INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of June 27, 2019 No. 5180-U

About order of registration the Bank of Russia of documents of the organizer of trade, the clearing organization, the central partner, repository and the changes made to them, procedure and terms of approval by the Bank of Russia of the changes made to internal documents of the central depositary, approval procedure by the Bank of Russia of regulations on committee of users of repository services

This Instruction based on part 3 of article 27 of the Federal Law of November 21, 2011 No. 325-FZ "About the organized biddings" (The Russian Federation Code, 2011, No. 48, Art. 6726; 2012, No. 53, Art. 7607; 2013, No. 30, Art. 4084; No. 51, Art. 6699; 2015, No. 27, Art. 4001; No. 29, Art. 4357; 2016, No. 1, Art. 47, Art. 48; No. 27, Art. 4225; 2017, No. 30, Art. 4456; 2018, No. 24, Art. 3399; No. 32, Art. 5103; No. 53, the Art. 8440) (further - the Federal Law of November 21, 2011 No. 325-FZ), Item 5 parts of 1 Article 25, parts 2 of article 27 of the Federal Law of February 7, 2011 No. 7-FZ "About clearing, clearing activities and the central partner" (The Russian Federation Code, 2011, No. 7, Art. 904; No. 48, Art. 6728; No. 49, Art. 7040, Art. 7061; 2012, No. 53, Art. 7607; 2013, No. 30, Art. 4084; 2014, No. 11, Art. 1098; 2015, No. 27, Art. 4001; No. 29, Art. 4357; 2016, No. 1, Art. 23, Art. 47; 2017, No. 30, Art. 4456; 2018, No. 24, Art. 3399; No. 31, Art. 4861; No. 32, Art. 5103; No. 53, the Art. 8440) (further - the Federal Law of February 7, 2011 No. 7-FZ), parts 2 of Article 15. 6, parts 4 of Article 15. 7, parts 4 of Article 15. 9, Item 38 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, the Art. 3169) (further - the Federal Law of April 22, 1996 No. 39-FZ), parts 5 of article 9 of the Federal Law of December 7, 2011 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, 8440) (further - the Federal Law of December 7, 2011 No. 414-FZ) establishes the Art.:

order of registration the Bank of Russia of the documents of the organizer of trade provided by part 1 of article 27 of the Federal Law of November 21, 2011 No. 325-FZ, and the changes made to them, the documents of the clearing organization provided by part 1 of article 27 of the Federal Law of February 7, 2011 No. 7-FZ, and the changes made to them, the documents of the central partner provided by part 1.1 of article 27 of the Federal Law of February 7, 2011 No. 7-FZ, and the changes made to them, the documents of repository provided by part 2 of Article 15. 6, part 4 of article 15.7 of the Federal Law of April 22, 1996 No. 39-FZ, and the changes made to them;

procedure and terms of approval by the Bank of Russia of the changes made to the internal documents of the central depositary provided by Items 1, of 2, 4 - 8, 10 and 11 parts 1 of article 9 of the Federal Law of December 7, 2011 No. 414-FZ;

approval procedure Bank of Russia of regulations on committee of users of repository services.

Chapter 1. Order of registration the Bank of Russia of documents of the organizer of trade, the clearing organization, the central partner, repository and the changes made to them

1.1. The order of registration the Bank of Russia of documents of the organizer of trade, the clearing organization, the central partner, repository provided by Items 1. 2, 1.4 - 1.11 presents of the Instruction, do not extend to registration of the specified documents when licensing the exchange, the license of trade system, the license for implementation of clearing activities, the license for implementation of repository activities or in case of assignment of the status of the central partner.

1.2. For document registration, provided by part 1 of article 27 of the Federal Law of November 21, 2011 No. 325-FZ, parts 1 and 1.1 of article 27 of the Federal Law of February 7, 2011 No. 7-FZ, part 2 of Article 15. 6, part 4 of article 15.7 of the Federal Law of April 22, 1996 No. 39-FZ (further - internal documents), the organizer of trade, the clearing organization, the central partner, repository shall submit the following documents to the Bank of Russia.

