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RESOLUTION OF BOARD OF THE NATIONAL BANK OF UKRAINE

of April 23, 2024 No. 47

About introduction of amendments to the resolution of Board of the National Bank of Ukraine of March 23, 2022 No. 60

According to Articles 7, 15, 44, 55, 56 Laws of Ukraine "About the National Bank of Ukraine", article 18 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", article 11 of the Law of Ukraine "About currency and currency transactions", Articles 1, of 4, 5 Laws of Ukraine "About sanctions", the Presidential decree of Ukraine of February 24, 2022 No. 64/2022 "About introduction of warlike situation in Ukraine", No. 2102-IX approved by the Law of Ukraine of February 24, 2022 "About approval of the Presidential decree of Ukraine "About introduction of warlike situation in Ukraine"" for the purpose of determination of additional features of accomplishment of separate requirements of the legislation in the field of financial monitoring, currency supervision, supervision in the field of realization of special economic and other rationing measures (sanctions) during action of the warlike situation Board of the National Bank of Ukraine decides:

1. Bring in the resolution of Board of the National Bank of Ukraine of March 23, 2022 No. 60 "About features of accomplishment of separate requirements of the legislation in the field of financial monitoring, currency supervision, supervision concerning realization and monitoring of efficiency of personal special economic and other rationing measures (sanctions) during action of warlike situation" (with changes) the following changes:

Heading to state 1) in the following edition:

"About features of accomplishment of separate requirements of the legislation in the field of financial monitoring, currency supervision, supervision in the field of realization of special economic and other rationing measures (sanctions) during action of warlike situation";

2) in paragraph one of the subitem 1 of Item 2 of the word "eighth", "ninth" to replace respectively with words of "ninth", "tenth";

3) in Item 6:

add subitem 1 with the new paragraph of the following content:

"SPFM documentary confirms the fact of establishment/impossibility of establishment of contact with the client for the purpose of implementation of updating of data on the client;";

in subitem 2 of the word "with use" shall be replaced with words", including use";

Items 7-12-9 to replace 4) with twenty eight new Items 7-12-22 of the following content:

"7. SPFM during provision of banking or other financial services / establishments of business relations have the right to accept from physical person the identification document which effective period expired no more than in 30 days prior to February 24, 2022 and after February 24, 2022 and also to which the photo of person in case of achievement by it 25 is not pasted - or 45-year age, gluing in term to which came no more than in 30 days prior to February 24, 2022 and after February 24, 2022, and if the physical person has no other identity document.

8. SPFM shall provide updating of earlier obtained data on the client regarding the identification documents of the client specified in Item 7 of this resolution which effective period expired or to which the photo is timely not pasted, according to the procedure, determined in the Provision No. 65 and the Provision No. 107, and taking into account Item 6 of this resolution.

9. Banks of Ukraine during video verification can receive the pension certificate as the additional document determined in the subitem 2 of Item 12 of appendix 3 to the Provision No. 65 from physical person.

10. The National Bank of Ukraine for action of warlike situation exercises permanent supervision, exit checks in the field of financial monitoring, currency supervision, supervision in the field of realization of special economic and other rationing measures (sanctions), observance of requirements of the regulatory legal acts of the National Bank of Ukraine determining features of functioning of bank system of Ukraine in case of introduction of warlike situation in part of implementation of currency transactions and accomplishment of separate requirements of the legislation in the field of financial monitoring according to Regulations on procedure for the organization and implementation of supervision in the field of financial monitoring, currency supervision, supervision in the field of realization of special economic and other rationing measures (sanctions), the Board of the National Bank of Ukraine approved by the resolution of June 30, 2020 No. 90 (in edition of the resolution of Board of the National Bank of Ukraine of April 04, 2024 No. 37) (further - No. Provision 90), taking into account the features determined by this resolution.

11. The paragraph two of Item 34 of the Section II and Items 100-104 of the Section V of the Provision No. 90 are not applied to the Subject specified in Item 1 of the Section I of the Provision No. 90 (further - the Subject), and to the National Bank of Ukraine.

12. Person, the representative to represent Subjekt's interests for the period of conducting its exit check, for the purposes of this resolution the head of the subject is considered or in case of its absence the face authorized by the head Subjekta or relevant organ of management of Subjekt to represent Subjekt's interests for the period of conducting exit check.

