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RESOLUTION OF BOARD OF THE NATIONAL BANK OF UKRAINE

of December 20, 2023 No. 167

About approval of the Regulations on the organization and conducting inspection checks in the markets of non-bank financial services

According to Articles 7, of 15, 55-1, 56 of the Law of Ukraine "About the National Bank of Ukraine", to Articles 21-26, 46, of 47, to Item 30 of the Section VII of the Law of Ukraine "About financial services and finance companies", to Articles 114, of 116, to Item 25 of the Section XV of the Law of Ukraine of November 18, 2021 No. 1909-IX "About insurance", to Articles 37, of 43, of 44, to Item 16 of the Section XI of the Law of Ukraine of July 14, 2023 No. 3254-IX "About credit unions", article 5 of the Law of Ukraine "About consumer crediting", for the purpose of settlement of procedure for carrying out and registration of results of inspection checks of activities of persons, carrying out and registrations of results of inspection checks of activities of persons which are covered by supervising activities of the National Bank of Ukraine in the markets of non-bank financial services the Board of the National Bank of Ukraine DECIDES:

1. Approve Regulations on the organization and conducting inspection checks in the markets of non-bank financial services which are applied (further - the Provision).

2. Inspection checks of the legal entity who is not financial institution, but had the right to provide financial service of financial leasing which as of January 1, 2024 had license for activities on financial leasing during the period before renewal of such license according to Item 25 of the Section VII of the Law of Ukraine "About financial services and finance companies" are carried out according to requirements of the Provision according to the procedure, determined for inspection checks of the non-bank supplier of financial services.

3. Failure to carry out of decisions of the National Bank of Ukraine on application of the corrective actions remaining acting as of December 31, 2023 since January 1, 2024 can be the basis for carrying out by the National Bank of Ukraine according to requirements of the Provision of unscheduled inspection inspection for persons to which such corrective actions were applied.

4. Declare invalid:

1) the resolution of Board of the National Bank of Ukraine of February 26, 2021 No. 22 "About approval of the Regulations on the organization, carrying out and registration of results of inspection checks of participants of the markets of non-bank financial services";

2) the subitem 3 of Item 2 of the resolution of Board of the National Bank of Ukraine of January 06, 2023 No. 1 "About approval of the Regulations on licensing of Export credit agency and condition of implementation by it of activities for insurance, reinsurance, provision of guarantees and modification of some regulatory legal acts of the National Bank of Ukraine";

3) the subitem 3 of Item 1 of the resolution of Board of the National Bank of Ukraine of March 31, 2023 No. 42 "About approval of changes in some regulatory legal acts of the National Bank of Ukraine";

4) Item 2 of the resolution of Board of the National Bank of Ukraine of November 17, 2023 No. 147 "About modification of some regulatory legal acts of the National Bank of Ukraine".

5. To department of methodology of regulation of activities of non-bank financial institutions (Sergey Savchuk) after official publication to inform participants of the market of non-bank financial services information on adoption of this resolution.

6. The resolution becomes effective since January 1, 2024.

Approved by the Resolution of Board of the National Bank of Ukraine of December 20, 2023 No. 167

Regulations on the organization and conducting inspection checks in the markets of non-bank financial services

I. General provisions

1. This Provision is developed according to the Laws of Ukraine "About the National Bank of Ukraine", "About financial services and finance companies" (further - the Financial services act and finance companies), "About insurance" of November 18, 2021 No. 1909-IX (further - the Insurance law), "About credit unions" of July 14, 2023 No. 3254-IX (further - the Law on credit unions), "About consumer crediting", for the purpose of settlement of process of the organization, carrying out by the National Bank of Ukraine (further - National Bank) inspection checks of activities of persons covered by supervising activities of National Bank according to part seven of Article 23 of the Financial services act and finance companies (further - objects of check), and registrations of their results.

2. Terms in this Provision are used in the following values:

1) date of inspection check date as of which inspection check is performed;

2) the certificate of inspection check document of the established form, constituted by inspectors/inspectors by results of inspection check of separate type / separate types of activity (transactions) of object of check or aspects of activities / the separate transactions performed by object of check which form affirms person determined according to the subitem 18 of Item 2 of the Section I of this provision;

3) the e-mail address of object of check - the e-mail address of object of check provided to National Bank according to the procedure, determined in the regulatory legal acts of National Bank regulating questions of authorization of suppliers of financial services is determined by general requirements to documents and procedure for their submission to National Bank within separate procedures; the e-mail address of object of check provided to the head of inspection team;

4) the report on inspection check document on results of the carried-out inspection inspection created by the head of inspection team taking into account certificates of inspection check and other information whose form affirms the authorized officer of National Bank;

5) the inspector person, authorized by National Bank on implementation of inspection check according to the administrative act of National Bank of conducting inspection check;

6) inspection check form of implementation of supervision of implementation of activities for provision of financial and/or accompanying services in the location of object of check to the address determined according to Item 14 of the Section I of this provision and/or to other address determined according to requirements of the this provision who are carried out by representatives according to the administrative act of National Bank of conducting inspection check by persons;

7) information collection interview method when implementing inspection check in the form of conversation (conversation) with fixing of the questions concerning the program of scheduled inspection inspection and questions of unscheduled inspection inspection, and answers to them;

8) the head of inspection group - the official of National Bank to who the obligation of conducting inspection checks determined in the administrative act of National Bank of conducting inspection check which performs direct management of process of inspection check by inspectors is assigned signs the report on inspection check, requests and other documents which are constituted during inspection check (if necessary);

9) the head of object of check - sole executive body or the chairman of collegiate executive body of object of check, and in case of its absence - the member of collegiate executive body or the member of council (the observation, the observation - in the presence) object of check or other official of object of check fulfilling duties of the head of object of check for its temporary absence;

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