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

of May 2, 2023 No. 485

About approval of Changes in Regulations on implementation of financial monitoring by subjects of primary financial monitoring, state regulation and supervision of whose activities is exercised by the National commission on securities and the stock market,

According to Item "About state regulation of the capital markets and the organized goods markets" and 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" the National commission on securities and the stock market SOLVED 13 parts one of article 8 of the Law of Ukraine:

1. Approve changes in Regulations on implementation of financial monitoring by subjects of primary financial monitoring, state regulation and supervision of whose activities is exercised by the National commission on securities and the stock market, No. approved by the decision of the National commission on securities and the stock market of March 11, 2021 176, registered in the Ministry of Justice of Ukraine on April 19, 2021 at No. 532/36154, which are applied.

2. To provide to department of financial monitoring and conducting inspections (Misyur O.):

submission of this decision on state registration in the Ministry of Justice of Ukraine;

promulgation of this decision on the official website of the National commission on securities and the stock market.

3. This decision becomes effective from the date of its official publication.

4. Control over the implementation of this decision to assign to the member of the National commission on securities and the stock market Shapoval Yu.

 

In coordination: Chairman of Public service of financial monitoring of Ukraine

I. Cherkassky

Chairman of the National Bank of Ukraine

A. Magnificent

First Deputy Minister of digital transformation of Ukraine

O. Vyskub

Approved by the Decision of the National commission from securities of the stock market of Ukraine of May 2, 2023 No. 485

Changes in Regulations on implementation of financial monitoring by subjects of primary financial monitoring, state regulation and supervision of whose activities is exercised by the National commission on securities and the stock market,

1. In Chapter II:

1) in Item 1:

in subitem 8 of the word of "their workers" shall be replaced with words "the agent's workers";

in the subitem 9 after words of "faultless goodwill" to add with the words "and lack of nationality (citizenship) of the Russian Federation and/or Republic of Belarus";

Item 3 to state 2) in the following edition:

"3. The head (person which is temporarily performing powers of the head in case of its absence) and the deputy manager of the subject of primary financial monitoring, the chairman and members of supervisory authority of the subject of primary financial monitoring, the ranking officer (person which is temporarily performing powers of the ranking officer in case of its absence), the workers of the subject of primary financial monitoring involved to carrying out primary financial monitoring, the agent - the physical person, the head and the agent's workers - the legal entity, the performing identification and verification of clients of the subject of primary financial monitoring, cannot have citizenship (citizenship) of the Russian Federation and/or the Republic of Belarus.".

2. In Chapter III:

To add 1) in Item 3 after the words "have faultless goodwill" with words ", not to have citizenship (citizenship) of the Russian Federation and/or the Republic of Belarus";

2) in the subitem 2 of Item 7 of the word "crimes against public safety, property offense, crime in the field of economic activity, crime in the field of use of electronic computers (computers), systems and computer networks and networks of telecommunication and crime" shall be replaced with words "crimes against bases of homeland security of Ukraine, the world, safety of mankind and the international law and order, public safety, property, in the field of economic activity, in the field of use of electronic computers (computers), systems and computer networks and networks of telecommunication and";

3) in Item 13:

in subitem 1 after the words "have faultless goodwill" to add with the words "and not to have citizenship (citizenship) of the Russian Federation and/or the Republic of Belarus";

word in paragraph eight "crimes against public safety, property offense, the Crime in the field of economic activity, crime in the field of use of electronic computers (computers), systems and computer networks and networks of telecommunication and crime" shall be replaced with words "crimes against bases of homeland security of Ukraine, the world, safety of mankind and the international law and order, public safety, property, in the field of economic activity, in the field of use of electronic computers (computers), systems and computer networks and networks of telecommunication and".

3. In the Section V:

1) in Item 1 of the word "the physical persons providing agency services based on the agreement of the order on provision of such services which is signed with the administrator of non-state pension funds (further - agents of administrators of NPF)" shall be replaced with words "agents (the agent's workers)";

2) in Items 2, 3 words of "agents of administrators of NPF" shall be replaced with words "agents (the agent's workers)";

"Agents of administrators of NPF" shall be replaced with words 3) in item 4 of the word "agents (the agent's workers)".

4. In the Section VI:

in Item 2:

in paragraph eight after the word of "holders" to replace punctuation mark "." punctuation mark ";";

after the paragraph of the eighth to add with new paragraphs of the following content:

"the client to person who is the citizen of the Russian Federation and/or the Republic of Belarus (except citizens of such state to whom the participant status of fighting after April 14, 2014 is provided), and/or to person, the place of permanent residence (stay, registration) which is the Russian Federation and/or the Republic of Belarus;

the client to person who is legal resident person of the Russian Federation and/or the Republic of Belarus;

the client to person whose final beneficial owners are citizens of the Russian Federation and/or the Republic of Belarus (except citizens of such state to whom the participant status of fighting after April 14, 2014 is provided), and/or persons, the place of permanent residence (stay, registration) which is the Russian Federation and/or the Republic of Belarus;

the client to person, founder (the participant, the shareholder) or the owner of which directly or indirectly through other legal entities (trusts, other similar legal educations) is the Russian Federation and/or the Republic of Belarus;

the client to persons concerning whom by the subject of primary financial monitoring when implementing monitoring of financial transactions using risk - the oriented approach by results of check of source of means it is determined that the source of the means connected with financial transaction of such client comes from the Russian Federation and/or the Republic of Belarus;

the client to person performing transfer (obtaining) of assets in (from) Ukraine, using depository institutions, banks, other financial institutions and non-bank payment service providers, the place of stay and/or registration of which is the Russian Federation and/or the Republic of Belarus;

the client to persons concerning whom of the Unified State Register of Legal Entities, physical persons - entrepreneurs and public forming information on the final beneficial owner of the legal entity is excluded or the mark about recognition of structure of property of the legal entity by the National Bank of Ukraine opaque is brought.".

