On Approval of the Procedure for Appointment to and Dismissal from Positions of Controllers of the National Securities and Stock Market Commission

NATIONAL SECURITIES AND STOCK MARKET COMMISSION DECISION Kyiv On Approval of the Procedure for Appointment to and Dismissal from Positions of Controllers of the National Securities and Stock Market Commission

In accordance with paragraph 1 of part 1 of Article 7, part 3 of Article 35 of the Law of Ukraine "On State Regulation of Capital Markets and Organized Commodity Markets"

The National Securities and Stock Market Commission HAS DECIDED:

1. Approve the Procedure for Appointment to and Dismissal from Positions of Controllers of the National Securities and Stock Market Commission, which is attached.

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

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

4. This decision enters into force on July 1, 2026, but not earlier than the day following the day of its official publication.

5. Control over the implementation of this decision shall be vested in a member of the National Securities and Stock Market Commission, Yu. Shapoval.

Chairman of the Commission Oleksiy SEMENYUK

Protocol of the Commission meeting of 25.03.2026 No. 13

APPROVED Decision of the National Securities and Stock Market Commission __________________ No. ___________

Procedure for Appointment to and Dismissal from Positions of Controllers of the National Securities and Stock Market Commission

1. This Procedure defines the mechanism for appointment to and dismissal from positions of controllers of the NSSMC (hereinafter — controllers) for the purpose of conducting controlled services in capital markets and organized commodity markets.

2. Ukrainian citizens who have higher education and are capable, based on their personal, business, and moral qualities, educational and professional level, effectively performing the corresponding official duties, are appointed to the positions of controllers on a voluntary, contractual basis.

3. A contract with a controller is concluded for a term of no more than 6 months, and may be concluded only once.

4. A controller is appointed to the position by the head of the NSSMC office in accordance with labor legislation upon the submission of an authorized person for conducting inspections in capital markets and organized commodity markets or an authorized person for conducting investigations in capital markets and organized commodity markets, agreed upon by the head of the NSSMC Human Resources Management Service.

5. Before being appointed to the position of controller, a person submits to the NSSMC a commitment to non-disclosure of information (Appendix 1) and an declaration regarding the absence of conflict of interest (Appendix 2).

6. A controller is dismissed from the position in accordance with labor legislation and the terms of the contract concluded with them.

7. Information about persons who are controllers is professional secrecy.

8. Entries regarding work at the NSSMC are not made in the work books of persons who are controllers.

9. All documents related to the formalization of labor relations of persons who are controllers are official information.

Acting Director of the Department of Legal Development Stepan ZOLOTAR

Appendix 1 to the Procedure for Appointment to and Dismissal from Positions of Controllers of the National Securities and Stock Market Commission (point 5)

Commitment to Non-Disclosure of Information

I, _____________________________________________________________, (surname, first name and patronymic (if any))

by signing this commitment to non-disclosure of information, I undertake to take measures to ensure non-disclosure of information with restricted access, including confidential information, personal data, professional secrecy, and any other information that becomes or may become known to me in connection with the performance of the official duties of a controller of the National Securities and Stock Market Commission (hereinafter — information).

I undertake not to use the information for my own interests and/or the interests of third parties.

I undertake not to disclose my affiliation with the National Securities and Stock Market Commission.

I am aware that disclosure of information may be grounds for holding me liable as provided by law.

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(date) (personal signature) (first name and surname)

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Appendix 2 to the Procedure for Appointment to and Dismissal from Positions of Controllers of the National Securities and Stock Market Commission (point 5)

Declaration Regarding the Absence of Conflict of Interest

I, _____________________________________________________________, (surname, first name and patronymic (if any))

by signing this declaration, I certify that I do not have a potential and/or actual conflict of interest with persons regarding whom I may be involved in conducting a controlled service, in particular (if necessary, specify) ____________________________________________________________________. (name of legal entity, identification code)

In the event of a potential or actual conflict of interest arising during the conduct of a controlled service, I undertake to immediately notify the National Securities and Stock Market Commission.

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(date) (personal signature) (first name and surname)

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