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

of December 22, 2012 No. 54/1

About approval of the size of maximum prices for the services provided by persons owning the license for implementation of activities for maintaining the register of owners of securities

Based on Art. 8 of the item b) and Art. 25 of the h. (2) the Law No. 192-XIV of November 12, 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), Art. 37 of h (2) the Law No. 199-XIV of November 18, 1998 "About the security market" (2008, No. 183-185, by the Art. 655), item 2.1.13 of subitem of n is repeatedly published in the Official monitor of the Republic of Moldova) Regulations on procedure for maintaining the register of owners of personalized securities by the registrar and the nominal owner approved by the Resolution of the National commission on securities No. 15/1 of March 16, 2007 (The official monitor of the Republic of Moldova, 2007, No. 51-53, the Art. 199) the National commission on the DECIDES: financial market

1. Approve the size of maximum prices for the services provided by persons owning the operating authority of registration society according to appendix.

2. To persons owning the operating authority of registration society, within a month from the date of entry into force of this resolution to give measure of prices for the provided services, and also payments levied according to Items 5.3. and 5.5. the standard agreement about maintaining the register of owners of securities provided in Appendix 1 to the Regulations on procedure for maintaining the register of owners of personalized securities by the registrar and the nominal owner in compliance with provisions of this resolution with informing the National commission on the financial market.

3. The persons owning the operating authority of registration society, having no right to establish other payments for the provided services than provided in appendix to this resolution.

5. This resolution becomes effective from the date of publication.

Appendix

to the Resolution of the National commission on the financial market of the Republic of Moldova of December 22, 2012 No. 54/1

Maximum prices for the services provided by persons owning the license for implementation of activities for maintaining the register of owners of securities

I. The prices for the services provided to persons registered in the register of owners of securities or their legal representatives

1. For one transaction of blocking (unblocking) of securities or personal account of the owner of securities in other cases, than upon the demand of the National commission on the financial market, legal bodies, tax authorities, other representatives the current legislation of persons, establishes the price in the amount up to three lei. For one transaction registered in the register of pledge of securities the payment in the amount up to 150 lei is established.

2. For registration of direct transfer of property for securities the price in the amount of 5 lei plus is established by 0,3 of % of the cost of the agreement, but it is no more than 1000 lei from each party involved in the transaction.

3. For one transaction on transfer (response) of securities in (from) storage the price in the amount up to 10 lei, with free issue of the statement from system is established.

4. For one transaction on change of data on personal account of the owner of securities (change of the name, surname, the identity certificate, bank details) the price in the amount up to 5 lei for physical person and to 25 lei for the legal entity is established.

5. In case of transfer of securities from storage of the company on trust management of investments in the course of liquidation into real management of the founder of trust the price in the amount up to leu 0,20 for each transfer in case of submission of information on papers and in the electronic option compatible to the software for maintaining the register, and to one leu in other cases is established.

6. For registration of transfer of property in case of inheritance, termination of the trust agreement or donation of securities the price in the amount up to 10 lei is established.

7. The payment for creation and issue of the list of owners of securities according to provisions of the current legislation is established depending on number of owners of the securities registered in the register of the issuer according to following:  

8. For issue of the statement from the register of owners of securities in other cases, than to subscribers of securities, the price is established for physical persons in the amount up to 10 lei, for legal entities - in the amount up to 25 lei, except for Item 9. For issue of statements in the urgent mode the double price is established.

9. The statement from the register of owners of securities is issued free of charge to pensioners, persons with limited opportunities, to participants of military operations and other persons for creation of the certificate on the right to inheritance.

10. For issue and departure of the statement from the register of owners of securities the price provided in Item 8, plus costs for mail services is established.

11. For creation of one copy of the transfer order the price in the amount up to 10 lei, and for creation of the purchase and sale agreement of securities and the gift agreement - in the amount up to 70 lei is established.

12. For assurance of the signature on the transfer order the price in the amount up to 15 lei is established. For assurance of signatures of representatives of the licensed or authorized persons in the capital market the payment is not levied.

13. For production and issue of copies of documents on papers the price to leu 0,5 for one photocopy is established.

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