ВДЦП Річний Звіт AUSD Annual Report 2010 Зміст

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ВДЦП Річний Звіт AUSD Annual Report 2010 Зміст ВДЦП Річний звіт AUSD Annual Report 2010 Зміст Вступ . .4 Візитівка депозитарію . .7 Акціонерний капітал. .8 Баланс підприємства. .9 Звіт про фінансові результати . .12 Ліцензії . .14 Корпоративні принципи діяльності . .17 Головні події 2010 року . .19 Корпоративне управління . .23 Загальні збори акціонерів . .23 Наглядова рада . .23 Ревізійна комісія. .25 Рада Учасників . .26 Правління . .28 Організаційна структура. .28 Основні проекти депозитарію у 2010 році . .31 Взаємодія з клієнтами . .31 CONTENTS Дематеріалізація випусків акцій. .32 Обслуговування активів зберігачів, які припинили професійну діяльність . .33 ЗМІСТ Розрахунково-клірингова діяльність . .34 Інформаційні технології . .37 2 Автоматизація внутрішнього документообігу . .39 Заходи безпеки. .39 Міжнародні відносини. .40 Основні завдання на наступний рік. .42 Статистична інформація за 2010 рік. .44 Активи, що обслуговуються депозитарієм . .44 Операції, проведені депозитарієм . .47 Клієнти та партнери депозитарію . .54 AUSD ANNUAL REPORT ВДЦП РІЧНИЙ ЗВІТ 2010 Contents Executive Summary . .4 AUSD In Brief . .7 Ownership Structure . .8 Balance Sheet. .9 Profi t and Loss Statement . .12 Licenses . .14 Corporate Principles . .17 Key Events in 2010 . .19 Corporate Governance . .23 General Meeting of Shareholders. .23 Supervisory Board . .23 Auditing Committee . .25 Council of Participants . .26 Management Board . .28 Organizational Structure . .28 Depository’s Major Projects in 2010 . .31 Interaction with Customers. .31 Dematerialization of Securities Issues . .32 CONTENTS Servicing Assets of Custodians Which Suspended Their Professional Activity . .33 Clearing and Settlement. .34 ЗМІСТ Information Technologies . .37 Document-fl ow Automation . .39 3 Security Measures . .39 International Relations . .40 Main Tasks for the Following Year . .42 2010 Statistics. .44 Assets Serviced by the Depository. .44 Operations Carried Out by the Depository . .47 Clients and Partners . .54 AUSD ANNUAL REPORT ВДЦП РІЧНИЙ ЗВІТ 2010 Василь Роговий Микола Швецов Голова Наглядової ради Голова правління V. Rogovyi M. Shvetsov Chairman of the Supervisory Board Chairman of the Management Board EXECUTIVE SUMMARY Шановні Dear колеги, партнери, colleagues, partners, учасники! and participants! ВСТУП 4 Приватне акціонерне товариство “Всеукраїнський “Ukrainian Securities Depository” Joint-Stock Company депозитарій цінних паперів” (ВДЦП) є найбільшим та (hereinafter referred to as AUSD) is the largest and most найпотужнішим депозитарієм в Україні. Надійна інф- powerful clearing and settlement depository in Ukraine. Our раструктура, сучасні технології взаємодії з учасниками reliable infrastructure, modern technologies for interaction ринку, значний досвід та професіоналізм спеціалістів, with market participants, and full compliance with the чітке виконання правил та процедур депозитарного depository record-keeping rules and procedures combined обліку є запорукою надійного захисту прав власників with the vast experience and professionalism of our staff, цінних паперів. assure timely performance of depository operations and reliable protection of securities ownership. AUSD ANNUAL REPORT ВДЦП був створений у 2008 році, а у 2009 році піс- Established in 2008, AUSD began operations in 2009 ля прийняття на себе (у порядку правонаступництва) when it assumed all the rights and obligations regarding прав та обов’язків щодо здійснення обслуговування servicing of customers of “Interregional Securities Union” клієнтів відкритого акціонерного товариства “Міжрегі- Joint-Stock Company (IRSU) as the latter’s legal successor. ональний фондовий союз” (МФС) почав активно пра- In the reporting period, after the Antimonopoly Committee цювати на фондовому ринку. У звітному році процеду- of Ukraine granted the respective permit, the acquisition ру купівлі цілісного майнового комплексу МФС після of IRSU’s single property complex by AUSD was fully надання відповідного дозволу Антимонопольним ко- completed. мітетом України було повністю завершено. ВДЦП РІЧНИЙ ЗВІТ 2010 Підсумки 2010 року свідчать, що депозитарій роз- Results achieved in 2010 show that the depository is вивається динамічно, зростають обсяги як депозитар- developing steadily, the number of carried out depository, них, так і розрахунково-клірингових операцій, прихо- clearing and settlement operations is increasing, the дять нові клієнти та вдосконалюються інформаційні number of clients is growing, and the IT-infrastructure is технології. getting more sophisticated. У 2010 році відкрито 1 716 рахунків у цінних папе- In 2010, AUSD opened 1,716 securities accounts to рах емітентам та 78 рахунків зберігачам. Станом на issuers and 78 accounts to custodians. 