RESOLUTION OF BOARD OF THE NATIONAL BANK OF UKRAINE

of July 17, 2001 No. 276

About approval of the Regulations on the organization and conducting inspection checks

According to article 7 of the Law of Ukraine "About the National Bank of Ukraine" and the Law of Ukraine "About banks and banking activity" and for the purpose of reduction of regulatory legal acts of the National Bank of Ukraine according to requirements of the Law of Ukraine "About banks and banking activity" the Board of the National Bank of Ukraine decides:

1. Approve Regulations on the organization and conducting inspection checks (further - the Provision) which are applied.

2. Declare invalid the resolution of Board of the National Bank of Ukraine of 25.06.98 No. 246 "About approval of the Regulations on planning of exit inspections and Regulations on procedure for determination and application of complex rating assessment of commercial banks on the CAMEL system" regarding approval of the Regulations on planning of exit inspections.

3. To provide to general department of banking supervision (Andrushchenko P. V.), territorial administrations of the National Bank of Ukraine the organization of planning and conducting inspection of banks and other persons to whom supervising activities of the National Bank of Ukraine, according to requirements of this Provision extend.

4. To impose control of execution of this resolution on General department of banking supervision (Andrushchenko P. V.) and chiefs of territorial administrations of the National Bank of Ukraine.

5. The resolution becomes effective in ten days after its state registration in the Ministry of Justice of Ukraine.

Approved by the Resolution of Board of the National Bank of Ukraine of July 17, 2001 No. 276

Regulations on the organization and conducting inspection checks

I. General provisions

1. This Provision is developed according to the Laws of Ukraine "About the National Bank of Ukraine", "About banks and banking activity" (further - the Law on banks), taking into account the directive 2013/36/EU of the European Parliament and Council of June 26, 2013 of gozh about access to activities of credit institutions and prudential supervision of activities of credit institutions and investment companies, taking into account the Basic principles of effective banking supervision and recommendations of Basel Committee on Banking Supervision for the purpose of settlement of process of the organization and carrying out by the National Bank of Ukraine (further - National Bank) inspection checks.

2. In this Provision the following basic concepts are used:

1) date of inspection check / inspection - date as of which inspection check is performed;

2) the certificate of check - the document of the established form constituted by inspectors/inspectors by results of inspection check of separate type / separate types of activity (transactions) of object of check or aspects of activities / the separate transactions performed by object of check;

2-1) deputy manager of inspection group inspector who in case of absence of the head of inspection team carries out its obligations;

3) the report on inspection check - the document of the established form of results of the carried-out inspection inspection of object of check which is created by the head of inspection team taking into account certificates of check and other information;

4) the inspector - the person authorized by National Bank on implementation of inspection check determined in the administrative act of National Bank of conducting inspection check (further - the administrative act of National Bank);

5) inspection check / inspektirovaniye-proverka object of the inspection which is carried out by persons authorized by National Bank on its location and/or beyond its limits by way of remote access to documents, information and systems of automation with use of information and communication technologies;

6) interview - information collection method during implementation of inspection check in the form of conversation (conversation) with fixing of questions and answers;

6-1) qualified digital signature (further - KEP) - the qualified digital signature created according to requirements of the Law of Ukraine "About electronic confidential services";

7) the head of inspection team - the inspector who performs direct management of verification process by other inspectors signs the report on inspection check, requests and other documents which are constituted during inspection check (if necessary);

8) the contact person of object of check - the official of object of check authorized on ensuring interaction with inspection team when conducting inspection check;

9) the curator of check - the official of National Bank determined in the administrative act of National Bank who performs the common directorship of verification process of object of check coordinates solutions of the questions arising when checking and signs the report on inspection check;

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