It is registered
Ministry of Justice
Russian Federation
On May 20, 2021 No. 63538
of April 12, 2021 No. 5774-U
About modification of the Instruction of the Bank of Russia of December 25, 2017 No. 4662-U
Based on part one of article 60 of the Federal Law of July 10, 2002 No. 86-FZ "About the Central bank the Russian Federation (Bank of Russia)" (The Russian Federation Code, 2002, No. 28, Art. 2790; 2019, No. 49, the Art. 6953), parts two and the sixth article 11.1-2 of the Federal law "About Banks and Banking Activity" (in edition of the Federal Law of February 3, 1996 No. 17-FZ) (Sheets of the Congress of People's Deputies of RSFSR and the Supreme Council of RSFSR, 1990, No. 27, Art. 357; Russian Federation Code, 1996, No. 6, Art. 492; 2019, No. 49, Art. 6953), paragraph one of Item 3. 2, paragraph one of Item 7.1 and Item 7.7 of article 32.1 of the Law of the Russian Federation of November 27, 1992 No. 4015-1 "About the organization of insurance case in the Russian Federation" (Sheets of the Congress of People's Deputies of the Russian Federation and the Supreme Council of the Russian Federation, 1993, No. 2, Art. 56; Russian Federation Code, 1998, No. 1, Art. 4; 2019, No. 49, Art. 6953), paragraph one of Item 3. 1, the subitem 5 of item 4 and paragraph one of Item 9 of article 6.2 of the Federal Law of May 7, 1998 No. 75-FZ "About non-state pension funds" (The Russian Federation Code, 1998, No. 19, Art. 2071; 2019, No. 49, the Art. 6953), paragraph one of Item 9.2 and paragraph one of Item 9.6 of article 38 of the Federal Law of November 29, 2001 No. 156-FZ "About investment funds" (The Russian Federation Code, 2001, No. 49, Art. 4562; 2019, No. 49, the Art. 6953), parts 3 and 8 of article 4.1-1 of the Federal Law of July 2, 2010 No. 151-FZ "About microfinancial activities and the microfinancial organizations" (The Russian Federation Code, 2010, No. 27, Art. 3435; 2019, No. 49, Art. 6953):
1. Bring in the Instruction of the Bank of Russia of December 25, 2017 No. 4662-U "About qualification requirements to the head of service of risk management, service of internal control and service of internal audit of credit institution, person responsible for the organization of risk management system, and the controller of non-state pension fund, the auditor of insurance company, about the notification procedure of the Bank of Russia about position assignment (about dismissal) specified persons (except for the controller of non-state pension fund), the special officials responsible for implementation of rules of internal control for the purpose of counteraction of legalization (washing) of income gained in the criminal way and to financing of terrorism of credit institution, non-state pension fund, insurance company, managing company of investment funds, mutual investment funds and non-state pension funds, microfinance company, the employee of service of internal control of managing company of investment funds, mutual investment funds and non-state pension funds, and also about evaluation procedure the Bank of Russia of compliance of specified persons (except for the controller of non-state pension fund) to qualification requirements and requirements to goodwill", registered by the Ministry of Justice of the Russian Federation on March 14, 2018 No. 50341, the following changes.
