INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of March 19, 2018 No. 4743-U

About modification of the Instruction of the Bank of Russia of December 28, 2015 No. 3921-U "About structure, amount, procedure and terms of disclosure of information by professional participants of the security market"

1. Based on Item 26 of article 30 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, Art. 7052; 2018, No. 1, of the Art. 65, of the Art. 70) to bring in the Instruction of the Bank of Russia of December 28, 2015 No. 3921-U "About structure, amount, procedure and terms of disclosure of information by professional participants of the security market", registered by the Ministry of Justice of the Russian Federation on February 1, 2016 No. 40909, on December 21, 2016 No. 44839, the following changes.

1.1. In appendix 1:

2 by the line 21 to state footnote in the following edition:

"<2> This information reveal professional participants of the security market, not being managing companies of investment funds, mutual investment funds and non-state pension funds, by indicator and its analytical signs specified in Section 2 of the reporting under the form 0420413 "Calculation of own means" established by appendix 1 to the Instruction of the Bank of Russia of November 27, 2017 No. 4621-U "About forms, terms and procedure for creation and submission of the reporting of professional participants of the security market, the organizers of trade, the clearing organizations and persons performing functions of the central partner, and also other information in the Central bank of the Russian Federation", to No. 49419 registered by the Ministry of Justice of the Russian Federation on December 25, 2017.

Visualization of this information for the purposes of its disclosure according to this Instruction is performed by means of the software realizing converting of reporting data, posted on the official site of the Bank of Russia on the Internet.";

in the column 2 of line 30.7 of the word "in case of maintaining the register of owners of investment shares of mutual investment funds or hypothecation certificates of participation" to exclude.

1.2. To state the column 2 of line 5 of appendix 2 in the following edition:

"List of affiliates. This information reveals by indicators and their analytical signs specified in Sections 1 and 2 of the reporting under form 0420402 "Information about affiliates and structure of property of the organization" established by appendix 1 to the Instruction of the Bank of Russia of November 27, 2017 No. 4621-U "About forms, terms and procedure for creation and submission of the reporting of professional participants of the security market, the organizers of trade, the clearing organizations and persons performing functions of the central partner, and also other information in the Central bank of the Russian Federation", to No. 49419 registered by the Ministry of Justice of the Russian Federation on December 25, 2017. Visualization of this information for the purposes of its disclosure according to this Instruction is performed by means of the software realizing converting of reporting data, posted on the official site of the Bank of Russia on the Internet.".

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

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