12-1. The head Subjekta for the purpose of creation of conditions for conducting exit check in case of the temporary absence / impossibility to carry out the obligations shall designate the official who will fulfill duties of the head Subjekt for temporary absence of the head Subjekt, and/or to designate person, authorized to represent Subjekt's interests for the period of conducting exit check.

12-2. The address of the location of the Subject which is bank for the purposes of this resolution is determined according to data:

1) the Unified State Register of Legal Entities, physical persons entrepreneurs and public forming (dalee-EGR) regarding legal address of such Subject;

2) placed on the page of official Internet representative office of the National Bank of Ukraine regarding the address of the isolated structural divisions of such Subject;

3) provided by such Subject to the National Bank of Ukraine (including data in response to the notification on conducting scheduled exit inspection sent to such Subject or on request of the National Bank of Ukraine) if they are presented not later than five working days prior to exit check.

12-3. The address of the location of the Subject (except banks) for the purposes of this resolution is determined according to data:

1) EGR;

2) provided by such Subject to the National Bank of Ukraine (including data in response to the notification on conducting scheduled exit inspection sent to such Subject or on request of the National Bank of Ukraine) if they are presented not later than five working days prior to exit check.

Members of inspection team are guided by information from EGR in case of determination of availability (absence) of such Subject on the location if such Subject changed the location and did not send the message to the National Bank of Ukraine about such change.

12-4. The National Bank of Ukraine has the right to send to the Subject the written request concerning determination of the address of the location of the Subject which will be used for conducting exit check.

12-5. The subject shall give to the National Bank of Ukraine of documents/copy of documents, certified according to the procedure, established by the legislation of Ukraine which confirm right of possession or uses of the room to the address of the location of the Subject if the address of the location of such Subject which will be used for conducting exit check is determined according to the data provided by it the Subject to the National Bank of Ukraine.

12-6. Person, authorized to represent the interests of the Subject for the period of conducting exit check, shall arrive to the address of the location of the Subject during the first day of exit check.

12-7. The head or the deputy manager of inspection team draws up the statement of refusal in conducting exit check (further - the act of refusal) in case of refusal the Subject in conducting exit check by the National Bank of Ukraine in case of approach of one, several or all cases:

1) not admission of members of inspection team to implementation of exit check to the address of the location of the Subject;

2) failure to provide by the Subject documents, information on the questions which are subject to exit check that makes impossible conducting exit check;

3) refusal in access to rooms to the address of the location of the Subject, and also the rooms used for the purpose of provision of services/conducting activities of the Subject;

4) absence to the address of the location of the Subject during the first day of exit check of person, the representative to represent the interests of the Subject for the period of conducting exit check;

5) other cases testimonial of refusal in conducting exit check.

12-8. The statement of refusal is drawn up during exit check in paper form at least in duplicate or in electronic form and signed by the head, the deputy manager of inspection team (one of them in case of temporary lack of another), members of inspection team.

12-9. In the act of refusal are specified:

1) date of its creation;

2) place of its assembly;

3) time of its assembly;

4) its registration number;

5) date and number of the order on conducting exit check;

6) type of exit check (planned or unplanned);

7) the period which is subject to exit check;

8) term of conducting exit check;

9) form of business of the Subject;

10) name of the Subject;

11) identification code of the Subject;

12) address of the location of the Subject;

13) date and arrival time of inspection team to the address of the location of the Subject;

14) the delivery/not delivery fact to the address of the location of the Subject of the copy of the order on conducting exit check in paper form (in the cases determined in the subitem 2 of Item 16 and the subitem 3 of Item 23 of the Section II of Provisions No. 90);

15) the fact of direction/obtaining (delivery) of the order on conducting exit check in the form of the electronic document / copy of the order on conducting exit check in paper form (in the subitems 1 of Item 16 and subitems 1 and 2 of Item 23 of the Section II of Provisions No. 90 determined Item in paragraph one 15, cases);

16) surname, own name, middle name (in the presence), position of person, representative to represent the interests of the Subject for the period of conducting exit check which to the address of the location of the Subject is handed the copy of the order on conducting exit check (in the cases determined in the subitem 2 of Item 16 and the subitem 3 of Item 23 of the Section II of Provisions No. 90);

17) not delivery reasons to the address of the location of the Subject of the copy of the order on conducting exit check (in the cases determined in the subitem 2 of Item 16 and the subitem 3 of Item 23 of the Section II of Provisions No. 90);

