INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of July 30, 2019 No. 5220-U

About requirements with which observance obligations under depositary agreements the organization on which the Bank of Russia makes the decision on cancellation of the license of the professional participant of the security market for implementation of depository activity, and requirements to implementation of depository activity and activities for maintaining the register of owners of securities in case of discharge of depositary agreements stop

Based on Item 1 of Article 39. 2, Item 3 of article 42 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, Art. 8440; 2019, No. 25, Art. 3169; "The official Internet portal of legal information" (www.pravo.gov.ru), on July 26, 2019) (further - the Federal Law "About the Security Market") this Instruction establishes requirements with which observance obligations under depositary agreements the organization on which the Bank of Russia makes the decision on cancellation of the license of the professional participant of the security market for implementation of depository activity, and the requirement to implementation of depository activity and activities for maintaining the register of owners of securities in case of discharge of depositary agreements stop.

Chapter 1. Requirements with which observance obligations under depositary agreements the organization on which the Bank of Russia makes the decision on cancellation of the license of the professional participant of the security market for implementation of depository activity stop

1.1. The organization on which the Bank of Russia makes the decision on cancellation of the license of the professional participant of the security market for implementation of depository activity (further respectively - the organization, the decision on cancellation of the license of depositary), in case of discharge of depositary agreements within 2 working days from the date of receipt of the cancellation notice of the license for implementation of depository activity in cases, stipulated in Item 4 Articles 39, by subitems 2 - 13, 15, Item 2 of article 39.1 of the Federal law "About the Security Market" (further - the notification of the Bank of Russia) shall place (to publish) on the official site on the Internet and to send to each depositor the message containing the following information.

1.1.1. The term during which specifying of the depositor about method of return of its property which is at the organization (further respectively - term for acceptance of instructions is accepted, specifying of the depositor), determined by the organization and constituting at least a half of the term established by the decision on cancellation of the license of depositary for discharge, connected with implementation of depository activity (further - term for discharge).

1.1.2. Request for need of provision by the depositor of the following details:

the custody account or personal account in the register of owners of securities (further - the register) on which by the organization securities of the depositor - concerning bank entry securities and documentary securities with obligatory centralized storage shall be enlisted;

full trade name, the address specified in the Unified State Register of Legal Entities, depositary to which the organization shall transfer securities of the depositor - concerning documentary securities (except for documentary securities with obligatory centralized storage);

the bank account on which by the organization money of the depositor - concerning money shall be listed.

1.1.3. Request to the depositor on which custody account the digital right is considered, to provide the information necessary for making by the organization of record about transition to the order of the depositor or person specified by the depositor in information system, in which according to Item 14 of article 7 of the Federal law "About the Security Market" (The Russian Federation Code, 1996, No. 17, of Art. 1918; 2019, No. 31, of the Art. 4418) the organization for specifying of the depositor performs the order the digital rights (further - information system), the digital rights, except for the utilitarian digital rights concerning which the organization grants digital certificates.

1.1.4. Request to provide to the owner of the digital certificate the information necessary for making of record about transition of the utilitarian digital rights concerning which the organization grants digital certificates, in the order of the owner of the digital certificate or person specified to them in information system.

1.1.5. Description of the procedure of implementation of return to depositors of the organization of their property.

1.2. Within 5 working days from the date of receipt of the notification of the Bank of Russia the organization shall constitute on each personal account of the nominee holder in the register, the custody account of the nominee holder in other depositary (further in case of joint mentioning - the account of the organization) as of day of receipt of the notification of the Bank of Russia the list of depositors which nominee holder of securities is the organization (further - the list of depositors), containing the following information concerning each custody account on which the organization considers the specified securities.

1.2.1. The data allowing to identify person to whom the organization opens the custody account, including data represented to the holder of the register for opening of personal account (in case of their availability), containing in accounting registers which maintaining is performed by the organization.

1.2.2. Custody account type.

1.2.3. The number of the securities considered on the custody account.

1.2.4. The type, category (type) of the securities considered on the custody account, and the data allowing to identify the specified securities, containing in accounting registers which maintaining is performed by the organization.

1.2.5. The data allowing to identify the issuer of securities (person obliged on securities), containing in accounting registers which maintaining is performed by the organization.