1.2.1. The statement for registration of internal documents containing the following data:

full trade name of the organizer of trade (the clearing organization, the central partner, repository) in Russian;

the primary state registration number (further - PSRN) appropriated to the organizer of trade (the clearing organization, the central partner, repository);

identification taxpayer number (further - INN) appropriated to the organizer of trade (the clearing organization, the central partner, repository);

the address of the organizer of trade (the clearing organization, the central partner, repository) specified in the Unified State Register of Legal Entities (further - the USRLE);

names the organizer of trade (the clearing organization, the central partner, repository) of the internal documents represented to the Bank of Russia;

request for registration of internal documents;

the list of documents, the internal documents enclosed to the application for registration, the including information on the name and the number of sheets of each document, the number of sheets of set of documents in general.

1.2.2. Internal documents of the organizer of trade (clearing organization, central partner, repository).

1.2.3. The minutes (decision) of authorized body of the organizer of trade (the clearing organization, the central partner, repository) (the statement from it) which contain information on approval of internal documents of the organizer of trade by it (the clearing organization, the central partner, repository).

1.2.4. Documents of the organizer of trade (the clearing organization, the central partner, repository), references to which are contained in internal documents of the organizer of trade (the clearing organization, the central partner, repository) if the specified documents were not submitted to the Bank of Russia for registration earlier (approvals, approvals).

1.3. For registration of the changes made to internal documents, the organizer of trade (the clearing organization, the central partner, repository) shall submit the following documents to the Bank of Russia.

1.3.1. The statement for registration of the changes made to internal documents containing the following data:

full trade name of the organizer of trade (the clearing organization, the central partner, repository) in Russian;

PSRN appropriated to the organizer of trade (the clearing organization, the central partner, repository);

INN appropriated to the organizer of trade (the clearing organization, the central partner, repository);

the address of the organizer of trade (the clearing organization, the central partner, repository) specified in the USRLE;

names the organizer of trade (the clearing organization, the central partner, repository) of the internal documents represented to the Bank of Russia to which changes are made;

number and document date (numbers and document dates) about payment by the organizer of trade (the clearing organization) of the state duties (state fees) collected (levied) according to paragraph one of subitem 57 or subitem 57.1 of Item 1 of article 333.33 of the Tax Code of the Russian Federation (The Russian Federation Code 2000, No. 32, Art. 3340; 2019, No. 25, Art. 3167), and also name of the payer and his bank details (bank name of the payer, bank identification code of payer bank, name and amount of payment);

request for registration of the changes made to internal documents;

the list of documents, the changes enclosed to the application for registration made to internal documents, the including information on the name and the number of sheets of each document, the number of sheets of set of documents in general.

1.3.2. The changes made to internal documents of the organizer of trade (the clearing organization, the central partner, repository) in the form of new edition of the specified documents.

1.3.3. The minutes (decision) of authorized body of the organizer of trade (the clearing organization, the central partner, repository) (the statement from it) which contain information on approval of the changes made to internal documents.

1.3.4. Documents of the organizer of trade (the clearing organization, the central partner, repository), references to which are contained in the new edition of internal documents of the organizer of trade (the clearing organization, the central partner, repository) if the specified documents were not submitted to the Bank of Russia for registration earlier (approvals, approvals).

1.3.5. The document containing list of the changes made to internal documents with the description of the reasons of their introduction.

1.4. The organizer of trade (the clearing organization, the central partner, repository) shall send to the Bank of Russia documents, stipulated in Item 1.2 or Item 1.3 of this Instruction, in the form of electronic documents according to 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", the registered Ministry of Justice of the Russian Federation on January 11, 2018 No. 49605 (further - the Instruction of the Bank of Russia No. 4600-U).

The documents provided by subitem 1.2.1 of Item 1. 2, subitem 1.3.1 of Item 1.3 of this Instruction, shall be directed in the form of the file created with use of the software posted on the official site of the Bank of Russia on the Internet (further - Internet network), for filling of the specified documents.

