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RESOLUTION OF BOARD OF THE NATIONAL BANK OF UKRAINE

of October 18, 2024 No. 127

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

According to Articles 7, 15, 55-1, 56, 61 Law of Ukraine "About the National Bank of Ukraine", Articles 21, 23, 24, 31 Law of Ukraine "About financial services and finance companies", Articles 11, 13, 27, 114 Laws of Ukraine "About insurance", Articles 10, 76, 78, 79, 84 Laws of Ukraine "About payment services", Articles 24, 37 Laws of Ukraine "About credit unions", Articles 40, 46, 48, 51 Law of Ukraine of May 21, 2024 No. 3720-IX "About compulsory insurance of civil responsibility of owners of land vehicles", 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 reduction of regulatory legal acts of the National Bank of Ukraine in compliance with the legislation of Ukraine, enhancement of regulation and supervision of activities in the market of the financial services Board of the National Bank of Ukraine decides:

1. Bring in the resolution of Board of the National Bank of Ukraine of March 6, 2022 No. 39 "About settlement of activities of participants of the market of the non-bank financial services, non-bank financial groups, participants of the payment market, the collection companies and legal entities who obtained the license for provision to banks of services in collection" (with changes) the following changes:

Item 20-1 to add 1) with the new subitem of the following content:

"6) the supplier of financial services (except the operator of mail service) in case of determination of the list of separate divisions of the supplier of financial services in which premises for customer service physical and information availability to the customer service delivery from among people with disabilities and other handicapped national groups will be provided upon the demand of Item 48-1 of Chapter 3 of the Section II Regulations on authorization has the right not to include in total quantity of separate divisions of the supplier of financial services separate divisions of the region (according to determination of the Law of Ukraine "About fundamentals of the state regional policy") in which the supplier of financial services performs the activities which are located in the territory specified in the List concerning which in the List date of the termination of possibility of fighting actions / completion of fighting actions / completion of temporary occupation, before the date of entry into force of changes in the List is not determined, which determine date of the termination of possibility of fighting actions / completion of fighting actions / completion of temporary occupation of rather corresponding territory, and within year of the date determined by such changes.";

Item 20-19 to replace 2) with two new Items 20-19, 20-20 of the following content:

"20-19. Predostavitel of financial payment services (except the operator of mail service, public authority, local government body) in case of determination of the list of separate divisions of predostavitel of financial payment services in which premises for servicing of users physical and information availability to provision of services will be provided to users from among people with disabilities and other handicapped national groups, according to requirements of Item 53-2 of the Section V of the Regulations on procedure of authorization of activities of suppliers of financial payment services and limited payment services approved by the resolution of Board of the National Bank of Ukraine of October 07, 2022 No. 217 (with changes) has the right not to include in total quantity of separate divisions of the supplier of financial payment services separate divisions of the region (according to determination of the Law of Ukraine "About fundamentals of the state regional policy"), in which the supplier of financial payment services performs the activities which are located in the territory specified in the List concerning which in the List date of the termination of possibility of fighting actions / completion of fighting actions / completion of temporary occupation, before the date of entry into force of changes in the List which determine date of the termination of possibility of fighting actions / completion of fighting actions / completion of temporary occupation of rather corresponding territory, and within year of the date determined by such changes is not determined.

20-20. During operation of this resolution other regulatory legal acts of National Bank are effective in the part which is not contradicting this resolution.".

2. Approve Changes in:

1) Regulations on application of corrective actions by the National Bank of Ukraine for violation of requirements of the legislation regulating activities in the payment market, approved by the resolution of Board of the National Bank of Ukraine of September 22, 2022 No. 206, which are applied;

2) Regulations on procedure of authorization of activities of suppliers of financial payment services and limited payment services, the Board of the National Bank of Ukraine approved by the resolution of October 7, 2022 No. 217 (with changes) (further - No. Provisions 217) which are applied;

3) Regulations on implementation of the permanent supervision of activities for provision of financial and accompanying services approved by the resolution of Board of the National Bank of Ukraine of December 14, 2023 No. 162 (with the enclosed changes) which are applied;

4) Regulations on authorization of suppliers of financial services and condition of the implementation by them of activities for provision of financial services approved by the resolution of Board of the National Bank of Ukraine of December 29, 2023 No. 199 (with changes) (further - No. Provisions 199) which are applied.

