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

of May 28, 2013 No. 894

About approval of the Regulations on procedure for the reporting by Central Securities Depository in the National commission on securities and the stock market

According to the paragraph the sixth Item 2 of Article 28 of the Section V of the Law of Ukraine "About depositary system of Ukraine" both Item and Item 13 of article 8 of the Law of Ukraine "About state regulation of the security market in Ukraine" the atsionalny commission on securities and the stock market SOLVED 10 parts two of Article 7:

1. Approve Regulations on procedure for the reporting by Central Securities Depository in the National commission on securities and the stock market which are applied.

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

provision 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;

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

3. To provide to management of information technologies, external and internal communications (A. Zaik) publication of this decision according to the legislation.

4. This decision becomes effective from the date of its official publication, but not earlier than entry into force of the Law of Ukraine "About depositary system of Ukraine".

5. 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 May 28, 2013 No. 894

Regulations on procedure for the reporting Central Securities Depository in the National commission on securities and the stock market

I. General provisions

1. This Provision determines procedure for the reporting Central Securities Depository (further - the Central depositary) in the National commission on securities and the stock market (further - the Commission), namely: procedure for creation, terms of provision and the list of reporting data (daleedanny) on depository activity of the Central depositary.

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

date of emergence of irregular Data - the date arising in the cases determined by Item 2 of the Section III of this provision;

irregular Data - the Data determined by item 4 of the Section II of this provision;

sanctions - the rationing arrangements enacted by certain Presidential decrees of Ukraine according to the Law of Ukraine "About sanctions";

the term "depositary correspondent" is used in this Provision in the value determined in the Law of Ukraine "About depositary system of Ukraine";

the terms "accounting transaction" and "administrative transaction" are used in this Provision in the values determined in the regulatory legal act of the Commission regulating implementation of depository activity.

3. Data of the Central depositary move in the Commission according to the regulatory legal acts of the Commission regulating provision of reporting data and information in the form of electronic documents in the Commission.

4. Daily Data for one date move once during the working day. The irregular Data constituted according to the separate reference for one date move once during the working day.

5. Data move in the Commission in the amount established by this Provision no 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 1-14 to this Provision.

6. Data of the Central depositary 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 Commission of May 08, 2012 No. 646, of Ukraine registered in the Ministry of Justice on May 25, 2012 for No. 831/21143 (with changes) (further - System of reference books and qualifiers).

7. Calculation of prudential standard rates by the Central depositary is perfromed according to the procedure and with frequency, established by the regulatory legal act of the Commission which determines procedure and frequency of calculation of prudential standard rates in case of production of depository activity.

8. According to the written requirement of the authorized person of the Commission the Central depositary shall give This according to 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 and fastened by print of seal of the Central depositary and the authorized signature of the Central depositary. On reverse side of the last leaf such text becomes: "It is strung together, numbered and fastened by print of seal of the Central depositary and the authorized signature of the Central depositary (number) of sheets".

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