INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of November 3, 2017 No. 4600-U

About order of interaction of the Bank of Russia with credit institutions, not credit financial credit institutions and other participants of information exchange when using by them of information resources of the Bank of Russia, including personal account

This Instruction based on articles 73.1 and 76.9 of the Federal Law of July 10, 2002 No. 86-FZ "About the Central bank the Russian Federation (Bank of Russia)" (The Russian Federation Code, 2002, No. 28, Art. 2790; 2003, No. 2, Art. 157; No. 52, Art. 5032; 2004, No. 27, Art. 2711; No. 31, Art. 3233; 2005, No. 25, Art. 2426; No. 30, Art. 3101; 2006, No. 19, Art. 2061; No. 25, Art. 2648; 2007, No. 1, Art. 9, Art. 10; No. 10, Art. 1151; No. 18, Art. 2117; 2008, No. 42, Art. 4696, Art. 4699; No. 44, Art. 4982; No. 52, Art. 6229, Art. 6231; 2009, No. 1, Art. 25; No. 29, Art. 3629; No. 48, Art. 5731; 2010, No. 45, Art. 5756; 2011, No. 7, Art. 907; No. 27, Art. 3873; No. 43, Art. 5973; No. 48, Art. 6728; 2012, No. 50, Art. 6954; No. 53, Art. 7591, Art. 7607; 2013, No. 11, Art. 1076; No. 14, Art. 1649; No. 19, Art. 2329; No. 27, Art. 3438, Art. 3476, Art. 3477; No. 30, Art. 4084; No. 49, Art. 6336; No. 51, Art. 6695, Art. 6699; No. 52, Art. 6975; 2014, No. 19, Art. 2311, Art. 2317; No. 27, Art. 3634; No. 30, Art. 4219; No. 40, Art. 5318; No. 45, Art. 6154; No. 52, Art. 7543; 2015, No. 1, Art. 4, Art. 37; No. 27, Art. 3958, Art. 4001; No. 29, Art. 4348, Art. 4357; No. 41, Art. 5639; No. 48, Art. 6699; 2016, No. 1, Art. 23, Art. 46, Art. 50; No. 26, Art. 3891; No. 27, Art. 4225, Art. 4273, Art. 4295; 2017, No. 1, Art. 46; No. 14, Art. 1997; No. 18, Art. 2661, Art. 2669; No. 27, Art. 3950; No. 30, the Art. 4456) and according to Item 6 of part 2 of article 13 of the Federal Law of November 2, 2013 No. 293-FZ "About actuarial activities in the Russian Federation" (The Russian Federation Code, 2013, No. 44, Art. 5632; 2014, No. 30, Art. 4219; 2015, No. 10, Art. 1409; No. 29, Art. 4357; 2016, No. 26, the Art. 3863), article 29 of the Federal Law of July 13, 2015 No. 223-FZ "About self-regulatory organizations in the field of the financial market" (The Russian Federation Code, 2015, No. 29, Art. 4349; 2016, No. 27, the Art. 4225) and Item 10 of article 8 of the Federal Law of November 29, 2007 No. 282-FZ "About the official statistical recording and system of the state statistics in the Russian Federation" (The Russian Federation Code, 2007, No. 49, Art. 6043; 2011, No. 43, Art. 5973; 2012, No. 43, Art. 5784; 2013, No. 27, Art. 3463; No. 30, Art. 4084; No. 14, the Art. 1997) establishes 2017,:

order of interaction of the Bank of Russia with credit institutions, not credit financial credit institutions, issuers of securities, job seekers of licenses and the certificates granted by the Bank of Russia, self-regulatory organizations in the field of the financial market, self-regulatory organizations of actuaries, the respondents representing primary statistical data (further - respondents), and also with other persons in accordance with the legislation of the Russian Federation, including when implementing protection of the rights and legitimate interests of shareholders and investors in the financial markets, by means of use of the information resources posted on the official site of the Bank of Russia on the Internet (further - the website of the Bank of Russia), including by provision to these persons of access to personal account (further - information resources) if the specified interaction is stipulated by the legislation the Russian Federation;

procedure and terms of the direction issuers of securities, job seekers of licenses and the certificates granted by the Bank of Russia in accordance with the legislation of the Russian Federation, and also other persons, including operators of commodity deliveries, news agencies which carry out actions for disclosure of information on securities and about other financial instruments in accordance with the legislation of the Russian Federation, including when implementing protection of the rights and legitimate interests of shareholders and investors in the financial markets (further in case of joint mentioning - other participants of information exchange), notifications on use or notifications on refusal of use of personal account.

