INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of March 21, 2019 No. 5096-U

About form and procedure for the direction issuers in the Bank of Russia of the notification containing information which does not reveal and (or) is not provided

Based on Item 6 of article 30.1 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; 2018, No. 1, Art. 65, Art. 70; No. 17, Art. 2424; No. 18, Art. 2560; No. 32, Art. 5088; No. 49, Art. 7524; No. 53, the Art. 8440) (further - the Federal Law "About the Security Market") and article 92.2 of the Federal Law of December 26, 1995 No. 208-FZ "About joint-stock companies" (The Russian Federation Code, 1996, No. 1, Art. 1; No. 25, Art. 2956; 1999, No. 22, Art. 2672; 2001, No. 33, Art. 3423; 2002, No. 12, Art. 1093; No. 45, Art. 4436; 2003, No. 9, Art. 805; 2004, No. 11, Art. 913; No. 15, Art. 1343; No. 49, Art. 4852; 2005, No. 1, Art. 18; 2006, No. 1, Art. 5, Art. 19; No. 2, Art. 172; No. 31, Art. 3437, Art. 3445, Art. 3454; No. 52, Art. 5497; 2007, No. 7, Art. 834; No. 31, Art. 4016; No. 49, Art. 6079; 2008, No. 18, Art. 1941; 2009, No. 1, Art. 23; No. 19, Art. 2279; No. 23, Art. 2770; No. 29, Art. 3642; No. 52, Art. 6428; 2010, No. 41, Art. 5193; No. 45, Art. 5757; 2011, No. 1, Art. 13, Art. 21; No. 30, Art. 4576; No. 48, Art. 6728; No. 49, Art. 7024, Art. 7040; No. 50, Art. 7357; 2012, No. 25, Art. 3267; No. 31, Art. 4334; No. 53, Art. 7607; 2013, No. 14, Art. 1655; No. 30, Art. 4043, Art. 4084; No. 45, Art. 5797; No. 51, Art. 6699; No. 52, Art. 6975; 2014, No. 19, Art. 2304; No. 30, Art. 4219; No. 52, Art. 7543; 2015, No. 14, Art. 2022; No. 27, Art. 4001; 2016, No. 1, Art. 29; No. 23, Art. 3296; No. 27, Art. 4271, Art. 4272, Art. 4273, Art. 4276; 2017, No. 31; Art. 4782; 2018, No. 1, Art. 65; No. 11, Art. 1584; No. 18, Art. 2557; No. 30, Art. 4544; No. 53, of the Art. 8440) (further - the Federal Law "About Joint-stock Companies") this Instruction establishes form and procedure for the direction issuers in the Bank of Russia of the notification containing information which does not reveal and (or) is not provided.

1. The issuer opening and (or) providing in narrow structure and (or) amount information which is subject to disclosure and (or) provision according to requirements of the Federal Law "About the Security Market" and the Federal Law "About Joint-stock Companies" (further - the issuer), shall send the notification containing information which does not reveal to the Bank of Russia and (or) is not presented (further - the notification), in form according to appendix to this Instruction.

2. The issuer shall direct the notification:

in Department of the corporate relations of the Bank of Russia (further - Department) if the issuer is the credit institution or the organization included in the list of issuers approved based on subitem 11.2.1.1 of Item 11.2.1 of the Provision of the Bank of Russia of August 11, 2014 No. 428-P "About standards of issue of securities, procedure for state registration of release (additional release) of issued securities, state registration of reports on release results (additional release) of issued securities and registration of prospectuses of securities", No. registered by the Ministry of Justice of the Russian Federation on September 9, 2014 34005, on November 12, 2015 No. 39691, on May 20, 2016 No. 42184, on November 22, 2016 No. 44386, on August 28, 2017 No. 47988, on January 22, 2019 No. 53499 (further - the Provision of the Bank of Russia No. 428-P);

in the territorial office of the Bank of Russia specified in Items 11.2.2 and 11.2.3 of the Provision of the Bank of Russia No. 428-P in the location of the issuer (further - territorial office of the Bank of Russia) if the issuer is not the organization specified in the paragraph the second this Item.

3. The issuer shall send the notification to the Bank of Russia (Department or territorial office of the Bank of Russia) to one of the following methods:

on paper by the direction of the registered mail with the assurance of receipt (other registered mailing with the notification of the sender on delivery to the addressee) or by transfer to expedition of the Bank of Russia (territorial office of the Bank of Russia);

in electronic form according to the procedure, No. 4600-U provided by Chapter 2 of the Instruction of the Bank of Russia of November 3, 2017 "About order of interaction of the Bank of Russia with credit institutions, not credit financial credit institutions and other participants of information exchange when using of information resources of the Bank of Russia, including personal account by them", No. 49605 registered by the Ministry of Justice of the Russian Federation on January 11, 2018.

4. If the issuer directs the notification on paper, the electronic medium containing the text of the notification shall be attached to it. The issuer shall provide compliance of the text of the notification on the electronic medium to the text of the notification on paper.

5. The notification shall be on paper signed by the person holding position (performing functions) of sole executive body of the issuer or other person authorized by the issuer, and also is under seal the issuer (in the presence). If the notification is on paper signed by the person who is not holding position (not performing function) of sole executive body of the issuer, together with the notification the power of attorney or other document (the copy of the power of attorney or other document, attested (certified) in stipulated by the legislation procedure for the Russian Federation), confirmatory powers of the specified person goes for signing of the notification.

6. If the notification on paper contains more than one leaf, it shall be numbered, stitched and under seal the issuer (in the presence) on insertion and is certified by the signature of person holding position (performing functions) the sole executive body of the issuer, or other representative the issuer of person.

7. This Instruction becomes effective after 10 days after day of its official publication.

Appendix

to the Instruction of the Bank of Russia of March 21, 2019 No. 5096-U "About form and procedure for the direction issuers in the Bank of Russia of the notification containing information which does not reveal and (or) is not provided"

(form)

                                           Ref. __________________________

                                           from "__" _______________ 20 __.

Notification
containing information which does not reveal and (or) is not provided

   _____________  _____________________________________________

      (signature)      (name of position, initials, surname)

                M.P.

           (in the presence)

--------------------------------

<1> The sequence number of the notification which goes to the Bank of Russia is specified.

<2> All types and forms of information which does not reveal and (or) is not provided are consistently specified. Data are specified for each type and (or) specific form of information.

<3> the type (name) of the document (message) which shall contain information Is specified, the notification on not disclosure and (or) failure to provide which goes (for example, the prospectus of securities, the quarterly report of the issuer, the annual statement of joint-stock company, consolidated financial statements of the issuer, the Material Fact Statement with indication of the accounting period (when applicable).

<4> Information is specified in structure and amount in which it is subject to disclosure and (or) provision according to requirements of the legislation of the Russian Federation. According to the decision of the issuer information can be provided in the form of the separate document attached to the notification.

<5> The structural unit of the order of the Government of the Russian Federation of April 4, 2019 is specified to No. 400 "About features of disclosure and provision of information which is subject to disclosure and provision according to requirements of the Federal Law "About Joint-stock Companies" and the Federal Law "About the Security Market" ("The official Internet portal of legal information" (www.pravo.gov.ru), on April 12, 2019). If the document confirming compliance specified (specified) to the basis (bases), is placed in open access - also the page address on the Internet on which it is placed.

Disclaimer! This text was translated by AI translator and is not a valid juridical document. No warranty. No claim. More info