The documents provided by subitem 1.2.3 of Item 1.2 and subitem 1.3.3 of Item 1.3 of this Instruction shall be directed in the form of files with the *.pdf expansion.

The document provided by subitem 1.3.5 of Item 1.3 of this Instruction shall be directed in the form of the file with the *.docx (*.rtf) expansion.

The documents provided by subitems 1.2.2 and 1.2.4 of Item 1.2 and subitems 1.3.2 and 1.3.4 of Item 1.3 of this Instruction shall be directed in the form of files with the *.pdf and *.docx (*.rtf) expansions. Title pages of the specified documents shall contain marks about their approval of trade by authorized body of the organizer (the clearing organization, the central partner, repository) and dates of their approval.

1.5. The Bank of Russia shall perform documents, stipulated in Item 1.2 or Item 1.3 of this Instruction:

in case of representation by the organizer of trade of the documents provided by part 1 of article 27 of the Federal Law of November 21, 2011 No. 325-FZ and the changes made to them - for the purpose of detection of lack of the bases for refusal established by part 5 of article 27 of the Federal Law of November 21, 2011 No. 325-FZ in document registration of the organizer of trade and the changes made to them;

in case of representation by the clearing organization (the central partner) of the documents provided by parts 1 and 1.1 of article 27 of the Federal Law of February 7, 2011 No. 7-FZ and the changes made to them - for the purpose of detection of lack of the bases for refusal established by part 4 of article 27 of the Federal Law of February 7, 2011 No. 7-FZ in document registration of the clearing organization (the central partner) and the changes made to them;

in case of representation by repository of the documents provided by part 2 of Article 15. 6, part 4 of article 15.7 of the Federal Law of April 22, 1996 No. 39-FZ, and the changes made to them, and also in case of absence in the specified documents of incomplete and (or) unreliable information - for the purpose of identification of compliance of the documents of repository provided by part 2 of Article 15. 6, part 4 of article 15.7 of the Federal Law of April 22, 1996 No. 39-FZ, and the changes made to them to requirements of the Federal Laws regulating repository activities, and the regulations of the Bank of Russia adopted according to them;

for the purpose of identification of observance by the organizer of trade (the clearing organization, the central partner, repository) of the requirements to registration and completeness provided by Items 1.2 - 1.4 presents of the Instruction.

1.6. In case of identification of violations of requirements to registration stipulated in Item 1.2 or Item 1.3 of this Instruction of documents, and also representation of incomplete set of documents the Bank of Russia no later than 5 working days from the date of their obtaining shall direct to the organizer of trade (the clearing organization, the central partner, repository) the notice to produce of the lacking or corrected documents, the containing specifying to violations of requirements to document creation and (or) the list of missing documents (further - the notice of documents submission).

The notice of documents submission shall be sent to the organizer of trade (the clearing organization, the central partner, repository) in the Bank of Russia in electronic form according to the Instruction of the Bank of Russia No. 4600-U.

1.7. The organizer of trade (the clearing organization, the central partner, repository) shall direct documents according to the notice of documents submission in time, not exceeding 5 working days from the date of the direction the Bank of Russia of the notice of documents submission. Date of submission of documents to the Bank of Russia is date of their registration by the Bank of Russia.

1.8. In case of non-presentation by the organizer of trade (the clearing organization, the central partner, repository) of documents, in time, the stipulated in Item 1.7 presents of the Instruction, or the submission of documents specified in the notice of documents submission not in full the Bank of Russia no later than 7 working days from the date of the termination of term, the stipulated in Item 1.7 presents of the Instruction, shall notify the organizer of trade (the clearing organization, the central partner, repository) on the termination of consideration of documents, stipulated in Item 1.2 or Item 1.3 of this Instruction, in electronic form according to the Instruction of the Bank of Russia No. 4600-U.

