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

of September 11, 2012 No. 1221

About approval of the Regulations on procedure for creation of administrative data by keepers of securities and submission of the relevant documents to the National commission on securities and the stock market

According to Item and Item 13 of article 8 of the Law of Ukraine "About state regulation of the security market in Ukraine" the National commission on securities and the stock market SOLVED 10 parts two of Article 7:

1. Approve Regulations on procedure for creation of administrative data as keepers of securities and submission of the relevant documents to the National commission on securities and the stock market which is applied.

2. Recognize to invalid:

the decision of State commission on securities and the stock market of January 17, 2006 No. 4 "About approval of the Regulations on procedure for creation of administrative data by the depository institutions performing depository activity of the keeper of securities, and provisions of the relevant documents in State commission on securities and the stock market", registered in the Ministry of Justice of Ukraine on April 4, 2006 for No. 378/12252;

the decision of State commission on securities and the stock market of October 17, 2006 No. 1003 "About approval of Changes in the Regulations on procedure for creation of administrative data by the depository institutions performing depository activity of the keeper of securities, and provisions of the relevant documents in State commission on securities and the stock market", registered in the Ministry of Justice of Ukraine on April 4, 2006 for No. 1189/13063;

the decision of State commission on securities and the stock market of August 18, 2011 No. 1096 "About approval of Changes in the Regulations on procedure for creation of administrative data by the depository institutions performing depository activity of the keeper of securities, and provisions of the relevant documents in State commission on securities and the stock market and approval of the Procedure for filling with keepers of securities of electronic forms of administrative data who are represented to State commission on securities and the stock market", registered in the Ministry of Justice of Ukraine on December 22, 2011 for No. 1500/20238.

3. Administrative data of the keeper of securities for 2012 move the National commission on securities and the stock market on form, in structure, terms and procedure which are established by the normative legal acts existing on reporting date of creation of such data.

4. Determine that the System of reference books and qualifiers of the National commission on securities and the stock market approved by the decision of the National commission on securities and the stock market of May 8, 2012 No. 646, registered in the Ministry of Justice of Ukraine on May 25, 2012 for No. 831/21143, is obligatory for use by keepers of securities in case of creation and submission to the National commission on securities and the stock market of administrative data.

5. To provide to department of regulation of depository and settlement and clearing activity (I. Kurochkin):

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 Government 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.

6. (Yu.Zhuly) to provide to department of external and internal communications publication of this decision according to requirements of the legislation of Ukraine.

7. This decision becomes effective since January 1, 2013, but not earlier than day of its official publication.

8. Control over the implementation of this decision to assign to the member of the commission K. Krivenko.

 

Approved by the Decision of the National commission on securities and the stock market of Ukraine of September 11, 2012 No. 1221

Regulations on procedure for creation of administrative data by keepers of securities and submission of the relevant documents to the National commission on securities and stock market

I. General provisions

1. This Provision determines structure, terms and procedure for submission to the National commission on securities and the stock market (further - the Commission) administrative data (further - Data) keepers of securities (daleekhranitel).

2. Action of this provision extends to the legal entities having the license for conducting professional activity in the stock market - depository activity of the keeper of securities, including those which had the right according to the legislation to conducting the specified professional activity during the period for which Data are represented.

3. In this Provision terms are used in such value:

the owner of mortgage securities - person, on the account in securities (accounts in the securities opened within software modules for interaction with systems of depositary accounting of different depositaries) which at the Keeper mortgage securities are considered;

the owner of the block of shares - person, on the account in securities (accounts in the securities opened within software modules for interaction with systems of depositary accounting of different depositaries) which at the Keeper shares of certain issuer in quantity which makes 10 percent and more authorized capital of this issuer are considered;

date of emergence of irregular Data - date of emergence of the events determined in Item 3 of the Section III of this provision;

irregular Data - Data which contain information on owners of blocks of shares and owners of mortgage securities.

4. Data of Keepers are represented to central office of the Commission according to the regulatory legal acts of the Commission regulating submission of administrative data by professional participants of the stock market in the form of electronic documents in the Commission.

