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Ministry of Justice

Republic of Moldova

On May 12, 2017 No. 1217

RESOLUTION OF THE NATIONAL COMMISSION ON THE FINANCIAL MARKET OF THE REPUBLIC OF MOLDOVA

of March 31, 2017 No. 14/15

About approval of Regulations about abuses in the capital market

Based on Art. 128 of the h. (3) the Law No. 171 of July 11, 2012. "About the capital market" (The official monitor of the Republic of Moldova, 2012, No. 193-197, the Art. 665), for the purpose of transposition of Regulations No. 596/2014/EU of the European Parliament and Council of April 16, 2014 about abuses in the market (regulations about abuses in the market) and about exchange of the Directive 2003/6/EU of the European Parliament and Council and Directives 2003/124/EC, 2003/125/EC and 2004/72/EU of the Commission, the National commission on the DECIDES: financial market

1. Approve Regulations about abuses in the capital market according to appendix.

2. This resolution becomes effective from the date of publication.

Deputy Chairman of the National commission on the financial market

Yuriye Phillip

Appendix

to the Resolution of the National commission on the financial market of the Republic of Moldova of March 31, 2017 No. 14/15

Regulations about abuses in the capital market

These Regulations are partial transposition of Regulations No. 596/2014/EU of the European Parliament and Council of April 16, 2014 about abuses in the market (regulations about abuses in the market) and about exchange of the Directive 2003/6/EU of the European Parliament and Council and Directives 2003/124/EC, 2003/125/EC and 2004/72/EU of the Commission.

Chapter I. General provisions

1. The regulations about abuses in the capital market (further – Regulations) regulate market abuse, and also measures for the prevention and prevention of abuses in the market, for ensuring integrity of the capital market and strengthening of protection and investor confidence to this market.

2. These Regulations extend to the financial instruments determined by article 4 of the Law on the capital market No. 171 of July 11, 2012 (further – the Law No. 171 of July 11, 2012) which are admitted to trading in the controlled market or within multilateral trade system (MTC) and also concerning which the application for the admission to the address in these markets is submitted.

3. Application of these Regulations and other regulations adopted according to it does not influence execution of the legislation in the field of the competition.

4. Subjects of these Regulations are issuers of financial instruments, investment societies, operators of the controlled markets and/or MTS, persons who own financial instruments, the financial instruments intending to acquire, including persons who possess exclusive information.

5. Any behavior or action which influence the financial instrument specified in Item 2, irrespective of fall under action of these Regulations happen on the place of the biddings or out of it.

6. The terms used in these Regulations have the determinations provided by the Law on the capital market No. 171 of July 11, 2012 and subordinate legislations. For the purpose of these Regulations the following concepts are used:

abuse in the capital market – the illegal behavior in the capital market including illegal use, not authorized disclosure of exclusive information and/or market manipulation;

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