INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of July 22, 2013 No. 3029-U

About modification of the Instruction of the Bank of Russia of April 2, 2010 No. 135-I "About procedure for adoption by the Bank of Russia of the decision on state registration of credit institutions and issue of licenses for banking operations

1. 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 July 12, 2013 No. 15) to bring in the Instruction of the Bank of Russia of April 2, 2010 No. 135-I "About procedure for adoption by the Bank of Russia of the decision on state registration of credit institutions and issue of licenses for banking operations", registered by the Ministry of Justice of the Russian Federation on April 22, 2010 No. 16965, on December 17, 2010 No. 19217, on June 15, 2011 No. 21033, on September 22, 2011 No. 21869, on December 16, 2011 No. 22645 ("the Bulletin of the Bank of Russia" of April 30, 2010 No. 23, of December 30, 2010 No. 73, of June 22, 2011 No. 33, of September 28, 2011 No. 54, of December 21, 2011 No. 72), the following changes.

1.1. State Item 1.4 in the following edition:

"1.4. The documents submitted according to this Instruction can be sent to the Bank of Russia (territorial offices of the Bank of Russia) in the form of electronic documents according to the procedure, determined by the Bank of Russia. In that case interaction between credit institution, territorial office of the Bank of Russia and the Bank of Russia is performed in electronic form.

In case of submission of the documents specified in paragraph one of this Item in the form of electronic documents the credit institution shall submit by the written request of territorial office of the Bank of Russia the documents provided by the Federal Law "About State Registration of Legal Entities and Individual Entrepreneurs", on paper within three calendar days from the moment of receipt of the specified request in number of copies provided by the Federal Law "About State Registration of Legal Entities and Individual Entrepreneurs".

The certificate of the Bank of Russia on state registration, the license for banking operations go credit institution on paper, and in case of submission of the documents specified in paragraph one of this Item in the form of electronic documents - in electronic form and on paper.".

1.2. Add Chapter 1 with Item 1.5 of the following content:

"1.5. Copies of the documents of authorized registering body received by territorial office of the Bank of Russia (including in the form of electronic documents) remain in territorial office of the Bank of Russia.".

1.3. In Item 3.1:

state subitem 3.1.6 in the following edition:

"3.1.6. Properly verified copies of the documents confirming state registration of the founders of credit institution who are individual entrepreneurs or the containing such data of the extract from the Unified State Register of Legal Entities and Individual Entrepreneurs;

properly verified copies of constituent documents of founders of credit institution - legal entities or the copy of their constituent documents issued by authorized registering body;

audit opinions about reliability of the financial reporting of founders of credit institution - legal entities with appendix of balances and profits and loss statements for the last three years of activities;

copies of editions in which the accounting (financial) records for the last three years of activities of founders of credit institution are published - legal entities (with indication of numbers of editions and dates of publication) who publish the reporting according to the procedure and the cases determined by the Federal Laws;

other documents provided by the regulations of the Bank of Russia establishing procedure and criteria for evaluation of financial position of founders of credit institution.

The territorial office of the Bank of Russia on the expected location of the created credit institution independently requests in authorized registering body of the data on state registration of the founders of credit institution who are legal entities and also data on accomplishment of obligations to the federal budget, budgets of subjects of the Russian Federation and local budgets by them for the last three years.

The founders of credit institution who are legal entities, having the right to provide on own initiative to territorial office of the Bank of Russia on the expected location of the created credit institution properly verified copies of the documents containing the data listed in this paragraph.";

in subitem 3.1.7:

to state the paragraph of the seventh in the following edition:

"If the candidate for position of the head of credit institution, the chief accountant or the deputy chief accountant of credit institution got the education in foreign state requiring official confirmation in the territory of the Russian Federation for the purpose of provision to its owner of access to implementation of professional activity in the Russian Federation also the certificate on recognition of the document of foreign state on the education level and (or) qualification in the territory of the Russian Federation issued by the federal executive body performing functions on control and supervision in the field of education shall be provided.";

add with the paragraph of the following content:

"For confirmation of the data on availability (absence) of criminal record specified in the questionnaire together with the documents specified in this subitem the original of the certificate of availability (absence) of the criminal record issued by the Ministry of Internal Affairs of the Russian Federation is submitted.";

in paragraph one of subitem 3.1.9 of the word "items 4 and the 6th appendices 1" shall be replaced with words "appendix 1";

state subitem 3.1.11 in the following edition:

"3.1.11. The document provided by the paragraph the eighth Item 14.6 of this Instruction (in case of the direction of the petition for the licensing provided by subitem 8.2.3 of Item 8.2 of this Instruction).".

1.4. State Item 5.1 in the following edition:

"5.1. Acquisition (except for case if shares (shares) are acquired under organization of credit institution) and (or) obtaining in trust management (further in this Chapter - acquisition) as a result of implementation of one transaction or several transactions by one legal or physical person more than one percent of shares (shares) of credit institution require the notification of the Bank of Russia.

The requirement established by paragraph one of this Item extends also to acquisition cases more than one percent of shares (shares) of credit institution the group of persons recognized that according to the Federal Law "About Protection of the Competition".

If more than one percent of shares (shares) of credit institution (to person it is delivered in trust management more than one percent of shares (shares) of credit institution) belong to person (group of persons), the Bank of Russia shall be notified on any subsequent acquisition by the specified person (group of persons) of shares (shares) of the same credit institution.".

1.5. In Item 5.2:

the paragraph one to state in the following edition:

"5.2. The notification on acquisition more than one percent of shares (shares) of credit institution on appendix form 2 to this Instruction go to the territorial office of the Bank of Russia exercising supervision of its activities within thirty calendar days from the date of this acquisition (or to credit institution - in case of registration of the changes in the charter connected with increase in its authorized capital).";

declare paragraph two invalid.

1.6. State Item 5.4 in the following edition:

"5.4. The procedure for receipt of consent of the Bank of Russia to transaction (transactions), (share) of credit institution directed to share acquisition and (or) on establishment by legal entity or physical person (group of persons) as a result of implementation of one transaction or several transactions direct or indirect (through the third parties) control concerning shareholders (participants) of credit institution (in cases when receipt of such consent is provided by the Federal Laws), is determined by other regulations of the Bank of Russia.".

1.7. To state the paragraph of the seventh of Item 6.10 in the following edition:

"information on representation by founders of credit institution of the document provided by the paragraph the eighth Item 14.6 of this Instruction.".

1.8. In Item 6.11:

word in paragraph one", provided by founders of credit institution" to exclude;

in paragraph three of the word "in four copies" shall be replaced with words "in triplicate";

in the paragraph the fifteenth "according to article 16 of the Federal law "About Financial Accounting" shall be replaced with words words "according to the procedure and the cases determined by the Federal Laws";

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