Instruction of the Central bank of the Russian Federation "About requirements to the statement, data and the documents submitted for receipt of the license..."

INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

Appendix 1

Appendix 2

Appendix 3

Appendix 4

Appendix 5

Appendix 6

Appendix 7

Appendix 8

Appendix 1

Appendix 2

Appendix 3

Appendix 4

Appendix 5

Appendix 6

Appendix 7

Appendix 8

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The document ceased to be valid since January 1, 2019 according to Item 16 of the Instruction of the Central bank of the Russian Federation of November 29, 2018 No. 4993-U

It is registered

Ministry of Justice

Russian Federation

On March 29, 2018 No. 50570

of December 21, 2017 No. 4656-U

About requirements to the statement, data and the documents submitted for receipt of license for activities of subjects of insurance case, and on their standard forms

This Instruction based on Item 7 of article 32 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, №1, of 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 Law No. 4015-1) establishes requirements to the statement for provision of the license for implementation of insurance, reinsurance, mutual insurance, intermediary activities as insurance broker (further - the statement for provision of the license), and also to the data and documents specified in subitems 5 and 8 of Item 3, subitems 4 and 7 of Item 5, the subitem 4 of Item 6 of article 32 of the Law No. 4015-1 (further - documents), including their standard forms.

1. The application for provision of the license shall be submitted by the license applicant according to appendices 1 - 4 to this Instruction.

The application form for provision of the license shall be filled in by electronic computer facilities or is by hand legible (printing letters). Error correction by deletion and by means of the adjusting means is not allowed.

2. Data on shareholding structure (participants) shall be represented by the insurance (reinsurance) organization (the license applicant on implementation of insurance and (or) reinsurance) according to appendix 5 to this Instruction.

3. Data on sole executive body, his deputy, the member of collegiate executive body, the chief accountant, the deputy chief accountant, the internal auditor (the head of service of internal audit), the board member (supervisory board), the head and the chief accountant of branch of the license applicant on implementation of insurance and (or) reinsurance shall be represented by the license applicant on implementation of insurance and (or) reinsurance according to appendix 1 to the Provision of the Bank of Russia of December 27, 2017 to No. 625-P "About procedure for approval by the Bank of Russia of appointment (election) of candidates for positions in the financial organization, notifications of the Bank of Russia on election (the termination of powers), purpose (dismissal) of persons who are part of governing bodies, other officials in the financial organizations, assessments of conformity to qualification requirements and (or) requirements to goodwill of persons the governing bodies which are part, other officials and founders (shareholders, participants) of the financial organizations, the direction the board member (supervisory board) of the financial organization of information in the Bank of Russia on vote (about rejection of participation in vote) against the solution of the board of directors (supervisory board) of the financial organization, sending an inquiry on provision by the Bank of Russia of information and the direction by the Bank of Russia of the answer on availability (absence) of data in the databases provided by articles 75 and 76.7 of the Federal Law of July 10, 2002 No. 86-FZ "About the Central bank the Russian Federation (Bank of Russia)", and also about procedure for maintaining such bases", registered by the Ministry of Justice of the Russian Federation of 21.03.2018 No. 50438 (further - Regulations on evaluation procedure of compliance to qualification requirements).

4. Information about the auditor (the head of audit committee) and the special official responsible for implementation of rules of internal control for the purpose of counteraction of legalization (washing) of income gained in the criminal way and to financing of terrorism, the license applicant on implementation of insurance and (or) reinsurance shall be represented by the license applicant on implementation of insurance and (or) reinsurance according to appendix 2 to the Instruction of the Bank of Russia of December 25, 2017 to No. 4662-U "About qualification requirements to the head of service of risk management, service of internal control and service of internal audit of credit institution, person responsible for the organization of risk management system, and the controller of non-state pension fund, the auditor of insurance company, about the notification procedure of the Bank of Russia about position assignment (about dismissal) specified persons (except for the controller of non-state pension fund), the special officials responsible for implementation of rules of internal control for the purpose of counteraction of legalization (washing) of income gained in the criminal way and to financing of terrorism of credit institution, non-state pension fund, insurance company, managing company of investment funds, mutual investment funds and non-state pension funds, microfinance company, employee of service of internal control of managing company of investment funds, mutual investment funds and non-state pension funds, and also about evaluation procedure the Bank of Russia of compliance of specified persons (except for the controller of non-state pension fund) to qualification requirements and requirements to goodwill", registered by the Ministry of Justice of the Russian Federation of 14.03.2018 No. 50341.

