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RESOLUTION OF BOARD OF THE NATIONAL BANK OF UKRAINE

of May 21, 2015 No. 328

About approval of the Regulations on procedure for submission of data on structure of property of bank

(as amended on 03-12-2021)

According to Articles 7, of 15, of 55, 56 Laws of Ukraine "About the National Bank of Ukraine", to the Law of Ukraine "About banks and banking activity", to the Law of Ukraine "About modification of some legal acts of Ukraine concerning responsibility of the faces tied with bank", for the purpose of enhancement of procedure for submission of data on structure of property of the Board of the National Bank of Ukraine bank decide:

1. Approve Regulations on procedure for submission of data on structure of property of bank (further - the Provision) which are applied.

2. Recognize invalid:

1) Item 2 of the resolution of Board of the National Bank of Ukraine of September 08, 2011 No. 306 "About approval of some regulatory legal acts of the National Bank of Ukraine", registered in the Ministry of Justice of Ukraine on October 18, 2011 on No. 1203/19941;

2) the paragraph third Item 1 of the resolution of Board of the National Bank of Ukraine of July 25, 2013 No. 296 "About approval of Changes to Regulations on order of registration and licensing of banks, opening of separate divisions and to Regulations on procedure for submission of data on structure of property", registered in the Ministry of Justice of Ukraine on August 15, 2013 at No. 1413/23945;

3) the paragraph third Item 1 of the resolution of Board of the National Bank of Ukraine of January 14, 2015 No. 10 "About approval of Changes to Regulations on order of registration and licensing of banks, opening of separate divisions and to Regulations on procedure for submission of data on structure of property".

3. To provide to banks within two weeks from the date of entry into force of this resolution to the National Bank of Ukraine of the data on the structure of property in paper and in electronic form according to appendices 1-3 to the Provision, and also the schematic image of structure of property of bank determined by the Provision on the effective date the Law of Ukraine "About modification of some legal acts of Ukraine concerning responsibility of the faces tied with bank" and for date of submission of these data in the National Bank of Ukraine.

To development of the software for submission of data on structure of property to submit data on structure of property in electronic form (except passport data of physical persons, complete addresses of their accommodation and registration numbers of accounting cards of taxpayers) in format of the PDF files by e-mail 41BANR@U0H2 of Department of registration questions and licensing.

4. To owners of essential participation in bank and key participants in structure of property of bank within one week from the date of entry into force of this resolution to provide to bank of the information about itself, information on the form, necessary for forming, given in appendices 2 and 3 to the Provision.

5. In the Provision the term "public company" is used in such value:

"The public company - the foreign legal entity created in the form of public joint stock company which shares are included in stock exchange lists (underwent the procedure of listing) and are admitted to trading in regulated segment of qualified stock exchange. The stock exchange is recognized qualified if:

it is created according to the legislation of the member state of the European Union or

cumulative market capitalization of the companies which shares are included (are admitted) to trading at such exchange, exceeds equivalent of 100 000 000 000 US dollars as of the last month the year preceding year in which the company is recognized public for the purposes of this provision".

6. To department of methodology (Ivanenko N. V.) to bring contents of this resolution to the attention of banks of Ukraine for use in work.

7. To department of information technologies (Nagornyuk V. V.) to finish the software on submission of data on structure of property in electronic form taking into account requirements of the Provision and to bring it to the attention of banks.

8. To impose control over the implementation of this resolution on the First Deputy Chairman of the National Bank of Ukraine Pisaruk A. V.

9. The resolution becomes effective from the date of, its official publication following behind day.

Acting Chairman

A. V. Pisaruk

Approved by the Resolution of Board of the National Bank of Ukraine of May 21, 2015 No. 328

Regulations on procedure for submission of data on structure of property of bank

I. General provisions

1. This Provision is developed according to the Laws of Ukraine "About banks and banking activity", "About the National Bank of Ukraine" and determines requirements and procedure for submission by banks of data on structure of property of bank the National Bank of Ukraine (further - National Bank).

2. The bank and/or the legal entity who intends to perform banking activity (further - bank) give to National Bank of the data on the structure of property according to the procedure, determined by this Provision and the regulatory legal act of National Bank which regulates order of registration and licensing of banks.

3. Final key participants are key participants - physical persons, and also key participants - legal entities who do not incorporate key participants.

Final key participants also is the state (on behalf of relevant organ of the government), territorial community (on behalf of relevant organ of local self-government), international financial institution, and also the public company.

4. The structure of property of bank shall conform to the requirements for transparency determined by this Provision.

The structure of property of bank is transparent if the following requirements are at the same time fulfilled:

Data on structure of property of bank allow to determine 1):

all persons having direct and/or indirect essential participation in bank or possibility of considerable or decisive influence on management and/or activities of bank;

all key members of bank and all key members of all legal entities in chain of ownership of corporate laws of bank;

nature of interrelations between persons stated above;

2) documents on structure of property of bank conform to requirements of this provision;

3) data on structure of property of bank are submitted to National Bank and posted on the website of bank on the Internet (in the separate Section under the name "Structure of Property of Bank") and on pages of Official Internet representative office of National Bank in the form determined by National Bank.

The structure of property of bank is opaque if it does not conform to the requirements for transparency determined in this Item and also in the presence of the circumstances determined in Items 5 and 6 of this Section.

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