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DECISION OF THE NATIONAL COMMISSION ON SECURITIES AND STOCK MARKET

of March 25, 2026 No. 15/21/4019/K03

About approval of the Procedure for conducting inspections in the capital markets and the organized goods markets

According to Item of 1 part three of Article 2, Item of 1 part one of Article 7, article 33 of the Law of Ukraine "About state regulation of the capital markets and the organized goods markets", article 23 of the Law of Ukraine "About financial services and finance companies", article 30 of the Law of Ukraine "About rating" the National commission on securities and the stock market

SOLVED:

1. Approve the Procedure for conducting inspections in the capital markets and the organized goods markets which is applied.

2. In the subitem 10 of item 4 of Chapter 1 of the Section IV of the Provisions on implementation of professional activity on the organization of trade in financial instruments approved by the decision of the National commission on securities and the stock market of August 10, 2023 No. 879, registered in the Ministry of Justice of Ukraine of October 25, 2023 at No. 1863/40919, of the word "based on the act of absence of the issuer on the location" shall be replaced with words "based on the act of absence of the issuer on the location/statement of preventing in conducting inspection which is drawn up in case of absence of the issuer on the location when conducting exit inspection".

3. Recognize invalid:

1) the decision of the National commission on securities and the stock market of September 04, 2012 No. 1178 "About approval of the Procedure for conducting checks of activities of issuers of securities", registered in the Ministry of Justice of Ukraine on September 24, 2012 at No. 1643/21955 (with changes);

2) the decision of the National commission on securities and the stock market of February 16, 2024 No. 189 "About approval of the Procedure for the organization and conducting inspection checks in the field of professional activity in the capital markets and the organized goods markets", registered in the Ministry of Justice of Ukraine on March 06, 2024 at No. 327/41672 (with changes).

4. To provide to management of administrative activities promulgation of this decision on the official website of the National commission on securities and the stock market.

5. To provide to department of legal development submission of this decision on state registration in the Ministry of Justice of Ukraine and promulgation of this decision on the official website of the National commission on securities and the stock market after receipt of the formal notice on state registration by the Ministry of Justice of Ukraine.

6. This decision becomes effective since July 01, 2026, but not earlier than the day following behind day of its official publication.

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

Approved by the Decision of the National commission from securities of the stock market of Ukraine of March 25, 2026, No. 15/21/4019/K03

Procedure for conducting inspections in the capital markets and the organized goods markets

I. General provisions

1. This Procedure determines the procedure of carrying out by the National commission on securities and the stock market of inspections in the capital markets and the organized goods markets (further - inspections).

2. In this Procedure terms are used in values, provided in the laws of Ukraine "About state regulation of the capital markets and the organized goods markets", "About the capital markets and the organized goods markets", "About financial services and finance companies", "About rating".

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