Order on Approval of the Description of Sections and Schemes of XML Files of the Electronic Form of Reporting Data of Investment Firms

NATIONAL COMMISSION FOR SECURITIES AND STOCK MARKET ORDER Kyiv On Approval of the Description of Sections and Schemes of XML Files of the Electronic Form of Reporting Data of Investment Firms

In accordance with paragraph 4 of the Decision of the State Commission for Securities and Stock Market dated 13.05.2011 No. 491 "On Approval of the Open Format for Data Transfer between the National Commission for Securities and Stock Market and Subjects of Information Interaction", registered in the Ministry of Justice of Ukraine on 02.06.2011 under No. 658/19396 (with amendments), and with the aim of systematizing the preparation by investment firms of the electronic form of reporting data in accordance with the Regulation on the Procedure for Preparing and Submitting Reporting Data on the Activities of Investment Firms to the National Commission for Securities and Stock Market (hereinafter – the Regulation), approved by the Decision of the National Commission for Securities and Stock Market (hereinafter – the Commission) dated 20.05.2026 No. 09/21/4426/K03,

O R D E R S:

1. Approve the Description of Sections and Schemes of XML Files of the Electronic Form of Reporting Data of Investment Firms, attached hereto.

2. The electronic form of reporting data of investment firms (hereinafter – Data) is prepared in the form of an electronic file named "Report.xml", which complies with the scheme:
   "IrregTrds.xsd" for irregular data;
   "MonthTrds.xsd" for monthly data.

3. Corrected Data are submitted in accordance with the deadlines established by the Regulation for submitting Data in the form of the aforementioned file in electronic form and must contain the corresponding record in the structure "DTSSuprovod".

4. Recognize as having lost force the Order of the Head of the Commission dated 25.09.2025 No. 17/20/3026/C01 "On Approval of the Description of Sections and Schemes of XML Files of the Electronic Form of Reporting Data of Investment Firms".

5. This Order enters into force on 01.07.2026.

6. The Document Management Department shall ensure the publication of this public order in the Register of Acts of the NSSMC.

7. This Order is a separate document of a normative-technical nature.

8. Control over the execution of this Order shall be entrusted to Commission Member Yuriy SHAPOVAL.

Acting Head of the Commission Iraklii BARAMIYA

APPROVED
Order of the Head of the Commission
Description of Sections and Schemes of XML Files of the Electronic Form of Reporting Data of Investment Firms

1. General Provisions
   1.1. Regulatory Documents
   The Description of Sections and Schemes of XML Files of the Electronic Form of Reporting Data of Investment Firms is prepared based on the following regulatory legal acts:

• Decision of the State Commission for Securities and Stock Market dated 13.05.2011 No. 491 "On Approval of the Open Format for Data Transfer between the National Commission for Securities and Stock Market and Subjects of Information Interaction", registered in the Ministry of Justice of Ukraine on 02.06.2011 under No. 658/19396 (with amendments);
• Regulation on the Submission of Administrative Data and Information in the Form of Electronic Documents to the National Commission for Securities and Stock Market, approved by the Decision of the State Commission for Securities and Stock Market dated 13.05.2011 No. 492 (with amendments);
• Reference System and Classifiers of the National Commission for Securities and Stock Market, approved by the Decision of the National Commission for Securities and Stock Market (hereinafter – the Commission) dated 08.05.2012 No. 646 (with amendments) (hereinafter – the Reference System and Classifiers);
• Regulation on the Procedure for Preparing and Submitting Reporting Data on the Activities of Investment Firms to the National Commission for Securities and Stock Market, approved by the Decision of the National Commission for Securities and Stock Market dated 20.05.2026 No. 09/21/4426/K03.

