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

of November 29, 2012 No. 1693

About approval of the Regulations on procedure for creation and submission of administrative data concerning activities by managing directors of mortgage covering

According to 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 submission of administrative data concerning activities by managing directors of mortgage covering which is applied.

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

4. Item 2 of the decision of the National commission on securities and the stock market of May 8, 2012 to No. 646 "About approval of System of reference books and qualifiers of the National commission on securities and the stock market for use by stock market participants of Ukraine", registered in the Ministry of Justice of Ukraine on May 25, 2012 for No. 831/21143, to state in such edition:

"2. Establish the following:

The system of reference books is obligatory for use by the issuers of securities authorized by rating agencies, securities depositories, the companies on asset management, persons who exercise asset management of non-state pension funds, keepers of securities, organizers of trade, dealers of securities and managers in mortgage covering in case of creation and representation to the National commission on securities and the stock market of administrative data and information.".

5. To provide to department of general investment and regulation of activities of institution investors (O. Simonenko):

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.

Approved by the Decision of the National commission on securities and the stock market of Ukraine of November 29, 2012 No. 1693

Regulations on procedure for creation and submission of administrative data concerning activities by managing directors of mortgage covering

I. General provisions

1. This Provision determines structure, terms and procedure for representation of the National commission on securities and the stock market (further - the Commission) administrative data concerning activities by managing directors of mortgage covering (further - Data).

2. Action of this Provision extends to financial institutions which have the license for carrying out professional activity in the security market - activities for management of mortgage covering.

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

date of emergence of irregular Data - date when the Manager knew of emergence of changes in the register of mortgage covering, replacement of the manager of mortgage covering, replacement of financial institution which serves mortgage assets as a part of mortgage covering, addresses of collection on mortgage covering, carrying out unplanned audit of the register of mortgage covering regarding identification of compliance of condition of mortgage covering to data of the register of mortgage covering and to requirements of the Law of Ukraine "About mortgage bonds";

irregular Data - Data of the manager mortgage covering (further - the Manager) concerning changes in the register of mortgage covering, replacement of the manager of mortgage covering, replacement of financial institution which serves mortgage assets as a part of mortgage covering, addresses of collection on mortgage covering, data on carrying out unplanned audit of the register of mortgage covering regarding identification of compliance of condition of mortgage covering to data of the register of mortgage covering and to requirements of the Law of Ukraine "About mortgage bonds".

4. Data presentation is performed according to regulatory legal acts of the Commission which regulate submission of administrative data and information by stock market participants in the form of electronic documents in the Commission, except for case, stipulated in Item 5 it undressed.

5. According to the written requirement of the authorized person Upravitel shall submit Data 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 signature of the head Upravlyayushchego or person, acting as the head. On the back the last leaf such text becomes: "It is strung together, numbered and confirmed with the signature of the head (quantity) of sheets.".

6. If the last day of data presentation is non-working, the term of representation is prolonged to the first after the non-working working day.

7. In case of submission of the corrected Data Manager shall give them in the Commission with adherence to deadlines determined in the Section ІІ this Provision.

The latest data given before the termination of term of their representation of the Commission are considered as operating.

8. The term of data presentation is prolonged in case of receipt in the Commission of the written message on impossibility of data presentation at the scheduled time in connection with:

a) withdrawal of documents of the Manager in paper and electronic forms law enforcement agencies (with provision of copies of documents which confirm withdrawal of the specified documentation);

b) approach of force majeure circumstances (with provision of copies of documents which confirm the specified circumstances).

9. The manager shall submit Data to the Commission within 15 calendar days from the date of recovery and/or return of the withdrawn software and/or documentation.

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