It is registered
Ministry of Justice
Russian Federation
On February 1, 2019 No. 53653
of December 18, 2018 No. 195-I
About procedure for the organization and holding control action by the Bank of Russia concerning credit institutions and not credit financial credit institutions, procedure for the direction of the copy of the act of holding control action in credit institution, not credit financial credit institution concerning which the control event was held
This Instruction according to parts four and the eighth Article 73.1-1, parts seven and the tenth article 76.5 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, Art. 2557; No. 24, Art. 3400; No. 27, Art. 3950; No. 31, Art. 4852; No. 32, Art. 5115; No. 49, the Art. 7524) (further - the Federal Law "About the Central Bank Russian Federation (Bank of Russia)") and based on 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 December 14, 2018 No. 38) establish procedure for the organization and holding control action by the Bank of Russia concerning credit institutions and not credit financial credit institutions, procedure for the direction of the copy of the act of holding control action in credit institution, not credit financial credit institution concerning which the control event was held.
1.1. In the cases provided by part one of article 73.1-1 of the Federal law "About the Central Bank Russian Federation (Bank of Russia)", the Bank of Russia when implementing banking supervision has the right to hold control event (including performed remotely with use of information and communication technologies) concerning credit institutions.
In the cases provided by part four of article 76.5 of the Federal law "About the Central Bank Russian Federation (Bank of Russia)", the Bank of Russia in case of control and supervision in the field of the financial markets has the right to hold control event (including performed remotely with use of information and communication technologies) concerning not credit financial credit institutions.
1.2. During the control events held concerning credit institutions, not credit financial credit institutions (further in case of joint mentioning - persons under surveillance of the organization) authorized representatives (employees) of the Bank of Russia perform actions for transaction or creation of conditions for transaction within regular economic activity of the subsupervising organization with carrying out cash or clearing settlements or without their carrying out.
1.3. The Bank of Russia and persons under surveillance of the organization when processing and using information containing in the documents constituted by the Bank of Russia in connection with holding control actions provide its confidentiality.
2.1. The control event concerning the subsupervising organization is held according to the decision on holding control action which is made by the Chairman of the Bank of Russia or the vice-chairman of the Bank of Russia (appendix 1 to this Instruction).
2.2. The decision on holding control action shall contain the following data:
name of the subsupervising organization (name and sequence number (in the presence) structural division of the subsupervising organization);
primary state registration number of the subsupervising organization;
the registration number of the subsupervising organization assigned by the Bank of Russia (in the presence);
transactions, actions for making or creation of conditions for making of which shall be performed during the control action;
the address to which the control event shall be held or specifying on holding control action remotely with use of information and communication technologies (further - remote control action), or the name of the municipality in which the control event, with indication of the need of implementation of the actions indicated in paragraph five of this Item to the address received by the authorized representative (employee) of the Bank of Russia from the subsupervising organization during interaction when holding control action shall be held;
the time in which the control event shall be held;
limit of money on holding control action (in case of need uses of money for holding control action);
the paragraph the ninth ceased to be valid according to the Instruction of the Central bank of the Russian Federation of 28.03.2023 No. 6384-U
2.3. Based on the decision on holding control action the order on holding control action (appendix 2 to this Instruction) which is signed by one of the following officials of the Bank of Russia is constituted:
head (deputy manager) of the Main inspection of the Bank of Russia, general inspector (deputy general inspector) of the Main inspection of the Bank of Russia;
head (deputy manager) of territorial office of the Bank of Russia.
In the order on holding control action the members of persons authorized on holding control action numbering at least two people shall be determined.
2.4. In case of change of members of authorized representatives (employees) of the Bank of Russia amendment to the order on holding control action (appendix 3 to this Instruction) which shall be signed by one of the officials of the Bank of Russia specified in paragraphs second and third Item 2.3 of this Instruction shall be constituted.
2.5. Authorized representatives (employees) of the Bank of Russia shall hold control event (except for remote control action) using video or photo and filmings or with attraction to holding control action of two witnesses.