1.1. Subitem 1.1.3 of Item 1. 1, subitems 1.2.2 and 1.2.3 of Item 1.2 to recognize invalid.
1.2. In subitem 1.3.1 of Item 1.3 of the word "and qualification, provided" shall be replaced with words ", provided".
1.3. State Item 2.2 in the following edition:
"2.2. Not credit financial credit institution shall send to Authorized division of the Bank of Russia the notification on appointment (including it is temporary) to position in the form provided in appendix 1 to this Instruction, in time no later than three working days from the date of:
decision makings about appointment of the auditor of insurance company, person responsible for the organization of risk management system of the pension fund, the employee of service of internal control in managing company, the special official of not credit financial credit institution;
the decision making which is drawn up by the administrative document of not credit financial credit institution about assignment of temporary fulfillment of duties on one of the positions specified in the paragraph the second this Item the instruction in connection with detection of discrepancy to qualification requirements and (or) requirements to goodwill was directed to person concerning whom to Authorized division of the Bank of Russia this not credit financial credit institution did not submit documents for assessment of conformity to the qualification requirements and requirements to goodwill imposed to person holding such position (to the acting as on such position) or on person concerning whom the specified documents were submitted and Authorized division of the Bank of Russia;
the beginnings without execution of the administrative document of not credit financial credit institution of temporary fulfillment of duties on one of the positions specified in the paragraph the second this Item by person concerning whom to Authorized division of the Bank of Russia this not credit financial credit institution did not submit documents for assessment of conformity to the qualification requirements and requirements to goodwill imposed to person holding such position (to the acting as on such position) or person concerning whom the specified documents were submitted and Authorized division of the Bank of Russia directed the instruction in connection with detection of discrepancy to qualification requirements and (or) requirements to goodwill.
The credit institution shall send to Authorized division of the Bank of Russia the notification on appointment (including it is temporary) to position which recommended sample is given in appendix 1 to this Instruction, no later than three days in time from the date of:
decision makings about appointment of the head of service of credit institution, the special official of credit institution;
the decision making which is drawn up by the administrative document of credit institution about assignment of temporary fulfillment of duties on one of the positions specified in paragraph six of this Item the instruction in connection with detection of discrepancy to qualification requirements and (or) requirements to goodwill was directed to person concerning whom to Authorized division of the Bank of Russia this credit institution did not submit documents for assessment of conformity to the qualification requirements and requirements to goodwill imposed to person holding such position (to the acting as on such position) or on person concerning whom the specified documents were submitted and Authorized division of the Bank of Russia;
the beginnings without execution of the administrative document of credit institution of temporary fulfillment of duties on one of the positions specified in paragraph six of this Item by person concerning whom to Authorized division of the Bank of Russia this credit institution did not submit documents for assessment of conformity to the qualification requirements and requirements to goodwill imposed to person holding such position (to the acting as on such position) or person concerning whom the specified documents were submitted and Authorized division of the Bank of Russia directed the instruction in connection with detection of discrepancy to qualification requirements and (or) requirements to goodwill.".
1.4. In Item 2.3:
the paragraph one to state in the following edition:
"2.3. The financial organization along with the notification on appointment (including it is temporary) to position shall send to Authorized division of the Bank of Russia the questionnaire of the official of the financial organization (person who is temporarily fulfilling its duties) which recommended sample is given in appendix 2 to this Instruction and to attach to it the following documents:";
third to state the paragraph in the following edition:
"education documents and (or) about qualification. In case of education and (or) qualification in foreign state the certificate on recognition of foreign education and (or) foreign qualification issued by the federal executive body performing functions on control and supervision in the field of education according to article 107 of the Federal Law of December 29, 2012 to No. 273-FZ "About education in the Russian Federation" shall be in addition provided (The Russian Federation Code, 2012, No. 53, Art. 7598; 2021, No. 1, Art. 56). Submission of the specified certificate is not required if the education document and (or) about qualification is issued by the foreign organization included in the list of the foreign educational organizations which issue education documents and (or) about the qualifications recognized in the Russian Federation or the foreign organization which is in the territory of foreign state with which the Russian Federation signs the agreement on mutual recognition and equivalence of education documents;";
to declare the paragraph of the sixth invalid.
1.5. Declare Item 2.5 invalid.
1.6. State Item 2.6 in the following edition:
"2.6. Not credit financial credit institution shall send the notification on release to Authorized division of the Bank of Russia (including it is temporary) from position in the form provided in appendix 3 to this Instruction no later than three working days from the date of dismissal of person responsible for the organization of risk management system of the pension fund, the auditor of insurance company, the employee of service of internal control of managing company, the special official of not credit financial credit institution (the termination of temporary fulfillment of duties on the specified positions).
