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 Preparation and Submission of 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 25.09.2012 No. 1283, registered in the Ministry of Justice of Ukraine on 16.10.2012 under No. 1737/22049 (with amendments),

ORDER:

Approve the Description of Sections and Schemes of XML Files of the Electronic Form of Reporting Data of Investment Firms (attached).
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 following schemas:
- "IrregTrds.xsd" for irregular data;
- "MonthTrds.xsd" for monthly data;
- "QwartTrds.xsd" for quarterly data.
Corrected Data are submitted in accordance with the deadlines established by the Regulation for the submission of Data in the form of the aforementioned electronic file and must contain the corresponding record in the "DTSSuprovod" structure.
Recognize as having lost its force the Order of the Head of the Commission dated 19.01.2016 No. 8 "On Approval of the Description of Sections and Schemes of XML Files of the Electronic Form of Administrative Data of Securities Traders" (with amendments).
The Department of Information Technologies shall ensure the publication of this Order on the official website of the National Commission for Securities and Stock Market.
This Order is a separate normative and technical document.
This Order enters into force on October 1, 2025.
Control over the implementation of this Order shall be entrusted to a member of the National Commission for Securities and Stock Market, Yu. Shapoval.

Head of the Commission Ruslan MAGOMEDOV

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 Part

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 (hereinafter – the Commission), approved by the Decision of the National Commission for Securities and Stock Market dated 08.05.2012 No. 646 (with amendments) (hereinafter – Reference System and Classifiers);
Regulation on the Procedure for Preparation and Submission of 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 Commission dated 25.09.2012 No. 1283, registered in the Ministry of Justice of Ukraine on 16.10.2012 under No. 1737/22049 (with amendments).

1.2. General Description

The electronic form of reporting data of investment firms (hereinafter – Data) is prepared in the form of XML 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, quarterly) 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 apply to 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 schema, expressed using the XSD schema – 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 schema 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 used specification 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 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 a name, the first four characters of which take the value "row_" – specialized information strings submitted within containers similarly to information strings, but performing a certain special function;
(optionally) Financial Reporting data block with a name starting with "Fin" ("Fin*"), for data subjects other than banks within the root element of monthly data for the month of March for annual and interim financial reporting within the root element of quarterly data. The structure and composition of the data block are established by a separate normative and technical document regarding the structure and composition of financial reporting and, accordingly, are determined by a separate XSD schema "FinRep.xsd".

The root element contains requisites identifying the data subject and the reporting period, namely:

No.	XML Attribute	Purpose
1.	D_EDRPOU	Identification code by the Unified State Register of Legal Entities, Individual Entrepreneurs and Public Formations of the data subject
2.	D_NAME	Name of the data subject
3.	STD	Start date of the reporting period
4.	FID	End date 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 data subject: "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 indicated as dateTime in the XSD specification schema, 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 data subject. The information string of this element contains the following requisites:

No.	XML Attribute	Purpose
1.	ISPDAT	Date of completion
2.	VIPRAV	List of corrections and justification of corrected Data
3.	TAG	Notes

2. Irregular Data

When submitting irregular data, the specification identifier has the value:
"http://nssmc.gov.ua/Schem/IrregTrds"

The XSD schema of irregular data "IrregTrds.xsd" is provided in Appendix 1.

Irregular data include the following XML content containers:

No.	XML Element	Purpose
1.	DTSNREGAGR	Reference on executed or terminated contract(s) with financial instruments by the investment firm outside the organized market
2.	DTSSUSPIC	Data on the conclusion of contract(s), including "suspicious" 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 executed or terminated contract(s) with financial instruments by the investment firm outside the organized market

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.	XML Attribute	Purpose
1.	AGRCAT	Type of contract¹
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. is 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.	AGRSUSP	Contract sign: "1" – "suspicious" contract, "0" – contract is not "suspicious"
8.	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
9.	CTYPE	Type of contract, for the execution of which contract 1, 2 is concluded
10.	AGRNUMN	Contract number, for the execution of which contract 2 is concluded
11.	AGRDATE	Date of conclusion of the contract, for the execution of which contract 2 is concluded
12.	AGRPERFDATE	Date of execution of the contract, for the execution of which contract 2 is concluded
13.	AGRNUMRZ	Client order number (filled when referring to a contract on a master contract)²
14.	ZAMBRDS	Date of provision/receipt of client order (filled when referring to a contract on a master contract)²
15.	ZAMBRDF	Date of execution of client order (filled when referring to a contract on a master contract)²
16.	ACTIVTYPE	Type of activity of the investment firm³
17.	CONTRTYPE	Type of client/counterparty of the investment firm⁴
18.	CONTRACT	Type of professional activity carried out by the client/counterparty of the investment firm⁵, ¹⁶
19.	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)⁶, ¹⁶
20.	OSEDRPOU	Code by the Unified State Register of Legal Entities, Individual Entrepreneurs and Public Formations of the client/counterparty of the investment firm – legal entity – resident¹⁶
21.	OSNAME	Name of the client/counterparty of the investment firm – legal entity¹⁶
22.	OKODNEREZ	Registration number according to the commercial, banking or court register or register of a local authority of a foreign state regarding the registration of a legal entity – client/counterparty of the investment firm – non-resident¹⁶
23.	OSEDRISI	Code of the Unified State Register of Investment Funds of the unit investment fund, corporate investment fund, on whose behalf the asset management company – client/counterparty of the investment firm acts¹⁶
24.	PIFNAME	Name of the unit investment fund, corporate investment fund, on whose behalf the asset management company – client/counterparty of the investment firm acts¹⁶
25.	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 notified the relevant controlling body and have a mark in the passport) – physical person – client/counterparty of the investment firm¹⁶
26.	OS_F	Surname of the physical person – client/counterparty of the investment firm¹⁶
27.	OS_I	Name of the physical person – client/counterparty of the investment firm¹⁶
28.	OS_O	Patronymic of the physical person – client/counterparty of the investment firm (if available)¹⁶
29.	OCOUNTRY	Country of registration of the client/counterparty of the investment firm⁷, ¹⁶
30.	FININSTR	Type of financial instrument that is the object of civil rights under the contract⁸
31.	ISIN	International Securities Identification Number or code of another financial instrument
32.	VSERIA	Series of the promissory note
33.	VNUM	Number of the promissory note
34.	VDATE	Date of issue of the promissory note
35.	VENDDATE	Date of redemption of the promissory note
36.	VFORM	Form of settlement for the promissory note: "1" – cash, "2" – non-cash
37.	VPERFORM	Type of transfer of the simple promissory note: "1" – blank endorsement, "2" – named
38.	MARKETTYPE	Type of market⁹
39.	MARKETTYPEOPER	Types of markets by the nature of operations¹⁰
40.	VSUM	Sum of the promissory note
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 instrument¹¹
44.	KEPEDRPOU	Code by the Unified State Register of Legal Entities, Individual Entrepreneurs and Public Formations 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" – drawer, "3" – pledgor
47.	EMEDRPOU	Code by the Unified State Register of Legal Entities, Individual Entrepreneurs and Public Formations of the person who placed/issued the security or another financial instrument
48.	EMKODNEREZ	Registration number according to the commercial, banking or court register or register of a local authority of a foreign state regarding 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 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 notified the relevant controlling body and have a mark in the passport) – physical person – client/counterparty of the securities trader
50.	EMMITNAME	Name of the person (Full Name 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 security⁷
53.	KLIENTTYPE	Type of client of the investment firm, on whose behalf the contract for execution is concluded⁴, ¹⁶
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)⁶, ¹⁶
55.	TEDRPOU	Code by the Unified State Register of Legal Entities, Individual Entrepreneurs and Public Formations of the client of the investment firm, on whose behalf the contract for execution is concluded – legal entity – resident¹⁶
56.	TNAME	Name of the client of the investment firm, on whose behalf the contract for execution is concluded – legal entity¹⁶
57.	TKODNEREZ	Registration number according to the commercial, banking or court register or register of a local authority of a foreign state regarding the registration of a legal entity – client of the investment firm, on whose behalf the contract for execution is concluded – non-resident¹⁶
58.	TEDRISI	Code of the Unified State Register of Investment Funds of the unit investment fund, corporate investment fund, on whose behalf the asset management company – client of the investment firm, on whose behalf the contract for execution is concluded, acts¹⁶
59.	T_PIFNAME	Name of the unit investment fund, corporate investment fund, on whose behalf the asset management company – client of the investment firm, on whose behalf the contract for execution is concluded, acts¹⁶
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 notified the relevant controlling body and have a mark in the passport) – physical person – client of the investment firm, on whose behalf the contract for execution is concluded¹⁶
61.	T_F	Surname of the physical person – client of the investment firm, on whose behalf the contract for execution is concluded¹⁶
62.	T_I	Name of the physical person – client of the investment firm, on whose behalf the contract for execution is concluded¹⁶
63.	T_O	Patronymic of the physical person – client of the investment firm, on whose behalf the contract for execution is concluded (if available)¹⁶
64.	TCOUNTRY	Country of registration of the client of the investment firm, on whose behalf the contract for execution is concluded⁷, ¹⁶
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)¹²
68.	CODEVALC	Type of currency when concluding the contract¹¹
69.	CMP_BK	Percentage difference of the price of the security under the contract from the last calculated over the last 12 months of the stock exchange rate on the stock exchange¹⁴
70.	CMP_EP	Percentage difference of the price of the security under the contract from the last calculated over the last 12 months of the closing price of the trading day on the stock exchange¹⁵
71.	FINISHSUM	Sum of the executed contract (UAH)¹³
72.	CODEVALF	Type of currency when executing the contract¹¹
73.	KOMIS	Sum of commission fee (UAH)¹³
74.	KOMISCODEVAL	Commission fee (type of currency)¹¹
75.	FAVOURTAPE	Type of service provided by the investment firm: "1" – purchase, "2" – sale, "3" – swap, "4" – loan
76.	MOVTYPE	Type of event under the contract: "1" – credit, "2" – debit
77.	MOVBALD	Date of credit/debit of securities to/from the balance sheet
78.	MONEYDATE	Date of credit/debit of monetary funds
79.	DOGAGR	Presence of additional contracts that make changes to the main contract: "1" – yes, "2" – no
80.	CALCTYPE	Settlements under the contract for financial instruments are carried out through the investment firm: "1" – yes, "2" – no
81.	Z_PRYM	Notes

¹ Filled in accordance with Reference 15 "Types of Contracts in the Activity of Trading Financial Instruments" of the Reference System and Classifiers. ² Requisites of contracts related to the contract for which information is disclosed are indicated if they exist. ³ Filled in accordance with Reference 13 "Types of Professional Activities in Capital Markets – Activity of Trading Financial Instruments" of the Reference System and Classifiers. ⁴ Filled in accordance with Reference 37 "Types of Depositors, Clients" of the Reference System and Classifiers. ⁵ Filled in accordance with Reference 12 "Types of Professional Activities in Capital Markets and Organized Commodity Markets" of the Reference System and Classifiers. ⁶ Filled in accordance with Reference 13 "Types of Professional Activities in Capital Markets – Activity of Trading Financial Instruments" 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 Filled in accordance with Reference 8 "Types of Markets" of the Reference System and Classifiers. ¹⁰ Filled in accordance with Reference 9 "Types of Markets by the Nature of Operations" of the Reference System and Classifiers. ¹¹ Filled in accordance with Reference 46 "List and Codes of Currencies" of the Reference System and Classifiers. ¹² For operations in foreign currency, the sum – equivalent in UAH at the official UAH exchange rate to foreign currencies established by the National Bank of Ukraine on the day of conclusion is filled. ¹³ For operations in foreign currency, the sum – equivalent in UAH at the official UAH exchange rate is filled. ¹⁴ Filled regarding listed securities and securities used for calculating the stock exchange index, if the contract(s) is/are "suspicious". ¹⁵ Filled regarding unlisted securities, if the contract(s) is/are "suspicious". ¹⁶ 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. Data on the conclusion of contract(s), including "suspicious" contract(s), with financial instruments by the investment firm outside the organized market

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.	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 contract⁵
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.	AGRSUSP	Contract sign: "1" – "suspicious" contract, "0" – contract is not "suspicious"
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 contract 5, 6 is concluded
9.	AGRNUMN	Contract number, for the execution of which contract 6 is concluded
10.	AGRDATE	Date of conclusion of the contract, for the execution of which contract 6 is concluded
11.	AGRPERFDATE	Date of execution of the contract, for the execution of which contract 6 is concluded

AGRNUMRZ Client order number (filled in when referring to the general contract)6
ZAMBRDS Date of placing/receiving the client's order (filled in when referring to the general contract)6
ZAMBRDF Execution of the client's order (filled in when referring to the general contract)6
ACTIVTYPE Type of activity of the investment firm8
CONTRTYPE Type of client/counterparty of the investment firm9
CONTRACT Type of professional activity carried out by the client/counterparty of the investment firm10, 14
CONTRACTTCP Type of professional activity in the securities market - activity in trading financial instruments carried out by the client/counterparty of the investment firm (filled in if the client/counterparty of the investment firm is an investment firm)8, 14
OSEDRPOU Code according to the Unified State Register of Legal Entities, Individual Entrepreneurs and Public Formation Organizations (EDRPOU) of the client/counterparty of the investment firm - a legal entity - resident14
OSNAME Name of the client/counterparty of the investment firm - a legal entity14
OKODNEREZ Registration number according to the commercial, banking or court register or the register of a local authority of a foreign state on the registration of a legal entity - client/counterparty of the investment firm - non-resident14
OSEDRISI Code of the EDRISI of the unit investment fund, corporate investment fund, in whose interests the asset management company - client/counterparty of the investment firm acts14
PIFNAME Name of the unit investment fund, corporate investment fund, in whose interests the asset management company - client/counterparty of the investment firm acts14
O_IDN Registration number of the taxpayer's registration card or series and passport number (for individuals who, due to their religious beliefs, refuse to accept the registration number of the taxpayer's registration card and have informed the relevant controlling body and have a mark in the passport) - a physical person - client/counterparty of the investment firm14
OS_F Surname of the physical person - client/counterparty of the investment firm14
OS_I First name of the physical person - client/counterparty of the investment firm14
OS_O Patronymic of the physical person - client/counterparty of the investment firm (if available)14
OCOUNTRY Country of registration of the client/counterparty of the investment firm7, 14
FININSTR Type of financial instrument that is the object of civil rights under the contract 1
ISIN International Securities Identification Number or code of another financial instrument
VSERIA Series of the promissory note
VNUM Number of the promissory note
VDATE Date of issue of the promissory note
VENDDATE Maturity date of the promissory note
VFORM Form of payment for the promissory note: "1" - cash, "2" - non-cash
VPERFORM Type of transfer of a simple promissory note: "1" - blank endorsement, "2" - named
MARKETTYPE Type of market11
MARKETTYPEOPER Types of markets by the nature of transactions12
VSUM Amount of the promissory note
IPSERTBORG Share of consolidated mortgage debt as of the date of registration of the issue (for mortgage participation certificates)
PREMIYA Premium (for option certificates)
CODEVAL Type of currency of the security or other financial instrument13
KEPEDRPOU Code according to the EDRPOU of the depository institution
KEPERNAME Name of the depository institution
EMMITTYPE Sign of the person who placed/issued the security or other financial instrument: "1" - issuer, "2" - drawer, "3" - pledgor
EMEDRPOU Identification code according to the EDRPOU of the person who placed/issued the security or other financial instrument, or registration number according to the commercial, banking or court register or the register of a local authority of a foreign state on the registration of a legal entity that placed/issued the security - non-resident
EM_IDN Registration number of the taxpayer's registration card or series and passport number (for individuals who, due to their religious beliefs, refuse to accept the registration number of the taxpayer's registration card and have informed the relevant controlling body and have a mark in the passport) - a physical person - client/counterparty of the securities dealer
EMMITNAME Name of the person (Full Name for a physical person) who placed/issued the security or other financial instrument
EDRISI Code of the EDRISI of the person who placed the security
EMCOUNTRY Country of registration of the person who placed/issued the security7
KLIENTTYPE Type of client of the investment firm, in whose interests the contract for execution is concluded9, 14
KLIENTACTTYPE Type of professional activity in the securities market - activity in trading financial instruments carried out by the client of the investment firm (filled in if the client of the investment firm is an investment firm)8, 14
TEDRPOU Code according to the EDRPOU of the client of the investment firm, in whose interests the contract for execution is concluded, - a legal entity - resident14
TNAME Name of the client of the investment firm, in whose interests the contract for execution is concluded, - a legal entity14
TKODNEREZ Registration number according to the commercial, banking or court register or the register of a local authority of a foreign state on the registration of a legal entity - client of the investment firm, in whose interests the contract for execution is concluded, - non-resident14
TEDRISI Code of the EDRISI of the unit investment fund, corporate investment fund, in whose interests the asset management company - client of the investment firm, in whose interests the contract for execution is concluded, acts14
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 contract for execution is concluded, acts14
T_IDN Registration number of the taxpayer's registration card or series and passport number (for individuals who, due to their religious beliefs, refuse to accept the registration number of the taxpayer's registration card and have informed the relevant controlling body and have a mark in the passport) - a physical person - client of the investment firm, in whose interests the contract for execution is concluded14
T_F Surname of the physical person - client of the investment firm, in whose interests the contract for execution is concluded14
T_I First name of the physical person - client of the investment firm, in whose interests the contract for execution is concluded14
T_O Patronymic of the physical person - client of the investment firm, in whose interests the contract for execution is concluded (if available) 14
TCOUNTRY Country of registration of the client of the securities dealer, in whose interests the contract for execution is concluded7, 14
PAPSC Quantity of securities at the time of concluding the contract (pcs)
STARTSUM Amount of the concluded contract (UAH) 2
CODEVALC Type of currency at the time of concluding the contract13
CMP_BK Percentage difference in the price of the security under the contract from the last calculated over the last 12 months of the stock exchange rate on the stock exchange 3
CMP_EP Percentage difference in the price of the security under the contract from the last calculated over the last 12 months of the closing price of the trading day on the stock exchange 4
FAVOURTAPE Type of service provided by the investment firm: "1" - purchase, "2" - sale, "3" - swap, "4" - loan
MOVTYPE Type of event under the contract: "1" - credit, "2" - debit
MOVBALD Date of crediting/debiting securities to/from the balance sheet
MONEYDATE Date of crediting/debiting funds
DOGAGR Presence of additional contracts that make changes to the main contract: "1" - yes, "2" - no
CALCTYPE Settlements under the contract for financial instruments are carried out through the investment firm: "1" - yes, "2" - no
Z_PRYM Notes