1.9. The Bank of Russia shall make the decision on registration (on refusal in registration) internal documents and the changes made to them in the following terms:

in time, No. 325-FZ established by part 3 of article 27 of the Federal Law of November 21, 2011, - in case of representation by the organizer of trade of the documents provided by part 1 of article 27 of the Federal Law of November 21, 2011 No. 325-FZ and the changes made to them;

in time, No. 7-FZ established by part 2 of article 27 of the Federal Law of February 7, 2011, - in case of representation by the clearing organization (the central partner) of the documents provided by parts 1 and 1.1 of article 27 of the Federal Law of February 7, 2011 No. 7-FZ and the changes made to them;

in time, not exceeding 30 working days from the date of adoption of documents by the Bank of Russia, stipulated in Item 1.2 or Item 1.3 of this Instruction, - in case of representation by repository of the documents provided by part 2 of Article 15. 6, part 4 of article 15.7 of the Federal Law of April 22, 1996 No. 39-FZ, and the changes made to them.

In the cases provided by paragraph one of Item 1.6 of this Instruction, day of adoption of documents by the Bank of Russia stipulated in Item 1.2 or Item 1.3 of this Instruction, is day of representation by the organizer of trade (the clearing organization, the central partner, repository) in the Bank of Russia of documents according to the notice of documents submission.

1.10. The Bank of Russia shall make the decision on refusal in registration of internal documents and the changes made to them in case of identification:

the bases provided by part 5 of article 27 of the Federal Law of November 21, 2011 No. 325-FZ - in case of representation by the organizer of trade of the documents provided by part 1 of article 27 of the Federal Law of November 21, 2011 No. 325-FZ and the changes made to them;

the bases provided by part 4 of article 27 of the Federal Law of February 7, 2011 No. 7-FZ - in case of representation by the clearing organization (the central partner) of the documents provided by parts 1 and 1.1 of article 27 of the Federal Law of February 7, 2011 No. 7-FZ and the changes made to them;

discrepancies of the documents provided by part 2 of Article 15. 6, part 4 of article 15.7 of the Federal Law of April 22, 1996 No. 39-FZ, and the changes made to them to requirements of the Federal Laws regulating repository activities, and the regulations of the Bank of Russia, availability adopted according to them in the specified documents of repository of incomplete and (or) unreliable information - in case of representation by repository of the documents provided by part 2 of Article 15. 6, part 4 of article 15.7 of the Federal Law of April 22, 1996 No. 39-FZ, and the changes made to them.

1.11. The decision on registration (about refusal in registration) internal documents and the changes made to them shall be drawn up in the form of the notice of registration (about refusal in registration) the specified documents and the changes made to them containing decision date, and in case of decision making about refusal in registration - also reasons for the specified decision.

The Bank of Russia no later than term, the stipulated in Item 1.9 presents of the Instruction, shall send the notice of registration (about refusal to registration) internal documents and the changes made to them to the organizer of trade (the clearing organization, the central partner, repository) according to the Instruction of the Bank of Russia No. 4600-U.

In case of adoption by the Bank of Russia of the decision on registration of internal documents and changes made to them, except for the document of the organizer of trade, stipulated in Item 4 parts 1 of article 27 of the Federal Law of November 21, 2011 No. 325-FZ, the specified internal documents and the changes in form of electronic documents made to them shall be posted by the Bank of Russia on its official site in Internet network no later than the working day following behind day of the direction of the notification on their registration.

Chapter 2. Procedure and terms of approval by the Bank of Russia of the changes made to internal documents of the central depositary

2.1. For review the changes made to the internal documents provided by Items 1, of 2, 4 - 8, 10 and 11 parts 1 of article 9 of the Federal Law of December 7, 2011 No. 414-FZ (further - the changes made to documents), the central depositary shall submit the following documents to the Bank of Russia.

2.1.1. The statement for approval of the changes made to documents containing the following data:

full trade name of the central depositary in Russian;

PSRN appropriated to the central depositary;

INN appropriated to the central depositary;

the address of the central depositary specified in the USRLE;

names of the documents submitted to the Bank of Russia by the central depositary provided by Items 1, of 2, 4 - 8, 10 and 11 parts 1 of article 9 of the Federal Law of December 7, 2011 No. 414-FZ to which changes are made;

request for approval of the changes made to documents;

the list of documents, the changes enclosed to the application for approval made to documents, the including information on the name and the number of sheets of each document, the number of sheets of set of documents in general.