1.2.6. Date and the basis of introduction of record on the custody account about encumbrance of securities, method and conditions of encumbrance of securities - concerning which encumbrance is fixed (in the presence of the specified securities).

1.2.7. The data allowing to identify person for benefit of whom encumbrance of securities is established including the data represented to the holder of the register for introduction of record about encumbrance of securities according to the paragraph third Item 2 of article 51.6 of the Federal law "About the Security Market" - concerning which encumbrance is fixed (in the presence of the specified securities).

1.2.8. Date and the basis of introduction of record about restriction of the order with securities, and also the description of restriction of the order with securities - concerning securities on which restriction of the order with securities is fixed (in the presence of the specified securities).

1.3. No later than the working day following behind day of creation of the list of depositors, the organization shall provide to each depositary, the holder of the register who opened the account of the organization, the list of depositors concerning the securities considered on the account of the organization opened by the specified depositary or the holder of the register.

1.4. If specifying of the depositor is received during term for acceptance of instructions, the organization no later than 10 working days from the date of receipt of specifying of the depositor shall make the following actions directed to return of property of the depositor (further - the actions directed to return of property):

transfer of the securities considered on the custody account of the depositor on the personal account opened for the depositor in the register or into the custody account opened to the depositor in other depositary (except for case when securities of depositors are considered on the account of the organization opened in depositary with which interaction is impossible because of non-realization of the activities by the last), - concerning bank entry securities and documentary securities with obligatory centralized storage;

return to the depositor of securities (their transfer to other depositary specified by the depositor) - concerning documentary securities (except for documentary securities with obligatory centralized storage);

money transfer on the bank account of the depositor according to specifying of the depositor - concerning money;

transfer of the utilitarian digital rights concerning which the organization grants digital certificates, to the order of the owner of such digital certificates or person specified to them in information system - concerning the utilitarian digital rights concerning which the organization grants digital certificates;

transfer of the digital rights, except for the utilitarian digital rights concerning which the organization grants digital certificates, in the order of the depositor or person specified by the depositor in information system - concerning the digital rights, except for the utilitarian digital rights concerning which the organization grants digital certificates.

If specifying of the depositor is received on securities concerning which it is fixed the pledge right (is registered), the organization shall make the actions directed to return of property concerning the specified securities with observance of the requirement provided by the paragraph the second Item 7.19 of the Provision of the Bank of Russia of November 13, 2015 No. 503-P "About procedure for opening and maintaining by depositaries custody accounts and other accounts" (it is registered by the Ministry of Justice of the Russian Federation on December 16, 2015, registration No. 40137, with the changes made by Instructions of the Bank of Russia of October 25, 2018 No. 4944-U (it is registered by the Ministry of Justice of the Russian Federation on December 10, 2018, registration No. 52946), of November 28, 2019 No. 5334-U (it is registered by the Ministry of Justice of the Russian Federation on December 30, 2019, registration No. 57065), of November 2, 2021 No. 5985-U (it is registered by the Ministry of Justice of the Russian Federation on December 7, 2021, registration No. 66217).

1.5. If the specifying of the depositor received by the organization does not contain data for implementation of the actions directed to return of property, the organization within 3 working days from the date of receipt of specifying of the depositor shall send to it inquiry for provision of the specified data (further - request).

If the depositor according to request represents data for implementation of the actions directed to return of property to the direction by the organization according to Item 1.6 of this Instruction to depositary or the holder of the register who opened the account of the organization, the list containing information on the securities considered on the custody account of the depositor which submitted the specified data, the organization in time no later than 5 working days from the date of their obtaining shall perform the actions directed to return of property.

If according to request the depositor represents data for implementation of the actions directed to return of property after the direction of the list containing information on the securities considered on the custody account of the depositor which provided the specified data, to depositary or the holder of the register who opened the account of the organization according to Item 1.6 of this Instruction, the organization shall notify the depositor on impossibility of implementation of the actions directed to return of property by it.

1.6. If specifying of the depositor (except for instructions concerning the money and (or) documentary securities which are not securities with obligatory centralized storage and also specifying concerning the digital rights and (or) digital certificates granted by the organization) is not received during term for acceptance of instructions or in response to request the depositor did not provide the data for implementation of the actions directed to return of property or there is no consent of the pawnbroker on securities concerning which it was fixed the pledge right, on implementation of the actions directed to return of property (is registered), the organization within 25 working days after day of the expiration for acceptance of instructions shall constitute the list containing the data provided by subitems 1.2.1 - 1.2.8 Items 1.2 of this Instruction, about persons, not directed specifying of depositors (further - the list of the depositors which did not direct specifying).

