INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of December 21, 2017 No. 4658-U

About procedure and term of the direction of the notification person who directly or indirectly acquired the order right in 10 and more percent of votes, the Bank of Russia of information on persons falling on voting shares (shares) constituting the authorized capital of the professional participant of the security market, microcredit company, pawnshop and also about procedure for request which directly or indirectly have the order right in 10 and more percent of votes, falling on voting shares (shares) constituting the authorized capital of the professional participant of the security market, microcredit company, pawnshop

This Instruction based on Items 2 and 3 of article 10.1-2 of the Federal Law of April 22, 1996 No. 39-FZ "About the security market" (The Russian Federation Code, 1996, No. 17, Art. 1918; 2001, No. 33, Art. 3424; 2002, No. 52, Art. 5141; 2004, No. 27, Art. 2711; No. 31, Art. 3225; 2005, No. 11, Art. 900; No. 25, Art. 2426; 2006, No. 1, Art. 5; No. 2, Art. 172; No. 17, Art. 1780; No. 31, Art. 3437; No. 43, Art. 4412; 2007, No. 1, Art. 45; No. 18, Art. 2117; No. 22, Art. 2563; No. 41, Art. 4845; No. 50, Art. 6247; 2008, No. 52, Art. 6221; 2009, No. 1, Art. 28; No. 18, Art. 2154; No. 23, Art. 2770; No. 29, Art. 3642; No. 48, Art. 5731; No. 52, Art. 6428; 2010, No. 17, Art. 1988; No. 31, Art. 4193; No. 41, Art. 5193; 2011, No. 7, Art. 905; No. 23, Art. 3262; No. 29, Art. 4291; No. 48, Art. 6728; No. 49, Art. 7040; No. 50, Art. 7357; 2012, No. 25, Art. 3269; No. 31, Art. 4334; No. 53, Art. 7607; 2013, No. 26, Art. 3207; No. 30, Art. 4043, Art. 4082, Art. 4084; No. 51, Art. 6699; No. 52, Art. 6985; 2014, No. 30, Art. 4219; 2015, No. 1, Art. 13; No. 14, Art. 2022; No. 27, Art. 4001; No. 29, Art. 4348, Art. 4357; 2016, No. 1, Art. 50, Art. 81; No. 27, Art. 4225; 2017, No. 25, Art. 3592; No. 27, Art. 3925; No. 30, Art. 4444; No. 48, the Art. 7052), parts 2 and 3 of article 4.2 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. 4225; 2017, No. 18, Art. 2669; No. 31, the Art. 4830), parts 2 and 4 of article 2.2 of the Federal Law of July 19, 2007 No. 196-FZ "About pawnshops" (The Russian Federation Code, 2007, No. 31, Art. 3992; No. 45, Art. 5426; 2013, No. 51, Art. 6683, Art. 6695; 2015, No. 29, the Art. 4357), article 76.7 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, Art. 4456; No. 31, No. 4830; No. 50, of the Art. 7562) establishes procedure and term of the direction of the notification person who directly or indirectly (through persons under control to it) independently or together with other persons, the related property trust management agreements, and (or) particular partnership, and (or) the order, and (or) the shareholders' agreement, and (or) other agreement which subject is implementation of the rights certified by shares (shares) of the professional participant of the security market which is not credit institution, the microcredit company, pawnshop (further - NFO) acquired the order right in 10 and more percent of votes, falling on voting shares (shares) constituting the authorized capital of NFO (further - person who acquired the order right shares (shares) of NFO), and also procedure for request the Bank of Russia of information on persons who acquired the order right shares (shares) of NFO.

1. Person who acquired the order right shares (shares) of NFO shall send to Department of the admission and termination of activities of the financial organizations of the Bank of Russia (further - authorized structural division) and in NFO the notification on receipt of the right of the order in 10 and more percent of votes falling on voting shares (shares) constituting the authorized capital of NFO (the recommended sample is given in appendix to this Instruction) (further - the notification), within ten working days from the date of emergence of such right.

