INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of June 10, 2015 No. 3670-U

About terms and procedure for creation and submission to the Bank of Russia and to the insurer of the reporting of specialized depositary

Based on the subitem 6 of Item 8 of article 26.2 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, Art. 6154; 2015, No. 10, the Art. 1409) (further - the Law of the Russian Federation "About the organization of insurance case in the Russian Federation") and 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; No. 52, Art. 7543; 2015, No. 1, of the Art. 4, of the Art. 37) this Instruction establishes terms and procedure for creation and submission to the Bank of Russia and to the insurer of the reporting of specialized depositary.

1. The reporting on results of implementation by specialized depositary of control of compliance of structure and structure of the assets accepted for covering of insurance reserves and own means (capital) of the insurer, to requirements of the Law of the Russian Federation "About the organization of insurance case in the Russian Federation", other regulatory legal acts and regulations of the Bank of Russia (further - the Reporting) is constituted according to appendix to this Instruction.

2. The reporting sent by specialized depositary to the Bank of Russia contains data on results of control of specialized depositary of all insurers with which the specialized depositary signs service provision agreements of specialized depositary.

The reporting sent by specialized depositary to the insurer contains data on results of control of specialized depositary of this insurer.

3. The reporting is constituted for calendar month and it is represented to the insurer no later than the tenth working day of the month following for reporting in the Bank of Russia - no later than the fifteenth working day of the month following for reporting.

4. The reporting is submitted in the Bank of Russia in electronic form, signed by the strengthened qualified digital signature of sole executive body of specialized depositary, on telecommunication channels, including through the Internet, according to the Procedure for the organization of electronic document management in case of submission of electronic documents with the digital signature in the Federal Service for Financial Markets approved by the order of FFMS of Russia of March 25, 2010 No. 10-21/pz-n "About approval of the Procedure for the organization of electronic document management in case of submission of electronic documents with the digital signature in the Federal Service for Financial Markets" the registered Ministry of Justice of the Russian Federation on May 25, 2010 No. 17347, on October 12, 2010 No. 18687, on September 14, 2011 No. 21790, on June 1, 2012 No. 24428, on August 24, 2012 No. 25262 (The bulletin of regulations of federal executive bodies of August 23, 2010 No. 34, of November 8, 2010 No. 45, the Russian newspaper of September 21, 2011, of July 6, 2012, of September 21, 2012), taking into account the features established by this Instruction.

5. The electronic document containing the Reporting is prepared by means of the program questionnaire posted in open entry on the official site of the Bank of Russia on the Internet.

6. The reporting is submitted to the insurer electronically, signed by the digital signature.

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

Appendix

to the Instruction of the Bank of Russia of June 10, 2015 No. 3670-U "About terms and procedure for creation and submission to the Bank of Russia and to the insurer of the reporting of specialized depositary"

 

                                  Report

             about results of implementation by specialized

                          depositary of control

                      for ________________ 20 __ years

 

                                                 Form code on OKUD 0420830

 

                                                                  Monthly

 

Section I. General information about specialized depositary

 

Full (corporate) name	Abbreviated name	Identification Taxpayer Number (ITN)	Primary State Registration Number (PSRN)	Date of issue of the license for implementation of depository activity	License number on implementation of depository activity
1	2	3	4	5	6

 

Date of issue of license for activities of specialized depositary of investment funds, mutual investment funds and non-state pension funds	License number on implementation of activities of specialized depositary of investment funds, mutual investment funds and non-state pension funds	Registration number of credit institution	Regulations of specialized depositary
			date of registration record	number of registration record
7	8	9	10	11

 

Section II. Data on the signed and stopped service provision agreements of specialized depositary

 

No. of line	Date of the conclusion of the agreement	Agreement number	Duration of the agreement	Full name of the insurer	Registration number of entry in the unified state register of subjects of insurance case	Identification Taxpayer Number (ITN) of the insurer	Primary State Registration Number (PSRN) of the insurer	Full name of managing company of the insurer
1	2	3	4	5	6	7	8	9
1
2
...

 

No. of line	Identification Taxpayer Number (ITN) of managing company of the insurer	Primary State Registration Number (PSRN) of managing company of the insurer	Date of termination of the contract	Reason code of termination of the contract	Whether the specialized depositary is affiliate of the insurer	Affiliation basis	Account number of depot on which the rights to the securities accepted for covering of insurance reserves and own means (capital) of the insurer are considered
1	10	11	12	13	14	15	16
1
2
...

 

Section III. Data on results of implementation by specialized depositary of daily control

 

No. of line	Full name of the insurer	Registration number of entry in the unified state register of subjects of insurance case	Date	Compliance to requirements to structure of assets of the insurer	Compliance to high-quality requirements to assets of the insurer
1	2	3	4	5	6
1
2
...

 

No. of line	Compliance to requirements to structure of assets of the insurer	Compliance of ratio of total cost of assets of the insurer in which means of insurance reserves, the total size of insurance reserves of the insurer are invested	Compliance of ratio of total cost of assets in which own means (capital) of the insurer, the total size of own means are invested (capital) of the insurer	Note
1	7	8	9	10
1
2
...