5. The information about the physical persons having the right directly or indirectly or together with other persons, the related property trust management agreements and (or) particular partnership, and (or) the order, and (or) corporate agreements, and (or) other agreements which subject is implementation of the rights certified by shares (shares) of insurance company to dispose of more than 10 percent of shares (share) constituting the authorized capital of the license applicant on implementation of insurance and (or) reinsurance, shall be represented by the license applicant on implementation of insurance and (or) reinsurance according to appendix 5 to the Regulations on evaluation procedure of compliance to qualification requirements.

6. The information about the legal entities having the right directly or indirectly or together with other persons, the related property trust management agreements and (or) particular partnership, and (or) the order, and (or) corporate agreements, and (or) other agreements which subject is implementation of the rights certified by shares (shares) of insurance company to dispose of more than 10 percent of shares (share) constituting the authorized capital of the license applicant on implementation of insurance and (or) reinsurance, shall be represented by the license applicant on implementation of insurance and (or) reinsurance according to appendix 6 to the Regulations on evaluation procedure of compliance to qualification requirements.

7. The information about the chairman of the board, the director, the chief accountant, the chairman audit committee (auditor), the internal auditor of society of mutual insurance (the license applicant on implementation of mutual insurance) shall be represented by society of mutual insurance (the license applicant on implementation of mutual insurance) according to appendix 6 to this Instruction.

8. The information about the head and the chief accountant of insurance broker - the legal entity (the license applicant on implementation of intermediary activities as insurance broker) or data on insurance broker - the individual entrepreneur (the license applicant on implementation of intermediary activities as insurance broker) shall be represented by insurance broker (the license applicant on implementation of intermediary activities as insurance broker) according to appendix 7 to this Instruction.

9. The information about person performing in insurance company or society of mutual insurance (the license applicant on implementation of insurance, reinsurance or mutual insurance) functions of the actuary, shall be represented by insurance company, society of mutual insurance (the license applicant on implementation of insurance, reinsurance or mutual insurance) according to appendix 8 to this Instruction.

10. The documents confirming length of service of persons specified in Items 7 and 8 of this Instruction shall be presented in the form of the copies certified by the organization in which the specified documents are stored with indication of "works till present".

In the documents confirming length of service and containing more than one leaf, sheets shall be numbered, stitched, and on the back of the last leaf of each of such documents record about the number of the stitched and numbered sheets which is certified by the signature of sole executive body or person of the organization authorized by it (with appendix of the documents confirming powers of the person) in which the specified documents, and seal of this organization are stored (in the presence) shall be made.

11. The statement for provision of the license and the data listed in Items 2 - 9 these Instructions, shall be represented to the Bank of Russia with the cover letter.

The cover letter and the statement for provision of the license shall be signed by the head of the subject of insurance case (license applicant) or person authorized by it (with appendix of the documents confirming powers of the person) and are under seal the subject of insurance case (license applicant) (in the presence).

In the documents submitted according to this Instruction and containing more than one leaf, sheets shall be numbered, stitched, and on the back of the last leaf of each of such documents record about the number of the stitched and numbered sheets which is certified by the signature of the head of the subject of insurance case (license applicant) or person authorized by it (with appendix of the documents confirming powers of the person) and seal of the subject of insurance case (license applicant) (in the presence) shall be made.

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

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

Instruction of the Bank of Russia of July 10, 2014 No. 3316-U "About requirements to the statement, data, the documents submitted for receipt of license for activities of subjects of insurance case, and also on establishment of their standard forms", registered by the Ministry of Justice of the Russian Federation on October 6, 2014 No. 34251;

Instruction of the Bank of Russia of October 19, 2015 No. 3825-U "About modification of the Instruction of the Bank of Russia of July 10, 2014 No. 3316-U "About requirements to the statement, data, the documents submitted for receipt of license for activities of subjects of insurance case, and also on establishment of their standard forms", registered by the Ministry of Justice of the Russian Federation on November 12, 2015 No. 39672.

