INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of December 28, 2014 No. 3510-U

About the procedure and terms of the direction of the notification person who acquired the order right in 10 and more percent of votes falling on voting shares (shares) constituting the authorized capital of not credit financial credit institution and also procedure for request the Bank of Russia of information on persons who directly or indirectly have the order right in 10 and more percent of votes falling on voting shares (shares) constituting the authorized capital of not credit financial credit institution

This Instruction based on Item 9 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; 1999, No. 47, Art. 5622; 2002, No. 12, Art. 1093; No. 18, Art. 1721; 2003, No. 50, Art. 4855, Art. 4858; 2004, No. 30, Art. 3085; 2005, No. 10, Art. 760; No. 30, Art. 3101, Art. 3115; 2007, No. 22, Art. 2563; No. 46, Art. 5552; No. 49, Art. 6048; 2009, No. 44, Art. 5172; 2010, No. 17, Art. 1988; No. 31, Art. 4195; No. 49, Art. 6409; 2011, No. 30, Art. 4584; No. 49, Art. 7040; 2012, No. 53, Art. 7592; 2013, No. 26, Art. 3207; No. 30, Art. 4067; No. 52, Art. 6975; 2014, No. 23, Art. 2934; No. 30, Art. 4224; No. 45, the Art. 6154), Item 2 of article 10.2 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, Art. 6249; 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. 27, Art. 3880; 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, the Art. 4219), Item 2 of article 4.2 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; 2011, No. 27, Art. 3880; No. 49, Art. 7040; 2013, No. 26, Art. 3207; No. 30, Art. 4084; No. 51, the Art. 6683, the Art. 6695), Item 2 of article 38.1 of the Federal Law of November 29, 2001 No. 156-FZ "About investment funds" (The Russian Federation Code, 2001, No. 49, Art. 4562; 2004, No. 27, Art. 2711; 2006, No. 17, Art. 1780; 2007, No. 50, Art. 6247; 2008, No. 30, Art. 3616; 2009, No. 48, Art. 5731; 2010, No. 17, Art. 1988; No. 31, Art. 4193; No. 41, Art. 5193; 2011, No. 48, Art. 6728; No. 49, Art. 7040, Art. 7061; 2012, No. 31, Art. 4334; 2013, No. 26, Art. 3207; No. 27, Art. 3477; No. 30, Art. 4084; No. 51, Art. 6695, Art. 6699; 2014, No. 11, the Art. 1098), Item 2 of article 2.2 of the Federal Law of July 19, 2007 No. 196-FZ "About pawnshops" (The Russian Federation Code, 2007, No. 31, Art. 3992; No. 45, Art. 5426; 2013, No. 51, the Art. 6683, the Art. 6695), 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, Art. 4084; No. 49, Art. 6336; No. 51, Art. 6695, Art. 6699, No. 52, Art. 6975; 2014, No. 19, Art. 2311, Art. 2317; No. 27, Art. 3634; No. 30, Art. 4219; No. 45, Art. 6154; "The official Internet portal of legal information" (www.pravo.gov.ru), on December 23, 2014) establishes procedure and terms of the direction of the notification person who acquired the order right in 10 and more percent of votes, falling on voting shares (shares) constituting the authorized capital of not credit financial credit institution (further - the Notification), and also procedure for request the Bank of Russia of information on persons who directly or indirectly (through persons under control to them) independently or together with other persons have the order right in 10 and more percent of votes, falling on voting shares (shares) constituting the authorized capital of not credit financial credit institution (insurance company, the professional participant of the security market which is not credit institution, managing company, the microfinancial organization, pawnshop (further - NKFO).

Chapter 1. Procedure for the direction of the Notification

1.1. The physical person or legal entity which directly or indirectly (through persons under control to it) independently or together with other persons, the related property trust management agreements, and (or) particular partnership, and (or) the order, and (or) the shareholders' agreement, and (or) other agreement which subject is implementation of the rights certified by shares (shares) of NKFO acquired the order right in 10 and more percent of votes, falling on voting shares (shares) constituting the authorized capital of NKFO (further - person who acquired the order right shares (shares) of NKFO) shall send the Notification to the Bank of Russia (the structural division of the Bank of Russia exercising control and supervision of the activity related to NKFO) in all cases, irrespective of the basis of emergence of such right.

1.2. The notification goes to the Bank of Russia within five working days from the moment of emergence of the right of the order in 10 and more percent of votes falling on voting shares (shares) constituting the authorized capital of NKFO.