 

Section IV. Data on informing the Bank of Russia on the revealed violations (discrepancies) and their elimination

 

No. of line	Full name of the insurer	Registration number of entry in the unified state register of subjects of insurance case	Date of making of violation (emergence of discrepancy)	Date of the notification on identification of violation (discrepancy) sent to the Bank of Russia	Number of the notification on identification of violation (discrepancy) sent to the Bank of Russia
1	2	3	4	5	6
1
2
...

 

No. of line	Violation code	Date of elimination of violation (discrepancy)	Date of the notification on elimination of violation (discrepancy) sent to the Bank of Russia	Number of the notification on elimination of violation (discrepancy) sent to the Bank of Russia	Note
1	7	8	9	10	11
1
2
...

 

Sole executive body _________________

                                    (Surname, name, patronymic)

 

 

Procedure for creation of the reporting under form 0420830 "Report on results of implementation by specialized depositary of control"

1. The reporting under form 0420830 "The report on results of implementation by specialized depositary of control" (further - the Report) is constituted by specialized depositaries of the insurer, being the legal entities having licenses for implementation of depository activity and activities of specialized depositary of investment funds, mutual investment funds and non-state pension funds.

2. In the Section I "General information about specialized depositary" of the Report the following data are reflected:

the full (corporate) name of specialized depositary corresponding to the full (corporate) name specified in its constituent documents;

the abbreviated name of specialized depositary corresponding to the abbreviated name specified in its constituent documents;

the identification taxpayer number (ITN) of specialized depositary - number specified in the certificate on registration of the legal entity in tax authority;

the primary state registration number (PSRN) of specialized depositary - number specified in the certificate on state registration of the legal entity;

date of issue and license number on implementation of depository activity;

date of issue and license number on implementation of activities of specialized depositary of investment funds, mutual investment funds and non-state pension funds;

registration number of credit institution according to the Book of state registration of credit institutions;

date and number of registration record of regulations of specialized depositary on control of structure and structure of the assets accepted for covering of insurance reserves and own means (capital) of the insurer, and also all changes made to the specified regulations.

3. In the Section II "Data on the signed and stopped service provision agreements of specialized depositary" of the Report data on each service provision agreement of specialized depositary signed and (or) stopped in the accounting period are reflected.

In columns 2 - 4 the following data on the service provision agreements of specialized depositary signed in the accounting period are specified to the insurer:

date of the conclusion of the agreement;

agreement number;

duration of the agreement.

If the service provision agreement of specialized depositary is signed sine die, then in column 4 the word "termless" is specified.

If in the accounting period changes in part of term of its action, then in column 4 were made to the agreement the new duration of the agreement, and in columns 2 and 3 - its initial details is specified.

In columns 5 - 8 the following information about the insurer is specified:

full name of the insurer;

registration number of entry of the insurer in the unified state register of subjects of insurance case (further - EGRSSD);

identification taxpayer number (ITN) of the insurer;

primary state registration number (PSRN) of the insurer.

In case of attraction by the insurer for rendering services in investment of funds of insurance reserves and (or) own means (capital) of the insurer of managing company in columns 9 - 11 the following information about her is specified:

full name of managing company of the insurer;

identification taxpayer number (ITN) of managing company of the insurer;

primary state registration number (PSRN) of managing company of the insurer.

At the same time data on each managing company of the insurer are specified in separate line.

If in the accounting period the service provision agreement of specialized depositary signed in the accounting period or in the periods previous reporting is stopped, then in columns 2 - 4 initial details of such agreement, in column 12 - date of termination of the contract, and in column 13 - reason code of termination of the contract about rendering services of specialized depositary are specified:

1 - by agreement of the parties (since the moment provided by such agreement);

2 - in case of revocation of license of the insurer (after six months from the moment of response);

3 - in case of liquidation of specialized depositary (from the moment of decision making about liquidation of specialized depositary);

4 - in case of refusal one party from the agreement (since the moment provided by the agreement);

5 - after the duration of the agreement.

In column 14 data on are specified whether the specialized depositary is affiliate of the insurer: "is" or "is not". In case of the negative answer in column 15 "0" is put. In case of affirmative answer in column 15 the following codes of the basis owing to which the specialized depositary is affiliate of the insurer are specified:

1 - the specialized depositary belongs to that group of persons to which this insurance company belongs;

2 - the insurer has the right to dispose of more than 20 percent of total quantity of the voices falling on voting shares (shares) constituting the authorized capital of specialized depositary;

3 - the specialized depositary has the right to dispose of more than 20 percent of total quantity of the voices falling on voting shares or deposits constituting the authorized (share) capital, shares of the insurer.

In column 16 each account number of depot on which the rights to the securities accepted for covering of insurance reserves and own means (capital) of the insurer who is reflected on separate line are considered is specified.

4. In the Section III "Data on results of implementation by specialized depositary of daily control" of the Report data following the results of each working day of reporting calendar month on results of implementation by specialized depositary of control of compliance of structure and structure of the assets accepted for covering of insurance reserves and own means (capital) of the insurer within implementation of control functions according to article 26.2 of the Law of the Russian Federation are specified "About the organization of insurance case in the Russian Federation" (further - control).

