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Ministry of Justice of Ukraine

November 30, 2021

No. 1549/37171

DECISION OF THE NATIONAL COMMISSION ON SECURITIES AND STOCK MARKET OF UKRAINE

of September 30, 2021 No. 861

About approval of the Procedure for assignment of unique identifiers of products and unique transaction IDs

According to Items 13, 40 parts one of article 8 of the Law of Ukraine "About state regulation of the capital markets and the organized goods markets", the National commission on securities and the stock market RESHILA:

1. Approve the Procedure for assignment of unique identifiers of products and unique transaction IDs which is applied.

2. To department of information technologies (Stutterer A.) provide:

submission of this decision on state registration in the Ministry of Justice of Ukraine;

promulgation of this decision on the official website of the National commission on securities and the stock market.

3. This decision becomes effective from the date of its official publication.

4. Control over the implementation of this decision to assign to the member of the commission Boyko Yu.

Commission chairman

R. Magomedov

 

It is approved:

First Deputy Minister of digital transformation of Ukraine

 

A. Vyskub

Chairman of Public service of special communication and information security of Ukraine

Yu.Shchigol

Approved by the Decision of the National commission on securities and the stock market of Ukraine of September 30, 2021 , No. 861

Procedure for assignment of unique identifiers of products and unique transaction IDs

1. This Procedure is developed for the purpose of improvement of transparency of turnover of derivative contracts, reduction of systemic risk, protection of the market against abuses and establishes procedure for assignment of identifiers of derivative contracts, agreements on replacement of the party, transaction IDs under derivative contracts and transactions under agreements on replacement of the party, information on which moves in trade repository.

2. This Procedure is developed according to the Law of Ukraine "About state regulation of the capital markets and the organized goods markets", the Law of Ukraine "About the capital markets and the organized goods markets".

3. In this Procedure terms are used in such value:

the unique identifier of product (Unique Product Identifier, the UPI code) - the unique identifier of the derivative contract and agreement on replacement of the party which specifies belonging of the derivative contract and agreement on replacement of the party to certain group of derivative contracts and agreements on replacement of the party which are characterized by availability of general signs;

unique transaction ID (Unique Transaction Identifier, the UTI code) - unique transaction ID under the derivative contract and the agreement on replacement of the party which identifies each new transaction / transaction;

reference library of the data UPI (RDL) - the data set consisting of reference elements of data with specific values which together describe product;

control symbol - the symbol calculated on the basis of data set with use of certain algorithm which is used for integrity checking of data;

system of check of symbols - set of rules for generation of control symbols and check of identifiers.

Other terms in this Procedure are used in the values given in the Law of Ukraine "About the capital markets and the organized goods markets", regulatory legal acts NKTsBFR which establish procedure for authorization of legal entities who intend to perform activities of trade repository in the capital markets and the organized goods markets, both conditions of implementation of such activities and procedure for submission of information on derivative contracts in trade repository and disclosures of information on derivative contracts trade repository.

4. After adoption of the report on the derivative contract according to the regulatory legal act NKTsBFR which establishes procedure for submission of information on derivative contracts in trade repository and disclosures of information on derivative contracts by trade repository and with indication of on action type the "new" trade repository appropriates descriptions of Sections and schemes of the XML files determined by the separate document NKTsBFR of normative and technical nature to the derivative contract:

the unique identifier of product (UPI code), except the derivative contract which is admitted to trading in the organized market and is identified by specifying of international security identification number (ISIN code);

unique transaction ID (UTI code).

5. After assignment of the unique identifier of product and unique transaction ID the trade repository reports person which submitted information, values of the appropriated unique identifier of product and unique transaction ID and also:

in case of forming and assignment of the new unique identifier of product provides transfer of value of such unique identifier of product to other trade repositories together with the list of information which is connected with the corresponding unique identifier of product;

provides comparison of information on the derivative contract according to the procedure provided by the regulatory legal act NKTsBFR which establishes procedure for submission of information on derivative contracts in trade repository and disclosures of information on derivative contracts by trade repository, and conditions of implementation of such activities.

6. The unique identifier of product of UPI consists of 12 alphanumeric symbols which are spread out as follows:

two-symbolical prefix of "QZ";

nine alphanumeric symbols (only letters from A to Z and figures from 0 to 9, except for public symbols (A, E, I, O, U) and symbol Y) without dividers and special symbols;

one alphanumeric control symbol (only capital letters from A to Z and figures from 0 to 9, except for public symbols (A, E, I, O, U) and symbol Y), calculated with use of the method specified in appendix 1.

7. The trade repository exercises control of library of the help data UPI (RDL) which is properly organized and is supported by trade repository. The library connects the UPI codes with values of basic elements of the data characterizing product. Determinations of the minimum set of elements of the basic data UPI are given in appendix 2. The minimum elements of the basic data UPI on asset class and type of the tool are given in appendix 3.

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