Regulatory Alerts2026-08-13 | 09/21/5018/К03Added
On Approval of the Procedure for Coordinating Persons Appointed in Professional Participants of Capital and Organized Commodity Markets (Except Banks) to Positions of Heads and Persons Responsible for Compliance, Risk Management, Internal Audit, and Financial Monitoring
The National Commission for Securities and Stock Market approves a new procedure for coordinating the appointment of heads and key control officers (compliance, risk, audit, financial monitoring) in professional market participants, excluding banks. This regulation supersedes the previous decision from November 14, 2024, and establishes specific eligibility criteria, including professional competence and business reputation, for these roles. It mandates that applicants submit documents within 10 working days of appointment and sets the general effective date of the decision to October 1, 2026, with certain fee-related provisions taking effect earlier upon the registration of related fee changes.
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