Decision on Amendments to the Procedure for Conducting Inspections on Capital and Organized Commodity Markets

NATIONAL COMMISSION FOR SECURITIES AND STOCK MARKET DECISION Kyiv On Amendments to the Procedure for Conducting Inspections on Capital and Organized Commodity Markets

In accordance with paragraph 1 of part one of Article 7, Article 33 of the Law of Ukraine "On State Regulation of Capital Markets and Organized Commodity Markets", Article 23 of the Law of Ukraine "On Financial Services and Financial Companies", Article 30 of the Law of Ukraine "On Rating", with the aim of bringing normative legal acts into compliance with the legislation of Ukraine,

The National Commission for Securities and Stock Market

D E C I D E D:

1. Make the following amendments to the Procedure for Conducting Inspections on Capital and Organized Commodity Markets, approved by the Decision of the National Commission for Securities and Stock Market dated March 25, 2026 No. 15/21/4019/K03:

1. reword paragraph 27 as follows:
   "27. Except for cases provided for in the second sentence of the first paragraph of this point, a repeat inspection is prohibited if the issues that are to be the subject of such an inspection were checked during a previously conducted inspection. The Commission may issue a resolution on conducting a repeat inspection exclusively in the event that disciplinary proceedings have been initiated against the person authorized to conduct the inspection who previously conducted the said inspection, or such person has been notified of suspicion of committing a criminal offense that is considered a corrupt criminal offense in accordance with the Criminal Code of Ukraine.

In the event of detection of circumstances specified in sub-paragraph 8 of paragraph 23 of this Procedure, the Commission issues a resolution on conducting a new unscheduled inspection to clarify such issues.";

2. in paragraph 59, replace the word "three" with the word "five".

2. The Management of Administrative Activity shall ensure the publication of this decision on the website of the National Commission for Securities and Stock Market.

3. The Department of Legal Development shall ensure the submission of this decision for state registration to the Ministry of Justice of Ukraine in the manner established by legislation, and upon receipt of notification regarding state registration from the Ministry of Justice of Ukraine, ensure the publication of this decision on the official website of the National Commission for Securities and Stock Market.

4. This decision enters into force simultaneously with the entry into force of the Decision of the National Commission for Securities and Stock Market dated March 25, 2026 No. 15/21/4019/K03 "On Approval of the Procedure for Conducting Inspections on Capital and Organized Commodity Markets", but no earlier than the day following the day of its official publication.

5. Entrust control over the implementation of this decision to a member of the National Commission for Securities and Stock Market, Yu. Shapoval.

Chairman of the Commission Oleksiy SEMENYUK

Protocol of the Commission meeting dated 07.04.2026 No. 15