INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of November 29, 2018 No. 4993-U

About requirements to data and the documents submitted for receipt of license for activities of subjects of insurance case on their standard forms and of procedure and methods of submission to the Bank of Russia of documents for receipt of license for activities of subjects of insurance case

This Instruction based on Item 8 of article 32 of the Law of the Russian Federation of November 27, 1992 No. 4015-1 "About the organization of insurance case in the Russian Federation" (Sheets of the Congress of People's Deputies of the Russian Federation and the Supreme Council of the Russian Federation, 1993, No. 2, Art. 56; Russian Federation Code, 1998, No. 1, Art. 4; 1999, No. 47, Art. 5622; 2002, No. 12, Art. 1093; No. 18, Art. 1721; 2003, No. 50, Art. 4855, Art. 4858; 2004, No. 30, Art. 3085; 2005, No. 10, Art. 760; No. 30, Art. 3101, Art. 3115; 2007, No. 22, Art. 2563; No. 46, Art. 5552; No. 49, Art. 6048; 2009, No. 44, Art. 5172; 2010, No. 17, Art. 1988; No. 31, Art. 4195; No. 49, Art. 6409; 2011, No. 30, Art. 4584; No. 49, Art. 7040; 2012, No. 53, Art. 7592; 2013, No. 26, Art. 3207; No. 30, Art. 4067; No. 52, Art. 6975; 2014, No. 23, Art. 2934; No. 30, Art. 4224; No. 45, Art. 6154; 2015, No. 10, Art. 1409; No. 27, Art. 3946, Art. 4001; No. 29, Art. 4357, Art. 4385; No. 48, Art. 6715; 2016, №1, of Art. 52; No. 22, Art. 3094; No. 26, Art. 3863, Art. 3891; No. 27, Art. 4225, Art. 4294, Art. 4296; 2017, No. 31, Art. 4754, Art. 4830; 2018, No. 1, Art. 66; No. 18, Art. 2557; No. 31, Art. 4840; No. 32, of the Art. 5113, of the Art. 5115) (further - the Law of the Russian Federation "About the organization of insurance case in the Russian Federation") establishes requirements to the data and documents specified in subitems 1, of 5, of the 7th Item 3, subitems 1, of 5, of the 7th Item 5, subitems 1, 4 Items 6 of article 32 of the Law of the Russian Federation "About the organization of insurance case in the Russian Federation", their standard forms, and also procedure and methods of submission to the Bank of Russia of the documents provided by Items 3, 5 - 7 articles 32 of the Law of the Russian Federation "About the organization of insurance case in the Russian Federation".

1. The statement for provision of the license for insurance implementation, the statement for provision of the license for reinsurance implementation, the statement for provision of the license for implementation of intermediary activities as insurance broker, the application for provision of the license for implementation of mutual insurance shall be submitted by the license applicant (licenses) in the standard form established by appendices 1 - 4 to this Instruction respectively.

2. The information about the list of founders (shareholders, participants) shall be represented by the license applicant on implementation of insurance and (or) the license for implementation of reinsurance in the standard form established by appendix 5 to this Instruction.

3. Data on sole executive body, his deputy, the member of collegiate executive body, the chief accountant, the deputy chief accountant, the internal auditor (the head of service of internal audit), the board member (supervisory board), the head and the chief accountant of branch of the license applicant on implementation of insurance and (or) the license for implementation of reinsurance shall be represented by the license applicant (licenses) according to appendix 1 to the Provision of the Bank of Russia of December 27, 2017 to No. 625-P "About procedure for approval by the Bank of Russia of appointment (election) of candidates for positions in the financial organization, notifications of the Bank of Russia on election (the termination of powers), purpose (dismissal) of persons who are part of governing bodies, other officials in the financial organizations, assessments of conformity to qualification requirements and (or) requirements to goodwill of persons the governing bodies which are part, other officials and founders (shareholders, participants) of the financial organizations, the direction the board member (supervisory board) of the financial organization of information in the Bank of Russia on vote (about rejection of participation in vote) against the solution of the board of directors (supervisory board) of the financial organization, sending an inquiry on provision by the Bank of Russia of information and the direction by the Bank of Russia of the answer on availability (absence) of data in the databases provided by articles 75 and 76.7 of the Federal Law of July 10, 2002 No. 86-FZ "About the Central bank the Russian Federation (Bank of Russia)" and also about procedure for maintaining such bases", to No. 50438 registered by the Ministry of Justice of the Russian Federation on March 21, 2018 (further - the Provision of the Bank of Russia No. 625-P).

4. Information about the auditor (the head of audit committee) and the special official responsible for implementation of rules of internal control for the purpose of counteraction of legalization (washing) of income gained in the criminal way and to financing of terrorism, the license applicant on implementation of insurance and (or) the license for implementation of reinsurance shall be represented by the license applicant (licenses) according to appendix 2 to the Instruction of the Bank of Russia of December 25, 2017 to No. 4662-U "About qualification requirements to the head of service of risk management, service of internal control and service of internal audit of credit institution, person responsible for the organization of risk management system, and the controller of non-state pension fund, the auditor of insurance company, about the notification procedure of the Bank of Russia about position assignment (about dismissal) specified persons (except for the controller of non-state pension fund), the special officials responsible for implementation of rules of internal control for the purpose of counteraction of legalization (washing) of income gained in the criminal way and to financing of terrorism of credit institution, non-state pension fund, insurance company, managing company of investment funds, mutual investment funds and non-state pension funds, microfinance company, employee of service of internal control of managing company of investment funds, mutual investment funds and non-state pension funds, and also about evaluation procedure the Bank of Russia of compliance of specified persons (except for the controller of non-state pension fund) to qualification requirements and requirements to goodwill", to No. 50341 registered by the Ministry of Justice of the Russian Federation on March 14, 2018.

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