INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of February 2, 2021 No. 5720-U

About the notification procedure of faces included in the list of insiders about their inclusion in such list and exception of it

This Instruction based on Item 2 of part 1 of article 9 of the Federal Law of July 27, 2010 No. 224-FZ "About counteraction to unauthorized use of the insider information and to market manipulation and about modification of separate legal acts of the Russian Federation" (The Russian Federation Code, 2010, No. 31, Art. 4193; 2018, No. 32, the Art. 5103) establishes the notification procedure of faces included in the list of insiders about their inclusion in such list and exception of it.

1. The legal entities specified in Items 1, 3 - 8, the 11 and 12 article 4 of the Federal Law of July 27, 2010 No. 224-FZ "About counteraction to unauthorized use of the insider information and to market manipulation and about modification of separate legal acts of the Russian Federation" (The Russian Federation Code, 2010, No. 31, Art. 4193; 2020, No. 14, of the Art. 2027) (further - the Federal Law of July 27, 2010 No. 224-FZ), the bodies and the organizations specified in Item 9 of article 4 of the Federal Law of July 27, 2010 to No. 224-FZ (further in case of joint mentioning - the notifying persons), shall send to the persons included in the list of insiders (further respectively - the list, insiders) (to persons excluded from the list), notifications on their inclusion in the list (exception of the list) (further - notifications) in time which is not exceeding 7 working days from the date of their inclusion in the list (exception of the list). The recommended sample of the notification on inclusion of persons in the list (exception of the list) is given in appendix to this Instruction.

In case of receipt from the insider (person excluded from the list) of request about the direction to it to the copy of the notification the notifying person shall in time, not exceeding 7 working days from the date of receipt of the specified request, to provide to the insider (person excluded from the list) the copy of the notification (in the presence), and in case of its absence at the notifying person - information on the fact and date of its inclusion in the list (exception of the list).

1.1. The notification shall contain sequence number and date of creation of the notification, and also:

1.1.1. concerning the notifying person the following data:

the name (for the notifying person being the Russian legal entity - non-profit organization, the body, the organization specified in Item 9 of article 4 of the Federal Law of July 27, 2010 to No. 224-FZ, the foreign legal entity), full trade name (for the notifying person being the Russian legal entity - the commercial organization);

the location and (or) the address for the direction of post correspondence (in the presence);

the primary state registration number (further - PSRN), identification taxpayer number (further - INN) (in the presence) (for the notifying person being the Russian legal entity, body, the organization specified in Item 9 of article 4 of the Federal Law of July 27, 2010 to No. 224-FZ);

code of the foreign organization (further - KIO) (in the presence) and digital country code of registration on the All-Russian qualifier of the countries of the world (further - OKSM) (for the notifying person being the foreign legal entity not having PSRN, INN but having KIO);

registration number in country of incorporation (for the notifying person being the foreign legal entity not having PSRN, INN and KIO);

the website address on the Internet (further - Internet network) (in the presence);

contact phone number and (or) the e-mail address for addresses of insiders (persons excluded from the list);

number of Item of article 4 of the Federal Law of July 27, 2010 No. 224-FZ carrying the notifying person to insiders;

1.1.2. concerning the insider (person excluded from the list) who is the Russian or foreign legal entity (the foreign organization, not being the legal entity according to the country right where this organization is founded), the following data:

full trade name (for the insider (person excluded from the list) who is the Russian legal entity - the commercial organization), the name (for the insider (person excluded from the list) who is the Russian legal entity - non-profit organization, the foreign legal entity, the foreign organization, not being the legal entity according to the country right where this organization is founded);

the location and (or) the address for the direction of post correspondence (in the presence);

PSRN, INN (in the presence) (for the insider (person excluded from the list) who is the Russian legal entity);

KIO (in the presence) and OKSM (for the insider (person excluded from the list) who is the foreign legal entity, the foreign organization not being the legal entity according to the country right where this organization is founded, not having PSRN, INN, but the having KIO);

registration number in country of incorporation (for the insider (person excluded from the list) who is the foreign legal entity, the foreign organization not being the legal entity according to the country right where this organization is founded, not having PSRN, INN and KIO);

the financial instrument, foreign currency and (or) goods about which to the insider information the insider has access;

basis for inclusion of the insider in the list;

the basis owing to which the insider (person excluded from the list) ceased to correspond to provisions of article 4 of the Federal Law of July 27, 2010 No. 224-FZ;

information on inclusion of the insider in the list (exception of person excluded from the list, from the list) and date of such inclusion (exception);

1.1.3. concerning the insider (person excluded from the list) which is physical person, the following data:

surname, name, middle name (the last - in the presence);

birth date;

the birthplace (in the presence of such data);

position which the insider (person excluded from the list) holds in the notifying person (in the presence);

the financial instrument, foreign currency and (or) goods about which to the insider information the insider has access;

basis for inclusion of the insider in the list;

the basis owing to which the insider (person excluded from the list) ceased to correspond to provisions of article 4 of the Federal Law of July 27, 2010 No. 224-FZ;

information on inclusion of the insider in the list (exception of person excluded from the list, from the list) and date of such inclusion (exception);

1.1.4. the information message about requirements of the Federal Law of July 27, 2010 No. 224-FZ (The Russian Federation Code, 2010, No. 31, Art. 4193; 2020, No. 14, the Art. 2027), stipulated in Item 2 parts 1 of article 9 of the Federal Law of July 27, 2010 No. 224-FZ.

