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of November 8, 2023 No. 143
About approval of the Regulations on establishment of criteria by which the risk degree from implementation of activities by participants of the market of non-bank financial services, their public importance is estimated
According to Articles 7, of 15, 55-1, 56 of the Law of Ukraine "About the National Bank of Ukraine", Articles 21, 28-30 Laws of Ukraine "About financial services and state regulation of the markets of financial services", for the purpose of establishment of criteria by which the risk degree from implementation of activities by participants of the market of non-bank financial services, their public importance is estimated, based on which intensity of supervising actions is determined, the Board of the National Bank of Ukraine DECIDES:
1. Approve Regulations on establishment of criteria by which the risk degree from implementation of activities by participants of the market of non-bank financial services, their public importance which is applied is estimated.
2. To department of methodology of regulation of activities of non-bank financial institutions (Sergey Savchuk) after official publication to inform participants of the market of non-bank financial services information on adoption of this Resolution.
3. The resolution becomes effective from the date of, its official publication following behind day.
Chairman
A. Magnificent
Approved by the Resolution of Board of the National Bank of Ukraine of November 8, 2023 No. 143
1. This Provision is developed according to the laws of Ukraine "About the National Bank of Ukraine", "About financial services and state regulation of the markets of financial services" (further - the Financial services act).
2. The terms used in this Provision are applied in the values determined in the Law of Ukraine "About the National Bank of Ukraine", the financial services act and regulatory legal acts concerning state regulation in the markets of non-bank financial services.
3. This Provision their public importance (further - estimation of public importance of participants of the market of non-bank financial services) for the purpose of determination of intensity of supervising actions determines criteria by which the National Bank of Ukraine (further - National Bank) estimates risk degree from implementation of activities by participants of the market of non-bank financial services (further - estimation of risk degree) (frequency of conducting scheduled inspection inspections; during implementation of permanent supervision) concerning participants of the markets of non-bank financial services, state regulation and supervision of which activities is exercised by National Bank, and procedure for their application.
4. Requirements of this provision for the purposes of determination of intensity of supervising actions extend on:
1) insurers;
2) pawnshops, being participants / responsible persons of financial group;
3) credit unions;
4) lessors;
5) the financial institutions having licenses for activities on provision of such financial services: financial leasing, provision of means in loan, including on the terms of financial loan, provision of guarantees, factoring (further - finance companies).
5. The National Bank in case of assessment of risk degree and public importance of participants of the market of non-bank financial services uses risk - the oriented approach taking into account pro-rata rules and feasibility of determination of intensity of supervising actions (frequency of conducting scheduled inspection inspections; during implementation of permanent supervision) that provides concentration of supervision on those participants of the market of non-bank financial services (except consumers of financial services) (further - participants of the market of non-bank financial services) which have more high risk and the highest group of public importance.
6. The National Bank estimates risk degree and public importance of participants of the market of non-bank financial services once a year, no later than December 15 of year in which estimation is carried out. The period of estimation is the period since October 01 the year preceding year of carrying out estimation by National Bank till September 30 of the current year in which such estimation is carried out. Date of assessment is the last date of the period of assessment.
The National Bank if is not present complete (for the entire period, subject to estimation) information necessary for carrying out estimation of risk degree and public importance of the participant of the market of non-bank financial services in the criteria determined by this Provision carries out estimation based on the available information for the accounting periods in limits since October 01 the year preceding year of estimation by National Bank till September 30 of the current year.
7. The plan of conducting inspection checks of participants of the market of non-bank financial services by National Bank for the next year is constituted by results of assessment of risk degree and public importance of participants of the market of non-bank financial services taking into account the available supervising resources and priorities.
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