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

of June 3, 2014 No. 733

About approval of the Regulations on forming of the information database about the security market

According to Item 15 parts two of Article 7 and Item 8 of article 8 of the Law of Ukraine "About state regulation of the security market in Ukraine" and for the purpose of forming of the information database about the security market, control of accuracy of the information which is published in the stock market, the National commission on securities and the stock market RESHILA:

1. Approve Regulations on forming of the information database on the security market which are applied.

2. Recognize invalid:

the decision of State commission on securities and the stock market of May 24, 2001 No. 173 "About implementation of system of promulgation of information in the stock market of Ukraine", registered in the Ministry of Justice of Ukraine on July 6, 2001 at No. 568/5759 (with changes);

the decision of State commission on securities and the stock market of May 27, 2003 No. 233 "About forming of single information data array about issuers of securities", registered in the Ministry of Justice of Ukraine on June 25, 2003 at No. 516/7837 (with changes).

3. And corporate finances (A. Papaik) to provide to corporate management department submission of this decision on state registration in the Ministry of Justice of Ukraine.

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

5. This decision becomes effective from the date of its official publication.

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

 

The minutes of the Commission of June 3, 2014 No. 29

Approved by the Decision of the National commission on securities and the stock market on June 3, 2014 No. 733

Regulations on forming of the information database on the security market

1. This Provision determines the list of information which will be promulgated in the information database about the security market, and sources of forming of the information database about the security market.

2. Realization of this provision provides forming, functioning and support of the information database about the security market in staticized condition at the level of modern information technologies.

3. The information database about the security market is created and kept by Public institution "Agency on development of infrastructure of the stock market of Ukraine" (further - the Agency) based on the website of the Agency (http://smida.gov.ua) by combination of information in the single center.

4. Publication of information in the information database on the security market, it is available to all interested persons.

5. To the information database about the security market the following information joins:

1) about issuers of securities:

full name, EGRPOU code, location, types of activity, surname, name, head's middle name;

the list of issues of securities on which certificates of the National commission on securities and the stock market are granted (further - the Commission);

prospectuses of the issue of securities of the issuer in case of public (open) placement are registered;

list of owners of considerable packets (10 percent and more) shares;

annual information on the issuer of securities;

quarter information on the issuer of securities;

special information on the issuer of securities;

information on mortgage securities and certificates of fund of real estate transactions;

information in the message on holding general meeting; the list of offenses in the security market;

list of official printing publications of the Commission to publications of information on the issuer of securities;

the paragraph the twelfth subitem 1 is excluded according to the Decision of the National commission on securities and the stock market of Ukraine of 16.04.2019 No. 214.

2) about professional participants of the security market:

dealers in securities:

full name, EGRPOU code, location;

number, date of issue and effective period of the license (in case of availability), type of professional activity;

information about all the securities made out of stock exchange by the dealer or with its participation of the transaction on issued;

the list of offenses in the security market;

stock exchanges: full name, EGRPOU code, location;

number, date of issue and effective period of the license (in case of availability), type of professional activity;

information about all the securities made on the stock exchange of the transaction on issued;

the list of offenses in the security market; managing directors of mortgage covering:

full name, EGRPOU code, location;

number, date of issue and effective period of the license (in case of availability), type of professional activity;

the list of offenses in the security market;

depository institutions: full name, EGRPOU code, location;

number, date of issue and effective period of the license (in case of availability), type of professional activity;

the list of offenses in the security market;

the companies on asset management and persons exercising asset management of non-state pension funds:

full name, EGRPOU code, location;

number, date of issue and effective period of the license (in case of availability), type of professional activity;

regular information of the companies on asset management on activities of institutes of joint investment (further - ISI);

irregular information of the companies on asset management on activities of ISI;

information on cancellation of registration of release (releases) of securities of ISI, prospectus (prospectuses) of issue of securities of ISI and cancellation of the certificate (certificates) on registration of release (releases) of securities of ISI;

information on exception of data on ISI of the Unified state register of institutes of joint investment;

protocols of meetings of the supervisory board of corporate investment funds;

the list of offenses in the security market;

3) about consolidation of professional participants of the stock market, including self-regulatory organizations of professional participants of the stock market:

full name, EGRPOU code, location;

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