The credit institution shall send to Authorized division of the Bank of Russia the notification on release (including it is temporary) from position which recommended sample is given in appendix 3 to this Instruction, no later than the working day following behind day of dismissal of the head of service of credit institution, the special official of credit institution (the termination of temporary fulfillment of duties on the specified positions).
Provisions of this Item are not applied:
if the date of the termination of temporary fulfillment of duties specified in the notification on appointment directed by the financial organization according to Item 2.2 of this Instruction (including it is temporary) to position, did not change;
in case of the direction of the notification on temporary fulfillment of duties according to Item 2.8 of this Instruction.".
1.7. In Item 2.7:
state paragraph two in the following edition:
"The documents provided by this Instruction shall be provided to Authorized division of the Bank of Russia in the form of electronic documents with the *.pdf, *.jpeg, *.jpg, *.png or *.tiff expansion through personal account according to the order of interaction of the Bank of Russia with the financial organizations determined based on parts one and the fourth Article 73. 1, parts one and eighth article 76.9 of the Federal law "About the Central Bank Russian Federation (Bank of Russia)" (Russian Federation Code, 2002, No. 28, Art. 2790; 2016, No. 27, Art. 4225; 2017, No. 27, Art. 3950).";
recognize subitems 2.7.1 and 2.7.2 invalid.
1.8. Add Chapter 2 with Item 2.8 of the following content:
"2.8. In case of assignment (implementation) of temporary fulfillment of duties on one of the positions specified in paragraphs the second and sixth Item 2.2 of this Instruction the instruction in connection with detection of discrepancy to qualification requirements and (or) requirements to goodwill did not go to person concerning whom to Authorized division of the Bank of Russia the financial organization submitted documents for assessment of conformity to the qualification requirements and requirements to goodwill imposed to person holding such position (to the acting as on such position) and Authorized division of the Bank of Russia, the specified financial organization no later than three working days from the date of the termination of quarter shall send to Authorized division of the Bank of Russia the notification on temporary fulfillment of duties which recommended sample is given in appendix 4 to this Instruction.
In the notification on temporary fulfillment of duties information on all cases of temporary fulfillment of duties in quarter upon completion of which this notification goes shall be specified. If end date of temporary execution by person of obligations is unknown or it falls on other quarter, in the notification on the temporary fulfillment of duties directed after completion of quarter in which it was assigned (implementation is begun) temporary fulfillment of duties, end date of temporary fulfillment of duties is not specified. In the notification on the temporary fulfillment of duties directed after completion of quarter in which-faced temporary fulfillment of duties was stopped end date of temporary fulfillment of duties is specified, at the same time start date of temporary fulfillment of duties is not specified if it came before quarter upon completion of which the notification on temporary fulfillment of duties goes.
Information about person, temporarily the acting as within quarter, is not introduced in the notification on temporary fulfillment of duties directed after completion of the specified quarter if start date and end date of temporary execution by such person of obligations fall on other quarters.".
1.9. In Item 3.3 of the word "Items 2.2 and 2.3" shall be replaced with words "Items 2. 2, 2.3 and 2.8".
1.10. In Item 3.4:
in paragraph one of the word "in Items 2.2 and 2.3" shall be replaced with words "Items 2. 2, 2.3 and 2.8", "Item 2.7" shall be replaced with words words "Items 2. 2, 2.6 - 2.8";
word in paragraph three "Item 2.7" shall be replaced with words "Items 2. 2, 2.3, 2.6 - 2.8".
1.11. State Item 3.5 in the following edition:
"3.5. The financial organization shall provide in Authorized division of the Bank of Russia information on change of the data containing in the questionnaire of the official of the financial organization (person who is temporarily fulfilling its duties) by the direction of the questionnaire with the changed biographical particulars (further - the questionnaire with changes). In the questionnaire with changes surname, the name, middle name (the last - in the presence) persons, the name and details of the document proving his identity, the insurance number of the individual ledger account (INILA) of person (in the presence) and the changed biographical particulars of person shall be entered. The documents confirming change of biographical particulars of person shall be attached to the questionnaire with changes.
