RESOLUTION OF BOARD OF THE NATIONAL BANK OF UKRAINE

of May 27, 2019 No. 72

About approval of Changes in Regulations on licensing of banks

List of amending documents

According to Articles 7, 15, 56 Laws of Ukraine "About the National Bank of Ukraine", to Articles 66, 67 Laws of Ukraine "About banks and banking activity", for the purpose of enhancement of procedure for licensing of the Board of the National Bank of Ukraine DECIDES: banks

1. Approve Changes in the Regulations on licensing of banks approved by the resolution of Board of the National Bank of Ukraine of December 22, 2018 No. 149 (further - the Provision) which are applied.

2. Owners of essential participation in banks shall submit during the first submission to the National Bank of Ukraine of the documents provided by the Provision the questionnaire in the form approved by the administrative act of the National Bank of Ukraine and placed on the page of official Internet representative office of the National Bank of Ukraine.

3. No. 112 is excluded according to the Resolution of Board of the National Bank of Ukraine of 28.08.2019.

4. To department of methodology (Natalya Ivanenko) after official publication to inform banks information on adoption of this resolution.

5. To impose control over the implementation of this resolution on the First Deputy Chairman of the National Bank of Ukraine Ekaterina Rozhkova.

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

Approved by the Resolution of Board of the National Bank of Ukraine of May 27, 2019 No. 72

Changes in Regulations on licensing of banks

1. In the Section III:

1) in paragraphs second and third the subitem 1 of Item 111 and the subitem 1 of Item 113 of Chapter 14 of the word "participation which is acquired or increases," shall be replaced with words "essential participation of person after acquisition or increase";

Second and third the subitem 1 of Item 121 and the subitem 1 of Item 123 of Chapter 15 of the word of "the acquired or increased participation" shall be replaced with words 2) in paragraphs "essential participation after acquisition or increase";

To replace 3) in the subitem 1 of Item 127 of Chapter of the 16th figure and the word "on December 31 years prior" with figures and the word "January 01";

4) in Chapter 19:

state Item 162 in the following edition:

"162. Calculation of the size of own means of physical person is perfromed based on the data specified in information on property status (less shares of the banks and/or shares/share in the authorized capital of legal entities which has the direct or mediated participation in banks which the physical person owns for date of filling of information on property condition), by reduction of total cost of property (assets) of physical person by the total amount of its property obligations.";

to add Chapter after Item 162 with new Item 162-1 of the following content:

"162-1. The size of own means of physical person which acquires (actually acquired) or increases (actually increased) essential participation in bank and which for the corresponding date owns essential participation in other bank, in addition decreases on big of the following sizes:

1) the size of part of the regulatory capital of such other bank pro rata to share which the amount of participation of physical person constitutes in its authorized capital (the size of the regulatory capital is determined for the end of the month under report preceding the corresponding date);

2) the size of part of the minimum size of the regulatory capital of the bank established by National Bank, pro rata to share which the amount of participation of physical person constitutes in the authorized capital of such other bank (the minimum size of the regulatory capital is determined for the end of the month under report preceding the corresponding date).";

state Item 176 in the following edition:

"176. The physical person which is married files to National Bank the documents determined by this Provision concerning property, property obligations, the income and the husband/wife's expenses.";

to add the subitem 1 of Item 179 after the word of "income" with the words "and cumulative size of expenses".

2. In Chapter 24 of the Section IV:

Item 223 paragraph two after the word "license" to add 1) with words and figure "it is drawn up on the special form which form is given in appendix 4 to this Provision,";

Chapter after Item 225 to add 2) with new Item 225-1 of the following content:

"225-1. The bank has the right to address National Bank with the petition for replacement of the banking license in case of damage of the form on which it is drawn up, or changes of form of the form of the banking license. The original of the existing banking license of the applicant is attached to the petition of bank.

The board member of National Bank makes the decision on provision of the banking license of bank on replacement earlier granted.".

3. In the Section V:

To replace 1) in Item 287 of Chapter 34 of figure "214" with figures "215";

Item 301 of Chapter 36 to state 2) in the following edition:

"301. The notification determined in Item 300 of Chapter 36 of the Section V of this provision is performed by submission of the statement from the questionnaire in the form approved by the administrative act of National Bank and placed on the page of official Internet representative office of National Bank. The statement joins those tables of the questionnaire which contain the changed data, general information about person, confirmation by person of provided information and information that person has no objections concerning its check.";

Subitems 2 and 3 of Item 305 of Chapter 37 to state 3) in the following edition:

"2) concerning physical person - the statement from the questionnaire of person in the form approved by the administrative act of National Bank and placed on the page of official Internet representative office of National Bank with tables which contain general information about person, information concerning legal relationship in which person is guarantor (guarantor), and about its goodwill, and also final part of the questionnaire with confirmation by person of provided information and information that person has no objections concerning its check;

3) concerning the legal entity - the statement from the questionnaire of person in the form approved by the administrative act of National Bank and placed on the page of official Internet representative office of National Bank with tables which contain general information about person, information on its goodwill, the list of members of the supervisory board and executive body of the legal entity and their goodwill, with confirmation by person of provided information and information that person has no objections concerning its check.".

