Regulation on the Procedure for Storing Reports of the Crypto-Exchange

I. GENERAL PROVISIONS

1.1. This Regulation on the procedure for storing crypto-exchange reports (hereinafter referred to as the Regulation) has been developed in accordance with the Rules for trading crypto-assets on a crypto-exchange, approved by Order No. 33 of the Director of the National Agency for Prospective Projects of the Republic of Uzbekistan dated July 18, 2022, and registered by the Ministry of Justice of the Republic of Uzbekistan on August 15, 2022 (registration No. 3379). 

1.2. This Regulation defines the procedure for storing reports prepared by the crypto-exchange, the conditions for access thereto, as well as measures to ensure the security and confidentiality of the information contained in such reports.

1.3. This Regulation uses the terms and definitions established by the Rules for trading crypto-assets on a crypto-exchange. 

1.4. This Regulation applies to all reports generated by the crypto-exchange in the course of carrying out its activities in accordance with the Rules for trading crypto-assets on a crypto-exchange. 

II. TYPES OF REPORTS SUBJECT TO STORAGE

2.1. The crypto-exchange shall ensure the storage of the following types of reports:

2.1.1. Daily reports for each trading participant on completed transactions involving the purchase, sale and/or exchange of crypto-assets and the amount of such transactions, as well as on executed and unexecuted orders for the purchase, sale and/or exchange of crypto-assets, prepared in accordance with paragraph 25 of the Rules for trading crypto-assets on a crypto-exchange. 

2.1.2. Reports on violations of legislation and of the Rules for trading crypto-assets on a crypto-exchange identified by the crypto-exchange in accordance with paragraph 4 of the said Rules. 

2.1.3. Backup copies of all data on transactions (operations) carried out by clients, created at the end of each day in accordance with paragraph 3 of the Rules for trading crypto-assets on a crypto-exchange. [

2.1.4. Audio and/or video recordings of negotiations with clients, and records of correspondence, made with the consent of clients in accordance with paragraph 12 of the Rules for trading crypto-assets on a crypto-exchange. 

2.1.5. Information on transactions for which clearing is performed, and on the results of clearing, in accordance with paragraph 40 of the Rules for trading crypto-assets on a crypto-exchange. 

2.1.6. Documents and information obtained during client identification in accordance with paragraph 13 of the Rules for trading crypto-assets on a crypto-exchange. 

2.2. All reports shall be prepared and stored in electronic form with mandatory creation of backup copies. Depending on the type of report and the requirements of the legislation, additional storage of reports on paper media may also be provided for.

III. REPORT RETENTION PERIODS

3.1. The following report retention periods shall apply:

3.1.1. Daily reports for each trading participant on completed transactions — for at least 5 (five) years from the date of preparation in accordance with paragraph 25 of the Rules for trading crypto-assets on a crypto-exchange. 

3.1.2. Reports on violations of legislation and of the Rules for trading crypto-assets on a crypto-exchange — for at least 5 (five) years from the date such fact is identified in accordance with paragraph 4 of the said Rules. 

3.1.3. Backup copies of all data on transactions (operations) carried out by clients — for at least 5 (five) years from the date the backup copy is created.

3.1.4. Audio and/or video recordings of negotiations with clients, and records of correspondence — for at least 5 (five) years from the date of recording in accordance with paragraph 12 of the Rules for trading crypto-assets on a crypto-exchange. 

3.1.5. Information on transactions for which clearing is performed, and on the results of clearing — for at least 5 (five) years from the date settlement under the transaction is completed.

3.1.6. Documents and information obtained during client identification — for at least 5 (five) years from the date termination of relations with the client.

3.2. Upon expiration of the storage period, reports may be destroyed in the manner established by this Regulation, unless otherwise provided by the legislation of the Republic of Uzbekistan.

IV. PROCEDURE FOR GENERATING AND STORING REPORTS

4.1. Daily reports for each trading participant shall be generated automatically on the crypto-exchange’s electronic platform at the end of each day.

