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RESOLUTION OF BOARD OF THE NATIONAL BANK OF UKRAINE

of July 27, 2023 No. 93

About introduction of amendments to the resolution of Board of the National Bank of Ukraine of March 23, 2022 No. 60

According to Articles 7, 15, 44, 55, 56 Laws of Ukraine "About the National Bank of Ukraine", article 18 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", Articles 11, of 14, 15 Laws of Ukraine "About currency and currency transactions", article 5 of the Law of Ukraine "About sanctions", the Presidential decree of Ukraine of February 24, 2022 No. 64/2022 "About introduction of warlike situation in Ukraine", No. 2102-IX approved by the Law of Ukraine of February 24, 2022 "About approval of the Presidential decree of Ukraine "About introduction of warlike situation in Ukraine"" for the purpose of determination of features of accomplishment of separate requirements of the legislation in the field of financial monitoring, currency supervision, supervision concerning realization and monitoring of efficiency of personal special economic and other rationing measures (sanctions) during action of the warlike situation Board of the National Bank of Ukraine decides:

1. Bring in the resolution of Board of the National Bank of Ukraine of March 23, 2022 No. 60 "About features of accomplishment of separate requirements of the legislation in the field of financial monitoring, currency supervision, supervision concerning realization and monitoring of efficiency of personal special economic and other rationing measures (sanctions) during action of warlike situation" (with changes) the following changes:

Item 8 to exclude 1);

2) in Item 9:

exclude the word "unplanned";

words and figures "Provision No. 90 and resolutions of Board of the National Bank of Ukraine of December 17, 2021 No. 145 "About features of implementation of exit checks in the field of financial monitoring, currency supervision, supervision concerning realization and monitoring of efficiency of personal special economic and other rationing measures (sanctions) during the quarantine"" shall be replaced with words also in figures "Regulations on procedure for the organization and implementation of supervision in the field of financial monitoring, currency supervision, supervision concerning realization and the monitoring of efficiency of personal special economic and other rationing measures (sanctions) approved by the resolution of Board of the National Bank of Ukraine of June 30, 2020 No. 90 (further - No. provision 90), taking into account the features determined by this resolution";

"Unplanned" and "unplanned" to exclude 3) in Item 9-1 of the word;

The resolution after Item 9-1 to add 4) with four new Items 9-2-9-5 of the following content:

"9-2. During conducting exit checks with production/technical capability to provide to the head Subjekta:

1) remote access to members of inspection team to required documents and information of the Subject (in the form of electronic files, copies of the documents in paper form made by their scanning or creation of photocopies, the electronic documents certified the CAP of the corresponding authorized person), taking into account containing information with limited access, or their sending by means of system of electronic interaction of the post and portal decision of the National Bank of Ukraine or through official electronic mailbox of the National Bank of Ukraine (on condition of ensuring confidentiality of information with limited access), or means "Automated workplace-NBU-information" for electronic documents with access restriction signature stamp "Bank secrecy"), or transfer on replaceable data carriers;

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

9-3. The head Subjekta during conducting exit check shall organize remote access (in case of availability of production/technical capability 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 the Subject for remote access for workers Subjekta with use of technical means (computer equipment) Subjekta or the National Bank of Ukraine.

9-4. Members of inspection team during conducting exit check can get remote access (in case of ensuring production/technical capability of its provision by the Subject) with use of the computer equipment of the National Bank of Ukraine on condition of the organization by the Subject of such access through the web interface and/or by provision of access to virtual/terminal/physical workstations using control systems behind actions of users with exclusive access rights in the modes which are not requiring additional setup technical and software of the National Bank of Ukraine.

