Decision on Approving the Instructions on the Organization of Access Control at the National Securities and Stock Market Commission of Ukraine

NATIONAL COMMISSION FOR SECURITIES AND STOCK MARKET DECISION Kyiv On Approval of the Instruction on the Organization of Access Control at the National Commission for Securities and Stock Market 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", subparagraph 5 of paragraph 234 of the Procedure for Organization and Provision of Secrecy Regime in State Bodies, Local Self-Government Bodies, Enterprises, Institutions and Organizations, approved by the Resolution of the Cabinet of Ministers of Ukraine dated December 18, 2013 No. 939, The National Commission for Securities and Stock Market D E C I D E D:

1. Approve the Instruction on the Organization of Access Control at the National Commission for Securities and Stock Market, attached hereto.
2. The Department of Legal Support and Internal Compliance Control shall ensure the submission of this decision for state registration to the Ministry of Justice of Ukraine in the manner established by legislation.
3. The Administration of Administrative Activities shall ensure the publication of this decision on the website of the National Commission for Securities and Stock Market.
4. The Department of Legal Support and Internal Compliance Control, upon receipt of notification regarding state registration at the Ministry of Justice of Ukraine, shall ensure the publication of this decision on the official website of the National Commission for Securities and Stock Market.

2 5. This decision enters into force from the day following the day of its official publication on the official website of the National Commission for Securities and Stock Market. 6. Control over the implementation of this decision is entrusted to the Chairman of the National Commission for Securities and Stock Market R. Magomedov and the Head of the Office of the National Commission for Securities and Stock Market M. Yanchuk. Chairman of the Commission Ruslan MAGOMEDOV Protocol of the Commission meeting dated 08.08.2025 No. 80

APPROVED Decision of the National Commission for Securities and Stock Market __________ 2025 No. ____ Instruction on the Organization of Access Control at the National Commission for Securities and Stock Market I. General Provisions

1. This Instruction establishes the rules of access control to the premises of the National Commission for Securities and Stock Market at 8 Kniaziv Ostrozkykh St., bldg. 30, Kyiv (hereinafter — premises of the NSSMC), and the bringing in/taking out of material assets to/from the premises of the NSSMC.
2. Security and provision of the access control regime are carried out by the personnel of the units of the National Guard of Ukraine in accordance with the Resolution of the Cabinet of Ministers of Ukraine dated November 25, 2015 No. 971 "On Approval of the List of State Authorities Subject to Free Security by the National Guard" and the Regulation on the Organization and Performance of Security Service by Military Units and Units of the National Guard of State Authorities, approved by the Order of the Ministry of Internal Affairs of Ukraine dated July 20, 2016 No. 692, registered at the Ministry of Justice of Ukraine on August 16, 2016 under No. 1140/29270.
3. The main tasks of the access control regime are to regulate the implementation of the right of access defined by the laws of Ukraine, the bringing in/taking out of material assets to/from the premises of the NSSMC, and to prevent: penetration of third parties into the premises of the NSSMC; visits to restricted premises (premises where secret work is carried out, in accordance with the Procedure for Organization and Provision of Secrecy Regime in State Bodies, Local Self-Government Bodies, Enterprises, Institutions and Organizations, approved by the Resolution of the Cabinet of Ministers of Ukraine dated December 18, 2013 No. 939) by employees of the National Commission for Securities and Stock Market (hereinafter — NSSMC) and dispatched persons without official need; theft of material carriers of secret and official information; unauthorized taking out of material carriers of secret information from the premises of the NSSMC or restricted premises, as well as bringing them in; bringing audio, video, radio, photographic equipment, and other technical means into the premises of the NSSMC without the corresponding permission.
4. To ensure the access control regime and the appropriate level of security, the premises of the NSSMC are equipped with a video surveillance system, and the entrances to the premises of the NSSMC are equipped with an electronic access control and management system. Security of the premises of the NSSMC is carried out through uninterrupted and continuous visual observation and the use of a video surveillance system. The video surveillance system is installed near the entrance, in the foyer, and in the corridors.
5. The requirements of this Instruction apply to all employees of the NSSMC and visitors.
6. In the event of accidents, natural disasters, or other emergencies, special transport with employees of emergency rescue squads, emergency and medical services, employees of the State Emergency Service of Ukraine, and employees of law enforcement agencies is allowed unrestricted entry upon presentation of an identity document, accompanied by a military guard, which is immediately reported to the Chairman of the NSSMC and the Head of the Office of the NSSMC.
7. In the event of emergencies (fire, accident, air raid, etc.), the electronic access control and management system is disconnected, and exit from the premises of the NSSMC is carried out unrestrictedly through all exits. II. Organization of the Security Post with Access Control Functions and Documentation Providing the Right to Enter the Premises of the NSSMC
8. A security post with access control functions (hereinafter — security post) is organized at the entrance to the premises of the NSSMC, which is equipped with engineering and technical security and communication means, and is provided with technical means intended for detecting prohibited items for bringing in, defined in subparagraphs 2-4 of paragraph 22 of Section II of this Instruction. The access control regime at the NSSMC is ensured by the military guard of the National Guard of Ukraine (hereinafter — military guard) in accordance with the duty schedule.
9. Control over compliance with the access control regime in the premises of the NSSMC is carried out by the structural units of the NSSMC responsible for internal security and economic support.
10. During the performance of official duties, the military guard has the right:

1. to demand from persons located in the premises of the NSSMC to comply with the access control regime, as well as public order;
2. to address a person located in the premises of the NSSMC or intending to enter the premises of the NSSMC (hereinafter — visitor) to present an identity document;

3 3) to inspect material assets being brought in/taken out to/from the premises of the NSSMC and check their compliance with permit documents. 11. Documents providing the right to enter the premises of the NSSMC are a one-time or permanent pass in the form of a card with a contactless electronic carrier or in the form of a virtual token activated using a mobile application. 12. Employee passes are connected to the electronic access control and management system by the structural unit of the NSSMC responsible for economic support. 13. Entry into and exit from the premises of the NSSMC by NSSMC employees on working days is carried out from 07:00 to 21:00. 14. Admission to the premises of the NSSMC on any days, including holidays, non-working days, and weekends, is granted to the Chairman of the NSSMC, members of the NSSMC, the Head of the Office of the NSSMC and his deputies, heads of structural units of the NSSMC and their deputies. Admission of other NSSMC employees to the premises of the NSSMC on holidays, non-working days, and weekends is carried out on the basis of a memo from the head of the structural unit, approved by the Head of the Office of the NSSMC. 15. The military guard reports to the structural units of the NSSMC responsible for internal security and economic support, as well as to the Advisor on Regime and Secret Work of the NSSMC, any attempts to penetrate the premises of the NSSMC in violation of the access control regime (without a pass). 16. In the event of the dismissal of an NSSMC employee, or loss of a pass, the NSSMC Human Resources Service or the structural unit of the NSSMC responsible for economic support shall notify the duty officer. 17. A one-time pass in the form of a card with a contactless electronic carrier (hereinafter — one-time pass) is issued to a visitor by the military guard based on an order (Appendix 1) submitted to the security post. The order is signed by the head or deputy head of the structural unit of the NSSMC, in agreement with the Head of the Office of the NSSMC or his deputy (except for orders of the Chairman of the NSSMC and members of the NSSMC). The military guard issues a one-time pass to a visitor without an order if information about the visitor was provided by phone to the duty officer by the Chairman of the NSSMC, a member of the NSSMC, the Head of the Office of the NSSMC, their assistants, as well as the deputies of the Head of the Office of the NSSMC. Information about the visitor and the issued one-time pass is entered by the military guard into the visitor log (Appendix 2).

4 18. An employee of the structural unit to which the visitor arrived accompanies the visitor's movement within the premises of the NSSMC and ensures their timely exit from the premises of the NSSMC. 19. In the event of loss or damage to a one-time pass, the visitor notifies the employee of the structural unit accompanying them or the military guard. The one-time pass must be returned to the duty officer after the visitor leaves the premises of the NSSMC beyond the security post. 20. In the event of a visitor's refusal to leave the premises of the NSSMC after the end of the working day, the military guard takes measures provided by legislation, while simultaneously ensuring the proper security of the premises of the NSSMC. 21. Bringing material assets held on the balance sheet of the NSSMC into the premises of the NSSMC and taking them out of the premises of the NSSMC is carried out on the basis of a memo from the head of the structural unit in the presence of an employee of the structural unit responsible for economic support. Bringing personal property into the premises of the NSSMC and taking it out of the premises of the NSSMC (except for personal electronic devices, including laptops, tablets, smartphones) is carried out on the basis of a memo from the head of an independent structural unit, approved by the Head of the Office of the NSSMC. 22. The following persons are prohibited from entering the premises of the NSSMC:

1. persons showing signs of alcohol or drug intoxication;
2. persons with weapons, ammunition, explosives, poisonous, radioactive and highly flammable substances, special means of individual protection and active defense, other items, materials and substances dangerous to life and health, items, substances that can be used to commit a diversionist-terrorist act, encroach on the honor and dignity of NSSMC employees, or suspicious items subject to the permit system of the internal affairs bodies (except for equipment of law enforcement agency employees, personnel of the Main Directorate of Government Courier Service of the State Service of Special Communication and Information Protection of Ukraine, as well as the State Guard of Ukraine, who arrive to deliver documents or provide security for officials of state authorities in accordance with legislation);
3. media representatives — with photo, audio and video equipment, sound recording devices, computer equipment not included in the list (Appendix 3);