The list of the depositors which did not direct specifying shall be constituted by the organization for each account of the organization by each issue of securities, mutual investment fund, the individual designation identifying hypothecation certificates of participation, and the unique symbol identifying the digital certificates granted by other depositary concerning all securities considered on the specified accounts of the organization. The list of the depositors which did not direct specifying also shall include data on the number of the securities considered on the account of unidentified persons.

Within 2 working days from the date of creation of the list of the depositors which did not direct specifying the organization shall send it to depositary or the holder of the register who opened the account of the organization.

1.7. If depositary or the holder of the register who opened the account of the organization in response to the actions of the organization made according to the paragraph third Item 1.6 of this Instruction sent to the organization the notification on discrepancy of quantity of securities concerning which the organization constitutes the list of the depositors which did not direct specifying, to the number of the same securities considered on the account of the organization opened specified by depositary or the holder of the register the organization shall eliminate the specified discrepancy with observance of requirements, stipulated in Item the 10th article 8.5 of the Federal law "About the Security Market".

1.8. If the organization due to the non-receipt of specifying of the depositor concerning documentary securities, except for securities with obligatory centralized storage, introduced the specified securities in the deposit of the notary according to Article 327 of the Civil code of the Russian Federation (The Russian Federation Code, 1994, No. 32, Art. 3301; 2015, No. 10, Art. 1412; 2018, No. 22, of the Art. 3044), the organization shall report about it to the depositor no later than end date of term for discharge.

1.9. If specifying of the depositor concerning money of the depositor not is received during the term established by the organization for acceptance of instructions, the organization shall transfer the specified money into the bank account of the depositor if the organization has information on the specified bank account of the depositor, no later than end date of term for discharge.

If the organization due to the lack at it information on the bank account of the depositor deposited money of the depositor in the deposit of the notary according to Article 327 of the Civil code of the Russian Federation, the organization shall report about it to the depositor no later than end date of term for discharge.

1.9 (1). If specifying of the depositor concerning the digital certificates granted by the organization is not received during the term established by the organization for acceptance of instructions or in response to request the depositor did not provide the data necessary for making of record about transfer of the utilitarian digital rights concerning which the organization grants digital certificates, to the order of the owner of the digital certificate or person specified to them in information system, the organization not later than 10 working days about day of the termination of term for discharge shall:

transfer the utilitarian digital rights concerning which digital certificates are granted, to other depositary in the order in investment platform, and also to transfer to such depositary to dead storage all accounts and documents which are available for the organization concerning persons performing the rights under the extinguished digital certificates concerning the utilitarian digital rights and their quantity by each such person, and also concerning depositors on which custody accounts accounting of the rights to digital certificates, in case of lack of information on persons performing the rights under the extinguished digital certificates was performed;

write off the digital certificate granted concerning the utilitarian digital rights transferred according to the paragraph the second this Item from the custody account on which accounting of the rights to the specified certificate, in accordance with the terms of implementation of depository activity is performed.

1.9 (2). If specifying of the depositor on which custody account of the owner the digital rights are considered concerning such digital rights not is received during the term established by the organization for acceptance of instructions, the organization not later than 10 working days about day of the termination of term for discharge shall transfer the digital rights to other depositary in the order in information system, and also to transfer to such depositary to dead storage everything the data which are available for the organization concerning the specified digital rights, their owners and quantities of the digital rights by each owner.

1.9 (3). Within one working day after day of transfer to other depositary of the digital rights, accounting records and documents concerning the extinguished digital certificates and the specified digital rights and their owners according to Items 1.9 (1) or 1.9(2) these Instructions the organization shall place (to publish) on the official site on the Internet the message on the specified depositary containing full trade name, the address of the legal entity within the location of the legal entity specified in the Unified State Register of Legal Entities, phone numbers, the fax (the last - in the presence), the e-mail address of depositary, in the order to which in information system the digital rights are transferred, and also accounts and documents concerning the extinguished digital certificates and the specified digital rights and their owners are transferred to dead storage.

