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

of August 18, 2011 No. 1098

About modification of the Regulations on procedure for submission of information of rather financial performance of activities of persons which performs activities for asset management of institution investors (activities for asset management)

According to Item 10 parts two of Article 7 and Item 13 of article 8 of the Law of Ukraine "About state regulation of the security market in Ukraine", article 52 of the Law of Ukraine "About non-state pension provision" and the Law of Ukraine "About institutes of joint investment (share and corporate investment funds)" State commission on securities and the stock market SOLVED:

1. Bring in Chapter 2 of the Regulations on procedure for submission of information of rather financial performance of activities of persons which performs activities for asset management of institution investors (activities for asset management), No. approved by the decision of State commission on securities and the stock market of 04.10.2005 520, registered in the Ministry of Justice of Ukraine 27.10.2005 for No. 1273/11553, such changes:

1.1. State Item 2.3 in such edition:

"2.3. Information moves in the Commission one of such methods which is chosen by the Company:

a) by submission (posylaniye) to the Commission of information in paper and/or electronic form. Monthly information moves only electronically. The electronic form moves in the Commission on the e-mail address kuainform@ssmsc.gov.ua. Information which contains electronically shall correspond to paper form of the same information which structure is established by this Provision;

b) by submission to the Commission of information electronically in the form of electronic documents with use of electronic document management system".

1.2. State Item 2.4 in such edition:

"2.4. The electronic form of information is constituted according to Procedure for filling with person which performs activities for asset management of institution investors (activities for asset management), electronic forms of information which moves in State commission on the securities and the stock market approved by the decision of the Commission of 18.08.2011 No. 1098".

1.3. State Item 2.5 in such edition:

"2.5. After adoption of information the Commission sends to the Company registration number at which information is registered in the magazine of adoption of information. In case of lack of registration room of information in magazine of adoption of information such information is considered unaccepted".

1.4. Add Chapter with Item 2.6 of such content:

"2.6. In case of representation of corrected information which comes by the method provided by the subitem "an" of Item 2.3 of this Chapter the Company shall give it to the Commission with observance of procedure and the terms determined in Chapter 3 of this Provision. At the same time the Company shall provide the letter to the Commission in which the reasons of replacement of information are specified.

The electronic form of corrected information moves in the Commission on the e-mail address v-kua-inform@ssmsc.gov.ua.

Acting is considered the last information submitted before the termination of term of its submission to the Commission".

2. Approve the enclosed Procedure for filling with person which performs activities for asset management of institution investors (activities for asset management), electronic forms of information which moves in State commission on securities and the stock market.

3. To provide to management of joint investment of State commission on securities and the stock market (O. Simonenko) submission of this decision on state registration in the Ministry of Justice of Ukraine.

4. (N. Piskun) to provide to management on ensuring activities of the Commission chairman, the organization of work of commission sessions and international backgrounds publication of this decision according to the legislation.

5. This decision becomes effective from 01:01. 2012, but not earlier than day of its official publication.

6. Control over the implementation of this decision to assign to the member of State commission on securities and the stock market M. Burmaka.

 

Approved by the Decision of State commission on securities and the stock market of Ukraine of August 18, 2011, No. 1098

Procedure for filling with person which performs activities for asset management of institution investors (activities for asset management), electronic forms of information which moves in State commission on securities and the stock market

1. This Procedure establishes structure of files and the description of fields of filling with person who performs activities for asset management of institution investors (activities for asset management) (further - the Company), electronic forms of information which moves in State commission on securities and the stock market (further - information), according to requirements of the Regulations on procedure for submission of information of rather financial performance of activities of persons which perform activities for asset management of institution investors (activities for asset management), No. approved by the decision of State commission on securities and the stock market of 04.10.2005 520, registered in the Ministry of Justice of Ukraine 27.10.2005 for No. 1273/11553 (further - the Provision).

2. The electronic form of information is constituted by means of software which provide forming of the files according to the Provision prepared with use of the coding RUS cp866 in the DBASE-IV format.

3. The electronic form of monthly information of the Company consists of such files: "TITUL.DBF", "PER_F.DBF", "DOV_SVK.DBF".

4. The electronic form of quarterly information of the Company consists of such files: "TITUL.DBF", "PER_F.DBF", "DOV_SVK.DBF", "PER_IPOT.DBF", "BP_A.DBF", "BP_A.DBT", "BP_P.DBF", "FP.DBF", "FP.DBT".

5. The electronic form of annual information of the Company consists of such files: "TITUL.DBF", "VK_1.DBF", "VK_2.DBF", "VK_3.DBF", "PER_F.DBF", "DOV_SVK.DBF", "PER_IPOT.DBF", "BP_A.DBF", "BP_A.DBT", "BP_P.DBF", "FP.DBF", "FP.DBT".

6. All "date" details in paper form of information are filled in the format "дд/mm/úúúú" or "dd.mm.gggg" in which:

"дд" - two-place number which determines calendar day in month;

"mm" - two-place number which determines month of year;

"гггг" - four figures among year.

7. The electronic form of the financial reporting is established by the separate order of the Chairman of State commission on securities and the stock market.

8. Files of information contain such office fields which are used for sorting, search or communication with external databases:

"E_EDRPOU" - identification code on EGRPOU;

"ZVTYP" - type of information which moves;

"ZV_DAT" - the message as of date;

"F_EDRPOU" - identification code on EGRPOU for corporate funds;

"F_VYD" - type of fund;

"F_TYP" - type of fund;

"F_REG_D" - registration date of fund;

"F_VIZ_D" - date of achievement of standard rates of fund.

 

Appendix

to the Procedure for filling with person which performs activities for asset management of institution investors (activities for asset management), electronic forms of information which moves in State commission on securities and the stock market

Table 1. Structure of the TITUL.DBF file. Title page