Chairman of the Central bank of the Russian Federation

E. S. Nabiullina

to the Instruction of the Bank of Russia of December 21, 2017 No. 4656-U "About requirements to the statement, data and the documents submitted for receipt of license for activities of subjects of insurance case, and on their standard forms"

See Appendix 1 (15Kb In original language)

to the Instruction of the Bank of Russia of December 21, 2017 No. 4656-U "About requirements to the statement, data and the documents submitted for receipt of license for activities of subjects of insurance case, and on their standard forms"

See Appendix 2 (14Kb In original language)

to the Instruction of the Bank of Russia of December 21, 2017 No. 4656-U "About requirements to the statement, data and the documents submitted for receipt of license for activities of subjects of insurance case, and on their standard forms"

See Appendix 3 (12Kb In original language)

to the Instruction of the Bank of Russia of December 21, 2017 No. 4656-U "About requirements to the statement, data and the documents submitted for receipt of license for activities of subjects of insurance case, and on their standard forms"

See Appendix 4 (14Kb In original language)

to the Instruction of the Bank of Russia of December 21, 2017 No. 4656-U "About requirements to the statement, data and the documents submitted for receipt of license for activities of subjects of insurance case, and on their standard forms"

(standard form)

Data on shareholding structure (participants)

As of "__" ___________ 20 __ years

Information about the holder of the shareholder register joint-stock

societies __________________________________________________________________

(full name)

___________________________________________________________________________

(surname, name, middle name (in the presence) head insurance

organizations (license applicant) (authorized person)

______________ _______________________

(date) (signature)

L. S. (in the presence)

to the Instruction of the Bank of Russia of December 21, 2017 No. 4656-U "About requirements to the statement, data and the documents submitted for receipt of license for activities of subjects of insurance case, and on their standard forms"

(standard form)

QUESTIONNAIRE

_______________________________________, appointed

(surname, name, middle name (in the presence)

to position ___________________________________

(full name of position)

___________________________________________________________________________

(the complete and (or) reduced (in the presence) trade name

societies of mutual insurance (license applicant), the main

state registration number of society of mutual insurance

(license applicant), registration number of society mutual

insurance, appropriated by the Bank of Russia (in the presence)

1	Surname, name, middle name (in the presence) (the surname, name, middle name according to the identity document is entered and if the specified document is constituted in foreign language, the transcription in Russian is also specified). If the surname (name, middle name) changed, the reasons of change and all previous surnames (names, middle names) are in addition specified
2	Birth date and birth place
3	Nationality (citizenship) or specifying on its absence
4	The name and details of the identity document (the name of the document, date of its issue, the name of the body which issued the document is specified and if is available, expiry date of the document) (the copy of the second and third pages of the passport or other identity document is attached)
5	The insurance number of the individual ledger account in system of mandatory pension insurance
6	Registration address at the place of residence in the territory of the Russian Federation
7	Registration address in the place of stay in the territory of the Russian Federation (in the presence)
8	The name, date and document number about appointment (about election) to position (the copy is attached)
9	The name of the document confirming powers of the branch director (the copy is attached), date and number
10	Data on education
10.1	Education
10.2	From what educational institutions graduated, year of the termination, qualification (degree) (the copy of the education document is attached), academic degree, academic status, date of the decision on award of academic degree, assignment of academic status
10.3	Direction of preparation (specialty), specialization by training
10.4	Data on passing of occupational retraining (it is filled in case of lack of the higher economic, financial or legal education, the copy is attached), the name of the document, series, number, date of issue <1>
10.5	Additional professional education: education type (advanced training, training), the date of receipt (the copy is attached)
11	Data on compliance of person to requirements to work experience
11.1	Data on length of service (including in combination) (full names and the locations of the organizations are specified; the work periods in each organization, posts) (the copy of the service record, other document confirming length of service is attached) <2>
11.2	Identification taxpayer number (if is available)
12	Data on accomplishment by the internal auditor (the head of service of internal audit) of requirements, stipulated in Item 4 articles 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"
13	Data on accomplishment by person specified Item in paragraph one 1, the paragraph third Item 2 of article 32.1 of the Law of the Russian Federation of November 27, 1992 to No. 4015-1 "About the organization of insurance case in the Russian Federation" and also persons performing functions of the internal auditor, the head of service of internal audit, requirements, stipulated in Item the 6th 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"

I, ___________________________________________________________________,

(surname, name, middle name (in the presence) person designated

to the corresponding position)

I confirm compliance to the qualification and other requirements established

The law of the Russian Federation of November 27, 1992 No. 4015-1 "About

organizations of insurance case in the Russian Federation" and regulations

body of insurance supervision, also I assure that my answers to questionnaire questions

are reliable and complete.