5 4) persons with suitcases, household bags and packages larger than 60 × 40 × 20 cm without the permission of the Head of the Office of the NSSMC or his deputy. 23. The right to grant permission by telephone to pass visitors with large suitcases and luggage without inspection is granted to the Chairman of the NSSMC, members of the NSSMC, the Head of the Office of the NSSMC and his deputies. III. Procedure for Passing Certain Categories of Visitors 24. Around the clock on working, non-working, holiday, and weekend days, officials for whom state protection is carried out in accordance with Articles 5 and 6 of the Law of Ukraine "On State Protection of State Authorities and Officials" are allowed unrestricted entry to the premises of the NSSMC, namely:

1. President of Ukraine;
2. Chairman of the Verkhovna Rada of Ukraine;
3. Prime Minister of Ukraine;
4. Chairman of the Supreme Court;
5. Chairman of the Constitutional Court of Ukraine;
6. First Deputy and Deputy Chairman of the Verkhovna Rada of Ukraine;
7. First Vice-Prime Minister of Ukraine;
8. Prosecutor General;
9. other persons who have such a right in accordance with legislation.

25. Based on official IDs, without registration in the visitor log and one-time passes through the security post, the following are allowed unrestricted entry:

1. Authorized Person of the Verkhovna Rada of Ukraine for Human Rights;
2. People's Deputies of Ukraine of the current convocation;
3. Members of the Cabinet of Ministers of Ukraine;
4. Secretary of the National Security and Defense Council of Ukraine and his deputies;
5. Head of the Apparatus of the Verkhovna Rada of Ukraine and his deputies;
6. Head of the Office of the President of Ukraine and his deputies;
7. Members of the Chamber of Accounts;
8. Deputy Prosecutor Generals;
9. Chairman of the Board of the National Bank of Ukraine;
10. Members of the Central Election Commission;
11. Judges of the Constitutional Court of Ukraine, the Supreme Court, and higher specialized courts;
12. Heads of other central executive authorities, state secretaries of ministries;
13. persons who are part of the control group of the Chamber of Accounts, upon presentation of an order signed by the corresponding member of the Chamber of Accounts to carry out a state external financial control measure (audit);
14. other persons who have such a right in accordance with legislation.

6 26. Based on official IDs, without processing an order for one-time passes through the security post, the following persons are allowed entry (based on previously provided lists or accompanied by an authorized employee):

1. of the Main Directorate of Government Courier Service of the State Service of Special Communication and Information Protection of Ukraine during the performance of official duties;
2. employees of the designated postal service operator;
3. emergency (ambulance) medical team;
4. other persons who have such a right in accordance with legislation.

27. The military guard notifies the official of the leadership activity coordination unit about the arrival at the NSSMC of officials defined in paragraphs 24 and 25 of this section.
28. Media representatives and persons with photo, audio and video equipment, sound recording devices, computer equipment, etc., are allowed into the premises of the NSSMC based on a list (Appendix 3) approved by the Head of the Office of the NSSMC or his deputy, which is signed by the head of the structural unit whose functions include interaction with the media, and submitted to the security post.
29. Persons arriving at the NSSMC to perform construction, repair, and other economic work are allowed into the premises of the NSSMC based on an order (Appendix 4) approved by the Head of the Office of the NSSMC or his deputy, which is signed by the head of the structural unit responsible for economic support (indicating information about tools, instruments, and building materials being brought into the premises of the NSSMC, and the premises where the work will be carried out).
30. For the passage of foreign delegations, foreigners, and stateless persons, an order for the passage of foreigners and stateless persons (Appendix 5) is drawn up, which is signed by the head of the independent structural unit whose functions include coordination of work with foreigners, and submitted to the security post. The order for the passage of foreigners and stateless persons is drawn up on the basis of a program for receiving foreigners approved by the Chairman of the NSSMC and is not approved if such a program is absent.
31. An employee of the structural unit responsible for accompanying foreigners or stateless persons is obliged to meet such persons at the entrance to the premises of the NSSMC and accompany them during their stay in the premises of the NSSMC.

7 IV. Procedure for Handing Over (Receiving) Premises of the NSSMC for Security 32. NSSMC employees are obliged to:

1. maintain the premises and property located in them in proper sanitary and technical condition;
2. comply with safety rules when working with electrical equipment and household appliances, as well as fire safety rules;
3. contribute to the security of the premises and property located in them, prevent their destruction or theft.