3. Make to the section I Regulations on general requirements to documents and procedure for their submission to the National Bank of Ukraine within the separate procedures approved by the resolution of Board of the National Bank of Ukraine of December 29, 2023 No. 200, the following changes:

1) Item 1 after the words "" about currency and currency transactions "" to add with words and figures "The law of Ukraine of May 21, 2024 No. 3720-IX "About compulsory insurance of civil responsibility of owners of land vehicles",";

The subitem 1 of Item 2 to add 2) with two new paragraphs of the following content:

"approval of the charter (changes in the charter) Motor (transport) insurance bureau of Ukraine (dalee-MTSBU);

approval of candidate for the chairman and board members of MTSBU, and also risk manager, komplayens-manager, internal auditor of MTSBU, conclusion of the agreement of outsourcing;".

4. Approve Changes in Regulations on recognition of belonging of service or transaction to financial/limited payment service and identifications of the implementation of license-free activities in the market of non-bank financial services and the payment market approved by the resolution of Board of the National Bank of Ukraine of September 4, 2024 No. 105, which are applied.

5. The National Bank of Ukraine considers the documents of persons filed for implementation of the procedures determined in No. Provision 199, and on which as of the date of entry into force of this resolution the decision, according to requirements and according to the procedure is not made, determined in the Provision No. 199, taking into account the changes made by this resolution.

6. Suppliers of financial services, suppliers of financial payment services shall bring the activities into accord with requirements of the Provision No. 217, of the Provision No. 199 taking into account the changes made by this resolution till March 31, 2025.

7. Recognize invalid:

1) the resolution of Board of the National Bank of Ukraine of November 5, 2021 No. 114 "About approval of the Regulations on procedure for disclosure of information by non-bank financial institutions";

2) Item 2 of the resolution of Board of the National Bank of Ukraine of March 21, 2022 No. 56 "About modification of some regulatory legal acts of the National Bank of Ukraine".

8. To department of methodology of regulation of activities of non-bank financial institutions (Sergey Savchuk) after official publication to inform suppliers of financial services, suppliers of financial payment services information on adoption of this resolution.

9. The resolution becomes effective from the date of, its official publication following behind day, except Item 3 of this resolution which becomes effective since January 1, 2025.

Approved by the Resolution of Board of the National Bank of Ukraine of October 18, 2024 No. 127

Changes in Regulations on application of corrective actions by the National Bank of Ukraine for violation of requirements of the legislation regulating activities in the payment market

1. In the Section I:

Shall be replaced with words 1) in Item 1 of the word "" about financial services and state regulation of the markets of financial services "" ""About financial services and finance companies"";

2) in Item 3:

to add Item after the words "in the payment market, and" with the word "/or";

words and figures of "penalties", "41-1" to replace respectively with words and figures of "corrective actions in the form of imposing of penalty", "28".

2. In Item 5 of the Section II:

Paragraph one after the word "and" to add 1) with the word "/or";

2) in paragraph six of figure and the word "41-1", "penalties" to replace respectively with figures and the words "28", "corrective actions in the form of imposing of penalty".

3. In the Section III:

Paragraph one of Items 7 and 8 after the words "in the payment market, and" to add 1) with the word "/or";

Subitems 1, 2 Items 9 to state 2) in the following edition:

"1) Board of National Bank (further - Board) / Committee on questions of supervision and regulation of activities of the markets of non-bank financial services (further - Committee on questions of supervision) - concerning the measures of influence determined in Items 1-8 of part one of article 84 of the Law of Ukraine "About payment services" and in part two of Article 28 of the Financial services act;

2) board - concerning the measures of influence determined in Items 9, 10 parts one of article 84 of the Law of Ukraine "About payment services".";

3) in paragraph one of Item 21 of the word and figures "penalties", "41-1", "one year" to replace respectively with words and figures of "corrective action in the form of imposing of penalty", "28", "three years".

4. In the Section IV:

Item 27 after the words "in the payment market, and" to add 1) with the word "/or";

The first offer of paragraph two of Item 36 after the word "accepts" to add 2) with the word "Board/".

5. In the Section V:

1) in Item 39:

to add Item after the word "and" with the word "/or";

words and figures "penalties", "41-1" to replace respectively with words and figures of "corrective action in the form of imposing of penalty", "28";

2) in Item 40 of the word and figures "penalties", "41-1" to replace respectively with words and figures of "corrective action in the form of imposing of penalty", "28";

Item 42 to exclude 3);

4) in Item 43:

in paragraph one of figure "41-1" to replace with figures "28";

in subitem 1 of the word and figures of "penalty", "41-1" to replace respectively with words and figures of "corrective action in the form of imposing of penalty", "28";

Item 44 to exclude 5).