5. The irregular Data constituted according to the separate reference for one date are represented once during the working day.

6. Data are represented to the Commission in the amount established by this Provision not later than the terms determined in Item 1 of the Section III of this provision.

Data shall contain all certain this Provision of the reference. All references of Data shall be completed, contain the reliable and complete information. Information in references shall be completed according to appendices 1-10 to this Provision.

7. Data of Keepers are constituted with use of System of reference books and qualifiers of the National commission on securities and the stock market approved by the decision of the National commission on securities and the stock market of May 8, 2012 No. 646, of Ukraine registered in the Ministry of Justice on May 25, 2012 for No. 831/21143 (further - System of reference books and qualifiers).

8. According to the written requirement of the authorized person of the Commission the Keeper shall provide the Data determined by this Provision in paper form.

If the paper form of Data contains more than one leaf, such Data shall be strung together, sheets are numbered, fastened by impress of a seal of the Keeper and the authorized signature of the Keeper.

9. Data are constituted according to the description of Sections and the schemes XML of the files determined by the separate document of the Commission of normative and technical nature.

10. In case of availability in the reference of information which is necessary for complete and comprehensive understanding of specific conditions of activities the Keeper provides it in notes to this reference.

11. The procedure and frequency of calculation of prudentsionny standard rates, and also the list of the professional participants of the stock market perfroming their calculation are determined by the Provision of rather prudentsionny standard rates of professional activity in the stock market - depository activity and requirements to risk management system, the approved decision of the National commission on securities and the stock market of January 15, 2013 No. 37, registered in the Ministry of Justice of Ukraine on February 5, 2013 for No. 216/22748.

II. Structure of Data

1. Data which are constituted and represented to the Commission:

daily;

monthly;

quarterly;

irregular.

2. Daily Data of the Keeper consist of the certificate of the accounting operations performed by the Keeper (appendix 1 to this Provision).

Daily Data on the accounting operations performed by the Keeper are represented rather accounting transactions performed within one operational day of the Keeper from which result the acquisition/termination of the property rights to securities.

3. Monthly Data of the Keeper consist of the certificate of observance of prudentsionny standard rates of the regulatory capital and financial condition (appendix 11 to this Provision).

4. Quarterly Data of the Keeper consist from:

4.1. Title page (appendix 2 to this Provision).

4.2. Certificates of the list of issues of securities for owners of securities which are serviced by the Keeper (appendix 3 to this Provision). The reference is submitted condition the last day of reporting quarter.

4.3. Certificates of the list of owners of blocks of shares and owners of mortgage securities (appendix 4 to this Provision). The reference is submitted condition the last day of reporting quarter.

4.4. Certificates of the administrative operations performed by the Keeper (appendix 5 to this Provision). The reference is submitted about the administrative operations performed by the Keeper during reporting quarter.

4.5. Certificates of the list of the pension funds which are serviced by the Keeper (appendix 6 to this Provision). The reference is submitted condition the last day of reporting quarter.

4.6 Certificates of the accounting operations performed by the Keeper (appendix 7 to this Provision). The reference is submitted about the accounting operations performed by the Keeper during reporting quarter.

5. Irregular Data of the Keeper consist from:

5.1. References on owners of blocks of shares (appendix 8 to this Provision);

5.2. References on owners of mortgage securities (appendix 9 to this Provision).

III. Data presentation terms in the Commission

1. The keeper submits Data within terms:

daily - not later than 17 o'clock in the afternoon, following for reporting;

monthly - no later than the date 10th (inclusive) following month under report;

quarterly - not later than the date 15th inclusive following reporting quarter;

irregular - within 3 working days after date of origin.

2. Daily Data on the accounting operations performed by the Keeper are not represented for operational day during which the Keeper did not perform accounting transactions.

