How to Become an Investor?

Dear Investor!

You are welcome to read through this Shares Issue Prospectus and Regulations of the fund run by JSC “UkrSib Asset Management” the securities of which you would like to purchase.

Steps to be taken to purchase shares of closed-end non-diversified corporate investment funds.

The procedure of purchasing the Fund’s shares depends on Your status:

Individual – resident;

Individual – non-resident;

Legal entity – resident;

Legal entity – non-resident.

If you are an individual being a resident of Ukraine the steps to be taken are as follows:

1. Visit the office of AMC “UkrSib Asset Management” located at: Kyiv, 8 Illinska Str., entrance 5 and submit the following documents:

  • Identity document in accordance with the law of Ukraine (passport or a temporary certificate of residence);
  • Individual Tax Payer Number Certificate – original copy (a copy of it to made and certified);
  • Securities Purchase Order;
  • A certified spousal consent to the investment (under the scheme proposed by us). Should your spouse be able to come to our office to sign the agreement, a certified spousal consent to the investment is not needed. A spouse is supposed to have a passport and Individual Tax Payer Number Certificate (photocopies of those to be made and certified);

2. Transfer the money under the Fund’s Shares Purchase Agreement.

3. Sign the following documents:

  • Sale-Purchase Agreement;
  • Accounting Transaction Resolution;

If you are an individual being a non-resident of Ukraine the steps to be taken are as follows:

1. Enter into the Fund’s Shares Purchase Agreement. Sign the prepared documents personally in witness of our representative. By this you are to supply:

  • Passport;
  • A certificate issued by bank indicating bank details of the account in national currency of Ukraine opened with a bank within the territory of Ukraine the payments will be made from;

2. Data on bank details of a securities account within a Custodian being a member of the National Depositary System of Ukraine. If you don’t have an opened securities account with a Custodian you can open one with JSCIB “UkrSibbank” having supplied all the documents required.

3. Effect payment by means of a bank transfer from bank account opened with a bank within the territory of Ukraine in national currency of Ukraine.

4. The Fund’s shares shall be registered in your name at the Custodian within 7 (seven) days since the payment is effected at the latest.

If you are a legal entity being a resident of Ukraine the steps to be taken are as follows:

1. Your representative submits the following documents:

  • A certified copy of State Registration Certificate;
  • Certified copies of statutory documents (a Charter with all the amendments and supplements as well as the Articles of Association in case the founders are not specified in the Charter) comprising the data on the individual shareholders (members) possessing more than 10% of shares (share in authorized capital);
  • Document acknowledging the selection (appointment) of executive officers entitled to act on behalf of a legal entity without power of attorney and a certified copy of this document;
  • A certified copy of an extract from the Unified State Register of Enterprises and Organizations of Ukraine (EDRPOU);
  • In case an authorized person acts on behalf of a legal entity under the authority of a power of attorney two certified copies of the power of attorney shall be supplied;
  • In case an authorized person acts on behalf of a legal entity under the authority of the power of attorney for effecting a particular action, a certified power of attorney and a certified copy of the power of attorney specifying the scope of powers of such person granted by managing director of a legal entity in the name of the authorized person of the legal entity shall be supplied;
  • A certificate issued by bank indicating bank details of the account in national currency of Ukraine opened by your legal entity with a bank within the territory of Ukraine;
  • A copy of Tax Registration Certificate on Form No.4-ОПП (tax registration certificate);
  • License (if any) for professional activity at the stock market (a copy of it to be made and certified) or a certified copy of the license;
  • Identity document of the managing director or the authorized person (a person singing the documents) in accordance with the law of Ukraine (a passport or an equivalent document);
  • A certificate issued by Registrar on keeping the Register if a legal entity is a joint stock company.

It is required to have seal of a legal entity when entering into Agreement.

2. Sign the Fund’s Shares Purchase Agreement. The agreement is executed at the office of the Asset Management Company or in the outlet of JSCIB “UkrSibbank” therefore, it is necessary to take the seal of a legal entity with you.

3. If a legal entity has no opened securities account with the Custodian, you are to additionally submit documents and enter into, by and between the Securities Account Opening Agreement with the Securities Custodian.

4. Effect money transfer under the Fund’s Shares Purchase Agreement.

5. The fund’s shares shall be registered in the name of a legal entity in the Register within 7 (seven) days since the payment is effected at the latest.

If you are a legal entity being a non-resident of Ukraine the steps to be taken are as follows:

1. Your representative submits:

  • Original of an Order;
  • A certified and duly legalized Extract from a Trade, Bank or Court Register or a Registration Certificate of the authorized foreign entity on the registration of a relevant legal entity with a certified translation into Ukrainian;
  • A certified and duly legalized Extract from the Articles of Association comprising data on the founders, structure of the governing bodies and their powers and a certified translation into Ukrainian;
  • A certified and duly legalized document acknowledging the selection (appointment) of the executive officers entitled to act on behalf of a legal entity without the authority of the power of attorney and a certified translation into Ukrainian. If the authorized person acts on behalf of a legal entity, a certified and duly legalized power of attorney with a certified translation into Ukrainian shall be submitted;
  • A certificate issued by a bank comprising bank details of the account of a legal entity a non-resident investor in national currency of Ukraine opened with the authorized bank within the territory of Ukraine;
  • Data indicating bank details of a securities account with a Custodian being a member of the National Depositary System of Ukraine;
  • Identity document of the managing director or the authorized person (a person signing the documents).

2. Enter into Share Purchase Agreement. The agreement is executed at the office of the Asset Management Company or the outlet of JSCIB “UkrSibbank” therefore, it is necessary to take the seal of legal entity with you.

3. If you don’t have an opened securities account with the Custodian, you are to additionally submit documents and enter into the Securities Account Opening Agreement within the Securities Custodian;

4. Effect money transfer under the Fund’s Shares Purchase Agreement;

5. The Fund’s shares shall be registered in the name of a legal entity at the Custodian within 7 (seven) days since the payment is effected at the latest.