6. In the Section VI:

Paragraph one of Item 48 after the words "in the payment market, and" to add 1) with the word "/or";

The subitem 1 of Item 54 after the words "makes the decision" to add 2) with the word "Board/".

7. In the Section VII:

Item 57 after the words "for provision of financial payment services and" to add 1) with the word "/or";

The subitem 1 of Item 64 to add 2) with words "(the decision is made by Board/committee on questions of supervision)".

8. In the Section VIII:

1) paragraph one of Item 67 after words "bank, and" to add with the word "/or";

The subitem 1 of Item 75 to add 2) with words "(the decision is made by Board/committee on questions of supervision)".

9. In the Section IX:

1) paragraph one of Item 77 after words "bank, and" to add with the word "/or";

The subitem 1 of Item 83 to add 2) with words "(the decision is made by Board/committee on questions of supervision)".

10. In the Section X:

1) Item 87 after words "the payment market,", "corrective actions, and" to add respectively with the words "and/", "/or";

The subitem 1 of Item 95 to add 2) with words "(the decision is made by Board/committee on questions of supervision)".

11. The paragraph one of Item 98 of the Section XI after words "the payment market, and" to add with the word "/or".

Approved by the Resolution of Board of the National Bank of Ukraine of October 18, 2024 No. 127

Changes in Regulations on procedure of authorization of activities of suppliers of financial payment services and limited payment services

1. In the subitem 2 of Item 5 of the Section I "services -" shall be replaced with words the word "services - Board of National Bank (further - Board) /".

2. To add the Section V after Item 53-1 with two new Items 53-2, 53-3 of the following content:

"53-2. The supplier of financial payment services (except the operator of mail service, public authority, local government body) shall:

To determine 1) in each region (according to determination of the Law of Ukraine "About fundamentals of the state regional policy") in which the supplier of financial payment services performs the activities through separate divisions, the list of separate divisions of the supplier of financial payment services, but at least 50 percent from total quantity of its separate divisions in this region in which premises for servicing of users physical and information availability to provision of services will be provided to users from among people with disabilities and other handicapped national groups, taking into account the rules of inclusive provision of financial services determined by National Bank;

2) to provide users with up-to-date and reliable information (no later than the next working day after its determination / updating) about rooms for provision of services to users of the supplier of financial payment services which are physically and it is information available to provision of services to users from among people with disabilities and other handicapped national groups, including the location of such rooms, their contact phone numbers and the working schedule, by its placement at least:

on the homepage of own website of the supplier of financial payment services and its mobile version, in software applications (mobile applications, payment applications), payment devices of the supplier of financial payment services (in the presence);

through services of client support (contact centers), chat boats and messengers of the supplier of financial payment services (in the presence);

in public places of the room for servicing of users of the supplier of financial payment services, including placement of information near or on entrance door, information screens or board with the video record (in the presence).

53-3. The supplier of financial payment services (except the operator of mail service, public authority, local government body) provides physical availability of rooms to servicing of users from among people with disabilities and other handicapped national groups taking into account the corresponding state standards concerning inclusivity of buildings and constructions.

Predostavitel of financial payment services (except the operator of mail service, public authority, local government body) provides information availability of rooms to servicing of users from among people with disabilities and other handicapped national groups by placement of information in such room, on the equipment, in web resource in forms and means which give the chance of free obtaining and processing of this information, and also independent orientation, movement on such rooms, use of the equipment and web resource by people with disabilities and other handicapped national groups.".

3. In paragraph one of Item 214 of the Section XX of the word "Committee on Supervision of Non-bank Organizations" to replace with the word "Board".

Approved by the Resolution of Board of the National Bank of Ukraine of October 18, 2024 No. 127

Changes in Regulations on implementation of permanent supervision of activities for provision of financial and accompanying services

1. To state Item 15 of the Section III in the following edition:

"15. The National Bank establishes provision term object of permanent supervision of the answer to the written requirement taking into account nature of problems, circumstances and conditions of specific situation, amount of required information, documents or their copies, but at least two working days from the date of its direction.

Object of permanent supervision has the right to submit the reasonable written petition in any form concerning prolongation of the term established in the written requirement, but no more than for 30 working days, provisions of the information/explanations/documents and/or their copies concerning physical persons and/or legal entities, and supporting documents no later than one working day about day of the expiration of the term established in the written requirement.

