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ПРАВИЛНИК
RULES AND REGULATIONS OF CENTRAL DEPOSITORY AD
LEGAL FRAMEWORK
Art.1. Legal framework
I. MEMBERSHIP IN THE DEPOSITORY
Art. 2. Membership Agreement
Art. 3. Membership requirements
Art. 4. General financial requirements
Art. 5. Technical requirements
Art. 6. Operational requirements
Art. 7. Arbitration
Art. 8. Application for Membership
Art. 9. Functions of the Depository Members
Art. 10. Documents required from Applicant Members
Art. 11. Required information
Art. 12. Changes in the information of Members’ data
Art. 13. Changes in the information introduced by the Central Depository
Art. 14. Investigations
Art. 15. Review of documents
Art. 16. Spot reviews
Art.17. Suspension from Performing Operations in the Depository system, Membership Suspension or Termination.
Art. 18. Termination of Membership
Art. 19. Actions upon Membership Suspension
Art. 20. Voluntary Resign
Art. 21. Re-establishment of Membership Rights after Membership Termination
Art.22 Responsibility and Obligations of the Members of Central Depository AD
Ia. APPLICATION FOR AND MEMBERSHIP OF REGISTRATION AGENT AT CENTRAL DEPOSITORY AD
Art. 22а Application for Registration Agent
Art.22b Suspension or Termination of the Activities of Registration Agent.
II. REGISTRATION OF SECURITIES
Art. 23. Registration Statement
Art. 24. Agreement between Issuer and Central Depository
Art. 25. Changes in registered issues
Art. 26. Registration and Entering of Changes
Art. 27. ISIN Coding
Art. 28. Change of ISIN Code
Art. 29. Consolidation of issues
Art. 30. Re-registration of securities accounts
Art. 31. Announcement of the changes
III. SECURITIES ACCOUNTS
Art. 32. Deposit Accounts and Securities Accounts
Art. 33. Accounts
Art. 34. Principles of Accounts Administration
Art. 35. Principles of Interpretation
IV.SETTLEMENT MANAGEMENT AND ORGANIZATION, TRANSACTION REGISTRATION
Art. 36. Depository Function
Art. 37. Delivery of Securities
Art. 38. Special Provisions
Art. 39. Actions upon Failure to Perform
Art. 40. Consecutive Determination of Position
Art. 41. Securities Settlement
Art. 42. Registration of Transactions, Sequence of Settlement
Art. 43. Forbidden Partial Delivery
Art. 44. Settlement Suspension
Art. 45. Notification
Art. 46. Funds Replenishment
V. SECURITIES OPERATIONS
Art. 47. Transfer to accounts
Art. 48. Orders for Transfers
Art. 49. Depository Functions on Financial Representation in regard to Corporate Activities of Issuers
Art. 50. Depository Functions on Non-Financial Representation in regard to Corporate Activities of Issuers
Art. 51. Shares Transformation
Art. 52. Securities Transfer
VI. ISSUANCE OF DEPOSITORY RECEIPTS
Art. 53. General Provisions
VII. REGISTERS
Art. 54. Types of Registers
Art 55. Register Entries
Art 56. Acts of Registration
VIII. GUARANTEE FUND
Art. 57. Guarantee Fund Administration
Art. 58. Periodic Reports
Art. 59. Purpose
Art. 60. Contributions to Guarantee Fund
Art. 61. Periodic Re-evaluation
Art. 62. Administration and Expenses
Art. 63. Replenishment of Deleted Fund
Art. 64. Resignation from the Fund
Art. 65. Guarantee Fund Liquidation
ІХ SANCTIONS
Art.66 Sanctions in case of delay or failure to conclude securities transactions
Х. GENERAL PROVISIONS
Art. 67. Definition of Procedures
Art. 68. Cash Settlement Regulation
Art. 69. Special Pledges Registration
Art. 70. Information Bulletin
Art. 71. Internal Control
XI. TRANSITIONAL AND CONCLUDING PROVISIONS
Art.72. Specific Privatization Procedures for Privatization Processes
Art. 73 Safekeeping of Materialized Securities
Art. 74. Entry in Force
Art. 75. The enclosures to these Rules and Regulations are indispensable part of these Rules and Regulations and shall be considered and interpreted in their mass.
ENCLOSURES TO RULES AND REGULATIONS OF CENTRAL DEPOSITORY AD
Enclosure 1(Е01) –Service Price Tariff of Central Depository AD.
Enclosure 2(E02) – Registration of securities issues and registration of changes in the register of the companies with dematerialized shares with Central Depository AD.
Enclosure 4(E04) – Legitimation and Representation Procedure
Enclosure 5(E05) – Registration Agent Activity
Enclosure 6(E06) – Procedures of Ordering Transfer of Securities from Personal Account to Client Account with an Intermediary
Enclosure 7(E07) – Processing of the Data from Investment Intermediaries for Transfer of Securities
Enclosure 9(E09) – Fulfillment of Applications from Investment intermediary/Registration Agent for printing of depository receipts (DR)
Enclosure 10(E10) – Procedures of Allocation of Depository Receipts
Enclosure 11 (E11) – Technological Procedure for Communication with the Information System of the CD AD
Enclosure 12 (E12) – Procedure for Levying of Distresses, Establishment of Pledges and Other Encumbrances on Securities Registered with CD AD
Enclosure 13 (E13) – Rules on the Organization and Use of the Guarantee Settlement Fund
Enclosure 14 (E14) – Procedure for Initial Public Offering of Securities via BSE-Sofia
Enclosure 15(E15) – Procedure in Case of Repurchase of Shares
Enclosure 16 (E16) – Procedure in the Case of Transformation of a Client/Issuer Registered within CD AD
Enclosure 17(E17) – Registration and Settlement for Issues of Registered Compensatory Notes under the Ownership and Use of Agricultural Land Act and for Compensatory Instruments /CI/ under the Transactions with Compensatory Instruments Act /TCIA/
Enclosure 18 (E18) – Registration and Transactions with Compensatory Instruments
Enclosure 19 (E19) – Procedure for Authorization of the Investment Intermediaries in the Communication System of CD AD through Smart Cards and Digital Certificates, Encrypting and File Signing
Enclosure 20(П20) – Registration of issues of rights and listing of shares for rights
Enclosure 21(E21) – Identification of foreign persons holding securities with a trustee
Enclosure 23(E23)- Completion of Transactions with Securities through Gross Settlement System in Real Time
Enclosure 24(E24) – Effecting payments with dematerialized securities
Enclosure 25(E25) – Regulating the payments between the investment intermediaries and their clients
Enclosure 26(E26) – Registration of deals with compensatory instruments, concluded out of regulated market
Enclosure 27(E27) – Procedure for performance of matured payments on bond issues and allocation of dividends on issues of shares
Enclosure 28(E28) – Transfer of Business Enterprise
Enclosures 29(E29) – Registration of issue of shares of mutual funds
Enclosure 30(E30) – Registration and transaction of securities for which special terms and restrictions shall apply in regard to their transfer.
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