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

of November 14, 2024 No. 09/21/1418/K03

About approval of the Procedure for coordination of person appointed to position of the head of the professional participant of the capital markets and the organized goods markets, officials of internal control system and persons responsible for implementation of financial monitoring

According to Item 48 parts one of article 7 of the Law of Ukraine "About state regulation of the capital markets and the organized goods markets", parts nine of article 70 of the Law of Ukraine "About the capital markets and the organized goods markets" the National commission on securities and the stock market RESHILA:

1. Approve the Procedure for coordination of person appointed to position of the head of the professional participant of the capital markets and the organized goods markets, officials of internal control system and persons responsible for implementation of financial monitoring (further - the enclosed Procedure).

2. Declare invalid the decision of the National commission on securities and the stock market of January 22, 2013 No. 64 "About approval of procedure for approval of candidates for heads of stock exchanges and requirements to such heads during their continuance in office", registered in the Ministry of Justice of Ukraine on February 14, 2013 at No. 269/22801.

3. The decisions/resolutions on compliance of certain heads of certain professional participants of the capital markets and the organized goods markets to posts in such professional participants of the capital markets and the organized goods markets accepted by the National commission on securities and the stock market according to the decision of the National commission on securities and the stock market of November 11, 2022 No. 1339 "About monitoring of compliance of persons to posts in professional participants of the capital markets and the organized goods markets during action of warlike situation" for the purposes of the Procedure are equated to resolutions of the National commission on securities and the stock market on coordination of such persons to posts in such professional participants of the capital markets and the organized goods markets.

4. Regulations of licensed conditions of implementation of professional activity in the capital markets by its separate types concerning the obligation of the licensee to report NKTsBFR within 5 working days (for the licensee performing activities for the organization of trade in financial instruments - within 15 working days) from the date of election/appointment of person to position, namely provision of information confirming the specified changes are not applied.

The professional participant no later than 5 working days from the date of receipt of the resolution NKTsBFR on coordination of the certain person appointed to the corresponding position shall provide in NKTsBFR determined by licensed conditions of implementation of professional activity in the capital markets by its separate types electronically official channel of communication taking into account requirements of the legislation on electronic documents and electronic document management:

the reference on the leading officials, specialists of the licensee and its separate division which are directly performing professional activity in the capital markets and certified in the procedure established by NKTsBFR;

the certificate of staff of the supervisory board, or other body responsible for supervision implementation (in case of creation), executive body of the licensee, with corresponding changes;

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