Information Technology – НКЦПФР|НАЦІОНАЛЬНА КОМІСІЯ З ЦІННИХ ПАПЕРІВ ТА ФОНДОВОГО РИНКУ

The submission of administrative data and information in the form of electronic documents to the Commission is carried out in accordance with the Regulation on the submission of administrative data and information in the form of electronic documents to the National Commission on Securities and Stock Market, approved by Commission Decision No. 492 of 13 May 2011.

In accordance with this Provision, the exchange of electronic documents is carried out between the software and hardware complexes (PTC) of the submission entity and the Commission through the agent of the submission or directly. At the same time agents of submission can be only legal entities included in the Register of persons authorized to provide information services in the stock market, which are authorized by the Commission as persons entitled to conduct information services in the stock market, namely reporting activities and / or administrative data to the Commission, which provide submissions to the subjects of information services for submission to the Commission of regulated data of the entities submitted on the basis of the relevant agreement, the requirements of which are established Commission.

For submission of data to the Commission, the PTK connection (direct submission or through the agent of submission) to the TPC of the Commission should be ensured and functioning in accordance with the protocol of interaction specified by the separate normative and technical document of the Commission, developed in compliance with the requirements of legislation on the protection of information in the information -telecommunications systems and connection to automated systems at the disposal of state authorities, namely in accordance with the Technical Regulations of Connection and the protocol in ayemodiyi external software and hardware with the software and hardware systems for submission to SSMNC SSMNC reporting, administrative data and information in the form of electronic documents, approved by the acting Chairman of the Commission 22.01.2019.

The technical regulation provides for ensuring interoperability with the mandatory connection to the secure network of the Commission by a secure communication channel.

To organize connection to a secured network of the Commission by the protected communication channel, the following general parameters are used:

Internet Access Gateway to the Commission Network:

authvpn.nssmc.gov.ua

Qualified Certificate of the Public Key Encryption Commission:

https://acskidd.gov.ua/index.php?page=ddownload&sn=7553027

In pursuance of the provisions of the Law of Ukraine on simplifying the business and attracting investment by issuers of securities dated 16.11.2017, the NSCSCM of 22.10-VIII changes the existing and develops new regulatory acts related to the activity of providing information services in the stock market.
Normative acts on the regulation of the activity of informational agents will include:
• the procedure for authorization of legal entities intending to provide information services;
• the procedure for keeping the Register of persons authorized to provide information services in the stock market and disclosing information from it;
• requirements for contracts for the provision of information services;
• requirements for a certificate of inclusion in the Register of persons authorized to provide information services;
• requirements for a person who intends to provide information services;
• The procedure for notifying the Commission of changes in information and / or documents submitted for inclusion in the Register of persons authorized to provide information services and for obtaining a certificate of inclusion in the Register;
• the procedure for cancellation of the certificate of inclusion in the Register of persons authorized to provide information services;
• The procedure for the approval of the Commission’s internal rules and requirements for software and hardware complexes used in the conduct of information services activities: the disclosure of regulated information on behalf of stock market participants, the proliferation of the continuous updating of consolidated information on financial instruments and / or participants in the stock market, reporting and / or administrative data to the Commission.

The Resolution of the Commission dated “On Approval of Requirements to Software Products Used on the Stock Market, and Software of Automated, Informational and Telecommunication Systems Aimed to Perform Professional activity on the Stock Market – Depositary Activity of the Central Securities Depository” was adopted on 02.10.2012 №1342 and registered in the Ministry of Justice of Ukraine on 19.10.2012 № 1760/22072. This Resolution establishes the requirements to specialized software products, software of automated, informational systems which are created and/or used by professional participants of the stock market, the Central Securities Depository (hereinafter – the Central Depository) while carrying out professional activities, depository activities of the Central Depository (hereinafter – software products).

The Resolution of the Commission dated 13.11.2012 №1617 “On Approval of the Procedure for Recording Software Products on the Stock Market” was adopted on 13.11.2012 №1617 and registered in the Ministry of Justice of Ukraine on 21.01.2013 №141/22673. The Procedure determines – the order for submitting information on software products to the Commission which is created for use on the stock market and/or which have been already used by stock market participants in carrying out professional activities, – the procedure for amending information on such software products and – the procedure for keeping the Commission recording software products on the stock market.

The Resolution of the Commission dated 24.09.2020 №211 and registered in the Ministry of Justice of Ukraine on 17.06.2020 № 538/34821 amends the Procedure on Recording of Software Products on the Stock Market, approved by the Resolution of the Commission on 13.11.2012 №1617 amends.

The procedure provides:

submission of information on software products to the Commission which are created for use on the stock market and/or which have been already used by a professional stock market participant while carrying out professional activities;
the obligation to provide the Commission information about specialized software product (hereinafter – SSP) by a professional stock market participant who has created a SSP or purchased property rights to SSP, has the right to use SSP and/or uses SSP to carry out professional activities in the stock market such SSP;
in case of significant functional changes to the SSP (implementation of new versions) the information submitted to the Commission shall be updated within a calendar month from the date of such changes;
the initiator of updating the information is the applicant;
information on the software product, including SSP, is submitted to the Commission in the form of electronic document in accordance with the Regulations on the Submission of Administrative Data and Information. The information is compiled according to the description of sections and schemes of XML files;
recording is carried out by the Commission in electronic form.

Public information of the SSMSC in the form of open data on the Unified State web-portal of open data: https://data.gov.ua/organization/natsionalna-komisiia-z-tsinnykh-paperiv-ta-fondovoho-rynku