1.2. The data provided by the paragraph the seventh subitem 1.1.2 and the paragraph the sixth subitem 1.1.3 of this Item are not specified in the notification if such data are opened (are posted) on the official site of the notifying person in Internet network or in the information systems of the notifying person used for corporate information exchange (for the insiders specified in Item 13 of article 4 of the Federal Law of July 27, 2010 to No. 224-FZ).

2. The notifying persons shall be sent to insiders (persons excluded from the list) of the notification one of the following methods chosen by them:

in electronic form by means of use of program technical means and Internet network;

in electronic form by means of use of the software posted on the official site of the notifying person in Internet network (in the presence);

in electronic form by means of use of information systems and complexes of the program technical means of the notifying person used for corporate information exchange (including e-mail) if it is provided by the internal document of the notifying person (for the insiders specified in Items 7 and 13 of article 4 of the Federal Law of July 27, 2010 to No. 224-FZ);

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 mail and messenger service (the different way allowing to confirm receipt of the notification).

3. The notification in electronic form shall be signed by the digital signature of the head of the notifying person or person authorized by it (further - the authorized person) (except for its directions by the methods specified in paragraphs three and the fourth Item 2 presents of the Instruction).

The notification shall be on paper signed by the head of the notifying person or the authorized person.

4. If the notification in electronic form or the notification is on paper signed by the authorized person, the notifying persons shall at the request of insiders (persons excluded from the list) about submission of the document confirming powers of the authorized person within 3 working days from the date of its obtaining to submit the document confirming powers of the authorized person with the method allowing to confirm the fact of its obtaining by insiders (persons excluded from the list).

5. The notification on paper consisting more than of one leaf shall be numbered, stitched and certified by the signature of the head of the notifying person or authorized person.

6. The notification in electronic form shall be directed in the form of the file with one of the following expansions: *.dbf, *.xls, *.xlsx, *.txt, *.csv, *.pdf, *.doc, *.docx.

7. The copy of the notification, information on the fact and date of inclusion of the insider in the list (exception of person excluded from the list, from the list) in the cases provided by the paragraph the second Item of 1 this Instruction shall be represented by the notifying person to the insider (person excluded from the list) with observance of the requirements provided by Items 2 - 6 these Instructions for the notification.

8. Action of this Instruction does not extend much notifications of persons on their inclusion in the list of insiders of the Bank of Russia and exception of such list.

9. This Instruction is subject to official publication and according to the solution of the Board of directors of the Bank of Russia (the minutes of the Board of directors of the Bank of Russia of January 29, 2021 No. PSD-1) become effective since October 1, 2021.

10. From the date of entry into force of this Instruction not to apply the order of the Federal Service for Financial Markets of June 18, 2013 No. 13-51/pz-n "About approval of the Regulations on the notification procedure of persons about their inclusion in the list of insiders and exception of such list, Regulations on procedure for transfer of lists of insiders to organizers of trade through whom financial instrument transactions, by foreign currency and (or) goods, Regulations on procedure and terms of the direction by insiders of notifications on the transactions made by them", No. 29797 registered by the Ministry of Justice of the Russian Federation on August 30, 2013 are made.

Appendix

to the Instruction of the Bank of Russia of February 2, 2021 No. 5720-U "About the notification procedure of faces included in the list of insiders about their inclusion in such list and exception of it"

Recommended sample

 

Ref. ______________________

from "__" ______________ 20 __.

 

Notification about inclusion of persons in the list (exception of the list)

 

