INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of June 18, 2018 No. 4824-U

About the size and technique of determination of the standard rate of sufficiency of own means of the organizer of trade

This Instruction based on article 76.4 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, Art. 4830; No. 50, Art. 7562; 2018, No. 1, Art. 66; No. 9, Art. 1286; No. 11, Art. 1584, Art. 1588; No. 18, the Art. 2557), parts 2 of article 8 of the Federal Law of November 21, 2011 No. 325-FZ "About the organized biddings" (The Russian Federation Code, 2011, No. 48, Art. 6726; 2012, No. 53, Art. 7607; 2013, No. 30, Art. 4084; No. 51, Art. 6699; 2015, No. 27, Art. 4001; No. 29, Art. 4357; 2016, No. 1, Art. 47, Art. 48; No. 27, Art. 4225; 2017, No. 30, Art. 4456; 2018, No. 24, the Art. 3399) 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 June 1, 2018 No. 19) establish the size and technique of determination of the standard rate of sufficiency of own means of the organizer of trade.

1. The size of the standard rate of sufficiency of own means of the organizer of trade is established in the amount of 100 percent.

2. The organizer of trade determines the norm of sufficiency of own means quarterly for the date following the date specified in Item 3 of Requirements to structure of own means of organizers of trade, and also to procedure and terms of their calculation, approved by the order of the Federal Service for Financial Markets of April 16, 2013 No. 13-30/pz-n "About approval of Requirements to structure of own means of organizers of trade, and also to procedure and terms of their calculation", the registered Ministry of Justice of the Russian Federation on May 27, 2013 No. 28523 (further - Requirements to structure of own means of organizers of trade, and also to procedure and terms of their calculation).

3. The norm of sufficiency of own means is determined on formula:

where:

NDSS - the standard rate of sufficiency of own means;

RSS - the size of own means of the organizer of trade determined according to Item 2 of Requirements to structure of own means of organizers of trade and also to procedure and terms of their calculation for the date specified in Item 3 of Requirements to structure of own means of organizers of trade and also to procedure and terms of their calculation;

IDP - the size of investments of the organizer of trade reflected in the column 4 of line 14 of form 0420002 "The balance sheet of the not credit financial credit institution" established by appendix 1.1 to the Provision of the Bank of Russia of February 3, 2016 No. 532-P "Industry standard of the financial accounting "Procedure for Creation of Accounting (Financial) Records of Professional Participants of the Security Market, Joint-stock Investment Funds, Organizers of Trade, Central Partners, Clearing Organizations, Specialized Depositaries of Investment Fund, Mutual Investment Fund and Non-state Pension Fund, Managing Companies of Investment Fund, Mutual Investment Fund and Non-state Pension Fund, Bureau of Credit Histories, Credit Rating Agencies, Insurance Brokers" to No. registered by the Ministry of Justice of the Russian Federation on March 2, 2016 41299, on December 15, 2016 No. 44749, on September 28, 2017 No. 48350 (further - the Provision of the Bank of Russia No. 532-P) as of the date preceding date of determination by the organizer of trade of the standard rate of sufficiency of own means;

OOT - the amount of the obligations of the organizer of trade reflected by it in financial accounting on the off-balance account No. 91315 according to the paragraph the sixth Item 9.2 of appendix 2 to the Provision of the Bank of Russia of September 2, 2015 No. 486-P "About the Chart of accounts of financial accounting in not credit financial credit institutions and procedure for its application", to No. registered by the Ministry of Justice of the Russian Federation on October 7, 2015 39197, on December 28, 2016 No. 45012, on December 15, 2017 No. 49269, as of the date preceding date of determination by the organizer of trade of the standard rate of sufficiency of own means;

OR1-4 - the size of the operating expenses incurred by the organizer of trade for each of four quarters preceding date of determination by the organizer of trade of the standard rate of sufficiency of own means (further - the quarter size of operating expenses).

The quarter size of operating expenses is calculated the organizer of trade as the amount of the values reflected in the column of 4 lines 16, of the 17 and 20 form 0420003 "The report on financial results of the not credit financial credit institution" established by appendix 2.1 to the Provision of the Bank of Russia No. 532-P.

The quarter size of operating expenses for the I quarter of calendar year is calculated from January 1 till March 31.

The quarter size of operating expenses for the II quarter of calendar year is calculated from April 1 till June 30.

The quarter size of operating expenses for III quarter of calendar year is calculated from July 1 till September 30.

The quarter size of operating expenses for the IV quarter of calendar year is calculated as difference between the size of operating expenses for calendar year and the size of operating expenses calculated from January 1 till September 30 of calendar year.

4. The organizer of trade performs determination of the standard rate of sufficiency of own means as a percentage with one sign after comma (rounding to one decimal sign after comma is performed by mathematical rules).

5. This Instruction becomes effective after one year after day of its official publication.

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