9-5. The head and/or the deputy manager of inspection team, members of inspection team have the right:

1) to hold meetings in the mode of video conference and/or telephone communication with heads, workers, authorized persons of the Subject. Meetings can be held with participation of other employees of the National Bank of Ukraine within whose competence the questions considered at such meetings are;

2) to conduct interview in the video conference mode with heads, workers, authorized persons of the Subject.";

"In Item 10 the word "unplanned" to exclude 5);

Items 10-1 and 10-2 to replace 6) with seven new Items 10-1-10-7 of the following content:

"10-1. Subjekt shall send the National Bank of Ukraine the letter in the form of the electronic document signed by the head and ranking officer Subjekta (if check contains questions of observance of requirements of the legislation concerning financial monitoring), with information on acquaintance with the act of results of permanent supervision (further - the act) / the certificate of exit check (further - the reference).

10-2. The subject shall send the letter with information on acquaintance with:

1) the act not later than for the fifth working day from the date of receipt of the act in the form of the electronic document / the first copy of the act in paper form / copy of the act in the paper form from the electronic document certified according to the procedure, established by the legislation of Ukraine;

2) the reference not later than for the 10th working day from the date of receipt of the reference in the form of the electronic document / the first copy of the reference in paper form / copy of the reference in the paper form from the electronic document certified according to the procedure, established by the legislation of Ukraine.

10-3. The act is considered the Subject which is brought to the attention of the Subject or received and not having explanations and objections in case of approach of one, several or all cases:

1) non receipt by the Subject for the act reasons, independent of the National Bank of Ukraine, within five working days from the date of sending the act in the form of the electronic document or seven working days from the date of sending the first copy of the act in paper form / copy of the act in the paper form from the electronic document certified according to the procedure, established by the legislation of Ukraine;

2) obtaining from the Subject of the letter with information on acquaintance with the act which is not meeting the requirements of Item 10-1 and the subitem 1 of Item 10-2 of this resolution;

3) failure to provide explanations/objections to the act according to the procedure, determined in the subitem 1 of Item 10-7 of this resolution, and the terms established in the subitem 1 of Item 10-2 of this resolution.

10-4. The act in the form of the electronic document / the second copy of the act in paper form which remained in the National Bank of Ukraine is the basis for adoption of relevant decisions by it within powers in the cases determined in Item 10-3 of this resolution.

10-5. The certificate of exit check is considered brought to the attention of the Subject or received by the Subject and not having explanations and objections, in case of approach of one, several or all cases:

1) non receipt by the Subject from the reference reasons, independent of the National Bank of Ukraine, within 10 working days from the date of sending the reference in the form of the electronic document or 15 working days from the date of sending the first copy of the reference in paper form / copy of the reference in the paper form from the electronic document certified according to the procedure, established by the legislation of Ukraine;

2) obtaining from the Subject of the letter with information on acquaintance with the reference which is not conforming to requirements of Item 10-1 and the subitem 2 of Item 10-2 of this resolution;

3) failure to provide explanations / reasonable objections to the reference according to the procedure, determined in the subitem 2 of Item 10-7 of this resolution, and the terms established in the subitem 2 of Item 10-2 of this resolution.

10-6. The reference in the form of the electronic document / the second copy of the reference in paper form which remained in the National Bank of Ukraine is the basis for adoption of relevant decisions by it within powers in the cases determined in Item 10-5 of this resolution.

10-7. The subject has the right to provide to the National Bank of Ukraine together with the letter with information on acquaintance with:

1) the act during the term established in the subitem 1 of Item 10-2 of this resolution, explanation, reasonable objections concerning the circumstances, the facts and conclusions stated in the act with addition of supporting documents, information;

2) the reference during the term established in the subitem 2 of Item 10-2 of this resolution, explanation, reasonable objections concerning the circumstances, the facts and conclusions stated in the reference with addition of supporting documents, information.";

7) in paragraph one of Item 11 of the word "paragraphs the first, seventh," to replace with the word "paragraph";

8) in Item 12-2:

word in paragraph one of "the qualified digital signature" to replace with the letters "KEP";

in paragraph five of the word "properly" shall be replaced with words" according to the procedure, established by the legislation of Ukraine,".

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

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