Chapter 1. General provisions

1.1. By means of use of information resources credit institutions, not credit financial credit institutions, self-regulatory organizations in the field of the financial market, self-regulatory organizations of actuaries, respondents (further - persons under surveillance of the organization) shall send the reporting, documents (information), data, including requests to the Bank of Russia, shall perform other rights and obligations established by the legislation of the Russian Federation, regulations of the Bank of Russia and also shall receive from the Bank of Russia documents (information), data, including requests, requirements (instruction) of the Bank of Russia, in the form of the electronic documents signed by the strengthened qualified digital signature of the legal entity or physical person (further - UKEP), including ciphered using the certified means of cryptographic information security (further - the electronic document).

Persons under surveillance of the organization and other participants of information exchange (further in case of joint mentioning - the participant of information exchange) in case of interaction with the Bank of Russia shall not apply the enciphering of electronic documents provided by paragraph one of this Item within transfer and receipt of information on assets when carrying out loan operations by the Bank of Russia.

1.2. Persons under surveillance of the organization shall provide the direction in the Bank of Russia and obtaining from the Bank of Russia of electronic documents, the stipulated in Item 1.1 presents of the Instruction, by means of use of information resources.

Other participants of information exchange have the right to perform interaction with the Bank of Russia by means of use of information resources by the direction in the Bank of Russia and obtaining from the Bank of Russia of electronic documents, the stipulated in Item 1.1 presents of the Instruction.

Interaction of other participants of information exchange with the Bank of Russia shall be performed after the direction in the Bank of Russia of notifications on use of personal account and stop after the direction in the Bank of Russia of the notification on refusal of use of personal account according to the procedure and the terms provided by the paragraph third subitem 2.2.1 and the paragraph the second subitem 2.2.2 of Item 2.2 of this Instruction.

1.3. The list of means of cryptographic information security, formats of the electronic document and information on technology of preparation and the direction in the Bank of Russia participants of information exchange of electronic documents, the stipulated in Item 1.1 presents of the Instruction, are posted on the website of the Bank of Russia.

1.4. In case of interaction of the Bank of Russia with the participant of information exchange UKEP according to the Federal Law of April 6, 2011 No. 63-FZ "About the digital signature" shall be used (The Russian Federation Code, 2011, No. 15, Art. 2036; No. 27, Art. 3880; 2012, No. 29, Art. 3988; 2013, No. 14, Art. 1668; No. 27, Art. 3463, Art. 3477; 2014, No. 11, Art. 1098; No. 26, Art. 3390; 2016, No. 1, Art. 65; No. 26, the Art. 3889) (further - the Federal Law of April 6, 2011 No. 63-FZ) allowing to identify the owner of the qualified certificate of key of verification of the digital signature (further - the qualified certificate) and to provide integrity of the electronic document.

The participant of information exchange shall use the qualified certificate which is issued by the certification center accredited by the Ministry of Telecom and Mass Communications of the Russian Federation according to Item 1 of part 2 of article 8 of the Federal Law of April 6, 2011 No. 63-FZ.

1.5. For signing of the electronic document UKEP which qualified certificate is issued to the participant of information exchange shall be used. The electronic document signed by UKEP shall contain reliable information about the moment of its signing, and also information necessary for verification of effective period of the qualified certificate of UKEP.

1.6. If the electronic document is signed by UKEP of person, the acting as sole executive body of the participant of information exchange, and (or) UKEP of persons, representatives to sign the electronic document of the participant of information exchange, the structure of the electronic document shall include the file containing the electronic copy of the organizational and administrative document giving appropriate authority to persons which signed the electronic document UKEP according to Item 1.5 of this Instruction.

