General procedure for accreditation of a Client of an Exchange Member
In order to obtain the status of a Client of a member of URX LLC, a resident applicant must:
- Familiarize yourself with: Regulations to acquire the status of a Member of the Commodity Exchange, Limited Liability Company “Ukrainian Resource Exchange”.
- Fill in the application form to obtain the status of an Exchange member’s client on the Exchange’s website at the link “Register” (i.urb.ua/registration), download it, sign and seal it (if available), upload a scanned application form in color, to which you must attach a package of documents according to the list (templates of documents for uploading), as well as public key certificates of a person authorized to sign exchange contracts on behalf of a legal entity/individual entrepreneur (its head or an authorized person who has the right to sign)
- Receive an e-mail notification about granting the status of an Exchange member’s client (if the Exchange Board makes a decision) and an electronic identifier for access to the personal account in the ETS
- Deliver the original documents and duly certified copies (requirements for certification), scanned copies of which were uploaded by the applicant to become an Exchange member’s client, to Ukrainian Resource Exchange LLC, 14/91 Laboratorna St., office 39A, Kyiv, 03150, Ukraine or by New Mail (targeted delivery): recipient – Ukrainian Resource Exchange LLC, 14A Laboratorna St., Kyiv, tel. (044) 333-96-18 (payment at the expense of the sender)
List of documents for obtaining the status of an Exchange member's client
For a legal entity
For individual entrepreneurs
- An extract or excerpt from the Unified State Register of Legal Entities, Individual Entrepreneurs and Public Organizations (the extract must be issued no later than 1 month prior to its submission to the Exchange).
- The applicant’s charter or a document containing an access code to the results of the provision of administrative services in the field of state registration (description). If the applicant acts on the basis of the model charter, the decision of the founders to establish a company acting on the basis of the model charter or the decision of the participants to conduct activities on the basis of the model charter, signed by all founders (participants), shall be submitted. The founders’ decision must contain information on the name of the company acting on the basis of the model charter, the composition of the founders (participants), the amount of the authorized capital, the amount of shares in the authorized capital of each participant, the method of making contributions (in cash and/or in kind), the authorization of the director to enter into significant transactions (sign contracts) and certify copies of the charter and other documents.
- Balance sheet and income statement for the last reporting period.
- An extract from the VAT register (if the applicant is a VAT payer) or a single tax payer certificate.
- Order (decision) on the appointment of the applicant’s director.
- Passport and certificate of identification number of the applicant’s head.
- Consent-notification of the personal data subject to the processing of his/her personal data, signed by the applicant’s manager.
- Questionnaire (questionnaire) of the legal entity – client of the Exchange to fulfill the requirements of the Law of Ukraine “On Prevention and Counteraction to Legalization (Laundering) of Proceeds of Crime, Terrorist Financing and Financing of Proliferation of Weapons of Mass Destruction”.
- Certificate on the ownership structure and data on the ultimate beneficial owners (controllers) of a legal entity containing a schematic representation of the ownership structure of a legal entity, on the basis of which the Exchange must identify all available ultimate beneficial owners.
The certificate of ownership structure and data on the ultimate beneficial owners of the legal entity (controllers) must be signed by an authorized official of the applicant legal entity and sealed (if any). - Minutes (Resolution) or an extract from the Minutes (Resolution) authorizing the director to make significant transactions (sign contracts) and certify copies of statutory and other documents.
- Copy of a contract of agency concluded with a member of the Exchange that is certified by an authorized official of an applicant and sealed (if any)
The Exchange has the right to request additional documents from applicants in order to clarify and/or verify the accuracy of the information received from them
- Extract or excerpt from the Unified State Register of Legal Entities, Individual Entrepreneurs and Public Organizations (the extract must be issued no later than 1 month before it is submitted to the Exchange).
- Tax return for the last reporting period.
- An extract (certificate) from the register of single tax payers and an extract from the register of VAT payers (if the applicant is a VAT payer).
- Order (decision) on the appointment of the applicant’s director.
- Passport and certificate of assignment of the identification number of the person(s) who will perform the powers of the broker(s) (if the broker’s powers will be performed by a person other than the head (or not only the head) of the legal entity).
- Consent-notification of the personal data subject to the processing of his/her personal data, signed by the person (persons) who will perform the powers of the broker (brokers) (if the broker’s powers will be performed by a non-individual entrepreneur).
