INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of September 11, 2017 No. 4523-U

About modification of the Instruction of the Bank of Russia of September 1, 2014 No. 156-I "About the organization of inspection activities of the Bank of Russia concerning not credit financial credit institutions, self-regulatory organizations of not credit financial credit institutions and not being credit institutions of operators of payment systems, operators of services of payment infrastructure"

1. Bring in the Instruction of the Bank of Russia of September 1, 2014 No. 156-I "About the organization of inspection activities of the Bank of Russia concerning not credit financial credit institutions, self-regulatory organizations of not credit financial credit institutions and not being credit institutions of operators of payment systems, operators of services of payment infrastructure" the following changes.

1.1. To add subitem 1.3.3 of Item 1.3 with the paragraph of the following content:

"Methodical recommendations about the organization and conducting checks of not credit financial credit institutions concerning observance of requirements of the legislation of the Russian Federation in the field of POD/FT are developed by Department of financial monitoring and currency exchange control of the Bank of Russia.".

1.2. Third Item 2.1 to declare the paragraph invalid.

1.3. In Item 2.2:

the third and fourth to state paragraphs in the following edition:

"proposals of the First Deputy Chairman of the Bank of Russia, the vice-chairman of the Bank of Russia coordinating and controlling work of the structural divisions of central office of the Bank of Russia performing functions of regulation, control and supervision in the field of the financial markets of not credit financial credit institutions, self-regulatory organizations and (or) the sphere of their activities and supervision in national payment system (Department of collective investments and trust management of the Bank of Russia, Department of the insurance market of the Bank of Russia, Department of the security market and goods market of the Bank of Russia, Department of the microfinancial market of the Bank of Russia, Development department of the financial markets of the Bank of Russia, Department of processing of the reporting of the Bank of Russia and Department of national payment system of the Bank of Russia) (further - operating units of central office of the Bank of Russia) (further - the First Deputy Chairman of the Bank of Russia, the vice-chairman of the Bank of Russia supervising operating units of central office of the Bank of Russia), and (or) structural divisions of the Bank of Russia which representatives are part of Committee of financial supervision of the Bank of Russia or Committee of banking supervision of the Bank of Russia;

offers on conducting checks of persons under surveillance of the organizations for inclusion in the project of the Unified plan (further - offers in the project of the Unified plan) represented by operating units of central office of the Bank of Russia according to competence (regarding checks of persons under surveillance of the organizations, supervision of which activities they exercise) and prepared including taking into account preliminary offers in the project of the Unified plan of other structural divisions of central office of the Bank of Russia (including the Department of financial monitoring and currency exchange control of the Bank of Russia performing preparation of preliminary offers in the project of the Unified plan including taking into account offers of the territorial offices of the Bank of Russia exercising control and supervision of observance of the legislation of the Russian Federation by the not credit financial credit institutions in the field of POD/FT (further - territorial offices of the Bank of Russia, exercising supervision of compliance with law of the Russian Federation in the field of POD/FT), Head department of safety and information security of the Bank of Russia, Service on consumer protection and ensuring availability of financial services of the Bank of Russia) (further - the interested divisions of central office of the Bank of Russia) and territorial offices of the Bank of Russia (including the territorial offices of the Bank of Russia performing functions of control and supervision of persons under surveillance by the organizations and (or) in the field of their activities (further - profile territorial offices of the Bank of Russia), and also the supervising groups created according to the Provision of the Bank of Russia of December 22, 2014 No. 447-P "About curators of insurance companies", the registered Ministry of Justice of the Russian Federation on May 12, 2015 No. 37236 (further - the Provision of the Bank of Russia No. 447-P), Instruction of the Bank of Russia of October 25, 2013 No. 3089-U "About procedure of supervision of banking groups", the registered Ministry of Justice of the Russian Federation on December 30, 2013 No. 30897, on December 24, 2014 No. 35352, and other regulations of the Bank of Russia (further - supervising group);";

add with the paragraph of the following content:

"The main inspection no later than May 1 and on November 1 the current year brings to operating units of central office of the Bank of Russia and territorial offices of the Bank of Russia of the recommendation, the forming of offers disaggregating procedure in the project of the Unified plan by operating units of central office of the Bank of Russia (further - recommendations of the Main inspection).".

1.4. State Items 2.3 and 2.4 in the following edition:

"2.3. Operating units of central office of the Bank of Russia no later than May 20 and on November 20 the current year send in accordance with the established procedure to the Main inspection of the offer in the project of the Unified plan, the considering recommendations of the Main inspection.

By preparation of offers in the project of the Unified plan operating units of central office of the Bank of Russia shall provide streamlining (ranging) of checks of persons under surveillance of the organizations proceeding including from the purposes of control and supervision of them (further - prioritization of checks), and also observance of requirements of the legislation of the Russian Federation and regulations of the Bank of Russia, including requirements for frequency of conducting checks of persons under surveillance of the organizations (further - obligatory frequency).

The offers in the project of the Unified plan represented by operating units of central office of the Bank of Russia shall contain including:

the name of the subsupervising organization according to data of the Unified State Register of Legal Entities (for legal entities, being the commercial organizations, - full trade name or the reduced trade name (in the presence), for legal entities, being non-profit organizations, - the name), the primary state registration number of the subsupervising organization, identification taxpayer number of the subsupervising organization, and also the address (location) of the subsupervising organization according to data of the Unified State Register of Legal Entities and the actual address of the subsupervising organization;

the name of payment system which subject is the operator, and also information on recognition its significant (in the presence);

data on the types of activity performed by not credit financial credit institution and also on the types of activity of not credit financial credit institution which are subject to check;

data on the types of activity performed by the operator and also on the types of activity of the operator which are subject to check;

license number (license numbers) on implementation of the corresponding type of activity by the not credit financial credit institution (in case of its licensing), registration number of entry in the book of state registration, in the state register (other register) of persons under surveillance of the organizations (in the presence);

data on membership of not credit financial credit institution in self-regulatory organization (self-regulatory organizations) with indication of its name, the primary state registration number and identification taxpayer number;

specifying on need of conducting check proceeding from obligatory frequency (in the presence);

check type: complex check, thematic check or specialized check (with indication of the codes of the questions which are subject to check, established by the administrative document of the Bank of Russia determining the questions which are subject to consideration during checks and codes assigned for them (further - codes of the questions which are subject to check);

reasons for exception of single questions of the list of the questions which are subject to check proceeding from obligatory frequency of checks of not credit financial credit institutions, self-regulatory organizations, determined by documents of the Main inspection and operating units of central office of the Bank of Russia;

the checked period by each question which is subject to check;

month of the beginning of check (if necessary);

check type: regional check (including check of structural division of the subsupervising organization) or interregional check (including district check);

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