If the control event is held in the presence of witnesses, authorized representatives (employees) of the Bank of Russia show them the documents testimonial of the fact that persons authorized on holding control action are bank clerks of Russia (further - official IDs). Holding control action at presence at quality of witnesses of the physical persons who are employees (employees) of the Bank of Russia, and also employees of the subsupervising organization concerning which the control event is held is not allowed.
Transaction or creation of conditions for transaction during by authorized representatives (employees) the Bank of Russia of remote control action shall be performed by means of the program technical means allowing to keep the images displayed on the screen of program technical means with date and time of receipt of the specified images and also data on the used program technical means.
2.6. After completion of control action authorized representatives (employees) of the Bank of Russia shall draw up the statement of holding control action (appendix 4 to this Instruction).
The act of holding control action shall contain the following data:
date of control action;
details of the decision on holding control action and the order (amendment to the order) on holding control action;
the name of the subsupervising organization (the name and sequence number (in the presence) structural division of the subsupervising organization), the primary state registration number of the subsupervising organization, the registration number of the subsupervising organization assigned by the Bank of Russia (in the presence);
the address to which the control event, or specifying on the information and communication technologies used by authorized representatives (employees) of the Bank of Russia when holding remote control action was held;
the actions for transaction or creation of conditions for transaction performed by authorized representatives (employees) of the Bank of Russia during control action;
data on the cash or clearing settlements which are carried out during the control action (in case of their carrying out);
data on violations of requirements of the legislation of the Russian Federation by the subsupervising organization and regulations of the Bank of Russia and (or) the rights of clients and (or) about actions of the subsupervising organization which cause damage to her creditors and clients or create threat to their legitimate interests, revealed by authorized representatives (employees) of the Bank of Russia when holding control action, or about their absence;
data on application (non-use) by authorized representatives (employees) of the Bank of Russia when holding control action of video or photo and filmings;
surname, name, middle name (in the presence), data of the identity document of each witness of control action (in case of their presence when holding control action);
surname, name, middle name (in the presence) each authorized representative (employee) of the Bank of Russia holding control event.
2.7. The act of holding control action is signed by authorized representatives (employees) of the Bank of Russia and witnesses (in case of their presence when holding control action).
In the presence at witnesses of notes on holding control action of the note are reflected in the act of holding control action and make sure their signatures.
In case of refusal the witnesses who were present when holding control action from putting down of the signature on the act of holding control action authorized representatives (employees) of the Bank of Russia in the act of holding control action shall put down mark about refusal of the witness of putting down of the signature in the act of holding control action.
2.8. The copy of the act of holding control action shall go the Bank of Russia to the subsupervising organization concerning which the control event, no later than ten working days from the date of holding control action electronically through personal account, the reference to which is posted on the official site of the Bank of Russia on the Internet, according to the order of interaction of the Bank of Russia with credit institutions and not credit financial credit institutions determined based on parts one and the fourth Article 73, was held. 1, parts one and eighth article 76.9 of the Federal law "About the Central Bank Russian Federation (Bank of Russia)" (Russian Federation Code, 2002, No. 28, Art. 2790; 2016, No. 27, Art. 4225; 2017, No. 27, the Art. 3950) (further - order of interaction).
In case of lack of technical capability of the direction of the copy of the act of holding control action according to paragraph one of this Item the copy of the act shall go the Bank of Russia to the subsupervising organization concerning which the control event, on paper by the registered mail with the assurance of receipt was held.
2.9. In case of identification of violation by the subsupervising organization of requirements of the legislation of the Russian Federation and regulations of the Bank of Russia directly when holding control action authorized representatives (employees) of the Bank of Russia shall without delay after completion of holding control action:
declare holding control action to the representative of the subsupervising organization who is present when holding control action and show the official IDs, originals or copies of the decision on holding control action and the order (amendment to the order) certified by seal on holding control action (except for holding remote control action);
draw up the statement of holding control action.
The copy of the act of holding control action, directly when carrying out which violations of requirements of the legislation of the Russian Federation by the subsupervising organization and regulations of the Bank of Russia were revealed, without delay after creation of this act it is handed to the representative of the subsupervising organization who is present when holding control action or goes to the subsupervising organization concerning which the control event, according to Item 2.8 of this Instruction was held.