The National Bank leaves without consideration the petition for prolongation of the term of provision of the information/explanations/documents and/or their copies concerning physical persons and/or legal entities established in the written requirement submitted after the term specified in the paragraph the second Item 15 of the Section III of this provision. Without consideration the National Bank reports object of permanent supervision about leaving of such petition in writing.

The authorized officer of National Bank by results of processing of the written petition and supporting documents (in case of their availability) reports object of permanent supervision about prolongation/not prolongation of the term of object of permanent supervision of provision of the information/explanations/documents and/or their copies concerning physical persons and/or legal entities established in the written requirement no later than two working days after receipt of the petition.".

Approved by the Resolution of Board of the National Bank of Ukraine of October 18, 2024 No. 127

Changes in Regulations on authorization of suppliers of financial services and condition of implementation by them of activities for provision of financial services

1. To add Item 2 of Chapter 1 of the Section I after subitem 40 with new subitem 40-1 of the following content:

"40-1) participant in structure of property of the applicant / legal person / supplier of financial services (further - the participating) - physical person or legal entity which owns (directly and/or indirectly) share (shares) in the authorized (constituted) capital of such applicant / such legal person / such supplier of financial services, at the same time the public company have no participants".

2. In the Section II:

Chapter 3 after Item 48 to add 1) with two new Items 48-1, 48-2 of the following content:

"48-1. The supplier of financial services (except the operator of mail service) shall:

To determine 1) in each region (according to determination of the Law of Ukraine "About fundamentals of the state regional policy") in which the supplier of financial services performs the activities through separate divisions, the list of separate divisions of the supplier of financial services, but at least 50 percent from total quantity of its separate divisions in this region in which premises for customer service physical and information availability to the customer service delivery from among people with disabilities and other handicapped national groups, taking into account the rules of inclusive provision of financial services determined by National Bank will be provided;

2) to provide clients with up-to-date and reliable information (no later than the next working day after its determination / updating) about the room of the supplier of financial services for the customer service delivery of the supplier of financial services which are physically and it is information available to the customer service delivery from among people with disabilities and other handicapped national groups, including the location of such rooms, their contact phone numbers and the working schedule, by its placement at least:

on the homepage of the official website of the supplier of financial services and its mobile version, in mobile application of the supplier of financial services (in the presence);

through services of client support (contact centers), chat boats and messengers of the supplier of financial services (in the presence);

in public places of the room of the supplier of financial services, including placement of information near or on entrance door, information screens or board with the video record (in the presence).

48-2. The supplier of financial services (except the operator of mail service) provides physical availability of rooms to customer service from among people with disabilities and other handicapped national groups taking into account the corresponding state standards concerning inclusivity of buildings and constructions.

Predostavitel of financial services (except the operator of mail service) provides information availability of rooms to customer service from among people with disabilities and other handicapped national groups by placement of information in such room, on the equipment, in web resource in forms and means which give the chance of free obtaining and processing of this information, and also independent orientation, movement by such room, uses of the equipment and web resource by people with disabilities and other handicapped national groups.";

The subitem 2 of Item 198 of Chapter 16 to exclude 2);

3) in Chapter 19:

to state the subitem 1 of Item 294 in the following edition:

"1) availability at person of experience in the field of risk management and/or control of observance of regulations (комплаенс) / legal maintenance of activities of financial institution (concerning function of komplayens) and/or actuarial activities respectively;";

to state the subitem 2 of Item 297 in the following edition:

"2) the description of experience of the outsourcer for other legal entities on accomplishment of function in the field of risk management and/or control of observance of regulations (комплаенс) / experience of legal maintenance of activities of financial institution (concerning function of komplayens)".

3. In the Section IV:

1) in Chapter 25:

add Item 353 with two new subitems of the following content:

"5) involvement of person to the administrative responsibility for violation of procedure for occupation activities for provision of financial services (taking into account conditions of article 39 of the Code of Ukraine about administrative offenses);

6) occupation person of position of the head or key person in the legal entity (fulfillment of duties on position) on whom the National Bank made the decision specified in Item 18 of the Section III of Provisions on recognition of belonging of service or transaction to financial/limited payment service and identifications of the implementation of license-free activities in the market of non-bank financial services and the payment market approved by the resolution of Board of the National Bank of Ukraine of September 04, 2024 No. 105 (further - No. Provisions 105), in addition to the decision on the inadequate relation of certain services or transactions which in essence contain signs of one or several types of financial services according to the Financial services act and/or special laws, to certain type of the financial services determined by part one of Article 4 of the Financial services act in total more than six months before adoption of this decision (it is applied within ten years from the date of adoption of the relevant decision).";

in Item 354:

the paragraph one after words" (further - organization)," to add with words and figures "in the legal entity on whom the National Bank made the decision specified in Item 18 of the Section III of Provisions No. 105, except the decision on inexpediency of certain services or transactions which in essence contain signs of one or several types of financial services according to the Financial services act and/or special laws, to certain type of the financial services determined by part one of Article 4 of the Financial services act";

add Item with the new subitem of the following content:

