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RESOLUTION OF BOARD OF THE NATIONAL BANK OF UKRAINE

of April 4, 2024 No. 37

About modification of some regulatory legal acts of the National Bank of Ukraine concerning supervision

According to Articles 7, of 15, of 44, of 55, 56 Laws of Ukraine "About the National Bank of Ukraine", article 63 of the Law of Ukraine "About banks and banking activity", Articles 3, 18 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", article 11 of the Law of Ukraine "About currency and currency transactions", Articles 1, of 4, 5 Laws of Ukraine "About sanctions" for the purpose of increase in efficiency of supervision in the field of prevention and counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of the weapons of mass destruction, currency supervision, supervision in the field of realization of special economic and other rationing measures (sanctions) performed taking into account risk - the oriented approach, the Board of the National Bank of Ukraine decides:

1. Bring in the resolution of Board of the National Bank of Ukraine of June 30, 2020 No. 90 "About approval of the Regulations on procedure for the organization and implementation of supervision in the field of financial monitoring, currency supervision, supervision concerning realization and monitoring of efficiency of personal special economic and other rationing measures (sanctions)" such changes:

Heading to state 1) in the following edition:

"About approval of the 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)";

Item 1 to state 2) in the following edition:

"1. Approve 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) which are applied.";

Item 2 to exclude 3).

2. Make changes to Regulations on procedure for the organization and implementation of supervision in the field of financial monitoring, currency supervision, supervision concerning realization and the monitoring of efficiency of personal special economic and other rationing measures (sanctions) approved by the resolution of Board of the National Bank of Ukraine of June 30, 2020 No. 90, having been reworded as follows it (further - the enclosed Provision).

3. The National Bank carries out exit inspections which are begun before entry into force of this resolution, and draws up their results according to requirements of the Provision in the edition operating before entry into force of this resolution.

4. The subjects specified in Item 1 of the Section I of the Provision shall provide setup and automation of forming of standard forms of the answers given in appendices 1, 2 to the Provision no later than three calendar months since the month following after month in which this resolution became effective.

5. To department of financial monitoring (Anna Lipskaya) after official publication to inform the subjects specified in Item 1 of the Section I of the Provision, information on adoption of this resolution.

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

7. 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 June 30, 2020 No. 90

(in edition of the Resolution of Board of the National Bank of Ukraine of April 4, 2024 No. 37)

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)

I. General provisions

1. This Provision is developed according to article 7 of the Law of Ukraine "About the National Bank of Ukraine", article 63 of the Law of Ukraine "About banks and banking activity", 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" (further - the Law on prevention), article 11 of the Law of Ukraine "About currency and currency transactions", Articles 1, of 4, 5 Laws of Ukraine "About sanctions", for the purpose of establishment of procedure for the organization and implementation by the National Bank of Ukraine (further - National Bank) supervision in the field 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 (further - financial monitoring), currency supervision, supervision in the field of realization of special economic and other rationing measures (sanctions) (further - the sanctions legislation).

Requirements of this provision extend on:

1) banks, their separate divisions and branches of foreign banks (further - banks);

2) insurers (overcautious persons), insurance (reinsurance) brokers, credit unions, pawnshops, other financial institutions, registration or licensing of which is performed by National Bank;

3) the operators of mail service providing financial payment services and/or services of postal order, and/or service in implementation of currency transactions;

4) operators of payment systems;

5) branches or representative offices of foreign business entities which provide financial services in the territory of Ukraine;

6) other legal entities who on the legal status are not financial institutions, but provide separate financial services, state regulation and supervision of which activities is exercised by National Bank.

The legal entities specified in subitems 2-6 of Item 1 of the Section I of this provision hereinafter are referred to as further "organizations".

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

1) the act of results of permanent supervision (further - the act) - the official document constituted and signed by the authorized employee of National Bank by results of permanent supervision according to requirements of the Section IV of this provision;

2) permanent supervision analysis of activities of bank/organization concerning observance of requirements of the legislation of Ukraine by bank/organization which is carried out on permanent basis taking into account risk - the oriented approach by employees of National Bank without their presence on the bank/organization location;

3) exit check - scheduled or unscheduled inspection of bank/organization concerning observance of requirements of the legislation of Ukraine by bank/organization which is carried out by inspection team of National Bank (further - inspection team) taking into account risk - the oriented approach directly on the bank/organization location with right to use of remote access to documents/information/systems of automation of bank/organization, implementation of exchange of information in the form of electronic documents / means of mail service for certain period of his / her activities;

4) date of exit check - calendar date as of which exit check is performed and is displayed the state of affairs of bank/organization in the certificate of exit check;

5) data of videoarchive data which the system of video surveillance contains, received in case of registration and archiving of video signal according to requirements of the regulatory legal act of National Bank concerning the organization of protection of rooms which can demonstrate violation of requirements of the legislation of Ukraine in the field of financial monitoring, currency supervision, supervision concerning the sanctions legislation;

6) these photos - / видеофиксации-данные, including data on date and time of carrying out such photo - / the video fixings received as a result of carrying out photo by the employee of National Bank - / video fixings by office technical devices of the facts which can demonstrate non-compliance (violation) with requirements of the legislation of Ukraine by bank/organization in the field of financial monitoring, currency supervision, supervision concerning the sanctions legislation;

7) the certificate of exit check - the official document containing results of exit check which is constituted and signed according to requirements of the Section II of this provision;

8) the electronic document - any document (the letter / the initial letter / the cover letter, request, the order, the certificate of exit check / act of results of permanent supervision, other document determined by requirements of this provision) kept and/or created electronically and signed by imposing of the qualified digital signature of the corresponding authorized person;

9) information collection interview method when implementing exit check in the form of conversation (conversation) with fixation of questions and answers;

10) the head of bank / учреждения-председатель boards the bank/head the organization/head of branch of foreign bank or person fulfilling duties of one of specified persons;

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