Key NSSMC decisions dated 14 Nov 2025

Within the scope of regulatory activities, the Commission:

● approved the Regulations on the procedure for issuing and trading real estate fund certificates;
● approved the Regulations on the ownership structure of legal entities, the procedure and conditions for obtaining NSSMC approval for significant participation in professional participants in capital markets and organized commodity markets;
● approved the draft NSSMC Resolution “On Amendments to the Regulations on Professional Activities in Capital Markets – Asset Management Activities for Financing Construction Projects and/or Real Estate Transactions”;
● approved the draft NSSMC Resolution “On Approval of the Regulations on Self-Regulatory Organizations of Professional Participants in Capital Markets and Amendments to the Licensing Conditions for Professional Activities in Capital Markets”;
● approved the draft NSSMC Resolution “On Approval of Amendments to Certain Regulatory Acts of the NSSMC Regarding the Regulation of the Combination of Professional Activities in Capital Markets – Depository Activities of Depository Institutions by the Clearing Institutions that Perform Clearing Activities of a Central Counterparty”;
● approved the Amendments to the requirements for synchronizing date and time recording systems;
● approved the draft NSSMC Resolution “On Approval of the Procedure for Determining the Risk of Failure in the Work of a Professional Participant as a Systemic Risk”;
● approved the draft NSSMC Resolution “On Approval of the Regulations on the Recording and Consideration of Cases of Violations by the NSSMC”;
● approved the draft Resolution of the NBU Board “On Approval of the Rules for Acceptance and Transfer of Documents for Archival Storage to the NBU Industry State Archive and of Updating the Rules for the Application of the List of Documents Generated in the Activities of the NBU and Banks of Ukraine”.

Within the scope of supervision, the Commission:

● made changes to the list of assets, including cash belonging to clients/depositors of FREEDOM FINANCE UKRAINE LLC, to which the sanction of “asset freezing” was applied;
● found that FK FINBUD LLC complies with the criteria specified in the Resolution No. 76 of the Cabinet of Ministers of Ukraine dated 27 January 2023;
● prohibited making changes to the depository accounting system, committing and/or executing transactions involving securities;
● amended the NSSMC Resolutions No. 405 and No. 406 dated 05 April 2024.

On registration and licensing issues, the Commission:

● registered a report on the results of the issue of registered corporate bonds of Series B of FK SUPPLY CHAIN FINANCE LLC, the issue of which is carried out through a public offering;
● registered a report on the results of the placement (exchange) of shares of TRADING EVO PJSC;
● registered the issue of registered corporate bonds of Series A of BTA BANK JSC;
● denied registration of the issue of shares of DIPROBUDMASHYNA PJSC, MAGAZYN KYANKA PJSC, and ZHYTOMYRSKYI MEBLEVYI KOMBINAT;
● approved the draft statute and registration of the issue of shares of ZNVKIF EVOLUTION INVEST JSC and ZNVKIF TUNGSTEN INVEST JSC for the purpose of forming the initial authorized capital.

Regarding the appointment of officials at professional market participants, the Commission:

● approved the Director and person responsible for compliance management, a member of the Supervisory Board and person responsible for risk management, a member of the Supervisory Board and person responsible for internal auditing, the Chairman of the Supervisory Board of KUA ENERGOBUDLEASING LLC;
● approved the Director of KUA DOBROBUD-INVEST LLC.

These Commission decisions are available by following the link.