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Ministry of Justice

Republic of Uzbekistan

On December 11, 2015 No. 2739

THE RESOLUTION OF THE MINISTRY OF SOFTWARE TO DEVELOPMENT OF INFORMATION TECHNOLOGIES AND COMMUNICATIONS, THE CENTER OF SOFTWARE OF COORDINATION AND MARKET DEVELOPMENT OF SECURITIES IN CASE OF GOSKOMKONKURENTION OF THE REPUBLIC OF UZBEKISTAN

of November 12, 2015 No. No. 139-mkh, 2015-20

About approval of the Regulations on procedure for ensuring safety of electronic entries in accounting registers

According to the Law of the Republic of Uzbekistan "About the security market" the Ministry of development of information technologies and communications and the Center for coordination and market development of securities in case of Goskomkonkurention of the Republic of Uzbekistan decide:

1. Approve Regulations on procedure for ensuring safety of electronic entries in accounting registers, according to appendix.

2. This resolution becomes effective after three months from the date of its official publication.

Minister of development of information technologies and communications

H. Mirzakhidov

The CEO of the Center for coordination and market development of securities in case of Goskomkonkurention

B. Atakhanov

Appendix

to the Resolution of the Ministry of development of information technologies and communications, the Center for coordination and market development of securities in case of Goskomkonkurention of the Republic of Uzbekistan of November 12, 2015 No. No. 139-mkh, 2015-20

Regulations on procedure for ensuring safety of electronic entries in accounting registers

This Provision according to the laws of the Republic of Uzbekistan "About the security market", "About the electronic digital signature" and "About electronic document management" establishes procedure for ensuring safety of electronic entries in accounting registers of Central Securities Depository and the investment intermediary.

Chapter 1. General provision

1. In this Provision the following basic concepts are applied:

the responsible - the employee of Central Securities Depository or the investment intermediary, authorized and responsible for introduction, viewing and change of electronic records, and also for administration of accounting registers, local area network of data transmission, information protection and anti-virus providing;

electronic record - entry electronically in accounting registers of Central Securities Depository and the investment intermediary;

accounting registers - the system of records installed by standards of depository operations on storage of securities and accounting of the rights to securities at the investment intermediary and in Central Securities Depository;

software and hardware complex - set technical and the software used by Central Securities Depository and the investment intermediary in case of accomplishment of the tasks assigned to them in ensuring safety of electronic entries in accounting registers;

users software and hardware complex (further - users) - the responsibles and other persons having access rights to accounting registers and the information transfer containing in them;

sensitive information - information which is subject to protection because its disclosure, modification, destruction or concealment can cause damage to members of the security market;

use of the insider information in the security market - use for acquisition or implementation of securities of information which was not opened it (is widespread) and can provide benefit to one member of the security market over others as disclosure (distribution) of this information can have significant effect on change in value of securities.

Chapter 2. Organizational measures for ensuring safety of electronic records

2. The head of Central Securities Depository and the investment intermediary (further - the head) assigns responsibles and takes other organizational measures for ensuring safety, confidentiality, integrity and reliability of electronic records.

3. The head constitutes the written agreement with each responsible - the obligation about responsibility for observance of requirements and rules of work with information, and also for disclosure of confidential, sensitive and other information, disclosure (distribution) of which can lead to use of the insider information in the security market.

4. Central Securities Depository and investment intermediaries shall have the approved information security policy providing basic provisions, the purposes and tasks, subjects to protection, threat of information security, response to violations of information security, distribution of responsibility, procedure for review and updating of information security policy.

5. Central Securities Depository and investment intermediaries shall have the approved actions plans, instructions regulating the actions of responsibles directed to protection and nondisclosure of confidential, sensitive and other information, disclosure (distribution) of which can lead to use of the insider information in the security market, and also operational recovery of functioning of system of software and hardware complex (further - system) in case of the contingencies menacing to information security and elimination of effects of such situations.

6. The head shall provide prevention of illegal access to accounting registers and the information transfer containing in them, to persons who do not have access rights to the specified information by acceptance of the following measures:

determination of circle of users;

acceptance of the different access levels and the permitted functions for each user;

determination of frequency and procedure for change of passwords of access for users.

7. The head shall provide:

information security management according to state standards of the Republic of Uzbekistan;

non-admission of impact on technical means of processing and storage of accounting registers as a result of which their work is broken;

availability of necessary technical means, hardware resources and systems of reservation;

periodic training of responsibles in requirements of information security policy, the instructions regulating actions of responsibles in case of the circumstances menacing to information security;

constant control behind ensuring level of security of accounting registers;

continuity of work of software and hardware complex during the operational day;

taking measures to attraction to the corresponding responsibility of persons which provided illegal access to system.

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