The questionnaire with changes and the documents confirming change of biographical particulars of person go the financial organization to Authorized division of the Bank of Russia no later than ten working days from the date of change of the information about person containing in the questionnaire (except for the case specified in paragraph three of this Item).
In the case provided by paragraph one of Item 2.8 of this Instruction, the questionnaire with changes and the documents confirming change of biographical particulars of person go the financial organization to Authorized division of the Bank of Russia along with the notification on temporary fulfillment of duties or no later than ten working days from the date of change of the information about person containing in the questionnaire (if the specified data changed after the direction of the notification on temporary fulfillment of duties).".
1.12. State appendix 1 in edition of appendix 1 to this Instruction.
1.13. In appendix 2:
in Section 1:
state line 3 in the following edition:
"
|
3 |
Nationality (citizenship) (names of all states are provided, nationality (citizenship) of which is available) or specifying on its absence. If nationality (citizenship) changed, former nationality (citizenship), date and the reason of its change are in addition specified |
|
";
state line 5 in the following edition:
"
|
5 |
Registration address at the place of residence and the address of the actual residence |
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";
lines 6, 8 and 9.4 to recognize invalid;
state line 10 in the following edition:
"
|
10 |
Insurance Number of the Individual Ledger Account (INILA) (in the presence) |
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";
recognize lines 10.1 and 10.2 invalid;
state Section 2 in the following edition:
"Section 2. Data on goodwill and on restrictions (prohibitions) interfering position assignment (to temporary fulfillment of duties on position)
|
Type of data |
Contents of data | |
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11 |
Data on goodwill | |
|
11.1 |
The bases for recognition of the goodwill which is not conforming to the requirements established by the Federal Laws regulating activities of the financial organizations no |
Personal signature |
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11.2 |
The description of the basis (bases) for recognition of the goodwill which is not conforming to the requirements established by the Federal Laws regulating activities of the financial organizations. At the same time shall be specified: references to specific structural units of the Federal Laws regulating activities of the financial organizations, establishing the basis for recognition of goodwill to not conforming requirements established by the Federal Laws regulating activities of the financial organizations (number of the paragraph, Item, part, Article, details and the name of the Federal Law); date of emergence of the basis, in particular acceptance date of the judgment; date of the introduction in legal force of the judge's ruling, body, the official, representatives to consider cases on administrative offenses; date of application of measures for submission of significantly doubtful reporting if preparation and submission of the reporting were included into competence of person representing the questionnaire; the period of action of the basis, in particular dates of appointment (election) to position (the beginnings of temporary fulfillment of duties on position without execution of the administrative document) and dismissal (the termination of implementation of functions on position) sole executive body, his deputy, the member of collegiate executive body, the chief accountant or the deputy chief accountant of the financial organization, the head or the chief accountant of branch of the financial organization, the head of service of risk management, the controller (head of internal control), the internal auditor (the head of service of internal audit), the special official responsible for implementation of rules of internal control in the financial organization for the purpose of counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction or the board member (supervisory board) of the financial organization in which according to the decision of the Bank of Russia the temporary administration on management of the financial organization with suspension of powers of executive bodies is appointed or from which the license for banking operations was revoked |
|
|
12 |
Data on restrictions (prohibitions) interfering position assignment (to temporary fulfillment of duties on position, including without execution of the administrative document by the financial organization) | |
|
12.1 |
Restrictions (prohibitions) are absent |
Personal signature |
|
12.2 |
The description of the available restrictions (prohibitions) interfering position assignment (to temporary fulfillment of duties on position). At the same time references to specific structural units of the Federal Laws providing the corresponding restriction or prohibition (number of the paragraph, Item, part, Article, details and the name of the Federal Law), date of emergence of restriction (prohibition) shall be specified |
|
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12.3 |
Details of the document which are granted employment eligibility (temporary fulfillment of duties on position) in case of availability of restriction (prohibition) |
|
";
in Explanations to filling of the questionnaire:
state item 4 in the following edition:
"4. In case of representation according to Item 3.5 of this Instruction of the questionnaire with changes in it lines 1, 4 and 10 are filled (the last - in the presence at person of the insurance number of the individual ledger account (INILA) of the Section 1 "General Information, Data on Education and Labour Activity" and line on whom there were changes.";
recognize Items 5 and 6 invalid.