1.7. The file of the electronic document with the file (files) of UKEP containing (containing) the qualified certificate which signed the electronic document, the software allowing to provide possibility of viewing of the electronic document and to identify the owner of the qualified certificate, and also the cryptographic keys used for forming of UKEP and enciphering shall be stored by the participant of information exchange, including in encrypted form.

1.8. In case of interaction of the Bank of Russia with participants of information exchange with use of personal account within carrying out credit and deposit operations, transactions of repo and transactions "currency swap" the provisions provided by the paragraph third Item 1 are not applied. 2, paragraphs second and third subitem 2.2.1 of Item 2. 2, paragraph the second subitem 2.2.2 of Item 2. 2, Items 3.8 and 3.10 of this Instruction.

1.9. Requirements of this Instruction do not extend to the reporting of credit institutions provided by articles 40 and 43 of the Federal law "About Banks and Banking Activity" (in edition of the Federal Law of February 3, 1996 No. 17-FZ) (Sheets of the Congress of People's Deputies of RSFSR and the Supreme Council of RSFSR, 1990, No. 27, Art. 357; Russian Federation Code, 1996, No. 6, Art. 492; 1998, No. 31, Art. 3829; 1999, No. 28, Art. 3459, Art. 3469; 2001, No. 26, Art. 2586; No. 33, Art. 3424; 2002, No. 12, Art. 1093; 2003, No. 27, Art. 2700; No. 50, Art. 4855; No. 52, Art. 5033, Art. 5037; 2004, No. 27, Art. 2711; No. 31, Art. 3233; 2005, No. 1, Art. 18, Art. 45; No. 30, Art. 3117; 2006, No. 6, Art. 636; No. 19, Art. 2061; No. 31, Art. 3439; No. 52, Art. 5497; 2007, No. 1, Art. 9; No. 22, Art. 2563; No. 31, Art. 4011; No. 41, Art. 4845; No. 45, Art. 5425; No. 50, Art. 6238; 2008, No. 10, Art. 895; 2009, No. 1, Art. 23; No. 9, Art. 1043; No. 18, Art. 2153; No. 23, Art. 2776; No. 30, Art. 3739; No. 48, Art. 5731; No. 52, Art. 6428; 2010, No. 8, Art. 775; No. 27, Art. 3432; No. 30, Art. 4012; No. 31, Art. 4193; No. 47, Art. 6028; 2011, No. 7, Art. 905; No. 27, Art. 3873, Art. 3880; No. 29, Art. 4291; No. 48, Art. 6730; No. 49, Art. 7069; No. 50, Art. 7351; 2012, No. 27, Art. 3588; No. 31, Art. 4333; No. 50, Art. 6954; No. 53, Art. 7605, Art. 7607; 2013, No. 11, Art. 1076; No. 19, Art. 2317, Art. 2329; No. 26, Art. 3207; No. 27, Art. 3438, Art. 3477; No. 30, Art. 4084; No. 40, Art. 5036; No. 49, Art. 6336; No. 51, Art. 6683, Art. 6699; 2014, No. 6, Art. 563; No. 19, Art. 2311; No. 26, Art. 3379, Art. 3395; No. 30, Art. 4219; No. 40, Art. 5317, Art. 5320; No. 45, Art. 6144, Art. 6154; No. 49, Art. 6912; No. 52, Art. 7543; 2015, No. 1, Art. 37; No. 17, Art. 2473; No. 27, Art. 3947, Art. 3950; No. 29, Art. 4355, Art. 4357, Art. 4385; No. 51, Art. 7243; 2016, No. 1, Art. 23; No. 15, Art. 2050; No. 26, Art. 3860; No. 27, Art. 4294, Art. 4295; 2017, No. 14, Art. 2000; No. 18, Art. 2661, Art. 2669; No. 25, Art. 3596; No. 30, Art. 4456; No. 31, Art. 4754).

Chapter 2. Procedure for the direction of the electronic document the participant of information exchange in the Bank of Russia through personal account

2.1. The direction in the Bank of Russia of electronic documents shall be performed by the participant of information exchange by means of personal account.

2.2. Information on the actions of the participant of information exchange necessary for use of personal account is posted on the website of the Bank of Russia.