Along with the direction of the Notification in the Bank of Russia, person who acquired the order right shares (shares) of NKFO sends the Notification to NKFO, the order right in 10 and more percent of votes, falling on voting shares (shares) constituting the authorized capital of which it is received.

1.3. The following documents of person who acquired the order right in 10 and more percent of votes, falling on voting shares (shares) constituting the authorized capital of NKFO shall be attached to the Notification copy sent to the Bank of Russia:

copies of the identity document (for physical person), or the copy of the extract from the Unified State Register of Legal Entities (for the legal entity);

copies of the documents which are the basis of emergence of the right of the order in 10 and more percent of votes, falling on voting shares (shares) constituting the authorized capital of NKFO;

the documents confirming receipt of the right of the order with 10 and more percent of votes, falling on voting shares (shares) constituting the authorized capital of NKFO (the statement from the shareholder register, the statement from the participant list, the agreement and other documents);

copies of certificates PSRN and INN of legal entities (for foreign legal entities - the copy of the document confirming its registration in the organization country) through whom person acquired the order right in 10 and more percent of votes, falling on voting shares (shares) constituting the authorized capital of NKFO (in the presence);

the certificate of availability (absence) of criminal record for crime in the field of economic activity or crime against the government issued by authorized body of the government which date of issue does not exceed three months before date of the direction of the Notification.

1.4. The notification is submitted according to appendix to this Instruction, filled without blots, erasures and corrections.

Provision of information pawnshops perhaps in the form established by the Instruction of the Bank of Russia of August 5, 2014 No. 3355-U "About forms, terms and procedure for creation and submission to the Bank of Russia of the documents containing the activities report of pawnshop and the report on staff of governing bodies of pawnshop", the registered Ministry of Justice of the Russian Federation on September 8, 2014 No. 33998 ("the Bulletin of the Bank of Russia" of September 17, 2014 No. 83).

1.5. The person who acquired the order right shares (shares) of NKFO, having the right not to submit documents, the stipulated in Item 1.3 presents of the Instruction to the Bank of Russia if such documents were submitted by it to the Bank of Russia earlier and the data containing in these documents did not change. In that case in the notification details of the outgoing letter by which documents were submitted to the Bank of Russia earlier shall be specified.

1.6. In the documents submitted according to this Instruction and consisting more than of one leaf, sheets shall be numbered, stitched and fastened the last leaf by zaveritelny text with indication of figures and copy-book of number of the numbered sheets on the back. The Zaveritelny text is signed by her originator with indication of surname, name, middle name (in the presence), specifying of position and date of creation. The signature of the originator of zaveritelny text shall be certified by seal (in the presence).

1.7. The documents provided by this Instruction are signed by person who acquired the order right shares (shares) of NKFO, or person authorized by it. In case of signing of documents by the authorized person the power of attorney granting the right of representation of person who acquired the order right shares (shares) of NKFO or its copy certified in accordance with the established procedure or other document confirming the power of the person which signed documents is submitted.

1.8. The documents submitted by the foreign person shall be constituted in the state (official) language of the country of the location (registration) of the foreign person, are legalized according to the procedure, established by the legislation of the Russian Federation if other is not provided by international treaties which participants are the Russian Federation and the country of the location of the foreign person, with appendix of the translation of the specified documents into Russian certified in accordance with the established procedure.

1.9. The foreign person who acquired the order right shares (shares) of NKFO in addition to the documents specified in Item 1.3 of this Instruction represents according to the procedure, the established by the legislation of the country of the location of this foreign person, written consent of the relevant regulatory authority of the country of the location of this foreign person to participation in the authorized capital of NKFO in the territory of the Russian Federation or in writing notifies the Bank of Russia on lack of need of receipt of such consent for the country of the location of this foreign person.

1.10. In case of submission to the Bank of Russia not of all documents provided by this Instruction, and also in case of discrepancy of the specified documents to requirements of this Instruction, the Bank of Russia within twenty working days from the date of receipt of documents sends the written notice to the person who directed the Notification about need of elimination of the revealed violations to 30-days time from the date of receipt of such notification. The written notice shall contain notes to the submitted documents which shall be eliminated.

In case of elimination of all revealed violations by person who acquired the order right shares (shares) of NKFO, and representation by it in the Bank of Russia of the documents conforming to requirements of this Instruction in the time specified in the notification, documents are considered provided to the Bank of Russia with observance by the established this Instruction of procedure and terms.