"5) ownership of essential participation in the legal entity on which the National Bank made the decision specified in Item 18 of the Section III of Provisions No. 105, acceptance date of this decision except the decision on the inadequate relation of certain services or transactions which in essence contain signs of one or several types of financial services according to the Financial services act and/or special laws, to certain type of the financial services determined by part one of Article 4 of the Financial services act.";

state Item 355 in the following edition:

"355. The signs specified in Item 354 of Chapter 25 of the Section IV of this provision are applied to physical persons which assessment of goodwill is performed in the cases determined in this Provision concerning suppliers of financial services, suppliers of limited payment services, applicants who intend to receive the status of the corresponding suppliers, is termless.";

2) in Chapter 26:

add Item 362 with the new subitem of the following content:

"3) acceptance by National Bank concerning such legal entity of the decision specified in Item 18 of the Section III of Provisions No. 105, except the decision on inexpediency of certain services or transactions which in essence contain signs of one or several types of financial services according to the Financial services act and/or special laws to certain type of the financial services determined by part one of Article 4 of the Financial services act (it is applied within ten years from the date of adoption of the relevant decision).";

in Item 363:

the paragraph one to state in the following edition:

"363. The signs of not irreproachable goodwill of the legal entity connected with ownership of essential participation in organization in the legal entity on whom the National Bank made the decision specified in Item 18 of the Section III of Provisions No. 105, except the decision on improper conduct of certain services or transactions which in essence contain signs of one or several types of financial services according to the Financial services act and/or special laws to certain type of the financial services determined by part one of Article 4 of the Financial services act are:";

add Item with the new subitem of the following content:

"3) ownership of essential participation in the legal entity on which the National Bank made the decision specified in Item 18 of the Section III of Provisions No. 105, except the decision on the inadequate relation of certain services or transactions which in essence contain signs of one or several types of financial services according to the Financial services act and/or special laws, to certain type of the financial services determined by part one of Article 4 of the Financial services act on acceptance date of this decision.";

state Item 364 in the following edition:

"364. The signs determined in Item 363 of Chapter 26 of the Section IV of this provision are applied to legal entities whose assessment of goodwill is performed in the cases determined in this Provision concerning suppliers of financial services, suppliers of limited payment services, applicants who intend to receive the status of the corresponding suppliers of financial services, suppliers of limited payment services, is termless.";

3) in Chapter 29:

add Item 375 with two new paragraphs of the following content:

"The legal entity concerning whom there is sign of not irreproachable goodwill determined in the subitem 6 of Item 359 of Chapter 26 of the Section IV of this provision, has the right to submit to National Bank the petition for non-use to it the revealed sign provided that such legal entity is part of the international group of companies.

The international group of companies for the purposes of Item 375 of Chapter 29 of the Section IV of this provision is the group consisting of the supplier of financial services and one more or more legal entities or educations without the status of the legal entity which are connected by the control relations which activities are provided more than in one member country of Organization for Economic Cooperation and Development.";

to add paragraphs of the first and second of Item 377 with words and figures ", except the exception specified in paragraph four of Item 375 of Chapter 29 of the Section IV of this provision".

4. The paragraph one of Item 434 of Chapter 35 of the Section V after the word of "insurer" to add with words "the supplier of financial payment services,".

5. In Chapter 50 of the Section VII:

The subitem 2 of Item 539 to exclude 1);

Chapter after Item 539 to add 2) with new Item 539-1 of the following content:

"539-1. The board of National Bank makes the decision on licensing for implementation of activities for insurance or on refusal in its issue within three months from the date of receipt of complete document package determined in Item 553 of Chapter 51 of the Section VII of this provision.";

3) in the paragraph the second Item 541:

figures "1-3" to replace with figures "1, 3";

to add the paragraph after figures "539" with the word and figures ", Item 539-1".

6. In the Section IX:

Item 672 of Chapter 60 to state 1) in the following edition:

"672. The applicant / предоставителю financial services is forbidden to appoint to position the head, key face of the supplier of financial services person which is not conforming to requirements for professional suitability and the goodwills established by this Provision (except the case determined in the paragraph the second Item 672 of Chapter 60 of the Section IX of this provision), and to positions of independent members of the supervisory board, independent non-executive directors (in the presence) - also to requirements for independence.

