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

of July 25, 2025 No. 09/21/2643/K03

About approval of the Procedure for return of assets, including the money belonging to clients/depositors of the professional participant of the capital markets to whom the sanction in the form of "blocking of assets" is applied

According to Item of 1 part one of Article 7, article 29 of the Law of Ukraine "About state regulation of the capital markets and the organized goods markets", the Law of Ukraine "About depositary system of Ukraine", the Law of Ukraine "About the capital markets and the organized goods markets", parts eight of article 5 of the Law of Ukraine "About sanctions" and for the purpose of providing with the national commission on securities and the stock market of return of assets, including the money belonging to clients/depositors of the professional participant of the capital markets to whom it is applied by the decision of the National Security and Defense Council of Ukraine enacted by the presidential decree of Ukraine, the sanction in the form of "blocking of assets", the National commission on securities and the stock market RESHILA:

1. Approve the Procedure for return of assets, including the money belonging to clients/depositors of the professional participant of the capital markets to whom the sanction in the form of the enclosed "blocking of assets" is applied.

2. To provide to department of methodology of regulation of professional participants of the security market submission of this decision on state registration in the Ministry of Justice of Ukraine.

3. To provide to management of administrative activities promulgation of this decision on the official website of the National commission on securities and the stock market.

4. And internal komplayens control, after state registration of the decision by the Ministry of Justice of Ukraine to provide to legal support department promulgation of this decision on the official website of the National commission on securities and the stock market.

5. This decision becomes effective from the date of, its official publication following behind day.

6. Control over the implementation of this decision to assign to members of the National commission on securities and Ya. Shlyakhov and I. Baramiya's stock market.

Approved by the Decision of the National commission from securities of the stock market of July 31, 2025, No. 09/21/2643/K03

Procedure for return of assets, including the money belonging to clients/depositors of the professional participant of the capital markets to whom the sanction in the form of "blocking of assets" is applied

I. General provisions

1. This Procedure is applied in case of the decision making by the National Security and Defense Council of Ukraine enacted by the Presidential decree of Ukraine according to the Law of Ukraine "About sanctions" which provides forming by the National commission of securities and the stock market (further - NKTsBFR) the List of assets, including the money belonging to clients/depositors of the professional participant of the capital markets who has licenses for implementation of professional activity in the capital markets, namely activities for trade in financial instruments and depository activity by their separate types to which the sanction in the form of "blocking of assets", stipulated in Item 1 parts one of article 4 of the Law of Ukraine "About sanctions" is applied by such decision of the National Security and Defense Council of Ukraine (further - the subsanctions professional participant).

The procedure determines process of return of assets, including the money belonging or the right to which belongs to clients/depositors of the subsanctions professional participant and which are considered on accounts of the subsanctions professional participant in Central Securities Depository (further - the Central depositary), the National Bank of Ukraine according to the powers determined by the law, on the cash accounts of the Central depositary opened according to the legislation for payment of the income, repayment sums for securities on cash accounts of the National Bank of Ukraine, on accounts of such subsanctions professional participant in bank, on the cash account of PJSC Settlement Center on Servicing of Agreements in the Financial Markets (further - the Settlement center), information on which is considered in system of clearing accounting of Settlement center.

2. In this Procedure terms are used in the following value:

1) assets - the securities and money belonging or the right to which belongs to clients/depositors of the subsanctions professional participant and which are included in the approved NKTsBFR in accordance with the established procedure of the List of assets, including the money belonging to clients/depositors of the subsanctions professional participant;

2) the applicant - person who intends to return assets and is client/depositor of the subsanctions professional participant or other person who according to the legislation acquired the right to return of such assets, and addresses subject which provides return of the assets belonging to the client/depositor according to this Procedure, or in NKTsBFR for confirmation of the right to return of assets of the client/depositor;

3) identification data - the data set allowing to identify unambiguously the personality namely:

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