Development Co-operation Project 348/2016
,,Strengthening the institutional and operational capacities of the National Securities and Stock Market Commission of Ukraine”
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The publication expresses exclusively the views of the author and cannot be identified with the official stance of the Ministry of Foreign Affairs of the Republic of Poland.

In regard to all Project materials, displayed on this website of the Development Co-operation Project 348/2016, all copyrights are reserved for the Polish Financial Supervision Authority.

Any dissemination, copying, duplication, multiplexing, recording, public using, displaying, reproducing, lending, modification of the materials, in whole or in part, is forbidden.

The content of the Project materials and publications has been developed by the employees of the Polish Financial Supervision Authority.

The Project materials can be used by the employees of the National Securities and Stock Market Commission of Ukraine and other entitled public administration bodies of Ukraine solely in line with the aim and assumptions of the Development Co-operation Project No 348/2016 “Strengthening the institutional and operational capacities of the National Securities and Stock Market Commission of Ukraine.”

Numer działania Działanie Termin realizacji
1Reporting on transactions and other forms of information transmission to the capital market supervision institutions with the aim to support the supervision of trading activity on organized markets. Legal basis for reporting included in EU legislation. International cooperation of supervisory institutions in the framework of the supervision of trading activity on organized markets. Supervision over the activities of foreign entities not established in the EU, having transactions within the EU with the use of instruments supervised by the native capital supervision. Information and reporting duties of issuers, investors, supervisory institutions, investment firms and entities organising trade arising in connection with the conclusion of transactions.17-21 October 2016
2Reporting obligations of issuers and their shareholders.4-6 October 2016
3Acquisitions and mergers on the capital market.5-7 July 2016
4Practical aspects of crime detection on the capital market.27-30 September 2016
5Organizational requirements for investment firms under MiFID II (compliance, internal audit, internal control, outsourcing). Requirements for employees of investment firms, intermediaries - tied agents, ESMA / European Commission. The requirements for the standard of services in the light of MiFID II (CoB) - incentives, conflicts of interest, consulting based on independence principle, relevance and adequacy in the light of MiFID II, ESMA / European Commission.15-17 November 2016
6System of Securities Accounting in Poland. Principles for Financial Markets Infrastructure (PFMI); the main task of the Central Securities Depository of Poland (KDPW), interaction of Central Securities Depository of Poland (KDPW) with other participants of the capital market of the Republic of Poland, in particular, with the Polish Financial Supervision Authority (KNF), the State Treasury, with the Warsaw Stock Exchange and the National Bank of Poland; the functions of the Central Securities Depository of Poland (KDPW), namely, depository and clearing and settlement functions; the main recently implemented changes in depository, clearing and settlement system of the Republic of Poland; the implementation of recommendations for securities settlement system (IOSCO CPSS) and the recommendations for central counterparties (CPSS-IOSCO) by the Central Securities Depository of Poland (KDPW).8-9 November 2016
7Technical and organizational conditions for the trading facility operators based on MiFID2 / MiFIR and the provisions of the Level 2 (implementing acts to MiFID2 / MiFIR), including: regulated markets, multilateral trading facilities (MTFs), organized trading facility (OTF) and the rules of supervisory cooperation provided by MiFID2 / MiFIR in this respect.29 November – 1 December 2016
8Compliance with corporate governance in supervised entities on the capital market. Presentation of the law and existing codes of good practice relating to corporate governance principles governing supervised entities. Principles of corporate governance for supervised institutions, issued by the Polish Financial Supervision Authority. Verification of the application of the corporate governance principles in supervised entities.13-15 September 2016
9Proceedings regarding imposing sanctions on supervised entities on the capital market (investment companies, investment fund companies, investment funds). National and EU legal regulations, methodology of sanction proceedings.8-11 August 2016
10Effective measures to combat fraud on the capital market.12-15 July 2016
11Practical rules concerning international cooperation conducted by supervisory institutions. Guidelines proposal to establish internal principles of international cooperation, including the principles of conclusion of cooperation agreements and exchange of information with foreign supervisory authorities.30-31 August 2016
12Familiarization with the problematics of the application and implementation process of assistance projects, especially long-term EU twinning projects, resulting from multiannual experiences of the Polish supervisor.27 October 2016

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The publication expresses exclusively the views of the author and cannot be identified with the official stance of the Ministry of Foreign Affairs of the Republic of Poland.
В публікації представлено виключно погляди автора і їх не можна ототожнювати з офіційною позицією Міністерства закордонних справ РП.
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