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DECISION OF THE NATIONAL COMMISSION ON SECURITIES AND STOCK MARKET OF UKRAINE

of April 9, 2026 No. 15/21/4154/K03

About approval of the Regulations on fixing and consideration by the National commission on securities and the stock market of cases on offenses

According to part one Items 1 and 54 of Article 7, article 49 of the Law of Ukraine "About state regulation of the capital markets and the organized goods markets", articles 18 and 32 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" the National commission on securities and the stock market

SOLVED:

1. Approve Regulations on fixing and consideration by the National commission on securities and the stock market of cases on offenses which are applied.

2. Determine that the proceedings initiated according to Rules of hearing of cases about violation of requirements of the legislation on the capital markets and the organized goods markets, the application of sanctions or other corrective actions approved by the decision of the National commission on securities and the stock market of July 28, 2020 No. 405, registered in the Ministry of Justice of Ukraine on October 02, 2020 at No. 966/35249 (with changes), Rules of hearing of cases about violation of requirements of the legislation for 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 and application of corrective actions No. approved by the decision of the National commission on securities and the stock market of April 06, 2021 227, registered in the Ministry of Justice of Ukraine on May 13, 2021 at No. 637/36259, and the Procedure for fixing of the fact of making of violation of the profile legislation and hearing of cases about violation of the profile legislation in the conditions of the warlike situation approved by the decision of the National commission on securities and the stock market of May 30, 2025 No. 14/21/2358/k03 (with changes), are followed and considered according to Regulations on fixing and consideration by the National commission on securities and the stock market of cases on the offenses approved by this decision.

3. Declare invalid the decision of the National commission on securities and the stock market of April 06, 2021 No. 227 "About approval of Rules of hearing of cases about violation of requirements of the legislation for 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 and application of corrective actions", registered in the Ministry of Justice of Ukraine on May 13, 2021 at No. 637/36259.

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

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

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 on securities of the stock market of April 9, 2026 No. 15/21/4154/K03

Regulations on fixing and consideration by the National commission on securities and stock market of cases on offenses

I. General provisions

1. This Provision determines procedures:

registration and documentation of signs of making of offenses;

fixings of the fact of making of offenses;

registration and documentation of offenses;

hearing of cases about offenses;

pronouncement of decisions by authorized persons by results of hearing of cases and monitoring of their accomplishment.

2. Offenses to which action of this provision extends are:

violation of the profile legislation - violation of the law about the capital markets and the organized goods markets, including about system of accumulative provision of pensions and rating activities, the legislation on joint-stock companies, legislations on advertizing of financial instruments, the capital markets and the organized goods markets, consumer protection laws of financial and accompanying services, state regulation and supervision of which provision is exercised by the National commission on securities and the stock market (further - NKTsBFR);

violations in the field of financial monitoring - the violations of the law 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 made by subjects of primary financial monitoring concerning which NKTsBFR is subject of the state financial monitoring.

3. Hearing of cases about offense is performed according to the laws of Ukraine "About state regulation of the capital markets and the organized goods markets" (further - the Law), "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 financial monitoring), "About rating" (further - the Law on rating), this Provision taking into account the principles of ministerial procedure determined by the Law of Ukraine "About ministerial procedure".

4. Production on cases on offenses is the complex of the actions directed to documentation of the elicited signs and established facts of offenses, fixing of offenses, hearing of cases about offenses, pronouncement of decisions and control of their accomplishment in the limits and method determined by the law and this Provision.

Production task on cases on offense is timely, complete and objective clarification of circumstances of each case, the decision it according to the legislation, pronouncement of the fair decision and ensuring its accomplishment, with the subsequent identification of the reasons and conditions promoting making of offenses and prevention of their making.

5. The authorized persons performing powers according to this Provision are:

authorized persons of NKTsBFR on maintenance of cases on violation of the profile legislation (further - representatives on maintenance) - serving NKTsBFR, providing maintenance of cases on violation of the profile legislation;

authorized persons of NKTsBFR on hearing of cases about violation of the profile legislation (further - representatives on hearing of cases) - serving NKTsBFR, performing hearing of cases about violation of the profile legislation;

officials of NKTsBFR, representatives on hearing of cases about violation of the law in the field of financial monitoring (further - representatives on hearing of cases for financial monitoring) - serving NKTsBFR, performing hearing of cases about violation of the law in the field of financial monitoring.

6. The authorized persons performing the powers according to requirements of the law and this provision are independent of any illegal impact, pressure or intervention. Influence in any form or intervention in activities of authorized persons of NKTsBFR for the purpose of preventing by them is forbidden to accomplishment of service duties.

Authorized persons shall not provide any explanations concerning production essence on cases on offenses which participant they are, except provision of explanations within criminal proceedings and during legal procedure.

The authorized person shall address with the notification on intervention in its activities for implementation of production on cases on offenses the Chairman of NKTsBFR and in law enforcement agencies.

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