2.1.2. The changes made to documents of the central depositary in the form of new edition of the documents provided by Items 1, of 2, 4 - 8, 10 and 11 parts 1 of article 9 of the Federal Law of December 7, 2011 No. 414-FZ.

2.1.3. The minutes (decision) of authorized body of the central depositary (the statement from it) which contain information on approval of the changes made to documents.

2.1.4. The minutes of committee of users of services of the central depositary (the statement from it) which contain the decisions made by committee of users of the central depositary by results of consideration of the changes made to the documents provided by Items 1, 5 - 7 and 10 parts 1 of article 9 of the Federal Law of December 7, 2011 No. 414-FZ in the form of new edition of the specified documents, - by consideration of documents by committee of users of services of the central depositary.

2.1.5. Documents of the central depositary, references to which are contained in the new edition of the documents provided by Items 1, of 2, 4 - 8, 10 and 11 parts 1 of article 9 of the Federal Law of December 7, 2011 No. 414-FZ, if the specified documents were not submitted to the Bank of Russia for review earlier (registration, approvals).

2.1.6. The document containing list of the changes made to documents provided by Items 1, of 2, 4 - 8, 10 and 11 parts 1 of article 9 of the Federal Law of December 7, 2011 No. 414-FZ, with the description of the reasons of their introduction.

2.2. The central depositary shall send to the Bank of Russia documents, the stipulated in Item 2.1 presents of the Instruction, in the form of electronic documents according to the Instruction of the Bank of Russia No. 4600-U.

The document provided by subitem 2.1.1 of Item 2.1 of this Instruction shall be directed in the form of the file created with use of the software posted on the official site of the Bank of Russia in Internet network, for filling of the specified document.

The documents provided by subitems 2.1.3 and 2.1.4 of Item 2.1 of this Instruction shall be directed in the form of files with the *.pdf expansion.

The document provided by subitem 2.1.6 of Item 2.1 of this Instruction shall be directed in the form of the file with the *.docx (*.rtf) expansion.

The documents provided by subitems 2.1.2 and 2.1.5 of Item 2.1 of this Instruction shall be directed in the form of files with the *.pdf and *.docx (*.rtf) expansions. Title pages of the specified documents shall contain marks about their approval by authorized body of the central depositary and date of their approval.

2.3. The Bank of Russia shall perform documents, the stipulated in Item 2.1 presents of the Instruction, for the purpose of identification:

compliance of the changes made to documents, to requirements of the Federal Laws regulating activities of the central depositary, and the regulations of the Bank of Russia adopted according to them;

absence in the changes made to documents, incomplete and (or) unreliable information;

observance by the central depositary of the requirements to registration and completeness provided by Items 2.1 and 2.2 of this Instruction respectively.

2.4. In case of identification of violations of requirements to registration the stipulated in Item 2.1 presents of the Instruction of documents, and also representation of incomplete set of the specified documents the Bank of Russia no later than 5 working days from the date of their obtaining shall send to the central depositary the notice of documents submission.

The notice of documents submission shall be sent to the central depositary by the Bank of Russia in electronic form according to the Instruction of the Bank of Russia No. 4600-U.

2.5. The central depositary shall direct documents according to the notice of documents submission in time, not exceeding 5 working days from the date of the direction the Bank of Russia of the notice of documents submission. Date of submission of documents to the Bank of Russia is date of their registration by the Bank of Russia.

2.6. In case of non-presentation by the central depositary of documents, in time, the stipulated in Item 2.5 presents of the Instruction, or the submission of documents specified in the notice of documents submission not in full the Bank of Russia no later than 7 working days from the date of the termination of term, the stipulated in Item 2.5 presents of the Instruction, shall notify the central depositary on the termination of consideration of documents, the stipulated in Item 2.1 presents of the Instruction, in electronic form according to the Instruction of the Bank of Russia No. 4600-U.

