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

of August 13, 2026 No. 09/21/5018/K03

About approval of the Procedure for approval of persons designated in professional participants of the capital markets and the organized goods markets (except banks) to positions of the heads and persons responsible for implementation of functions of komplayens, risk management, internal audit, financial monitoring
(Extraction)

According to Items 1, 2 and 48 parts one of article 7 of the Law of Ukraine "About state regulation of the capital markets and the organized goods markets", parts nine of article 70 of the Law of Ukraine "About the capital markets and the organized goods markets" the National commission on securities and the stock market

SOLVED:

1. Approve the Procedure for approval of persons designated in professional participants of the capital markets and the organized goods markets (except banks) to positions of the heads and persons responsible for implementation of functions of komplayens, risk management, internal audit, financial monitoring (further - the Procedure) which is applied.

2. Declare invalid the decision of the National commission on securities and the stock market of November 14, 2024 No. 09/21/1418/k03 "About approval of the Procedure for approval of person appointed to position of the head of the professional participant of the capital markets and the organized goods markets, officials of internal control system and persons responsible for the implementation of financial monitoring" registered in the Ministry of Justice of Ukraine on November 28, 2024 at No. 1806/43151.

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