Regulatory Alerts2025-05-13 | 09/21/2262/К03Added · Updated
Decision on Approving the Procedure for Forming the List of Assets Including Cash Belonging to Clients or Depositors of a Capital Market Professional Participant Subject to Asset Blocking Sanctions
The National Commission on Securities and Stock Market (NSSM) approves a procedure for forming a list of assets, including cash, belonging to clients or depositors of a capital market professional participant subject to an asset blocking sanction. The NSSM compiles this list by reconciling data from the Central Depository, the National Bank of Ukraine, the Clearing Center, and relevant banks, categorizing assets by entity type (individuals, legal entities, investment funds) and holding institution. Clients or depositors meeting specific exclusion criteria, such as being controllers, beneficial owners, or nationals of an aggressor state, are excluded from the list. The approved list is distributed to the sanctioned participant and relevant financial institutions to facilitate the return of assets, with further return procedures established by the NSSM in coordination with the National Bank of Ukraine.