INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of November 15, 2018 No. 4970-U

About procedure and terms of adoption by the Bank of Russia of the decision on introduction (about refusal in introduction) the information about the legal entity (individual entrepreneur) in the unified register of investment advisers, the list of documents based on which the Bank of Russia makes the decision on introduction (on refusal in introduction) the information about the legal entity (individual entrepreneur) in the unified register of investment advisers, the application form about entering of information about the legal entity (individual entrepreneur) into the unified register of investment advisers, the bases for adoption by the Bank of Russia of the decision on refusal in entering of information about the legal entity (individual entrepreneur) into the unified register of investment advisers and procedure for maintaining the unified register of investment advisers by the Bank of Russia

This Instruction based on paragraphs of first, third - the fifth Item 3 of Article 6. 1, Item 39 of article 42 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; No. 52 of Art. 7920; 2018, No. 1, Art. 65, Art. 70; No. 17, Art. 2424; No. 18, Art. 2560; \Art. U-2116\32, 5088) (further - the Federal Law of April 22, 1996 No. 39-FZ) establishes:

procedure and terms of adoption by the Bank of Russia of the decision on introduction (about refusal in introduction) the information about the legal entity (individual entrepreneur) in the unified register of investment advisers;

the list of documents based on which the Bank of Russia makes the decision on introduction (on refusal in introduction) the information about the legal entity (individual entrepreneur) in the unified register of investment advisers;

the application form about entering of information about the legal entity (individual entrepreneur) into the unified register of investment advisers;

the bases for adoption by the Bank of Russia of the decision on refusal in entering of information about the legal entity (individual entrepreneur) into the unified register of investment advisers;

procedure for maintaining the unified register of investment advisers by the Bank of Russia.

Chapter 1. Procedure and terms of adoption by the Bank of Russia of the decision on introduction (about refusal in introduction) the information about the legal entity (individual entrepreneur) in the unified register of investment advisers, the list of documents based on which the Bank of Russia makes the decision on introduction (on refusal in introduction) the information about the legal entity (individual entrepreneur) in the unified register of investment advisers, the application form about entering of information about the legal entity (individual entrepreneur) into the unified register of investment advisers, the bases for adoption by the Bank of Russia of the decision on refusal in entering of information about the legal entity (individual entrepreneur) into the unified register of investment advisers

1.1. The legal entity (individual entrepreneur) intending (intending) to become the professional participant of the security market performing activities for investment consulting (further - the investment adviser, the applicant respectively), for entering of information about him into the unified register of investment advisers (further - the register) shall (shall) send to the Bank of Russia the following documents (further - documents for entering of information about the applicant into the register).

1.1.1. The statement for entering of information about the applicant into the register in form according to appendix 1 to this Instruction.

1.1.2. The questionnaire of the applicant who is the individual entrepreneur (for the applicant who is the individual entrepreneur), containing the following data:

surname, name and middle name (in the presence) applicant;

birth date and birth place of the applicant;

the primary state registration number of the individual entrepreneur (further - PSRNSP) the applicant;

the name of the body which performed state registration of the applicant;

identification taxpayer number (further - INN) the applicant;

the insurance number of the individual ledger account (further - the Insurance Number of Individual Ledger Account) the applicant (in the presence);

the registration address at the place of residence of the applicant specified in the Unified State Register of Private Entrepreneurs (further - the Unified State Register of Individual Entrepreneurs);

series and passport number or series (in the presence) and number of other identity document of the applicant, the name of the body which issued the passport (other identity document), date of issue of the passport (other identity document) (further - passport details (other identity document);

contact information of the applicant (phone number, number of the fax (in the presence), e-mail address);

the address of the official site (address of the official sites) of the applicant on the Internet (further - Internet network);

data on availability (absence) of not removed or unspent conviction for crimes in the field of economic activity or crime against the government (further - criminal record) at the applicant;

data on appointment to the applicant of administrative punishment in the form of disqualification;

data on education (the name of educational institution, year of its termination, specialty (the direction of preparation) (further - data on education) the applicant;

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