PROVISION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of December 26, 2017 No. 622-P

About procedure for disclosure of information on persons, under control or considerable influence of which there are banks - participants of system of compulsory deposit insurance of physical persons in banks of the Russian Federation, and also about procedure for disclosure and submission to the Bank of Russia of information on structure and shareholding structure (participants) of non-state pension funds, insurance companies, managing companies, microfinance companies, including about persons, under control or considerable influence of which they are

This Provision based on Item 5 of part 1 of article 44 of the Federal Law of December 23, 2003 No. 177-FZ "About deposit insurance in banks of the Russian Federation" (The Russian Federation Code, 2003, No. 52, Art. 5029; 2004, No. 34, Art. 3521; 2005, No. 1, Art. 23; 2006, No. 31, Art. 3449; 2007, No. 12, Art. 1350; 2008, No. 42, Art. 4699; No. 52, Art. 6225; 2011, No. 1, Art. 49; No. 27, Art. 3873; No. 29, Art. 4262; No. 49, Art. 7059; 2013, No. 19, Art. 2308; No. 27, Art. 3438; No. 49, Art. 6336; No. 52, Art. 6975; 2014, No. 14, Art. 1533; No. 30, Art. 4219; No. 52, Art. 7543; 2015, No. 1, Art. 4, Art. 14; No. 27, Art. 3958; No. 29, Art. 4355; 2016, No. 27, Art. 4297; 2017, No. 18, Art. 2661, Art. 2669; No. 31, the Art. 4789, the Art. 4816) (further - the Federal Law "About Deposit Insurance in Banks of the Russian Federation"), Item 5 of article 4.1 of the Federal Law of May 7, 1998 No. 75-FZ "About non-state pension funds" (The Russian Federation Code, 1998, No. 19, Art. 2071; 2001, No. 7, Art. 623; 2002, No. 12, Art. 1093; 2003, No. 2, Art. 166; 2004, No. 49, Art. 4854; 2005, No. 19, Art. 1755; 2006, No. 43, Art. 4412; 2007, No. 50, Art. 6247; 2008, No. 18, Art. 1942; No. 30, Art. 3616; 2009, No. 29, Art. 3619; No. 48, Art. 5731; No. 52, Art. 6450, Art. 6454; 2010, No. 17, Art. 1988; No. 31, Art. 4196; 2011, No. 29, Art. 4291; No. 48, Art. 6728; No. 49, Art. 7036, Art. 7037, Art. 7040, Art. 7061; 2012, No. 31, Art. 4322; No. 47, Art. 6391; No. 50, Art. 6965, Art. 6966; 2013, No. 19, Art. 2326; No. 30, Art. 4044, Art. 4084; No. 49, Art. 6352; No. 52, Art. 6975; 2014, No. 11, Art. 1098; No. 30, Art. 4219; 2015, No. 27, Art. 3958, Art. 4001; No. 29, Art. 4357; 2016, No. 1, Art. 41, Art. 47; No. 27, Art. 4225; 2017, No. 31, the Art. 4754, the Art. 4830) (further - the Federal Law "About Non-state Pension Funds"), Item 13 of article 32.1 of the Law of the Russian Federation of November 27, 1992 No. 4015-1 "About the organization of insurance case in the Russian Federation" (Sheets of the Congress of People's Deputies of the Russian Federation and the Supreme Council of the Russian Federation, 1993, No. 2, Art. 