DECISION OF THE NATIONAL COMMISSION ON SECURITIES AND STOCK MARKET OF UKRAINE

of August 11, 2020 No. 444

About approval of the Procedure for exchange of information between Public service of financial monitoring of Ukraine and the National commission on securities and the stock market for increase in efficiency of implementation of supervision of observance by subjects of primary financial monitoring of requirements of the legislation in the sphere of prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction

According to parts four - the sixth Article 18 and to Item 15 parts two of article 25 of the Law of Ukraine "About prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction" and for the purpose of increase in efficiency of implementation of supervision of observance by subjects of primary financial monitoring of requirements of the legislation in the sphere of prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction, the National commission on securities and the stock market RESHILA:

1. Approve the Procedure for exchange of information between Public service of financial monitoring of Ukraine and the National commission on securities and the stock market for increase in efficiency of implementation of supervision of observance by subjects of primary financial monitoring of requirements of the legislation in the sphere of prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction.

2. Declare invalid the decision of the National commission on securities and the stock market of April 7, 2015 No. 465 "About approval of the Procedure for exchange of information between Public service of financial monitoring of Ukraine and the National commission on securities and the stock market for increase in efficiency of implementation of supervision of observance by subjects of primary financial monitoring of requirements of the legislation concerning prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction", registered in the Ministry of Justice of Ukraine on April 29, 2015 for No. 483/26928.

3. To provide to department of financial monitoring and conducting inspections (V. Misyur) submission of this decision to the Ministry of Finance of Ukraine for submission on state registration to the Ministry of Justice of Ukraine.

4. This decision becomes effective from the date of its official publication.

5. Control over the implementation of this decision to assign to the member of the commission I. Nazarchuk.

Approved by the Order of the Ministry of Finance of Ukraine of August 11, 2020, No. 494, the Decision of the National commission on securities and the stock market of Ukraine of August 11, 2020 No. 444

Procedure for exchange of information between Public service of financial monitoring of Ukraine and the National commission on securities and the stock market for increase in efficiency of implementation of supervision of observance by subjects of primary financial monitoring of requirements of the legislation in the sphere of prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction

I. General provisions

1. This Procedure are developed according to parts four - the sixth Article 18 and to Item 15 parts two of article 25 of the Law of Ukraine "About prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction" (further - the Law).

2. This Procedure determines amount and procedure for exchange of information between Gosfinmonitoring and the subject of the state financial monitoring - the National commission on securities and the stock market (further - the Commission) for the purpose of increase in efficiency of implementation of supervision of observance of requirements of the legislation in the sphere of prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction by commodity and other exchanges which perform financial operations with goods; organizations of accumulative provision of pensions; managing directors of funds of financing of constructions/funds of real estate transactions; professional participants of the stock market (except banks), including Central Securities Depository (further - Subjects), supervision of which is exercised by the Commission.

II. Information provided by Gosfinmonitoring

1. State financial monitoring provides to the Commission information on efficiency of the measures undertaken by Subjects, supervision of which is exercised by the Commission, in the sphere of prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction namely:

statistical data of rather financial transactions which are subject to financial monitoring, other information which can be connected with legalization (washing) of income gained in the criminal way, either financing of terrorism or financing the distribution of weapons of mass destruction gained by Gosfinmonitoring from Subjects;

information on accounting of Subjects in Gosfinmonitoring;

information on the list of Subjects which are struck off the register;

information on the signs of possible violations by Subjects of requirements of the legislation revealed by Gosfinmonitoring in the sphere of prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction;

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