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

of September 26, 2019 No. 562

About modification of the Regulations on procedure for creation and submission of administrative data concerning activities of dealers in securities in the National commission on securities and the stock market

According to Item 13 of article 8 of the Law of Ukraine "About state regulation of the security market in Ukraine", to the Law of Ukraine "About financial records audit and auditor activities", for the purpose of enhancement of requirements to submission of administrative data concerning activities of dealers in securities in the National commission on securities and the stock market the National commission on securities and the stock market SOLVED:

1. Bring in the Regulations on procedure for creation and submission of administrative data concerning activities of dealers in securities in the National commission on securities and the stock market approved by the decision of the National commission on securities and the stock market of September 25, 2012 No. 1283, registered in the Ministry of Justice of Ukraine on October 16, 2012 for No. 1737/22049 (with changes), such changes:

 In paragraph three of Item 3 of the Section I of the word "Data on the conclusion of "the suspicious agreement(s) in the unorganized market" shall be replaced with words 1) "Data on the conclusion of the agreement(s), including the "suspicious" agreement(s), with securities or other financial instruments the dealer in securities in the unorganized market";

2) in the Section II:

 add Item 1 with the new paragraph of such content:

"quarter".;

after Item 2 to add the Section with new Item 3 following of content:

"3. Quarter Data consist from:

3.1. Certificates of structure of assets of the dealer in securities as of the last day of reporting quarter (except banks) (appendix 16 to this Provision).

3.2. Certificates of obligations of the dealer in securities as of the last day of reporting quarter (except banks) (appendix 17 to this Provision).

3.3. Certificates of components of equity of the dealer in securities as of the last day of reporting quarter (except banks) (appendix 18 to this Provision).

3.4. Certificates of the financial results and other comprehensive income of the dealer in securities received within accounting year (except banks) (appendix 19 to this Provision).".

With respect thereto Items 3 - 6 to consider respectively items 4 - 7;

Items 5 - 7 to state in the following edition:

"5. Are part of quarter Data interim financial statements (except banks), requirements to which are established by the corresponding regulatory legal act, and monthly Data for the last month of reporting quarter.

6. For March are part of monthly Data the annual financial reporting (except banks), requirements to which are established by the corresponding regulatory legal act, and the certificate of the audit report (appendix 20 to this Provision).

7. Irregular Data consist of the certificate of the executed or terminated contract(s) with securities or other financial instruments the dealer in securities in the unorganized market (appendix 12 to this Provision) and references on the prisoner(s) the contract(s), including the "suspicious" agreement(s), with securities or other financial instruments in the dealer in securities in the unorganized market (appendix 14 to this Provision).";

3) in the Section III:

 state Item 1 in the following edition:

"1. The dealer in securities submits Data to central office of the Commission in terms:

monthly - no later than the last date following for reporting. Monthly Data for the last month of quarter move as a part of quarter Data;

irregular - no later than 24:00 the next working day after date of emergence of irregular Data;

quarter - no later than the last date which comes behind reporting quarter.";

 state item 4 in the following edition:

"4. Irregular Data of the dealer in securities move upon their origin, namely in case of execution and/or agreement cancelation, in case of the conclusion of agreements, including "suspicious" contracts with securities or other financial instruments the dealer in securities in the unorganized market.

If date of the conclusion the dealer in securities of the contract with securities or other financial instruments in the unorganized market matches with date of its execution or termination, irregular Data of the dealer in securities move concerning its execution or termination.";

4) in appendices to the Provision:

twenty third - the thirty fourth appendices 1 to exclude lines.

With respect thereto the thirty fifth to consider line in the line of twenty third;

 be reworded as follows appendix 2 which is applied;

 to add appendix 3 after line twenty second with new lines of the twenty third, twenty fourth of the following content:

"Book value of securities or other financial instruments (UAH)

Fair value of securities or other financial instruments (UAH)".

With respect thereto twenty third to consider line in the line of the twenty fifth;

12, 14 to be reworded as follows appendices which are applied;

add the Provision with new appendices 16 - 20, which are applied.

2. Department of methodology of regulation of professional participants of the security market () provide Kurochkin I.:

promulgation of this decision on the official website of the National commission on securities and the stock market;

submission of this decision on state registration in the Ministry of Justice of Ukraine.

3. This decision becomes effective since January 1, 2020, but not earlier than day of its official publication.

4. Control over the implementation of this decision to assign to the member of the National commission on securities and the stock market Tarabakin D.

Appendix 2

to Regulations on procedure for creation and submission of administrative data concerning activities of dealers in securities in the National commission on securities and the stock market (subitem 2.2 of Item 2 of the Section II)

The certificate of outstanding non-repeat orders and contracts with securities or other financial instruments the dealer in securities as of the last day reporting mesyatsa1

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