18) the detailed description of the facts of refusal of the Subject in conducting exit check, including:

not admission of members of inspection team to implementation of exit check to the address of the location of the Subject;

failure to provide by the Subject documents, information on the questions which are subject to exit check that makes impossible conducting exit check;

refusal in access to rooms to the address of the location of the Subject, and also the rooms used for the purpose of conducting activities of the Subject;

absence to the address of the location of the Subject during the first day of exit check of person, the representative to represent the interests of the Subject for the period of conducting exit check;

other cases testimonial of refusal in conducting exit check;

19) the fact of failure of face, the representative to represent the interests of the Subject for the period of conducting exit check, from receipt of the act of refusal;

20) surname, own name, middle name (in the presence), position of person, representative to represent the interests of the Subject for the period of conducting exit check in the presence of which the act of refusal is signed (in the presence of such person to the address of the location of the Subject at the time of creation of the act of refusal);

21) information on structure of the inspection team (with indication of surnames, initials and positions) which signed the act of refusal / certified the fact of failure of face, the representative to represent the interests of the Subject for the period of conducting exit check, from receipt of the first copy of the act of refusal in paper form to the address of the location of the Subject;

22) other information of the facts which are rather fixed in the act of refusal (if necessary).

12-10. The first copy of the act of refusal in paper form is handed to person, the representative to represent the interests of the Subject for the period of conducting exit check, under the signature with putting down of mark about date of provision in the second copy of such act remaining with the head of inspection team (except the cases specified in Item 12-11 of this resolution).

12-11. The National Bank of Ukraine no later than three working days from the date of creation sends to the Subject the act of refusal in the form of the electronic document / the copy of the act of the refusal in paper form from the electronic document certified according to the procedure, established by the legislation of Ukraine or the first copy of the act of refusal in paper form means of mail service (with the assurance of receipt) in case:

1) absence to the address of the location of the Subject during the first day of exit check of person, the representative to represent the interests of the Subject for the period of conducting exit check;

2) failure of face, the representative to represent the interests of the Subject for the period of conducting exit check, from receipt of the first copy of the act of refusal in paper form to the address of the location of the Subject.

12-12. The subject within three working days from the date of receipt of the act of refusal has the right to provide to the National Bank of Ukraine of explanation / reasonable objections of the circumstances which are rather specified in the act of refusal in electronic form or in paper form with obligatory specifying of causes of failure in conducting exit check and documentary confirmation of the specified circumstances (in the presence).

12-13. The act of refusal is considered the Subject which is brought to the attention of the Subject or received and not having explanations and objections in case of approach of one or all cases:

1) non receipt by the Subject from the reasons of the act of refusal, independent of the National Bank of Ukraine, within 10 working days from the date of the direction of the act of refusal in electronic form or 15 working days from the date of the direction of the first copy of the act of refusal in paper form / copy of the act of the refusal in the paper form from the electronic document certified according to the procedure established by the legislation of Ukraine;

2) failure to provide explanations / reasonable objections to the Act of refusal according to the procedure and the terms determined in Item 12-12 of this resolution.

12-14. The working day which is the following behind day of creation of the act of refusal is date of early termination of exit check.

12-15. The decision on application to the Subject of corrective actions (dalee-Resheniye) / the written requirement of the National Bank of Ukraine by results of the supervision exercised according to the procedure No. determined by the Provision 90, is drawn up as the document in electronic and/or paper form in the procedure established by the National Bank of Ukraine.

12-16. The National Bank of Ukraine directs the Decision / the written requirement in the following procedure:

1) to banks - means "Automated workplace-NBU-information" (for electronic documents with access restriction signature stamp "Bank secrecy").

The National Bank of Ukraine has the right to perform sending to bank of copy of the Decision/original of the written requirement in paper form, the copy of the Decision/copy of the written requirement in the paper form from electronic documents certified according to the procedure, established by the legislation of Ukraine, means of mail service the registered mail with the assurance of receipt;

2) to Subjects (except banks) by results of supervision in the field of financial monitoring - according to the procedure, determined in Item 12 of the Section I of the Regulations on application of corrective actions by the National Bank of Ukraine to organizations for violation of the law concerning the financial monitoring approved by the resolution of Board of the National Bank of Ukraine of July 28, 2020 No. 106 (with changes) (dalee-Polozheniye No. 106);

3) to Subjects (except banks) by results of currency supervision - according to the procedure, determined in Item 12-17 of this resolution.

