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The document ceased to be valid since  January 22, 2016 according to Item 1 of the Decision of the National commission on securities and the stock market of Ukraine of December 1, 2015 No. 2020

It is registered

Ministry of Justice of Ukraine

July 30, 2014

No. 882/25659

DECISION OF THE NATIONAL COMMISSION ON SECURITIES AND STOCK MARKET

of June 3, 2014 No. 731

About approval of the Regulations on system of supervision of observance by professional participants of the stock market of prudential standard rates in their activities and modification of regulatory legal acts for prudential standard rates of professional activity in the stock market

According to Articles 3, 8 Laws 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 system of supervision of observance by professional participants of the stock market of prudential standard rates in their activities which are applied.

2. Items 3, 4 Sections III of Provisions of rather prudential standard rates of professional activity in the stock market - activities for the securities trading, No. approved by the decision of the National commission on securities and the stock market of December 25, 2012 1900, No. 139/22671 registered in the Ministry of Justice of Ukraine on January 21, 2013 (with changes) to exclude.

With respect thereto to consider Item 5 Item 3.

3. Item 2 of the Section V of the Regulations on prudential standard rates of professional activity in the stock market - depository activity and clearing activities and requirements to risk management system, No. approved by the decision of the National commission on securities and the stock market of January 15, 2013 37, registered in the Ministry of Justice of Ukraine on February 5, 2013 on No. 216/22748 (with changes) to exclude.

4. To provide to management of the prudential and consolidated supervision (T. Tisminetsk) 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):

publication of this decision in the official printing publication of the National commission on securities and the stock market;

promulgation of this decision on the official site of the National commission on securities and the stock market.

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

7. Control over the implementation of this decision to assign to the member of the National commission on securities and the stock market M. Nazarchuk.

Commission chairman

D. Tevelev

Approved by the Decision of the National commission on securities and the stock market on June 3, 2014 No. 731

Regulations on system of supervision of observance by professional participants of the stock market of prudential standard rates in their activities

1. This Provision determines procedure the National commission on securities and the stock market (further - the Commission) supervision of observance by professional participants of the stock market (further - the professional participant) in the activities of requirements of the prudential standard rates established by regulatory legal acts of the Commission on questions of prudential supervision.

2. Action of this provision extends to professional participants on whom regulatory legal acts of the Commission establish prudential standard rates, obligatory for observance.

3. The concept "prudential standard rate" and other terms of this Provision 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" and "About financial services and state regulation of the markets of financial services".

4. The professional participants performing separate types of professional activity in the stock market perfrom calculation of prudential standard rates according to the list and with frequency, the established corresponding regulatory legal acts of the Commission on questions of prudential supervision.

5. Professional participants submit to the Commission information on results of calculation of prudential standard rates and data on the basis of which their calculation, according to the procedure and in the terms determined by regulatory legal acts of the Commission, regulating submission of administrative data by professional participants to the Commission is perfromed.

6. Information on results of calculation of prudential standard rates and data on the basis of which such calculation is perfromed arrives in structural division of the Commission to which powers implementation of prudential supervision of activities of professional participants belongs (further - authorized structural division).

7. The commission exercises supervision of observance by professional participants of requirements of the corresponding regulatory legal acts concerning prudential supervision about compliance of the calculated values of prudential indicators to the established normative values, and also requirements of the regulatory legal acts regulating submission of administrative data by professional participants to the Commission regarding representation at the scheduled time and in full information on results of calculation of prudential standard rates and data on the basis of which their calculation was perfromed.

Rather professional participants performing activities for asset management of institutional investors (activities for asset management), the procedure of supervision provided by this Provision is performed on indicator of covering of obligations by equity and to indicator of financial stability.

8. In case of non-compliance with prudential indicator by the professional participant of normative value such professional participant shall within 30 calendar days from the date of emergence of variation of calculated value of prudential indicator from its normative value take measures for reduction of value of prudential indicator in compliance with normative value.

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