4. In the Section VI:

The second the subitem 3 of Item 331 of Chapter 40 of figure "72" to replace 1) in the paragraph with figures "73";

Item 346 of Chapter 41 to add 2) with three new paragraphs of such content:

"Current of the terms specified in Item 346 of Chapter 41 of the Section VI of this provision:

1) stops if the head the bank/division manager of internal audit did not come for passing of testing and/or interview to time told him by National Bank, and renews in day of passing of such testing / interview;

2) stops if to the head to the bank/division manager of internal audit who did not get the necessary number of points by results of testing the Qualification commission provides time for preparation for repeated testing, and renews in day of passing of repeated testing.";

Shall be replaced with words 3) in the subitem 1 of Item 363 of Chapter 43 of the word "regarding data which underwent changes" "the statement joins those tables of the questionnaire which contain the changed data, the table with general information about person, confirmations by person of provided information and information that person has no objections concerning its check".

5. In Chapter 51 of the Section VII:

To replace 1) in the subitem 4 of Item 401 of figure "14" with figures "13";

In paragraph one of Item 402 of figure "14" to replace 2) with figures "13";

The word "third" to replace 3) in Item 404 with the word "fifth".

6. In the Section VIII:

1) in Chapter 53:

state Item 424 in the following edition:

"424. The bank shall notify National Bank on the internal system of registration codification of separate divisions and on changes in it.";

add Item 428 with the new subitem of such content:

"6) the business model of bank was not estimated by National Bank as creating high risk level for life activity of bank.";

2) in Chapter 54:

state Item 432 in the following edition:

"432. National Bank within 10 days from the date of representation of document package:

1) includes data on separate division of bank in the State register of banks in case of observance of the requirements determined in Chapter 53 of the Section VIII of this provision based on the documents submitted by bank according to Items 430, of 431 Chapters 54 of the Section VIII of this provision and notifies on it in bank by e-mail within five working days after record introduction (the decision is made by the board member of National Bank), or

2) is in writing notified by bank on violation of requirements of this provision by it in the following cases:

the bank does not observe the requirement determined in the subitem 4 of Item 428 of Chapter 53 of the Section VIII of this provision and/or the economic case of opening of separate division is performed based on doubtful or unrealistic indicators (the decision is made by Committee on supervision), and/or

the bank did not submit all documents determined in Items 430, of 431 Chapters 54 of the Section VIII of this provision, and/or the submitted documents do not conform to requirements of National Bank, and/or the bank does not observe the requirements determined in Chapter 53 of the Section VIII of this provision (except for Item 428 of Chapter 53 of the Section VIII of this provision specified in the subitem 4) (the decision is made by the board member of National Bank).";

exclude Item 433;

in the subitem 2 of Item 435 of the word "or other changes in activities of separate division" to exclude;

in Item 438 of the word "electronic type" shall be replaced with words "in the form of electronic copies of documents".

7. In Section ХІ:

"The license and the general license for implementation of the currency transactions issued" shall be replaced with words 1) in Items 528 and 530 of Chapter 64 of the word "the license granted";

Item 534 of Chapter 65 to add 2) with the new offer of such content: "The committee on supervision makes the decision within one month from the date of submission to National Bank of all documents determined in Item 535 or 536 of Chapter 65 of the Section XI of this provision.";

3) in Chapter 66:

in Items 539 - to exclude 541 words "and general license for implementation of currency transactions";

in Item 542 of the word "the banking license and the general license for implementation of currency transactions issued to it" shall be replaced with words "the banking license granted to it";

4) in Chapter 67:

in Item 550:

word in paragraph one of "the banking license and the general license for implementation of currency transactions issued to it" shall be replaced with words "the banking license granted to it";

state subitem 5 in the following edition:

"5) the original of the banking license granted to bank which stops;";

in Item 552 of the word "the license and the general license for implementation of the currency transactions issued" shall be replaced with words "the license granted".

8. In appendices to the Provision:

The subitem 4 of Item 3 of Explanations concerning parameters of filling of appendix 2 to the Provision to exclude 1);

2) in appendix 3 to the Provision:

to state the subitem 6 of Item 1 in the following edition:

"6) key persons of bank - bank employees who are not heads of bank, but have opportunity to influence significantly decision making on the main activities of bank (credit, investment, accounting policy, policy of asset management and other policy, the strategy of bank) (in the presence) [the position, the name of division (in the presence) and surname, name, middle name of person, and also in notes to the scheme - the short description of the questions which are within its competence are specified];";

in item 4 of the word "also it is fastened with impress of a seal of bank" to exclude.

To state model of registration of organizational structure of bank in the following edition:

"Model of registration of organizational structure of bank

It is approved

Solution of the supervisory board [the abbreviated name of bank]

from [number, month, year]

Protocol No. [number]

Organizational structure [the abbreviated name of bank] as of [number, month, year]

9. Add provisions with new appendix of the following content:

"Appendix 4

to Regulations on licensing of banks (Item 223 of Chapter 24 of the Section IV)

National Bank of Ukraine

Banking license

 

№ _____________

from "___" _____________ 20 __ years

It is issued ________________________________________________________________________________ __

(full and abbreviated name of bank)

________________________________________________________________________________ ____________

________________________________________________________________________________ ____________

entered in the State register of banks

"__" __________ ____ years	Behind number _____________
________________________  (position of the authorized person  National Bank of Ukraine)".	form No.

It is approved: First Deputy Chairman of the National Bank of Ukraine

E. Rozhkova

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