56; Russian Federation Code, 1998, No. 1, Art. 4; 1999, No. 47, Art. 5622; 2002, No. 12, Art. 1093; No. 18, Art. 1721; 2003, No. 50, Art. 4855, Art. 4858; 2004, No. 30, Art. 3085; 2005, No. 10, Art. 760; No. 30, Art. 3101, Art. 3115; 2007, No. 22, Art. 2563; No. 46, Art. 5552; No. 49, Art. 6048; 2009, No. 44, Art. 5172; 2010, No. 17, Art. 1988; No. 31, Art. 4195; No. 49, Art. 6409; 2011, No. 30, Art. 4584; No. 49, Art. 7040; 2012, No. 53, Art. 7592; 2013, No. 26, Art. 3207; No. 30, Art. 4067; No. 52, Art. 6975; 2014, No. 23, Art. 2934; No. 30, Art. 4224; No. 45, Art. 6154; 2015, No. 10, Art. 1409; No. 27, Art. 3946, Art. 4001; No. 29, Art. 4357, Art. 4385; No. 48, Art. 6715; 2016, No. 1, Art. 52; No. 22, Art. 3094; No. 26, Art. 3863, Art. 3891; No. 27, Art. 4225, Art. 4294, Art. 4296; 2017, No. 31, the Art. 4754, the Art. 4830) (further - the Federal Law "About the Organization of Insurance Case in the Russian Federation"), Item 5 of article 38.1 of the Federal Law of November 29, 2001 No. 156-FZ "About investment funds" (The Russian Federation Code, 2001, No. 49, Art. 4562; 2004, No. 27, Art. 2711; 2006, No. 17, Art. 1780; 2007, No. 50, Art. 6247; 2008, No. 30, Art. 3616; 2009, No. 48, Art. 5731; 2010, No. 17, Art. 1988; No. 31, Art. 4193; 2011, No. 48, Art. 6728; No. 49, Art. 7040, Art. 7061; 2012, No. 31, Art. 4334; 2013, No. 26, Art. 3207; No. 27, Art. 3477; No. 30, Art. 4084; No. 51, Art. 6695, Art. 6699; 2014, No. 11, Art. 1098; 2015, No. 27, Art. 4001; No. 29, Art. 4357; 2016, No. 1, Art. 47; No. 23, Art. 3301; No. 27, Art. 4225, Art. 4294; 2017, No. 18, Art. 2661; No. 31, the Art. 4830) (further - the Federal Law "About Investment Funds") and parts 5 of article 4.3 of the Federal Law of July 2, 2010 No. 151-FZ "About microfinancial activities and the microfinancial organizations" (The Russian Federation Code, 2010, No. 27, Art. 3435; 2011, No. 27, Art. 3880; No. 49, Art. 7040; 2013, No. 26, Art. 3207; No. 30, Art. 4084; No. 51, Art. 6683, Art. 6695; 2014, No. 26, Art. 3395; 2015, No. 27, Art. 4001; No. 29, Art. 4357; 2016, No. 1, Art. 27; No. 27, Art. 4163, Art. 4225; 2017, No. 18, Art. 2669; No. 31, Art. 4830; 2018, No. 18, Art. 2560; No. 53, Art. 8440, Art. 8463, Art. 8480; 2019, No. 31, Art. 4430; No. 49, of the Art. 6953) (further - the Federal Law "About Microfinancial Activities and the Microfinancial Organizations") establishes procedure for disclosure to the unrestricted group of people of information on persons, under control or considerable influence of which there are participating banks of system of compulsory deposit insurance of physical persons in banks of the Russian Federation (further - credit institutions), and also procedure for submission to the Bank of Russia and disclosures to the unrestricted group of people of information:

about structure and shareholding structure of non-state pension funds, including about persons, under control or considerable influence of which there are non-state pension funds (further - funds);

about structure and shareholding structure (participants) of insurance companies, shareholders (participants) of managing companies of investment funds, mutual investment funds and non-state pension funds (further - managing companies), shareholders (participants) of the microfinance companies which are the commercial organizations (further - microfinance companies), including about persons, under control or considerable influence of which there are insurance companies, managing companies, microfinance companies.

1. For ensuring access of the unrestricted group of people to information on persons, under control or considerable influence of which there are credit institutions, to information on structure and shareholding structure (participants) of funds, insurance companies, managing companies, microfinance companies (further in case of joint mentioning - NFO), including about persons, under control or considerable influence of which there are NFO, this information shall be posted by the Bank of Russia on the official site of the Bank of Russia on the Internet (further - the official site of the Bank of Russia).

1.1. For placement of information on persons, under control or considerable influence of which there is credit institution, on the official site of the Bank of Russia credit institution go to the Bank of Russia (the center of the admission of the financial organizations which is territorial subdivision of Department of the admission and the termination of activities of the financial organizations of the Bank of Russia (further - the center of the admission) the following documents:

the statement for placement on the official site of the Bank of Russia of information on persons, under control or considerable influence of which is credit institution (further - the Statement);

the list of persons, under control or considerable influence of which is credit institution (further - the List);

the scheme of interrelations of credit institution and persons, under control or considerable influence of which there is credit institution (further - the Scheme).

The recommended application form is given in appendix 1 to this Provision. The recommended sample of the List is given in appendix 2 to this Provision. The example of filling of the List is given in appendix 3 to this Provision. The example of creation of the Scheme is given in appendix 4 to this Provision.

Paragraph of the sixth ceased to be valid

1.2. For placement of information on structure and shareholding structure of fund, including about persons, under control or considerable influence of which there is fund, on the official site of the Bank of Russia fund the following documents go to Department of the admission and termination of activities of the financial organizations of the Bank of Russia:

the statement for placement on the official site of the Bank of Russia of information on structure and shareholding structure of fund, including about persons, under control or considerable influence of which is fund (further - the Statement 1);

the list of shareholders of fund and persons, under control or considerable influence of which is fund (further - the List 1);

the scheme of interrelations of shareholders of fund and persons, under control or considerable influence of which there is fund (further - the Scheme 1).

The recommended application form 1 is given in appendix 5 to this Provision. The recommended sample of the List 1 is given in appendix 6 to this Provision. The example of filling of the List 1 is given in appendix 7 to this Provision. The example of creation of the Scheme 1 is given in appendix 8 to this Provision.

Paragraph of the sixth ceased to be valid

For placement of information on structure and shareholding structure (participants) of insurance companies (managing companies, microfinance companies), including about persons, under control or considerable influence of which there are insurance companies (managing companies, microfinance companies), on the official site of the Bank of Russia the specified organizations the following documents go to Department of the admission and termination of activities of the financial organizations of the Bank of Russia:

the statement for placement on the official site of the Bank of Russia of information on structure and shareholding structure (participants) of insurance company (managing company, microfinance company), including about persons, under control or considerable influence of which is insurance company (managing company, microfinance company) (further - the Statement 2);

the list of shareholders (participants) of insurance company (managing company, microfinance company) and persons, under control or considerable influence of which is insurance company (managing company, microfinance company) (further - the List 2);

the scheme of interrelations of shareholders (participants) of insurance company (managing company, microfinance company) and persons, under control or considerable influence of which is insurance company (managing company, microfinance company) (further - the Scheme 2).

The recommended application form 2 is given in appendix 12 to this Provision. The recommended sample of the List 2 is given in appendix 9 to this Provision. The example of filling of the List 2 is given in appendix 10 to this Provision. The example of creation of the Scheme 2 is given in appendix 11 to this Provision.

1.3. For placement on the official site of the Bank of Russia of information on persons, under control or considerable influence of which there is credit institution, the List and the Scheme go credit institutions to the Bank of Russia (the center of the admission) in the form of the RByyyy_ггггммдд.doc file which shall contain the List and the Scheme, and the RByyyy_ггггммдд.xls file which shall contain data from the List and the Scheme where yyyy - registration number of credit institution according to the Book of state registration of credit institutions (it is specified in the four-digit category), ггггммдд - year, month, day of forming of the List and Scheme. The statement is presented in the form of the file which name shall correspond to the following template: RBZyyyy.pdf, where yyyy - registration number of credit institution according to the Book of state registration of credit institutions (it is specified in the four-digit category).

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