I promise to report to society of mutual insurance about change

the listed above biographical particulars.

___________________________ _______________________ _____________________

(signature date of the questionnaire (personal signature of person, (initials, surname)

person designated appointed on

to position) position)

___________________________________________________________________________

(surname, name, middle name (in the presence) head of society mutual

insurance (license applicant) (authorized person)

________________ _____________________

(date) (signature)

--------------------------------

<1> The line 10.4 is filled in case of submission of information about the internal auditor (the head of service of internal audit).

<2> Data on length of service are not filled in if No. 4015-1 "About the organization of insurance case in the Russian Federation" and other regulations of the requirement to years of service are not established by the Law of the Russian Federation of November 27, 1992.

to the Instruction of the Bank of Russia of December 21, 2017 No. 4656-U "About requirements to the statement, data and the documents submitted for receipt of license for activities of subjects of insurance case, and on their standard forms"

(standard form)

QUESTIONNAIRE

_______________________________________, appointed

(surname, name, middle name (in the presence)

to position ___________________________________

(full name of position)

___________________________________________________________________________

(the complete and (or) reduced (in the presence) trade name

insurance broker - the legal entity (license applicant) or

data on insurance broker - the individual entrepreneur

(license applicant), primary state registration number

insurance broker - the legal entity (license applicant),

main state number of the individual entrepreneur,

the registration number of insurance broker assigned

Bank of Russia (in the presence)

1	Surname, name, middle name (in the presence) (the surname, name, middle name according to the identity document is entered and if the specified document is constituted in foreign language, the transcription in Russian is also specified). If the surname (name, middle name) changed, the reasons of change and all previous surnames (names, middle names) are in addition specified
2	Birth date and birth place
3	Nationality (citizenship) or specifying on its absence
4	The name and details of the identity document (the name of the document, date of its issue, the name of the body which issued the document is specified and if is available, expiry date of the document) (the copy of the second and third page of the passport or other identity document is attached)
5	The insurance number of the individual ledger account in system of mandatory pension insurance
6	Registration address at the place of residence in the territory of the Russian Federation
7	Registration address in the place of stay in the territory of the Russian Federation (in the presence)
8	The name, date and document number about appointment (about election) to position (the copy is attached)
9	The name of the document confirming powers of the branch director (the copy is attached), date and number
10	Data on education
10.1	Education
10.2	From what educational institutions graduated, year of the termination, qualification (degree) (the copy of the education document is attached), academic degree, academic status, date of the decision on award of academic degree, assignment of academic status
10.3	Direction of preparation (specialty), specialization by training
10.4	Additional professional education: education type (advanced training, training), the date of receipt (the copy is attached)
11	Data on compliance of person to requirements to work experience
11.1	Data on length of service (including in combination) (full names and the locations of the organizations are specified; the work periods in each organization, posts) (the copy of the service record, other document confirming length of service is attached)
11.2	Identification taxpayer number (if is available)
12	Data on accomplishment by person specified Item in paragraph one 1, the paragraph the second Item 2 of article 32.1 of the Law of the Russian Federation of November 27, 1992 to No. 4015-1 "About the organization of insurance case in the Russian Federation", requirements, stipulated in Item the 6th 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"

I, ___________________________________________________________________,

(surname, name, middle name (in the presence) person designated

to the corresponding position)

I confirm compliance to the qualification and other requirements established

The law of the Russian Federation of November 27, 1992 No. 4015-1 "About

organizations of insurance case in the Russian Federation" and regulations

body of insurance supervision, also I assure that my answers to questionnaire questions

are reliable and complete.

I promise to report to society of mutual insurance about change

the listed above biographical particulars.

