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The document ceased to be valid since  August 15, 2017 according to Item 1 of the Order of the National commission performing state regulation in the sphere of financial services of Ukraine of  June 27, 2017 No. 2865

It is registered

Ministry of Justice of Ukraine

February 4, 2013

No. 211/22743

THE ORDER OF THE NATIONAL COMMISSION PERFORMING STATE REGULATION IN THE SPHERE OF THE MARKETS OF FINANCIAL SERVICES OF UKRAINE

of November 27, 2012 No. 2422

About approval of Rules of conducting checks (inspections) by the National commission performing state regulation in the sphere of the markets of financial services, and recognition voided some orders of State commission on regulation of the markets of financial services of Ukraine

(as amended on 12-05-2016)

According to Articles 28, 30, 31 and 42 Laws of Ukraine "About financial services and state regulation of the markets of financial services", subitems 4, 28, 36, the 38th Item 4, subitems 5 and 6 of Item 6, Item 13 of the Regulations on the National commission performing state regulation in the sphere of the markets of financial services, No. approved by the Presidential decree of Ukraine of November 23, 2011 1070, the National commission performing state regulation in the sphere of the markets of financial services, POSTANOVILA:

1. Approve Rules of conducting checks (inspections) by the National commission performing state regulation in the sphere of the markets of financial services which are applied.

2. Recognize invalid:

the order of State commission on regulation of the markets of financial services of Ukraine of October 28, 2003 No. 96 "About approval of Rules of conducting checks by State commission on regulation of the markets of financial services of Ukraine", registered in the Ministry of Justice of Ukraine on December 19, 2003 for No. 1184/8505;

the order of State commission on regulation of the markets of financial services of Ukraine of February 14, 2006 No. 5376 "About approval of Changes to Rules of conducting checks by State commission on regulation of the markets of financial services of Ukraine", registered in the Ministry of Justice of Ukraine on February 23, 2006 for No. 166/12040.

3. Subitem 2.1 of Item 2 of the order of State commission on regulation of the markets of financial services of Ukraine of November 16, 2006 No. 6426 "About approval of the Regulations on implementation of supervision of activities of branches of nonresident insurers and application of corrective actions for violation of the legislation on financial services and on modification of some regulatory legal acts by them", registered in the Ministry of Justice of Ukraine on December 27, 2006 for No. 1376/13250, to exclude.

With respect thereto subitems 2. 2.3 to consider 2, respectively subitems 2. 1, 2.2.

4. Submit to legal department this order to the Ministry of Justice of Ukraine for state registration.

5. To provide to the sector of public relations and the protocol promulgation of this order after its state registration.

6. This order becomes effective from the date of its official publication.

7. Control over the implementation of this order to assign V. M to the member Natskomfinuslug of Berlin.

Commission chairman

A. Stasevsky

Approved by the Order of the National commission performing state regulation in the sphere of the markets of financial services of Ukraine of November 27, 2012 No. 2422

Rules of conducting checks (inspections) by the National commission performing state regulation in the sphere of the markets of financial services

І. General provisions

1.1. These rules are developed according to the Law of Ukraine "About financial services and state regulation of the markets of financial services", the Law of Ukraine "About the basic principles of the state supervision (control) in the sphere of economic activity", other laws of Ukraine concerning regulation of the markets of financial services, Regulations on the National commission performing state regulation in the sphere of the markets of financial services, the approved Presidential decree of Ukraine of November 23, 2011 No. 1070, and other regulatory legal acts regulating activities in the markets of financial services.

1.2. These rules establish single procedure the National commission performing state regulation in the sphere of the markets of financial services (further - Natskomfinuslug), supervision of provision of financial services and observance of the current legislation in the respective sphere by conducting checks (inspections) of participants of the markets of financial services by its authorized persons (except consumers of financial services), their afiliirovanny and related persons who are conducted independently or together with other authorized bodies of the government.

1.3. In these rules terms are used in such values:

The act of the state supervision (control) - the document which is constituted by the authorized persons of Natskomfinuslug performing activities of the company in which the fact and results of its carrying out are reflected (further - the inspection statement);

subjects of managing are participants of the markets of financial services (except consumers of financial services), their affiliirovanny and related persons, state regulation and supervision of whom is exercised by Natskomfinuslug;

scheduled inspection - type of check of activities of the subject of managing by authorized persons of Natskomfinuslug in the sphere of provision of financial services provided by the plan of checks of Natskomfinuslug which affirms the order of Natskomfinuslug;

unscheduled inspection - type of check of activities of the subject of managing by authorized persons of Natskomfinuslug which is not provided by the plan of checks and is carried out on the bases determined by these rules;

authorized persons of Natskomfinuslug - the officials given to Natskomfinuslug authority to perform checks of subjects of managing, have the right to invite officials of this subject of managing for provision of explanations and to require provision by the subject of managing of necessary information and documents or properly attested copies of this documents (extraction from documents).

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