1 Fill in according to Reference Book 7 "Classification of financial and non-financial instruments" of the System of Reference Books and Classifiers. 2 For transactions in foreign currency, the amount is filled in - 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. 3 Filled in for listed securities and securities used to calculate the stock market index. 4 Filled in for unlisted securities. 5 Fill in according to Reference Book 15 "Types of contracts in the activity of trading financial instruments" of the System of Reference Books and Classifiers. 6 Specify the details of contracts related to the contract for which information is disclosed, if any. 7 Fill in according to Reference Book 45 "Classification of countries of the world" of the System of Reference Books and Classifiers. 8 Fill in according to Reference Book 13 "Types of professional activities in capital markets - activity in trading financial instruments" of the System of Reference Books and Classifiers. 9 Fill in according to Reference Book 37 "Types of depositors, clients" of the System of Reference Books and Classifiers. 10 Fill in according to Reference Book 12 "Types of professional activities in capital markets and organized commodity markets" of the System of Reference Books and Classifiers. 11 Fill in according to Reference Book 8 "Types of markets" of the System of Reference Books and Classifiers. 12 Fill in according to Reference Book 9 "Types of markets by the nature of transactions" of the System of Reference Books and Classifiers. 13 Fill in according to Reference Book 46 "List and codes of currencies" of the System of Reference Books and Classifiers.

14 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.
2.3. Certificate of persons to whom sanctions have been applied
Information rows are embedded into the XML element "DTSSANCT" and contain the following details:
No. Attribute XML Purpose

NP Sequential number
DATEPOS Date of discovery by the investment firm of a sanctioned person
DPROTYPE Data on: "1" - client; "2" - counterparty; "3" - controlled person of the client/counterparty of the investment firm - a person to whom sanctions are applied
KLIENTTYPE Data on: "1" - client; "2" - counterparty; "3" - controlled person of the client/counterparty of the investment firm - a person to whom sanctions are applied: type1
TGCOUNTRY Data on: "1" - client; "2" - counterparty; "3" - controlled person of the client/counterparty of the investment firm - a person to whom sanctions are applied: country of citizenship (for physical persons)2
TCOUNTRY Data on: "1" - client; "2" - counterparty; "3" - controlled person of the client/counterparty of the investment firm - a person to whom sanctions are applied: country of registration (except for physical persons)2
REGION Data on: "1" - client; "2" - counterparty; "3" - controlled person of the client/counterparty of the investment firm - a person to whom sanctions are applied: territory code (filled in for a legal entity - resident)3
OPF Data on: "1" - client; "2" - counterparty; "3" - controlled person of the client/counterparty of the investment firm - a person to whom sanctions are applied: organizational and legal form (for a legal entity - resident)4
TEDRPOU Data on: "1" - client; "2" - counterparty; "3" - controlled person of the client/counterparty of the investment firm - a person to whom sanctions are applied: code according to EDRPOU (for a legal entity - resident)
TKODNEREZ Data on: "1" - client; "2" - counterparty; "3" - controlled person of the client/counterparty of the investment firm - a person to whom sanctions are applied: identification code from the commercial, court or banking register of the country where the owner of the securities is officially registered (for a legal entity - non-resident)
TNAME Data on: "1" - client; "2" - counterparty; "3" - controlled person of the client/counterparty of the investment firm - a person to whom sanctions are applied: full name of the legal entity
T_IDN Data on: "1" - client; "2" - counterparty; "3" - controlled person of the client/counterparty of the investment firm - a person to whom sanctions are applied: registration number of the taxpayer's registration card (for a physical person - resident) (if available)
T_F Data on: "1" - client; "2" - counterparty; "3" - controlled person of the client/counterparty of the investment firm - a person to whom sanctions are applied: surname of the physical person
T_I Data on: "1" - client; "2" - counterparty; "3" - controlled person of the client/counterparty of the investment firm - a person to whom sanctions are applied: first name of the physical person
T_O Data on: "1" - client; "2" - counterparty; "3" - controlled person of the client/counterparty of the investment firm - a person to whom sanctions are applied: patronymic (if available) of the physical person
FININSTR Type of financial instrument5
ISIN International Securities Identification Number or code of another financial instrument
EMIT Person who placed/issued the security or other financial instrument or who is a party to a derivative contract1
OCOUNTRY Country of registration of the person who placed/issued the security or other financial instrument or who is a party to a derivative contract2
OSEDRPOU Code according to the EDRPOU of the legal entity that placed/issued the security or other financial instrument or who is a party to a derivative contract
O_IDN Registration number of the taxpayer's registration card or series (if available) and passport number (for individuals who, due to their religious beliefs, refuse to accept the registration number of the taxpayer's registration card and have informed the relevant controlling body and have a mark in the passport) of the physical person who issued the security or who is a party to a derivative contract
OS_F Surname of the physical person - who issued the security or who is a party to a derivative contract
OS_I First name of the physical person - who issued the security or who is a party to a derivative contract
OS_O Patronymic of the physical person - who issued the security or who is a party to a derivative contract (if available)
CODEVAL Data on securities or other financial instruments: currency code6
AGRNUM Data of the derivative contract: number
DATESTART Data of the derivative contract: date of conclusion
STARTSUM Data of the derivative contract: amount, UAH
VSERIA Data of the promissory note: series
VNUM Data of the promissory note: number
VDATE Data of the promissory note: date of issue
VENDDATE Data of the promissory note: maturity date
VSUM Data of the promissory note: amount, UAH
PAPSC Data on securities or other financial instruments: quantity
NOMCPF Data on securities or other financial instruments: nominal value7, UAH
ZNOMCPF Data on securities or other financial instruments: total nominal value7, UAH
DUKAZ Data on sanctions: date of the Decree8
NOMUKAZ Data on sanctions: number of the Decree, number of the appendix, number of the position8
VSANCT Data on sanctions8: type of sanction
"1" - blocking of assets; "2" - suspension of financial transactions; "3" - suspension of the performance of economic and financial obligations; "4" - suspension of the performance of economic and financial obligations (prohibition to provide loans, loans, financial assistance, guarantees; prohibition to carry out lending through the purchase of securities; prohibition to acquire securities); "5" - prevention of capital outflow beyond Ukraine; "6" - restriction of trade operations;

"7" - blocking of assets in the new edition; "8" - complete or partial prohibition of transactions regarding securities, the issuers of which are persons to whom sanctions are applied; "9" - prohibition of activity on the territory of Ukraine; "10" - other sanction.
40. ZAHID Measure applied by the investment firm in accordance with the relevant sanction9
41. DATZAHID Date of application by the investment firm of the measure in accordance with the relevant sanction
42. Z_PRYM Notes

Note.
Rows 5-16 are filled out separately for each client/counterparty/controlled person of the client/counterparty. Rows 17-37 are filled out separately for each financial instrument that is in the portfolio of the sanctioned client, the management of which is carried out by the investment firm in the interests of this client (if carried out) 1 Fill in according to Reference Book 37 "Types of depositors, clients" of the System of Reference Books and Classifiers. 2 Fill in according to Reference Book 45 "Classification of countries of the world" of the System of Reference Books and Classifiers 3 Fill in according to Reference Book 44 "List and codes of territories (regions) of Ukraine" of the System of Reference Books and Classifiers. 4 Fill in according to Reference Book 41 "Classification of organizational and legal forms of business" of the System of Reference Books and Classifiers. 5 Fill in according to Reference Book 7 "Classification of financial instruments" of the System of Reference Books and Classifiers. 6 Fill in according to Reference Book 46 "List and codes of currencies" of the System of Reference Books and Classifiers. 7 If the type of currency of the security or other financial instrument is a foreign currency, the amount is filled in - 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. 8 Specify the details of the relevant Decree of the President of Ukraine on the entry into force of the Decision of the National Security and Defense Council of Ukraine on the application of personal special economic and other restrictive measures (sanctions). 9 Specify the measures that the investment firm is obliged to take in accordance with the imposed sanction, in accordance with the legislation and normative legal acts of the National Securities and Stock Market Commission of Ukraine.
3. Monthly data
When submitting monthly data, the identifier of the specification has the value:
"http://nssmc.gov.ua/Schem/MonthTrds"
The XSD scheme of monthly data "MonthTrds.xsd" is given in Appendix 2.
The following XML content containers are included in the monthly data:
No. XML Element Purpose

DTSCOMPANY Certificate of the investment firm
DTSAGROPEN Certificates of unfulfilled client orders and contracts with financial instruments by the investment firm as of the last day of the reporting month
DTSFININSTR Certificate of financial instruments owned by the investment firm as of the last day of the month
DTSCPAPERS Certificates of financial instruments and/or funds held in the management of the investment firm as of the last day of the reporting month
DTSNMORG Certificates of investment firm standards when carrying out margin transactions (except for banks)
DTSDPRUD Content of the certificate of prudential standards of the investment firm (except for banks), certificates of source data for the calculation of: the size indicator of regulatory capital; adequacy ratio of regulatory capital, adequacy ratio of first-tier capital, financial leverage ratio and absolute liquidity ratio; the amount of capital requirement for credit risk
DTSDPRUDCR Content of certificates of calculation of the credit risk concentration ratio by counterparties: that are not banks or investment firms; that are banks or investment firms
DTSGODREP Certificate of the total volume of concluded and executed contracts with financial instruments of the investment firm for the year
DTSAGRFRN Certificate of executed contract(s) with financial instruments of foreign issuers, concluded outside Ukraine
DTSAUDIT Certificate of the audit report (for data for March)
DTSPOSL Certificate of contracts for investment consulting and/or contracts for which additional services are provided
Fin* Financial reporting

3.1. Certificate of the investment firm
Information rows are embedded into the XML element "DTSCOMPANY" and contain the following details:
No. Attribute XML Purpose

PIBKERIVNIKA Surname, first name, patronymic of the director of the investment firm or the person performing his duties
OPF Organizational and legal form1
REGION Region2
SUBREGION District
INDEX Postal index
TOWN Settlement
STREET Street, house
AP Room, apartment
PHONE Contact phone
EMAIL Electronic address
WEB Web page/website of the investment firm in the global information network Internet, on which/which the annual financial report and annual consolidated financial report together with the audit report (independent auditor's report) are published
STCAPITAL Registered size of the charter capital as of the date of preparation of the Data (UAH)
BANKNAME Name of the banking institution servicing the investment firm
ACCOUNT Current account of the investment firm opened in the banking institution servicing the investment firm
BANKMFO MFO of the banking institution servicing the investment firm
GLIADRNUM Number of the general license for carrying out currency transactions issued by the National Bank of Ukraine to non-banking financial institutions (if available)
GLICDATEST Date of issue of the general license for carrying out currency transactions issued by the National Bank of Ukraine to non-banking financial institutions (if available)
PIBBUHG Surname, first name, patronymic of the chief accountant / accountant of the investment firm
Z_PRYM Notes
1 Filled in accordance with Reference Book 41 "Classification of organizational-legal forms of business" of the System of Reference Books and Classifiers. 2 Filled in accordance with Reference Book 44 "List and codes of territories (regions) of Ukraine" of the System of Reference Books and Classifiers. 3 Series and passport number for individuals who, due to their religious beliefs, refuse to accept a taxpayer registration number card and have officially notified the relevant controlling authority and have a corresponding mark in their passport.
3.2. Certificate of unfulfilled client orders and contracts with financial instruments by an investment firm as of the last day of the reporting month
Information rows are provided for all concluded types of main contracts separately.
Information rows are embedded into the XML element «DTSAGROPEN» and contain the following requisites:
No.
XML Attribute Purpose
AGRCAT Type of contract1
DATESTART Date of concluding the contract / providing a client order prior to the general contract
DATEFIN Date of contract performance, as stipulated by the contract terms (if applicable)
AGRNUM Contract/client order number
OPERPART Part of the REPO transaction: "1" – first part of the REPO transaction, "2" – second part of the REPO transaction
CONTRTYPE Type of client/counterparty of the investment firm2
CONTRACT Type of professional activity conducted by the client/counterparty of the investment firm3
CONTRACTTCP Type of professional activity on the securities market – trading of financial instruments, conducted by the client/counterparty of the investment firm (filled if the client/counterparty is an investment firm)4, 12
OSEDRPOU Code according to EDRPOU of the client/counterparty of the investment firm – legal entity – resident12
OSNAME Name of the client/counterparty of the investment firm – legal entity12
OKODNEREZ Registration number according to the commercial, banking, or court register or the register of a local government body of a foreign state regarding the registration of a legal entity – client/counterparty of the investment firm – non-resident12
OSEDRISI Code of EDRISI of a unit investment fund, corporate investment fund, on whose behalf the asset management company acts – client/counterparty of the investment firm 12
PIRNAME Name of the unit investment fund, corporate investment fund, on whose behalf the asset management company acts – client/counterparty of the investment firm 12
OS_F Surname of the individual – client/counterparty of the investment firm12
OS_I First name of the individual – client/counterparty of the investment firm12
OS_O Patronymic of the individual – client/counterparty of the investment firm (if available) 12
O_IDN Taxpayer registration number card number or series and passport number (for individuals who, due to their religious beliefs, refuse to accept a taxpayer registration number card and have notified the relevant controlling authority and have a mark in their passport) – individual – client/counterparty of the investment firm12
OCOUNTRY Country of registration of the client/counterparty of the investment firm5, 12
ACTTCP Type of activity of the investment firm4
FININSTR Type of financial instrument that is the object of civil rights under the contract6
ISINORCFI International Securities Identification Number or code of another financial instrument
BILLSERIYA Bill series
BILLNUMBER Bill number
BILLDATE Date of issue of the bill
BILLENDDATE Maturity date of the bill
MARKETTYPE Type of market7
MARKETTYPEOPER Types of markets by nature of operations8
MARKETUGOD Conclusion of contract outside the organized market (outside the trading organizer) - "1"; on an organized market - "2"
BILLSUM Amount of the bill
IPSERTBORG Share of consolidated mortgage debt at the date of registration of the issue (for mortgage participation certificates)
OPCSERTPREMIYA Premium (for option certificates)
CURRENCYTYPE Currency type9
MARKETTYPE2 Type of market for exercising rights regarding securities10
EMIT Person who placed/issued the security or other financial instrument 2
EMITSIGN Sign of the person who placed/issued the security or other financial instrument: "1" – issuer, "2" – bill issuer, "3" – pledgor
EMEDRPOU Code according to EDRPOU of the person who placed/issued the security or other financial instrument
EM_IDN Taxpayer registration number card number or series and passport number (for individuals who, due to their religious beliefs, refuse to accept a taxpayer registration number card and have notified the relevant controlling authority and have a mark in their passport) – individual – client/counterparty of the securities trader
EMMITNAME Name of the person (Full Name for an individual) who placed/issued the security or other financial instrument
EMEDRISI Code of EDRISI of the person who issued the security
EMKODNEREZ Registration number according to the commercial, banking, or court register or the register of a local government body of a foreign state regarding the registration of a legal entity – non-resident who placed/issued the security
EMCOUNTRY Country of registration of the person who placed/issued the security 5
PAPSC Quantity of securities or financial instruments under the contract (pcs.)
XATYPE Type of client of the investment firm, on whose behalf the contract for execution was concluded2, 12
XAACTTCP Type of professional activity on the securities market – trading of financial instruments, conducted by the investment firm (filled if the client of the investment firm is an investment firm)4, 12
XAEDRPOU Code according to EDRPOU of the client of the investment firm, on whose behalf the contract for execution was concluded – legal entity – resident12
XANAME Name of the client of the investment firm, on whose behalf the contract for execution was concluded – legal entity12
XAKODNEREZ Registration number according to the commercial, banking, or court register or the register of a local government body of a foreign state regarding the registration of a legal entity – client of the investment firm, on whose behalf the contract for execution was concluded – non-resident12
XAEDRISI Code of EDRISI of a unit investment fund, corporate investment fund, on whose behalf the asset management company acts – client of the investment firm, on whose behalf the contract for execution was concluded12
XAPINAME Name of the unit investment fund, corporate investment fund, on whose behalf the asset management company acts – client of the investment firm, on whose behalf the contract for execution was concluded12
XA_IDN Taxpayer registration number card number or series and passport number (for individuals who, due to their religious beliefs, refuse to accept a taxpayer registration number card and have notified the relevant controlling authority and have a mark in their passport) – individual – client of the investment firm, on whose behalf the contract for execution was concluded12
XA_F Surname of the individual – client of the investment firm, on whose behalf the contract for execution was concluded12
XA_I First name of the individual – client of the investment firm, on whose behalf the contract for execution was concluded12
XA_O Patronymic of the individual – client of the investment firm, on whose behalf the contract for execution was concluded (if available) 12
XACOUNTRY Country of registration of the client of the investment firm, on whose behalf the contract for execution was concluded5, 12
STARTSUM Amount of the concluded contract (if available) (UAH) 11
CODEVAL Currency type 9
FAVOURTAPE Type of service provided by the investment firm: "1" – purchase, "2" – sale, "3" – exchange
CALCTYPE Settlements for contracts regarding financial instruments are carried out through the investment firm: "1" – yes, "2" – no
Z_PRYM Notes
1 Filled in accordance with Reference Book 15 "Types of contracts in activities related to trading financial instruments" of the System of Reference Books and Classifiers. 2 Filled in accordance with Reference Book 37 "Types of depositors, clients" of the System of Reference Books and Classifiers. 3 Filled in accordance with Reference Book 12 "Types of professional activities on capital markets and organized commodity markets" of the System of Reference Books and Classifiers. 4 Filled in accordance with Reference Book 13 "Types of professional activities on capital markets – trading of securities" of the System of Reference Books and Classifiers. 5 Filled in accordance with Reference Book 45 "Classification of countries of the world" of the System of Reference Books and Classifiers. 6 Filled in accordance with Reference Book 7 "Classification of financial and non-financial instruments" of the System of Reference Books and Classifiers. 7 Filled in accordance with Reference Book 8 "Types of markets" of the System of Reference Books and Classifiers.