___________________________ _______________________ _____________________

(signature date of the questionnaire (personal signature of person, (initials, surname)

person designated appointed on

to position) position)

___________________________________________________________________________

(surname, name, middle name (in the presence) head insurance

the broker - the legal entity (license applicant) (the representative

persons) insurance broker of the individual entrepreneur

(license applicant) (authorized person)

________________ _____________________

(date) (signature)

to the Instruction of the Bank of Russia of December 21, 2017 No. 4656-U "About requirements to the statement, data and the documents submitted for receipt of license for activities of subjects of insurance case, and on their standard forms"

(standard form)

QUESTIONNAIRE

_______________________________________, appointed

(surname, name, middle name (in the presence)

to position of the actuary

___________________________________________________________________________

(the complete and (or) reduced (in the presence) trade name

the insurer (the license applicant on insurance implementation,

reinsurance or mutual insurance), the main state

registration number of the insurer (license applicant),

the registration number of the insurer assigned

Bank of Russia (in the presence)

1	Surname, name, middle name (in the presence) (the surname, name, middle name according to the identity document is entered and if the specified document is constituted in foreign language, the transcription in Russian language is also specified"). If the surname (name, middle name) changed, the reasons of change and all previous surnames (names, middle names) are in addition specified
2	Birth date and birth place
3	Nationality (citizenship) or specifying on its absence
4	The name and details of the identity document (the name of the document, date of its issue, the name of the body which issued the document is specified and if is available, expiry date of the document) (the copy of the second and third pages of the passport or other identity document is attached)
5	The insurance number of the individual ledger account in system of mandatory pension insurance
6	Registration address at the place of residence in the territory of the Russian Federation
7	Registration address in the place of stay in the territory of the Russian Federation (in the presence)
8	The name, date and document number about appointment (about election) to position (the copy is attached)
9	The name of the document confirming powers of the branch director (the copy is attached), date and number
10	Data on education
10.1	Education
10.2	From what educational institutions graduated, year of the termination, qualification (degree) (the copy of the education document is attached), academic degree, academic status, date of the decision on award of academic degree, assignment of academic status
10.3	Direction of preparation (specialty), specialization by training
10.4	Additional professional education: education type (advanced training, training), the date of receipt (the copy is attached)
10.5	Membership of the actuary in self-regulatory organization of actuaries (the copy is attached)
11	Availability (absence) of not removed or unspent conviction for crimes in the field of economy, and also for crimes of average weight, heavy and especially serious crimes

I, ___________________________________________________________________,

(surname, name, middle name (in the presence) person designated

to position of the actuary)

I confirm compliance to the qualification and other requirements established

The law of the Russian Federation of November 27, 1992 No. 4015-1 "About

organizations of insurance case in the Russian Federation", Federal Law

of November 2, 2013 No. 293-FZ "About actuarial activities in Russian

Federations" and regulations of body of insurance supervision, also I certify,

that my answers to questions of the questionnaire are reliable and complete.

I promise to report to the insurer about change of the listed above biographical

data.

___________________________ _______________________ _____________________

(signature date of the questionnaire (personal signature of person, (initials, surname)

person designated appointed on

to position) position)

___________________________________________________________________________

(surname, name, middle name (in the presence) head insurance

organizations (license applicant) (authorized person)/head

societies of mutual insurance of the license applicant)

(authorized person)

________________ _____________________

(date) (signature)

Disclaimer! This text was translated by AI translator and is not a valid juridical document. No warranty. No claim. More info

The complete and (or) reduced (in the presence) name of the legal entity - the shareholder (participant) of insurance company (for legal entities). Surname, name, middle name (in the presence) the physical person - the shareholder (participant) of insurance company, birth date (for physical persons and individual entrepreneurs)

The primary state registration number, identification taxpayer number (for legal entities). Passport details (other identity document), identification taxpayer number, the insurance number of the individual ledger account in system of mandatory pension insurance (for physical persons and individual entrepreneurs)

The location (the address of the legal entity specified in the Unified State Register of Legal Entities), country name which resident is the legal entity, phone, the fax (for legal entities). Registration address at the place of residence in the territory of the Russian Federation, contact phone number (for physical persons and individual entrepreneurs)

Size of share in the authorized capital

The basis of share acquisition (shares) (data on the name, number and document date according to which there was share right (shares)

The shares which passed to insurance company, thousand rubles (in the presence)

thousand rubles.