3. Irregular Data of the Keeper are represented upon their origin.

3.1. Irregular Data on owners of blocks of shares are represented after date of emergence of changes on accounts in securities of owners of securities as a result:

transfers of shares into the account in securities of the owner of securities as a result of whom it becomes the owner of the block of shares (from 10% (inclusive) and more authorized capital of the issuer);

increases in number of shares on the account in securities of the owner valuable bumagvladelets of the block of shares therefore the block of shares increases from 10% to 100% (inclusive) of the authorized capital of the issuer;

reduction of number of shares on the account in securities of the owner valuable bumagvladelets of the block of shares therefore the block of shares decreases from 100% to 10% (inclusive) of the authorized capital of the issuer;

reduction of number of shares on the account in securities of the owner of securities as a result of whom it stops being the owner of the block of shares;

transfers of shares into the account in securities of the owner of securities as a result of whom it becomes the owner of the block of shares (from 10% (inclusive) and more authorized capital of the issuer), by results of transactions of the issuer;

increases in number of shares on the account in securities of the owner valuable bumagvladelets of the block of shares therefore the block of shares increases from 10% to 100% (inclusive) of the authorized capital of the issuer by results of transactions of the issuer;

reduction of number of shares on the account in securities of the owner valuable bumagvladelets of the block of shares therefore the block of shares decreases from 100% to 10% (inclusive) of the authorized capital of the issuer, by results of transactions of the issuer;

reduction of number of shares on the account in securities of the owner of securities as a result of whom it stops being the owner of the block of shares by results of transactions of the issuer;

blockings of the block of shares (as a result of arrest, prohibition of the address, pledge, etc.) at the initiative of the third party;

unblockings of the block of shares which was blocked (as a result of arrest, prohibition of the address, pledge, etc.), at the initiative of the third party;

write-offs of shares on the account in securities of the owner of securities as a result of whom it stops being the owner of the block of shares, at the initiative of the third party.

3.2. Irregular Data on owners of mortgage securities are represented after date of emergence of changes on accounts in securities of owners of securities as a result:

transfers of mortgage securities into the account in securities of the owner of securities as a result of whom into the account on which mortgage securities were not considered it is enlisted one or more mortgage securities;

increases in number of mortgage securities on the account in securities of the owner of securities;

reduction of number of mortgage securities on the account in securities of the owner of securities in case of whom the remaining balance of mortgage securities on the account does not become zero;

reduction of number of mortgage securities on the account in securities of the owner of securities as a result of whom on the account there is no mortgage security left;

repayments of mortgage securities;

blockings of mortgage securities on the account in securities of the owner of securities (as a result of arrest, prohibition of the address, pledge, etc.) at the initiative of the third party;

unblockings of mortgage securities on the account in securities of the depositor which were blocked (as a result of arrest, prohibition of the address, pledge, etc.), at the initiative of the third party;

write-offs of mortgage securities from the account in securities of the owner of securities at the initiative of the third party.

4. If several changes happened within one day, Data are represented by the Keeper to the Commission condition for closing time of operational day.

5. The keeper in case of detection of discrepancy of Data which are provided to the Commission shall eliminate these discrepancies and repeatedly provide Data in the amount determined in the Section II of this provision, but not later than the terms specified in this Section. Corrected data in addition shall be represented together with the certificate of correction of Data of the Keeper (appendix 10 to this Provision) in which discrepancy origins are specified.

6. If the last day of data presentation is non-working, last day of representation the working day following after it is considered.

7. The term of data presentation by the Keeper is prolonged in case of receipt in the Commission of the written message on impossibility of data presentation at the scheduled time in connection with withdrawal of program technical means and/or documents by law enforcement agencies (with submission of copies of documents which confirm withdrawal of the specified means and/or documents).

Data of the Keeper shall be provided to the Commission within 15 calendar days from the date of return of the withdrawn program technical means and/or documents (with provision of copies of documents which confirm return of the specified means and/or documents).

8. The state control of observance of requirements of this provision is exercised by the Commission.

 

 

Appendix 1

to Regulations on procedure for creation of administrative data by keepers of securities and submission of the relevant documents to the National commission on securities and the stock market

The certificate of the accounting operations performed by the Keeper