2.2.1. Persons under surveillance the organizations perform activation of personal account on the website of the Bank of Russia from the date of inclusion of information about persons under surveillance the organizations in the Book of state registration of credit institutions, the state and other registers which maintaining is performed by the Bank of Russia, and (or) after registration by the Bank of Russia.

When implementing of several types of activity by the subsupervising organization in accordance with the legislation of the Russian Federation (further - type of activity) the direction of electronic documents in the Bank of Russia on each type of activity is performed by persons under surveillance the organizations only after inclusion of information about persons under surveillance the organizations in the Book of state registration of credit institutions, the corresponding state and other registers of the Bank of Russia.

Other participants of information exchange get access to personal account no later than three working days from the date of the direction of the notification on use of the personal account containing details, obligatory for filling, and the Bank of Russia posted in the section "Internet and reception" "/send the Offer" on the website in time.

In case of implementation by the participant of information exchange of several types of activity regulated by the Bank of Russia, registration in personal account is performed once.

2.2.2. In case of exception of data on the subsupervising organization of the Book of state registration of credit institutions, all state and other registers of the Bank of Russia access to personal account stops not later than in six months of the year following after year in which data on the subsupervising organization were excluded.

Information exchange of the Bank of Russia with other participants of information exchange by means of personal account stops after the direction them in the bank address of Russia of the notification on refusal of use of personal account. The notification on refusal of use of personal account goes to the Bank of Russia through personal account and it is considered the received Bank of Russia after one working day from the date of its direction.

2.2.3. In case of the direction in the Bank of Russia of the electronic document the participant of information exchange receives through personal account of the notice of the Bank of Russia on stages of passing of the electronic document, the stipulated in Item 3.3 presents of the Instruction.

Chapter 3. Passing stages in the Bank of Russia of the electronic document directed by the participant of information exchange

3.1. All electronic documents arriving in the Bank of Russia undergo testing of UKEP (for confirmation of authenticity and control of integrity), formatno-logical control of the electronic document, date of departure, date of submission of the electronic document, check on lack of malicious code (further - check).

Electronic documents in which mistakes are revealed are considered not undergone testing and are not subject to registration.

In case of positive result of check the electronic document is registered in the Bank of Russia with assignment to it the entering number (the unique identifier) and registration date of the electronic document.

3.2. The personal account contains information on stages of passing of the electronic document directed by the participant of information exchange:

about verification of the electronic document;

about registration date of the electronic document and assignment to it the entering number.

3.3. In case of the direction of the electronic document through personal account the participant of information exchange receives:

the notice of the Bank of Russia on loading of the electronic document in personal account or the notice of the Bank of Russia on error of loading of the electronic document in personal account;

the notice of the Bank of Russia on registration date of the electronic document and assignment to it the entering number.

The notice of the Bank of Russia on registration date of the electronic document and assignment of the entering number confirms it submission by the participant of information exchange of the electronic document to the Bank of Russia.

Date and time of submission to the Bank of Russia of the electronic document the date and time (Moscow time) specified in the notice of the Bank of Russia on loading of the electronic document in personal account on condition of receipt of information exchange by the participant according to the same electronic document of the notice of the Bank of Russia on registration date of the electronic document and assignment to it the entering number are.

3.4. If within two hours from the moment of departure of the electronic document by the participant of information exchange the notices specified in the paragraph the second Item 3.3 of this Instruction are not received or the notice of the Bank of Russia on error of loading of the electronic document in personal account is received, the participant of information exchange shall repeat the procedure of departure of the electronic document.

3.5. If after one hour from the moment of the repeated direction of the electronic document the participant of information exchange does not receive the notices specified in the paragraph the second Item 3.3 of this Instruction or the notice of the Bank of Russia on error of loading of the electronic document in personal account is received, it is necessary for the participant of information exchange in case of absence on the website of the Bank of Russia of information on technical failure or the temporary termination of acceptance of electronic documents from the Bank of Russia (further - failure) to remove cause of error of loading of the electronic document, and in case of lack of mistake from the participant of information exchange to file in the Bank of Russia petition for emergence of error of departure of the electronic document for the purpose of its elimination or receipt of the corresponding explanations.