1.2. General Description
The electronic form of reporting data of investment firms (hereinafter – Data) is prepared in the form of XML format files – in the open widely used standard of unified representation of information in electronic form for data exchange between heterogeneous information systems (eXtensible Markup Language, hereinafter – XML), developed by the international W3C consortium (http://www.w3.org/TR/REC-xml). Files are submitted to the Commission with the name "Report.xml". Data of different types (irregular, monthly) or for different reporting periods are submitted in separate files. In accordance with the XML specification, electronic form files are composed of structural units of information, which are divided into elements, attributes, processing instructions, and comments. Certain rules and restrictions are imposed on the content of files depending on the type of data regarding permissible elements, attributes, and their values. These rules and restrictions, taking into account the rules and restrictions of the XML specification, constitute the specifications of electronic form files depending on the type of data. The structure and content of data of each separate specification correspond to a certain separate scheme, expressed using an XSD scheme – a widely used open standard for defining requirements for the structure and composition of data in XML format (hereinafter – XSD), developed by the international W3C consortium (http://www.w3.org/2001/XMLSchema-instance). Data contain a specification identifier within their composition. The identifier is specified using the special attribute "xmlns" of the root element in accordance with the XML specification. The identifier is used to identify the corresponding XSD scheme and assign the data. Inclusion of textual content in the form of separate structural units provided by the XML specification in the composition of data is not allowed. Processing instructions and comments are considered insignificant information and are ignored, except for the "xml" processing instruction, which defines the xml specification and the character encoding table used for presenting data. Restrictions on the use of different character encoding tables and different XML specifications when submitting data are not established. However, all symbols used in the composition of data must be compatible with the windows-1251 encoding table, and the specification used must be compatible with the XML 1.0 specification. Data are composed of structural elements of the following purposes and according to the following principles:

• root element with the name "root" – the first and mandatory element of the form, which contains general requisites for all specifications and in the composition of which all other substantive information is submitted;
• specialized elements – containers of separate substantive parts of data (references) within the root element, which do not contain their own requisites and are intended for presenting information strings of the substantive part within their composition;
• elements with the name "row" – information strings submitted within the containers of the substantive part (references), do not contain other elements within their composition and present the values of requisites within and in the quantity depending on the requirements for the composition of information of a separate substantive part (reference);
• elements with the name, the first four characters of which take the value "row_" – specialized information strings submitted within containers in the same way as information strings, but performing a certain special function.
  The root element contains requisites identifying the subject submitting data and the reporting period, namely:
  No. p/p | XML Attribute | Purpose

1. D_EDRPOU | Identification code by the Unified State Register of Legal Entities, Juridical Persons and Public Formation of the subject submitting data
2. D_NAME | Name of the subject submitting data
3. STD | Date of the beginning of the reporting period
4. FID | Date of the end of the reporting period
5. NREG | Sign of irregular data: "True" for irregular data; "False" for regular data
6. TTYPE | Code of the type of the subject submitting data: "003" for investment firms

Attributes of elements are part of the elements if they contain data. A requisite is not included in the composition of information if it does not contain a value.
For requisites whose type is specified as dateTime in the XSD scheme, and as the value of the requisite a date is submitted, in addition to the date, the time component is also submitted in all cases, filled with zero values. Common to all specifications is the element within the root – a container with the name "DTSSuprovod" for presenting the content of the Accompanying Reference for corrected data of the subject submitting data. The information string of this element contains the following requisites:
No. p/p | XML Attribute | Purpose
1. ISPDAT | Date of filling
2. VIPRAV | List of corrections and justification of corrected Data
3. TAG | Notes

2. Irregular Data
When submitting irregular data, the identifier of the specification must have the value:
"http://nssmc.gov.ua/Schem/IrregTrds"
The XSD scheme of irregular data "IrregTrds.xsd" is provided in Appendix 1.
The following XML elements – content containers are included in irregular data:
No. p/p | XML Element | Purpose
1. DTSNREGAGR | Reference on the executed or terminated contract(s) with financial instruments by the investment firm outside the organized market
2. DTSSUSPIC | Reference on the concluded contract(s) with financial instruments by the investment firm outside the organized market
3. DTSSANCT | Reference on persons to whom sanctions have been applied

2.1. Reference on the executed or terminated contract(s) with financial instruments by the investment firm outside the organized market 1
Information strings are filled out for each main contract and each part of the operation under the REPO contract separately.
Information strings are nested into the XML element "DTSNREGAGR" and contain the following requisites:
No. p/p | XML Attribute | Purpose