1.11. The notification and documents provided by this Chapter can be represented to the Bank of Russia in electronic form with the strengthened qualified digital signature by means of telecommunication channels, including through the Internet.

Chapter 2. Procedure for information request about persons who acquired the order right shares (shares) of NKFO

2.1. Within implementation of the supervising functions the Bank of Russia has the right to request and obtain information on persons who acquired the order right shares (shares) of NKFO in the following cases:

for the purpose of verification of information containing in the Notification and the enclosed documents;

for the purpose of elimination of incompleteness of information containing in the Notification and documents attached to it submitted to the Bank of Russia;

for the purpose of check of observance by person who acquired the order right shares (shares) of NKFO, obligation about the direction of the Notification;

for the purpose of verification of information on availability of persons who acquired the order right shares (shares) of NKFO which did not direct (or directed with violation of procedure) the Notification according to the requirements established by this Instruction.

2.2. In the inquiries sent by the Bank of Russia required data and copies of documents, and also term of their representation are specified.

In the absence of possibility of submission of required data and copies of documents, physical persons and legal entities furnish in the term specified in request written explanation about the reasons of their non-presentation.

2.3. Copies of the documents provided in response to bank inquiry of Russia, consisting more than of one leaf shall be numbered, stitched and fastened the last leaf by zaveritelny text with indication of figures and copy-book of number of the numbered sheets on the back. The Zaveritelny text is signed by her originator with indication of surname, name, middle name (in the presence), specifying of position and date of creation. The signature of the originator of zaveritelny text shall be certified by seal (in the presence).

Chapter 3. Final and transitional provisions

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

3.2. This Instruction does not extend to cases of receipt of the order right by the Bank of Russia in 10 and more percent of votes, falling on voting shares (shares) constituting the authorized capital of NKFO.

3.3. The persons who acquired the order right shares (shares) of NKFO, did not fulfill duty in the direction of the Notification on the date of entry into force of this Instruction shall send the Notification to the Bank of Russia and to the corresponding NKFO no later than 30 working days from the effective date of this Instruction, according to the procedure, established by this Instruction.

Appendix

to the Instruction of the Bank of Russia of December 28, 2014 No. 3510-U "About the procedure and terms of the direction of the notification person who acquired the order right in 10 and more percent of votes falling on voting shares (shares) constituting the authorized capital of not credit financial credit institution and also procedure for request the Bank of Russia of information on persons who directly or indirectly have the order right in 10 and more percent of votes falling on voting shares (shares) constituting the authorized capital of not credit financial credit institution"

 

                                   Bank of Russia

                                   107016, Moscow, Ulitsa Neglinnaya, 12

 

                                   Full name of society

                                   ( concerning which the right is acquired

                                   orders    in 10 and more percent

                                   the voices  falling on voting

                                   shares       (share),      components

                                   authorized capital)

                                   Postal address of society

 

                               Notification

      about receipt of the right of the order in 10 and more percent of votes,

            falling on voting shares (shares) of society

 

Section I. Data on society

 

1	Full name of society
2	Location
3	Address
4	PSRN
5	INN
6	Phone/fax
7	The website on the Internet
8	E-mail address
9	Type of NKFO <1>
10	Number, date of issue of the license (number in the state register and date of introduction (in the presence)

 

Section II. The information about person who acquired the order right shares (shares) of not credit financial credit institution

Subsection 1. If person who acquired the order right shares (shares) of NKFO is the physical person

 

1	Surname, name, middle name <2>
2	Birth date
3	Birthplace
4	Nationality (citizenship)
5	The primary state registration number of record about state registration of the individual entrepreneur (PSRNSP) if the physical person is individual entrepreneur
5.1	INN (in the presence)
6	Residence and (or) place of stay
7	Contact telephone number
8	E-mail address
9	Data of the identity document <3>
10	Percent of votes, the order right by which it is had at person
11	The total number of shares (the share size), the order right by which it is had at person
12	Data on availability (absence) of criminal record and (or) the fact of criminal prosecution or on the termination of criminal prosecution for crimes in the field of economic activity or against the government <4>

 

Subsection 2. If person who acquired the order right shares (shares) of NKFO is the legal entity

 