The participant of information exchange can submit the application provided by paragraph one of this Item by e-mail or by phone. Information on e-mail addresses and phone numbers on which the specified statement is adopted is posted on the website of the Bank of Russia, and also in personal account.

The Bank of Russia in time no later than 18 hours 00 minutes Moscow time of the working day following behind day of receipt of the specified statement from the participant of information exchange shall eliminate the errors of receipt of the electronic document revealed from the Bank of Russia.

3.6. In case of failure information with indication of date and time (Moscow time) of the termination of acceptance of electronic documents by the Bank of Russia is posted on the website of the Bank of Russia. After elimination of failure information with indication of date and time (Moscow time) of renewal of acceptance of electronic documents by the Bank of Russia is posted on the website of the Bank of Russia.

Information on the happened failure shall be available on the website of the Bank of Russia at least one calendar year from the date of its placement.

3.7. After failure elimination the participant of information exchange shall send the electronic document to the Bank of Russia if as a result of failure the participant of information exchange had no opportunity to send the electronic document in time established for its submission to the Bank of Russia.

3.8. The term established for submission of the electronic document to the Bank of Russia in case of failure is prolonged before the expiration of 24 hours from the moment of placement on the website of the Bank of Russia of information on renewal of acceptance of electronic documents by the Bank of Russia (Moscow time) published after the expiration established for submission of such electronic document.

If the expiration of prolongation of submission of the electronic document to the Bank of Russia falls on the output or non-working holiday recognized by that legislation of the Russian Federation (further - non-working day), the term of submission of the electronic document to the Bank of Russia is prolonged till 18 hours 00 minutes (Moscow time) the first working day following non-working day.

3.9. If as a result of failure the participant of information exchange had no opportunity to submit the electronic document in time established for its submission to the Bank of Russia, but provided the procedure of its direction in the Bank of Russia according to the procedure, established by this Instruction, the Bank of Russia does not apply measures for violation of the term established for submission of the electronic document.

3.10. In case of need modification of the electronic document which is earlier sent to the Bank of Russia the participant of information exchange shall create the new electronic document, repeatedly sign the electronic document UKEP and send the electronic document to the Bank of Russia.

Chapter 4. Procedure for the direction to the participant of information exchange of the electronic document of the Bank of Russia

4.1. The Bank of Russia by placement in personal account sends to the participant of information exchange electronic documents (information), including requirements (instruction) of the Bank of Russia, bank inquiries of Russia and replies to the requests of the participant of information exchange.

4.2. Record about placement by the Bank of Russia in personal account of the electronic document shall contain its reference number and registration date in the Bank of Russia.

4.3. The electronic document of the Bank of Russia is considered the received subsupervising organization and other participant of information exchange who got access to personal account according to this Instruction, after 24 hours from the moment of placement of the electronic document in personal account, except for the case provided by the paragraph third this Item.

If the moment of receipt of the electronic document of the Bank of Russia by the participant of information exchange drops out on non-working day, the electronic document of the Bank of Russia is considered the first working day following the non-working day received till 18 hours 00 minutes Moscow time.

The electronic document of the Bank of Russia is considered received by credit institutions after one hour from the moment of placement of the electronic document in personal account. If the moment of placement of the electronic document falls on time off, the electronic document is considered the working day following behind the day of its placement in personal account received by credit institution at ten o'clock 00 minutes local time.

Assurance of receipt by the participant of information exchange of the electronic document of the Bank of Russia is record about its placement by the Bank of Russia in personal account, signed UKEP of the Bank of Russia, with possibility of its obtaining.

Chapter 5. Final provisions

5.1. This Instruction becomes effective after 10 days after day of its official publication.

5.2. From the date of entry into force of this Instruction to declare invalid the Instruction of the Bank of Russia of December 21, 2015 No. 3906-U "About order of interaction of the Bank of Russia with not credit financial credit institutions and other participants of information exchange when using of information resources of the Bank of Russia, including personal account by them, and also procedure and terms of the direction other participants of information exchange of the notification on use or notifications on refusal of use of personal account", registered by the Ministry of Justice of the Russian Federation on March 1, 2016 No. 41289.

 

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