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The document ceased to be valid since  December 24, 2019 according to Item 1 of the Order of the National commission performing state regulation in the sphere of the markets of financial services of Ukraine of  November 21, 2019 No. 2363

It is registered

Ministry of Justice of Ukraine

October 17, 2017

No. 1270/31138

THE ORDER OF THE NATIONAL COMMISSION PERFORMING STATE REGULATION IN THE SPHERE OF THE MARKETS OF FINANCIAL SERVICES OF UKRAINE

of September 19, 2017 No. 3783

About approval of the Procedure for application by the National commission performing state regulation in the sphere of the markets of financial services, corrective actions in the form of imposing of penalty for violation attracted with creditors - financial institutions (except banks) provisions of the Law of Ukraine "About financial restructuring"

According to Items 1 and 10 of part one of Article 28 and Item 10 of the Section VIII "Final provisions" of the Law of Ukraine "About financial services and state regulation of the markets of financial services", parts four of article 30 of the Law of Ukraine "About financial restructuring", to the subitem 7 of Item 3, to subitems 4 and 40 of Item 4, to Item 13 of the Regulations on the National commission performing state regulation in the sphere of the markets of financial services, No. approved by the Presidential decree of Ukraine of November 23, 2011 1070, the National commission performing state regulation in the sphere of the markets of financial services decided:

1. Approve the Procedure for application by the National commission performing state regulation in the sphere of the markets of financial services, corrective actions in the form of imposing of penalty for violation by the attracted creditors - financial institutions (except banks) provisions of the Law of Ukraine "About financial restructuring" which is applied.

2. In the markets of financial services to submit to department of the consolidated supervision and methodology this order to the Ministry of Justice of Ukraine for state registration.

3. And members of the commission to provide to management of ensuring activities of the Chairman promulgation of this order after its state registration.

4. This order becomes effective from the date of its official publication and loses force along with loss of force of the Law of Ukraine "About financial restructuring".

5. All procedures of imposing of penalty and appeal of the solution of Natskomfinuslug on imposing of penalty begun during action of this Procedure continue before their completion according to requirements of this Procedure.

6. Control over the implementation of this order to assign to the member Natskomfinuslug Yastreba of D. A.

Chairman

I. Pashko

Approved by the Order of the National commission performing state regulation in the sphere of the markets of financial services of Ukraine of September 19, 2017 No. 3783

Procedure for application by the National commission performing state regulation in the sphere of the markets of financial services, corrective actions in the form of imposing of penalty for violation by the attracted creditors - financial institutions (except banks) provisions of the Law of Ukraine "About financial restructuring"

I. General provisions

1. This Procedure is developed according to the Law of Ukraine "About financial restructuring".

The purpose of this Procedure is determination of the mechanism of production on cases on violation of provisions of the Law of Ukraine "About financial restructuring" (further - the Law), decision making by the National commission performing state regulation in the sphere of the markets of financial services about application of corrective action in the form of imposing of penalty (further - imposing of penalty) and their appeals.

2. In this Procedure terms are used in the following values:

officials of Natskomfinuslug - government employees of the device of Natskomfinuslug;

authorized persons of Natskomfinuslug is the Chairman Natskomfinuslug, heads of structural divisions in the directions of implementation of supervision of the separate markets of financial services.

Other terms in this Procedure are used in the values given in article 1 of the Law of Ukraine "About financial services and state regulation of the markets of financial services", article 1 of the Law of Ukraine "About financial restructuring" and the laws of Ukraine concerning regulation of the separate markets of financial services.

3. Imposing of penalty by authorized persons of Natskomfinuslug is performed in accordance with the terms, determined by this Procedure.

4. Authorized persons of Natskomfinuslug impose penalty on the basis of data analysis and information on violation of requirements of the Law, considering consequences of violation and application of such corrective action.

5. Natskomfinuslug, representatives and officials of Natskomfinuslug within the powers shall in each case of identification of violation of requirements of the Law take all necessary measures for documentary fixing of the fact of such violation, comprehensively, fully and objectively research the facts of the case about offenses, and also timely make the decision on the case of offense and impose penalty.

6. The decision on the case of offense shall be legal and reasonable.

The decision shall be based only on those proofs which were researched when considering the case about offense.

Proofs on the case of offense are any actual data obtained in the procedure established by the law testimonial of availability or lack of violation of provisions of the Law, and other circumstances important for the correct permission of case.

7. Hearing of cases about offenses is performed by authorized persons of Natskomfinuslug within their powers.

8. In case of identification of violations of provisions of the Law which consideration does not belong to powers of Natskomfinuslug Natskomfinuslug directs the corresponding materials to public authorities into which power the solution of such case on offense is included.

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