THE ORDER OF THE CENTER FOR COORDINATION AND CONTROL OF FUNCTIONING OF THE SECURITY MARKET IN CASE OF STATE PROPERTY OF THE REPUBLIC OF UZBEKISTAN

of February 11, 2009 No. 2009-12

About approval of the Regulations on accounting by the professional participant of the security market of the transactions and transactions made by it in the security market, document storage on their accounting

According to the Law of the Republic of Uzbekistan "About the security market" (Collection of the legislation of the Republic of Uzbekistan, 2008, Art. No. 9-30, 278) and the Provision about "The center for coordination and market development of securities in case of Goskomkonkurention of the Republic of Uzbekistan, the approved resolution of the Cabinet of Ministers of the Republic of Uzbekistan of March 30, 1996 No. 126 (Collection of the orders of the Government of the Republic of Uzbekistan, 1996, 3, of the Art. 11) I order to No.:

1. Approve Regulations on accounting by the professional participant of the security market of the transactions and transactions made by it in the security market, document storage on their accounting according to appendix.

2. This order becomes effective after ten days from the date of its state registration in the Ministry of Justice of the Republic of Uzbekistan.

Approved by the Order of the Center for coordination and control of functioning of the security market in case of state property of the Republic of Uzbekistan of February 11, 2009 No. 2009-12

Regulations on accounting by the professional participant of the security market of the transactions and transactions made by it in the security market, document storage on their accounting

This Provision according to the laws of the Republic of Uzbekistan "About the security market" (Collection of the legislation of the Republic of Uzbekistan, 2008, Art. No. 29-30, 278), "About archiving" (The collection of the legislation of the Republic of Uzbekistan, 2010, Art. No. 24-25, 192) and other acts of the legislation determines accounting treatment the professional participant of the security market (further - the professional participant) the transactions and transactions made by it in the security market, document storages on their accounting.

Requirements of this provision do not extend to commercial banks and insurers.

I. General provisions

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

archive documents - the documents on different material carriers having the archive importance after recognition by their those based on the corresponding examination provided by this Provision and the legislation;

departmental archive of the professional participant (further - departmental archive) - the structural division of the professional participant performing completing, accounting, storage and use of archive documents;

the professional participant - the legal entity who performs professional activity in the security market;

accounting of transactions and transactions in the security market - the organization and accounting of data on the transactions and transactions in the security market made by the professional participant;

authorized state body on regulation of the security market - the National agency of perspective projects of the Republic of Uzbekistan.

2. The professional participant records all transactions and transactions made by him in the security market, provides storage, protection and recovery of documents, including, on clerical work, employment relationships, accounting activities and the financial reporting on the provided circumstances according to the procedure, established by this Provision and other acts of the legislation.

II. Accounting and document storage on the transactions and transactions made by the professional participant in the security market

3. The professional participant shall have the nomenclature of cases on form approved by him, according to appendix to this Provision, for the organization of accounting and document storage according to the approved nomenclature.

4. The professional participant annually no later than December 15 approves the nomenclature of cases for the organization of clerical work forthcoming year.

5. Ceased to be valid 

6. Accounting of documents of the professional participant, according to the approved nomenclature of cases, is performed in the following special magazines in paper and (or) electronic types:

accounting of the entering and outgoing correspondence;

registration of the agreements signed with clients;

registration of requests;

accounting of the publications of the professional participant obligatory according to the legislation;

accounting of the obligatory backup copies provided for recovery of documents in case of loss or damage of especially important documents of the professional participant;

accounting of documents on transactions and transactions electronically;

paragraphs the eighth and ninth are excluded

7. The professional participant shall have backup copies of especially important documents and organize reserve fund on the following transactions and transactions:

the transactions recognized by large deals according to the legislation;

transactions in which making there is interest;

other transactions and transactions recognized especially important at the discretion of the most professional participant.

8. All documents which are formed in activities of the professional participant shall be created in cases according to the approximate nomenclature of cases specified in appendix to this Provision (further Appendix).

9. Requirements to accounting of transactions and transactions of the professional participant depending on the professional activity performed by it are established by the legislation.

10. Accounting of documents in departmental archive on the transactions and transactions made by the professional participant in the security market is one of means of ensuring of safety of documents and observation of their availability.

11. All documents which are stored in departmental archive are subject to accounting, including undescribed and non-core for this departmental archive, backup copies of especially important documents and the inventory of cases.

12. Accounting of documents in departmental archive on the transactions and transactions made by the professional participant in the security market is based on respect for the principles of centralization and succession taking into account documents in clerical work.

13. Accounting of documents in departmental archive on the transactions and transactions made by the professional participant in the security market is conducted according to the following documents:

to the book of accounting of receipt and disposal of documents for accounting in departmental archive;

inventories of cases on staff;

inventories of cases of permanent storage;

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