INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of August 16, 2017 No. 4498-U

About procedure for transfer by authorized banks, the "Development Bank and Foreign Economic Activity (Vnesheconombank)" state corporation to bodies of currency exchange control of information on violations by persons performing currency transactions, acts of the foreign exchange legislation of the Russian Federation and acts of bodies of currency control

This Instruction based on part 6 of Article 22, parts 9, the 9.1 and 10 article 23 of the Federal Law of December 10, 2003 No. 173-FZ "About currency control and currency exchange control" (The Russian Federation Code, 2003, No. 50, Art. 4859; 2004, No. 27, Art. 2711; 2005, No. 30, Art. 3101; 2006, No. 31, Art. 3430; 2007, No. 1, Art. 30; No. 22, Art. 2563; No. 29, Art. 3480; No. 45, Art. 5419; 2008, No. 30, Art. 3606; 2010, No. 47, Art. 6028; 2011, No. 7, Art. 905; No. 27, Art. 3873; No. 29, Art. 4291; No. 30, Art. 4584; No. 48, Art. 6728; No. 50, Art. 7348, Art. 7351; 2013, No. 11, Art. 1076; No. 19, Art. 2329; No. 27, Art. 3447; No. 30, Art. 4084; 2014, No. 11, Art. 1098; No. 19, Art. 2317; No. 30, Art. 4219; No. 45, Art. 6154; 2015, No. 27, Art. 3972, Art. 4001; No. 48, Art. 6716; 2016, No. 1, Art. 50; No. 27, Art. 4218; 2017, No. 30, the Art. 4456) (further - the Federal Law "About Currency Control and Currency Exchange Control"), Item 12 of Article 4, articles 54 and 57 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, of the Art. 4456) (further - the Federal Law "About the Central Bank Russian Federation (Bank of Russia)") establishes procedure for transfer by authorized banks (branches of authorized banks), the "Development Bank and Foreign Economic Activity (Vnesheconombank)" state corporation (further - authorized bank) information on violations by persons performing currency transactions (further - clients), acts of the foreign exchange legislation of the Russian Federation and acts of bodies of currency control (further - information on violations) to the bodies of currency exchange control having the right to apply sanctions against these clients (further - bodies of currency exchange control) according to their competence.

1. The authorized bank in case of control of observance by clients of acts of the foreign exchange legislation of the Russian Federation and acts of bodies of currency control and in the presence of information on violations shall transfer information on the specified violations to territorial office of the Bank of Russia in the territory of which it is located (further - territorial office), in the form of the electronic message supplied with authentication code (further - ES), for the subsequent direction to its bodies of currency exchange control according to their competence.

In the presence of information on violation by the client of requirements of Article 19, of part 4 of article 24 of the Federal law "About Currency Control and Currency Exchange Control" under the agreement registered in the authorized bank according to the procedure established by the Instruction of the Bank of Russia of August 16, 2017 No. 181-I "About procedure for representation by residents and nonresidents to authorized banks of supporting documents and information when implementing currency transactions, on single forms of accounting and the reporting under currency transactions, procedure and terms of their representation", registered by the Ministry of Justice of the Russian Federation on October 31, 2017 No. 48749, on December 7, 2017 No. 49152 (further - the Instruction of the Bank of Russia of August 16, 2017 No. 181-I), the authorized bank shall transfer to territorial office corresponding in electronic form to such registered agreement the sheet of bank control created according to the procedure No. 181-I established by the Instruction of the Bank of Russia of August 16, 2017, (further - EVBK) for the subsequent direction to its bodies of currency exchange control according to their competence.

In the presence of information on violation by the client of terms of submission of the certificate of the supporting documents established by the Instruction of the Bank of Russia of August 16, 2017 No. 181-I, the authorized bank shall transfer to territorial office in electronic form the copy of the certificate of supporting documents accepted by authorized bank (further - ESPD) for the subsequent direction to its bodies of currency exchange control according to their competence.

2. The authorized bank shall create as a part of ES information on the violations included by authorized bank in ES according to the rules of creation and representation of stipulated in Item 1 this Instruction of information in electronic form established based on article 57 of the Federal law "About the Central Bank Russian Federation (Bank of Russia)" and posted on the official site of the Bank of Russia on the Internet (further - rules of creation and submission of information in electronic form).

In one ES availability of information on several violations, including on several clients is allowed.

The authorized bank shall create EVBK according to rules of creation and submission of information in electronic form as of date of identification of violation of Article 19, of part 4 of article 24 of the Federal law "About Currency Control and Currency Exchange Control".

EVBK created according to requirements of this Item shall be included by authorized bank in structure of the archive file of authorized bank (further - the EVBK archive file).

From all ESPD directed by authorized bank according to Item of 1 this Instruction, the authorized bank shall create the archive file of authorized bank (further - the ESPD archive file). Each EVBK archive file and the ESPD archive file (further in case of joint mentioning - archive files) shall be supplied with code of authentication of authorized bank.

