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RESOLUTION OF BOARD OF THE NATIONAL BANK OF UKRAINE

of March 2, 2021 No. 23

About features of conducting inspection checks during the quarantine

According to Articles 7, 15, 56 Laws of Ukraine "About the National Bank of Ukraine", to Articles 71, 72 Laws of Ukraine "About banks and banking activity", for ensuring proper continuous banking supervision in the form of inspection checks in the conditions of the quarantine established by the Cabinet of Ministers of Ukraine for the purpose of prevention of distribution in the territory of Ukraine of koronavirusny disease (COVID-19), and minimization of possible risks for life and health of workers of objects of check, the Board of the National Bank of Ukraine DECIDES: employees of the National Bank of Ukraine

1. By the authorized National Bank of Ukraine on implementation of inspection check to persons [curators/curators of check, the head of inspection team and his deputy (deputies), inspectors who are part of inspection team, specified in the administrative act of the National Bank of Ukraine] (further - members of inspection team) during the quarantine established by the Cabinet of Ministers of Ukraine for the purpose of prevention of distribution in the territory of Ukraine of koronavirusny disease (COVID-19) (further - quarantine) to carry out inspection inspections of banks, their separate divisions, branches of foreign banks, other persons which are covered by supervising activities of the National Bank of Ukraine according to article 72 of the Law of Ukraine "About banks and banking activity" (further - objects of check), according to Regulations on the organization and conducting inspection checks, to No. approved by the resolution of Board of the National Bank of Ukraine of July 17, 2001 276, registered in the Ministry of Justice

Ukraine on August 15, 2001 for No. 703/5894 (in edition of the resolution of Board of the National Bank of Ukraine of December 28, 2017 No. 145) (with changes), taking into account the requirements and features determined by this resolution.

2. The head of inspection team during the quarantine shall coordinate work of members of inspection team so that to provide:

1) observance by members of inspection team when implementing check in object of check of necessary precautionary measures (use of individual remedies and anti-septic tanks, observance of social distance);

2) minimum necessary simultaneous presence of members of inspection team in object of check;

3) exchange of information and documents with object of check with use of information and communication technologies in real time or by sending via secure channels of communication;

4) holding meetings and interview in the mode of videoconferences.

3. To the head of object of check during conducting inspection checks during quarantine:

1) to provide observance by workers of object of check who contact to members of inspection team, necessary precautionary measures (use of individual remedies and anti-septic tanks, observance of social distance);

In case of availability of production/technical capability to provide 2) for effective work of members of inspection team in the conditions of quarantine:

remote access to members of inspection team to required documents and information of object of check [in the form of electronic files, copies of the documents made by method of scanning or creation of photocopies, the electronic documents certified by the qualified digital signature (further - KEP) corresponding authorized person (its)], taking into account those which contain information with limited access or their sending by e-mail of the National Bank of Ukraine (information with limited access is processed by means of the software "ARM-NBU-inf") or transfer on replaceable data carriers;

remote access to members of inspection team to systems of automation of bank which are used by object of check (without the right of introduction, change, removal and unauthorized copying of information), and also technological and consulting support concerning functioning of such systems.

4. The head of object of check shall organize remote access (in case of possibility of provision of such access with observance of the requirements of information security established by regulatory legal acts of the National Bank of Ukraine on the technology used by object of check for remote access for workers of object of check with use of technical means (computer equipment) of object of check or the National Bank of Ukraine.

5. Members of inspection team can get remote access (in case of provision) with use of the computer equipment of the National Bank of Ukraine on condition of the organization by object of check of such access through the web interface and/or by provision of access to virtual/terminal/physical workstations using control systems behind actions of exclusive users in the modes which are not requiring additional setup of technical means of the National Bank of Ukraine.

6. During conducting inspection check members of inspection team, heads and workers of object of check have the right:

1) to constitute and give in electronic form, signed KEP of corresponding authorized person (its) (further - the electronic document), the relevant documents [the letter / the outgoing letter / the cover letter, request, the order, explanations concerning activities of object of check, other documents, except for documents on results of inspection check (references/reports)].

Electronic documents are constituted with obligatory observance of requirements for creation, storage of electronic documents and use of the digital signatures determined by the Laws of Ukraine "About electronic documents and electronic document management", "About electronic confidential services" and the Regulations on application of the digital signature and electronic seal in bank system of Ukraine approved by the resolution of Board of the National Bank of Ukraine of August 14, 2017 No. 78 (in edition of the resolution of Board of the National Bank of Ukraine of February 25, 2019 No. 42).

Exchange of electronic documents between members of inspection team and heads/workers of object of check is performed by transfer by means of system of e-mail of the National Bank of Ukraine or transfer on replaceable data carriers. The electronic document in the presence of signature stamp of restriction of access to time of transfer is processed by means of the software "ARM-NBU-inf".

2) to hold meetings, interview of members of inspection team with heads, workers, other authorized persons of object of check if technically possible in the videoconference mode by results of which (if necessary) to constitute protocols (with fixing of questions and answers) which are signed by participants of such meetings and interview.

7. To department of methodology of regulation of activities of banks (Natalya Ivanenko) after official publication to bring information on adoption of this resolution to the attention of banks of Ukraine.

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