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Ministry of Justice of Ukraine

October 16, 2012

No. 1738/22050

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

of September 25, 2012 No. 1284

About approval of the Regulations on procedure for creation of administrative data concerning implementation of activities by organizers of trade, promulgation of information and submission of the relevant documents to the National commission on securities and the stock market

(as amended on 22-12-2020)

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 of administrative data concerning implementation of activities by organizers of trade, promulgation of information and submission of the relevant documents to the National commission on securities and the stock market which is applied.

3. Administrative data of the organizer of trade 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 organizers of trade in case of creation and submission to 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:

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 Government 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.

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

7. This decision becomes effective since January 1, 2013, but not earlier than day of 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 the stock market 

D. Tevelev

Approved by the Decision of the National commission on securities and the stock market of Ukraine of September 25, 2012 No. 1284

Regulations on procedure for creation of administrative data concerning implementation of activities by organizers of trade, promulgation of information and submission of the relevant documents to the National commission on securities and the stock market

I. General provisions

1. This Provision determines procedure for creation of administrative data (further - Data), promulgation of information in the stock market, terms of promulgation of information and data presentation in the National commission on securities and the stock market (further - the Commission).

2. Action of this provision extends to legal entities to whom the Commission grants the license for the right of conducting professional activity in the stock market - activities for the organization of stock market trading including which had the right to conducting professional activity during the period for which Data are represented.

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

date of emergence of changes in information which is subject to promulgation, - date which arises in the cases determined by subitem 2.2 of Item 2 of Chapter 1 of the Section II of this provision;

date of emergence of irregular Data - date which arises in the cases determined by Item 2 of Chapter 2 of the Section III of this provision;

information which is subject to promulgation, - information determined by Chapter 1 of the Section II of this provision;

irregular Data - the Data of the organizer of trade determined by Item 5 of Chapter 1 of the Section III of this provision.

4. Data of the organizer of trade are created by the advance holder is consolidated (taking into account the isolated structural divisions).

5. Data of the organizer of trade are represented to central office of the Commission according to the regulatory legal acts of the Commission regulating data presentation and information by professional participants of the stock market in the form of electronic documents in the Commission, except for case, stipulated in Item 10 it undressed.

6. Daily Data for one date move once during the working day. The irregular Data constituted according to the separate reference for one date are represented once during the working day.

7. Data are represented to the Commission in the amount established by this Provision not later than the terms determined in Item 1 of Chapter 2 of the Section III of this provision.

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

8. Data of the organizer of trade 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).

9. The financial reporting of the organizer of trade created in the form of joint-stock company reveals according to normative and legal to acts, the issuers of securities regulating question of disclosure of information.

The paragraph two is excluded according to the Decision of the National commission on securities and the stock market of Ukraine of 09.07.2019 No. 361.

10. According to the written requirement of the authorized person of the Commission the organizer of trade shall provide This according to this Provision in paper form.

If the paper form of Data has more than one leaf, such Data shall be stitched, sheets are numbered and certified by the signature of the head of the organizer of trade. On the back the last leaf the text becomes: "It is strung together, numbered and is attested the signature of the head of the organizer of trade (number) of sheets.

11. Data 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.

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