account opened in any bank of Ukraine on the account of Fund № 2650 1001 116 800 in JSCIB «UkrSibbank», МFО 351005;

At the same time investor should direct to the Keeper the order on transfer of the acquired securities on his account in securities.