2. The notification goes to authorized structural division person who acquired the order right shares (shares) of NFO, or one of the following methods authorized by it person:

on paper by the direction of the registered mail;

on paper by transfer to expedition of the Bank of Russia;

in electronic form according to the procedure, No. 4600-U established by the Instruction of the Bank of Russia of November 3, 2017 "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 of information resources of the Bank of Russia, including personal account by them", the registered Ministry of Justice of the Russian Federation on January 11, 2018 No. 49605 (further - the Instruction of the Bank of Russia No. 4600-U).

The notification goes to NFO person who acquired the order right shares (shares) of NFO, or person authorized by it on paper or in electronic form.

3. The notification represented on paper is certified by the signature of person who acquired the order right shares (shares) of NFO, or person authorized by it, and also sealed the legal entity (in the presence).

In case of assurance of the notification the signature of person authorized by person who acquired the order right shares (shares) of NFO submits the document confirming powers of such person.

The notification consisting more than of one leaf shall be numbered, stitched and fastened the last leaf by zaveritelny text with indication of figures and copy-book of number of the numbered sheets on the back. The Zaveritelny text is signed by her originator with indication of surname, name and (in the presence) middle name, position and date of creation. The signature of the originator of zaveritelny text shall be certified by seal of the legal entity (in the presence).

4. The obligation of person who acquired the order right shares (shares) of NFO in the direction of the notification is considered performed from the date of receipt by authorized structural division of the notification which is drawn up according to Items 1 - 3 presents of the Instruction.

5. Information on person who acquired the order right shares (shares) of NFO is requested by authorized structural division by sending an inquiry with indication of the term of its representation (further - request).

6. The inquiry is sent to the federal executive bodies authorized by structural division, their territorial authorities, other persons by one of the following methods:

the registered mail with the assurance of receipt or with use of other means of communication and the deliveries providing delivery of request to the addressee or fixation of its delivery;

in electronic form according to the procedure, established by the Instruction of the Bank of Russia No. 4600-U.

7. The authorized structural division receives from persons to whom the inquiry according to Item 6 of this Instruction, the answer sent by such persons to one of methods, the stipulated in Item 2 presents of the Instruction together with the cover letter containing number and date of request was sent. In case of lack of all or part of required information person to whom the inquiry according to Item 6 of this Instruction is sent shall specify reasons for impossibility of provision of required information in the cover letter.

8. This Instruction does not extend to cases of receipt of the order right by the Bank of Russia in 10 and more percent of votes, falling on voting shares (shares) constituting the authorized capital of NFO.

9. This Instruction becomes effective after 10 days from the date of its official publication.

10. From the date of entry into force of this Instruction to declare invalid the Instruction of the Bank of Russia of December 28, 2014 No. 3510-U "About the procedure and terms of the direction of the notification person who acquired the order right in 10 and more percent of votes falling on voting shares (shares) constituting the authorized capital of not credit financial credit institution and also procedure for request the Bank of Russia of information on persons who directly or indirectly have the order right in 10 and more percent of votes falling on voting shares (shares) constituting the authorized capital of not credit financial credit institution" registered by the Ministry of Justice of the Russian Federation on February 20, 2015 No. 36134.

Appendix

to the Instruction of the Bank of Russia of December 21, 2017 No. 4658-U "About procedure and term of the direction of the notification person who directly or indirectly acquired the order right in 10 and more percent of votes, the Bank of Russia of information on persons falling on voting shares (shares) constituting the authorized capital of the professional participant of the security market, microcredit company, pawnshop and also about procedure for request which directly or indirectly have the order right in 10 and more percent of votes, falling on voting shares (shares) constituting the authorized capital of the professional participant of the security market, microcredit company, pawnshop"

(recommended sample)

 

                                                                                                                                                                                  Department of the admission and

                                                                                                                                                                                 activities terminations

                                                                                                                                                                                  financial Bank organizations

                                                                                                                                                                                 Russia

 