In columns 2 and 3 the following information about the insurer is reflected:

full name of the insurer;

registration number of record of the insurer in EGRSSD.

In column 4 date for which control was exercised is specified. The quantity of lines shall match with quantity of the working days in reporting calendar month.

In columns 5 - 9 data on compliance of the assets accepted for covering of insurance reserves and own means (capital) of the insurer, to requirements of the Instruction of the Bank of Russia of November 16, 2014 No. 3444-U "About procedure for investment of means of insurance reserves and the list of the assets permitted for investment", No. 35297 registered by the Ministry of Justice of the Russian Federation on December 22, 2014 are specified ("the Bulletin of the Bank of Russia" of December 26, 2014 No. 114), and Instructions of the Bank of Russia of November 16, 2014 No. 3445-U "About procedure for investment of own means (capital) for the insurer and the list of the assets permitted for investment", No. 35295 registered by the Ministry of Justice of the Russian Federation on December 22, 2014 ("the Bulletin of the Bank of Russia" of December 26, 2014 No. 114), namely:

to requirements to structure of assets of the insurer;

to the high-quality requirements imposed to assets of the insurer;

to requirements to structure of assets of the insurer;

to ratio of total cost of assets of the insurer in which means of insurance reserves, the total size of insurance reserves of the insurer are invested;

to ratio of total cost of assets in which own means (capital) of the insurer, the total size of own means are invested (capital) of the insurer.

In columns 5 - 9 value is specified: "corresponds", "does not correspond", "it is impossible to exercise control".

If in columns 5 - 9 value "does not correspond" or "it is impossible to exercise control" is specified, then in the column 10 "Note" explanations of the reasons of discrepancy or the reasons of impossibility of control are specified.

5. In the Section IV "Data on informing the Bank of Russia on the revealed violations (discrepancies) and their elimination" of the Report data on the violations (discrepancies) of rules of investment of funds of insurance reserves and own means (capital) of the insurer, and also the requirements to structure, structure and asset cost accepted for covering of insurance reserves and own means (capital) of the insurer, and data on elimination of the revealed violations (discrepancies) revealed by specialized depositary as a result of control are specified.

In columns 2 and 3 the following information about the insurer is reflected:

full name of the insurer;

registration number of record of the insurer in EGRSSD.

In column 4 date of making of violation (emergence of discrepancy) is specified.

In columns 5 and 6 respectively a date and number of the notification on identification of violation (discrepancy) sent to the Bank of Russia are specified.

In column 7 the code of violation (discrepancy) is specified:

01 - non-presentation of documents by the insurer for implementation of control functions by specialized depositary;

02 - incomplete submission of documents by the insurer for implementation of control functions by specialized depositary;

03 - untimely submission of documents by the insurer for implementation of control functions by specialized depositary.

In case of violation of requirements of the Instruction of the Bank of Russia of November 16, 2014 "About procedure for investment of means of insurance reserves and the list of the assets permitted for investment" and Instructions of the Bank of Russia of November 16, 2014 No. 3445-U "About procedure for investment of own means (capital) for the insurer and the list of the assets permitted for investment" in column 7 is specified to No. 3444-U code of violation (discrepancy):

04 - violation by the insurer of requirements to structure of the assets accepted for covering of own means (capital);

05 - violation by the insurer of requirements to structure of the assets accepted for covering of insurance reserves;

06 - violation by the insurer of high-quality requirements to the assets accepted for covering of insurance reserves (except for violations (discrepancy) provided by code 10);

07 - violation by the insurer of high-quality requirements to the assets accepted for covering of own means (capital) of the insurer (except for violations (discrepancy) provided by code 11);

08 - violation by the insurer of requirements to structure of the assets accepted for covering of insurance reserves;

09 - violation by the insurer of requirements to structure of the assets accepted for covering of own means (capital);

10 - violation by the insurer of requirements to the assets accepted for covering of insurance reserves regarding lack of the corresponding credit rating at bank, the overcautious person, the issuer or issue of securities;

11 - violation by the insurer of requirements to the assets accepted for covering of own means (capital) regarding lack of the corresponding credit rating at bank, the issuer or issue of securities;

12 - the total cost of assets in which means of insurance reserves are invested is less than total size of insurance reserves of the insurer;

13 - the total cost of assets in which own means (capital) of the insurer are invested is less than total size of own means (capital) of the insurer;

14 - other violations.

If one notification contains data on several violations (discrepancies), then each violation (discrepancy) is reflected in separate line.

In column 8 date of elimination of violation (discrepancy) is specified.

In columns 9 and 10 respectively a date and number of the notification on elimination of violation (discrepancy) sent to the Bank of Russia are specified.

If violation (discrepancy) is not eliminated, then in column 11 it is necessary to specify not elimination reasons.

6. All dates in the Sections I-IV are specified in the DD.MM.GGGG format where "DD" - day, to "MM" - month, "GGGG" - year.

 

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