Inspections of professional participants

One of the main elements of state regulation in the sphere of professional activity on the capital markets and organized commodity markets is the control over activities in this area by conducting scheduled and unscheduled on-site inspections by the NSSMC.

The following types of professional activity are carried out in the capital markets:

1. activities for trading in financial instruments;
2. activities for the organization of trade in financial instruments;
3. clearing activities;
4. depository activity;
5. asset management activities of institutional investors;
6. property management activities to finance construction and / or real estate transactions;
7. activities for the administration of private pension funds.

Professional activities on organization of trade in products on commodity exchanges are carried out on organized commodity markets.

Carrying out on-site inspections is one of the actions to implement the tasks of the NSSMC in accordance with the Law of Ukraine On State Regulation of Capital Markets and Organized Commodity Markets.

In accordance with generally accepted IOSCO Principles, the regulator of the capital markets and organized commodity markets should have the power to inspect, investigate and supervise, collect evidence of the presence of signs of wrongdoing in capital market participants and take actions to prevent violations of the law. The regulatory system should provide effective and equitable methods of inspections, investigations and oversight.

List of subjects for scheduled inspections