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It is registered

Ministry of Justice of Ukraine

December 22, 2021

No. 1652/37274

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

of December 7, 2021 No. 1203

About approval of the Procedure for submission of information on derivative contracts in trade repository and disclosures of information on derivative contracts trade repository

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

1. Approve the Procedure for submission of information on derivative contracts in trade repository and disclosures of information on derivative contracts by trade repository which is applied.

2. Submission of data on derivative contracts in trade repository and disclosures of information on derivative contracts begins trade repository according to this Procedure from the date of, the expiration of three months following later from the date of entry into force of the decision of the National commission on securities and the stock market about inclusion of the first legal entity in the register of persons, representatives to perform activities of trade repository in the capital markets and the organized goods markets. Submission of data on derivative contracts in trade repository is performed only under the derivative contracts signed after three months from the date of entry into force of such decision.

3. To department of methodology of regulation of professional participants of the security market () provide Kurochkin I.:

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.

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

5. Control over the implementation of this decision to assign to the member of the National commission on securities and the stock market Baramiya I.

Commission chairman

R. Magomedov

 

It is approved:

Chairman of the National Bank of Ukraine

 

K. Shevchenko

First Deputy Minister of digital transformation of Ukraine

A. Vyskub

Approved by the Decision of the National commission on securities and the stock market of Ukraine of December 7, 2021 , No. 1203

Procedure for submission of information on derivative contracts in trade repository and disclosures of information on derivative contracts trade repository

I. General provisions

1. This Procedure establishes requirements of NKTsBFR concerning submission of information in trade repository on the conclusion, change, including replacement of the parties, the termination of the derivative contract and disclosure of information on derivative contracts by trade repository.

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

The database - the ordered set of logically connected data consisting of the stored information on the signed derivative contracts submitted to trade repository, and also information on the unique identifier of product (Unique Product Identifier, the UPI code) or international security identification number (ISIN code) and unique transaction ID (Unique Transaction Identifier, the UTI code) of the derivative contract;

the unique identifier of product (Unique Product Identifier, the UPI code), unique transaction ID (Unique Transaction Identifier, the UTI code) are used in the values given according to the procedure of assignment of unique identifiers of products and unique transaction IDs, NKTsBFR approved by the decision of September 30, 2021 No. 861, registered in the Ministry of Justice of Ukraine on November 30, 2021 for No. 1549/37171 (further - the Procedure for identification).

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" according to the procedure of authorization of legal entities who intend to perform activities of trade repository in the capital markets and the organized goods markets, and the conditions of implementation of such activities determined by NKTsBFR and according to the procedure of identification.

II. Structure and procedure for submission of information in trade repository

1. Information on derivative contracts (further - the report) moves in trade repository in the form of electronic documents. Reports shall contain information provided in Appendix to this Procedure. Persons who shall submit reports according to Item 3 of this Section (further - responsible persons) can provide in structure of the report the additional information about the derivative contract.

2. The structure and the description of fields of electronic report form is established by the separate document of normative and technical nature of NKTsBFR. Information is provided in machine-readable form according to the description of the Sections and schemes of the XML files determined by the separate document of normative and technical nature of NKTsBFR taking into account requirements, determined by the Requirements to formats of data of electronic document management in public authorities approved by the order of the State agency concerning electronic control of Ukraine of September 7, 2018 No. 60, registered in the Ministry of Justice of Ukraine on November 20, 2018 for No. 1309/32761 (further - Requirements).

3. The report moves on behalf of each party of the derivative contract separately in the following procedure:

1) if the derivative contract is signed with participation of person performing clearing activities of the central partner (the central partner), such person shall submit the report on behalf of each party of the derivative contract. At the same time each of the parties of the derivative contract shall provide to the central partner all reliable information about itself and about the derivative contract, necessary for submission of reports in trade repository;

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