The central depository carries out activities of depositary accounting and servicing of circulation of securities located in Ukraine and abroad and corporate transactions of the issuer on client’s securities accounts in accordance with the competence for accounting of securities established by the Law “On the Depository System of Ukraine”.

The clients of the Central Depository are issuers, the National Bank of Ukraine, depository institutions, correspondent depositories, clearing institutions and Clearing Center.

The depositary assets for the CSD are global certificates of securities and temporary global certificates of securities, certificates of immovable bearer securities, as well as records on securities accounts of the Central Depository at depositaries of other countries and at international depository clearing institutions.

The exclusive competence of the Central Depository includes:

1) the enrollment of securities (in addition to securities belonging to the competence of the National Bank of Ukraine) into the system of depositary records, their accounting and storage, as well as write-offs of securities in connection with their repayment and / or cancellation;

2) keeping records of issuer’s obligations on securities of own issues (except for securities that are within the competence of the National Bank of Ukraine) in respect of each issue of securities on the basis of the deposit of a global certificate and / or a temporary global certificate;

3) the storage of global certificates and temporary global certificates (in addition to global certificates and temporary global certificates of securities issues that are within the competence of the National Bank of Ukraine);

4) implementation of the numbering (codification) of securities in accordance with international norms, keeping a register of codes of securities (international identification numbers of securities);

5) the compilation of registers of holders of registered securities (except for securities that are within the competence of the National Bank of Ukraine);

6) storage of information about persons designated for the issuance of the register of holders of registered securities;

7) receipt of income and other payments on transactions of issuers (including those placed and circulating outside Ukraine) to the account of the Central Depository, opened at the Clearing Center for their further transfer to recipients;

8) the opening and maintenance of securities accounts of issuers, the National Bank of Ukraine, depositary institutions, correspondent depositories, clearing institutions and the Clearing Center;

9) keeping a securities account of a depositary institution which has terminated its depositary activity or which has canceled an appropriate license for an offense in the securities market or in another case determined by the Commission, as well as responsible storage of documents, databases, copies of databases, archives of depository databases institution, information about its depositors, who in accordance with the established procedure did not close their accounts in securities, and securities which were accounted on their accounts, and the provision of information on the state of such accounts the bottom of the law;

10) the establishment of uniform unified rules (standards) for the display and transmission of information on the accounting and circulation of securities, servicing of corporate actions of issuers and other information that is entered into the system of depositary records;

11) introduction of international standards for the issue of depository activities;

12) control over clients in respect of the conduct of their depositary activities in the order and within the limits established by the Law “On the Depository System of Ukraine”.

The Central Depository may provide services to the issuer for the organization and holding of a general meeting of shareholders. He may also carry out individual banking operations on the basis of a license for the execution of certain banking transactions received in the manner determined by the National Bank of Ukraine.

The Central Depository may perform other activities not prohibited by law.

The following indicators are used to measure and assess the risks of depositary activity of the CSD:

NORMAL ACCESSIBILITY OF OWN FUNDS. Calculated as a ratio of the amount of own funds to a value that is 25% of fixed overhead costs of the institution for the previous fiscal year. Normative value of the standard for the Central Depository – at least 1.

COVERAGE OF OPERATING RISK COVERAGE. It is calculated as the ratio of the size of the institution’s own funds to its operational risk (which is 15% of the annual average net income of the institution for the 3 previous financial years in which the positive net income was received). The normative value of the coefficient for the CSD is at least 1.

The Central Depository shall disclose the following information:

  • quarterly financial statements in the balance sheet (statement of financial position) and the statement of financial results (statement of comprehensive income) drawn up in accordance with the requirements of the law, by the 25th of the month following the reporting quarter;
  • a list of correspondent depositories according to Annex 1 within 10 working days from the day of the end of the reporting quarter;
  • the list of securities of foreign issuers serviced by the Central Depository in accordance with Annex 2 within 10 working days from the day the reporting quarter ends;
  • the number of registered registry holders’ registers, the number of customer accounts and the number of global certificates / temporary global certificates held in the Central Depository in accordance with Annex 3 within 10 working days from the end of the reporting quarter;
  • the ownership structure of the CSD in accordance with Annex 4 within 10 working days from the date of the end of the reporting quarter;
    annual report of the CSD no later than April 30 of the year following the reporting year.

The Central Depository, in addition to disclosure of information in accordance with the requirements of this Procedure, shall disclose information in the manner and within the time period prescribed by law for legal entities established in the form of a public joint-stock company.

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