Item 15 of the Section I of the Regulations on currency supervision approved by the resolution of Board of the National Bank of Ukraine of January 03, 2019 No. 13 (with changes) (further - No. Provision 13), is not applied to the National Bank of Ukraine and the Subject.

12-17. The National Bank of Ukraine has the right to send to the Subject (except banks):

1) copy the Decision/original of the written requirement in paper form by results of currency supervision - on the postal address of the Subject (except banks) the registered mail with the assurance of receipt;

2) the Decision / the written requirement for results of currency supervision which is drawn up / drawn up in electronic form, electronic communication channels of the National Bank of Ukraine;

3) the copy the Decision/copy of the written requirement for results of currency supervision in paper form from the electronic document certified according to the procedure, established by the legislation of Ukraine, on the postal address of the Subject (except banks) the registered mail with the assurance of receipt.

12-18. The subject (except banks) shall report the National Bank of Ukraine electronic communication channels of the National Bank of Ukraine about receipt of the Decision / the written requirement which is specified/specified in Item 12-17 of this resolution which is directed/directed by electronic communication channels of the National Bank of Ukraine no later than the next working day from the date of the direction by the National Bank of Ukraine of such Decision / such written requirement.

12-19. The Decision which is directed/directed by the National Bank of Ukraine / the written requirement for results of the supervision exercised according to the procedure No. determined by the Provision 90, is considered finished/brought to the attention of the Subject (the received/received Subject) in case of non receipt by his / her Subject for the reasons, independent of the National Bank of Ukraine. Day of bringing to data of Subject/obtaining by the Subject Resheniya / the written requirement in that case it is considered:

1) the fifth working day from the date of, the copy of the Decision/original of the written requirement which is drawn up in paper form, or the copy of the Decision/copy of the written requirement in paper form from the electronic document certified according to the procedure following behind day of sending by the National Bank of Ukraine, established by the legislation of Ukraine;

2) the next working day from the date of sending by the National Bank of Ukraine the Decision / the written requirement in electronic form means "Automated workplace-NBU-information", other electronic communication channels of the National Bank of Ukraine.

12-20. The National Bank of Ukraine has the right to promulgate on pages of official Internet representative office of the National Bank of Ukraine the Decision / the written requirement for results of the supervision exercised according to the procedure, No. determined by the Provision 90, in case of return of the registered mail with mark on not delivery, not messages by the Subject (except banks) on receipt of the Decision / the written requirement electronically in time, specified in Item 12-18 of this resolution, the paragraph the fifth Item 12 of the Section I of the Provision No. 106.

12-21. The terms determined in Item 31 of the Section V, Item 34 of the Section VI of the Provision No. 106, Items 22, of the 27th Section II of Provisions No. 13, can be prolonged in the Decision.

12-22. Representatives/representatives of the Subject are not invited / not invited to meeting of collegiate organ which is formed according to article 17 of the Law of Ukraine "About the National Bank of Ukraine" and to which the Board of the National Bank of Ukraine delegates separate powers on regulation and supervision (further - Committee), in case of consideration at this meeting of the offer on non-use of corrective actions to such Subject.

The National Bank of Ukraine leads up information on the made Decision on the non-use of corrective actions to the Subject by the direction to it of the letter according to the procedure determined in Item 12-16 of this resolution.

Consideration of question of application of corrective actions to the Subject is performed according to the procedure, established by regulatory legal acts of the National Bank of Ukraine if the Committee does not support the offer specified in paragraph one of Item 12-22 of this resolution.".

2. The National Bank of Ukraine applies regulations of the resolution of Board of the National Bank of Ukraine of March 23, 2022 No. 60 "About features of accomplishment of separate requirements of the legislation in the field of financial monitoring, currency supervision, supervision concerning realization and monitoring of efficiency of personal special economic and other rationing measures (sanctions) during action of warlike situation" (with changes) in the edition operating before entry into force of this resolution during conducting exit checks which were begun about day of entry into force of this resolution, and registration of results of such exit checks.

3. To impose control over the implementation of this resolution on the vice-chairman of the National Bank of Ukraine Dmitry Oleynik.

4. The resolution becomes effective from the date of, its official publication following behind day, and No. 64/2022 "About introduction of warlike situation in Ukraine" is effective during the period of action of the Presidential decree of Ukraine of February 24, 2022.

 

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