The fact of delivery of the copy of the act of holding control action makes sure the signature of the representative of the subsupervising organization with indication of position, surname, name and middle name (in the presence), and also date and time of its obtaining, is certified by seal (stamp) of the subsupervising organization (in the presence) of the act of holding control action.
In case of refusal the representative of the subsupervising organization from receipt of the copy of the act of holding control action or from putting down of the signature certifying the fact of receipt of the copy of the act of holding control action, authorized representatives (employees) of the Bank of Russia in the act of holding control action shall put down mark about refusal of receipt of the copy of the act of holding control action or about refusal of putting down of the signature certifying the fact of receipt of the copy of the act of holding control action, respectively.
2.10. The subsupervising organization no later than ten working days from the date of delivery (obtaining) of the copy of the act of holding control action has the right to direct objections (note) under the act of holding control action according to order of interaction.
Paragraph two of ceased to be valid
2.11. If the control event is held during check of the subsupervising organization by the Bank of Russia for check goal achievement, the copy of the act of holding control action joins in the inspection statement of the subsupervising organization.
2.12. The Bank of Russia no later than thirty working days following behind day of holding control action makes actions for return of the money and (or) other property received by authorized representatives (employees) of the Bank of Russia from the subsupervising organization during control action.
The subsupervising organization no later than twenty working days following behind day of receipt of the copy of the act of holding control action makes actions for return of the money and (or) other property received by it from authorized representatives (employees) of the Bank of Russia during control action.
2.13. In case of the direction in bureau of credit histories according to article 5 of the Federal Law of December 30, 2004 No. 218-FZ "About credit stories" information on the actions made during control action, the subsupervising organization shall send in time no later than ten working days following behind day of receipt of the copy of the act of holding control action to bureau of credit histories the appeal about cancellation (exception of the scope of information, included in credit reports) records and (or) other data of credit history, stipulated in Item 4 parts 1 of article 7 of the Federal Law of December 30, 2004 No. 218-FZ "About credit stories".
3.1. This Instruction becomes effective after 10 days after day of its official publication.
Chairman of the Central bank of the Russian Federation
E. S. Nabiullina
to the Instruction of the Bank of Russia of December 18, 2018 No. 195-I "About procedure for the organization and holding control action by the Bank of Russia concerning credit institutions and not credit financial credit institutions, procedure for the direction of the copy of the act of holding control action in credit institution, not credit financial credit institution concerning which the control event was held"
Recommended sample
CENTRAL BANK OF THE RUSSIAN FEDERATION (BANK OF RUSSIA)
Decision
from __ ________ 20 __ No. __________
ABOUT HOLDING THE CONTROL ACTION
According to the article __________ <1> of the Federal Law of July 10
2002 No. 86-FZ "About the Central bank the Russian Federation (Bank of Russia)"
carry out to the period with __ ___________ on __ ____________ 20 __ in the relation
___________________________________________________________________________
(full trade name of the subsupervising organization (name
subsupervising organization), the main state registration
number of the subsupervising organization, registration number of subsupervising
organizations (in the presence), full name and sequence number
(in the presence) structural division of the subsupervising organization)
___________________________________________________________________________
(address of the subsupervising organization)
control action __________________________________________________,
(transactions, actions for making or creation
conditions for which making shall be
are performed during the control action)
performed ___________________________________________________________.
(address of holding control action or
it is specified "remotely with use of information and communication technologies"
or the name of the municipality with indication of on need of implementation
actions for transaction or creation of conditions for transaction on the address,
received by the authorized representative (employee) of the Bank of Russia from subsupervising
the organizations during interaction when holding control action)
Set limit of cash on holding control action
means in the amount of <2> ____________________________________________________.
__________________________ __________________________ ____________________
(The chairman of the Bank of Russia (the signature (in case (initials, surname)
/ vice-chairman of forming of the document
Bank of Russia) on paper)
L. S. (in case of forming of the paper document)
--------------------------------
<1> It is specified "73.1-1" for credit institution or "76.5" for not credit financial credit institution.