2.7. The Bank of Russia shall make the decision on approval (on refusal in approval) the changes made to documents, in time, not exceeding 30 working days from the date of acceptance by the Bank of Russia of the specified documents.

In the cases provided by paragraph one of Item 2.4 of this Instruction, day of adoption of documents by the Bank of Russia, the stipulated in Item 2.1 presents of the Instruction day of submission by the central depositary to the Bank of Russia of the documents specified in the notice of documents submission is.

2.8. The Bank of Russia shall make the decision on refusal in approval of the changes made to documents in case of identification:

discrepancies of the changes made to documents, to requirements of the Federal Laws regulating activities of the central depositary, and the regulations of the Bank of Russia adopted according to them;

incomplete and (or) unreliable information in the changes made to documents.

2.9. The decision on approval (about refusal in approval) the changes made to documents shall be drawn up in the form of the notification on approval (about refusal in approval) the specified changes containing decision date, and in case of decision making about refusal in approval of changes - also reasons for the specified decision.

The Bank of Russia no later than term, the stipulated in Item 2.7 presents of the Instruction, shall direct the notification on approval of the changes made to documents, to the central depositary according to the Instruction of the Bank of Russia No. 4600-U.

In case of adoption by the Bank of Russia of the decision on approval of the changes made to documents, the specified documents in the form of electronic documents shall be posted by the Bank of Russia on its official site in Internet network no later than the working day following behind day of the direction of the notification on their approval.

Chapter 3. Approval procedure of regulations on committee of users of repository services

3.1. The approval procedure the Bank of Russia of regulations on committee of users of repository services provided by Items 3.2 - 3.10 these Instructions, does not extend to approval of regulations on committee of users of repository services when licensing for implementation of repository activities.

3.2. For approval of regulations on committee of users of repository services the repository shall submit the following documents to the Bank of Russia.

3.2.1. The statement for approval of regulations on committee of users of repository services containing the following data:

full trade name of repository in Russian;

PSRN appropriated to repository;

INN appropriated to repository;

the repository address specified in the USRLE;

request for approval of regulations on committee of users of repository services;

the list of documents, the users of repository services enclosed to the application for approval of regulations on committee, the including information on the name and the number of sheets of each document, the number of sheets of set of documents in general.

3.2.2. Regulations on committee of users of repository services in the new edition.

3.2.3. The minutes (decision) of authorized body of repository (the statement from it) which contain information on approval of regulations on committee of users of repository services.

3.2.4. Documents of repository, references to which are contained in regulations on committee of users of repository services, if the specified documents were not submitted to the Bank of Russia for registration (approval) earlier.

3.3. The repository shall send to the Bank of Russia documents, the stipulated in Item 3.2 presents of the Instruction, in the form of electronic documents according to the Instruction of the Bank of Russia No. 4600-U.

The document provided by subitem 3.2.1 of Item 3.2 of this Instruction shall be directed in the form of the file created with use of the software posted on the official site of the Bank of Russia in Internet network, for filling of the specified document.

The document provided by subitem 3.2.3 of Item 3.2 of this Instruction shall be directed in the form of the file with the *.pdf expansion.

The documents provided by subitems 3.2.2 and 3.2.4 of Item 3.2 of this Instruction shall be directed in the form of files with the *.pdf and *.docx (*.rtf) expansions. Title pages of the specified documents shall contain marks about their approval by authorized body of repository and date of their approval.

3.4. The Bank of Russia shall perform documents, the stipulated in Item 3.2 presents of the Instruction, for the purpose of identification:

compliance of regulations on committee of users of repository services to requirements of the Federal Laws regulating repository activities, and regulations of the Bank of Russia adopted according to them;

absence in regulations on committee of users of repository services of incomplete and (or) unreliable information;

observance by repository of the requirements to registration and completeness provided by Items 3.2 and 3.3 of this Instruction respectively.

3.5. In case of identification of violations of requirements to registration the stipulated in Item 3.2 presents of the Instruction of documents, and also representation of incomplete set of the specified documents the Bank of Russia no later than 5 working days from the date of their obtaining shall send to repository the notice of documents submission.