8 Filled in accordance with Reference Book 9 "Types of markets by nature of operations" of the System of Reference Books and Classifiers. 9 Filled in accordance with Reference Book 46 "List and codes of currencies" of the System of Reference Books and Classifiers. 10 Filled in accordance with Reference Book 16 "Type of market for exercising rights regarding securities" of the System of Reference Books and Classifiers. 11 If the currency type under the contract is foreign currency, the amount – 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 is filled. 12 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.
3.3. Certificate of financial instruments held by the investment firm as of the last day of the month
Information rows are specified for each financial instrument separately.
Information rows are embedded into the XML element «DTSFININSTR» and contain the following requisites:
No.
XML Attribute Purpose

ISIN International Securities Identification Number or code of another financial instrument
FININSTR Type of financial instrument1
VSERIA Bill series
VNUM Bill number
VSUM Bill amount
VBORGCH Share of consolidated mortgage debt at the date of registration of the issue (for mortgage participation certificates)
VPREM Premium (for option certificates)
CODEVAL Currency type of the security or other financial instrument2
EMMITTYPE Sign of the person who placed/issued the security or other financial instrument: "1" – issuer, "2" – bill issuer, "3" – pledgor
EMEDRPOU Code according to EDRPOU of the person who placed/issued the security or other financial instrument
EMKODNEREZ Registration number according to the commercial, banking, or court register or the register of a local government body of a foreign state regarding the registration of a legal entity – non-resident who placed/issued the security
EM_IDN Taxpayer registration number card number or series and passport number (for individuals who, due to their religious beliefs, refuse to accept a taxpayer registration number card and have notified the relevant controlling authority and have a mark in their passport) – individual – client/counterparty of the securities trader
EMMITNAME Name of the person who placed/issued the security or other financial instrument
EMCOUNTRY Country of registration of the person who placed/issued the security or other financial instrument3
EMEDRISI Code of EDRISI of the person who placed/issued the security
PAPERCOUNT Quantity of securities/financial instruments (pcs.)
BALCPF Book value of securities or other financial instruments (UAH)
FAIRCPF Fair value of securities or other financial instruments (UAH)
Z_PRYM Notes

1 Filled in accordance with Reference Book 7 "Classification of financial and non-financial instruments" of the System of Reference Books and Classifiers. 2 Filled in accordance with Reference Book 46 "List and codes of currencies" of the System of Reference Books and Classifiers. 3 Filled in accordance with Reference Book 45 "Classification of countries of the world" of the System of Reference Books and Classifiers.
3.4. Certificate of financial instruments and/or funds held in management by the investment firm as of the last day of the reporting month
Information rows are embedded into the XML element «DTSCPAPERS» and contain the following requisites:
No.
XML Attribute Purpose

OBJECT Object of management: "1" – financial instruments, "2" – funds
FININSTR Type of financial instrument1
ISIN International Securities Identification Number or code of another financial instrument
VSERIA Bill series
VNUM Bill number
EMMITTYPE Sign of the person who placed/issued the security or other financial instrument: "1" – issuer, "2" – bill issuer, "3" – pledgor
EMEDRPOU Code according to EDRPOU of the person who placed/issued the security or other financial instrument
EM_IDN Taxpayer registration number card number or series and passport number (for individuals who, due to their religious beliefs, refuse to accept a taxpayer registration number card and have notified the relevant State Tax Service authority and have a mark in their passport) – individual – client/counterparty of the securities trader
EMMITNAME Name of the person who placed/issued the security or other financial instrument
EMCOUNTRY Country of registration of the person who placed/issued the security or other financial instrument2
EMEDRISI Code of EDRISI of the person who placed/issued the security
PAPERCOUNT Quantity of securities/financial instruments (pcs.)
MONEY Total amount of funds transferred to the management of the investment firm3
CODEVAL Currency type4
Z_PRYM Notes
1 Filled in accordance with Reference Book 7 "Classification of financial and non-financial instruments" of the System of Reference Books and Classifiers. 2 Filled in accordance with Reference Book 45 "Classification of countries of the world" of the System of Reference Books and Classifiers. 3 If funds are transferred to management in foreign currency, the amount – 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 execution is filled. 4 Filled in accordance with Reference Book 46 "List and codes of currencies" of the System of Reference Books and Classifiers.
3.5. Certificate of investment firm standards when conducting margin operations
Information rows are embedded into the XML element «DTSNMORG» and contain the following requisites:
No.
XML Attribute Purpose
DATEROZ Date of calculation of margin operation indicators
SUMZAB Amount of indebtedness of all clients to the investment firm for obligations arising from the results of the investment firm conducting margin operations on behalf of clients, for payment of guarantee collateral resulting from the investment firm conducting forward transactions on behalf of clients, other indebtedness of these clients to the investment firm resulting from other contracts concluded by the investment firm on behalf of clients (UAH)
VLCAPITAL Own capital of the investment firm (UAH)
LC_3_01 Deviation from the standard of the maximum permissible size of indebtedness of all clients to the investment firm (+, -)
LC_3_02 Maximum indebtedness of one client to the investment firm
LC_3_03 Maximum deviation from the standard of the maximum permissible size of indebtedness of one client to the investment firm (+, -)
Z_PRYM Notes
3.6. Content of the certificate of prudential standards of the investment firm (except banks), certificates of input data for the calculation of: the size indicator of regulatory capital; the adequacy standard of regulatory capital, the adequacy standard of tier 1 capital, the financial leverage coefficient, and the absolute liquidity coefficient; the amount of capital requirement for credit risk
Information rows are embedded into the XML element «DTSDPRUD» and contain requisites.
As the reporting year and reporting month for which certificates are submitted, the year and month of the reporting period specified in the root element of the general part of the data are accepted. For one date of calculation of prudential standards, the content of different certificates is provided as part of one information row. Requisites in the part of certificates that do not provide content for this date are not included in such an information row. All data specified in hryvnias are filled with rounding to two decimal places. In the case where the subject of submission is not a bank, information rows contain the following requisites:
No.
XML Attribute Purpose
DATEROZ Date on which the calculation of prudential standards was made
RRKMIN Minimum size of regulatory capital (UAH)
RZNARK Adequacy standard of regulatory capital1, %
RZNAKF Adequacy standard of tier 1 capital1, %
RZKFL Financial leverage coefficient1
RZKAL Absolute liquidity coefficient1, 2
CCRSK_NP Credit risk concentration standard for counterparties that are not banks or investment firms1, %
CCRSK_BT Credit risk concentration standard for counterparties that are banks or investment firms1, %
Z_PRYM Notes: certificate of prudential standards of the securities trader
RRK Size of regulatory capital (UAH)
RKFR Size of tier 1 capital (UAH)
RKSR Size of tier 2 capital (UAH)
FSSK Registered share capital (UAH)
RK Reserve capital (UAH)
DK Additional capital (UAH)
NRPR Undistributed profit at the beginning of the reporting year (UAH)
PR_NP Profit of the current year (if the financial result is profit) upon confirmation of its size by an auditor (audit firm) in accordance with International Standards on Auditing (UAH)
NPSK Unpaid share capital (UAH)
RMSK Withdrawn share capital (UAH)
PRDZ Overdue by more than 30 days accounts receivable (UAH)
DZD Long-term accounts receivable, including extended, the payment term of which has not arrived, UAH
DZK Short-term accounts receivable, the total extension period of which exceeds 30 days and the payment term of which has not arrived (UAH)
NA_ZV Intangible assets at residual value (UAH)
NA_KV Capital investments in intangible assets (UAH)
RPR Profit at the beginning of the reporting year, which was distributed in the reporting year, UAH
NZB Uncovered loss at the beginning of the reporting year (UAH)
PR_NZ Losses of the current year (if the financial result is a loss) (UAH)
FIP15P Financial investments in the share capital of enterprises (except private joint-stock companies, shares of which are in the stock exchange list of a stock exchange, public joint-stock companies, and financial institutions) in the case where the total amount of such investments exceeds 15% of the share capital of the institution, in the amount of such excess, UAH
FIF10 Financial investments in the share capital of financial institutions and unit investment funds in the amount of 10 percent or more of their share capital (total nominal value of the registered issue of investment certificates of a unit investment fund), UAH
BALCP Book value of securities, trade in which on stock exchanges is prohibited by Ukrainian legislation (except shares of private joint-stock companies, which according to Ukrainian legislation may be in the stock exchange list of a stock exchange), decisions of the Commission or court decisions, which are not in the stock exchange list of at least one of the stock exchanges, except for securities issued or given by central executive bodies, local executive bodies, the National Bank of Ukraine, and the State Mortgage Institution, securities issued (released) by a foreign state or the corresponding state body of a foreign state, which has an international credit rating not lower than investment grade according to the classification of an international rating agency included in the list of international rating agencies recognized by the Commission, as well as securities of international financial organizations and securities of a foreign issuer, admitted to trade at least on one of the foreign stock exchanges included in the list approved by the Commission (UAH)
BALCPSUS Book value of securities, trade in which on stock exchanges is prohibited by Ukrainian legislation (except shares of private joint-stock companies, which according to Ukrainian legislation cannot be in the stock exchange list of a stock exchange, and bills), decisions of the Commission or court decisions, as well as securities regarding which changes to the system of depository accounting of securities have been suspended or their circulation has been suspended on the basis of a court decision, decision

Commissions or orders of an authorized person of the Commission on imposing sanctions for violations in the securities market (UAH)
32. GUDVL Goodwill (UAH)
33. VLOD Bills of exchange acquired and received, if the securities of the drawer are not included in the exchange registry of at least one of the stock exchanges, and bills of exchange issued by individuals (UAH)
34. VIDPAKT Deferred tax assets (UAH)
35. VMP Expenses of future periods (UAH)
36. VNRS Contributions to unregistered share capital (UAH)
37. DCKP Capital in revaluations (UAH)
38. Z_PRYMRK Notes: reference on the source data for calculating the regulatory capital ratio
39. REQCPCR Capital requirement for credit risk (UAH)
40. REQCPOR Capital requirement for operational risk (UAH)
41. ROZFO Size of liabilities (UAH)
42. ROZVK Size of equity (UAH)
43. HILAK Value of highly liquid assets (UAH)
44. GKG Cash (UAH)
45. GKOP Funds in current accounts, as well as demand deposits and time deposits, under the terms of which funds can be returned on demand at any time in full amount, in banks, except for banks where a temporary administration has been introduced or liquidation procedures are being conducted (UAH)
46. GKOPP Funds in current accounts and demand deposits in banks, except for banks where a temporary administration has been introduced or liquidation procedures are being conducted, and income accrued on them (UAH)
47. FININVEST Current financial investments, except for current financial investments in securities that are not included in the exchange registry of at least one of the stock exchanges (including those whose trading on stock exchanges is prohibited by Ukrainian legislation), or regarding which changes to the depository accounting system have been suspended based on a court decision, a Commission decision, or other grounds established by law, or whose circulation or trading on any stock exchange has been suspended based on a court decision, a Commission decision, or other grounds established by legislation, as well as current financial investments in securities of issuers undergoing liquidation procedures, and in corporate rights in a form other than securities (UAH)
48. PZOB Current liabilities (UAH)
49. Z_PRYMKK Notes: reference on the source data for calculating the regulatory capital adequacy ratio, Tier 1 capital adequacy ratio, financial leverage ratio, and absolute liquidity ratio
50. AST1AM Value of Group I assets with a risk degree of 0 percent (K1 = 0)
51. HILSEC Government securities, securities guaranteed by the state, and income accrued on them (including securities issued by a foreign state or the corresponding state authority of a foreign state that has an international credit rating not lower than investment grade according to the classification of an international rating agency included in the list of international rating agencies recognized by the Commission) (UAH)
52. AST2AM Value of Group II assets with a risk degree of 20 percent (K2 = 0.2)

GKDP Time deposits in banks, except for banks where a temporary administration has been introduced or liquidation procedures are being conducted, and income accrued on them (UAH)
SERSEC Securities included in the exchange registry of at least one of the stock exchanges, except for the corresponding assets by the amount of which Tier 1 capital is reduced (UAH)
FILSEC Securities of a foreign issuer admitted to trading on at least one of the foreign stock exchanges included in the list approved by the Commission (UAH)
AST3AM Value of Group III assets with a risk degree of 50 percent (K3 = 0.5)
NRLSEC Securities not included in the exchange registry but included in the exchange list of at least one of the stock exchanges, except for securities of venture investment funds and the corresponding assets by the amount of which Tier 1 capital is reduced (UAH)
SERBIL Bills of exchange acquired and received, if the securities of the drawer are included in the exchange registry of at least one of the stock exchanges (UAH)
DZNK Short-term accounts receivable with a payment term not yet due (UAH)
AST4AM Value of Group IV assets with a risk degree of 100 percent (K4 = 1)
GKNA Funds in current accounts and deposits in banks where a temporary administration has been introduced or liquidation procedures are being conducted (UAH)
SELVEN Securities of venture investment funds not included in the exchange registry but included in the exchange list of at least one of the stock exchanges, except for the corresponding assets by the amount of which Tier 1 capital is reduced (UAH)
IC_NF Uncompleted capital investments, except for the corresponding assets by the amount of which Tier 1 capital is reduced (UAH)
ASETC Assets that did not fall into other asset groups, except for assets by the amount of which Tier 1 capital is reduced (UAH)
AST5AM Value of Group V assets with a risk degree of 150 percent (K5 = 1.5)
LQPSEC Securities of issuers undergoing liquidation procedures, except for the corresponding assets by the amount of which Tier 1 capital is reduced (UAH)
LQPENT Financial investments in the share capital of enterprises (except for joint-stock companies) undergoing liquidation procedures, except for the corresponding assets by the amount of which Tier 1 capital is reduced (UAH)
Z_PRYMAR Notes: reference on the source data for calculating the capital requirement for credit risk
D_NET1DY Net income amount for year 1, UAH
D_NET2DY Net income amount for year 2, UAH
D_NET3DY Net income amount for year 3, UAH
D_NETAVG Average value of positive net income, UAH
1 Specified with rounding to four decimal places.
2 Not filled in if current liabilities (UAH) equal zero.
In the event that the reporting entity is a bank, instead of information rows to explain their absence, one specialized row with the name "row_bank" is specified, which contains the following requisites:
No.
/ p
XML Attribute
Purpose
IS_BANK Bank indicator, must contain the value "1" (or "true")

3.7. Content of references on the calculation of the credit risk concentration ratio by counterparties: those that are not banks or investment firms; those that are banks or investment firms
Information rows are nested into the XML element "DTSDPRUDCR" and contain requisites.
As the reporting year and reporting month for which the references are submitted, the year and month of the reporting period specified in the root element of the general part of the data are accepted. Information is specified in a separate information row for each individual counterparty. All data specified in UAH are filled in with rounding to two decimal places. In the event that the reporting entity is not a bank, in the presence of counterparties, information rows contain the following requisites:
No.
/ p
XML Attribute
Purpose

DATEROZ Date on which prudential ratios were calculated
CPKIND Indicator of the reference on the calculation of the credit risk concentration ratio: "1" – for counterparties that are not banks or securities dealers; "2" – for counterparties that are banks or securities dealers
CP_LENAME Name of the counterparty - legal entity
CP_LIDCODE Code according to the Unified State Register of Legal Entities (EDRPOU) of the counterparty - legal entity - resident
CP_FIDCODE Registration number according to the commercial, banking, or judicial register or the register of the local authority of a foreign state regarding the registration of a legal entity - counterparty - non-resident
CP_PLNAME Surname of the individual - counterparty
CP_PFNAME First name of the individual - counterparty
CP_PPNAME Patronymic of the individual - counterparty (if available)
CP_PIDCODE Taxpayer registration card number or series and passport number (for individuals who, due to their religious beliefs, refuse to accept a taxpayer registration card number and have notified the corresponding controlling authority and have a mark in their passport) of the individual - counterparty
CPCTRY Country of registration of the counterparty 1
REGVAL Size of regulatory capital, UAH
CAPVAL Share in the share capital of the legal entity, UAH
SECVAL Securities and income accrued on them, except for government securities, securities guaranteed by the state, and income accrued on them (including securities issued by a foreign state or the corresponding state authority of a foreign state that has an international credit rating not lower than investment grade according to the classification of an international rating agency included in the list of international rating agencies recognized by the Commission), UAH
DBTVAL Accounts receivable, UAH
BNKVAL Funds in current accounts and deposits in banks, as well as income accrued on them, UAH
ASTVAL Sum of assets constituting the investment firm's claims against the counterparty, UAH
CCRSK Credit risk concentration ratio 2
, %
Z_PRYM Notes
1 Filled in according to Reference 45 "Classification of Countries of the World" of the System of References and Classifiers. 2 Specified with rounding to four decimal places.