4.2. Each report shall be assigned a unique code for its identification in accordance with paragraph 25 of the Rules for trading crypto-assets on a crypto-exchange. 

4.3. No corrections or amendments to reports shall be allowed after their generation in accordance with paragraph 25 of the Rules for trading crypto-assets on a crypto-exchange. 

4.4. Electronic reports shall be stored:

4.4.1. In the centralized database of the crypto-exchange on dedicated servers with restricted access.

4.5. Backup copying of all data on transactions (operations) carried out by clients shall be performed at the end of each day in accordance with paragraph 3 of the Rules for trading crypto-assets on a crypto-exchange. 

4.6. To ensure reliable storage of reports, the crypto-exchange may enter into an agreement with an organization providing report storage (depository) services. Information about such organization shall be posted on the crypto-exchange’s website in accordance with paragraph 7 of the Appendix to the Rules for trading crypto-assets on a crypto-exchange.

V. ACCESS TO REPORTS AND THEIR PROVISION

5.1. Access to reports shall be granted to:

5.1.1. The head of the crypto-exchange and officials authorized by him/her.

5.1.2. Employees of the structural subdivisions of the crypto-exchange responsible for the generation and storage of reports, within the scope of their job duties.

5.1.3. Employees of the internal audit and control подразделение of the crypto-exchange, within the scope of their job duties.

5.2. The crypto-exchange shall provide a report free of charge in accordance with paragraph 25 of the Rules for trading crypto-assets on a crypto-exchange:

5.2.1. To clients — to the extent relating to them, no later than fifteen days from the date of receipt of such request.

5.2.2. To the authorized body — in the scope and within the period specified in its request, but no later than five working days from the date of receipt of the relevant request in accordance with paragraph 4 of the Rules for trading crypto-assets on a crypto-exchange.

5.3. Reports shall be provided to other persons and bodies only in cases provided for by the legislation of the Republic of Uzbekistan.

VI. ENSURING SECURITY AND CONFIDENTIALITY OF INFORMATION

6.1. To ensure the security and confidentiality of the information contained in reports, the crypto-exchange shall:

6.1.1. Use technical means of information protection, including:

• data encryption;

• intrusion detection and prevention systems;

• antivirus protection tools;

• user authentication and authorization systems;

• data backup and recovery systems.

6.1.2. Conduct regular testing of information security systems and assess their vulnerabilities.

6.1.3. Ensure access control to report storage systems, including by maintaining an access log.

6.2. Employees of the crypto-exchange who have access to reports shall sign a confidentiality non-disclosure undertaking.

6.3. Reports shall be transmitted using secure communication channels.

6.4. If unauthorized access to reports or their compromise is identified, the crypto-exchange shall:

• immediately inform the authorized body;

• take measures to identify the causes of the incident and eliminate its consequences;

• if necessary, notify clients whose data may have been compromised.

VII. LIABILITY

7.1. The head of the crypto-exchange shall be responsible for organizing the storage of reports.

7.2. Responsibility for compliance with the report storage procedure shall be assigned to the head of the structural subdivision responsible for report storage.

7.3. Employees of the crypto-exchange shall bear responsibility for violation of the report storage procedure, unauthorized access to reports, making amendments to reports, as well as for disclosure of confidential information contained in reports, in accordance with the legislation of the Republic of Uzbekistan and internal documents of the crypto-exchange.

VIII. FINAL PROVISIONS

8.1. This Regulation shall enter into force from the moment of its approval by the head of the crypto-exchange.

8.2. Amendments and supplements to this Regulation shall be introduced by order of the head of the crypto-exchange.

8.3. In all matters not regulated by this Regulation, the crypto-exchange shall be governed by the Rules for trading crypto-assets on a crypto-exchange and other regulatory legal acts of the Republic of Uzbekistan. 

This document is the intellectual property of JSC «ASTERIUM». Any copying, distribution or use of this document in whole or in part without the written permission of JSC «ASTERIUM» is prohibited and shall be prosecuted in accordance with the law.

© JSC «ASTERIUM», 2026.