3. Transfer of ES and archive files by authorized bank, acceptance, check of confirmation of authenticity and control of integrity of ES and archive files by territorial office shall be performed according to the procedure, No. 1546-U established by the Instruction of the Bank of Russia of January 24, 2005 "About procedure for submission by credit institutions to the Central bank of the Russian Federation of the reporting in the form of the electronic messages supplied with authentication code", the registered Ministry of Justice of the Russian Federation on February 22, 2005 No. 6353, on November 28, 2007 No. 10558.

The procedure of verification of the name of the EVBK archive file accepted by territorial office on compliance to structure of the name shall be held in the automated mode. The EVBK archive file accepted by territorial office shall be decompressed for implementation of check in the automated EVBK availability mode in case of information transfer about violation of Article 19, of part 4 of article 24 of the Federal law "About Currency Control and Currency Exchange Control" in the checked ES accepted by territorial office. In case of lack of such EVBK the territorial office shall send to authorized bank in electronic form the notice on the revealed discrepancy (further - the notice on discrepancy).

The procedure of verification of the name of the ESPD archive file accepted by territorial office on compliance to structure of the name shall be held in the automated mode, at the same time the ESPD archive file shall not be decompressed and its content by territorial office shall not be controlled.

From all EVBK and all ESPD archive files which underwent control procedure according to this Item, the territorial office shall create respectively the EVBK summary archive file of territorial office and the ESPD summary archive file of territorial office.

4. The authorized bank shall transfer information on violations as a part of ES (ES and archive files) to territorial office no later than the second working day of the decade following reporting decade in which the authorized bank reveals violation (further - the accounting period).

5. By transfer by authorized bank to territorial office of ES (ES and archive files) the authorized bank shall cipher them on the keys of enciphering used for exchange of information with territorial office.

6. In case of positive results of check of authenticity and control of integrity, and also structure of the name ES and archive files the territorial office in day of receipt of ES (ES and archive files) shall create in electronic form and send to authorized bank the notice in the form of the electronic message on acceptance of ES (ES and archive files).

ES (ES and archive files), the procedure of check of authenticity and control of integrity, and also structure of the name of which yielded negative result, shall be excluded from further processing. At the same time the territorial office in day of receipt of ES (ES and archive files) shall create in electronic form and send to authorized bank the notice in the form of the electronic message on refusal in acceptance of ES (ES and archive files).

7. In case of receipt of the notice by authorized bank in the form of the electronic message on refusal in acceptance of ES and (or) archive files of territorial office the authorized bank shall create the corrected ES and (or) remove cause of failure in adoption of archive files and send the specified ES and (or) archive files to territorial office no later than the third working day following the accounting period, according to the procedure, established by this Instruction.

In case of receipt by authorized bank of the notice on discrepancy, the authorized bank shall create and send to territorial office no later than the third working day following the accounting period, EVBK on which the notice on the discrepancy, according to the procedure, established by this Instruction arrived in authorized bank.

In case of non-compliance by authorized bank with the term established by paragraphs the first and second this Item, the authorized bank shall include unaccepted territorial office of ES (ES and archive files), and also EVBK on which notices on discrepancy, in structure of information transferred according to this Instruction in the next accounting period are received.

8. The territorial office on the communication channels used by the Bank of Russia for transfer of statistical information no later than the fourth working day following the accounting period shall direct in time information on violations which arrived as a part of ES which underwent testing of confirmation of authenticity and control of integrity, and also the EVBK and ESPD summary archive files of territorial office created according to Item 3 presents of the Instruction in the Bank of Russia for the subsequent transfer to bodies of currency exchange control according to their competence.

9. No later than day of entry into force of this Instruction on the official site of the Bank of Russia on the Internet the Bank of Russia shall place rules of creation and submission of information in electronic form.

The rules of creation and submission of information in electronic form specified in this Item shall be applied since March 1, 2018.

Changes in rules of creation and submission of information in electronic form shall be applied after thirty calendar days after day of their placement on the official site of the Bank of Russia on the Internet.

10. This Instruction is subject to official publication and according to the solution of the Board of directors of the Bank of Russia (the minutes of the Board of directors of the Bank of Russia of August 9, 2017 No. 18) become effective since March 1, 2018.

11. From the date of entry into force of this Instruction to recognize invalid:

Provision of the Bank of Russia of July 20, 2007 No. 308-P "About procedure for transfer by authorized banks of information on violations by persons performing currency transactions, acts of the foreign exchange legislation of the Russian Federation and acts of bodies of currency control", registered by the Ministry of Justice of the Russian Federation on August 6, 2007 No. 9957;

Instruction of the Bank of Russia of July 23, 2009 No. 2265-U "About modification of the Provision of the Bank of Russia of July 20, 2007 No. 308-P "About procedure for transfer by authorized banks of information on violations by persons performing currency transactions, acts of the foreign exchange legislation of the Russian Federation and acts of bodies of currency control", registered by the Ministry of Justice of the Russian Federation on August 13, 2009 No. 14529;

Instruction of the Bank of Russia of June 4, 2012 No. 2828-U "About modification of the Provision of the Bank of Russia of July 20, 2007 No. 308-P "About procedure for transfer by authorized banks of information on violations by persons performing currency transactions, acts of the foreign exchange legislation of the Russian Federation and acts of bodies of currency control", registered by the Ministry of Justice of the Russian Federation on August 3, 2012 No. 25104.

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