In the event that the reporting entity is not a bank, in the absence of counterparties, instead of information rows to explain their absence, one specialized row with the name "row_no_counterparties" is specified, which contains the requisites:
No.
/ p
XML Attribute
Purpose

IS_ABSENT Indicator of the absence of counterparties, must contain the value "1" (or "true")
Z_PRYM Notes
In the event that the reporting entity is a bank, instead of information rows to explain their absence, one specialized row with the name "row_bank" is specified, which contains the requisites:
No.
/ p
XML Attribute
Purpose
IS_BANK Bank indicator, must contain the value "1" (or "true")
3.8. Reference on the total volume of concluded and executed contracts with financial instruments of the investment firm for the year
Information rows are specified for main contracts for each type of currency separately; when calculating the number of concluded and executed contracts, all contracts are taken into account; when calculating the sum of concluded contracts, the sums of all concluded contracts are taken into account; when calculating the sum of executed contracts, the sums of contracts for execution and the sums of purchase-sale contracts are taken into account. Information rows are nested into the XML element "DTSGODREP" and contain the requisites:
No.
/ p
XML Attribute Purpose
CODEVAL Type of currency 1
ST_TYPE Type of financial instrument 2
MKTYPEA Place of conclusion of contracts 3
MKTYPEX Place of execution of contracts 3
GR_01 Total number of concluded contracts in underwriting (pcs.)
GR_02 Total sum of concluded contracts in underwriting (UAH) 4
GR_03 Total number of executed contracts in underwriting (pcs.)
GR_04 Total sum of executed contracts in underwriting (UAH) 5
GR_06 Total number of concluded contracts in brokerage activity (pcs.)
GR_07 Total sum of concluded contracts in brokerage activity (UAH) 4
GR_08 Total number of executed contracts in brokerage activity (pcs.)
GR_09 Total sum of executed contracts in brokerage activity (UAH) 5
GR_10 Total number of concluded contracts in dealing activity (pcs.)
GR_11 Total sum of concluded contracts in dealing activity (UAH) 4
GR_12 Total number of executed contracts in dealing activity (pcs.)
GR_13 Total sum of executed contracts in dealing activity (UAH) 5
GRAPC Total number (total) of contracts concluded by the investment firm (pcs.)
GRAAM Total sum (total) of contracts concluded by the investment firm (UAH) 4
GRXPC Total number (total) of contracts executed by the investment firm (pcs.)
GRXAM Total sum (total) of contracts executed by the investment firm (UAH) 5
Z_PRYM Notes
1 Filled in according to Reference 46 "List and Codes of Currencies" of the System of References and Classifiers. 2 Filled in according to Reference 7 "Classification of Financial and Non-Financial Instruments" of the System of References and Classifiers. 3 Filled in according to Reference 16 "Type of Market for Conducting Transactions with Securities" of the System of References and Classifiers. 4 For operations in foreign currency, the sum is filled in - equivalent in UAH at the official exchange rate of the hryvnia to foreign currencies established by the National Bank of Ukraine on the day of conclusion. 5 For operations in foreign currency, the sum is filled in - equivalent in UAH at the official exchange rate of the hryvnia to foreign currencies established by the National Bank of Ukraine on the day of execution.
3.9. Reference on executed contract(s) with financial instruments of foreign issuers, concluded outside Ukraine
Information rows are nested into the XML element "DTSAGRFRN" and contain the requisites:
No.
/ p
XML Attribute Purpose
AGRCAT Type of contract 1
T_IDN Code according to EDRPOU of the client of the investment firm - legal entity - resident, or taxpayer registration card number, or series (if available) and passport number (for individuals who, due to their religious beliefs, refuse to accept a taxpayer registration card number and have officially notified the corresponding controlling authority and have a mark in their passport) - individual - client of the investment firm
TNAME Full name of the individual - client of the investment firm or name of the legal entity
FNAME Name of the foreign investment firm
F_IDN Registration number according to the commercial, banking, or judicial register or the register of the local authority of a foreign state regarding the registration of a foreign investment firm
FCOUNTRY Country of registration of the foreign investment firm 2
EMMITNAME Name of the person who placed/issued the security or other financial instrument
ISIN International Securities Identification Number or code of another financial instrument (if available)
CFI Code of classification of financial instruments (CFI code) (if available)
PAPFC Number of securities (financial instruments) in the execution of the contract (pcs.)
FINISHSUM Sum of the executed contract
CODEVALF Currency at the time of contract execution 3
FAVOURTAPE Type of service provided by the investment firm: "1" – purchase, "2" – sale
CALCTYPE Settlements on contracts for financial instruments are carried out through the investment firm: "1" - yes, "2" - no
Z_PRYM Notes
1 Filled in for a purchase-sale contract and a contract for execution according to Reference 15 "Types of Contracts in Financial Instrument Trading Activity" of the System of References and Classifiers. 2 Filled in according to Reference 45 "Classification of Countries of the World" of the System of References and Classifiers. 3 Filled in according to Reference 46 "List and Codes of Currencies" of the System of References and Classifiers.
3.10. Reference on the audit report (for data for March).
Information rows are nested into the XML element "DTSAUDIT" and contain the requisites:
No.
/ p
XML Attribute Purpose
AUD_EDRPU Code according to EDRPOU of the audit activity subject
AUD_PIB Name of the audit activity subject
AUD_ADDR Location of the audit activity subject
CHMB_RGNN Registration number in the Register of Auditors and Audit Activity Subjects
CHMB_RGTYPE Section of the Register of Auditors and Audit Activity Subjects (3 – audit activity subjects authorized to conduct mandatory audits of financial statements, 4 – audit activity subjects authorized to conduct mandatory audits of financial statements of enterprises of public interest
AUD_REPFID Reporting period for which the audit of financial statements was conducted – the last date of the period is specified
AUD_REPSTD Reporting period for which the audit of financial statements was conducted – the first date of the period is specified
AUD_OPIN Auditor's opinion (01 – unmodified, 02 – qualified, 03 – adverse, 04 – disclaimer of opinion)
AUD_EXPL Presence of an Explanatory Paragraph (01 – yes, 02 – no)
AUD_SVCNM Number and date of the contract for conducting the audit: Number
AUD_SVCDT Number and date of the contract for conducting the audit: Date
AUD_BEG Start date and end date of the audit: Start date
AUD_END Start date and end date of the audit: End date
AUD_DATE Date of the audit report
AUD_FEE Amount of remuneration for conducting the annual financial statement audit (UAH)
3.11. Reference on contracts for investment consulting and/or contracts under which additional services are to be provided.
Information rows are nested into the XML element "DTSPOSL" and contain the requisites:
No.
/ p
XML Attribute Purpose
POSLTAPE Type of service: "1" - investment consulting, "2" - additional services
DATESTART Date of contract conclusion
FINISHDATE Date of contract execution, provided for in the contract terms (if available)
FACTDATE Date of actual contract execution
REJECTDATE Date of contract termination
AGRNUM Contract number
KLIENTTYPE Type of investment firm client 1
CATTYPE Client category: "1" - professional, "2" - non-professional
TEDRPOU Code according to EDRPOU of the investment firm client - legal entity - resident
TNAME Name of the investment firm client - legal entity
TKODNEREZ Registration number according to the commercial, banking, or judicial register or the register of the local authority of a foreign state regarding the registration of a legal entity - client of the investment firm – non-resident
TEDRISI Code of EDRISI of the unit investment fund, corporate investment fund, on whose behalf the asset management company acts - client of the investment firm
T_PIFNAME Name of the unit investment fund, corporate investment fund, on whose behalf the asset management company acts - client of the investment firm
T_NPFNAME Name of the non-state pension fund on whose behalf the administrator acts - client of the investment firm
T_F Surname of the individual - client of the investment firm
T_I First name of the individual - client of the investment firm
T_O Patronymic of the individual - client of the investment firm (if available)
T_IDN Taxpayer registration card number or series (if available) and passport number (for individuals who, due to their religious beliefs, refuse to accept a taxpayer registration card number and have notified the corresponding controlling authority and have a mark in their passport) of the individual - client of the investment firm
TCOUNTRY Country of registration of the investment firm client 2
CTYPE Type of contract under which additional service(s) are to be provided 3
CDODTYPE Type of additional service(s) provided according to the concluded contract 4
STARTSUM Sum of the concluded contract (if available) (UAH) 5
CODEVALC Type of currency of the concluded contract 6
KOMIS Sum of all remuneration of the investment firm for the contract (UAH) 5
KOMISCODEVAL Sum of all remuneration of the investment firm for the contract (type of currency)
FACTKOMIS Sum of actual remuneration received by the investment firm (UAH) 5
RECOMEND Subject of individual recommendation(s) or additional service(s)
OPYS Short description of individual recommendation(s) or additional service(s)
Z_PRYM Notes
1 Filled in according to Reference 37 "Types of Depositors, Clients" of the System of References and Classifiers. 2 Filled in according to Reference 45 "Classification of Countries of the World" of the System of References and Classifiers. 3 Filled in according to Reference 15 "Types of Contracts in Financial Instrument Trading Activity" of the System of References and Classifiers. 4 Filled in according to Reference 55 "Additional Services that an Investment Firm May Provide to Clients" of the System of References and Classifiers.

5 If the type of currency under the contract or the currency of the commission remuneration is a foreign currency, the sum is filled in - equivalent in UAH at the official exchange rate of the hryvnia to foreign currencies established by the National Bank of Ukraine on the day of conclusion. 6 Filled in according to Reference 46 "List and Codes of Currencies" of the System of References and Classifiers.
3.12. Financial Reporting
Block of financial reporting data for reporting entities other than banks as part of monthly data for March for annual financial reporting. The structure and composition of the block are established by a separate normative and technical document on the structure and composition of financial reporting and are determined by a separate XSD schema "FinRep.xsd".
4. Quarterly Data
Submission of quarterly data is carried out by submitting monthly data for the last month of the quarter and submitting other quarterly data defined by the Regulation. Submission of quarterly data, in part of submitting monthly data for the last month of the quarter, is carried out in accordance with point 3 of the Description of sections and XML file schemas of electronic forms of reporting data of an investment firm. When submitting other quarterly data defined by the Regulation, the specification identifier has the value:
"http://nssmc.gov.ua/Schem/QwartTrds"
The XSD schema for quarterly data "QwartTrds.xsd" is provided in Appendix 3.
Quarterly data include the following XML content containers:
No.
/ p
XML Element Purpose

DTSASSETS Reference on the composition of assets of the investment firm as of the last day of the reporting quarter (except for banks)
DTSDEBT Reference on liabilities of the investment firm as of the last day of the reporting quarter (except for banks)
DTSNWORTH Reference on the components of equity of the investment firm as of the last day of the reporting quarter (except for banks)
DTSFINREZ Reference on financial results and other comprehensive income of the investment firm received during the reporting year (except for banks)
Fin* Financial reporting
4.1. Reference on the composition of assets of the investment firm in securities as of the last day of the reporting quarter (except for banks)
Information rows are nested into the XML element "DTSASSETS" and contain the requisites:
No. / p XML Attribute Purpose
1 TRCASH Cash (UAH)
2 CLBMONEY Funds of clients of the investment firm placed in current accounts in banks, except for banks where a temporary administration has been introduced, and banks being liquidated (UAH) 3 CLBLMONEY Funds of clients of the investment firm placed in current accounts in banks where a temporary administration has been introduced, or which are being liquidated (UAH) 4 TRBMONEY Other monetary funds (except for funds of clients of the investment firm), placed in current accounts in banks, except for banks where

DATEROZ Date on which prudential ratios were calculated
CPKIND Indicator of the reference on the calculation of the credit risk concentration ratio: "1" – for counterparties that are not banks or securities dealers; "2" – for counterparties that are banks or securities dealers
CP_LENAME Name of the counterparty - legal entity
CP_LIDCODE Code according to the Unified State Register of Legal Entities (EDRPOU) of the counterparty - legal entity - resident
CP_FIDCODE Registration number according to the commercial, banking, or judicial register or the register of the local authority of a foreign state regarding the registration of a legal entity - counterparty - non-resident
CP_PLNAME Surname of the individual - counterparty
CP_PFNAME First name of the individual - counterparty
CP_PPNAME Patronymic of the individual - counterparty (if available)
CP_PIDCODE Taxpayer registration card number or series and passport number (for individuals who, due to their religious beliefs, refuse to accept a taxpayer registration card number and have notified the corresponding controlling authority and have a mark in their passport) of the individual - counterparty
CPCTRY Country of registration of the counterparty 1
REGVAL Size of regulatory capital, UAH
CAPVAL Share in the share capital of the legal entity, UAH
SECVAL Securities and income accrued on them, except for government securities, securities guaranteed by the state, and income accrued on them (including securities issued by a foreign state or the corresponding state authority of a foreign state that has an international credit rating not lower than investment grade according to the classification of an international rating agency included in the list of international rating agencies recognized by the Commission), UAH
DBTVAL Accounts receivable, UAH
BNKVAL Funds in current accounts and deposits in banks, as well as income accrued on them, UAH
ASTVAL Sum of assets constituting the investment firm's claims against the counterparty, UAH
CCRSK Credit risk concentration ratio 2
, %
Z_PRYM Notes
1 Filled in according to Reference 45 "Classification of Countries of the World" of the System of References and Classifiers. 2 Specified with rounding to four decimal places.