1.9 (4). Within 4 working days after day of transfer to other depositary of the digital rights, accounting records and documents concerning the extinguished digital certificates and the specified digital rights and their owners according to Items 1.9 (1) or 1.9(2) these Instructions the organization shall send to each depositor on which custody accounts the digital rights and (or) the rights to the digital certificates granted by the organization and to each person for benefit of whom in information system encumbrance of the digital rights (in the presence of information on such person), the notification containing the following information on the specified depositary is established were considered:

the full trade name, the address of the legal entity within the location of the legal entity specified in the Unified State Register of Legal Entities, phone numbers, the fax (the last - in the presence), the e-mail address of depositary, in the order to which in information system the digital rights are transferred, and also are transferred to dead storage of the data concerning the extinguished digital certificates and the specified digital rights and their owners;

type of the digital rights (utilitarian digital rights, digital financial assets, other digital rights);

the data containing in records about the digital rights concerning which the organization rendered the services in accounting specified in subitems 1.6 (1).1 and 1.6 (Item 1.6 1).3 (1) Provisions of the Bank of Russia of May 13, 2016 to No. 542-P "About requirements to implementation of depository activity when forming records based on the documents relating to conducting depositary accounting, and also the documents connected taking into account and transition of the rights to securities and in case of storage of the specified documents" (it is registered by the Ministry of Justice of the Russian Federation on June 29, 2016, registration No. 42678, with the changes made by the Instruction of the Bank of Russia of September 27, 2022 No. 6265-U (it is registered by the Ministry of Justice of the Russian Federation on November 21, 2022, registration No. 71048) (further - the Provision of the Bank of Russia of May 13, 2016 No. 542-P);

the unique symbols of the utilitarian digital right or the identical utilitarian digital rights containing in records about the digital rights concerning which the organization rendered the services in accounting specified in subitem 1.6 (Item 1.6 1).2 (1) Provisions of the Bank of Russia of May 13, 2016 to No. 542-P - concerning the utilitarian digital right;

quantity of the digital rights of the depositor transferred in the order to other depositary in information system.

1.10. In case of non receipt of instructions of depositors concerning the foreign financial instruments qualified as securities according to the Instruction of the Bank of Russia of October 3, 2017 No. 4561-U "About procedure for qualification of foreign financial instruments as securities", the registered Ministry of Justice of the Russian Federation on April 3, 2018 No. 50596, on October 9, 2018 No. 52367 (further - foreign securities), the organization performing accounting of the rights to foreign securities not later than 1 month before the termination of term for discharge shall transfer to dead storage to other depositary accounts and documents concerning the specified foreign securities, except for the case provided by the paragraph the second this Item.

If the contract with the foreign organization which is performing accounting of the rights to foreign securities and opened for the organization the account of person which is acting for the benefit of other persons on which the rights to foreign securities are considered or the contract with the depositary which opened the account of the organization on which the rights to foreign securities are considered or the contract with the depositor on which custody account foreign securities are considered provides other procedure for discharge, the specified procedure is applied.

1.11. Within 4 working days after day of transfer to other depositary of accounting records and documents concerning foreign securities according to paragraph one of Item 1.10 of this Instruction the organization shall direct to dead storage to each depositor on which custody accounts foreign securities, the notification containing the following information were considered:

full trade name, the address specified in the Unified State Register of Legal Entities, phone numbers and (or) the fax, the e-mail address of depositary to which accounts and documents concerning foreign securities are transferred to storage;

name, code (number) of identification of securities (ISIN code) and international code of classification of financial instruments (CFI code) and other identification signs of foreign securities (in the presence);

the data allowing to identify the issuer of foreign securities or person obliged on foreign securities, containing in accounting registers;

the number of foreign securities concerning which accounts are transferred to storage according to paragraph one of Item 1.10 of this Instruction.

1.12. If securities of depositors are considered on the account of the organization opened in depositary with which interaction is impossible because of non-realization of the activities by the last the organization during term for acceptance of instructions shall transfer to the holder of the register, the depositary performing obligatory centralized storage of the specified securities (centralized accounting of the rights to the specified securities) or the depositary which granted digital certificates:

lists of depositors;

data on the number of the securities considered on the account of unidentified persons;

other documents and information which are available for the organization concerning the specified securities.