1. AGRCAT | Type of contract 2
2. DATESTART | Date of conclusion of the contract
3. FINISHDATE | Date of execution of the contract / part of the operation under the REPO contract
4. REJECTDATE | Date of termination of the contract (date of execution, sum of execution, information about the person accounting for the transfer of ownership rights, etc. are not filled)
5. AGRNUM | Contract number
6. AGRTYPE | Method of concluding the contract: "1" – by exchanging reciprocal SWIFT messages, "2" – using a software module, "3" – in another way
7. OPERPART | Part of the operation under the REPO contract: "1" – first part of the operation under the REPO contract, "2" – second part of the operation under the REPO contract
8. CTYPE | Type of contract, for the execution of which the execution contract is concluded 2, 3
9. AGRNUMN | Contract number, for the execution of which the execution contract is concluded 3
10. AGRDATE | Date of conclusion of the contract, for the execution of which the execution contract is concluded 3
11. AGRPERFDATE | Date of execution of the contract, for the execution of which the execution contract is concluded 3
12. AGRNUMRZ | Client order number (filled when referring to a contract on a general contract) 3
13. ZAMBRDS | Date of submission/receipt of client order (filled when referring to a contract on a general contract) 3
14. ZAMBRDF | Date of execution of client order (filled when referring to a contract on a general contract) 3
15. ACTIVTYPE | Type of activity of the investment firm 4
16. CONTRTYPE | Type of client/counterparty of the investment firm 5
17. CONTRACT | Type of professional activity carried out by the client/counterparty of the investment firm 6, 15
18. CONTRACTTCP | Type of professional activity in the stock market – activity of trading financial instruments, carried out by the client/counterparty of the investment firm (filled if the client/counterparty of the investment firm is an investment firm) 4, 15
19. OSEDRPOU | Code by the Unified State Register of Legal Entities, Juridical Persons and Public Formation of the client/counterparty of the investment firm – legal entity – resident 15
20. OSNAME | Name of the client/counterparty of the investment firm – legal entity 15
21. OKODNEREZ | Registration number in accordance with the commercial, banking or judicial register or the register of the local body of power of a foreign state on the registration of a legal entity – client/counterparty of the investment firm – non-resident 15
22. OSEDRISI | Code of the Unified State Register of Investment Funds of the unit investment fund, corporate investment fund, in whose interests the asset management company – client/counterparty of the investment firm acts 15
23. PIFNAME | Name of the unit investment fund, corporate investment fund, in whose interests the asset management company – client/counterparty of the investment firm acts 15
24. O_IDN | Registration number of the taxpayer's account card or series and passport number (for physical persons who, due to their religious beliefs, refuse to accept the registration number of the taxpayer's account card and have informed the corresponding controlling body and have a mark in the passport) – physical person – client/counterparty of the investment firm 15
25. OS_F | Surname of the physical person – client/counterparty of the investment firm 15
26. OS_I | Name of the physical person – client/counterparty of the investment firm 15
27. OS_O | Patronymic of the physical person – client/counterparty of the investment firm (if available) 15
28. OCOUNTRY | Country of registration of the client/counterparty of the investment firm 7, 15
29. FININSTR | Type of financial instrument, which is the object of civil rights under the contract 8
30. ISIN | International Securities Identification Number or code of another financial instrument
31. BACT_DK | Base asset or base indicator under the derivative contract 9
32. VSERIA | Series of the bill
33. VNUM | Number of the bill
34. VDATE | Date of issue of the bill
35. VENDDATE | Date of redemption of the bill
36. VFORM | Form of payment for the bill: "1" – cash, "2" – non-cash
37. VPERFORM | Type of transfer of the simple bill: "1" – blank endorsement, "2" – named
38. MARKETTYPE | Type of market 10
39. MARKETTYPEOPER | Types of markets by the nature of conducting operations 11
40. VSUM | Sum of the bill
41. IPSERTBORG | Share of consolidated mortgage debt on the date of registration of the issue (for mortgage participation certificates)
42. PREMIYA | Premium (for option certificates)
43. CODEVAL | Type of currency of the security or another financial instrument 12
44. KEPEDRPOU | Code by the Unified State Register of Legal Entities of the depository institution
45. KEPERNAME | Name of the depository institution
46. EMMITTYPE | Sign of the person who placed/issued the security or another financial instrument: "1" – issuer, "2" – bill issuer, "3" – pledgor
47. EMEDRPOU | Code by the Unified State Register of Legal Entities of the person who placed/issued the security or another financial instrument
48. EMKODNEREZ | Registration number in accordance with the commercial, banking or judicial register or the register of the local body of power of a foreign state on the registration of a legal entity that placed/issued the security – non-resident
49. EM_IDN | Registration number of the taxpayer's account card or series (if available) and passport number (for physical persons who, due to their religious beliefs, refuse to accept the registration number of the taxpayer's account card and have informed the corresponding controlling body and have a mark in the passport) of the physical person who issued the security or another financial instrument
50. EMMITNAME | Name of the person (surname, name, patronymic (if available) for a physical person) who placed/issued the security or another financial instrument
51. EDRISI | Code of the Unified State Register of Investment Funds of the person who placed the security
52. EMCOUNTRY | Country of registration of the person who placed/issued the security 7
53. KLIENTTYPE | Type of client of the investment firm, in whose interests the execution contract is concluded 5, 15
54. KLIENTACTTYPE | Type of professional activity in the stock market – activity of trading financial instruments, carried out by the client of the investment firm (filled if the client of the investment firm is an investment firm) 4, 15
55. TEDRPOU | Code by the Unified State Register of Legal Entities of the client of the investment firm, in whose interests the execution contract is concluded – legal entity – resident 15
56. TNAME | Name of the client of the investment firm, in whose interests the execution contract is concluded – legal entity 15
57. TKODNEREZ | Registration number in accordance with the commercial, banking or judicial register or the register of the local body of power of a foreign state on the registration of a legal entity – client of the investment firm, in whose interests the execution contract is concluded – non-resident 15
58. TEDRISI | Code of the Unified State Register of Investment Funds of the unit investment fund, corporate investment fund, in whose interests the asset management company – client of the investment firm, in whose interests the execution contract is concluded, acts 15
59. T_PIFNAME | Name of the unit investment fund, corporate investment fund, in whose interests the asset management company – client of the investment firm, in whose interests the execution contract is concluded, acts 15
60. T_IDN | Registration number of the taxpayer's account card or series and passport number (for physical persons who, due to their religious beliefs, refuse to accept the registration number of the taxpayer's account card and have informed the corresponding controlling body and have a mark in the passport) – physical person – client of the investment firm, in whose interests the execution contract is concluded 15
61. T_F | Surname of the physical person – client of the investment firm, in whose interests the execution contract is concluded 15
62. T_I | Name of the physical person – client of the investment firm, in whose interests the execution contract is concluded 15
63. T_O | Patronymic of the physical person – client of the investment firm, in whose interests the execution contract is concluded (if available) 15
64. TCOUNTRY | Country of registration of the client of the investment firm, in whose interests the execution contract is concluded 7, 15
65. PAPSC | Quantity of securities when concluding the contract (pcs.)
66. PAPFC | Quantity of securities when executing the contract (pcs.)
67. STARTSUM | Sum of the concluded contract (UAH) 13
68. CODEVALC | Type of currency when concluding the contract 12
69. FINISHSUM | Sum of the executed contract (UAH) 14
70. CODEVALF | Type of currency when executing the contract 12
71. KOMIS | Sum of commission fee (UAH) 14
72. KOMISCODEVAL | Commission fee (type of currency) 12
73. FAVOURTAPE | Type of service provided by the investment firm: "1" – purchase, "2" – sale, "3" – exchange, "4" – loan
74. MOVTYPE | Type of event under the contract: "1" – credit, "2" – debit
75. MOVBALD | Date of credit/debit of securities
76. MONEYDATE | Date of credit/debit of monetary funds
77. DOGAGR | Availability of additional contracts that make changes to the main contract: "1" – yes, "2" – no
78. CALCTYPE | Settlements under the contract for financial instruments are carried out through the investment firm: "1" – yes, "2" – no
79. Z_PRYM | Notes

