INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of October 25, 2013 No. 3078-U

About the list of officials of the Bank of Russia, representatives to constitute protocols on the administrative offenses made by not credit financial credit institutions, issuers of issued securities, participants of the corporate relations, limited liability companies, their officials, citizens, subjects of the legislation of the Russian Federation on counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing (within the powers), subjects of the legislation of the Russian Federation on counteraction to unauthorized use of the insider information and to market manipulation, other legal entities, their officials

This Instruction according to the Russian Federation Code of Administrative Offences (The Russian Federation Code, 2002, No. 1, the Art. 1) (further - the Administrative Code), 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; 2003, No. 2, Art. 157; No. 52, Art. 5032; 2004, No. 27, Art. 2711; No. 31, Art. 3233; 2005, No. 25, Art. 2426; No. 30, Art. 3101; 2006, No. 19, Art. 2061; No. 25, Art. 2648; 2007, No. 1, Art. 9, Art. 10; No. 10, Art. 1151; No. 18, Art. 2117; 2008, No. 42, Art. 4696, Art. 4699; No. 44, Art. 4982; No. 52, Art. 6229, Art. 6231; 2009, No. 1, Art. 25; No. 29, Art. 3629; No. 48, Art. 5731; 2010, No. 45, Art. 5756; 2011, No. 7, Art. 907; No. 27, Art. 3873; No. 43, Art. 5973; No. 48, Art. 6728; 2012, No. 50, Art. 6954; No. 53, Art. 7591, Art. 7607; 2013, No. 11, Art. 1076; No. 14, Art. 1649; No. 19, Art. 2329; No. 27, Art. 3438, Art. 3476, Art. 3477; No. 30, of the Art. 4084) the Bank of Russia establishes the list of officials of the Bank of Russia, representatives to constitute protocols on administrative offenses, in cases of identification of the offenses made by not credit financial credit institutions, issuers of issued securities, participants of the corporate relations, limited liability companies, their officials, citizens, subjects of the legislation of the Russian Federation on counteraction of legalization (washing) of income gained in the criminal way, and to terrorism financing (within the powers), subjects of the legislation of the Russian Federation on counteraction to unauthorized use of the insider information and to market manipulation, other legal entities, their officials, provided by Articles 5.53 - 5.55, parts 1 and 3 of Article 13. 25, parts 1 - 3 Articles 14. 1, part 1 of Article 14.4. 1, Articles 14. 24, 14.29, 14. 30, 14.36, 15.17 - 15.22, 15.23. 1, 15.24. 1, 15.26. 1, parts 1 - 3 Articles 15.27 (except for the administrative offenses made by credit institutions, officials of credit institutions, the staff of credit institutions specified in the note 2 to Article 15. 27), Articles 15.28 - 15.31, 15.35, 17.7, 17.9, part 1 of Article 19. 4, parts 1 and 9 of Article 19. 5, Articles 19. 6, 19.7, 19.7.3, 19.20, part 1 of the article 20.25 Administrative Code.

1. Protocols on administrative offenses in cases of identification of the offenses provided by Articles 5.53 - 5.55, parts 1 and 3 of Article 13. 25, parts 1 - 3 Articles 14. 1, part 1 of Article 14.4. 1, Articles 14. 24, 14.29, 14.30, 14.36, 15.17 - 15.22, 15.23. 1, 15.24. 1, 15.26. 1, parts 1 - 3 Articles 15.27 (except for the administrative offenses made by credit institutions, officials of credit institutions, the staff of credit institutions specified in the note 2 to Article 15. 27), Articles 15.28 - 15.31, 15.35, 17.7, 17.9, part 1 of Article 19. 4, parts 1 and 9 of Article 19. 5, Articles 19. 19.7, 19.7.3, 19.20, part 1 of the article 20.25 Administrative Code, the following officials of the Bank of Russia are authorized to constitute 6,.

1.1. Chairman of the Bank of Russia, his deputies.

1.2. The head of Service of the Bank of Russia on the financial markets, his deputies.

1.3. The head of department of the organization and holding supervising actions in the security market of Service of the Bank of Russia for the financial markets, his deputies and chiefs of departments.

1.4. The head of department of regulation of activities in the financial market of Service of the Bank of Russia for the financial markets, his deputies and chiefs of departments.

1.5. The head of department of the corporate relations, disclosures of information and issued securities of Service of the Bank of Russia on the financial markets, his deputies and chiefs of departments.

1.6. The head of department of licensing and maintaining the state registers of Service of the Bank of Russia on the financial markets, his deputies and chiefs of departments.

1.7. The head of department of monitoring and the analysis of the financial market of Service of the Bank of Russia on the financial markets, his deputies and chiefs of departments.

1.8. Head of department of insurance supervision and control of procedures of recovery of solvency of Service of the Bank of Russia for the financial markets, his deputies and chiefs of departments.

1.9. The head of department of regulation of activities in the market of insurance, microfinancial activities and credit cooperation of Service of the Bank of Russia for the financial markets, his deputies and chiefs of departments.

1.10. Head of department of the economic analysis and control of reliability of the reporting of subjects of insurance case of Service of the Bank of Russia on the financial markets, his deputies and chiefs of departments.

1.11. The chief of Legal management of Service of the Bank of Russia on the financial markets, his deputies and chiefs of departments.

1.12. Deputy chiefs of departments of Management of the organization and holding supervising actions in the security market, Managements of insurance supervision and control of procedures of recovery of solvency of Service of the Bank of Russia for the financial markets - in case of appointment as the order of the Bank of Russia as the head of group of inspectors.

1.13. Chiefs of interregional managements of Service of the Bank of Russia on the financial markets, their deputies, chiefs of departments.

1.14. Chiefs of territorial departments of interregional managements of Service of the Bank of Russia of the financial markets as which control and supervision in the field of the financial markets (except for banking and auditor activity), their deputies enters.

1.15. Other officials of interregional managements and territorial departments of interregional managements of Service of the Bank of Russia of the financial markets who are specially authorized by orders of the relevant interregional management of Service of the Bank of Russia on the financial markets to exercise control and supervision in the field of the financial markets (except for banking and auditor activity).

2. In addition to persons specified in Item of 1 this Instruction to constitute protocols on administrative offenses in cases of identification of the offenses made by not credit financial credit institutions, their officials, provided by parts 1 - 3 articles 15.27 Administrative Code (except for the administrative offenses made by credit institutions, officials of credit institutions, the staff of credit institutions specified in the note 2 to Article 15. 27), the heads of territorial offices of the Bank of Russia, their deputies, other officials of territorial offices of the Bank of Russia who are specially authorized by orders of the relevant territorial office of the Bank of Russia are authorized to exercise control of observance by the not credit financial credit institutions of the legislation of the Russian Federation on counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing.

3. This Instruction becomes effective after 10 days after day of its official publication in "the Bulletin of the Bank of Russia".

4. From the date of entry into force of this Instruction to declare invalid the Instruction of the Bank of Russia of August 15, 2013 No. 3038-U "About the list of officials of the Bank of Russia, representatives to constitute protocols on the administrative offenses made by not credit financial credit institutions, their officials, citizens", registered by the Ministry of Justice of the Russian Federation on August 20, 2013 No. 29457 ("the Bulletin of the Bank of Russia" of August 28, 2013 No. 47).

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