1.13. If the organization is the depositary performing obligatory centralized storage of securities (centralized accounting of the rights to securities), the specified organization shall:

notify the issuer of securities (person obliged on securities) concerning which the organization is the face performing obligatory centralized storage of securities (centralized accounting of the rights to securities) about the decision on cancellation of the license of depositary within 5 working days from the date of receipt of the notification of the Bank of Russia;

constitute the list of clients concerning whom the organization is the face performing the accounting of the rights to securities with obligatory centralized storage of securities (centralized accounting of the rights to securities) containing the data provided by subitems 1.2.1 - 1.2.8 Items 1.2 of this Instruction, and also data on the number of the securities considered on the account of unidentified persons as of day of receipt of the notification of the Bank of Russia (further - the list of clients);

send the list of clients, other documents and information which are available for the organization concerning the specified securities not later than 1 month before the termination of term for discharge to the depositary specified by the issuer of securities (person obliged on securities) concerning which the organization is the face performing obligatory centralized storage of securities (centralized accounting of the rights to securities).

If the issuer of securities (person obliged on securities) concerning which the organization is the face performing obligatory centralized storage of securities (centralized accounting of the rights to securities) not later than 1 month before the termination of term for discharge did not specify depositary to which the list of clients and documents specified in paragraph four of this Item and information shall be sent, the organization no later than end date of term for discharge shall transfer to dead storage to other depositary the list of clients, and also documents provided in paragraph four of this Item and information.

The organization shall report to the issuer about the actions specified in paragraph five of this Item, no later than the working day following behind day of transfer to other depositary of the list of clients, and also the provided in paragraph four of this Item of documents and information.

1.14. Within 4 working days after day of the direction according to Item 1.6 of this Instruction of the list of the depositors which did not direct specifying or transfer according to Item 1.12 of this Instruction of the list of depositors to depositary or the holder of the register the organization shall send to each depositor and each person for benefit of whom encumbrance of securities, data on which are included in the specified lists, the notification containing the following data, is established:

full trade name, the address specified in the Unified State Register of Legal Entities, phone numbers and (or) the fax, the e-mail address of the holder of the register, the depositary which granted digital certificates or the depositary performing obligatory centralized storage of securities (centralized accounting of the rights to securities) to which the list of the depositors (the list of depositors) which did not direct specifying is sent;

type, category (type) of securities, data on which contain in the list of the depositors (the list of depositors) which did not direct specifying, and the data allowing to identify the specified securities, containing in accounting registers which maintaining is performed by the organization;

allowing to identify the issuer of securities (person obliged on the specified securities), data on which contain in the list of the depositors (the list of depositors) which did not direct specifying, and containing in accounting registers which maintaining is performed by the organization;

the number of securities, data on which contain in the list of the depositors (the list of the depositors) considered on the custody account of the depositor which did not direct specifying as of day of creation of the list of depositors.

1.15. The organization in case of discharge of depositary agreements shall:

constitute (to fix) lists (list) of persons performing the rights on securities according to Item 1 of article 8.7-1 of the Federal law "About the Security Market";

provide lists of owners of securities upon the demand of the issuer (person obliged on securities) or the Bank of Russia according to article 8.6-1 of the Federal law "About the Security Market";

render to depositors of service, connected with receipt of the income on the securities and (or) the digital rights considered by it in cash and the specified securities which are due to owners other and (or) the digital rights of the money payments acquired and not transferred to depositors about day of receipt of the notification of the Bank of Russia by it;

transfer to depositors all information on the securities and (or) the digital rights acquired by it from the issuer (person obliged on securities or person obliged by the digital rights) or the holder of the register;

perform the actions aimed at providing implementation of the rights of depositors on securities, stipulated in Item 1 and subitems 1 - 4 Items 2 of article 8.9 of the Federal law "About the Security Market";

perform the actions aimed at providing implementation of the rights of depositors by the digital rights in information system.

1.16. The organization in case of discharge of depositary agreements shall perform interaction with depositors, using the registered mailings if the different way of interaction with the depositor is not established by conditions of implementation of depository activity.

Chapter 2. Requirements to implementation of depository activity and activities for maintaining the register of owners of securities in case of discharge of depositary agreements

2.1. In case of discharge of depositary agreements in case of adoption by the Bank of Russia of the decision on cancellation of the license of depositary, and also in case of adoption by depositary of the decision on the liquidation or about reorganization from which the implementation termination by the specified depositary of depository activity will result and (or) about the direction in the Bank of Russia of the plea of nullity of the license of the professional participant of the security market for implementation of depository activity (further - the decision on the termination of implementation of depository activity) depositaries and holders of registers shall observe the requirements provided by Items 2.2 - 2.13 these Instructions.

