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It is registered

Ministry of Justice of Ukraine

February 1, 2022

No. 115/37451

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

of January 13, 2022 No. 3

About approval of the Regulations on procedure for creation, giving and promulgation of reporting data by commodity exchanges

(as amended on 03-02-2022)

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", part eight of Article 13 of the Section III, Item 8 of the Section VII of the Law of Ukraine "About commodity exchanges" the National commission on securities and the stock market solved:

1. Approve Regulations on procedure for creation, giving and promulgation of reporting data by commodity exchanges which are applied.

2. The first accounting period of submission to the National commission on securities and the stock market of reporting data (further - Data) is:

for daily data - on May 01, 2022;

for monthly data - July, 2021. The term of submission to the National commission on securities and the background market of monthly data for July, August, September, October, November, December, 2021, January, February, March, April, 2022 - till May 31, 2022 inclusive;

for annual data - 2021. The term of submission to the National commission on securities and the background market of annual data for 2021 - till May 31, 2022 inclusive. Annual Data for 2021 move exclusively legal entities to whom the National commission on securities and the stock market in 2021 granted the license for implementation of professional activity in the organized goods markets - activities for the organization of trade in products at commodity exchanges;

for irregular data - on May 01, 2022.

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

submission of this decision for implementation of examination on compliance of the Convention on human rights protection and fundamental freedoms in the Secretariat of the Representative for cases of the European Court of Human Rights of the Ministry of Justice of Ukraine;

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 since May 1, 2022, except Item 2 of the Section I regarding distribution of requirements of this provision of legal entities which grants the license NKTsBFR for implementation of activities for the organization of the conclusion of derivative contracts at commodity exchanges, and those which have the right to implementation of activities for the organization of the conclusion of derivative contracts at commodity exchanges according to requirements of Item 3 of the Section VII of the Law of Ukraine "About commodity exchanges", the subitem 2 Items 2, of the subitem 4 of Item 5 of the Section II, paragraph two in the part concerning representation by commodity exchange of the changes which happened in the list of members of commodity exchange, the bidders and their exchange brokers allowed to the conclusion and execution of derivative contracts, the paragraph of the fifth Item 2 of the Section III and subitem 4 of Item 1 of the Section IV of this provision which become effective from the date of entry into force of the regulatory legal act NKTsBFR which establishes requirements to implementation of activities for the organization of the conclusion of derivative contracts at commodity exchanges.

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:

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 January 13, 2022 No. 3

Regulations on procedure for creation, representation and promulgation of reporting data by commodity exchanges

I. General provisions

1. This Provision determines the list, procedure and terms of submission by commodity exchange to NKTsBFR of reporting data (further - Data), and also procedure, the list and terms of promulgation of information.

2. Action of this Provision extends to legal entities to whom the license NKTsBFR for implementation of professional activity in the organized goods markets - activities for the organization of trade in products at commodity exchanges and/or license for activities on the organization of the conclusion of derivative contracts at commodity exchanges is granted, including to those which had the right to implementation of these types of activity during the period for which information moves.

3. Information of commodity exchange which will be promulgated and moves in NKTsBFR is created by commodity exchange is consolidated (taking into account the isolated structural divisions).

4. Data presentation by commodity exchange in NKTsBFR are performed electronically with observance of requirements of the legislation on electronic document management and electronic confidential services and according to the regulatory legal acts NKTsBFR regulating submission of reporting data and information by participants of the market of the capital markets and the organized goods markets.

5. The irregular data constituted according to the separate reference for one date move once during the working day.

6. Data move in NKTsBFR in the amount established by this Provision no later than the terms determined in Item 1 of the Section III of this provision.

Data shall contain all certain this Provision of the reference which shall be completed and contain the reliable and complete information. Information in references shall be completed according to appendices 1 - 18 to this Provision.

7. In case of combination by commodity exchange of implementation of activities for the organization of trade in products at commodity exchanges and/or activities for the organization of the conclusion of derivative contracts at commodity exchanges with clearing activities for determination of obligations, and/or activities for the organization of the conclusion of derivative contracts in the controlled market of derivative contracts, and/or activities for the organization of the conclusion of derivative contracts on multilateral trading floors of derivative contracts, and/or activities for the organization of the conclusion of derivative financial instruments on organized trading floors of derivative contracts, the certificate of assets (appendix 6) moves such commodity exchange only as a part of reporting data of commodity exchange.

8. Reporting Data of commodity exchange are constituted with use of System of reference books and qualifiers of the National commission on securities and the stock market approved by the decision of the National commission on securities and the stock market of May 08, 2012 No. 646, registered in the Ministry of Justice of Ukraine on May 25, 2012 for No. 831/21143 (further - System of reference books and qualifiers).

9. The format of the financial reporting is created according to the description of the Sections and schemes of the XML files determined by the separate document NKTsBFR of normative and technical nature 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 07, 2018 No. 60, registered in the Ministry of Justice of Ukraine on November 20, 2018 for No. 1309/32761.

10. Data are constituted according to the description of Sections and schemes of the XML files determined by the separate document NKTsBFR of normative and technical nature.

11. In case of need provisions of additional explanations to information containing in the reference, the commodity exchange can give it in the field of "Note" of this reference.

12. Calculation of prudential standard rates by commodity exchanges is perfromed according to the Regulations on prudential standard rates of professional activity in the capital markets and the organized goods markets approved by the decision of the National commission on securities and the stock market of October 01, 2015 No. 1597, registered in the Ministry of Justice of Ukraine on October 28, 2015 for No. 1311/27756.

II. List of Data

1. Data are constituted and move in NKTsBFR as:

daily data;

monthly data;

annual data;

irregular data.

2. Daily Data consist from:

1) certificates of the signed (executed) exchange transactions / exchange agreements (appendix 1) (moves only commodity exchanges having license for activities on the organization of trade in products at commodity exchanges);

2) certificates of the signed (executed/stopped) derivative contracts (appendix 2) (moves the commodity exchanges having license for activities on the organization of the conclusion of derivative contracts at commodity exchanges, and that which have the right to implementation of activities for the organization of the conclusion of derivative contracts at commodity exchanges according to requirements of Item 3 of the Section VII of the Law of Ukraine "About commodity exchanges").

3. Monthly Data consist from:

1) certificates of the register of the exchange goods admitted to exchange trading (appendix 3) (moves only commodity exchanges having license for activities on the organization of trade in products at commodity exchanges);

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