The notice of documents submission shall be sent to repository by the Bank of Russia in electronic form according to the Instruction of the Bank of Russia No. 4600-U.

3.6. The repository shall direct documents according to the notice of documents submission in time, not exceeding 5 working days from the date of the direction the Bank of Russia of the notice of documents submission. Date of submission of documents to the Bank of Russia is date of their registration by the Bank of Russia.

3.7. In case of non-presentation by repository of documents, in time, the stipulated in Item 3.6 presents of the Instruction, or the submission of documents specified in the notice of documents submission not in full the Bank of Russia no later than 7 working days from the date of the termination of term, the stipulated in Item 3.6 presents of the Instruction, shall notify repository on the termination of consideration of documents, the stipulated in Item 3.2 presents of the Instruction, in electronic form according to the Instruction of the Bank of Russia No. 4600-U.

3.8. The Bank of Russia shall make the decision on approval (on refusal in approval) regulations on committee of users of repository services in time, not exceeding 30 working days from the date of adoption of documents by the Bank of Russia, the stipulated in Item 3.2 presents of the Instruction.

In the cases provided by paragraph one of Item 3.5 of this Instruction, day of adoption of documents by the Bank of Russia, the stipulated in Item 3.2 presents of the Instruction day of representation by repository in the Bank of Russia of the documents specified in the notice of documents submission is.

3.9. The Bank of Russia shall make the decision on refusal in approval of regulations on committee of users of repository services in case of identification:

discrepancies of regulations on committee of users of repository services to requirements of the Federal Laws regulating repository activities, and regulations of the Bank of Russia adopted according to them;

incomplete and (or) unreliable information in regulations on committee of users of repository services.

3.10. The decision on approval (about refusal in approval) regulations on committee of users of repository services shall be drawn up in the form of the notification on approval (about refusal in approval) the specified provision containing decision date, and in case of decision making about refusal in approval - also reasons for the specified decision.

The Bank of Russia no later than term, the stipulated in Item 3.8 presents of the Instruction, shall send the notification on approval (about refusal in approval) regulations on committee of users of repository services to repository according to the Instruction of the Bank of Russia No. 4600-U.

In case of adoption by the Bank of Russia of the decision on approval of regulations on committee of users of repository services the specified document in electronic form shall be posted by the Bank of Russia on its official site in Internet network no later than the working day following behind day of the direction of the notification on its approval.

Chapter 4. Final provisions

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

4.2. From the date of entry into force of this Instruction to recognize invalid:

Instruction of the Bank of Russia of February 8, 2015 No. 3562-U "About procedure and terms of approval by the Bank of Russia of the changes made to internal documents of the central depositary", registered by the Ministry of Justice of the Russian Federation on February 26, 2015 No. 36224;

Instruction of the Bank of Russia of June 16, 2016 No. 4045-U "About order of registration the Bank of Russia of rules of implementation of repository activities, rules of internal control, internal audit and risk management, and also the changes made to them and approval procedure the Bank of Russia of regulations on committee of users of repository services", registered by the Ministry of Justice of the Russian Federation on August 12, 2016 No. 43220;

Instruction of the Bank of Russia of July 28, 2016 No. 4085-U "About order of registration the Bank of Russia of documents of the organizer of trade, the clearing organization or the central partner and the changes made to them", registered by the Ministry of Justice of the Russian Federation on August 23, 2016 No. 43329;

subitem 1.13 of Item 1 of the Instruction of the Bank of Russia of May 11, 2017 No. 4370-U "About modification of separate regulations of the Bank of Russia in connection with change of structure of the Bank of Russia", No. 46901 registered by the Ministry of Justice of the Russian Federation on May 31, 2017;

subitems 1.7 and 1.22 of Item 1 of the Instruction of the Bank of Russia of June 13, 2017 No. 4408-U "About modification of separate regulations of the Bank of Russia in connection with change of structure of the Bank of Russia", No. 47358 registered by the Ministry of Justice of the Russian Federation on July 11, 2017.

 

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