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RESOLUTION OF BOARD OF THE NATIONAL BANK OF UKRAINE

of April 23, 2026 No. 40

About approval of Changes in Regulations on application by the National Bank of Ukraine of the adjusting measures, measures of early intervention, died influences in the field of state regulation of activities in the markets of non-bank financial services

According to Articles 7, of 15, 55-1, 56 of the Law of Ukraine "About the National Bank of Ukraine", Articles 21, of 23, of 46, 48 Laws of Ukraine "About financial services and finance companies", Articles 114, 119-122 Laws of Ukraine "About insurance", Articles 37, of 46, 48 Laws of Ukraine "About credit unions", Articles 5, of 26, 28 Laws of Ukraine "About consumer crediting", articles 9 of the Law of Ukraine "About financial mechanisms of stimulation of export activities", the Law of Ukraine "About ministerial procedure", for the purpose of enhancement of procedure for application of measures to participants of the market of non-bank financial services and reductions of regulatory legal acts of the National Bank of Ukraine in compliance with requirements of the legislation of Ukraine the Board of the National Bank of Ukraine decides:

1. Approve Changes in Regulations on application by the National Bank of Ukraine of the adjusting measures, measures of early intervention, died influences in the field of the state regulation of activities in the markets of non-bank financial services approved by the resolution of Board of the National Bank of Ukraine of December 25, 2023 No. 183 (with changes) (further - Changes in the Provision) which are applied.

2. To department of methodology of regulation of activities of non-bank financial institutions (Sergey Savchuk) after official publication to inform participants of the market of non-bank financial services information on adoption of this resolution.

3. The resolution becomes effective from the date of, its official publication following behind day, except Item of 1 changes in the Provision which becomes effective since April 29, 2026.

Approved by the Resolution of Board of the National Bank of Ukraine of April 23, 2026 No. 40

Changes in Regulations on application by the National Bank of Ukraine of the adjusting measures, measures of early intervention, died influences in the field of state regulation of activities in the markets of non-bank financial services

1. In Chapter 2 razdelai:

1) in item 4:

subitem 1 paragraph two after the word of "insurers" to add with words and the letters "including Export credit agency (further-EKA)";

the subitem 2 after the word "reinsurance" to add with the word and the letters "and EKA";

The subitem 7 of Item 5 to exclude 2);

Chapter to add 3) with new Item 5-1 of the following content:

"5-1. The National Bank applies to EKA as insurer with the special status of measure of early intervention, provided by part nine of article 9 of the Law of Ukraine "About financial mechanisms of stimulation of export activities", and corrective actions, the stipulated in Article 121 Insurance law, according to the procedure, determined by this Provision, taking into account the features provided in Regulations on licensing of Export credit agency, condition of implementation of activities by it and procedure of the state supervision of its activities, No. 1 approved by the resolution of Board of the National Bank of Ukraine of January 06, 2023 (in edition of the resolution of Board of the National Bank of Ukraine of December 15, 2024 No. 148) (with changes).".

2. In the Section III:

1) in Chapter 12:

state Item 55 in the following edition:

"55. The National Bank considers the application of the insurer for the conclusion of the written agreement submitted by the insurer concerning justification, completeness and efficiency of the entered (provided) insurer measures (obligations) and terms of their accomplishment.";

in Item "30" to replace 56-3 figures with figures "35";

in paragraph one of Item of 61 figures and the word of "10 workers" to replace with figures and the word "30 calendar";

Item 81 of Chapter 15 to state 2) in the following edition:

"81. The insurer, the responsible person of insurance group (insurance subgroup within insurance group) for updating of the right of the insurer, the member of insurance group (insurance subgroup within insurance group) to perform transactions, including activities for separate class / to separate classes of insurance (risks/risks within the corresponding class) which implementation was limited, no later than 30 calendar days before the termination of term for which the right of the insurer, members of insurance group (insurance subgroup within insurance group) on implementation of the separate transaction types, including activities for separate class / to separate classes of insurance (risks/risks within the corresponding class) provided or performed by the insurer, members of insurance group is limited (insurance subgroup within insurance group), shall give to National Bank:

1) in case of elimination of violation by the insurer, members of insurance group (insurance subgroup within insurance group) / the terminations by the insurer of implementation of risk activities / observance of the restrictions on implementation of separate transaction types, including activities for separate class set by the decision of National Bank / to separate classes of insurance (risks/risks within the corresponding class):

the report on elimination of violation by the insurer, members of insurance group (insurance subgroup within insurance group) / the termination by the insurer of implementation of risk activities and observance of the restrictions on implementation of separate transaction types, including activities for separate class set by the decision of National Bank / to separate classes of insurance (risks/risks within the corresponding class);

documents (their copy) and/or information confirming elimination of violation by the insurer, members of insurance group (insurance subgroup within insurance group) / the termination of implementation of risk activities by the insurer and observance of the restrictions on implementation of separate transaction types, including activities for separate class set by the decision of National Bank / to separate classes of insurance (risks/risks within the corresponding class);

2) in case of not elimination of violation by the insurer, members of insurance group (insurance subgroup within insurance group) / continuations by the insurer of implementation of risk activities / non-compliance of the restrictions on implementation of separate transaction types, including activities for separate class set by the decision of National Bank / to separate classes of insurance (risks/risks within the corresponding class), - the written notice of the reasons of not elimination of violation/continuation of implementation of risk activities / non-compliance of the restrictions on implementation of separate transaction types, including activities for separate class set by the decision of National Bank / to separate classes of insurance (risks/risks within the corresponding class), as of date of submission of the written notice.";

3) in Chapter 17:

add Item 102 with the new subitem of the following content:

"8) from five minimum wages in monthly size, but no more than five percent of the size of the minimum capital of the insurer on the last reporting date preceding violation making - for violation by the insurer of the requirements established in the Regulations on requirements to management system of the insurer approved by the resolution of Board of the National Bank of Ukraine of December 27, 2023 No. 194 (with changes), including in case of further independent elimination of the corresponding violations by the insurer.";

in Item 110 of the word "and justification" to exclude.

3. In the Section IV:

1) in Chapter 26:

state Item 167 in the following edition:

"167. The National Bank considers the application of credit union for the conclusion of the written agreement submitted by credit union concerning justification, completeness and efficiency of the entered (provided) credit union measures (obligations) and terms of their accomplishment.";

in Item "30" to replace 169-3 figures with figures "35";

in Item 173:

in paragraph one of figure and the word of "10 workers" to replace with figures and the word "30 calendar";

add Item with the new paragraph of the following content:

"The National Bank notifies credit union on the made decision according to the procedure and the terms determined in the subitem 2 of Item 481 of Chapter 65 of the Section Xinastoyashchego of the Provision.";

Item 199 of Chapter 29 to state 2) in the following edition:

"199. The credit union shall no later than 30 calendar days before the termination of term for which the right of credit union to provision of separate types of financial, intermediary or other services or implementation of the transactions provided or performed by credit union is limited or stopped or the group of people by which such services or transactions can be provided is limited, to give to National Bank:

1) in case of elimination of the violations/termination of implementation of risk activities / observance of the restrictions set by the decision of National Bank concerning provision of separate types of financial, intermediary or other services or implementation of transactions or restrictions around of persons to whom such services can be provided or is performed transactions, or the stops of separate types of the financial, intermediary or other services or transactions provided or performed by credit union and/or its separate divisions, specified in the decision of National Bank:

the report on elimination the violations/termination of implementation of risk activities and observance of the restrictions set by the decision of National Bank concerning provision of separate types of financial, intermediary or other services or implementation of transactions or restrictions around of persons to whom such services can be provided or is performed transactions, or the stops of separate types of the financial, intermediary or other services or transactions provided or performed by credit union and/or its separate divisions, specified in the decision of National Bank;

documents (their copy) and/or information confirming elimination the violations/termination of implementation of risk activities and observance of the restrictions on provision of separate types of financial, intermediary or other services or implementation of transactions, or restrictions set by the decision of National Bank around of persons to whom such services can be provided or are performed transactions, or the stops of separate types of the financial, intermediary or other services or transactions provided or performed by credit union and/or its separate divisions, specified in the decision of National Bank;