IS_ABSENT Indicator of the absence of counterparties, must contain the value "1" (or "true")
Z_PRYM Notes
In the event that the reporting entity is a bank, instead of information rows to explain their absence, one specialized row with the name "row_bank" is specified, which contains the requisites:
No.
/ p
XML Attribute
Purpose
IS_BANK Bank indicator, must contain the value "1" (or "true")
3.8. Reference on the total volume of concluded and executed contracts with financial instruments of the investment firm for the year
Information rows are specified for main contracts for each type of currency separately; when calculating the number of concluded and executed contracts, all contracts are taken into account; when calculating the sum of concluded contracts, the sums of all concluded contracts are taken into account; when calculating the sum of executed contracts, the sums of contracts for execution and the sums of purchase-sale contracts are taken into account. Information rows are nested into the XML element "DTSGODREP" and contain the requisites:
No.
/ p
XML Attribute Purpose
CODEVAL Type of currency 1
ST_TYPE Type of financial instrument 2
MKTYPEA Place of conclusion of contracts 3
MKTYPEX Place of execution of contracts 3
GR_01 Total number of concluded contracts in underwriting (pcs.)
GR_02 Total sum of concluded contracts in underwriting (UAH) 4
GR_03 Total number of executed contracts in underwriting (pcs.)
GR_04 Total sum of executed contracts in underwriting (UAH) 5
GR_06 Total number of concluded contracts in brokerage activity (pcs.)
GR_07 Total sum of concluded contracts in brokerage activity (UAH) 4
GR_08 Total number of executed contracts in brokerage activity (pcs.)
GR_09 Total sum of executed contracts in brokerage activity (UAH) 5
GR_10 Total number of concluded contracts in dealing activity (pcs.)
GR_11 Total sum of concluded contracts in dealing activity (UAH) 4
GR_12 Total number of executed contracts in dealing activity (pcs.)
GR_13 Total sum of executed contracts in dealing activity (UAH) 5
GRAPC Total number (total) of contracts concluded by the investment firm (pcs.)
GRAAM Total sum (total) of contracts concluded by the investment firm (UAH) 4
GRXPC Total number (total) of contracts executed by the investment firm (pcs.)
GRXAM Total sum (total) of contracts executed by the investment firm (UAH) 5
Z_PRYM Notes
1 Filled in according to Reference 46 "List and Codes of Currencies" of the System of References and Classifiers. 2 Filled in according to Reference 7 "Classification of Financial and Non-Financial Instruments" of the System of References and Classifiers. 3 Filled in according to Reference 16 "Type of Market for Conducting Transactions with Securities" of the System of References and Classifiers. 4 For operations in foreign currency, the sum is filled in - equivalent in UAH at the official exchange rate of the hryvnia to foreign currencies established by the National Bank of Ukraine on the day of conclusion. 5 For operations in foreign currency, the sum is filled in - equivalent in UAH at the official exchange rate of the hryvnia to foreign currencies established by the National Bank of Ukraine on the day of execution.
3.9. Reference on executed contract(s) with financial instruments of foreign issuers, concluded outside Ukraine
Information rows are nested into the XML element "DTSAGRFRN" and contain the requisites:
No.
/ p
XML Attribute Purpose
AGRCAT Type of contract 1
T_IDN Code according to EDRPOU of the client of the investment firm - legal entity - resident, or taxpayer registration card number, or series (if available) and passport number (for individuals who, due to their religious beliefs, refuse to accept a taxpayer registration card number and have officially notified the corresponding controlling authority and have a mark in their passport) - individual - client of the investment firm
TNAME Full name of the individual - client of the investment firm or name of the legal entity
FNAME Name of the foreign investment firm
F_IDN Registration number according to the commercial, banking, or judicial register or the register of the local authority of a foreign state regarding the registration of a foreign investment firm
FCOUNTRY Country of registration of the foreign investment firm 2
EMMITNAME Name of the person who placed/issued the security or other financial instrument
ISIN International Securities Identification Number or code of another financial instrument (if available)
CFI Code of classification of financial instruments (CFI code) (if available)
PAPFC Number of securities (financial instruments) in the execution of the contract (pcs.)
FINISHSUM Sum of the executed contract
CODEVALF Currency at the time of contract execution 3
FAVOURTAPE Type of service provided by the investment firm: "1" – purchase, "2" – sale
CALCTYPE Settlements on contracts for financial instruments are carried out through the investment firm: "1" - yes, "2" - no
Z_PRYM Notes
1 Filled in for a purchase-sale contract and a contract for execution according to Reference 15 "Types of Contracts in Financial Instrument Trading Activity" of the System of References and Classifiers. 2 Filled in according to Reference 45 "Classification of Countries of the World" of the System of References and Classifiers. 3 Filled in according to Reference 46 "List and Codes of Currencies" of the System of References and Classifiers.
3.10. Reference on the audit report (for data for March).
Information rows are nested into the XML element "DTSAUDIT" and contain the requisites:
No.
/ p
XML Attribute Purpose
AUD_EDRPU Code according to EDRPOU of the audit activity subject
AUD_PIB Name of the audit activity subject
AUD_ADDR Location of the audit activity subject
CHMB_RGNN Registration number in the Register of Auditors and Audit Activity Subjects
CHMB_RGTYPE Section of the Register of Auditors and Audit Activity Subjects (3 – audit activity subjects authorized to conduct mandatory audits of financial statements, 4 – audit activity subjects authorized to conduct mandatory audits of financial statements of enterprises of public interest
AUD_REPFID Reporting period for which the audit of financial statements was conducted – the last date of the period is specified
AUD_REPSTD Reporting period for which the audit of financial statements was conducted – the first date of the period is specified
AUD_OPIN Auditor's opinion (01 – unmodified, 02 – qualified, 03 – adverse, 04 – disclaimer of opinion)
AUD_EXPL Presence of an Explanatory Paragraph (01 – yes, 02 – no)
AUD_SVCNM Number and date of the contract for conducting the audit: Number
AUD_SVCDT Number and date of the contract for conducting the audit: Date
AUD_BEG Start date and end date of the audit: Start date
AUD_END Start date and end date of the audit: End date
AUD_DATE Date of the audit report
AUD_FEE Amount of remuneration for conducting the annual financial statement audit (UAH)
3.11. Reference on contracts for investment consulting and/or contracts under which additional services are to be provided.
Information rows are nested into the XML element "DTSPOSL" and contain the requisites:
No.
/ p
XML Attribute Purpose
POSLTAPE Type of service: "1" - investment consulting, "2" - additional services
DATESTART Date of contract conclusion
FINISHDATE Date of contract execution, provided for in the contract terms (if available)
FACTDATE Date of actual contract execution
REJECTDATE Date of contract termination
AGRNUM Contract number
KLIENTTYPE Type of investment firm client 1
CATTYPE Client category: "1" - professional, "2" - non-professional
TEDRPOU Code according to EDRPOU of the investment firm client - legal entity - resident
TNAME Name of the investment firm client - legal entity
TKODNEREZ Registration number according to the commercial, banking, or judicial register or the register of the local authority of a foreign state regarding the registration of a legal entity - client of the investment firm – non-resident
TEDRISI Code of EDRISI of the unit investment fund, corporate investment fund, on whose behalf the asset management company acts - client of the investment firm
T_PIFNAME Name of the unit investment fund, corporate investment fund, on whose behalf the asset management company acts - client of the investment firm
T_NPFNAME Name of the non-state pension fund on whose behalf the administrator acts - client of the investment firm
T_F Surname of the individual - client of the investment firm
T_I First name of the individual - client of the investment firm
T_O Patronymic of the individual - client of the investment firm (if available)
T_IDN Taxpayer registration card number or series (if available) and passport number (for individuals who, due to their religious beliefs, refuse to accept a taxpayer registration card number and have notified the corresponding controlling authority and have a mark in their passport) of the individual - client of the investment firm
TCOUNTRY Country of registration of the investment firm client 2
CTYPE Type of contract under which additional service(s) are to be provided 3
CDODTYPE Type of additional service(s) provided according to the concluded contract 4
STARTSUM Sum of the concluded contract (if available) (UAH) 5
CODEVALC Type of currency of the concluded contract 6
KOMIS Sum of all remuneration of the investment firm for the contract (UAH) 5
KOMISCODEVAL Sum of all remuneration of the investment firm for the contract (type of currency)
FACTKOMIS Sum of actual remuneration received by the investment firm (UAH) 5
RECOMEND Subject of individual recommendation(s) or additional service(s)
OPYS Short description of individual recommendation(s) or additional service(s)
Z_PRYM Notes
1 Filled in according to Reference 37 "Types of Depositors, Clients" of the System of References and Classifiers. 2 Filled in according to Reference 45 "Classification of Countries of the World" of the System of References and Classifiers. 3 Filled in according to Reference 15 "Types of Contracts in Financial Instrument Trading Activity" of the System of References and Classifiers. 4 Filled in according to Reference 55 "Additional Services that an Investment Firm May Provide to Clients" of the System of References and Classifiers.

DTSASSETS Reference on the composition of assets of the investment firm as of the last day of the reporting quarter (except for banks)
DTSDEBT Reference on liabilities of the investment firm as of the last day of the reporting quarter (except for banks)
DTSNWORTH Reference on the components of equity of the investment firm as of the last day of the reporting quarter (except for banks)
DTSFINREZ Reference on financial results and other comprehensive income of the investment firm received during the reporting year (except for banks)
Fin* Financial reporting
4.1. Reference on the composition of assets of the investment firm in securities as of the last day of the reporting quarter (except for banks)
Information rows are nested into the XML element "DTSASSETS" and contain the requisites:
No. / p XML Attribute Purpose
1 TRCASH Cash (UAH)
2 CLBMONEY Funds of clients of the investment firm placed in current accounts in banks, except for banks where a temporary administration has been introduced, and banks being liquidated (UAH) 3 CLBLMONEY Funds of clients of the investment firm placed in current accounts in banks where a temporary administration has been introduced, or which are being liquidated (UAH) 4 TRBMONEY Other monetary funds (except for funds of clients of the investment firm), placed in current accounts in banks, except for banks where

introduced temporary administration, and banks being liquidated (UAH) 5 TRBLMONEY Other monetary funds (excluding funds of an investment firm), placed in current accounts in banks where temporary administration has been introduced or which are being liquidated (UAH) 6 BANKDEP Demand deposits in banks, excluding banks where temporary administration has been introduced, and banks being liquidated (UAH) 7 BANKDEP_T Demand deposits in banks where temporary administration has been introduced, or in banks being liquidated (UAH) 8 SBANKDEP Term deposits in banks, excluding banks where temporary administration has been introduced, and banks being liquidated, with a maturity of less than three months (UAH) 9 SLBANKDEP Term deposits in banks, excluding banks where temporary administration has been introduced, and banks being liquidated, with a maturity of more than three months (UAH) 10 SBANKDEP_T Term deposits in banks where temporary administration has been introduced, or in banks being liquidated (UAH) 11 DEP_INC Income accrued on funds placed in current accounts and demand deposits in banks, excluding banks where temporary administration has been introduced, and banks being liquidated (UAH) 12 DEP_INC_T Income accrued on funds placed in current accounts and demand deposits in banks where temporary administration has been introduced, or banks being liquidated (UAH) 13 DEPS_INC Income accrued on funds placed in term deposits in banks, excluding banks where temporary administration has been introduced, and banks being liquidated (UAH) 14 DEPS_INC_T Income accrued on funds placed in term deposits in banks where temporary administration has been introduced or which are being liquidated (UAH) 15 INV_GOV Investments in government securities and securities guaranteed by the state (UAH) 16 INC_GOV Income accrued on government securities and securities guaranteed by the state (UAH) 17 VECS_U Bills of exchange issued by legal entities (UAH) 18 VECS_F Bills of exchange issued by natural persons (UAH) 19 FI_PART Financial investments accounted for using the equity method of other enterprises (UAH) 20 FI_FAIRR Financial investments measured at fair value through profit or loss (UAH) 21 FI_FAIRINC Financial investments measured at fair value through other comprehensive income (UAH) 22 FI_AMORT Financial investments measured at amortized cost (UAH) 23 DEB_STR Overdue accounts receivable (UAH)1 24 DEB_PL Rolled-over accounts receivable (UAH)2 25 DEB_OTHC Other short-term (current) accounts receivable (UAH)3 26 DEB_OTHL Other long-term accounts receivable (UAH)4 27 INT_ASSETS Intangible assets at net book value (UAH) 28 NFCI_NA Unfinished capital investments in intangible assets (UAH)

29 OTH_NFCI Other unfinished capital investments (UAH) 30 FIX_ASSETS Fixed assets at net book value (UAH) 31 INV_RE Investment property (UAH) 32 F_TAX_ASSET Deferred tax assets (UAH) 33 GOODWILL Goodwill (UAH) 34 F_COSTS Prepaid expenses (UAH) 35 OTH_OASSETS Other current assets (UAH) 36 OTH_NASSETS Other non-current assets (UAH) 37 SELNASSET Non-current assets held for sale, and disposal groups (UAH) 38 ASSETSSUM Total assets (UAH)5 1 Unpaid accounts receivable, the payment term of which has expired as of the reporting date. 2 The sum of accounts receivable for which the payment term was extended to a later date. 3 The sum of accounts receivable arising in the normal course of the operating cycle or to be settled within twelve months from the reporting date. 4 The sum of accounts receivable that does not arise in the normal course of the operating cycle and will be settled after twelve months from the reporting date. 5 The total amount of all assets of the securities dealer as of the reporting date is indicated, it must equal the sum of all previous rows.
4.2. Reference on liabilities of an investment firm as of the last day
of the reporting quarter (excluding banks)
Information rows are embedded into the XML element «DTSDEBT» and contain the following attributes:
No.
/ p
XML Attribute Purpose
1 LB_CREDIT Liabilities under long-term bank loans (UAH)1 2 CURLB_CREDIT Current portion of liabilities under long-term bank loans (UAH)2 3 CURB_CREDIT Current (short-term) liabilities under bank loans (UAH)2 4 LCL_DEBT Long-term liabilities under contracts with clients and under transactions made using client funds (UAH)1 5 CURCL_DEBT_F Current (short-term) liabilities under contracts with clients and under transactions made using client funds, measured at fair value (UAH)2 6 CURCL_DEBT_A Current (short-term) liabilities under contracts with clients and under transactions made using client funds, measured at amortized cost (UAH)2 7 OTH_L_DEBT Other long-term payables (UAH)1,3 8 OTH_C_DEBT_F Other current (short-term) payables, measured at fair value (UAH)2,4 9 OTH_C_DEBT_A Other current (short-term) payables, measured at amortized cost (UAH)2,4 10 F_TAX_DUTY Deferred tax liabilities (UAH) 11 SECUREMENT Collateral (UAH) 12 F_INCOME Income of future periods (UAH) 13 OTH_DEBT Other liabilities (UAH) 14 OBLIG_SELLNA Liabilities related to non-current assets held for sale, and disposal groups (UAH) 15 SUM_DEBT Total liabilities (UAH)5 1 Long-term liabilities/long-term obligations – obligations that do not arise during the normal operating cycle or are to be settled after twelve months from the reporting date. 2 Current (short-term) liabilities/current (short-term) obligations – obligations that arise during the normal operating cycle or are to be settled within twelve months from the reporting date.

3 The sum of long-term payables is indicated, excluding liabilities under long-term bank loans and long-term liabilities under contracts with clients and under transactions made using client funds. 4 The sum of current (short-term) payables is indicated, excluding current (short-term) liabilities under bank loans (including the current portion of liabilities under long-term bank loans) and current (short-term) liabilities under contracts with clients and under transactions made using client funds. 5 The total amount of all liabilities as of the reporting date is indicated, it must equal the sum of all previous rows.
4.3. Reference on the components of equity of an investment firm as of the
last day of the reporting quarter (excluding banks) Information rows are embedded into the XML element «DTSNWORTH» and contain the following attributes:
No. / p XML Attribute Purpose

REG_SHCAP Registered share capital (UAH)
DEPTO_SHCAP Contributions to unregistered share capital (UAH)
CAPREF_RNA Capital in revaluations: revaluation of non-current assets (UAH)
CAPREF_MNA Capital in revaluations: write-down of non-current assets (UAH)1
CAPREF_RFI Capital in revaluations: revaluation of financial instruments (UAH)
CAPREF_MFI Capital in revaluations: write-down of financial instruments (UAH)1
ADDCAP_EMIN Additional capital: issue income (UAH)
ADDCAP_DEP Additional capital: capital contributed by founders in excess of
share capital (UAH)
ADDCAP_CURR Additional capital: accumulated exchange differences (UAH)2
ADDCAP_OTH Other additional capital (UAH)
REZCAP Reserve capital (UAH)
INCOME_NR Undistributed profit (UAH)
LOSS_NP Uncovered loss (UAH)1
CAP_NPAID Unpaid capital (UAH)1
EXCL_CAP Excluded capital (UAH)1
CAP_SUM Total equity (UAH)3
1 Indicated with a negative sign.
2 Indicated with a positive or negative sign.
3 The amount of equity of the securities dealer as of the reporting date is indicated, it must equal the sum of all previous rows.
4.4. Reference on financial results and other comprehensive income
of an investment firm, received during the reporting year (excluding banks) Information rows are embedded into the XML element «DTSFINREZ» and contain the following attributes:
No. / p XML Attribute Purpose
NETINCFPROD Net revenue from sales of products (goods, works, services) (UAH)
COSTOFSALES Cost of goods sold (products, goods, works, services) (UAH)1
OTHOPERINC Other operating income (UAH)
CHNGFIINC Income from changes in the value of financial instruments measured
at fair value (UAH)
CHNGNAINC Income from changes in the value of non-current assets measured at
fair value (UAH)
ADMCOST Administrative expenses (UAH)1
SELLEXPENS Selling expenses (UAH)1
OTHOPEREXP Other operating expenses (UAH)1
CHNGFICOST Expenses from changes in the value of financial instruments measured
at fair value (UAH)1
CHNGNACOST Expenses from changes in the value of non-current assets measured at
fair value (UAH)1
PART_INCOME Income from equity participation (UAH)
FIN_INCOME Financial income (UAH)
OTH_INCOME Other income (UAH)
FIN_COST Financial expenses (UAH)1
PART_COST Losses from equity participation (UAH)1
OTH_COST Other expenses (UAH)1
TXPROF_COST Expenses for income tax (UAH)1
TXPROF_INC Income from income tax (UAH)
TXSTOP_COST Profit from discontinued activities after tax (UAH)
TXSTOP_INC Loss from discontinued activities after tax (UAH)1
PUREFINREZ Net financial result (UAH)2
OTHSUMINC Other comprehensive income
1 Indicated with a negative sign.
2 The financial result received by the securities dealer from the beginning of the reporting year is displayed; indicated with a positive sign if profit is received, or with a negative sign if a loss is received; must equal the sum of all previous rows.
4.5. Financial reporting
Block of financial reporting data for reporting entities other than banks as part of quarterly data for interim financial reporting. The structure and composition of the block are established by a separate normative-technical document on the structure and composition of financial reporting and are determined by a separate XSD schema «FinRep.xsd».

