INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of March 22, 2019 No. 5100-U

About modification of the Instruction of the Bank of Russia of December 17, 2015 No. 3903-U "About procedure for approval by the Bank of Russia of candidates for position of sole executive body or its deputy and controller (head of internal control) of credit rating agency and evaluation procedure by the Bank of Russia of compliance of persons specified regarding 1 article 7 of the Federal Law of July 13, 2015 to No. 222-FZ "About activities of credit rating agencies in the Russian Federation, about modification of article 76.1 of the Federal law "About the Central Bank Russian Federation (Bank of Russia)" and recognition voided separate provisions of legal acts of the Russian Federation", to requirements to goodwill"

1. Based on parts 2 and 7 of Article 7, parts 1 of article 15 of the Federal Law of July 13, 2015 No. 222-FZ "About activities of credit rating agencies in the Russian Federation, about modification of article 76.1 of the Federal law "About the Central Bank Russian Federation (Bank of Russia)" and recognition voided separate provisions of legal acts of the Russian Federation" (The Russian Federation Code, 2015, No. 29, of the Art. 4348) to bring in the Instruction of the Bank of Russia of December 17, 2015 No. 3903-U "About procedure for approval by the Bank of Russia of candidates for position of sole executive body or its deputy and controller (head of internal control) of credit rating agency and evaluation procedure by the Bank of Russia of compliance of persons specified regarding 1 article 7 of the Federal Law of July 13, 2015 to No. 222-FZ "About activities of credit rating agencies in the Russian Federation about modification of article 76.1 of the Federal law "About the Central Bank Russian Federation (Bank of Russia)" and recognition voided separate provisions of legal acts of the Russian Federation", to requirements to goodwill", registered by the Ministry of Justice of the Russian Federation on December 29, 2015 No. 40349, on July 11, 2017 No. 47358, the following changes.

1.1. In Item 1.1 of the word" (appendix to this Instruction)" to exclude.

1.2. In Item 1.2:

the fifth to state the paragraph in the following edition:

"the questionnaire of the candidate for position which recommended sample is given in appendix to this Instruction.";

to declare the paragraph of the sixth invalid;

in paragraphs seven and the ninth shall be replaced with words the words "and in the case provided by the paragraph 4 Items 1.5 of this Instruction" "and in case of submission of the statement for approval of the candidate for position of sole executive body of the credit rating agency or person who is temporarily fulfilling its duties".

1.3. Recognize Items 1.5 and 1.6 invalid.

1.4. State Item 1.7 in the following edition:

"1.7. The statement for approval and the documents provided by Items 1.2 and 1.3 of this Instruction shall be provided by credit rating agency to authorized structural division in electronic form according to Chapter 2 of the Instruction of the Bank of Russia of November 3, 2017 to No. 4600-U "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 (further - the Instruction of the Bank of Russia No. 4600-U).

The statement for approval shall be presented by credit rating agency in the form of the file created with use of the software for filling of the specified statement posted on the official site of the Bank of Russia in information and communication network "Internet".

The documents specified in Items 1.2 and 1.3 of this Instruction shall be presented by credit rating agency in the form of the file (files) with expansion "*.pdf".

If the statement for approval and the documents specified in Items 1.2 and 1.3 of this Instruction go person, the acting as sole executive body of credit rating agency, or the other person authorized by credit rating agency on making of the specified actions the document confirming investment of person with powers in the direction of the statement for approval and the documents specified in Items 1.2 and 1.3 of this Instruction shall be submitted.".

1.5. The paragraph one of Item 1.8 to state in the following edition:

"1.8. In cases of identification of violation of requirements to registration and (or) contents of the statement for approval and the documents specified in Items 1.2 and 1.3 of this Instruction, and (or) non-presentation of the documents provided in Items 1.2 and 1.3 of this Instruction, in full the authorized structural division no later than 10 working days from the date of registration of a statement about approval and the received documents shall in electronic form according to Chapter 4 of the Instruction of the Bank of Russia No. 4600-U send to credit rating agency the notification on leaving of the received documents without consideration with indication of violation of requirements to registration and (or) content and (or) missing documents.".

1.6. Add Item 1.9 with the words "in electronic form according to Chapter 4 of the Instruction of the Bank of Russia No. 4600-U".

1.7. In appendix:

after mark to appendix to add with words "(Recommended sample)";

exclude the words "Ulitsa Neglinnaya, 12, Moscow, 107016";

state the name in the following edition: "Questionnaire of the candidate for position";

1 to exclude footnote;

shall be replaced with words the words "full name of credit" "full trade name credit";

the table after line 15 to add in the line 15.1 following of content:

"

";

15.1 Recognition of person by Arbitration Court by insolvent (bankrupt) ";

after the table:

in the paragraph the second shall be replaced with words words of "this statement" "this questionnaire";

the fourth to declare the paragraph invalid.

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

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