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Ministry of Justice of Ukraine

December 6, 2016

No. 1579/29709

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

of November 29, 2016 No. 1173

About approval of the Procedure for provision of information by the National commission on securities and the stock market on requests of bodies of the public executive service and private contractors

(as amended on 31-10-2019)

According to part five of article 18 of the Law of Ukraine "About enforcement proceeding" and for the purpose of ensuring information exchange between the National commission on securities and the stock market and bodies of the public executive service and private contractors, exchange of documents electronically, the National commission on securities and the stock market SOLVED:

1. Approve the Procedure for provision of information by the National commission on securities and the stock market on requests of bodies of the public executive service and private contractors (further - the Procedure) which is applied.

2. Determine that bodies of the public executive service and private contractors before introduction of exchange of documents electronically according to Procedure use the information search online service about owners of packets of voting shares (5 percent and more) joint-stock companies posted on the official website of the Commission.

In case of identification on the official website of the Commission of information concerning persons who are among owners of packets of voting shares (5 percent and more) of joint-stock companies, physical persons and legal entities concerning which enforcement proceedings are performed and there is need for confirmation of such information bodies of the public executive service and private contractors make in the Commission the corresponding inquiry.

3. To provide to department of information technologies holding organizational and technical actions for continuous work of online service of information search about owners of packets of voting shares (5 percent and more) joint-stock companies before introduction of exchange of documents electronically according to the Procedure.

4. This decision becomes effective along with enforcement of article 8 of the Law of Ukraine of June 2, 2016 No. 1404-VIII "About enforcement proceeding", but not earlier than day of its official publication.

5. Control over the implementation of this decision to assign to the member of the commission A. Panchenko.

Commission chairman

T. Hromayev

Approved by the Decision of the National commission on securities and the stock market of Ukraine of November 29, 2016, No. 1173

Procedure for provision of information by the National commission on securities and the stock market on requests of bodies of the public executive service and private contractors

1. This Procedure No. 1404-VIII "About enforcement proceeding" is developed according to part five of article 18 of the Law of Ukraine of June 2, 2016.

2. This Procedure determines general rules of provision by the National commission on securities and the stock market to bodies of the public executive service and private contractors of information on owners who have considerable blocks of shares (10 percent and more authorized capital of joint-stock companies).

3. The format, structure of files of requests and files of answers, form of register of requests and answers, regulations of exchange of information, terms of implementation of the software for interchange by information are determined by protocols of exchange of information.

4. Technical support of information interchange of the National commission on securities and the stock market with bodies of the public executive service and private contractors is performed by the National commission on securities and the stock market and the state company "National Information Systems".

5. Requests of bodies of the public executive service and private contractors and answers to them are provided through the automated system of enforcement proceeding which administrator is the state company "National Information Systems".

6. Data are transmitted electronically through telecommunication networks with use of the digital signature according to the legislation.

7. Maintaining registers of requests and replies to the requests performs the state company "National Information Systems".

8. In case of exchange of information in connection therewith Rather administrators of exchange of information implement the organizational and technical actions providing information security with limited access which is transferred.

9. Information which is transferred, processed taking into account requirements of the legislation on personal data protection and is used by contractors only for the purpose of forced execution of judgments and decisions of other bodies (officials) according to the procedure No. 1404-VIII established by the Law of Ukraine of June 2, 2016 "About enforcement proceeding", and cannot be transferred to the third party if other is not provided by the law.

Director of the department of questions of justice and

homeland security of the Ministry of Justice of Ukraine

 

A. N. Oleynik

Head of department of information technologies

and clerical works of the National commission

on securities and the stock market

 

 

E. S. Fomenko

 

Disclaimer! This text was translated by AI translator and is not a valid juridical document. No warranty. No claim. More info

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