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It is registered

Ministry of Justice of Ukraine

August 28, 2013

No. 1481/24013

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

of August 6, 2013 No. 1407

About approval of the Regulations on procedure for creation and submission of information on activities of self-regulatory organizations and associations of professional participants of the stock market of the National commission on securities and the stock market

(as amended on 11-06-2020)

According to Item 13 of article 8 of the Law of Ukraine "About state regulation of the security market in Ukraine" and Item 2 of Chapter 1 of the Section IV of Provisions on consolidation of professional participants of the stock market approved by the decision of the National commission on securities and the stock market of December 27, 2012 No. 1925, the National commission on securities and the stock market RESHILA registered in the Ministry of Justice of Ukraine on January 25, 2013 for No. 182/22714,:

1. Approve Regulations on procedure for creation and submission of information on activities of self-regulatory organizations and associations of professional participants of the stock market of the National commission on securities and the stock market (further - the Provision) which is applied.

2. Item 2 of the Section I of the Regulations on submission of administrative data and information in the form of electronic documents 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 13, 2011 No. 492, registered in the Ministry of Justice of Ukraine on June 25, 2011 for No. 789/19527, after words "self-regulatory organizations" to add with words", associations of professional participants".

3. Declare invalid the decision of State commission on securities and the stock market of June 14, 2005 No. 316 "About approval of the Regulations on procedure for creation of information concerning activities of self-regulatory organizations of the security market and submission of the relevant documents of State commission for securities and the stock market", registered in the Ministry of Justice of Ukraine on September 9, 2005 for No. 1026/11306.

4. And stock exchanges 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.

5. To provide to management of information technologies, external and internal communications (A.Zaik) promulgation of this decision on the NKTsBFR official website.

6. This decision becomes effective since December 1, 2013, but not earlier than day of its official publication.

7. Control over the implementation of this decision to assign to the member of the commission M. Nazarchuk.

Commission chairman                                                  

D. Tevelev

 

The minutes of the Commission of August 6, 2013 No. 38

Approved by the Decision of the National commission on securities and the stock market of Ukraine of August 6, 2013 No. 1407

Regulations on procedure for creation and submission of information on activities of self-regulatory organizations and associations of professional participants of the stock market of the National commission on securities and stock market

І. 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) information self-regulatory organizations (further - SRO) and associations of professional participants (further - OPU) concerning the activities in the stock market.

2. Action of this Provision extends to legal entities who in the procedure established by the legislation perform activities of SRO/OPU.

3. In this Provision the term is used in such value:

irregular information - information on acceptance (exception) in (from) the list (ya) of professional participants of the stock market who were enlisted the temporary termination of membership in SRO or renewal of membership of the origin which is temporarily stopped in SRO for date (were excluded) in (from) members of SRO/OPU.

Other terms are used in the values determined by the Laws of Ukraine "About securities and the stock market", "About state regulation of the security market in Ukraine".

4. Information of SRO/OPU moves to central office of the Commission 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 of the Commission, except for case, stipulated in Item 8 it undressed.

5. Information from SRO/OPU is constituted according to the description of Sections and the schemes XML of the files determined by the separate document of normative and technical nature.

6. Information moves the Commissions in amount which is established by this Provision, not later than the terms determined in Item 1 of the Section ІІІ this Provision.

Information shall contain all certain to these Provisions of the reference which shall be completed, contain authentic and complete data. Information in references shall be completed according to this Provision.

7. According to the written requirement of the authorized person of the Commission of SRO/OPU shall submit (to send) to the Commission information in time, provided by the requirement, according to this Provision in paper form.

If the paper form of information contains more than one leaf, such information shall be stitched, sheets are numbered and under seal (in the presence) SRO/OPU and the signature of the head of SRO/OPU. On the back the last leaf such text becomes: "It is strung together, numbered and under seal (in the presence) SRO/OPU and the signature of the head of SRO/OPU (quantity) of sheets".

8. In case of availability of information which is necessary for complete and comprehensive understanding of specific conditions of activities of SRO/OPU, SRO/OPU gives it in any form in notes to the reference.

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