Notification
about receipt of the right of the order in 10 and more percent of votes, falling on voting shares (shares) constituting the authorized capital of the professional participant of the security market, microcredit company, pawnshop

 

From _______________ No. _________

 

Section I. The information about the professional participant of the security market, the microcredit company, pawnshop concerning which the order right is acquired by 10 and more percent of votes, falling on voting shares (shares) constituting the authorized capital of the specified organizations (further - NFO)

 

1	Full name
2	Location
3	Primary State Registration Number (PSRN)
4	Identification Taxpayer Number (ITN)
5	NFO type (one of the following types is specified: professional participant of the security market, microcredit company, pawnshop)

 

Section II. The information about the physical person who acquired the order right in 10 and more percent of votes, falling on voting shares (shares) constituting the authorized capital of NFO (further - physical person)

 

1	Surname, name, middle name (in the presence)
2	Birth date
3	Birthplace
4	Nationality (citizenship)
5	The Primary State Registration Number of the Individual Entrepreneur (PSRNIE) if the physical person is individual entrepreneur
6	Identification Taxpayer Number (ITN) (in the presence)
7	Data on the identity document: type; series and number; date of issue; the body which issued the identity document
8	Residential address (registration)
9	Address of the place of stay
10	Contact telephone number
11	E-mail address (in the presence)
12	Percent of votes, the order right by which it is had at physical person
13	The total number of shares (the share size), the order right by which it is had at physical person
14	Data on availability (absence) at physical person of criminal record and (or) the fact of criminal prosecution or about the termination of criminal prosecution for the crimes in the field of economy or crime against the government provided by the Criminal Code of the Russian Federation (The Russian Federation Code, 1996, No. 25, the Art. 2954) (it is specified lack of not removed or unspent conviction or date of the resolution of sentence, the name of the court which decided sentence, number of Item, part and article of the Criminal Code of the Russian Federation according to which the physical person, term and type of punishment, completion date of punishment was condemned (in the presence) is specified
15	If the physical person does not hold shares (shares) of NFO, and indirectly (through the third parties) disposes of them, the information about person (persons) through which, (whom) the physical person indirectly disposes of 10 and more percent of votes, NFO falling on voting shares (shares) constituting the authorized capital of NFO with appendix of the scheme of interrelations between such person (persons) and physical person is represented

 

Section III. The information about the legal entity who acquired the order right in 10 and more percent of votes, falling on voting shares (shares) constituting the authorized capital of NFO (further - the legal entity)

 

