INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of June 27, 2019 No. 5178-U

About form (format), requirements to content, procedure and term of the direction by persons specified in Items 19 - 22 articles 30 of the Federal law "About the Security Market", to the issuer and in the Bank of Russia of the notifications containing information provided by Items 19 - 22 articles 30 of the Federal law "About the Security Market"

This Instruction based on Item 23 of article 30 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, Art. 7920; 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, of the Art. 8440) (further - the Federal Law "About the Security Market") establishes form (format), requirements to content, procedure and term of the direction by persons specified in Items 19 - 22 articles 30 of the Federal law "About the Security Market", to the issuer and in the Bank of Russia of the notifications containing information provided by Items 19 - 22 articles 30 of the Federal law "About the Security Market".

Chapter 1. Procedure for the direction persons specified in Items 19 - 22 articles 30 of the Federal law "About the Security Market", to the issuer and in the Bank of Russia of the notifications containing information provided by Items 19 - 22 articles 30 of the Federal law "About the Security Market"

1.1. Persons specified in Items 19 - 22 articles 30 of the Federal law "About the Security Market", shall direct the notifications containing information provided by Items 19 - 22 articles 30 of the Federal law "About the Security Market" (further in case of joint mentioning - notifications), to the issuer, and also:

in Department of the corporate relations of the Bank of Russia (further - Department) if the issuer to whom notifications go 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 to whom notifications go is not the organization specified in the paragraph the second this Item.

1.2. Notifications shall go to the Bank of Russia (Department or territorial offices of the Bank of Russia) persons specified in Items 19 - 22 articles 30 of the Federal law "About the Security Market", one of the following methods chosen by them:

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 by means of use of personal account 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;

in electronic form by means of use of the federal state information system "Single Portal of the State and Municipal Services (Functions)" according to the procedure, No. 861 determined by the order of the Government of the Russian Federation of October 24, 2011 "About the federal state information systems providing electronic submission of the state and municipal services (implementation of functions)" (The Russian Federation Code, 2011, No. 44, Art. 6274; No. 49, Art. 7284; 2013, No. 45, Art. 5807; 2014, No. 50, Art. 7113; 2015, No. 1, Art. 283; No. 8, Art. 1175; 2017, No. 20, Art. 2913; No. 23, Art. 3352; No. 32, Art. 5065; No. 41, Art. 5981; No. 44, Art. 6523; 2018, No. 8, Art. 1215; No. 15, Art. 2121; No. 25, Art. 3696; No. 40, Art. 6142).

1.3. Notifications shall go to the issuer persons specified in Items 19 - 22 articles 30 of the Federal law "About the Security Market", one of the following methods chosen by them:

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 through mail and messenger service to the issuer's address containing in the Unified State Register of Legal Entities or to the addresses specified in the charter of the issuer or opened on the issuer's website on the Internet;

on paper by delivery under the signature to the person holding position (performing functions) of sole executive body of the issuer, or to the other person, the representative to accept the written correspondence addressed to the issuer, including the corporate secretary of the issuer;

in electronic form, the Federal Law signed by the digital signature according to requirements of April 6, 2011 No. 63-FZ "About the digital signature" (The Russian Federation Code, 2011, No. 15, Art. 2036; No. 27, Art. 3880; 2012, No. 29, Art. 3988; 2013, No. 14, Art. 1668; No. 27, Art. 3463, Art. 3477; 2014, No. 11, Art. 1098; No. 26, Art. 3390; 2016, No. 1, Art. 65; No. 26, the Art. 3889) if it is provided by the charter of the issuer or the internal document of the issuer approved by general shareholder meeting or the board of directors (supervisory board) of the issuer;

otherwise (including electric communication, including means of fax and cable connection, e-mail) if it is provided by the charter of the issuer or the internal document of the issuer approved by general shareholder meeting or the board of directors (supervisory board) of the issuer.

1.4. Persons specified in Items 19 - 22 articles 30 of the Federal law "About the Security Market", in case of the direction of notifications to the issuer and (or) in the Bank of Russia on paper shall apply the electronic media containing the texts of notifications and the enclosed documents corresponding to texts of notifications and the enclosed documents submitted on paper.

1.5. The notifications on paper directed by person specified in Items 19 - 22 articles 30 of the Federal law "About the Security Market", the being legal entity, shall be signed by the person holding position (performing functions) of sole executive body of the legal entity, or person authorized by it, and also are under seal the legal entity (in the presence). If notifications are on paper signed person which is not sole executive body of the legal entity together with notifications 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 notifications.

If the notifications on paper directed by the legal entity contain more than one leaf, they shall be numbered, stitched, under seal the legal entity (in the presence) on insertion and are certified by the signature of person which is sole executive body of the legal entity, or person authorized by it.

1.6. The notifications on paper directed by person specified in Items 19 - 22 articles 30 of the Federal law "About the Security Market", the being physical person, shall be signed by the specified physical person or person authorized by it. If notifications are on paper signed the authorized person, together with notifications 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 notifications.

If the notifications on paper directed by physical person contain more than one leaf, they shall be numbered, stitched and assured by the signature of physical person or person authorized by it.

1.7. Notifications and documents attached to them sent to the issuer and (or) to the Bank of Russia in electronic form shall have one of the following formats of files: *.pdf, *.odt, *.doc, *.docx, *.rtf, *.ods, *.csv, *.xls, *.xlsx, *.odp, *.html, *.xml.

1.8. In case of the direction of notifications to the issuer and (or) in the Bank of Russia on paper the electronic media attached to them shall contain files in one of the following formats: *.pdf, *.odt, *.doc, *.docx, *.rtf, *.ods, *.csv, *.xls, *.xlsx, *.odp, *.html, *.xml.

1.9. If together with notifications to the issuer and (or) the power of attorney confirming powers of the person for signing of notifications and (or) other document all goes to the Bank of Russia the files sent to the issuer and (or) to the Bank of Russia shall be packed into the single file archive and have one of the following formats: *.7z, *.zip, *.rar, *.arj, *.tar.

1.10. Sent to the issuer, and also in the Bank of Russia the files containing texts of notifications and the enclosed documents shall not be ciphered or protected by the means which are not allowing to perform acquaintance with their content, including with use of the password.

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