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

of December 11, 2007 No. 2272

About approval of Rules of hearing of cases about violation of requirements of the legislation in the security market and applications of sanctions

According to article 255 of the Code of Ukraine about administrative offenses and Articles 7, of 8, of 9, of 11, of 12, 13 Laws of Ukraine "About state regulation of the security market in Ukraine", for the purpose of enhancement of the procedure of law enforcement in the security market and considering requirements of the legislation State commission on securities and the stock market SOLVED:

1. Approve Rules of hearing of cases about violation of requirements of the legislation in the security market and applications of sanctions (are applied).

2. Recognize to invalid:

the order of State commission on securities and the stock market of 09.01.97 N2 "About Approval of Rules of Hearing of Cases about Violation of Requirements of the Legislation in the Security Market and Applications of Sanctions" registered in the Ministry of Justice of Ukraine 27.01.97 for N10/1814;

the decision of State commission on securities and the stock market of 13.02.2001 N27 "About Modification of Rules of Hearing of Cases about Violation of Requirements of the Legislation in the Security Market and Applications of Sanctions" registered in the Ministry of Justice of Ukraine 16.03.2001 for N 243/5434;

the decision of State commission on securities and the stock market of 06.11.2001 N341 "About Modification of Rules of Hearing of Cases about Violation of Requirements of the Legislation in the Security Market and Applications of Sanctions" registered in the Ministry of Justice of Ukraine 05.02.2002 for N106/6394;

the decision of State commission on securities and the stock market of 19.12.2002 N412 "About Modification of Rules of Hearing of Cases about Violation of Requirements of the Legislation in the Security Market and Applications of Sanctions" registered in the Ministry of Justice of Ukraine 28.01.2003 for N59/7380.

3. Provide to legal management provision of this decision on state registration in the Ministry of Justice of Ukraine.

4. To the chief of staff of State commission on securities and the stock market Yu. Provide with Nazarenko:

publication of this decision according to the legislation.

5. This decision becomes effective according to the legislation.

6. I reserve control over the implementation of this decision.

Approved by the Decision of State commission on securities and the stock market of Ukraine of December 11, 2007 No. 2272

Rules of hearing of cases about violation of requirements of the legislation in the security market and applications of sanctions

Section I. General provisions

1. These Rules 27 Codes of Ukraine about administrative offenses, Articles 7, of 8, of 9, of 11, 12 Laws of Ukraine "About state regulation of the security market in Ukraine", article 47 of the Law of Ukraine "About securities and the stock market" and other regulatory legal acts are drafted according to Chapters 1, of 2, of 3, of 4, of 16, of 17, of 18, of 19, of 21, of 22, of 23, of 24, of 25,.

These Rules determine procedure and terms of consideration by State commission by securities and the stock market (daleekomissiya) of cases on violation by citizens, officials and legal entities of requirements of the legislation in the security market.

2. The purpose of these Rules is ensuring compliance with requirements of the legislation by members of the security market in the security market, protection of the rights of members of the security market.

3. Hearing of cases about the offenses made in the territory of Ukraine is performed according to these Rules.

4. Production task on cases on offenses is timely, complete and objective clarification of circumstances of each case, the decision it in strict accordance with the legislation, ensuring accomplishment of the passed decision, and also identification of the reasons and conditions which promote making of offenses, and prevention of offenses.

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