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

of October 16, 2023 No. 1156

About approval of the Regulations on implementation in the National commission on securities and the stock market of mechanisms of encouragement of unmaskers and forming of culture of the message on the possible facts of the corruption or connected with corruption offenses, other violations of the law of Ukraine "About prevention of corruption"

According to part four of article 53-1 of the Law of Ukraine "About prevention of corruption", Item "About state regulation of the security market in Ukraine" the National commission on securities and the stock market SOLVED 13 parts one of article 8 of the Law of Ukraine:

1. Approve Regulations on implementation in the National commission on securities and the stock market of mechanisms of encouragement of exposers and forming of culture of the message on the possible facts of the corruption or connected with corruption offenses, other violations of the enclosed Law of Ukraine "About prevention of corruption".

2. (Ukolov O.) to provide to department of prevention of corruption:

submission of this decision on state registration in the Ministry of Justice of Ukraine;

promulgation of this decision on the official website of the National commission on securities and the stock market.

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

4. I reserve control over the implementation of this decision.

Approved by the Decision of the National commission on securities and the stock market of Ukraine of October 16, 2023 No. 1156

Provision on implementation in the National commission on securities and the stock market of mechanisms of encouragement of unmaskers and forming of culture of the message on the possible facts of the corruption or connected with corruption offenses, other violations of the law of Ukraine "About prevention of corruption"

I. General provisions

1. This Provision is developed for the purpose of implementation in the National commission on securities and the stock market of mechanisms of encouragement of exposers and forming of culture of the message on the possible facts of the corruption or connected with corruption offenses, other violations of the law of Ukraine "About prevention of corruption" (further - the Law).

2. NKTsBFR encourages within powers of exposers and promotes them in the message on the possible facts of the corruption or connected with corruption offenses, other violations of the law (further - the message) according to the procedure determined by the legislation.

3. This Provision extends to workers of NKTsBFR (further - workers) and exposers who are workers.

4. The purpose of encouragement of exposers and forming of culture of the message is assistance to workers in identification and the message on the possible facts of the corruption or connected with corruption offenses, other violations of the law committed by other workers that shall create respect for exposers as steady regulation and part of corporate culture.

5. The legal basis of forming and functioning of the mechanism of encouragement and forming of culture of the message is constituted the Convention of the United Nations against corruption ratified by the Law of Ukraine of October 18, 2006 No. 251-V "About ratification of the Convention of the United Nations against corruption", the criminal Convention of the Council of Europe on fight against corruption ratified by the Law of Ukraine of October 18, 2006 No. 252-V "About ratification of the criminal Convention on fight against corruption", the Civil Convention of the Council of Europe on fight against corruption, is ratified by the Law of Ukraine of March 16, 2005 No. 2476-IV "About ratification of the civil Convention on fight against corruption", the Law.

6. In this Provision terms are used in the values given in the Law.

7. NKTsBFR provides to exposers of condition for implementation of the message by implementation of mechanisms of encouragement and forming of culture of the message according to the law.

II. Forms of encouragement and forming of culture of the message

1. Mechanisms of encouragement of the message are implemented in the following forms:

provision of the methodical and advisory help with implementation of the notification;

implementation of moral and financial incentive of the workers who are exposers.

2. Mechanisms of forming of culture of the message are implemented in the following forms:

carrying out internal doctrines concerning forming of culture of the message;

holding communication campaign and systematic implementation of educational actions.

III. Organizational bases of functioning of the mechanism of encouragement and forming of culture of the message

1. NKTsBFR will organize actions of encouragement of exposers and forming of culture of the message with way:

consecutive and systematic work on prevention of corruption;

ensuring inadmissibility of all types corruption practician;

objective and impartial response to each reasonable message;

inevitability of responsibility in case of identification of corruption offenses;

ensuring confidentiality in case of interaction with informants;

adoption of the decision, optimum for the exposer, in daily activities of NKTsBFR within discretionary powers;

immediate response to all negative corrective actions or threat of their application concerning exposers.

2. The management of NKTsBFR will organize and controls work on forming of culture of the message on corruption and ensuring functioning of the mechanism of encouragement of exposers.

3. Organizational support of functioning of the mechanism of encouragement and forming of culture the message performs authorized division.

4. The authorized division takes the measures aimed at ensuring compliance with the rights and guarantees of protection provided by the law concerning the workers who are exposers. The head of authorized division determines the individual responsible for realization of powers for protection of exposers.

5. The authorized division performs measures of encouragement and forming of culture of messages in NKTsBFR in the way:

the effective organization of operation of internal channels for the message;

high-quality and timely consideration of the messages which arrived via channels for the message;

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