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Ministry of Justice of Ukraine

September 16, 2014

No. 1127/25904

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

of August 28, 2014 No. 1120

About approval of the Procedure for electronic interaction of the National commission on securities and the stock market with members of the security market

(as amended on 16-10-2018)

According to the Law of Ukraine "About depositary system of Ukraine", to Item 38 parts two of Article 7, to Item 13 of article 8 of the Law of Ukraine "About state regulation of the security market in Ukraine", for the purpose of establishment of general rules of exchange of electronic documents of the National commission on securities and the stock market and Central Securities Depository the National commission on securities and the stock market RESHILA:

1. Approve the Procedure for electronic interaction of the National commission on securities and the stock market with members of the security market which is applied.

2. And clerical works (A. Zaik) to provide to management of information technologies:

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.

3. (A. Zbarazhskaya) to provide to management of internal audit and communications publication of this decision according to requirements of the legislation.

4. This decision becomes effective from the date of official publication.

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

Commission chairman

D. Tevelev

 

It is approved:

Chairman of Public service of special communication and information security of Ukraine

 

V. P. Zverev

 

The minutes of the Commission of August 28, 2014 No. 41

Approved by the Decision of the National commission on securities and the stock market of Ukraine of August 28, 2014, No. 1120

Procedure for electronic interaction of the National commission on securities and the stock market with members of the security market

I. General provisions

1. This Procedure is developed according to the Laws of Ukraine "About depositary system of Ukraine", "About information", "About electronic confidential services", "About electronic documents and electronic document management" and establishes general rules of exchange of electronic documents between the National commission on securities and the stock market (further - the Commission) and National Depositary of Ukraine Public joint stock company as Central Securities Depository (further - the Central depositary), other members of the security market who expressed consent to such format of electronic interaction (further - participants of interaction).

2. Within action of this Procedure to the Central depositary the following documents can go:

1) administrative documents;

2) regulatory legal acts of the Commission;

3) resolutions of the authorized person of the Commission on imposing of the sanction for offense in the security market in the form of stop of placement (sale) and security circulation;

4) the order of the authorized person of the Commission about suspension of open (public) securities placement, the issues of securities accepted based on decisions on recognition unfair, about renewal of open (public) securities placement, about suspension of security circulation, about recovery of securities or about cancellation of registration of issue of securities;

5) decision of the Commission.

6) copies of temporary certificates / registration certificates of issues of securities.

3. Documents, exchange of which it is performed according to this Procedure, go participants of interaction in the form of electronic documents which according to documentary information and details are identical to documents on paper and have identical legal force.

On electronic documents, exchange of which it is performed according to this Procedure, the digital signature and electronic seal are imposed.

Use of electronic seal is obligatory if the digital signature does not give the chance to determine document origin from the legal entity.

As digital signatures and electronic seals are applied respectively qualified digital signatures and qualified electronic seals (further - EPP).

Participants of interaction use electronic confidential services with observance of requirements of article 17 of the Law of Ukraine "About electronic confidential services".

Check of EPP is performed with observance of requirements of part two of article 18 of the Law of Ukraine "About electronic confidential services".

4. Within action of this Procedure the electronic documents containing information with limited access do not go.

5. The system of exchange of electronic documents shall function within the information and telecommunication systems having complex system of information security with confirmed with compliance by results of state examination in the sphere of technical information security and to provide realization of the following functions:

1) creations, sendings, transfers, obtaining, verifications of electronic documents with use of the special software (further - PO);

2) forming in the PO online magazine of record about sending electronic documents;

3) imposing on electronic documents and check of the imposed EPP.

Means (mechanisms) of cryptographic information security which are used in system of exchange of electronic documents (separately or in structure of PO) shall have the certificate of conformity or the positive expert opinion by results of state examination in the sphere of cryptographic information security.

6. In case of receipt of electronic documents the addressee performs creation and sending to the author of the message electronically who contains data on the fact and time of receipt of electronic documents and on the sender of this confirmation.

In case of not receipt within one hour to the author of confirmation about the fact of receipt of electronic documents the author shall find out the reasons of not receipt of such confirmation and (if necessary) repeat the procedure of sending electronic documents.

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