2) in case of not elimination of violations/continuation of implementation of risk activities / non-compliance of the restrictions set by the decision of National Bank concerning provision of separate types of financial, intermediary or other services or implementation of transactions or restrictions around of persons to whom such services can be provided or is performed transactions, or the stops of separate types of the financial, intermediary or other services or transactions provided or performed by credit union and/or its separate divisions, specified in the decision of National Bank - the written notice of the reasons of not elimination of violations/continuation of implementation of risk activities / non-compliance of the restrictions set by the decision of National Bank concerning provision of separate types of financial, intermediary or other services or implementation of transactions or restrictions around of persons to whom such services can be provided or be performed transactions, or the stops of separate types of the financial, intermediary or other services or transactions provided or performed by credit union and/or its separate divisions, specified in the decision of National Bank as of date of submission of the written notice.";

To exclude 3) in Item 221 of Chapter 30 of the word "and justification".

4. In the Section V:

Item 293 of Chapter 41 to state 1) in the following edition:

"293. The finance company, pawnshop shall no later than 30 calendar days before the termination of term for which the right of finance company is limited, stopped, pawnshop on provision of separate types of the financial, accompanying or other services or transactions provided or performed by finance company, pawnshop and/or their separate divisions or the group of people by which such services or transactions can be provided is limited, to give to National Bank:

1) in case of elimination of the violations/termination of implementation of risk activities / observance of the restrictions of separate types of financial, accompanying or other services or transactions set by the decision of National Bank or restriction of the group of people to which such services or transactions, or stops of separate types of the financial, accompanying or other services or transactions specified in the decision of National Bank can be provided:

the report on elimination of violations and/or the termination of implementation of risk activities and observance of the restrictions of separate types of financial, accompanying or other services or transactions set by the decision of National Bank or restriction of the group of people to which such services or transactions, or stops of separate types of the financial, accompanying or other services or transactions specified in the decision of National Bank can be provided;

documents (their copy) and/or information confirming elimination of violations and/or the termination of implementation of risk activities and observance of the restrictions of separate types of financial, accompanying or other services or transactions set by the decision of National Bank or restriction of the group of people to which such services or transactions, or suspension of separate types of the financial, accompanying or other services or transactions specified in the decision of National Bank can be provided;

2) in case of not elimination of violations/continuation of implementation of risk activities / non-compliance of the restrictions of separate types of financial, accompanying or other services or transactions set by the decision of National Bank or restriction of the group of people to which such services or transactions can be provided, or stops of separate types of the financial, accompanying or other services or transactions specified in the decision of National Bank - the written notice of the reasons of not elimination of violations/continuation of implementation of risk activities / non-compliance of the restrictions of separate types of financial, accompanying or other services or transactions set by the decision of National Bank or restriction of the group of people to which such services or transactions, or stops of separate types of the financial, accompanying or other services or transactions specified in the decision of National Bank as of date of submission of the written notice can be provided.";

2) in Chapter 43:

add Item 309 with two new subitems of the following content:

"7) from 0,5 of minimum wages in monthly size, but no more 0, percent of the amount of assets of finance company, pawnshop as of the last reporting date preceding decision making about imposing of penalty - for violation by finance company, pawnshop of the requirements established in the Provision No. 199;

8) from 0,5 of minimum wages in monthly size, but no more 0,1 of percent of the amount of assets of finance company as of the last reporting date preceding decision making about imposing of penalty - for violation by finance company of the requirements established in the Regulations on requirements to corporate management system and internal control system of finance company approved by the resolution of Board of the National Bank of Ukraine of December 27, 2024 No. 185 (with changes).";

in Item 317 of the word "and justification" to exclude.

5. In Item 444 of Chapter 58 of the Section VII of the word "and justification" to exclude.

6. In Item 476 of Chapter 64 of the Section X of the word "services or" shall be replaced with words "or same".

7. To add Chapter 66 of the Section XI after Item 489 with new Item 489-1 of the following content:

"489-1. The invitation shall contain the data specified in part three of Article 32 of the Administrative procedure act.".

 

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