The applicant / предоставитель financial services has the right to designate person to position of the head, key person of predostavitel of financial services concerning whom there is sign of not irreproachable goodwill, determined in Items 352-354, 357, of the 358th Chapter 25 of the Section IV of this provision provided that together with the notification on the head, key person specified in Item 684 of Chapter 61 of the Section IX of this provision, the predostavitel of financial services submits to National Bank the petition for non-use to such person signs of not irreproachable goodwill.

The petition for non-use to such person of sign of not irreproachable goodwill is considered according to the procedure, determined in Chapter 29 of the Section IV of this provision.";

2) in Chapter 62:

add Item 692 with the new subitem of the following content:

"11) election/appointment of person to position of the chairman of collegiate executive body of significant credit union, the insurer in case of change of sole executive body on joint at significant credit union, to the insurer if the National Bank approved this person to position of sole executive body of this significant credit union earlier, this insurer before change of sole executive body on joint at significant credit union, to the insurer and from the date of such approval took place no more than three years.";

to add Item 701 after the words "and/or interviews" with words "(in case of their carrying out)";

to add Chapter after Item 704 with new Item 704-1 of the following content:

"704-1. The National Bank has the right not to conduct interview and/or testing with person who is chosen/appointed to position of the chairman of collegiate executive body of the insurer, joint credit union, significant credit union, payment organization (except small payment organization), organizations of electronic money, the operator of mail service having the right to provision of financial payment services (the candidate for position) if the National Bank approved this person to position of sole executive body according to other insurer, other joint credit union, significant credit union, payment organization earlier (except small payment organization), organizations of electronic money, other operator of mail service having the right to provision of financial payment services (as candidate for such position) which/who is member of one financial group with such supplier of financial services, and from the date of such approval there passed no more than three years.";

Item 708 after the words "it is appointed on", "approval on" to add with the word "corresponding".

7. In the subitem 2 of Item 782 of Chapter 72 of the Section XI:

1) in the paragraph the second words of "shareholder meeting" shall be replaced with words "meetings of shareholders / authorized body";

The paragraph third after the word "is approved" to add 2) with words "general shareholder meeting /".

Approved by the Resolution of Board of the National Bank of Ukraine of October 18, 2024 No. 127

Changes in Regulations on recognition of belonging of service or transaction to financial/limited payment service and identification of implementation of license-free activities in the market of non-bank financial services and the payment market

1. To add Item 3 of the Section I after subitem 2 with new subitem 2-1 of the following content:

"2-1) key persons persons who are responsible for accomplishment of key functions in the legal entity and who perform key functions in the legal entity:

the internal auditor / the main internal auditor (the staff employee to whom function of carrying out internal audit, or the head of the structural unit, internal audit, responsible for carrying out is assigned);

the chief komplayens-manager [the division manager on control of observance of regulations (комплаенс) or person to who function of such division is assigned];

the chief risk manager (the division manager on risk management or person to who function of such division is assigned);".

2. The Section III after Item 28 to add with new Item 28-1 of the following content:

"28-1. The signs of not irreproachable goodwill determined in Items 353 Chapters 25 and 362 of Chapter 26 of the Section IV of Provisions on authorization of suppliers of financial services and condition of the implementation by them of activities for provision of financial services approved by the resolution of Board of the National Bank of Ukraine of December 29, 2023 No. 199 (with changes) (further - Regulations on authorization), are applied to key persons / to the head (to persons, the acting as on position) person on whom the National Bank made the decision specified in Item 18 of the Section III of this provision except the decision on improper conduct of certain services or transactions which in essence contain signs of one or several types of financial services according to the Financial services act and/or special laws, to certain type of the financial services determined by part one of Article 4 of the Financial services act and also to person, on which the National Bank made such decision.

The signs of not irreproachable goodwill determined in Items 354 Chapters 25 and 363 of Chapter 26 of the Section IV of Provisions on authorization are applied to owners of essential participation on behalf of on which the National Bank made the decision specified in Item 18 of the Section III of this provision except the decision on the inadequate relation of certain services or transactions which in essence contain signs of one or several types of financial services according to the Financial services act and/or special laws, to certain type of the financial services determined by part one of Article 4 of the Financial services act (it is applied to persons who are owners of essential participation on behalf of on acceptance date of this decision).".

 

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