1 Filled out for each main contract and each part of the operation under the REPO contract separately.
2 Filled in accordance with Reference 15 "Types of Contracts in the Activity of Trading Financial Instruments" of the Reference System and Classifiers.
3 Requisites of contracts related to the contract for which information is disclosed are indicated if they exist.
4 Filled in accordance with Reference 13 "Types of Professional Activity in Capital Markets – Activity of Trading Financial Instruments" of the Reference System and Classifiers.
5 Filled in accordance with Reference 37 "Types of Depositors, Clients" of the Reference System and Classifiers.
6 Filled in accordance with Reference 12 "Types of Professional Activity in Capital Markets and Organized Commodity Markets" of the Reference System and Classifiers.
7 Filled in accordance with Reference 45 "Classification of Countries of the World" of the Reference System and Classifiers.
8 Filled in accordance with Reference 7 "Classification of Financial and Non-Financial Instruments" of the Reference System and Classifiers.
9 The specific base asset or base indicator is indicated in text form in accordance with the content of the derivative contract.
10 Filled in accordance with Reference 8 "Types of Markets" of the Reference System and Classifiers.
11 Filled in accordance with Reference 9 "Types of Markets by the Nature of Conducting Operations" of the Reference System and Classifiers.
12 Filled in accordance with Reference 46 "List and Codes of Currencies" of the Reference System and Classifiers.
13 For operations in foreign currency, the sum is filled – equivalent in hryvnia at the official exchange rate of the hryvnia to foreign currencies established by the National Bank of Ukraine on the day of conclusion. 14 For operations in foreign currency, the sum is filled – equivalent in hryvnia at the official exchange rate of the hryvnia. 15 If the client is a nominee holder, the corresponding information about the ultimate beneficiary (client of the nominee holder/client of the client of the nominee holder) is indicated.