1	Full name of the legal entity
2	PSRN <5>
3	INN <6>
4	Location
5	Address
6	Phone/fax
7	E-mail address
8	Data on sole executive body <7>
9	Information on shareholders (participants) of the legal entity owning more than 10% of shares (shares) in the authorized capital of the legal entity <8>
10	Percent of votes, the order right by which it is had at person
11	The total number of shares (the share size), the order right by which it is had at person

 

Section III. The information about persons through whom person who acquired the order right shares (shares) of not credit institution has the order right in 10 and more percent of votes, falling on voting shares (shares) of society

Subsection 1. Concerning physical persons it is specified:

 

1	Surname, name, middle name <2>
2	Birth date
3	Birthplace
4	Nationality (citizenship)
5	The primary state registration number of record about state registration of the individual entrepreneur (PSRNSP) if the physical person is individual entrepreneur
5.1	INN (in the presence)
6	Residence and (or) place of stay
7	Contact telephone number
8	E-mail address
9	Data of the identity document <3>
10	Percent of votes, the order right by which it is had at person who acquired the order right shares (shares) of NKFO through the specified person
11	The basis of emergence of the right of the order through the specified person <9>

 

Subsection 2. Concerning legal entities it is specified:

 

1	Full name of the legal entity
2	PSRN <5>
3	INN <6>
4	Location
5	Address
6	Phone/fax
7	E-mail address
8	Data on sole executive body <7>
9	Percent of votes, the order right by which it is had at person who acquired the order right shares (shares) of NKFO through the specified person
10	The basis of emergence of the right of the order through the specified person <9>
11	Interrelation of person which acquired the order right shares (shares) of NKFO and person through who this right is acquired <10>

 

The enclosed documents (only in the bank address of Russia)

 

№ of payment order	Name of the document	Number of sheets
1	2	3
1
...

 

Also I ask  to take cognizance of the documents which are earlier sent to the address

The Bank of Russia and which content did not change <11>

№ of payment order	Name of the document	Reference number of the letter	Date of the letter
1	2	3	4
1
...

 

 This is to confirm reliability of all data specified in the present

notification.

 

___________________________________________________________________________

(Surname, name, middle name of person (the head of the legal entity) who received

              order right shares (shares) of NKFO) <2>

 

_______________________                            _______________________

       (Date)                  of L. S. <12>                (Signature)

 

--------------------------------

<1> One of the following types of NKFO is specified: insurance company, professional participant of the security market, managing company, microfinancial organization, pawnshop.

<2> The middle name is specified in case of its availability.

<3> series, number, date and the place of issue of the passport or details of other identity document, in the absence of the passport Is specified.

<4> It is specified lack of not removed or unspent conviction or Article under which person who acquired the order right shares (shares) of NKFO and date of the introduction of sentence in force was condemned is specified.

<5> Concerning foreign legal entities data on registration in state bodies of the respective country are specified.

<6> Concerning the foreign legal entity it is not filled.

<7> The name of position, surname, name, middle name is specified (the last in the presence).

<8> If shareholder (participant) of the legal entity is the legal entity owning more than 10 percent of shares (shares) in the authorized capital of this legal entity, information is provided on each such legal entity until final shareholders (participants) show physical persons.

If shareholder (participant) is the legal entity, concerning each of them data are provided according to subsection 2 of the Section II of this appendix. If shareholder (participant) is the physical person, concerning each of them data are provided according to subsection 1 of the Section II of this appendix.

<9> Information is provided in a free form, with obligatory specifying of the name of the corresponding basis and its details (date/agreement number, powers of attorney, the judgment or other basis).

<10> Interrelations between person having the right to dispose of 10 and more percent of votes, falling on voting shares (shares) constituting the authorized capital of NKFO and the organizations through which such person performs the specified right reveal.

<11> The table of data on the documents which are earlier sent to the bank address of Russia and which content did not change, filled in the case provided in Item 1.5 of the Instruction of the Bank of Russia of December 28, 2014 No. 3510-U "About the procedure and terms of the direction of the notification person who acquired the order right in 10 and more percent of votes falling on voting shares (shares) constituting the authorized capital of not credit financial credit institution and also procedure for request the Bank of Russia of information on persons who directly or indirectly have the order right in 10 and more percent of votes falling on voting shares (shares) constituting the authorized capital of not credit financial credit institution".

<12> The seal is set in case of its availability.

 

Disclaimer! This text was translated by AI translator and is not a valid juridical document. No warranty. No claim. More info