<2> It is specified in case of need uses of money for holding control action.
to the Instruction of the Bank of Russia of December 18, 2018 No. 195-I "About procedure for the organization and holding control action by the Bank of Russia concerning credit institutions and not credit financial credit institutions, procedure for the direction of the copy of the act of holding control action in credit institution, not credit financial credit institution concerning which the control event was held"
Recommended sample
CENTRAL BANK OF THE RUSSIAN FEDERATION (BANK OF RUSSIA)
The order on holding control action
No. _____ from __ ____________ 20 __.
According to the article __________ <1> of the Federal Law of July 10
2002 No. 86-FZ "About the Central bank the Russian Federation (Bank of Russia)"
and based on the decision on holding control action
from ____________ 20 __ No. ________ to authorized representatives (employees)
The Bank of Russia in time with _________________ 20 __ on ________________ 20 __.
it is entrusted to hold control event in the relation ___________________
___________________________________________________________________________
(full trade name of the subsupervising organization (name
subsupervising organization), the main state registration
number of the subsupervising organization, registration number of subsupervising
organizations (in the presence), full name and sequence number
(in the presence) structural division of the subsupervising organization)
in structure:
authorized representative (employee) of the Bank of Russia:
__________________________________________________________________________;
(surname, name, middle name (in the presence)
authorized representative (employee) of the Bank of Russia:
__________________________________________________________________________.
(surname, name, middle name (in the presence)
_____________________________ ________________________ ___________________
(the name of position of person, (the signature (in case (initials, surname)
signed the document) forming of the document
on paper)
L. S. (in case of forming of the paper document)
--------------------------------
<1> It is specified "73.1-1" for credit institution or "76.5" for not credit financial credit institution.
to the Instruction of the Bank of Russia of December 18, 2018 No. 195-I "About procedure for the organization and holding control action by the Bank of Russia concerning credit institutions and not credit financial credit institutions, procedure for the direction of the copy of the act of holding control action in credit institution, not credit financial credit institution concerning which the control event was held"
Recommended sample
CENTRAL BANK OF THE RUSSIAN FEDERATION (BANK OF RUSSIA)
Amendment to the order on holding control action
No. _____ from __ ____________ 20 __.
According to the article _________ <1> of the Federal Law of July 10
2002 No. 86-FZ "About the Central bank the Russian Federation (Bank of Russia)"
and based on the decision on holding control action
from ___________ 20 __ No. _____ to authorized representatives (employees)
The Bank of Russia in time with ____________ 20 __ on ___________ 20 __.
it is entrusted to hold control event in the relation ___________________
___________________________________________________________________________
(full trade name of the subsupervising organization (name
subsupervising organization), the main state registration
number of the subsupervising organization, registration number of subsupervising
organizations (in the presence), full name and sequence number
(in the presence) structural division of the subsupervising organization)
in structure:
authorized representative (employee) of the Bank of Russia:
__________________________________________________________________________;
(surname, name, middle name (in the presence)
authorized representative (employee) of the Bank of Russia:
__________________________________________________________________________.
(surname, name, middle name (in the presence)
This amendment to the order is integral part of the order
on holding control action from __ ________ 20 __ No. ____.
_____________________________ ________________________ ___________________
(the name of position of person, (the signature (in case (initials, surname)
signed the document) forming of the document
on paper)
L. S. (in case of forming of the paper document)
--------------------------------
<1> It is specified "73.1-1" for credit institution or "76.5" for not credit financial credit institution.
to the Instruction of the Bank of Russia of December 18, 2018 No. 195-I "About procedure for the organization and holding control action by the Bank of Russia concerning credit institutions and not credit financial credit institutions, procedure for the direction of the copy of the act of holding control action in credit institution, not credit financial credit institution concerning which the control event was held"
Recommended sample
CENTRAL BANK OF THE RUSSIAN FEDERATION (BANK OF RUSSIA)
Act of holding control action
No. _____ from __ ____________ 20 __.
