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

of July 15, 2021 No. 501

About modification of the decision of the National commission on securities and the stock market of July 23, 2020 No. 379

According to Item 10 parts two of Article 7, to Item 13 of article 8 of the Law of Ukraine "About state regulation of the capital markets and the organized goods markets", article 52 of the Law of Ukraine "About non-state pension provision" the National commission on securities and the stock market SOLVED:

1. In heading and Item 1 of the decision of the National commission on securities and the stock market of July 23, 2020 No. 379 "About approval of the Regulations on procedure for creation, giving and promulgation by the administrator of non-state pension fund of administrative data, including the reporting of non-state pension provision", registered in the Ministry of Justice of Ukraine on September 4, 2020 for No. 847/35130, the word "administrative" to replace with the word of "reporting".

2. Approve Changes in the Regulations on procedure for creation, giving and promulgation by the administrator of non-state pension fund of administrative data, including the reporting of non-state pension provision approved by the decision of the National commission on securities and the stock market of July 23, 2020 No. 379, registered in the Ministry of Justice of Ukraine on September 4, 2020 for No. 847/35130, which are applied.

3. To department of methodology of regulation of professional participants of the security market () provide Kurochkin I.:

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 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;

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

4. This decision becomes effective since October 1, 2021, but not earlier than day of its official publication.

5. Control over the implementation of this decision to assign to the member of the National commission on securities and the stock market Baramiya I.

Approved by the Decision of the National commission on securities and the stock market of Ukraine of July 15, 2021 No. 501

Changes in Regulations on procedure for creation, giving and promulgation by the administrator of non-state pension fund of administrative data, including the reporting of non-state pension provision

1. In heading "administrative" to replace the word with the word of "reporting".

2. In the Section I:

 Item 1 to state 1) in the following edition:

"1. This Provision determines the list, procedure and terms of representation by the administrator of non-state pension fund (further - the Administrator) in the National commission on securities and the stock market (further - the Commission) and in councils of non-state pension funds which administration is performed by the Administrator (further - council of the pension fund), reporting data, including the reporting of non-state pension provision (further - Data), and also procedure for promulgation by the Administrator of information on activities of non-state pension funds (further - the pension fund) which administration it performs, and about the activities for their administration.";

   The second item 4 of the word "in the stock market and activities in system of accumulative provision of pensions, namely activities" shall be replaced with words 2) in Item 2 and the paragraph "the capital markets - activities";

 Item 6 to state 3) in the following edition:

"6. Data presentation by the Administrator in the Commission is performed electronically with observance of requirements of the legislation on electronic document management and electronic confidential services and according to the regulatory legal acts of the Commission regulating submission of reporting data and information by members of the capital markets.".

3. In the Section II:

The word "Structure" to replace 1) in the name of the Section with the word "List";

 The subitem 1 of Item 3 to state 2) in the following edition:

"1) monthly Data concerning the Administrator (except monthly Data concerning the Administrator for the last month of accounting year) which consist from:

title page (appendix 2 to this Provision);

certificates of the list of the pension funds which administration is performed by the Administrator (appendix 3 to this Provision);

certificates of compliance of the size authorized and equity to requirements of the legislation (appendix 4 to this Provision);

certificates of calculation of the standard rate of sufficiency of own means (appendix 5 to this Provision);

certificates of calculation of coverage ratio of operational risk (appendix 6 to this Provision).

Monthly Data concerning the Administrator for the last month of accounting year consist from:

certificates of calculation of the standard rate of sufficiency of own means (appendix 5 to this Provision);

certificates of calculation of coverage ratio of operational risk (appendix 6 to this Provision).

Administrators who combine activities for administration of the pension funds with activities for asset management and Administrators to whom action of the regulatory legal act of the Commission does not extend determine procedure and frequency of calculation of prudential standard rates when implementing professional activity in the capital markets:

in case of submission of monthly data concerning the Administrator for the first - the eleventh month of accounting year of the reference, specified in paragraphs four - pole of this subitem, do not give;

monthly Data concerning the Administrator for the last month of accounting year do not give.

Monthly Data concerning the Administrator for the last month of I, II and III quarters of accounting year are included quarterly Data of the Administrator for the corresponding reporting quarter";

3) in item 4:

state subitem 1 in the following edition:

"1) quarterly Data concerning the Administrator which structure joins monthly Data concerning the Administrator for the last month of reporting quarter and the corresponding interim financial statements of the Administrator (except the National Bank of Ukraine and administrators which combine activities for administration of the pension funds with activities for asset management) which shall be constituted according to the Law of Ukraine "About financial accounting and the financial reporting in Ukraine" and corresponds to international accounting standards.

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