2.2. Reference on the concluded contract(s) with financial instruments by the investment firm outside the organized market 1
Information strings are filled out for each main contract and each part of the operation under the REPO contract separately.
Information strings are nested into the XML element "DTSSUSPIC" and contain the following requisites:
No. p/p | XML Attribute | Purpose

1. DATESTART | Date of conclusion of the contract
2. FINISHDATE | Date of execution of the contract, provided by the terms of the contract (if available)
3. AGRCAT | Type of contract 5
4. AGRNUM | Contract number
5. AGRTYPE | Method of concluding the contract: "1" – by exchanging reciprocal SWIFT messages, "2" – using a software module, "3" – in another way
6. OPERPART | Part of the operation under the REPO contract: "1" – first part of the operation under the REPO contract, "2" – second part of the operation under the REPO contract
7. CTYPE | Type of contract, for the execution of which the execution contract is concluded 2, 3
8. AGRNUMN | Contract number, for the execution of which the execution contract is concluded 3
9. AGRDATE | Date of conclusion of the contract, for the execution of which the execution contract is concluded 3
10. AGRPERFDATE | Date of execution of the contract, for the execution of which the execution contract is concluded 3
11. AGRNUMRZ | Client order number (filled when referring to a general contract) 3
12. ZAMBRDS | Date of submission/receipt of client order (filled when referring to a general contract) 3
13. ZAMBRDF | Date of execution of client order (filled when referring to a general contract) 3
14. ACTIVTYPE | Type of activity of the investment firm 4
15. CONTRTYPE | Type of client/counterparty of the investment firm 5
16. CONTRACT | Type of professional activity carried out by the client/counterparty of the investment firm 6, 14
17. CONTRACTTCP | Type of professional activity in the stock market – activity of trading financial instruments, carried out by the client/counterparty of the investment firm (filled if the client/counterparty of the investment firm is an investment firm) 4, 14
18. OSEDRPOU | Code by the Unified State Register of Legal Entities of the client/counterparty of the investment firm – legal entity – resident 14
19. OSNAME | Name of the client/counterparty of the investment firm – legal entity 14
20. OKODNEREZ | Registration number in accordance with the commercial, banking or judicial register or the register of the local body of power of a foreign state on the registration of a legal entity – client/counterparty of the investment firm – non-resident 14
21. OSEDRISI | Code of the Unified State Register of Investment Funds of the unit investment fund, corporate investment fund, in whose interests the asset management company – client/counterparty of the investment firm acts 14
22. PIFNAME | Name of the unit investment fund, corporate investment fund, in whose interests the asset management company – client/counterparty of the investment firm acts 14
23. O_IDN | Registration number of the taxpayer's account card or series and passport number (for physical persons who, due to their religious beliefs, refuse to accept the registration number of the taxpayer's account card and have informed the corresponding controlling body and have a mark in the passport) – physical person – client/counterparty of the investment firm 14
24. OS_F | Surname of the physical person – client/counterparty of the investment firm 14
25. OS_I | Name of the physical person – client/counterparty of the investment firm 14
26. OS_O | Patronymic of the physical person – client/counterparty of the investment firm (if available) 14
27. OCOUNTRY | Country of registration of the client/counterparty of the investment firm 7, 14
28. FININSTR | Type of financial instrument, which is the object of civil rights under the contract 8
29. ISIN | International Securities Identification Number or code of another financial instrument
30. BACT_DK | Base asset or base indicator under the derivative contract 9
31. VSERIA | Series of the bill
32. VNUM | Number of the bill
33. VDATE | Date of issue of the bill
34. VENDDATE | Date of redemption of the bill
35. VFORM | Form of payment for the bill: "1" – cash, "2" – non-cash
36. VPERFORM | Type of transfer of the simple bill: "1" – blank endorsement, "2" – named
37. MARKETTYPE | Type of market 10
38. MARKETTYPEOPER | Types of markets by the nature of conducting operations 11

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