- Questionnaire (questionnaire) of an individual entrepreneur/individual carrying out entrepreneurial activity (non-resident of Ukraine) – client of the Exchange in accordance with the requirements of the Law of Ukraine “On Prevention and Counteraction to Legalization (Laundering) of Proceeds of Crime, Terrorist Financing and Financing of Proliferation of Weapons of Mass Destruction”.
- Copy of a contract of agency concluded with a member of the Exchange that is certified by an authorized official of an applicant and sealed (if any)
The Exchange has the right to request additional documents from applicants in order to clarify and/or verify the accuracy of the information received from them
Document templates for download:
The status of a member of URX LLC may be obtained by non-residents of Ukraine – legal entities and individuals engaged in entrepreneurial activity who are not residents of the state that carries out armed aggression against Ukraine in the meaning given in Article 1 of the Law of Ukraine “On Defense of Ukraine”, as well as persons who have been subject to sanctions pursuant to resolutions of the United Nations Security Council, other international organizations, decisions of the Council of the European Union, other intergovernmental organizations of which Ukraine is a member (participant), which provide for restrictions or prohibitions on trade and/or financial transactions.
In order to obtain the status of a Client of a member of URX LLC, a non-resident applicant shall:
- Familiarize yourself with: Regulations for acquiring the status of a member of the commodity exchange – Limited Liability Company “Ukrainian Resource Exchange”.
- Fill in the application form to obtain the status of an Exchange member’s client on the Exchange’s website at the link “Register” (i.urb.ua/registration), download it, sign and seal it (if available), upload a scanned application form in color, to which you must attach a package of documents according to the list below.
- Receive an e-mail notification of the status of an Exchange member’s client (if the Exchange Board makes a decision) and an electronic identifier for access to the personal account in the ETS
- Deliver the original documents and duly certified copies (requirements for certification), scanned copies of which were uploaded by the applicant to become an Exchange member’s client, to Ukrainian Resource Exchange LLC, 14/91 Laboratorna St., office 39A, Kyiv, 03150, Ukraine or by New Mail (targeted delivery): recipient – Ukrainian Resource Exchange LLC, 14A Laboratorna St., Kyiv, tel. (044) 333-96-18 (payment at the expense of the sender)
List of documents for obtaining the status of an Exchange member’s client for a legal entity/individual entrepreneur:
- A document from a trade, bank or court register, etc. issued not later than one month before the date of submission of documents for obtaining membership (except for the registration certificate) by an authorized body of a foreign state confirming the state registration of a non-resident legal entity in the country of its location.
- Certificate from the bank where the non-resident’s account is opened, bank account number.
- A certificate signed by an authorized person of a non-resident legal entity with a seal (if any) or other document containing information on the ownership structure of such legal entity, on the basis of which the Exchange shall identify all available ultimate beneficial owners (controllers), issued not later than one month before the date of submission of documents by the applicant.
- Employment agreement (contract, order, minutes, charter or other document) of the head of the legal entity and the person authorized to conclude and sign documents, including stock exchange contracts, on behalf of the applicant, containing information on the term and scope of his/her powers.
- Identity document of the head of the legal entity/individual carrying out entrepreneurial activity and the person authorized to conclude and sign documents, including exchange contracts, on behalf of the applicant.
- Consent-notification of the personal data subject to the processing of his/her personal data, signed by the head of the legal entity/individual engaged in entrepreneurial activity and the person authorized on behalf of the applicant to conclude and sign documents, including exchange contracts.
- Questionnaire (questionnaire) of a non-resident of Ukraine – the Exchange’s client in compliance with the requirements of the Law of Ukraine “On Prevention and Counteraction to Legalization (Laundering) of Proceeds of Crime, Terrorist Financing and Financing of Proliferation of Weapons of Mass Destruction”.
- Copy of a contract of agency concluded with a member of the Exchange that is certified by an authorized official of an applicant and sealed (if any)
ATTENTION! Documents issued by the authorized state authorities of the country of residence of a non-resident in accordance with the legislation of that country must be legalized (consular legalization or apostille) in accordance with the procedure established by law, unless otherwise provided by international agreements.
All documents in a foreign language shall be submitted to the Exchange in the original language together with a notarized translation into Ukrainian.
The Exchange has the right to request additional documents from applicants, including financial statements, in order to clarify and/or verify the accuracy of the information received from them.