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Ministry of Justice of Ukraine

October 22, 2015

No. 1283/27728

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

of October 1, 2015 No. 2372

About approval of the Procedure for application of the sanctions provided by the Law of Ukraine "About prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction", presentations of requirements and control of their accomplishment 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

For the purpose of ensuring accomplishment of item 4 of part two of article 14 of the Law of Ukraine "About prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction" according to subitems 138 and 139 of Item 4, 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 decided:

1. Approve the Procedure for application of the sanctions provided by the Law of Ukraine "About prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction", presentations of requirements and control of their accomplishment by the National commission performing state regulation in the sphere of the markets of financial services which is applied.

2. Recognize invalid:

the order of State commission on regulation of the markets of financial services of Ukraine of November 13, 2003 No. 120 "About approval of the Procedure for application by State commission on regulation of the markets of financial services of Ukraine of penalties for non-execution (improper execution) of requirements of the Law of Ukraine "About prevention and counteraction of legalization (washing) of income gained in the criminal way", registered in the Ministry of Justice of Ukraine on November 27, 2003 at No. 1087/8408;

the order of State commission on regulation of the markets of financial services of Ukraine of February 19, 2004 No. 85 "About modification of the order of State commission on regulation of the markets of financial services of Ukraine of 13.11.2003 No. 120", registered in the Ministry of Justice of Ukraine on March 18, 2004 for No. 341/8940;

the order of State commission on regulation of the markets of financial services of Ukraine of April 07, 2011 No. 186 "About modification of the Procedure for application by State commission on regulation of the markets of financial services of Ukraine of penalties for non-execution (improper execution) of requirements of the Law of Ukraine "About prevention and counteraction of legalization (washing) of income gained in the criminal way", registered in the Ministry of Justice of Ukraine on May 5, 2011 at No. 545/19283.

3. To provide to development department of the markets of financial services and international cooperation together with department of legal providing and maintaining the register of financial institutions submission of this order to the Ministry of Justice of Ukraine for state registration.

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

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

6. Control over the implementation of this order to assign to the member Natskomfinuslug Gurbich A. I.

Commission chairman

I. Pashko

Approved by the Order of the National commission performing state regulation in the sphere of the markets of financial services of October 1, 2015 No. 2372

Procedure for application of the sanctions provided by the Law of Ukraine "About prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction", presentations of requirements and control of their accomplishment by the National commission performing state regulation in the sphere of the markets of financial services

1. This Procedure is developed according to Articles 14, 24 and 28 Laws of Ukraine "About prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction" (further - the Law), 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.

2. Action of this Procedure extends to subjects of primary financial monitoring, state regulation and supervision of whom in the sphere of prevention and counteraction of legalization (washing) of income gained in the criminal way to financing of terrorism and financing of distribution of weapons of mass destruction according to Item 3 parts one of article 14 of the Law is performed by Natskomfinuslug:

payment institutes of payment systems and participants or members of payment service providers (regarding provision of financial services, except services in money transfer);

insurers (overcautious persons), insurance (reinsurance) brokers;

pawnshops and other financial institutions, and also legal entities who according to the legislation provide financial services (except financial institutions and other legal entities concerning whom state regulation and supervision in the sphere of prevention and counteraction of legalization (washing) of income gained in the criminal way, to either financing of terrorism or financing of distribution of weapons of mass destruction are performed by other subjects of the state financial monitoring.

3. Terms which are applied in this Procedure are accepted in the values given in the Law.

4. The failure to carry out facts (inadequate accomplishment) of the requirements of the Law and/or regulatory legal acts regulating activities in the sphere of prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction come to light officials of Natskomfinuslug:

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