Appendix 1. XSD Schema «IrregTrds» of irregular data.
No.
/ p Schema Row
1 <?xml version='1.0' encoding='windows-1251'?> 2 <schema 3 xmlns="http://www.w3.org/2001/XMLSchema" 4 xmlns:z="http://nssmc.gov.ua/Schem/IrregTrds" 5 targetNamespace="http://nssmc.gov.ua/Schem/IrregTrds" 6 elementFormDefault="qualified" 7 > 8 <simpleType name="EDRPOU"> 9 <restriction base="string"> 10 <maxLength value="12"/> 11 </restriction> 12 </simpleType> 13 <simpleType name="ISIN"> 14 <restriction base="string"> 15 <maxLength value="12"/> 16 </restriction> 17 </simpleType> 18 <simpleType name="Type100"> 19 <restriction base="string"> 20 <maxLength value="100"/> 21 </restriction> 22 </simpleType> 23 <simpleType name="Type12"> 24 <restriction base="string"> 25 <maxLength value="12"/> 26 </restriction> 27 </simpleType> 28 <simpleType name="Type254"> 29 <restriction base="string"> 30 <maxLength value="254"/> 31 </restriction> 32 </simpleType> 33 <simpleType name="Type50"> 34 <restriction base="string"> 35 <maxLength value="50"/> 36 </restriction> 37 </simpleType> 38 <simpleType name="Type10"> 39 <restriction base="string"> 40 <maxLength value="10"/> 41 </restriction> 42 </simpleType> 43 <simpleType name="Type19"> 44 <restriction base="string"> 45 <maxLength value="19"/> 46 </restriction> 47 </simpleType> 48 <simpleType name="TypeSanktOpinion"> 49 <restriction base="string"> 50 <enumeration value="1"/> 51 <enumeration value="2"/> 52 <enumeration value="3"/> 53 <enumeration value="4"/> 54 <enumeration value="5"/> 55 <enumeration value="6"/> 56 <enumeration value="7"/> 57 <enumeration value="8"/> 58 <enumeration value="9"/> 59 <enumeration value="10"/> 60 </restriction>

61 </simpleType>
62 <simpleType name="TypeOsOpinion">
63 <restriction base="string">
64 <enumeration value="1"/>
65 <enumeration value="2"/>
66 <enumeration value="3"/>
67 </restriction>
68 </simpleType>
69 <element name="root">
70 <complexType>
71 <all>
72 <element name="DTSSuprovod">
73 <complexType>
74 <sequence minOccurs="0" maxOccurs="unbounded"> 75 <element name="row" form="qualified"> 76 <complexType> 77 <attribute name="ISPDAT" type="dateTime" use="required"/> 78 <attribute name="VIPRAV" type="string" use="required"/> 79 <attribute name="TAG" type="string" use="required"/> 80 </complexType> 81 </element> 82 </sequence> 83 </complexType> 84 </element> 85 <element name="DTSNREGAGR"> 86 <complexType> 87 <sequence minOccurs="0" maxOccurs="unbounded"> 88 <element name="row" form="qualified"> 89 <complexType> 90 <attribute name="AGRCAT" type="z:Type10" use="required"/> 91 <attribute name="DATESTART" type="dateTime" use="required"/> 92 <attribute name="FINISHDATE" type="dateTime"/> 93 <attribute name="REJECTDATE" type="dateTime"/> 94 <attribute name="AGRNUM" type="z:Type100" use="required"/> 95 <attribute name="AGRTYPE" type="z:Type10"/> 96 <attribute name="AGRSUSP" type="boolean"/> 97 <attribute name="OPERPART" type="double"/> 98 <attribute name="CTYPE" type="z:Type100"/> 99 <attribute name="AGRNUMN" type="z:Type100"/> 100 <attribute name="AGRDATE" type="dateTime"/> 101 <attribute name="AGRPERFDATE" type="dateTime"/> 102 <attribute name="AGRNUMRZ" type="z:Type100"/> 103 <attribute name="ZAMBRDS" type="dateTime"/> 104 <attribute name="ZAMBRDF" type="dateTime"/> 105 <attribute name="ACTIVTYPE" type="z:Type100" use="required"/> 106 <attribute name="CONTRTYPE" type="z:Type100"/> 107 <attribute name="CONTRACT" type="z:Type100"/> 108 <attribute name="CONTRACTTCP" type="z:Type100"/> 109 <attribute name="OSEDRPOU" type="z:Type12"/> 110 <attribute name="OSNAME" type="z:Type254"/> 111 <attribute name="OKODNEREZ" type="z:Type50"/> 112 <attribute name="OSEDRISI" type="z:Type50"/> 113 <attribute name="PIFNAME" type="z:Type254"/> 114 <attribute name="O_IDN" type="z:Type254"/> 115 <attribute name="OS_F" type="z:Type254"/> 116 <attribute name="OS_I" type="z:Type254"/> 117 <attribute name="OS_O" type="z:Type254"/> 118 <attribute name="OCOUNTRY" type="z:Type100"/> 119 <attribute name="FININSTR" type="z:Type100"/> 120 <attribute name="ISIN" type="z:ISIN"/> 121 <attribute name="VSERIA" type="z:Type10"/> 122 <attribute name="VNUM" type="z:Type50"/> 123 <attribute name="VFORM" type="z:Type10"/> 124 <attribute name="VPERFORM" type="z:Type10"/> 125 <attribute name="VDATE" type="dateTime"/> 126 <attribute name="VENDDATE" type="dateTime"/> 127 <attribute name="MARKETTYPE" type="z:Type50"/> 128 <attribute name="MARKETTYPEOPER" type="z:Type50"/>

129 <attribute name="VSUM" type="double"/>
130 <attribute name="IPSERTBORG" type="double"/> 131 <attribute name="PREMIYA" type="double"/> 132 <attribute name="CODEVAL" type="z:Type100"/> 133 <attribute name="KEPEDRPOU" type="z:Type12"/> 134 <attribute name="KEPERNAME" type="z:Type254"/> 135 <attribute name="EMMITTYPE" type="z:Type50"/> 136 <attribute name="EMEDRPOU" type="z:Type12"/> 137 <attribute name="EMKODNEREZ" type="z:Type50"/> 138 <attribute name="EM_IDN" type="z:Type50"/> 139 <attribute name="EMMITNAME" type="z:Type254"/> 140 <attribute name="EDRISI" type="z:Type50"/> 141 <attribute name="EMCOUNTRY" type="z:Type100"/> 142 <attribute name="KLIENTTYPE" type="z:Type100"/> 143 <attribute name="KLIENTACTTYPE" type="z:Type100"/> 144 <attribute name="TEDRPOU" type="z:Type12"/> 145 <attribute name="TNAME" type="z:Type254"/> 146 <attribute name="TKODNEREZ" type="z:Type50"/> 147 <attribute name="TEDRISI" type="z:Type50"/> 148 <attribute name="T_PIFNAME" type="z:Type254"/> 149 <attribute name="T_IDN" type="z:Type50"/> 150 <attribute name="T_F" type="z:Type254"/> 151 <attribute name="T_I" type="z:Type254"/> 152 <attribute name="T_O" type="z:Type254"/> 153 <attribute name="TCOUNTRY" type="z:Type100"/> 154 <attribute name="PAPSC" type="double"/> 155 <attribute name="PAPFC" type="double"/> 156 <attribute name="STARTSUM" type="double"/> 157 <attribute name="CODEVALC" type="z:Type100"/> 158 <attribute name="CMP_BK" type="double"/> 159 <attribute name="CMP_EP" type="double"/> 160 <attribute name="FINISHSUM" type="double"/> 161 <attribute name="CODEVALF" type="z:Type100"/> 162 <attribute name="KOMIS" type="double"/> 163 <attribute name="KOMISCODEVAL" type="z:Type100"/> 164 <attribute name="FAVOURTAPE" type="z:Type100"/> 165 <attribute name="MOVTYPE" type="z:Type100"/> 166 <attribute name="MOVBALD" type="dateTime"/> 167 <attribute name="MONEYDATE" type="dateTime"/> 168 <attribute name="DOGAGR" type="z:Type100"/> 169 <attribute name="CALCTYPE" type="z:Type100"/> 170 <attribute name="Z_PRYM" type="z:Type254"/> 171 </complexType> 172 </element> 173 </sequence> 174 </complexType> 175 </element> 176 <element name="DTSSUSPIC"> 177 <complexType> 178 <sequence minOccurs="0" maxOccurs="unbounded"> 179 <element name="row" form="qualified"> 180 <complexType> 181 <attribute name="AGRCAT" type="z:Type10" use="required"/> 182 <attribute name="DATESTART" type="dateTime" use="required"/> 183 <attribute name="FINISHDATE" type="dateTime"/> 184 <attribute name="AGRNUM" type="z:Type100" use="required"/> 185 <attribute name="AGRTYPE" type="z:Type10"/> 186 <attribute name="AGRSUSP" type="boolean"/> 187 <attribute name="OPERPART" type="double"/> 188 <attribute name="CTYPE" type="z:Type100"/> 189 <attribute name="AGRNUMN" type="z:Type100"/> 190 <attribute name="AGRDATE" type="dateTime"/> 191 <attribute name="AGRPERFDATE" type="dateTime"/> 192 <attribute name="AGRNUMRZ" type="z:Type100"/> 193 <attribute name="ZAMBRDS" type="dateTime"/> 194 <attribute name="ZAMBRDF" type="dateTime"/> 195 <attribute name="ACTIVTYPE" type="z:Type100" use="required"/> 196 <attribute name="CONTRTYPE" type="z:Type100"/>

197 <attribute name="CONTRACT" type="z:Type100"/> 198 <attribute name="CONTRACTTCP" type="z:Type100"/> 199 <attribute name="OSEDRPOU" type="z:Type12"/> 200 <attribute name="OSNAME" type="z:Type254"/> 201 <attribute name="OKODNEREZ" type="z:Type50"/> 202 <attribute name="OSEDRISI" type="z:Type50"/> 203 <attribute name="PIFNAME" type="z:Type254"/> 204 <attribute name="O_IDN" type="z:Type254"/> 205 <attribute name="OS_F" type="z:Type254"/> 206 <attribute name="OS_I" type="z:Type254"/> 207 <attribute name="OS_O" type="z:Type254"/> 208 <attribute name="OCOUNTRY" type="z:Type100"/> 209 <attribute name="FININSTR" type="z:Type100"/> 210 <attribute name="ISIN" type="z:ISIN"/> 211 <attribute name="VSERIA" type="z:Type10"/> 212 <attribute name="VNUM" type="z:Type50"/> 213 <attribute name="VFORM" type="z:Type10"/> 214 <attribute name="VPERFORM" type="z:Type10"/> 215 <attribute name="VDATE" type="dateTime"/> 216 <attribute name="VENDDATE" type="dateTime"/> 217 <attribute name="MARKETTYPE" type="z:Type50"/> 218 <attribute name="MARKETTYPEOPER" type="z:Type50"/> 219 <attribute name="VSUM" type="double"/> 220 <attribute name="IPSERTBORG" type="double"/> 221 <attribute name="PREMIYA" type="double"/> 222 <attribute name="CODEVAL" type="z:Type100"/> 223 <attribute name="KEPEDRPOU" type="z:Type12"/> 224 <attribute name="KEPERNAME" type="z:Type254"/> 225 <attribute name="EMMITTYPE" type="z:Type50"/> 226 <attribute name="EMEDRPOU" type="z:Type12"/> 227 <attribute name="EM_IDN" type="z:Type50"/> 228 <attribute name="EMMITNAME" type="z:Type254"/> 229 <attribute name="EDRISI" type="z:Type50"/> 230 <attribute name="EMCOUNTRY" type="z:Type100"/> 231 <attribute name="KLIENTTYPE" type="z:Type100"/> 232 <attribute name="KLIENTACTTYPE" type="z:Type100"/> 233 <attribute name="TEDRPOU" type="z:Type12"/> 234 <attribute name="TNAME" type="z:Type254"/> 235 <attribute name="TKODNEREZ" type="z:Type50"/> 236 <attribute name="TEDRISI" type="z:Type50"/> 237 <attribute name="T_PIFNAME" type="z:Type254"/> 238 <attribute name="T_IDN" type="z:Type50"/> 239 <attribute name="T_F" type="z:Type254"/> 240 <attribute name="T_I" type="z:Type254"/> 241 <attribute name="T_O" type="z:Type254"/> 242 <attribute name="TCOUNTRY" type="z:Type100"/> 243 <attribute name="PAPSC" type="double"/> 244 <attribute name="STARTSUM" type="double"/> 245 <attribute name="CODEVALC" type="z:Type100"/> 246 <attribute name="CMP_BK" type="double"/> 247 <attribute name="CMP_EP" type="double"/> 248 <attribute name="FAVOURTAPE" type="z:Type100"/> 249 <attribute name="MOVTYPE" type="z:Type100"/> 250 <attribute name="MOVBALD" type="dateTime"/> 251 <attribute name="MONEYDATE" type="dateTime"/> 252 <attribute name="DOGAGR" type="z:Type100"/> 253 <attribute name="CALCTYPE" type="z:Type100"/> 254 <attribute name="Z_PRYM" type="z:Type254"/> 255 </complexType> 256 </element> 257 </sequence> 258 </complexType> 259 </element> 260 <element name="DTSSANCT"> 261 <complexType> 262 <sequence minOccurs="0" maxOccurs="unbounded"> 263 <element name="row" form="qualified">

264 <complexType>
265 <attribute name="NP" type="z:Type10"/>
266 <attribute name="DATEPOS" type="dateTime" use="required"/> 267 <attribute name="DPROTYPE" type="z:TypeOsOpinion" use="required"/> 268 <attribute name="KLIENTTYPE" type="z:Type100"/> 269 <attribute name="TGCOUNTRY" type="z:Type100"/> 270 <attribute name="TCOUNTRY" type="z:Type100"/> 271 <attribute name="REGION" type="z:Type19"/> 272 <attribute name="OPF" type="z:Type10"/> 273 <attribute name="TEDRPOU" type="z:Type12"/> 274 <attribute name="TKODNEREZ" type="z:Type50"/> 275 <attribute name="TNAME" type="z:Type254"/> 276 <attribute name="T_IDN" type="z:Type50"/> 277 <attribute name="T_F" type="z:Type254"/> 278 <attribute name="T_I" type="z:Type254"/> 279 <attribute name="T_O" type="z:Type254"/> 280 <attribute name="FININSTR" type="z:Type100"/> 281 <attribute name="ISIN" type="z:ISIN"/> 282 <attribute name="EMIT" type="z:Type254"/> 283 <attribute name="OCOUNTRY" type="z:Type100"/> 284 <attribute name="OSEDRPOU" type="z:Type12"/> 285 <attribute name="O_IDN" type="z:Type254"/> 286 <attribute name="OS_F" type="z:Type254"/> 287 <attribute name="OS_I" type="z:Type254"/> 288 <attribute name="OS_O" type="z:Type254"/> 289 <attribute name="CODEVAL" type="z:Type100"/> 290 <attribute name="AGRNUM" type="z:Type100"/> 291 <attribute name="DATESTART" type="dateTime"/> 292 <attribute name="STARTSUM" type="double"/> 293 <attribute name="VSERIA" type="z:Type10"/> 294 <attribute name="VNUM" type="z:Type50"/> 295 <attribute name="VDATE" type="dateTime"/> 296 <attribute name="VENDDATE" type="dateTime"/> 297 <attribute name="VSUM" type="double"/> 298 <attribute name="PAPSC" type="double"/> 299 <attribute name="NOMCPF" type="double"/> 300 <attribute name="ZNOMCPF" type="double"/> 301 <attribute name="DUKAZ" type="dateTime"/> 302 <attribute name="NOMUKAZ" type="z:Type50"/> 303 <attribute name="VSANCT" type="z:TypeSanktOpinion"/> 304 <attribute name="ZAHID" type="string"/> 305 <attribute name="DATZAHID" type="dateTime"/> 306 <attribute name="Z_PRYM" type="string"/> 307 </complexType> 308 </element> 309 </sequence> 310 </complexType> 311 </element> 312 </all> 313 <attribute name="D_EDRPOU" type="z:EDRPOU"/> 314 <attribute name="D_NAME" type="string"/> 315 <attribute name="STD" type="dateTime"/> 316 <attribute name="FID" type="dateTime"/> 317 <attribute name="NREG" type="string"/> 318 <attribute name="TTYPE" type="string"/> 319 </complexType> 320 </element> 321 </schema> Додаток 2. Схема XSD «MonthTrds» щомісячних даних

