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Ministry of Justice of Ukraine

November 5, 2012

No. 1855/22167

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

of October 16, 2012 No. 1470

About approval of Rules of hearing of cases about violation of requirements of the legislation in the security market and applications of sanctions

(as amended on 28-09-2017)

According to article 255 of the Code of Ukraine about administrative offenses and Articles 7, of 8, of 9, of 11, of 12, 13 Laws of Ukraine "About state regulation of the security market in Ukraine", for the purpose of enhancement of the procedure of law enforcement in the security market, considering requirements of the legislation, the National commission on securities and the stock market RESHILA:

1. Approve Rules of hearing of cases about violation of requirements of the legislation in the security market and applications of sanctions which are applied.

3. To provide to management of law enforcement (N. Gerasimenko) submission of this decision on state registration in the Ministry of Justice of Ukraine.

4. (Yu. Zhuly) to provide to department of external and internal communications of management of information technologies, external and internal communications publication of this decision according to the legislation.

5. This decision becomes effective since January 1, 2013, but not earlier than day of its official publication.

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

Commission chairman

D. Tevelev

Approved by the Decision of the National commission on securities and the stock market of Ukraine of October 16, 2012 No. 1470

Rules of hearing of cases about violation of requirements of the legislation in the security market and applications of sanctions

I. General provisions

1. These rules determine procedure and terms of consideration by the National commission on securities and the stock market (further - the Commission) cases on violation by citizens, officials and legal entities of requirements of the legislation in the security market.

2. The purpose of these rules is ensuring compliance with requirements of the legislation by members of the security market in the security market, protection of the rights of members of the security market.

3. Hearing of cases about the offenses made in the territory of Ukraine is performed according to these rules.

4. Production task on cases on offense is timely, complete and objective clarification of circumstances of each case, the decision it in strict accordance with the legislation, ensuring accomplishment of the passed decision, and also identification of the reasons and conditions which promote making of offenses, and prevention of offenses.

5. Authorized persons of the Commission within the powers shall take in each case of identification of offense all necessary measures for documentary fixing of the fact of offense, comprehensively, fully and objectively research the facts of the case, and also timely apply stipulated by the legislation sanctions.

The decision on case shall be legal and reasonable. The decision shall be based only on those proofs which were researched during consideration of the case.

Proofs on the case of offense are any actual data obtained legally testimonial of availability or lack of offense, and other circumstances which matter for the correct solution of case.

6. Structural division of the Commission according to these rules is the department, management, department of central office of the Commission or its territorial authority which performs functions concerning regulation of the corresponding activity in the security market.

Authorized division of the Commission according to these rules is the department, management, department of central office of the Commission or its territorial authority which performs law enforcement functions.

7. Hearing of cases about offense is performed by exclusively authorized persons of the Commission (further - authorized persons) within the conferred powers.

8. In case of identification of violations of the law which consideration does not belong to competence of the Commission the authorized person sends the corresponding materials to state bodies to which competence the solution of this case belongs.

9. Administrative punishment can be imposed on the citizen or the official not later than in two months from the date of making of offense, and in case of the lasting offense - not later than in two months from the date of its identification.

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