THE ORDER OF THE NATIONAL COMMISSION PERFORMING STATE REGULATION IN THE FIELD OF THE MARKETS OF FINANCIAL SERVICES OF UKRAINE

of November 28, 2013 No. 4368

About modification of the Regulations on the State Register of financial institutions and recognition voided some regulatory legal acts of State commission on regulation of the markets of financial services of Ukraine

According to Items 1 and 2 of part one of article 28 of the Law of Ukraine "About financial services and state regulation of the markets of financial services", and also for the purpose of enhancement of system of maintaining the State Register of financial institutions, the National commission performing state regulation in the field of the markets of financial services decided:

1. Make changes to the Regulations on the State Register of financial institutions approved by the order of State commission on regulation of the markets of financial services of Ukraine of August 28, 2003 No. 41, registered in the Ministry of Justice of Ukraine on September 11, 2003 at No. 797/8118 (in edition of the order of State commission on regulation of the markets of financial services of Ukraine of January 16, 2007 No. 6640), having been reworded as follows it which is applied.

2. Recognize invalid regulatory legal acts of State commission on regulation of the markets of financial services of Ukraine according to the list which is attached.

3. To submit to department of methodology, standards of regulation and supervision of financial institutions together with department of legal providing and maintaining the Register of financial institutions this order to the Ministry of Justice of Ukraine for state registration.

4. To provide to the sector of public relations and the protocol promulgation of this order after its state registration.

5. This order becomes effective in six months from the date of its official publication.

6. Control over the implementation of this order to assign to the member Natskomfinuslug Levchenko V. P.

Approved by the Order of State commission on regulation of the markets of financial services of Ukraine of August 28, 2003 No. 41

(in edition of the Order of the National commission performing state regulation in the field of the markets of financial services of Ukraine of November 28, 2013 No. 4368)

Regulations on the State Register of financial institutions

I. General provisions

1. This Provision is developed according to requirements of the Laws of Ukraine "About financial services and state regulation of the markets of financial services", "About prevention and counteraction of legalization (washing) of income gained in the criminal way or to terrorism financing", "About information", the Presidential decree of Ukraine of November 23, 2011 No. 1070 "About the National commission performing state regulation in the field of the markets of financial services" and other regulatory legal acts regulating the relations arising in the field of implementation of financial services.

2. In this Provision terms are used in the following values:

separate division - branch, other separate division of the legal entity located out of the location of the legal entity and performing everything or part of functions on provision of financial services from his name;

The state Register of financial institutions (further - the Register) - system of obtaining, accumulating, storage, protection, use and distribution of administrative information (data) on financial institution;

the statement - registration card or the document constituted by the applicant in the corresponding form according to appendices to this Provision which moves the applicant for: its entering into the Register; receipts of the duplicate or renewal of the registration certificate of financial institution; exceptions of information on financial institution of the Register; replacements, issues of the duplicate or cancellation of appendix to the registration certificate of financial institution, entering into the State Register of financial institutions of information on separate divisions of the legal entity;

the applicant - the legal entity filing documents for: its entering into the Register for receipt of the status of financial institution; exceptions of financial institution of the Register, modification of the Register; issues of the duplicate or renewal of the registration certificate of financial institution; replacements, issues of the duplicate or cancellation of appendix to the registration certificate of financial institution, introduction or exception of information on separate divisions in the Register;

the location - the actual place of conducting activities or arrangement of office from which daily management of activities of the legal entity (where mainly there is management of the legal entity) is carried out and control and accounting is exercised;

unreliable information - data on discrepancy of information containing in the documents submitted by the applicant for receipt of the status of financial institution and/or modification of information containing in the Register, to the documents (information) which are available in the National commission performing state regulation in the field of the markets of financial services (further - Natskomfinuslug), by results of accomplishment of the functions and tasks determined by the legislation;

the neogenic applicant - the legal entity who submitted the application for its entering into the State Register of financial institutions no later than thirty calendar days from the date of entering into the Unified State Register of Legal Entities and physical persons entrepreneurs of record about carrying out state registration of this legal entity;

registration card - the document with the corresponding details of the established sample which moves the applicant for introduction of the corresponding record about the applicant and/or about its separate divisions in the Register;

registration case - the folder of organizational and accounting type with the documents filed by the legal entity to Natskomfinuslug (on paper) which require long-term storage during the term established by this Provision;

the registration certificate of financial institution (further - the Certificate) the document of the established sample certifying the fact of acquisition by the legal entity of the status of financial institution and entering of financial institution into the Register;

systematic failure to carry out of corrective actions - failure to carry out or partial failure to carry out within calendar year of two or more corrective actions applied by Natskomfinuslug to financial institution;

entering of information on financial institution into the Register - entering of the legal entity into the Register for acquisition of the status of financial institution, exception of financial institution of the Register, and also making of other registration actions provided by this Provision, way of introduction of information to the Register by it;

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