6) the head of the applicant/licensee - person performing function of sole executive body or the chairman of collegiate executive body of the legal entity;

7) the key participant in structure of property of the legal entity or applicant/licensee (further - the key participant) - any physical person owning share in the authorized capital (shares) of such legal entity, the legal entity who owns share (block of shares) in the amount of 2 and more percent in the authorized capital of such legal entity, and at the same time:

if the legal entity has more than 20 participants - physical persons, then 20 participants - physical persons which shares are the largest are considered as key members of the legal entity;

if identical by the size of share (blocks of shares) in the authorized capital of the legal entity belonged to more than 20 participants - physical persons, then all physical persons which own shares (block of shares) in the amount of 2 and more percent in the authorized capital of such legal entity are considered as key members of the legal entity;

it is considered that the public company has no key participants;

8) the bid book is set of all requests (including quotations) one type on purchase and sale of the certain asset admitted to trading in the organized market of the capital;

9) critical operational processes - the activities of the applicant/licensee necessary for possibility of the applicant/licensee:

manage all risks characteristic of activities of the applicant/licensee (including to reveal such risks, to prevent them and to minimize their influence);

manage electronic trading system and hardware and software systems which ensure its normal functioning and protection;

provide accomplishment of the transactions made in the organized market which operator will/is the applicant/licensee including:

transfer information to Central Securities Depository or depositary of the National Bank of Ukraine for modification of system of depositary accounting (except case when among the assets admitted to trading in the organized market which operator will/is the applicant/licensee there are no securities);

transfer information to person performing clearing activities for clearing implementation (except case when the applicant/licensee obtained the license for implementation of clearing activities for determination of obligations and registered rules of implementation of clearing activities for the agreements signed in the organized market of the capital which operator he will/is);

10) the licensee - the legal entity created by the legislation of Ukraine, having the license obtained in the procedure established by the legislation;

11) the disorder terms of trade are the conditions complicating conducting the transparent and ordered trade in the organized market of the capital, in particular, failures in work of electronic trading system, sending significant amount of false requests (including quotations) bidders, situations of price instability, etc.;

12) the mediated essential participation - ownership in the applicant/licensee which comes if person or group of persons directly or indirectly owns share (shares) in the authorized capital of one or several legal entities in structure of property of the legal entity of the applicant/licensee in such size which provides opportunity to control through this person (these persons) of 10 and more percent of the authorized capital of the applicant/licensee;

13) persons performing supervising functions - the chairman and members of the supervisory board or other body responsible for supervision implementation (in case of creation) the legal entity, other persons who have powers on determination of strategy, the purposes and general activity of the legal entity watch process of acceptance of management decisions and control this process;

14) officials of the applicant/licensee are physical persons - the chairman and members of the supervisory board or other body responsible for supervision implementation (in case of creation), the chairman and members of collegiate executive body (person performing powers of sole executive body and its deputies), the corporate secretary, the chief accountant, the chairman and members of other bodies of the applicant/licensee, education and which competence are provided by its charter;

15) the direct owner of the applicant/licensee - person who is the owner of share (shares) in the authorized capital of the applicant/licensee;

16) the room - the part of unobstructed capacity of the building limited to construction elements with possibility of entrance and exit which is used by the licensee (including its isolated and/or specialized structural divisions) when implementing activities for the organization of trade in financial instruments;

17) the public company is:

public joint stock company;

the foreign legal entity who is the issuer of shares which are admitted to trading on at least one of the following controlled markets:

New York Stock Exchange (NYSE);

Hong Kong Exchange sand Clearing;

London Stock Exchange (LSE);

Japan Exchange Group;

the controlled markets entering into Nasdaq, Inc.;

the controlled markets of the country entering the European Union;

controlled markets of Switzerland;

18) the certified specialist - physical person addressed to which the certificate of NKTsBFR on the right of implementation of actions which are directly connected with implementation of any kind of professional activity in the capital markets and the organized goods markets which effective period did not expire is issued;

19) specialized structural division of the applicant/licensee - the department, management, department, the sector which is integral part of internal organizational structure of the applicant/licensee or its separate division and has other location, than the applicant/licensee or its separate division;

20) length of service on executive positions is length of service:

as the leading official and/or as deputy of the leading official and/or as the head and/or the deputy manager of separate, specialized structural and/or functional division of the professional participant of the capital markets and the organized goods markets; and/or

as public service categories B in NKTsBFR and/or as the chairman or the member of NKTsBFR are not lower;

21) length of service in the capital markets and the organized goods markets is general length of service of physical person:

on the leading positions / as specialist in the professional participant of the capital markets and the organized goods markets;

and/or on the leading positions / as specialist in self-regulatory organization or consolidation of professional participants of the capital markets;

and/or on the leading positions / as the specialist of commodity exchange performing activities for the organization of trade in products according to the Law of Ukraine "About commodity exchanges";

and/or on the leading positions / as specialist of other subject of the managing performing activities for the organization of trade in products on the authorized electronic platforms at the organized electronic biddings or with use of other special software according to the legislation of Ukraine;

and/or positions of public service in NKTsBFR and/or the National commission performing state regulation in the sphere of the markets of financial services and/or to positions of the Chairman or member of these commissions.

Terms "outsourcing", "multilateral trading floor (MTF)", "close relations", "high-frequency trade", "gross violation", "goodwill", "investment firm", "operator of MTP", "operator of the controlled market", "operator of the organized market of the capital", "person who performs executive functions", "person performing managerial functions", "official channel of communication", "officials of the professional participant of the capital markets and organized goods markets", "original capital", "proksimiti-hosting", "professional activity in the organized goods markets", "professional activity in the capital markets", "professional participants of the capital markets and organized goods markets", "controlled market", "system violation", "systemically important professional participant of the capital markets and organized goods markets", "trading floor", "trade repository" are used in the values determined by the Law of Ukraine "About the capital markets and the organized goods markets".

The terms "essential participation", "controller", "control" are used in the values determined by the Law of Ukraine "About financial services and state regulation of the markets of financial services".

The terms "chain of ownership of corporate laws of the legal entity", "structure of property of the legal entity" are used in the values determined by the Law of Ukraine "About banks and banking activity".

The terms "faultless goodwill", "identification data", "final beneficial owner" and "trust" are used in the values determined by the Law of Ukraine "About prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction".

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