2.2. The depositary (the holder of the register) who opened the account of the organization in case of receipt of the list of the depositors which did not direct specifying shall check compliance of quantity of the securities considered by the organization on custody accounts concerning which the list of the depositors which did not direct specifying, to the number of the same securities considered on the account of the organization opened by the specified depositary (the holder of the register) is constituted.

2.3. If the number of securities specified in the list of the depositors which did not direct specifying sent to depositary or the holder of the register who opened the account of the organization does not correspond to the number of the same securities considered on the account of the organization, the depositary or the holder of the register who received the specified list shall notify on the specified discrepancy the organization and the Bank of Russia no later than the working day following behind day when the specified discrepancy was revealed in time.

2.4. If the number of securities specified in the list of the depositors which did not direct specifying sent to the depositary which opened the account of the organization corresponds to the number of the same securities considered on the account of the organization, this depositary shall based on information from the specified list to constitute the records about depositors containing information provided by subitems 1.2.1 - 1.2.8 Items 1.2 of this Instruction, and also data on the number of the securities considered on the account of unidentified persons (further - records about depositors).

The depositary which opened the account of the organization within 2 working days from the date of obtaining from the organization of the list of the depositors which did not direct specifying shall provide records about depositors to the depositary which opened to it the custody account of the nominee holder or the holder of the register who opened for it personal account of the nominee holder depending on the one who performs accounting of the rights to securities, information on which contains in the specified list.

Each depositary which received records about depositors according to the paragraph the second this Item within 2 working days from the date of their obtaining provides the specified records about depositors to the depositary which opened to it the custody account of the nominee holder or the holder of the register who opened for it personal account of the nominee holder depending on the one who performs accounting of the rights to securities.

2.5. The depositary which is performing obligatory centralized storage of securities (centralized accounting of the rights to securities) and (or) granted digital certificates, within 10 working days from the date of receipt of the list of the depositors which did not direct specifying (except for case, the stipulated in Item 2.3 presents of the Instruction) or records about depositors shall enlist securities, data on which contain in the specified list or in records about depositors, into the account (accounts) of clients of nominee holders.

If the list of the depositors (record about depositors) which did not direct specifying contains (contain) data on fixing (registration) of encumbrance of securities and (or) restrictions of the order with securities, the depositary which is performing obligatory centralized storage of securities (centralized accounting of the rights to securities) and (or) granted digital certificates in case of transfer of securities into the account (accounts) of clients of nominee holders according to paragraph one of this Item shall provide dead storage of information on encumbrance of securities and (or) about restriction of the order with them.

In case of transfer of securities into the account (accounts) of clients of nominee holders according to paragraph one of this Item the specified securities shall be written off by the depositary which is performing obligatory centralized storage of securities (centralized accounting of the rights to securities) and (or) granted digital certificates from the custody account of the organization or the custody account of the nominee holder of the depositary which provided the list of the depositors (record about depositors) which did not direct specifying.

2.6. The holder of the register within 10 working days from the date of receipt of the list of the depositors which did not direct specifying (except for case, the stipulated in Item 2.3 presents of the Instruction) or records about depositors shall:

enlist securities into the account of unidentified persons and perform dead storage of all information containing in the list of the depositors which did not direct specifying or records about depositors concerning the specified securities on the account of unidentified persons - if the list of the depositors which did not direct specifying or record about depositors do not contain the data provided for opening of personal accounts;

enlist securities which register is specified in part 2 or part 3 of article 24 of the Federal Law of December 7, 2011 to No. 414-FZ "About the central depositary" (The Russian Federation Code, 2011, No. 50, Art. 7356; 2012, No. 31, Art. 4334; No. 53, Art. 7607; 2013, No. 27, Art. 3477; No. 30, Art. 4084; 2015, No. 27, Art. 4001; No. 29, Art. 4357; 2018, No. 17, Art. 2429; No. 32, Art. 5088; No. 53, the Art. 8440) considered on the custody account of the nominee holder into the account of unidentified persons - if the depositor of the organization is the nominee holder on whose custody account accounting of the rights to the specified securities is performed;

