Decision on Amendments to the Procedure for Returning Assets Belonging to Clients/Depositors of Capital Market Professional Participants Subject to Asset Blocking Sanctions

NATIONAL COMMISSION FOR SECURITIES AND STOCK MARKET DECISION Kyiv On Amendments to the Procedure for Returning Assets, Including Monetary Funds, Belonging to Clients/Depositors of a Professional Participant of Capital Markets to Which the Sanction of "Asset Blocking" Has Been Applied In accordance with paragraph 1 of part 1 of Article 7 of the Law of Ukraine "On State Regulation of Capital Markets and Organized Commodity Markets", Law of Ukraine "On Capital Markets and Organized Commodity Markets", with the aim of improving regulatory legal acts The National Commission for Securities and Stock Market D E C I D E D:

1. Make the following changes to the Procedure for Returning Assets, Including Monetary Funds, Belonging to Clients/Depositors of a Professional Participant of Capital Markets to Which the Sanction of "Asset Blocking" Has Been Applied, approved by the Decision of the National Commission for Securities and Stock Market dated July 25, 2025 No. 09/21/2643/K03, registered in the Ministry of Justice of Ukraine on July 31, 2025 under No. 1124/44530:

1) in Section I:
in the first paragraph of point 1, exclude the words and symbols "(hereinafter - NSSMC)"; in the third paragraph of sub-paragraph 3 of point 2, replace the words "Unified State Register of Enterprises and Organizations of Ukraine" with the words "Unified State Register of Enterprises and Organizations of Ukraine"; in the eighth paragraph of point 5, replace the words "registered in the Ministry of Justice of Ukraine" with the words "registered in the Ministry of Justice of Ukraine";

2 in the fifth paragraph of sub-paragraph 2 of point 9, replace the word "such" with the word "such"; in the second paragraph of sub-paragraph 1 of point 11, replace the words "classified by the Cabinet of Ministers of Ukraine into the list of offshore zones" with the words and figures "classified by the Cabinet of Ministers of Ukraine into the list of offshore zones, in accordance with the appendix to the Resolution of the Cabinet of Ministers of Ukraine dated February 23, 2011 No. 143-r"; in point 14:
in the second paragraph, replace the words "temporary manager of the PPU" with the words "temporary manager of the PPU"; in the fourth paragraph, replace the words "in the manner established by the Procedure" with the words and figures "in accordance with sub-paragraph 1 of point 6 of this Section"; in the second paragraph of point 15, replace the words "day of receipt of information from the Clearing Center specified in the first paragraph of this point" with the words "day (day of receipt of information from the Clearing Center specified in the first paragraph of this point)";

2) in Section II
in Chapter 2:
in the fourth paragraph of sub-paragraph 2 of point 2, exclude the word "Procedure"; in point 4:
in the first paragraph, replace the words "Section II of this Procedure" with the words "this Section"; in the fourth paragraph, replace the words "day of its receipt" with the words "day (day of its receipt)"; rephrase the second sentence of point 6 as follows: "The transfer of documents to the depositary institution regarding the encumbrance of securities with obligations and notification of the pledgee about the transfer of securities to a new depositary institution shall be carried out by the applicant." in point 7:

3 in sub-paragraph 5, replace the words "in accordance with current legislation" with the words "in accordance with legislation on the depositary system"; replace the words "in conducting" with the words "in conducting"; in Chapter 3:
in the first paragraph of point 3, replace the words "Section II of this Procedure" with the words "this Section"; rephrase the second sentence of point 5 as follows: "The transfer of documents to the depositary institution regarding the encumbrance of securities with obligations and notification of the pledgee about the transfer of securities to a new depositary institution shall be carried out by the applicant."

3) in Section III:
in points 2 and 3, replace the words "registered in the Ministry of Justice of Ukraine" with the words "registered in the Ministry of Justice of Ukraine"; in point 6, replace the words "registered in the Ministry of Justice of Ukraine" with the words "registered in the Ministry of Justice of Ukraine"; in point 9, replace the words "in conducting" with the words "in conducting";

4) in the text of the Procedure, replace the word "Section" in all cases with the word "section" in the corresponding case;

2. The Department of Methodology of Regulation of Professional Participants of the Securities Market shall ensure the submission of this decision for state registration to the Ministry of Justice of Ukraine.
3. The Administration of Administrative Activity shall ensure the publication of this decision on the official website of the National Commission for Securities and Stock Market.
4. The Department of Legal Support and Internal Compliance Control shall, after the state registration of the decision by 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.

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5. This decision enters into force from the day following the day of its official publication.
6. Control over the implementation of this decision shall be entrusted to a member of the National Commission for Securities and Stock Market, Shlyakhov Ya.
Chairman of the Commission Ruslan MAGOMEDOV
Protocol of the Commission meeting dated 14.10.2025 No. 98