With respect thereto the ninth or twelfth to consider paragraphs respectively paragraphs the sixteenth or nineteenth.

5. In the Section IX:

Item 1 to add 1) with paragraphs the second or eighth the following content:

"The subject of primary financial monitoring shall establish high risk of business relations (financial transaction without establishment of business relations) and to perform the strengthened measures of proper check, in particular concerning such clients:

the clients who are citizens of the Russian Federation and/or the Republic of Belarus (except citizens of such state to whom the participant status of fighting after April 14, 2014 is provided), and/or faces, the place of permanent residence (stay, registration) which is the Russian Federation and/or the Republic of Belarus;

the clients who are legal resident persons of the Russian Federation and/or the Republic of Belarus;

clients whose final beneficial owners are citizens of the Russian Federation and/or the Republic of Belarus (except citizens of such state to whom the participant status of fighting after April 14, 2014 is provided), and/or persons, the place of permanent residence (stay, registration) which is the Russian Federation and/or the Republic of Belarus;

clients, founder (the participant, the shareholder) or the owner of which directly or indirectly through other legal entities (trusts, other similar legal educations) is the Russian Federation and/or the Republic of Belarus;

clients concerning whom by the subject of primary financial monitoring when implementing monitoring of financial transactions using risk - the oriented approach by results of check of source of means it is determined that the source of the means connected with financial transaction of such client comes from the Russian Federation and/or the Republic of Belarus;

the clients performing transfer (obtaining) of assets in (from) Ukraine, using depository institutions, banks, other financial institutions and non-bank payment service providers, the place of stay and/or registration of which is the Russian Federation and/or the Republic of Belarus.";

Shall be replaced with words 2) in Item 8 of the word "in the state (jurisdiction) from the list of the states which are not implementing recommendations of FATF" "in the Russian Federation and/or in the Republic of Belarus, and/or in the state (jurisdiction), not implementing or inadequate image implementing recommendations of the international, intergovernmental organizations involved in the field of fight against legalization (washing) of income gained in the criminal way, financing of terrorism or financing of distribution of weapons of mass destruction".

6. In the Section X:

Item 3 to state 1) in the following edition:

"3. The procedure of implementation of verification in the mode of video broadcasting can be used by the subject of primary financial monitoring for clients - physical persons and physical persons - representatives of clients who are residents or nonresidents who are registered in the state which is the member of the European Union and/or the member Gruppy on development of financial measures of anti-money laundering (FATF) except the Russian Federation, except for citizens of the Russian Federation to whom the participant status of fighting after April 14, 2014 is provided.".

7. In the Section XI:

Item 3 to state 1) in the following edition:

"3. Agents - physical persons and the agent's workers - the legal entity shall participate regularly in educational and practical actions according to Procedure for training of personnel (workers) for the subject of primary financial monitoring that is confirmed by their signatures.";

2) in Item 5:

state subitem 2 in the following edition:

"2) availability/lack of criminal record at physical person agent or the head of the agent legal entity who is not extinguished and is not removed in the procedure established by the legislation, for the crimes provided in Sections I, VI, VII, IX, XVI, XVII, XX of the Special part of the Criminal code of Ukraine;";

state subitem 8 in the following edition:

"8) participants and/or the final beneficial owner the state (territory) are not the state of accommodation (stay, registration): it is carried by the Cabinet of Ministers of Ukraine to the list of offshore zones; Russian Federation; Republic of Belarus; the territory determined by the Law of Ukraine "About features of state policy by ensuring the state sovereignty of Ukraine in temporarily occupied territories in the Donetsk and Luhansk regions".";

8, 9 after words of "agents" to add 3) in Items with words "(the agent's workers)";

"Agent" to add 4) in the subitem 1 of Item 9 after words with words "(the agent's worker)";

5) in Item 10:

in paragraph one after the words "Subject of Primary Financial Monitoring" of the word "administrator of non-state pension funds" to exclude;

in the subitem 2 after the word of "clients" punctuation mark "." to replace with punctuation mark ";";

add Item with the subitem 3 following of content:

"3) discrepancies to the requirements, stipulated in Item 5 these Sections which arose after the conclusion with the agent of the agreement of the order.".

8. In the Section XII:

The subitem 2 of Item 5 to state 1) in the following edition:

"2) the state of accommodation (stay, registration) of participants and/or the final beneficial owner is not the state (territory): it is carried by the Cabinet of Ministers of Ukraine to the list of offshore zones; the state (jurisdiction) which does not carry out or implements inadequate image recommendations of the international, intergovernmental organizations involved in the field of fight against legalization (washing) of income gained in the criminal way, either financing of terrorism or financing of distribution of weapons of mass destruction; Russian Federation; Republic of Belarus; the territory determined by the Law of Ukraine "About features of state policy by ensuring the state sovereignty of Ukraine in temporarily occupied territories in the Donetsk and Luhansk regions";".

 

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