enlist the securities considered on the custody account of the nominee holder opened for person performing functions of the nominee holder, data on whom are not entered in the register of professional participants of the security market which maintaining is performed by the Bank of Russia according to Item 18 of article 42 of the Federal law "About the Security Market", into the account of unidentified persons - if depositor of the organization is the specified person;

open personal accounts and enlist on them securities, except as specified, the specified in paragraphs three and the fourth this Item, - if the data provided for opening of personal accounts contain the list of the depositors which did not direct specifying or record about depositors;

make record about encumbrance of securities and (or) about restriction of the order with securities in case of their transfer on personal account - if the list of the depositors (record about depositors) which did not direct specifying contains (contain) data on fixing (registration) of encumbrance of the specified securities and (or) restrictions of the order with the specified securities.

In case of transfer of securities on personal account and (or) the account of unidentified persons the holder of the register shall charge the specified securities off personal account of the organization or personal account of the nominee holder of the depositary which provided lists of the depositors (record about depositors) which did not direct specifying.

2.7. The depositary or the holder of the register who received the list of depositors and (or) documents and information provided by Items 1.10 or 1.12 of this Instruction shall store and provide information from the list of depositors and (or) documents and information concerning person from the list of depositors to this person or his representative within at least 5 years from the date of receipt of the list of depositors and (or) documents and information if other is not provided by the paragraph the second this Item.

Storage of the list of depositors and provision of information from it stop according to the decision of depositary or the holder of the register who received the specified list of depositors before the expiration provided by paragraph one of this Item in case of write-off of securities from the account of the organization.

2.7 (1). The depositary which received from the organization or other depositary at which to it the custody account of the nominee holder, the request specified in subitem 1.1.4 of Item 1.1 of this Instruction is opened within one working day from the date of its obtaining sends the specified request to the depositor on which custody account such depositary performs accounting of the rights to the digital certificates granted by the organization.

2.7 (2). The depositary sends to depositary at which to it the custody account of the nominee holder, data specified in subitem 1.1.4 of Item 1.1 of this Instruction received by it from the depositors within one working day from the date of their obtaining is opened.

2.7 (3). In case of non receipt from the depositor of the data specified in subitem 1.1.4 of Item 1.1 of this Instruction, in time, established by the organization for acceptance of instructions, the depositary considering the rights to the digital certificates granted by the organization on the custody account (except for custody accounts of the nominee holder and the custody account of the foreign nominee holder), no later than one working day following behind day of the termination of the term established by the organization for acceptance of instructions shall send everything the data which are available for it concerning persons performing the rights under digital certificates and about the specified digital certificates and their quantity by each such person to the depositary which opened to it the custody account of the nominee holder on which accounting of the rights to the specified digital certificates is performed.

Each depositary which received data according to paragraph one of this Item within one working day from the date of their obtaining provides the specified information, and also data on depositors - the nominee holders who provided the specified information, to the depositary which opened to it the custody account of the nominee holder on which accounting of the rights to the digital certificates granted by the organization is performed.

2.7 (4). Depositary, to which according to Items 1.9 (1) or 1.9(2) these Instructions were transferred the digital rights, shall isolate them in information system from the digital rights belonging to this depositary and also from the digital rights belonging to its depositors concerning which digital certificates (if such depositary grants digital certificates on the specified digital rights) are granted and to enlist them into the account of unidentified persons no later than the working day following behind day of receipt of the specified digital rights in the order of depositary in information system.

2.8. The depositary which received the list of clients, and also documents and information according to the paragraph the fifth Item 1.13 of this Instruction shall perform their storage and provision of information from the list of depositors and (or) documents and information according to paragraph one of Item 2.7 of this Instruction.

In case of obtaining by the depositary specified in paragraph one of this Item, instructions from the issuer of securities (person obliged on securities), data on which contain in the list of clients, about transfer to other depositary of the list of clients, the specified in paragraph four of Item 1.13 of this Instruction of documents and information, the depositary shall perform this specifying.

2.9. The depositary or the holder of the register who opened the account of the organization, from the date of, the disclosure by the Bank of Russia of information on decision making following behind day about cancellation of the license of depositary concerning the organization, shall stop transfer into the account of the organization of securities and transfer of payments for them if other is not provided by the paragraph the second this Item.