№
з/п Рядок схеми
1 <?xml version='1.0' encoding='windows-1251'?> 2 <schema 3 xmlns="http://www.w3.org/2001/XMLSchema" 4 xmlns:z="http://nssmc.gov.ua/Schem/MonthTrds" 5 targetNamespace="http://nssmc.gov.ua/Schem/MonthTrds" 6 elementFormDefault="qualified"> 7 <include schemaLocation="FinRep.xsd"/> 8 <simpleType name="EDRPOU"> 9 <restriction base="string"> 10 <maxLength value="12"/> 11 </restriction> 12 </simpleType> 13 <simpleType name="ISIN"> 14 <restriction base="string"> 15 <maxLength value="12"/> 16 </restriction> 17 </simpleType> 18 <simpleType name="Type100"> 19 <restriction base="string"> 20 <maxLength value="100"/> 21 </restriction> 22 </simpleType> 23 <simpleType name="Type12"> 24 <restriction base="string"> 25 <maxLength value="12"/> 26 </restriction> 27 </simpleType> 28 <simpleType name="Type254"> 29 <restriction base="string"> 30 <maxLength value="254"/> 31 </restriction> 32 </simpleType> 33 <simpleType name="Type50"> 34 <restriction base="string"> 35 <maxLength value="50"/> 36 </restriction> 37 </simpleType> 38 <simpleType name="Type200"> 39 <restriction base="string"> 40 <maxLength value="200"/> 41 </restriction> 42 </simpleType> 43 <simpleType name="Type10"> 44 <restriction base="string"> 45 <maxLength value="10"/> 46 </restriction> 47 </simpleType> 48 <simpleType name="Type19"> 49 <restriction base="string"> 50 <maxLength value="19"/> 51 </restriction> 52 </simpleType> 53 <simpleType name="money"> 54 <restriction base="decimal"> 55 <fractionDigits value="2"/> 56 </restriction> 57 </simpleType> 58 <simpleType name="TypeAuditOpinion"> 59 <restriction base="string"> 60 <enumeration value="01"/> 61 <enumeration value="02"/> 62 <enumeration value="03"/> 63 <enumeration value="04"/> 64 </restriction> 65 </simpleType>

66 <simpleType name="AgrCatCodeType">
67 <restriction base="string">
68 <pattern value="[0-9]{4}"/>
69 </restriction>
70 </simpleType>
71 <simpleType name="CountryCodeType">
72 <restriction base="string">
73 <pattern value="[0-9]{3}"/>
74 </restriction>
75 </simpleType>
76 <simpleType name="CFICodeType">
77 <restriction base="string">
78 <pattern value="[A-Z]{6}"/>
79 </restriction>
80 </simpleType>
81 <simpleType name="CyCodeType">
82 <restriction base="string">
83 <pattern value="[0-9]{3}"/>
84 </restriction>
85 </simpleType>
86 <simpleType name="BuySellType">
87 <restriction base="string">
88 <enumeration value="1"/>
89 <enumeration value="2"/>
90 </restriction>
91 </simpleType>
92 <simpleType name="Yes1No2Type">
93 <restriction base="string">
94 <enumeration value="1"/>
95 <enumeration value="2"/>
96 </restriction>
97 </simpleType>
98 <simpleType name="Not1Is2BankTraderType">
99 <restriction base="string">
100 <enumeration value="1"/>
101 <enumeration value="2"/>
102 </restriction>
103 </simpleType>
104 <element name="root">
105 <complexType>
106 <all>
107 <element ref="z:Fin_sub"/>
108 <element name="DTSSuprovod">
109 <complexType>
110 <sequence minOccurs="0" maxOccurs="unbounded"> 111 <element name="row" form="qualified"> 112 <complexType> 113 <attribute name="ISPDAT" type="dateTime"/> 114 <attribute name="VIPRAV" type="string"/> 115 <attribute name="TAG" type="string"/> 116 </complexType> 117 </element> 118 </sequence> 119 </complexType> 120 </element> 121 <element name="DTSCOMPANY"> 122 <complexType> 123 <all minOccurs="1" maxOccurs="1"> 124 <element name="row" form="qualified"> 125 <complexType> 126 <attribute name="PIBBUHG" type="string"/> 127 <attribute name="PIBKERIVNIKA" type="string"/> 128 <attribute name="OPF" type="z:Type10"/> 129 <attribute name="REGION" type="z:Type19"/> 130 <attribute name="SUBREGION" type="z:Type100"/> 131 <attribute name="INDEX" type="z:Type12"/> 132 <attribute name="TOWN" type="z:Type100"/> 133 <attribute name="STREET" type="z:Type200"/>

134 <attribute name="AP" type="z:Type50"/>
135 <attribute name="PHONE" type="z:Type50"/>
136 <attribute name="EMAIL" type="z:Type254"/> 137 <attribute name="WEB" type="z:Type254"/> 138 <attribute name="STCAPITAL" type="double"/> 139 <attribute name="BANKNAME" type="z:Type254"/> 140 <attribute name="ACCOUNT" type="z:Type50"/> 141 <attribute name="BANKMFO" type="z:Type50"/> 142 <attribute name="GLIADRNUM" type="z:Type254"/> 143 <attribute name="GLICDATEST" type="dateTime"/> 144 <attribute name="Z_PRYM" type="string"/> 145 </complexType> 146 </element> 147 </all> 148 </complexType> 149 </element> 150 <element name="DTSNMORG"> 151 <complexType> 152 <sequence minOccurs="0" maxOccurs="unbounded"> 153 <element name="row" form="qualified"> 154 <complexType> 155 <attribute name="DATEROZ" type="dateTime"/> 156 <attribute name="SUMZAB" type="double"/> 157 <attribute name="VLCAPITAL" type="double"/> 158 <attribute name="LC_3_01" type="double"/> 159 <attribute name="LC_3_02" type="double"/> 160 <attribute name="LC_3_03" type="double"/> 161 <attribute name="Z_PRYM" type="string"/> 162 </complexType> 163 </element> 164 </sequence> 165 </complexType> 166 </element> 167 <element name="DTSDPRUD"> 168 <complexType> 169 <choice> 170 <sequence minOccurs="0" maxOccurs="unbounded"> 171 <element name="row" form="qualified"> 172 <complexType> 173 <attribute name="DATEROZ" type="date" 174 use="required"/> 175 <attribute name="RRKMIN" type="z:money"/> 176 <attribute name="RZNARK" type="double"/> 177 <attribute name="RZNAKF" type="double"/> 178 <attribute name="RZKFL" type="double"/> 179 <attribute name="RZKAL" type="double"/> 180 <attribute name="CCRSK_NP" type="double"/> 181 <attribute name="CCRSK_BT" type="double"/> 182 <attribute name="Z_PRYM" type="string"/> 183 <attribute name="RRK" type="z:money"/> 184 <attribute name="RKFR" type="z:money"/> 185 <attribute name="RKSR" type="z:money"/> 186 <attribute name="FSSK" type="z:money"/> 187 <attribute name="RK" type="z:money"/> 188 <attribute name="DK" type="z:money"/> 189 <attribute name="NRPR" type="z:money"/> 190 <attribute name="PR_NP" type="z:money"/> 191 <attribute name="NPSK" type="z:money"/> 192 <attribute name="RMSK" type="z:money"/> 193 <attribute name="PRDZ" type="z:money"/> 194 <attribute name="DZD" type="z:money"/> 195 <attribute name="DZK" type="z:money"/> 196 <attribute name="NA_ZV" type="z:money"/> 197 <attribute name="NA_KV" type="z:money"/> 198 <attribute name="RPR" type="z:money"/> 199 <attribute name="NZB" type="z:money"/> 200 <attribute name="PR_NZ" type="z:money"/> 201 <attribute name="FIP15P" type="z:money"/>

202 <attribute name="FIF10" type="z:money"/>
203 <attribute name="BALCP" type="z:money"/>
204 <attribute name="BALCPSUS" type="z:money"/> 205 <attribute name="GUDVL" type="z:money"/> 206 <attribute name="VLOD" type="z:money"/> 207 <attribute name="VIDPAKT" type="z:money"/> 208 <attribute name="VMP" type="z:money"/> 209 <attribute name="VNRSK" type="z:money"/> 210 <attribute name="DCKP" type="z:money"/> 211 <attribute name="Z_PRYMRK" type="string"/> 212 <attribute name="REQCPCR" type="z:money"/> 213 <attribute name="REQCPOR" type="z:money"/> 214 <attribute name="ROZFO" type="z:money"/> 215 <attribute name="ROZVK" type="z:money"/> 216 <attribute name="HILAK" type="z:money"/> 217 <attribute name="GKG" type="z:money"/> 218 <attribute name="GKOP" type="z:money"/> 219 <attribute name="GKOPP" type="z:money"/> 220 <attribute name="FININVEST" type="z:money"/> 221 <attribute name="PZOB" type="z:money"/> 222 <attribute name="Z_PRYMKK" type="string"/> 223 <attribute name="AST1AM" type="z:money"/> 224 <attribute name="HILSEC" type="z:money"/> 225 <attribute name="AST2AM" type="z:money"/> 226 <attribute name="GKDP" type="z:money"/> 227 <attribute name="SERSEC" type="z:money"/> 228 <attribute name="FILSEC" type="z:money"/> 229 <attribute name="AST3AM" type="z:money"/> 230 <attribute name="NRLSEC" type="z:money"/> 231 <attribute name="SERBIL" type="z:money"/> 232 <attribute name="DZNK" type="z:money"/> 233 <attribute name="AST4AM" type="z:money"/> 234 <attribute name="GKNA" type="z:money"/> 235 <attribute name="SELVEN" type="z:money"/> 236 <attribute name="IC_NF" type="z:money"/> 237 <attribute name="ASETC" type="z:money"/> 238 <attribute name="AST5AM" type="z:money"/> 239 <attribute name="LQPSEC" type="z:money"/> 240 <attribute name="LQPENT" type="z:money"/> 241 <attribute name="Z_PRYMAR" type="string"/> 242 <attribute name="D_NET1DY" type="z:money"/> 243 <attribute name="D_NET2DY" type="z:money"/> 244 <attribute name="D_NET3DY" type="z:money"/> 245 <attribute name="D_NETAVG" type="z:money"/> 246 </complexType> 247 </element> 248 </sequence> 249 <element name="row_bank" form="qualified"> 250 <complexType> 251 <attribute name="IS_BANK" type="boolean" 252 use="required" fixed="true"/> 253 </complexType> 254 </element> 255 </choice> 256 </complexType> 257 <unique name="DPRUD-DATEROZ"> 258 <selector xpath="z:row"/> 259 <field xpath="@DATEROZ"/> 260 </unique> 261 </element> 262 <element name="DTSDPRUDCR"> 263 <complexType> 264 <choice> 265 <sequence minOccurs="0" maxOccurs="unbounded"> 266 <element name="row" form="qualified"> 267 <complexType> 268 <attribute name="DATEROZ" type="date" 269 use="required"/>

270 <attribute name="CPKIND" use="required"
271 type="z:Not1Is2BankTraderType"/>
272 <attribute name="CP_LENAME" type="z:Type254"/> 273 <attribute name="CP_LIDCODE" type="z:EDRPOU"/> 274 <attribute name="CP_FIDCODE" type="z:Type50"/> 275 <attribute name="CP_PLNAME" type="z:Type100"/> 276 <attribute name="CP_PFNAME" type="z:Type100"/> 277 <attribute name="CP_PPNAME" type="z:Type100"/> 278 <attribute name="CP_PIDCODE" type="z:Type10"/> 279 <attribute name="CPCTRY" type="z:Type10"/> 280 <attribute name="REGVAL" type="z:money"/> 281 <attribute name="CAPVAL" type="z:money"/> 282 <attribute name="SECVAL" type="z:money"/> 283 <attribute name="DBTVAL" type="z:money"/> 284 <attribute name="BNKVAL" type="z:money"/> 285 <attribute name="ASTVAL" type="z:money"/> 286 <attribute name="CCRSK" type="double"/> 287 <attribute name="Z_PRYM" type="string"/> 288 </complexType> 289 </element> 290 </sequence> 291 <element name="row_no_counterparties" form="qualified"> 292 <complexType> 293 <attribute name="IS_ABSENT" type="boolean" 294 use="required" fixed="true"/> 295 <attribute name="Z_PRYM" type="string" use="required"/> 296 </complexType> 297 </element> 298 <element name="row_bank" form="qualified"> 299 <complexType> 300 <attribute name="IS_BANK" type="boolean" 301 use="required" fixed="true"/> 302 </complexType> 303 </element> 304 </choice> 305 </complexType> 306 </element> 307 <element name="DTSGODREP"> 308 <complexType> 309 <sequence minOccurs="0" maxOccurs="unbounded"> 310 <element name="row" form="qualified"> 311 <complexType> 312 <attribute name="CODEVAL" type="z:Type10"/> 313 <attribute name="ST_TYPE" type="z:Type10"/> 314 <attribute name="MKTYPEA" type="z:Type10"/> 315 <attribute name="MKTYPEX" type="z:Type10"/> 316 <attribute name="GR_01" type="double"/> 317 <attribute name="GR_02" type="double"/> 318 <attribute name="GR_03" type="double"/> 319 <attribute name="GR_04" type="double"/> 320 <attribute name="GR_06" type="double"/> 321 <attribute name="GR_07" type="double"/> 322 <attribute name="GR_08" type="double"/> 323 <attribute name="GR_09" type="double"/> 324 <attribute name="GR_10" type="double"/> 325 <attribute name="GR_11" type="double"/> 326 <attribute name="GR_12" type="double"/> 327 <attribute name="GR_13" type="double"/> 328 <attribute name="GRAPC" type="double"/> 329 <attribute name="GRAAM" type="double"/> 330 <attribute name="GRXPC" type="double"/> 331 <attribute name="GRXAM" type="double"/> 332 <attribute name="Z_PRYM" type="string"/> 333 </complexType> 334 </element> 335 </sequence> 336 </complexType> 337 </element>

338 <element name="DTSFININSTR">
339 <complexType>
340 <sequence minOccurs="0" maxOccurs="unbounded"> 341 <element name="row" form="qualified"> 342 <complexType> 343 <attribute name="ISIN" type="z:ISIN"/> 344 <attribute name="FININSTR" type="z:Type10"/> 345 <attribute name="VSERIA" type="z:Type10"/> 346 <attribute name="VNUM" type="z:Type50"/> 347 <attribute name="VSUM" type="double"/> 348 <attribute name="VBORGCH" type="double"/> 349 <attribute name="VPREM" type="double"/> 350 <attribute name="CODEVAL" type="z:Type10"/> 351 <attribute name="EMMITTYPE" type="z:Type10"/> 352 <attribute name="EMEDRPOU" type="z:EDRPOU"/> 353 <attribute name="EMKODNEREZ" type="z:Type50"/> 354 <attribute name="EM_IDN" type="z:Type50"/> 355 <attribute name="EMMITNAME" type="string"/> 356 <attribute name="EMCOUNTRY" type="z:Type10"/> 357 <attribute name="EMEDRISI" type="z:Type10"/> 358 <attribute name="PAPERCOUNT" type="double"/> 359 <attribute name="BALCPF" type="z:money"/> 360 <attribute name="FAIRCPF" type="z:money"/> 361 <attribute name="Z_PRYM" type="string"/> 362 </complexType> 363 </element> 364 </sequence> 365 </complexType> 366 </element> 367 <element name="DTSCPAPERS"> 368 <complexType> 369 <sequence minOccurs="0" maxOccurs="unbounded"> 370 <element name="row" form="qualified"> 371 <complexType> 372 <attribute name="OBJECT" type="z:Type10"/> 373 <attribute name="FININSTR" type="z:Type10"/> 374 <attribute name="ISIN" type="z:ISIN"/> 375 <attribute name="VSERIA" type="z:Type10"/> 376 <attribute name="VNUM" type="z:Type50"/> 377 <attribute name="EMMITTYPE" type="z:Type10"/> 378 <attribute name="EMEDRPOU" type="z:EDRPOU"/> 379 <attribute name="EM_IDN" type="z:Type50"/> 380 <attribute name="EMMITNAME" type="string"/> 381 <attribute name="EMCOUNTRY" type="z:Type10"/> 382 <attribute name="EMEDRISI" type="z:Type10"/> 383 <attribute name="PAPERCOUNT" type="double"/> 384 <attribute name="MONEY" type="double"/> 385 <attribute name="CODEVAL" type="z:Type10"/> 386 <attribute name="Z_PRYM" type="string"/> 387 </complexType> 388 </element> 389 </sequence> 390 </complexType> 391 </element> 392 <element name="DTSAGROPEN"> 393 <complexType> 394 <sequence minOccurs="0" maxOccurs="unbounded"> 395 <element name="row" form="qualified"> 396 <complexType> 397 <attribute name="AGRCAT" type="z:Type10"/> 398 <attribute name="DATESTART" type="dateTime"/> 399 <attribute name="DATEFIN" type="dateTime"/> 400 <attribute name="AGRNUM" type="z:Type100"/> 401 <attribute name="OPERPART" type="z:Type10"/> 402 <attribute name="CONTRTYPE" type="z:Type10"/> 403 <attribute name="CONTRACT" type="z:Type10"/> 404 <attribute name="CONTRACTTCP" type="z:Type10"/> 405 <attribute name="OSEDRPOU" type="z:EDRPOU"/>