33. The handing over and receiving of keys is carried out at the duty officer at the security post under personal signature in the key issuance and receipt log, which is kept in an arbitrary form and must contain information about the date and time of receiving the keys, the person who received and handed over the keys, the signature of the serviceman from the military guard who confirms the receipt of the keys.
34. The military guard is prohibited from issuing keys to persons who are not NSSMC employees.
35. Restricted premises with sealed entrance doors and working copies of keys from them in cases sealed with personal numbered metal stamps of responsible persons are handed over to the duty officer for security under signature in the log of handing over (receiving) for security, removal (receiving) from security of restricted premises, storage facilities for material carriers of secret information, and keys to them.
36. Restricted premises are handed over to security and removed from security by responsible persons in accordance with a list compiled by the Advisor on Regime and Secret Work of the NSSMC, which is provided to the military guard.
37. During duty, the duty officer checks the integrity of stamp impressions and the operability of locks. In the event of detecting a violation of the integrity of stamp impressions, damage to locks, or other signs of unauthorized penetration into the premises, it is not opened, but the Chairman of the NSSMC, the Head of the Office of the NSSMC, and the Advisor on Regime and Secret Work of the NSSMC are informed about this. Before the arrival of the Advisor on Regime and Secret Work of the NSSMC, the duty officer takes measures to strengthen security at the scene. Director of the Department of Legal Support and Internal Compliance Control Stepan ZOLOTAR

Appendix 1 to the Instruction on the Organization of Access Control at the National Commission for Securities and Stock Market (point 17 of Section II) APPROVED Head / Deputy Head of the Office of the NSSMC _________ First Name SURNAME (signature) Order for One-Time Passes

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(date) No. No. Last Name, First Name, Patronymic (if available) of the visitor Place of Work, Position Purpose of Arrival Room Number (Cabinet) Last Name and Initials of the Person Accompanying and Responsible for Reception 1 2 3 4 5 6 Position of the Head of the Structural Unit ______________ (signature) First Name SURNAME

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Appendix 2 to the Instruction on the Organization of Access Control at the National Commission for Securities and Stock Market (point 17 of Section II) Visitor Log No. Last Name, First Name, Patronymic (if available) of the visitor Place of Work, Position, ID No. or Series (if available) and Passport Document Number Last Name and Initials of the Person Responsible for Reception Official or Structural Unit to which the Visitor is Going Entry Time Exit Time No. of One-Time Pass 1 2 3 4 5 6 7 8

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Appendix 3 to the Instruction on the Organization of Access Control at the National Commission for Securities and Stock Market (point 28 of Section III) APPROVED Head / Deputy Head of the Office of the NSSMC _________ First Name SURNAME (signature) List of Media Representatives

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(date) No. Last Name, First Name, Patronymic (if available) of the Media Representative Name of Media Type, Brand, Model, Number and/or Other Identification Marks of Photo, Audio, Video, Computer Equipment, Sound Recording Devices 1 2 3 4 Position of the Head of the Structural Unit ______________ (signature) First Name SURNAME

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Appendix 4 to the Instruction on the Organization of Access Control at the National Commission for Securities and Stock Market (point 29 of Section III) APPROVED Head / Deputy Head of the Office of the NSSMC _________ First Name SURNAME (signature) Order for the Passage of Persons Performing Construction, Repair, and Other Economic Work

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(date) No. No. Last Name, First Name, Patronymic (if available) Place of Work, Position Notes 1 2 3 4 Materials and Tools Being Brought In __________________________________________ Time of Work __________________________________________________________ Nature of Work ________________________________________________________________ Place of Work ________________________________________________________ Responsible for the Work from NSSMC _________________________________________________ Position of the Head of the Structural Unit _____________ (signature) First Name SURNAME

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Appendix 5 to the Instruction on the Organization of Access Control at the National Commission for Securities and Stock Market (point 30 of Section III) APPROVED Head / Deputy Head of the Office of the NSSMC _________ First Name SURNAME (signature) Order for the Passage of Foreigners and Stateless Persons ____ _________________ 20___ at _____ h. _____ min. in the office No. ________ Chairman of the NSSMC, member of the NSSMC, Head of the Office of the NSSMC or his deputy, director of the department of the NSSMC receives a delegation (conducts a business meeting) with

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(representatives of foreign states, international organizations, business circles, etc.) I request to organize the passage of foreigners (stateless persons)

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(last name, first name, citizenship (subject)) Of them, persons with diplomatic immunity

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(last name, first name, citizenship (subject)) Foreigners (stateless persons) will have video, photo, sound recording, sound amplification and other equipment with them (underline the necessary). Video and photo shooting is planned

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(indicate the place of video and photo shooting) Will meet and accompany foreigners (stateless persons) and citizens of Ukraine who arrived with them

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(last name, first name, patronymic (if available) and position of the employee) Position of the Head of the Structural Unit ____________ (signature) First Name SURNAME

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