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

of September 25, 2012 No. 1283

About approval of the Regulations on procedure for creation and provision of administrative data concerning activities of dealers in securities in the National commission on securities and the stock market

According to Item 10 parts two of Article 7 and Item 13 of article 8 of the Law of Ukraine "About state regulation of the security market in Ukraine" the National commission on securities and the stock market RESHILA:

1. Approve Regulations on procedure for creation and provision of administrative data concerning activities of dealers in securities in the National commission on securities and the stock market (further - the Provision) which are applied.

2. Declare invalid the decision of State commission on securities and the stock market of June 8, 2004 No. 279 "About approval of the Regulations on procedure for creation and provision of administrative data concerning activities of dealers in securities", registered in the Ministry of Justice of Ukraine on September 9, 2004 for No. 1122/9721 (with changes).

3. Administrative data of the dealer in securities for 2012 move the National commission on securities and the stock market on form, in structure, terms and procedure which are established by the regulatory legal acts existing on reporting date of creation of such data.

4. Determine that the 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 8, 2012 No. 646, registered in the Ministry of Justice of Ukraine on May 25, 2012 for No. 831/21143, is obligatory for use by dealers of securities in case of creation and provision in the National commission on securities and the stock market of administrative data.

5. And stock exchanges (O. Naumenko) to provide to department of regulation of activities of dealers in securities:

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

provision of this decision on state registration in the Ministry of Justice of Ukraine.

6. To management of information technologies, external and internal communications (A.Zaik) to provide publication of this decision according to requirements of the legislation of Ukraine.

7. This decision becomes effective since January 1, 2013, except Item 2.10 of the Section II of Provisions which becomes effective at the same time with entry into force of the regulatory legal act of the National commission on securities and the stock market which establishes procedure and conditions of implementation by the dealer in securities of broker activities for contracts for broker servicing with the subsequent settlement of obligations of the client, but not earlier than day of its official publication.

8. Control over the implementation of this decision to assign to the member of the commission K. Krivenko.

The commission chairman on securities and to the stock market of Ukraine

D. Tevelev

It is approved: The chairman of Public service of Ukraine on questions regulatory policy and development of entrepreneurship

M. Yu. Brodsky

Chairman of Public service financial monitoring of Ukraine

S. G. Gurzhy

Approved by the Decision of the National commission on securities and the stock market of Ukraine of September 25, 2012 No. 1283

Regulations on procedure for creation and provision of administrative data concerning activities of dealers in securities in the National commission on securities and the stock market

I. General provisions

1. This Provision determines structure, terms and procedure for provision in the National commission on securities and the stock market (further - the Commission) administrative data (further Data) the dealer in securities concerning the professional activity in the stock market.

2. Action of this provision extends to legal entities who in the procedure established by the legislation obtained licenses for implementation of professional activity in the stock market - activities for the securities trading, namely: broker activities, dealer activities, underwriting, the securities management, including which had the right to implementation of this professional activity during the period for which Data move.

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

open line items - purchase and sale agreements of securities, agreements on accomplishment (except agreements according to which agreement settlements concerning securities are perfromed by the client of the dealer in securities independently), the contracts on acquisition of securities signed by the dealer in securities, but not executed on reporting date;

Irregular Data - Data on accomplishment and agreement cancelation (ov) with securities or other financial instruments the dealer in securities in the unorganized market and data on the conclusion of the agreement(s), including the "suspicious" agreement(s), with securities or other financial instruments the dealer in securities in the unorganized market.

4. Data of the dealer in securities move in central office of the Commission according to the regulatory legal acts of the Commission regulating provision of Data and information by professional participants of the stock market in the form of electronic documents in the Commission, except for case, stipulated in Item 8 it undressed.

5. Data of the dealer in securities 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 8, 2012 No. 646, of Ukraine registered in the Ministry of Justice on May 25, 2012 for No. 831/21143 (further - System of reference books and qualifiers).

6. Data of the dealer in securities are constituted according to the description of Sections and the schemes XML of the files determined by the separate document of normative and technical nature.

7. Data move in the Commission 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 references determined by the Provision which shall be completed, contain the reliable and complete information. Information in references shall be completed according to this Provision.

8. According to the written requirement of the authorized person of the Commission the dealer in securities shall submit (to send) to the Commission Data during the term/period provided by the requirement according to this Provision in paper form.

If the paper form of Data contains more than one leaf, such paper form of Data shall be strung together, sheets are numbered and certified by the authorized signature of the dealer in securities.

9. The structure and the description of fields of electronic form of files of the financial reporting are established by the separate order of the Commission chairman.

10. In case of availability of information necessary for complete and comprehensive understanding of specific conditions of activities of the dealer in securities, the dealer in securities brings her in any form in notes to the reference.

II. Structure of Data

1. Data which are constituted and move in the Commission:

monthly;

irregular;

quarter.

2. Monthly Data consist from:

2.1. References on the dealer in securities (appendix 1 to this Provision).

2.2. Certificates of outstanding non-repeat orders and agreements with securities or other financial instruments the dealer in securities as of the last day of month under report (appendix 2 to this Provision).

2.3. Certificates of financial instruments which are in property of the dealer in securities as of the last day of month (except securities of own releases) (appendix 3 to this Provision).

2.4. Certificates of securities and/or money which is in management of the dealer in securities as of the last day of month under report (appendix 4 to this Provision).

2.5. Certificates of standard rates of the dealer in securities when implementing marginal transactions (except banks) (appendix 5 to this Provision).

2.6. Certificates of prudential standard rates of the dealer in securities (except banks) (appendix 6 to this Provision).

2.7. Certificates of basic data for measure calculation of the size of the regulatory capital (except banks) (appendix 7 to this Provision).

2.8. Certificates of basic data for calculation of the standard rate of adequacy of the regulatory capital, the standard rate of adequacy of the capital of the first level, coefficient of financial leverage and absolute liquidity index (except banks) (appendix 8 to this Provision).

2.9. Certificates of basic data for calculation of the amount of the assets weighed on risk degree (except banks) (appendix 9 to this Provision).

2.10. Certificates of calculation of the standard rate of concentration of credit risk for partners which are not banks or dealers in securities, and certificates of calculation of the standard rate of concentration of credit risk for partners, banks or dealers in securities, (appendix 10 to this Provision).

2.11. Certificates of the executed contract (ra) with securities and other financial instruments of foreign issuers made outside Ukraine (appendix 15 to this Provision).

3. Quarter Data consist from:

3.1. Certificates of structure of assets of the dealer in securities as of the last day of reporting quarter (except banks) (appendix 16 to this Provision).

3.2. Certificates of obligations of the dealer in securities as of the last day of reporting quarter (except banks) (appendix 17 to this Provision).

3.3. Certificates of components of equity of the dealer in securities as of the last day of reporting quarter (except banks) (appendix 18 to this Provision).

3.4. Certificates of the financial results and other comprehensive income of the dealer in securities received within accounting year (except banks) (appendix 19 to this Provision).

4. Except the documents determined by Item 2 of this Section the certificate of total amount of the signed and executed contracts with securities or other financial instruments of the dealer in securities in year (appendix 11 to this Provision) is part of data for December.

5. Are part of quarter Data interim financial statements (except banks), requirements to which are established by the corresponding regulatory legal act, and monthly Data for the last month of reporting quarter.

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