406 <attribute name="OSNAME" type="string"/>
407 <attribute name="OKODNEREZ" type="z:Type50"/> 408 <attribute name="OSEDRISI" type="z:Type50"/> 409 <attribute name="PIRNAME" type="string"/> 410 <attribute name="OS_F" type="z:Type254"/> 411 <attribute name="OS_I" type="z:Type254"/> 412 <attribute name="OS_O" type="z:Type254"/> 413 <attribute name="O_IDN" type="z:Type254"/> 414 <attribute name="OCOUNTRY" type="z:Type10"/> 415 <attribute name="ACTTCP" type="z:Type10"/> 416 <attribute name="FININSTR" type="z:Type10"/> 417 <attribute name="ISINORCFI" type="z:Type254"/> 418 <attribute name="BILLSERIYA" type="z:Type10"/> 419 <attribute name="BILLNUMBER" type="z:Type50"/> 420 <attribute name="BILLDATE" type="dateTime"/> 421 <attribute name="BILLENDDATE" type="dateTime"/> 422 <attribute name="MARKETTYPE" type="z:Type10"/> 423 <attribute name="MARKETTYPEOPER" type="z:Type10"/> 424 <attribute name="BILLSUM" type="double"/> 425 <attribute name="IPSERTBORG" type="double"/> 426 <attribute name="OPCSERTPREMIYA" type="double"/> 427 <attribute name="CURRENCYTYPE" type="z:Type10"/> 428 <attribute name="MARKETTYPE2" type="z:Type10"/> 429 <attribute name="EMIT" type="z:Type254"/> 430 <attribute name="EMITSIGN" type="z:Type10"/> 431 <attribute name="EMEDRPOU" type="z:EDRPOU"/> 432 <attribute name="EM_IDN" type="z:Type50"/> 433 <attribute name="EMMITNAME" type="string"/> 434 <attribute name="EMEDRISI" type="z:Type10"/> 435 <attribute name="EMKODNEREZ" type="z:Type50"/> 436 <attribute name="EMCOUNTRY" type="z:Type10"/> 437 <attribute name="PAPSC" type="double"/> 438 <attribute name="XATYPE" type="z:Type10"/> 439 <attribute name="XAACTTCP" type="z:Type10"/> 440 <attribute name="XAEDRPOU" type="z:EDRPOU"/> 441 <attribute name="XANAME" type="string"/> 442 <attribute name="XAKODNEREZ" type="z:Type50"/> 443 <attribute name="XAEDRISI" type="z:Type50"/> 444 <attribute name="XAPINAME" type="string"/> 445 <attribute name="XA_IDN" type="z:Type254"/> 446 <attribute name="XA_F" type="z:Type254"/> 447 <attribute name="XA_I" type="z:Type254"/> 448 <attribute name="XA_O" type="z:Type254"/> 449 <attribute name="XACOUNTRY" type="z:Type10"/> 450 <attribute name="STARTSUM" type="double"/> 451 <attribute name="CODEVAL" type="z:Type10"/> 452 <attribute name="FAVOURTAPE" type="z:Type10"/> 453 <attribute name="CALCTYPE" type="z:Type10"/> 454 <attribute name="MARKETUGOD" type="z:Type10"/> 455 <attribute name="Z_PRYM" type="string"/> 456 </complexType> 457 </element> 458 </sequence> 459 </complexType> 460 </element> 461 <element name="DTSAGRFRN"> 462 <complexType> 463 <sequence minOccurs="0" maxOccurs="unbounded"> 464 <element name="row" form="qualified"> 465 <complexType> 466 <attribute name="AGRCAT" type="z:AgrCatCodeType" use="required"/> 467 <attribute name="T_IDN" type="z:Type50" use="required"/> 468 <attribute name="TNAME" type="z:Type254" use="required"/> 469 <attribute name="FNAME" type="z:Type254" use="required"/> 470 <attribute name="F_IDN" type="z:Type50" use="required"/> 471 <attribute name="FCOUNTRY" type="z:CountryCodeType" use="required"/> 472 <attribute name="EMMITNAME" type="z:Type254" use="required"/>

473 <attribute name="ISIN" type="z:ISIN"/>
474 <attribute name="CFI" type="z:CFICodeType"/> 475 <attribute name="PAPFC" type="double" use="required"/> 476 <attribute name="FINISHSUM" type="z:money" use="required"/> 477 <attribute name="CODEVALF" type="z:CyCodeType" use="required"/> 478 <attribute name="FAVOURTAPE" type="z:BuySellType" use="required"/> 479 <attribute name="CALCTYPE" type="z:Yes1No2Type" use="required"/> 480 <attribute name="Z_PRYM" type="string"/> 481 </complexType> 482 </element> 483 </sequence> 484 </complexType> 485 </element> 486 <element name="DTSAUDIT"> 487 <complexType> 488 <all minOccurs="0" maxOccurs="1"> 489 <element name="row" form="qualified"> 490 <complexType> 491 <attribute name="AUD_EDRP" type="z:EDRPOU"/> 492 <attribute name="AUD_PIB" type="string"/> 493 <attribute name="AUD_ADDR" type="string"/> 494 <attribute name="CHMB_RGNN" type="z:Type50"/> 495 <attribute name="CHMB_RGTYPE" type="z:Type50"/> 496 <attribute name="AUD_REPFID" type="date"/> 497 <attribute name="AUD_REPSTD" type="date"/> 498 <attribute name="AUD_BEG" type="date"/> 499 <attribute name="AUD_END" type="date"/> 500 <attribute name="AUD_DATE" type="date"/> 501 <attribute name="AUD_OPIN" type="z:TypeAuditOpinion"/> 502 <attribute name="AUD_EXPL" type="string"/> 503 <attribute name="AUD_SVCNM" type="z:Type50"/> 504 <attribute name="AUD_SVCDT" type="date"/> 505 <attribute name="AUD_FEE" type="z:money"/> 506 </complexType> 507 </element> 508 </all> 509 </complexType> 510 </element> 511 <element name="DTSPOSL"> 512 <complexType> 513 <sequence minOccurs="0" maxOccurs="unbounded"> 514 <element name="row" form="qualified"> 515 <complexType> 516 <attribute name="POSLTAPE" type="z:Yes1No2Type" use="required"/> 517 <attribute name="DATESTART" type="dateTime" use="required"/> 518 <attribute name="FINISHDATE" type="dateTime"/> 519 <attribute name="FACTDATE" type="dateTime"/> 520 <attribute name="REJECTDATE" type="z:Type50"/> 521 <attribute name="AGRNUM" type="z:Type100" use="required"/> 522 <attribute name="KLIENTTYPE" type="z:Type100"/> 523 <attribute name="CATTYPE" type="z:Yes1No2Type" use="required"/> 524 <attribute name="TEDRPOU" type="z:Type12"/> 525 <attribute name="TNAME" type="z:Type254"/> 526 <attribute name="TKODNEREZ" type="z:Type50"/> 527 <attribute name="TEDRISI" type="z:Type50"/> 528 <attribute name="T_PIFNAME" type="z:Type254"/> 529 <attribute name="T_NPFNAME" type="z:Type254"/> 530 <attribute name="T_F" type="z:Type254"/> 531 <attribute name="T_I" type="z:Type254"/> 532 <attribute name="T_O" type="z:Type254"/> 533 <attribute name="T_IDN" type="z:Type50"/> 534 <attribute name="TCOUNTRY" type="z:Type100"/> 535 <attribute name="CTYPE" type="z:Type100"/> 536 <attribute name="CDODTYPE" type="z:Type100"/>

537 <attribute name="STARTSUM" type="double"/> 538 <attribute name="CODEVALC" type="z:Type100"/> 539 <attribute name="KOMIS" type="double"/> 540 <attribute name="KOMISCODEVAL" type="z:Type100"/> 541 <attribute name="FACTKOMIS" type="double"/> 542 <attribute name="RECOMEND" type="string"/> 543 <attribute name="OPYS" type="string"/> 544 <attribute name="Z_PRYM" type="string"/> 545 </complexType> 546 </element> 547 </sequence> 548 </complexType> 549 </element> 550 </all> 551 <attribute name="D_EDRPOU" type="z:EDRPOU"/> 552 <attribute name="D_NAME" type="string"/> 553 <attribute name="STD" type="dateTime"/> 554 <attribute name="FID" type="dateTime"/> 555 <attribute name="NREG" type="string"/> 556 <attribute name="TTYPE" type="string"/> 557 </complexType> 558 </element> 559 </schema>

Додаток 3. Схема XSD «QwartTrds» щоквартальних даних № зп Рядок схеми

<?xml version='1.0' encoding='windows-1251'?>
<schema
xmlns="http://www.w3.org/2001/XMLSchema"
xmlns:z="http://nssmc.gov.ua/Schem/QwartTrds"
targetNamespace="http://nssmc.gov.ua/Schem/QwartTrds"
elementFormDefault="qualified">
<include schemaLocation="FinRep.xsd"/>
<simpleType name="EDRPOU">
<restriction base="string">
<maxLength value="12"/>
</restriction>
</simpleType>
<simpleType name="money">
<restriction base="decimal">
<fractionDigits value="2"/>
</restriction>
</simpleType>
<simpleType name="Not1Is2BankTraderType">
<restriction base="string">
<enumeration value="1"/>
<enumeration value="2"/>
</restriction>
</simpleType>
<element name="root">
<complexType>
<all>
<element ref="z:Fin_sub"/>
<element name="DTSSuprovod">
<complexType>
<sequence minOccurs="0" maxOccurs="unbounded">
<element name="row" form="qualified">
<complexType>
<attribute name="ISPDAT" type="dateTime"/>
<attribute name="VIPRAV" type="string"/>
<attribute name="TAG" type="string"/>
</complexType>
</element>
</sequence>
</complexType>
</element>
<element name="DTSASSETS">
<complexType>
<all minOccurs="0" maxOccurs="1">
<element name="row" form="qualified">
<complexType>
<attribute name="TRCASH" type="z:money"/>
<attribute name="CLBMONEY" type="z:money"/>
<attribute name="CLBLMONEY" type="z:money"/>
<attribute name="TRBMONEY" type="z:money"/>
<attribute name="TRBLMONEY" type="z:money"/>
<attribute name="BANKDEP" type="z:money"/>
<attribute name="BANKDEP_T" type="z:money"/>
<attribute name="SBANKDEP" type="z:money"/>
<attribute name="SLBANKDEP" type="z:money"/>
<attribute name="SBANKDEP_T" type="z:money"/>
<attribute name="DEP_INC" type="z:money"/>
<attribute name="DEP_INC_T" type="z:money"/>
<attribute name="DEPS_INC" type="z:money"/>
<attribute name="DEPS_INC_T" type="z:money"/>
<attribute name="INV_GOV" type="z:money"/>
<attribute name="INC_GOV" type="z:money"/>
<attribute name="VECS_U" type="z:money"/>
<attribute name="VECS_F" type="z:money"/>
<attribute name="FI_PART" type="z:money"/>
<attribute name="FI_FAIRR" type="z:money"/>
<attribute name="FI_FAIRINC" type="z:money"/>
<attribute name="FI_AMORT" type="z:money"/>
<attribute name="DEB_STR" type="z:money"/>
<attribute name="DEB_PL" type="z:money"/>
<attribute name="DEB_OTHC" type="z:money"/>
<attribute name="DEB_OTHL" type="z:money"/>
<attribute name="INT_ASSETS" type="z:money"/>
<attribute name="NFCI_NA" type="z:money"/>
<attribute name="OTH_NFCI" type="z:money"/>
<attribute name="FIX_ASSETS" type="z:money"/>
<attribute name="INV_RE" type="z:money"/>
<attribute name="F_TAX_ASSET" type="z:money"/>
<attribute name="GOODWILL" type="z:money"/>
<attribute name="F_COSTS" type="z:money"/>
<attribute name="OTH_OASSETS" type="z:money"/>
<attribute name="OTH_NASSETS" type="z:money"/>
<attribute name="SELNASSET" type="z:money"/>
<attribute name="ASSETSSUM" type="z:money"/>
</complexType>
</element>
</all>
</complexType>
</element>
<element name="DTSDEBT">
<complexType>
<all minOccurs="0" maxOccurs="1">
<element name="row" form="qualified">
<complexType>
<attribute name="LB_CREDIT" type="z:money"/>
<attribute name="CURLB_CREDIT" type="z:money"/>
<attribute name="CURB_CREDIT" type="z:money"/>
<attribute name="LCL_DEBT" type="z:money"/>
<attribute name="CURCL_DEBT_F" type="z:money"/>
<attribute name="CURCL_DEBT_A" type="z:money"/>
<attribute name="OTH_L_DEBT" type="z:money"/>
<attribute name="OTH_C_DEBT_F" type="z:money"/>
<attribute name="OTH_C_DEBT_A" type="z:money"/>
<attribute name="F_TAX_DUTY" type="z:money"/>
<attribute name="SECUREMENT" type="z:money"/>
<attribute name="F_INCOM" type="z:money"/>
<attribute name="OTH_DEBT" type="z:money"/>
<attribute name="OBLIG_SELLNA" type="z:money"/>
<attribute name="SUM_DEBT" type="z:money"/>
</complexType>
</element>
</all>
</complexType>
</element>
<element name="DTSNWORTH">
<complexType>
<all minOccurs="0" maxOccurs="1">
<element name="row" form="qualified">
<complexType>
<attribute name="REG_SHCAP" type="z:money"/>
<attribute name="DEPTO_SHCAP" type="z:money"/>
<attribute name="CAPREF_RNA" type="z:money"/>
<attribute name="CAPREF_MNA" type="z:money"/>
<attribute name="CAPREF_RFI" type="z:money"/>
<attribute name="CAPREF_MFI" type="z:money"/>
<attribute name="ADDCAP_EMINC" type="z:money"/>
<attribute name="ADDCAP_DEP" type="z:money"/>
<attribute name="ADDCAP_CURR" type="z:money"/>
<attribute name="ADDCAP_OTH" type="z:money"/>
<attribute name="REZCAP" type="z:money"/>
<attribute name="INCOME_NR" type="z:money"/>
<attribute name="LOSS_NP" type="z:money"/>

<attribute name="CAP_NPAID" type="z:money"/>
<attribute name="EXCL_CAP" type="z:money"/>
<attribute name="CAP_SUM" type="z:money"/>
</complexType>
</element>
</all>
</complexType>
</element>
<element name="DTSFINREZ">
<complexType>
<all minOccurs="0" maxOccurs="1">
<element name="row" form="qualified">
<complexType>
<attribute name="NETINCFPROD" type="z:money"/>
<attribute name="COSTOFSALES" type="z:money"/>
<attribute name="OTHOPERINC" type="z:money"/>
<attribute name="CHNGFIINC" type="z:money"/>
<attribute name="CHNGNAINC" type="z:money"/>
<attribute name="ADMCOST" type="z:money"/>
<attribute name="SELLEXPENS" type="z:money"/>
<attribute name="OTHOPEREXP" type="z:money"/>
<attribute name="CHNGFICOST" type="z:money"/>
<attribute name="CHNGNACOST" type="z:money"/>
<attribute name="PART_INCOME" type="z:money"/>
<attribute name="FIN_INCOME" type="z:money"/>
<attribute name="OTH_INCOME" type="z:money"/>
<attribute name="FIN_COST" type="z:money"/>
<attribute name="PART_COST" type="z:money"/>
<attribute name="OTH_COST" type="z:money"/>
<attribute name="TXPROF_COST" type="z:money"/>
<attribute name="TXPROF_INC" type="z:money"/>
<attribute name="TXSTOP_COST" type="z:money"/>
<attribute name="TXSTOP_INC" type="z:money"/>
<attribute name="PUREFINREZ" type="z:money"/>
<attribute name="OTHSUMINC" type="z:money"/>
</complexType>
</element>
</all>
</complexType>
</element>
</all>
<attribute name="D_EDRPOU" type="z:EDRPOU"/>
<attribute name="D_NAME" type="string"/>
<attribute name="STD" type="dateTime"/>
<attribute name="FID" type="dateTime"/>
<attribute name="NREG" type="string"/>
<attribute name="TTYPE" type="string"/>
</complexType>
</element>
</schema>

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