1.14. In appendix 3:
words "we notify that _______________________________________________"
(the document confirming the solution of financial
the organizations about release of person from position)
shall be replaced with words "we notify that ___________________________________ <4>";
(the document confirming the decision
the financial organization about
release of person from position)
words "Appendix: copy of the decision of the financial organization on release of person from position." to exclude;
add with footnote 4 following of content:
"<4> Is specified in the presence of the administrative document".
1.15. Add with appendix 4 in edition of appendix 2 to this Instruction.
2. 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 April 9, 2021 No. PSD-8 become effective since April 1, 2022.
Chairman of the Central bank of the Russian Federation
E. S. Nabiullina
to the Instruction of the Bank of Russia of April 12, 2021 No. 5774-U "About modification of the Instruction of the Bank of Russia of December 25, 2017 No. 4662-U"
"Appendix 1
to the Instruction of the Bank of Russia of December 25, 2017 No. 4662-U "About qualification requirements to the head of service of risk management, service of internal control and service of internal audit of credit institution, person responsible for the organization of risk management system, and the controller of non-state pension fund, the auditor of insurance company, about the notification procedure of the Bank of Russia about position assignment (about dismissal) specified persons (except for the controller of non-state pension fund), the special officials responsible for implementation of rules of internal control for the purpose of counteraction of legalization (washing) of income gained in the criminal way and to financing of terrorism of credit institution, non-state pension fund, insurance company, managing company of investment funds, mutual investment funds and non-state pension funds, microfinance company, the employee of service of internal control of managing company of investment funds, mutual investment funds and non-state pension funds, and also about evaluation procedure the Bank of Russia of compliance of specified persons (except for the controller of non-state pension fund) to qualification requirements and requirements to goodwill"
(form - for not credit financial credit institutions)
(recommended sample for credit institutions)
|
|
|
|
from _____________ No. ________ |
(name of Authorized division of the Bank of Russia) |
|
The notification on appointment (including it is temporary) to position <1> |
According to Item 2.2 of the Instruction of the Bank of Russia of December 25, 2017
years No. 4662-U _____________________________________________________________
(the complete and (or) reduced (in the presence) names
financial organization; for the financial organization,
the being commercial organization, - complete and (or)
reduced (in the presence) trade names, for
not credit financial credit institution - the main state
registration number (PSRN), for credit institution -
the registration number assigned by the Bank of Russia)
notifies that <2>:
to position ______________________________________________________________
(job title)
with "__" __________ 20 __ is appointed _______________________________________;
(surname, name, middle name (the last -
in the presence) person designated
to position)
__________________________________________________________________________,
(surname, name, middle name (the last - in the presence) person who is temporary
fulfills duties on position)
holding (holding) position ________________________________________,
(the job title, occupied by person
on permanent basis)
with "__" __ on "__" _____________ 20 __ temporarily performs ___________ 20
(start date and the planned date of the termination
(if such date is known) temporary
fulfillment of duties)
obligations ____________________________________________.