4,910 issuers and 31 грудня 2010 року послугами ВДЦП користується 379 custodians have been using the services provided 4 910 емітентів та 379 зберігачів. У депозитарії об- by the depository, as of 31 December. AUSD services слуговуються цінні папери номінальною вартістю securities issues with their overall face value amounting to 462 млрд гривень, у тому числі UAH 462 billion, including • 6 022 випуски акцій номінальною вартістю • 6,022 issues of shares, their face value amounting to 246 млрд гривень, UAH 246 billion, • 2 057 випусків облігацій номінальною вартістю • 2,057 issues of bonds with the face value of UAH 78 78 млрд гривень, billion, • 883 випуски інвестиційних сертифікатів номі- • 883 issues of investment certifi cates with the face нальною вартістю 138 млрд гривень. value of UAH 138 billion. Протягом 2010 року продовжувалось зростання In 2010, the number and the share of transactions кількості та частки операцій, виконаних депозитарієм carried out by the depository upon information received за інформацією від фондових бірж. Переважна біль- from stock exchanges continued to grow. The vast majority шість таких операцій була проведена депозитарієм за of such operations carried out by the depository were договорами, укладеними на ринку заявок, у другому securities trades concluded on order-driven market. In the півріччі – з використанням нових для України техно- second half of the year said operations were performed логій неттінгу та грошового урегулювання угод через utilizing netting and cash settlement via UAH cash accounts відкриті зберігачам у ВДЦП рахунки у національній the depository has been opening for custodians. It is widely валюті. У порівнянні з 2009 роком кількість проведе- regarded as a ground breaking event for the Ukrainian них депозитарієм операцій за відомостями від фон- market. Compared to 2009, the number of transactions EXECUTIVE SUMMARY дових бірж зросла майже у 8 разів (з 240 тисяч до 1,8 carried out by AUSD upon trade registers received from мільйона операцій). Переважна більшість з них (97%) stock exchanges increased eightfold (from 240,000 to проведена депозитарієм за принципом поставки про- 1,800,000 transactions). The vast majority of those (97%) ти оплати з грошовим урегулюванням через депози- were settled under delivery-versus-payment mechanism ВСТУП тарій. with the cash settlement done through the depository. 5 Постійно зростаюча кількість операцій вимагала The continuous growth of operations’ quantity вдосконалення існуючих технологій обробки інфор- necessitated an upgrade of existing technologies to process мації від фондових бірж, і ВДЦП впровадив техноло- information received from stock exchanges. To this end, гію неттінгу, яка передбачає взаємозалік взаємних AUSD introduced netting which involves settlement of mutual зобов’язань щодо цінних паперів та грошових коштів. obligations in securities and cash funds on a net basis. З метою прискорення грошових розрахунків за до- With a view to accelerate cash settlement of securities говорами щодо цінних паперів депозитарій отримав trades, AUSD obtained the status of a participant of статус учасника системи електронних платежів Наці- the System of the Electronic Payments of the National онального банку України. Станом на кінець звітного Bank of Ukraine. As of the end of the reporting year, 177 AUSD ANNUAL REPORT року 177 зберігачів використовують свої рахунки у на- custodians have been using UAH cash accounts opened ціональній валюті, відкриті у ВДЦП. with AUSD. 28 квітня 2010 року відбулись річні Загальні збори The annual General Meeting of Shareholders was held акціонерів ВДЦП. on 28 April 2010. Протягом року плідно працювала Рада Учасни- 2010 was productive for the Council of Participants, ків ВДЦП, яка є важливим елементом корпоративної which is an important element of AUSD’s corporate структури ВДЦП. Рада Учасників активно впливає на structure. The Council of Participants proactively infl uences вдосконалення технологій взаємодії депозитарію з the improvement of technologies used in the depository’s ВДЦП РІЧНИЙ ЗВІТ 2010 клієнтами. interaction with its customers. У звітному році запроваджено надання консульта- In the reporting year, AUSD launched the Internet цій в мережі Internet, повідомлення емітентів засобами consultation facility, e-mail notifi cation of issuers on the stage електронної пошти про стан виконання операцій, від- of operations’ processing and opened a supplementary крито додатковий офіс для обслуговування клієнтів у offi ce located in the centre of Kyiv. As part of its public центрі Києва. В рамках інформаційно-роз’яснювальної awareness campaign, the depository held a series of кампанії ВДЦП проводив семінари на теми “Переве- workshops dedicated to such topics as dematerialization of дення випуску акцій у бездокументарну форму існу- shares, AUSD’s clearing and settlement activity, principles вання”, “Розрахунково-клірингова
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