RESOLUTION OF BOARD OF THE NATIONAL BANK OF UKRAINE

of December 14, 2017 No. 130

About approval of Changes in Regulations on procedure for issue of individual licenses on transfer of foreign currency out of limits of Ukraine for payment of bank metals and carrying out separate currency transactions

According to Articles 7, of 15, of 44, 56 Laws of Ukraine "About the National Bank of Ukraine", Articles 5, of 11, 13 Decrees of the Cabinet of Ministers of Ukraine of February 19, 1993 No. 15-93 "About system of currency control and currency exchange control", for the purpose of normative settlement of carrying out separate currency transactions by the National Bank of Ukraine the Board of the National Bank of Ukraine decides:

1. Approve Changes in Regulations on procedure for issue of individual licenses on transfer of foreign currency out of limits of Ukraine for payment of bank metals and the carrying out separate currency transactions approved by the resolution of Board of the National Bank of Ukraine of the June 17, 2004 No. 266, registered in the Ministry of Justice of Ukraine on July 16, 2004 for No. 897/9496 (with changes) which are applied.

2. To department of the public markets (Ponomarenko S. V.) after official publication to inform banks information on adoption of this resolution.

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

Approved by the Resolution of Board of the National Bank of Ukraine of December 14, 2017 No. 130

Changes in Regulations on procedure for issue of individual licenses on transfer of foreign currency out of limits of Ukraine for payment of bank metals and carrying out separate currency transactions

1. In Chapter 1:

1) in Item 1.3 of the word and figures "of 29.01.2003 No. 36 "About implementation of transactions with securities of the Ukrainian issuers", registered in the Ministry of Justice of Ukraine 05.02.2003 for No. 90/7411 (with changes)," to exclude;

2) in Item 1.5:

in the paragraph the second the words "periodic fees for" shall be replaced with words "periodic fees for participation of this resident and/or";

word in paragraph four "subjects of managing - residents of Ukraine abroad" shall be replaced with words "abroad physical persons";

after the paragraph of the tenth to add Item with the new paragraph the eleventh the following content:

"pleasure the resident borrower of the return requirement of the nonresident guarantor (guarantor) who transferred foreign currency to authorized creditor bank, within the amount which this guarantor (guarantor) paid according to the agreement of guarantee (guarantee) for obligations of such resident borrower, provided by the corresponding credit agreement with authorized creditor bank.".

With respect thereto the eleventh - the thirteenth to consider paragraphs respectively paragraphs the twelfth - the fourteenth;

in the paragraph the fourteenth words and figures "and the resolution of Board of the National Bank of Ukraine "About money transfer in national and foreign currency for benefit of nonresidents on some transactions" of 30.12.2003 No. 597, No. 159/8758, registered in the Ministry of Justice of Ukraine 05.02.2004" to exclude.

2. In Item 2.3 of Chapter 2:

The subitem "b" to state 1) in the following edition:

"b) reasons for need of money transfer out of limits of Ukraine with copies of supporting documents [agreements (agreements), contracts, calculations] certified properly and other documents submitted depending on transaction essence;";

The subitem "g" to exclude 2).

With respect thereto to consider subitems "g", "d" respectively subitems "g", "ґ";

Paragraph one of the subitem "g" to add 3) with the words "or the copies of these documents certified properly";

Paragraph one of the subitem "g" after words of "currency transaction" to add 4) with the words "and studying of participants of transaction [in particular, clarifications of structure of property, establishment of all available final beneficial owners (controllers) or the fact of their absence]";

5) to add Item with the new subitem "d" of the following content:

"e) the reference of the applicant in any form about him the opened current accounts in authorized banks (for applicants - legal entities and physical persons entrepreneurs). The reference shall contain information on the name of authorized bank(s), account currency(currencies) (ов), in date(s) of opening of the account (ов), remaining balance of means on the account (ah), general amount(s) transfer and write-off of means on the account (Amy) at least for the last six months. Information is specified in the reference as of date of creation of the statement receipt of the license. The reference is signed by the applicant (authorized by him person).".

3. The second and third offers of Item 3.2 of Chapter 3 to state in the following edition: "The National Bank has the right to address the applicant, state bodies, organizations, departments, authorized banks, other subjects of managing and physical persons for receipt of information, documents and the conclusions concerning participants of transaction, essence and purpose of this transaction, compliance of essence of transaction of content of activities of the applicant, sources of origin of means (assets) of the applicant, sufficiency of real financial opportunities of the applicant to carry out (to initiate) financial transaction on the corresponding amount, economic feasibility (sense) of transaction. The National Bank stops consideration of documents of the applicant for licensing and resumes their consideration after obtaining requested information, documents and the conclusions.".

