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The document ceased to be valid since  September 6, 2015 according to Item 2 of the Resolution of the National commission on the financial market of the Republic of Moldova of  July 3, 2015 No. 38/5

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

of December 24, 2009 No. 60/12

About approval of the Instruction about structure, procedure for filling, representation and publication of the specialized reporting of professional participants of the security market

(as amended on 26-10-2012)

In pursuance of provisions of the Law No. 199-XIV of 18.11.1998 "About the security market" (The official monitor of the Republic of Moldova, 2008, No. 3739, the Art. 100), with changes and additions made by the Law No. 249-XVI of 22.11.2007 "About modification and amendments to the Law No. 199-XIV of November 18, 1998 on the security market", Art. 11 of h (4) and h (5) the Law No. 113-XVI of 27.04.2007 "About financial accounting" (The official monitor of the Republic of Moldova, 2007, No. 90-93, the Art. 399), based on Art. 1 of h (1), Art. 3 of h (1) and h (2), the Art. 4, Art. 8 of the item b) and the item i), Art. 20 of h (1), Art. 21 of h (1) and Art. 22 of h (1) and h (2) the Law No. 192-XIV of 12.11.1998 "About the National commission on the financial market" (it is repeatedly published in the Official monitor of the Republic of Moldova, 2007, No. 117-126 BIS) the National commission on the DECIDES: financial market

1. Approve the Instruction about structure, procedure for filling, representation and publication of the specialized reporting of professional participants of the security market, according to appendix.

3. This resolution becomes effective after 30 days from the date of publication.

Deputy Chairman of the National commission on the financial market

Aurika Doyna

Approved by the Resolution of the National commission on the financial market of the Republic of Moldova of March 24, 2010 No. 43

The instruction about structure, procedure for filling, representation and publication of the specialized reporting of professional participants of the security market

I. General provisions

2. Provisions of the Instruction are applied to the professional participants of the security market (further - professional participants) performing professional activity in the security market and also to the issuers having the license for the right of maintaining the register of owners of securities granted by the National commission on the financial market (further - the National commission).

3. The instruction establishes structure, procedure for filling, representation and publication of the specialized reporting (daleeotchetnost) persons specified in Item 2, having the license granted by the National commission.

II. Structure of the reporting

4. The reporting of professional participants the following forms are included:

The form 1 - "The title page of the specialized reporting of the professional participant", further - F1;

The form 2 - "The transactions performed on the stock exchange", daleef2;

The form 3 - "Transactions in profile of members of stock exchange", daleef3;

The form 4 - "Open line items in profile of members of stock exchange", further - F4;

The form 5 - "Orders for sale", further - F5;

The form 6 - "The plan of the biddings", further - F6;

The form 7 - "The report on direct cession of property on personalized securities";

The form 8 - "Payment of charges on the direct cessions of property on securities registered in the curb market";

The form 9 - "Payment of charges on the security transactions registered in the stock exchange market", further - F9;

The form 10 - "The report on the signed and terminated agreements with issuers", further - F10;

The form 11 - "The report on owners of 5 and more percent from total quantity of securities of one issuer", further - F11;

The form 12 - "The report on registration and exception of pledge of securities", further - F12;

The form 13 - "The report on the transactions registered in the stock exchange market", further - F13;

The form 14 - "Structure of guarantee fund", further - F14;

The form 15 - "Actions and transactions, the report on which is submitted in Service according to the prevention and anti-money laundering";

The form 16 - "Financial investments and other assets", daleef16;

The form 17 - "The report on direct cession of property on personalized securities with involvement of foreign investors";

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