Date of control action: __ _________ 20 __.
This statement is drawn up by results of control action in
relation _________________________________________________________________
___________________________________________________________________________
(full trade name of the subsupervising organization (name
subsupervising organization), the main state registration
number of the subsupervising organization, registration number of subsupervising
organizations (in the presence), full name and sequence number
(in the presence) structural division of the subsupervising organization)
based on the decision on holding control action
from ___________ 20 __ No. _____ and according to the order (amendment to
to the order) on holding control action from _______ 20 __ No. ___.
The control action is performed __________________________________
__________________________________________________________________________.
(the address of holding control action or is specified: "remotely
with use of information and communication technologies")
Transactions, actions for making or creation of conditions for making of which
are performed during the control action: ____________________________.
Information on the cash or clearing settlements used in case of
holding control action <1>: _________________________________.
When holding control action it is spent cash or
non-cash in the amount: ____________________________________.
Information on use of information and communication technologies <2>:
__________________________________________________________________________.
(the information and communication technologies used
when holding control action)
During control action <3> ____________________________
__________________________________________________________________________.
The documents <4> attached to the act: _________________________________________
__________________________________________________________________________.
The control event is held: ________________________________________
(it is specified: "using video
and (or) photo and filmings "or" without
applications of video and (or) photo
and filmings")
Authorized representative
(employee) of the Bank of Russia: ______________________________________________
(signature, surname, name, middle name (in the presence)
Authorized representative
(employee) of the Bank of Russia: ______________________________________________
(signature, surname, name, middle name (in the presence)
The control event is held: ________________________________________
(it is specified: "with attraction
witnesses "or" without attraction
witnesses")
Notes on holding control action <5>: _____________________
__________________________________________________________________________.
Witnesses <6>: ___________________________________________________________;
(signature, surname, name, middle name (in the presence), data
identity document)
__________________________________________________________________________.
(signature, surname, name, middle name (in the presence), data of the document,
proving the identity)
Mark about refusal of the witness of putting down of the signature in the act of carrying out
control action <7>: _____________________________________________
__________________________________________________________________________.
(signatures of authorized representatives (employees) of the Bank of Russia)
The copy of this act is received <8> __ by __________ 20 __ in __ hour __ min.
________________________________________________ _____________
(position, surname, name, middle name (in the presence) (signature)
representative of the subsupervising organization)
L. S. (stamp) (in the presence)
subsupervising organization
_______________________________________________________________________ <9>
(facts of refusal of the representative of the subsupervising organization of obtaining
copies of the act of holding control action or refusal facts
from putting down of the signature certifying the fact of receipt of the copy of the act
about holding control action)
___________________________________________________________________________
(signatures of authorized representatives (employees) of the Bank of Russia)
--------------------------------
<1> It is specified in case of implementation of cash or clearing settlements during control action.
<2> It is specified in case of holding remote control action.
<3> data on the revealed violations of requirements of the legislation of the Russian Federation and regulations of the Bank of Russia (with indication of Articles and provisions of the Federal Laws and regulations of the Bank of Russia) and (or) the rights of clients and (or) about the elicited facts of non-execution of instructions of the Bank of Russia and (or) data on actions of the subsupervising organization which cause damage to her creditors and clients Are specified or create threat to their legitimate interests or information on lack of the specified data is specified.
<4> Are specified in case of availability of the documents enclosed to the act of holding control action.
<5> Are specified in case of availability at witnesses of notes on holding control action.
<6> Are specified in case of presence of witnesses when holding control action.
<7> The mark is put down in case of refusal of the witness of putting down of the signature on the act of holding control action.
<8> The mark is put down in case of delivery of the act of holding control action to the representative of the subsupervising organization.
<9> It is specified in case of refusal of the representative of the subsupervising organization of receipt of the copy of the act of holding control action or in case of refusal of putting down of the signature certifying the fact of receipt of the copy of the act of holding control action.
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The document ceased to be valid since February 7, 2025 according to Item 3.2 of the Instruction of the Central bank of the Russian Federation of October 1, 2024 No. 215-I