4. In Chapter 4:

1) in Item 4.9:

in the paragraph the second words and figures "Items 2. 2.2, 2.3 of Chapter 2" to replace 1, with the word and figure to "Chapter 2";

third to state the paragraph in the following edition:

"obtaining/detection of documents by National Bank which demonstrate submission of incomplete/unreliable/contradictory information by the applicant, including about final beneficial owners (controllers) of the applicant - the legal entity and/or other party of currency transaction and/or documents which were invalid their representations, (invalid) for date;";

in paragraph eight of figure "3.4" to replace with figures "3.2";

after the paragraph of the ninth to add Item with six new paragraphs of such content:

"the transactions specified in the documents submitted by the applicant to National Bank which are not requiring receipt of the license;

excitement concerning the applicant of case on bankruptcy or finding of the applicant in the course of the termination;

insufficient justification of economic feasibility (sense) of transaction on transfer of foreign currency abroad and/or insufficiency of financial opportunity to carry out (to initiate carrying out) this transaction(s);

submission of documents by the applicant, is face which disappears from bodies of pre-judicial investigation / consequence / court / authorities according to information posted on the official website of the Ministry of Internal Affairs of Ukraine (in search accounting "Persons who disappear from authorities") and/or on the Single state web portal of open data (according to the Ministry of Internal Affairs about persons disappearing from authorities);

detection of information that the participant of the transaction or person, in advantage or for the benefit of which this operation is performed the legal entity or physical person taking place of stay, the residence, the location, place of registration in the country which is included in the list of the countries (territories) which do not carry out is or inadequate image implements recommendations of the international, intergovernmental organizations performing activities in the field of fight against legalization (washing) of income gained in the criminal way, or financing of terrorism and/or to which the international sanctions and/or sanctions according to the procedure are applied, provided by the Law of Ukraine "About sanctions", and/or sanctions of other foreign states or interstate associations;

identification within the year preceding receipt date of document package, violation established facts (or in the presence at National Bank of documentary confirmed information from special bodies on fight against organized crime or public authorities about violation) the applicant of requirements of the bank law of Ukraine, the foreign exchange legislation of Ukraine, the legislation of Ukraine concerning regulation of the markets of financial services, in the field of prevention and counteraction of legalization (washing) of income gained in the criminal way or to financing of terrorism and/or to the applicant applies corrective actions or penalties for violation of the above-stated legislation of Ukraine.";

2) items 4. 4.12 to state 11, in the following edition:

"4.11. The duplicate of the license (changes in the license), in case of loss or the damage of the license (changes in the license) issued according to the legislation of Ukraine.

The duplicate of the license (changes in the license) is issued to the owner of the license only during its action and after payment of service in issue of this duplicate in the amount of, established by regulatory legal acts of National Bank concerning approval of rates for services in registration and licensing.

4.12. Can be the bases for cancellation of the license:

written refusal of resident of carrying out transaction;

violation of conditions of the license, requirements of the legislation of Ukraine;

identifications by National Bank of the documents witnessing about submissions of incomplete/unreliable/contradictory information by the owner of the license including about final beneficial owners (controllers) of the applicant - the legal entity and/or other party of currency transaction and/or documents which were invalid their representations, (invalid) for date;

excitement concerning the applicant of case on bankruptcy or finding of the applicant in the course of the termination;

liquidation of the legal entity and cancellation of state registration of the physical person - the entrepreneur according to the legislation of Ukraine.";

3) in Item 4.14:

the paragraph one to add with the new offer of such content: "The National Bank does not notify the owner of the license on cancellation of the license in case of its liquidation / cancellation of state registration.";

exclude paragraph two.

5. In appendices to the Provision:

Appendices 1 - 4 to be reworded as follows 1):

"Appendix 1

to Regulations on procedure for issue of individual licenses on transfer of foreign currency out of limits of Ukraine for payment of bank metals and carrying out separate currency transactions

(in edition of the Resolution of Board of the National Bank of Ukraine of December 14, 2017 No. 130)
(Item 2.1 of Chapter 2)

The statement for issue to physical resident person of the individual license on transfer of foreign currency out of limits of Ukraine for the purpose of fee under the agreements (insurance policies, certificates, certificates) of life insurance signed with nonresidents

See Appendix 1 (7Kb In original language)

Appendix 2

to Regulations on procedure for issue of individual licenses on transfer of foreign currency out of limits of Ukraine for payment of bank metals and carrying out separate currency transactions

(in edition of the Resolution of Board of the National Bank of Ukraine of December 14, 2017 No. 130) (Item 2.3 to Chapter 2)

The statement for issue to the subject of resident managing of the individual license on transfer of foreign currency out of limits of Ukraine

See Appendix 2 (8Kb In original language)

Appendix 3

to Regulations on procedure for issue of individual licenses on transfer of foreign currency out of limits of Ukraine for payment of bank metals and carrying out separate currency transactions

(in edition of the Resolution of Board of the National Bank of Ukraine of December 14, 2017 No. 130) (Item 4.2 of Chapter 4)

The individual license on the transfer right out of limits of Ukraine of foreign currency for payment of bank metals

See Appendix 3 (7Kb In original language)

Appendix 4

to Regulations on procedure for issue of individual licenses on transfer of foreign currency out of limits of Ukraine for payment of bank metals and carrying out separate currency transactions

(in edition of the Resolution of Board of the National Bank of Ukraine of December 14, 2017 No. 130) (Item 4.2 of Chapter 4)

The individual license on transfer of foreign currency out of limits of Ukraine

See Appendix 4 (8Kb In original language)

2) in appendix 5 of the word "full name" shall be replaced with words "full name";

3) in appendix 6 of the word" (the name and the location of the owner of the license)" to replace "full name" respectively with words "(the name and the location of the owner of the license) or surname, name, middle name, the place of residence of the owner of the license)", "full name";

4) in appendix 7 of the word "full name" shall be replaced with words "full name";

5) in appendix 8:

replace the words "name", "full name" respectively with the words "name", "full name";

the offer "The owner of the individual license after receipt of this order shall return the original of the individual license to 10-day time from _________ to No. ______ to the National Bank of Ukraine." to exclude.

It is approved: Vice-chairman of the National Bank of Ukraine

A. E. Churi

 

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