The depositary or the holder of the register who opened the account of the organization shall enlist into the account of the organization securities in connection with implementation of the rights of depositors on securities.

2.9 (1). The depositary considering the rights to the digital certificates granted by the organization no later than the day following behind day of disclosure by the Bank of Russia of information on decision making about cancellation of the license of depositary concerning the organization shall stop the transactions connected with the digital certificates granted by the organization, except for transactions of write-off of the specified digital certificates from custody accounts in connection with their repayment.

2.10. In case of acceptance by depositary (except for the depositary performing obligatory centralized storage of securities (centralized accounting of the rights to securities) of the decision on the termination of implementation of depository activity the specified depositary shall send to each depositor the registered mailing if the different way of interaction with the depositor is not established by conditions of implementation of depository activity, and at the same time to place (to publish) on the official site on the Internet the message containing the following information:

the term of acceptance of instructions of depositors which cannot be less than 2 months;

about need of provision by the depositor of account details of depot or personal account for the register to which shall be transferred by depositary securities of the depositor (are transferred);

about need of provision of the data necessary for making of record about transition of the digital rights, except for the utilitarian digital rights concerning which the depositary grants digital certificates, in the order of the depositor or person specified by the depositor in information system;

about need of provision by the owner of the digital certificate of the data necessary for making of record about transition of the utilitarian digital rights concerning which the depositary grants digital certificates, in the order of the depositor or person specified by the depositor in information system;

about need of provision by the depositor of bank account details on which money shall be listed by depositary;

procedure of return of property to depositors.

2.11. In case of acceptance by the depositary performing obligatory centralized storage of securities (centralized accounting of the rights to securities) the specified depositary sends decisions on the termination of implementation of depository activity to the issuer of securities (person obliged on securities) concerning which the depositary is the face performing obligatory centralized storage (centralized accounting of the rights to securities), the notification on the specified decision the registered mailing if the different way of interaction with the issuer (person obliged on securities) is not established by the contract with the issuer (person obliged on securities).

2.12. The depositary in case of decision making about the termination of implementation of depository activity, except for case of adoption of the decision on action making by it, stipulated in Item 5.9 Provisions of the Bank of Russia of May 13, 2016 No. 542-P "About requirements to implementation of depository activity when forming records based on the documents relating to conducting depositary accounting, and also the documents connected taking into account and transition of the rights to securities, and in case of storage of the specified documents", No. registered by the Ministry of Justice of the Russian Federation on June 29, 2016 42678, shall make the following actions:

directed to return of property - in case of receipt of instructions of depositors during the term of the acceptance of instructions of depositors provided by the paragraph the second Item 2.10 of this Instruction.

provided by Items 1. 6, 1.8 - 1.15 presents of the Instruction, - in case of non receipt of instructions of depositors during the term of the acceptance of instructions of depositors provided by the paragraph the second Item 2.10 of this Instruction.

2.13. Depositaries and holders of the register in case of accomplishment by the depositary which made the decision on the termination of implementation of depository activity, actions according to requirements, stipulated in Item 2.12 these Instructions perform actions according to the requirements provided by Items 2.2 - 2.7(4) these Instructions.

Chapter 3. Final provisions

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

3.2. If on the date of entry into force of this Instruction the organization has unexecuted obligations to depositors, the specified organization fulfills these obligations with observance of the requirements provided by Chapters 1 and 2 of this Instruction, and also requirements of subitems 3.2.1 - 3.2.3 presents of Item.

3.2.1. If the terms provided by Items 1.1 and 1.2 of this Instruction expired on the date of entry into force of this Instruction, the requirement for placement (publication) and the direction of the message, the stipulated in Item 1.1 presents of the Instruction, and the requirement for creation of lists of depositors are not applied to the specified organization.

3.2.2. If on the date of entry into force of this Instruction the term during which instructions of depositors are accepted did not expire, acceptance of instructions of depositors comes to the end in the specified time.

3.2.3. If information on depositors from which the organization does not receive instructions about method of return of property to them and also information on the securities considered on custody accounts of the specified depositors on the date of entry into force of this Instruction is sent to depositary or it is not required to the holder of the register who opened the account of the organization, the direction by the organization of lists of the depositors which did not direct specifying to depositary or the holder of the register who opened the account of the organization.

 

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