(the job title, on which person
temporarily fulfills duties)
The basis of purpose of person to position (temporary execution by person
obligations on position) is: ______________________________________
__________________________________________________________________________.
(the name of the administrative document which draws up appointment of person
to position, its date and number (the last - in the presence); name
the administrative document which draws up assignment of temporary
fulfillment of duties on position, its date and number (the last -
in the presence) (if temporary fulfillment of duties is drawn up
administrative document of the financial organization); name
the document which is the basis for temporary execution
obligations (if temporary fulfillment of duties is performed
without execution of the administrative document of the financial organization)
The letter from __________ No. _________ in ___________________________________
(name of the Representative
divisions of the Bank of Russia)
in the relation __________________________________________________________ were
(surname, name, middle name (the last - in the presence) persons,
appointed to position (person who is temporary
fulfills duties on position)
the following documents are directed: __________________________________________.
(the list of earlier directed documents)
The data containing in them did not change.
Appendix: on _____ sheets.
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(position of the authorized person of the financial organization) |
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(personal signature) |
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(initials, surname) |
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(signature date) |
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--------------------------------
<1> It is specified necessary.
<2> Necessary is filled.".
to the Instruction of the Bank of Russia of April 12, 2021 No. 5774-U "About modification of the Instruction of the Bank of Russia of December 25, 2017 No. 4662-U"
"Appendix 4
to the Instruction of the Bank of Russia of December 25, 2017 No. 4662-U "About qualification requirements to the head of service of risk management, service of internal control and service of internal audit of credit institution, person responsible for the organization of risk management system, and the controller of non-state pension fund, the auditor of insurance company, about the notification procedure of the Bank of Russia about position assignment (about dismissal) specified persons (except for the controller of non-state pension fund), the special officials responsible for implementation of rules of internal control for the purpose of counteraction of legalization (washing) of income gained in the criminal way and to financing of terrorism of credit institution, non-state pension fund, insurance company, managing company of investment funds, mutual investment funds and non-state pension funds, microfinance company, the employee of service of internal control of managing company of investment funds, mutual investment funds and non-state pension funds, and also about evaluation procedure the Bank of Russia of compliance of specified persons (except for the controller of non-state pension fund) to qualification requirements and requirements to goodwill"
(recommended sample)
|
|
|
|
from _____________ No. ________ |
(name of Authorized division of the Bank of Russia) |
|
Notification about temporary fulfillment of duties |
According to Item 2.8 of the Instruction of the Bank of Russia of December 25, 2017
years No. 4662-U _____________________________________________________________
(the complete and (or) reduced (in the presence) names
financial organization; for the financial organization,
the being commercial organization, - complete and (or)
reduced (in the presence) trade names, for
not credit financial credit institution - the main state
registration number (PSRN), for credit institution -
the registration number assigned by the Bank of Russia)
notifies on assignment (implementation) of temporary execution
obligations in ____________________________________________________________
__________________________________________________________________________.
(quarter of year in format "is specified To. GGGG", where "To" - quarter,
"GGGG" - year)
|
№. of payment order |
Surname, name, middle name (the last - in the presence) person who is temporarily fulfilling (fulfilling) duties |
The name of position on which it was performed temporary fulfillment of duties (is performed) |
The name of the position, on permanent basis occupied by person who temporarily performs (fulfilled) duties |
Start date |
End date |
The name of the document which draws up assignment of temporary fulfillment of duties its date and number (the last - in the presence) (if temporary fulfillment of duties is drawn up by the administrative document); the name of the document which is the basis for temporary fulfillment of duties (if temporary fulfillment of duties is performed without execution of the administrative document) |
Absence confirmation: the bases for recognition of the goodwill which is not conforming to the requirements established by the Federal Laws; restrictions (prohibitions) interfering temporary fulfillment of duties on position |
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1 |
2 |
3 |
4 |
5 |
6 |
7 |
8 |
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1 |
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(The signature of person who is temporarily fulfilling (fulfilling) duties) |
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2 |
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... |
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Appendix: on _____ sheets <1>
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(position of the authorized person of the financial organization) |
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(personal signature) |
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(initials, surname) |
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(signature date) |
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<1> It is specified in the presence.".
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