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

of February 16, 2024 No. 189

About approval of the Procedure for the organization and conducting inspection checks in the sphere of professional activity in the capital markets and the organized goods markets

According to Item 13 parts one of article 8 of the Law of Ukraine "About state regulation of the capital markets and the organized goods markets" and the Law of Ukraine "About financial services and finance companies", for the purpose of reduction of the regulatory legal act in compliance with requirements of the legislation, the National commission on securities and the stock market RESHILA:

1. Approve the Procedure for the organization and conducting inspection checks in the sphere of professional activity in the capital markets and the organized goods markets.

2. Declare invalid the decision of the National commission on securities and the stock market of November 24, 2020 No. 708 "About approval of the Procedure for conducting checks in the sphere of professional activity in the capital markets and the organized goods markets", registered in the Ministry of Justice of Ukraine on December 30, 2020 at No. 1330/35613.

3. To provide to department of financial monitoring and conducting inspections (Misyur O.):

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.

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 National commission on securities and the stock market Baramiya I.

Approved by the Decision of the National commission from securities of the stock market of Ukraine of February 16, 2024, No. 189

Procedure for the organization and conducting inspection checks in the sphere of professional activity in the capital markets and the organized goods markets

I. General provisions

1. This Procedure establishes the single mechanism of carrying out by the National commission on securities and the stock market of exit scheduled and unscheduled inspection inspections of activities of persons in the sphere of the professional activity connected with the capital markets and the organized goods markets (further - inspection, inspection checks, checks, inspections).

Subjects of check are:

professional participants of the capital markets and the organized goods markets (further - licensees), their separate divisions;

Central Securities Depository;

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