INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of September 12, 2018 No. 4904-U

About requirements to procedure central depositary of internal control and internal audit, to rules of internal audit of the central depositary and work plan of service of internal audit of the central depositary

This Instruction according to part 4 Articles 7, Items 1 and 3 of article 32 of the Federal Law of December 7, 2011 No. 414-FZ "About the central depositary" (The Russian Federation Code, 2011, No. 50, Art. 7356; 2012, No. 31, Art. 4334; No. 53, Art. 7607; 2013, No. 27, Art. 3477; No. 30, Art. 4084; 2015, No. 27, Art. 4001; No. 29, Art. 4357; 2018, No. 17, the Art. 2429) (further - the Federal Law "About the Central Depositary") establishes requirements to procedure the central depositary of internal control and internal audit, to rules of internal audit of the central depositary and the work plan of service of internal audit of the central depositary.

Chapter 1. General provisions

1.1. The central depositary shall exercise internal control and internal audit according to this Instruction, and also the Provision of the Bank of Russia of December 16, 2003 No. 242-P "About the organization of internal control in credit institutions and banking groups", the registered Ministry of Justice of the Russian Federation on January 27, 2004 No. 5489, on December 22, 2004 No. 6222, on March 20, 2009 No. 13547, on June 30, 2014 No. 32913, on October 25, 2017 No. 48670 (further - the Provision of the Bank of Russia No. 242-P).

1.2. Implementation by the central depositary of internal control and internal audit shall be directed on:

control of implementation of transactions of the central depositary;

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