1	Full name of the legal entity
2	The Primary State Registration Number (PSRN) (concerning foreign legal entities data on registration in state bodies of the respective country are specified)
3	The Identification Taxpayer Number (ITN) (concerning the foreign legal entity it is not filled)
4	Location
5	Address
6	Phone/fax
7	E-mail address
8	Data on sole executive body:
	surname, name, middle name (in the presence)
	birth date
	birthplace
	nationality (citizenship)
	identification taxpayer number (ITN)
	data on the identity document: type; series and number; date of issue; the body which issued the identity document
	residential address (registration)
	address of the place of stay
9	The information about person (persons) which (which) directly or indirectly (through under control to it (it) persons) independently or together with other persons, the related property trust management agreements (them), and (or) particular partnership, and (or) the order, and (or) the shareholders' agreement, and (or) other agreement which subject is implementation of the rights certified by shares (shares) of the legal entity has (have) the order right in 10 and more percent of votes, falling on voting shares (shares) of the authorized capital of the legal entity, with appendix of the scheme of interrelations between such person (persons) and the legal entity
9.1	Concerning each physical person are specified:
	surname, name, middle name (in the presence)
	birth date
	birthplace
	nationality (citizenship)
	identification taxpayer number (ITN) (in the presence)
	share in the authorized capital of the legal entity as a percentage
	data on the identity document: type; series and number; date of issue; the body which issued the identity document
	residential address (registration)
	address of the place of stay
	data on availability (absence) of criminal record and (or) the fact of criminal prosecution or on the termination of criminal prosecution for the crimes in the field of economy or crime against the government provided by the Criminal Code of the Russian Federation (it is specified lack of not removed or unspent conviction or date of the resolution of sentence, the name of the court which decided sentence, number of Item, part and article of the Criminal Code of the Russian Federation according to which the physical person, term and type of punishment, completion date of punishment was condemned (in the presence) is specified
9.2	Concerning each legal entity are specified:
	full name of the legal entity
	the primary state registration number (PSRN) (concerning foreign legal entities data on date and number are specified (in the presence) to registration of the legal entity in the country of organization (registration)
	the identification taxpayer number (ITN) (concerning the foreign legal entity it is not filled)
	share in the authorized capital of the legal entity as a percentage
9.3	Information about persons who are final owners of shareholders (participants) of the legal entity:
	surname, name, middle name (in the presence)
	birth date
	birthplace
	nationality (citizenship)
	the primary state registration number of the individual entrepreneur (PSRNIE) if the physical person is individual entrepreneur
	identification taxpayer number (ITN) (in the presence)
	data on the identity document: type; series and number; date of issue; the body which issued the identity document
	residential address (registration)
	address of the place of stay
	percent of votes, the order right by which it is had at person
	data on availability (absence) of criminal record and (or) the fact of criminal prosecution or on the termination of criminal prosecution for the crimes in the field of economy or crime against the government provided by the Criminal Code of the Russian Federation (it is specified lack of not removed or unspent conviction or date of the resolution of sentence, the name of the court which decided sentence, number of Item, part and article of the Criminal Code of the Russian Federation according to which the physical person, term and type of punishment, completion date of punishment was condemned (in the presence) is specified

 

Section IV. List of documents

 

№ of payment order	Name of the document	Number of sheets
1	2	3
1
...

 

     This is to confirm  reliability  of all data specified in

this notification.

 

___________________________________________________________________________

   (surname, name, middle name (in the presence) person/head legal

face  (authorized person) which acquired the right of the order 10 and more

 in percent of votes, falling on voting shares (shares), components

authorized capital of NFO)

 

_____________________                                  ___________________

          (date)                                                          (signature)

 

L. S. (in the presence)

 

Notes to the Section IV.

1. It is filled in case of the direction of the notification in authorized structural division.

2. Copies are attached to the notification sent to authorized structural division:

the identity document of person who acquired the order right shares (shares) of NFO (for physical person);

the documents confirming acquisition of right of the order with 10 and more percent of votes, falling on voting shares (shares) constituting the authorized capital of NFO;

the documents confirming the order right with 10 and more percent of votes, falling on voting shares (shares) constituting the authorized capital of NFO (the statement from the shareholder register, the account statement of depot, the statement from the participant list of limited liability company, the statement from the register of participant lists of limited liability companies of unified information system of notariate).

3. The copies represented on paper are certified by the signature of person who acquired the order right shares (shares) of NFO, or person authorized by it, and also sealed the legal entity (in the presence).

In case of assurance of copies the signature of person authorized by person who acquired the order right shares (shares) of NFO submits the document confirming powers of such person.

The copies consisting more than of one leaf shall be numbered, stitched and fastened the last leaf by zaveritelny text with indication of figures and copy-book of number of the numbered sheets on the back. The Zaveritelny text is signed by her originator with indication of surname, name and (in the presence) middle name, position and date of creation. The signature of the originator of zaveritelny text shall be certified by seal of the legal entity (in the presence).

4. In case of submission of the notification in the representative the structural division by the foreign legal entity is also applied to the notification the copy of the document confirming registration of the foreign legal entity in the country of organization (registration).

5. The documents issued by authorized body of the country of organization (registration) of the foreign legal entity and constituted in foreign language shall be represented together with the copy of these documents containing line-by-line transfer into Russian.

 

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