№	Name of detail	It is filled with the notifying person
1	2	3
1	Data on the notification
1.1	Sequence number and date of creation of the notification
2	Data concerning the notifying person
2.1	The name (for the notifying person being the Russian legal entity - non-profit organization, the body, the organization specified in Item 9 of article 4 of the Federal Law of July 27, 2010 to No. 224-FZ "About counteraction to unauthorized use of the insider information and to market manipulation and about modification of separate legal acts of the Russian Federation" (further - the Federal Law of July 27, 2010 No. 224-FZ), the foreign legal entity), full trade name (for the notifying person being the Russian legal entity - the commercial organization)
2.2	The location and (or) the address for the direction of post correspondence (in the presence)
2.3	The primary state registration number (further - PSRN), identification taxpayer number (further - INN) (in the presence)
2.4	Code of the foreign organization (further - KIO) (in the presence) and digital country code of registration on the All-Russian qualifier of the countries of the world (further - OKSM)
2.5	Registration number in country of incorporation
2.6	The website address on the Internet (in the presence)
2.7	Contact phone number and (or) the e-mail address for addresses of insiders (persons excluded from the list)
2.8	Number of Item of article 4 of the Federal Law of July 27, 2010 No. 224-FZ carrying the notifying person to insiders
3	Data concerning the insider (person excluded from the list)
Concerning the insider (person excluded from the list) who is the Russian or foreign legal entity (the foreign organization, not being the legal entity according to the country right where this organization is founded)
3.1	Full trade name (for the insider (person excluded from the list) who is the Russian legal entity - the commercial organization), the name (for the insider (person excluded from the list) who is the Russian legal entity - non-profit organization, the foreign legal entity, the foreign organization, not being the legal entity according to the country right where this organization is founded)
3.2	The location and (or) the address for the direction of post correspondence (in the presence)
3.3	PSRN, INN (in the presence)
3.4	KIO (in the presence) and OKSM
3.5	Registration number in country of incorporation
3.6	Financial instrument, foreign currency and (or) goods
3.7	Basis for inclusion of the insider in the list
3.8	The basis owing to which the insider (person excluded from the list) ceased to correspond to provisions of article 4 of the Federal Law of July 27, 2010 No. 224-FZ
3.9	Information on inclusion of the insider in the list (exception of person excluded from the list, from the list) and date of such inclusion (exception)
Concerning the insider (person excluded from the list) which is physical person
3.10	Surname, name, middle name (the last - in the presence)
3.11	Birth date
3.12	The birthplace (in the presence of such data)
3.13	Position which the insider (person excluded from the list) holds in the notifying person (in the presence)
3.14	Financial instrument, foreign currency and (or) goods
3.15	Basis for inclusion of the insider in the list
3.16	The basis owing to which the insider (person excluded from the list) ceased to correspond to provisions of article 4 of the Federal Law of July 27, 2010 No. 224-FZ
3.17	Information on inclusion of the insider in the list (exception of person excluded from the list, from the list) and date of such inclusion (exception)
4	The information message about requirements of the Federal Law of July 27, 2010 No. 224-FZ, stipulated in Item 2 parts 1 of article 9 of the Federal Law of July 27, 2010 No. 224-FZ

 

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

 

Notes.

1. In line 1.1 the sequence number and date of creation of the notification which goes to insiders (persons excluded from the list) is specified.

2. The line 2.3 is filled with the notifying person being the Russian legal entity, body, the organization specified in Item 9 of article 4 of the Federal Law of July 27, 2010 to No. 224-FZ.

3. The line 2.4 is filled with the notifying person being the foreign legal entity who does not have PSRN, INN, but having KIO.

4. The line 2.5 is filled with the notifying person being the foreign legal entity who does not have PSRN, INN and KIO.

5. In line 2.8 person, the stipulated in Article 4 Federal Laws of July 27, 2010 is specified to No. 224-FZ which is the notifying person, with indication of number of Item of article 4 of the Federal Law of July 27, 2010 No. 224-FZ).

6. The line 3.3 is filled concerning the insider (person excluded from the list) who is the Russian legal entity.

7. The line 3.4 is filled concerning the insider (person excluded from the list) who is the foreign legal entity, the foreign organization not being the legal entity according to the country right where this organization is founded, not having PSRN, INN, but the having KIO.

8. The line 3.5 is filled concerning the insider (person excluded from the list) who is the foreign legal entity, the foreign organization not being the legal entity according to the country right where this organization is founded, not having PSRN, INN and KIO.

9. In lines 3.6 and 3.14 the financial instrument, foreign currency and (or) goods about which to the insider information the insider has access is specified.

10. In lines 3.7 and 3.15 one or several numbers of Items of article 4 of the Federal Law of July 27, 2010 are specified to No. 224-FZ, and also the basis of inclusion of the insider in the list is described.

11. In lines 3.8 and 3.16 one or several numbers of Items of article 4 of the Federal Law of July 27, 2010 are specified to No. 224-FZ, and also the basis owing to which person ceased to correspond to provisions of article 4 of the Federal Law of July 27, 2010 No. 224-FZ is described.

12. In lines 3.9 and 3.17 information on inclusion of the insider in the list (exception of person excluded from the list, from the list) and date of such inclusion (exception) is specified.

13. The line 3.13 is filled concerning the insider (person excluded from the list) who is the worker of the notifying person, directing the notification. The position which in it is held by the insider (person excluded from the list) is specified.

14. Information on requirements of the Federal Law of July 27, 2010 No. 224-FZ is provided in line 4.

15. The signature is put down in case of the direction by the methods specified in paragraphs the second and fifth Item 2 presents of the Instruction.

16. The name of position, date of the signature are specified in case of registration on paper.

 

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