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

of August 6, 2013 No. 1408

About modification of the Regulations on procedure for creation and provision of administrative data concerning activities of dealers in securities in 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. Bring in the Regulations on procedure for creation and provision of administrative data concerning activities of dealers in securities in the National commission on securities and the stock market approved by the decision of the National commission on securities and the stock market of September 25, 2012 No. 1283, registered in the Ministry of Justice of Ukraine on October 16, 2012 for No. 1737/22049 (with changes), such changes:

1) in the Section ІІ:

Item 1 in paragraph three shall be replaced with words the word "monthly" "monthly (except banks)";

subitems 2. 2.9 Items 2 to exclude 8,.

With respect thereto to consider subitem 2.10 subitem 2.8;

in Item 3 of figure "10" to replace with figure "8";

to state subitems 4.2-4.4 of item 4 in such edition:

"4.2. Certificates of standard rates of the dealer in securities when implementing marginal transactions (amendment 9 to this Provision).

4.3. Certificates of observance of indicators of prudentsionny standard rates by the dealer in securities (appendix 10 to this Provision).

4.4. Certificates of components of prudentsionny standard rates (appendix 11 to this Provision).";

in Item 5 of figure "14" to replace with figures "12";

2) in the Section ІІІ:

in Item 3 of figure "15" to replace with figures "13";

in Item 5 of figure "15" to replace with figures "13";

3) in the Section ІV:

exclude Item 1.

With respect thereto to consider Items 2-4 respectively Items 1-3;

in Item 1 of figure "10" to replace with figure "9";

2, 3 to state Items in such edition:

"2. Forming of the certificate of standard rates of the dealer in securities when implementing marginal transactions (appendix 9 to this Provision), certificates of observance of indicators of prudentsionny standard rates by the dealer in securities (appendix 10 to this Provision) and certificates of components of prudentsionny standard rates (appendix 11 to this Provision) is performed for each working day.

3. These certificates of indicators of financial condition and the standard rate of LR of the dealer in securities (except banks) (appendix 7 to this Provision) regarding calculation of the standard rate of LR of the dealer in securities, the certificate of observance of indicators of prudentsionny standard rates by the dealer in securities (appendix 10 to this Provision) and the certificate of components of prudentsionny standard rates (appendix 11 to this Provision) are calculated dealers in securities (except banks) according to requirements of the regulatory legal act of the National commission on securities and the stock market which establishes requirements to procedure of payments of prudentsionny standard rates of dealers in securities.";

Appendices 8, 9 to exclude 4).

With respect thereto to consider appendices 10-15 respectively appendices 8-13;

Appendices 1, of 2, of 3, of 4, of 5, of 6, 10 and 12 to the Provision to be reworded as follows 5) which are applied;

To exclude 6) in names of appendices 9 and 11 of the word "except banks".

2. And stock exchanges (O. Naumenko) to provide to department of regulation of activities of dealers in securities:

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):

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

publication of this decision in the official printing publication of the National commission on securities and the stock market.

4. This decision becomes effective since January 01, 2014, but not earlier than day of its official publication, except paragraph two of the subitem 1 of Item 1 of the decision which is becoming effective from the date of its official publication.

5. Control over the implementation of this decision to assign to the member of the commission M. Nazarchuk.

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