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RESOLUTION OF BOARD OF THE NATIONAL BANK OF UKRAINE

of July 5, 2017 No. 60

About approval of the Regulations on procedure for conducting checks of the legal entities who obtained the license of the National Bank of Ukraine for provision to banks of services in collection

According to Articles 7, of 15, 33 and 56 Laws of Ukraine "About the National Bank of Ukraine", for the purpose of establishment of single requirements to the organization and conducting by the National Bank of Ukraine exit checks of the legal entities who obtained the license of the National Bank of Ukraine for provision to banks of services in collection concerning the organization and implementation of transactions on collection of means and transportation of currency values the Board of the National Bank of Ukraine decides:

1. Approve Regulations on procedure for conducting checks of the legal entities who obtained the license of the National Bank of Ukraine for provision to banks of services in collection which are applied.

2. To information directorate and public communications (Bondarenko N. M.) to place this resolution on the page of Official Internet representative office of the National Bank of Ukraine.

3. To department of currency circulation (Zayvenko V. P.) to bring contents of this resolution after its official publication to data of the legal entities who obtained the license of the National Bank of Ukraine for provision to banks of services in collection.

4. The resolution becomes effective from the date of, its official publication following behind day.

Acting as chairman

Ya. V. Smoly

Approved by the Resolution of Board of the National Bank of Ukraine of July 5, 2017 No. 60

Regulations on procedure for conducting checks of the legal entities who obtained the license of the National Bank of Ukraine for provision to banks of services in collection

I. General provisions

1. This Provision is developed according to the Laws of Ukraine "About the National Bank of Ukraine", "About the prevention of corruption", Regulations on procedure for issue to legal entities of the license for provision to the banks of services in collection approved by the resolution of Board of the National Bank of Ukraine of December 24, 2015 No. 926 (with changes) (further - No. Provision 926), the Instruction on the organization of collection of means and transportation of currency values of banks in Ukraine approved by the resolution of Board of the National Bank of Ukraine of March 31, 2017 No. 29 (further - the Instruction No. 29), and other regulatory legal acts of the National Bank of Ukraine (further - National Bank), for the purpose of establishment of system approach to the organization and conducting exit checks by National Bank (further - checks) the legal entities who obtained the license of National Bank for provision to banks of services in collection (further - legal entities), concerning the organization and implementation of transactions on collection of means and transportation of currency values, observance of the licensed requirements determined No. Provision 926, of reliability and established procedure of submission to National Bank of reporting information on provision to banks of services in collection.

2. In this Provision the following basic concepts are used:

1) the report on check - the document of any form which is constituted by results of conducting check of the legal entity on its location;

2) inspection team - employee group of National Bank, authorized for implementation of check of the legal entity;

3) the check period - the period for which activities of the legal entity when checking are considered;

4) the program of check - the list of the questions which are subject to check.

Other terms used in this Provision are used in the values established by the laws of Ukraine and regulatory legal acts of National Bank.

3. Checks of legal entities can be planned and unplanned.

Scheduled inspections are carried out based on the corresponding order of National Bank about conducting check of the legal entity (further - the order of National Bank).

Unscheduled inspections are carried out in the presence of the reasonable bases based on board decision of National Bank, and also at the request of the Chairman of National Bank, his first deputy or the deputy who on distribution of functional obligations performs the common directorship of processes of currency circulation. The specified order is drawn up in the form of the order of National Bank.

Legal entities shall promote conducting checks by authorized employees of National Bank.

4. The National Bank is not more often than once a year performs scheduled inspection of observance by the legal entity of the licensed conditions determined No. Provision 926, of rules and procedure for provision to banks of services in collection according to requirements of the Instruction No. 29.

II. Organization of checks

5. Scheduled and unscheduled inspections of legal entities are carried out by inspection teams as a part of employees of National Bank.

The National Bank determines the number of inspection team depending on the period of check and amount of the documents and materials which are subject to check. The minimum number of inspection team - two persons.

6. Staff of inspection team which shall perform check and her head are determined by the order of National Bank.

Members of inspection team for conducting check submit to her head within the powers conferred to it by this Provision.

7. The employee of National Bank who is appointed to perform shall report to the direct head about the bases which are available for it not to take part in check (if the worker has the close persons specified in article 1 of the Law of Ukraine "About prevention of corruption" who hold executive positions in governing bodies of the legal entity who shall be checked or if the worker learned about availability at it real or potential conflict of interest which can arise when checking the legal entity).

8. At the disposal of National Bank shall be specified:

1) full name and location of the legal entity;

2) surnames, names, middle names of the head and members of inspection team;

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