Decision on Amendments to the Regulation on Fixing and Considering Cases of Offenses by the National Securities and Stock Market Commission

NATIONAL SECURITIES AND STOCK MARKET COMMISSION DECISION Kyiv On Amendments to the Regulation on Fixing and Considering Cases of Offenses by the National Securities and Stock Market Commission

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", with the aim of bringing normative legal acts into compliance with the legislation of Ukraine,

The National Securities and Stock Market Commission D E C I D E D:

1. Make the following changes to the Regulation on Fixing and Considering Cases of Offenses by the National Securities and Stock Market Commission, approved by the Decision of the National Securities and Stock Market Commission dated March 25, 2026 No. 15/21/4015/K03:

1. rewrite paragraph 154 as follows: "154. Confirmation of timely notification of a person subject to administrative liability is the invitation to consider the case sent via the electronic cabinet of the State Tax Service of the legal entity of which they are an official (employee). In the event of sending documents and notifications by postal means (registered letter with notification of delivery), it is considered that the person was duly notified the day following the day of receipt of the postal item, which is confirmed by the notification of delivery of the postal item. In the event of refusal by the person to accept the postal item or a mark indicating the absence of the person at the address of location, residence, or stay of the person, who is registered in the manner established by law, if this person has not notified the NSSMC of another address, it is considered that the person was duly notified the day following the day of return of the postal item to the NSSMC. The notification may be sent to the existing electronic address of the person held by the NSSMC.";

2. rewrite paragraph 177 as follows: "177. The decision is subject to execution from the day it enters into legal force. The fine imposed for committing an administrative offense is paid by the person to a bank institution no later than fifteen calendar days from the day of service of the decision on imposing the fine, and in case of appeal of such decision – no later than fifteen days from the day of notification that the appeal was left unconsidered."

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

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 after receiving notification of state registration from the Ministry of Justice of Ukraine, ensure the publication of this decision on the official website of the National Securities and Stock Market Commission.

4. This decision enters into force simultaneously with the entry into force of the Decision of the National Securities and Stock Market Commission dated March 25, 2026 No. 15/21/4015/K03 "On Approval of the Regulation on Fixing and Considering Cases of Offenses by the National Securities and Stock Market Commission", but no earlier than the day following the day of its official publication.

5. Control over the execution of this decision shall be vested with the Member of the National Securities and Stock Market Commission Yu. Shapoval.

Chairman of the Commission Oleksiy SEMENYUK

Protocol of the Commission meeting dated 07.04.2026 No. 15