INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of August 7, 2015 No. 3754-U

About provision by organizers of trade and the clearing organizations in Federal Service for Financial Monitoring of information provided by the Federal Law "About Counteraction of Legalization (Washing) of Income Gained in the Criminal Way and to Terrorism Financing"

Based on article 7.1-1 of the Federal Law of August 7, 2001 No. 115-FZ "About counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing" (The Russian Federation Code, 2001, No. 33, Art. 3418; 2002, No. 30, Art. 3029; No. 44, Art. 4296; 2004, No. 31, Art. 3224; 2005, No. 47, Art. 4828; 2006, No. 31, Art. 3446, Art. 3452; 2007, No. 16, Art. 1831; No. 31, Art. 3993, Art. 4011; No. 49, Art. 6036; 2009, No. 23, Art. 2776; No. 29, Art. 3600; 2010, No. 28, Art. 3553; No. 30, Art. 4007; No. 31, Art. 4166; 2011, No. 27, Art. 3873; No. 46, Art. 6406; 2012, No. 30, Art. 4172; No. 50, Art. 6954; 2013, No. 19, Art. 2329; No. 26, Art. 3207; No. 44, Art. 5641; No. 52, Art. 6968; 2014, No. 19, Art. 2311, Art. 2315, Art. 2335; No. 23, Art. 2934; No. 30, Art. 4214, Art. 4219; 2015, No. 1, Art. 14, Art. 37, Art. 58; No. 24, Art. 3367; No. 27, the Art. 3950, the Art. 4001), 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, Art. 4, Art. 37; No. 27, Art. 3958, Art. 4001; No. 29, of the Art. 4348), this Instruction establishes procedure and amount of provision by persons rendering services in carrying out the organized biddings in the commodity and (or) financial markets based on the license of the exchange or the license of trade system (further - organizers of trade), at the request of Rosfinmonitoring of information on bidders and their clients, about the applications submitted by them and agreements signed by them, procedure and amount of provision by persons having the right to perform clearing activities based on the license for implementation of clearing activities (further - the clearing organizations) at the request of Rosfinmonitoring of information on participants of clearing, about activities for rendering clearing services according to the rules of clearing approved by the clearing organization, and also the notification procedure organizers of trade the clearing organizations of Rosfinmonitoring about availability at them good causes to believe, that the relevant agreements (services) are signed or can consist (to appear) for the purpose of legalization (washing) of income gained in the criminal way or terrorism financing.

1. The organizer of trade in case of receipt of request of Rosfinmonitoring about provision of information on bidders and their clients, and also about the applications submitted by them and agreements signed by them, the clearing organization in case of receipt of request of Rosfinmonitoring about provision of information on participants of clearing, and also about activities for rendering clearing services according to the rules of clearing approved by the clearing organization (further - required information) no later than the term determined by Item 3 presents of the Instruction provide in Rosfinmonitoring required information in document type (electronic images of paper documents) according to appendix 1 to this Instruction (further - documents) with appendix of the cover letter including the data provided by appendix 2 to this Instruction (further - the cover letter).

2. Documents are submitted with the cover letter signed by the head of the organizer of trade, the clearing organization or the authorized representative of the organizer of trade, the clearing organization on the paper and magnetic, optical or digital carrier by the direction of the registered mail with the assurance of receipt or representation to couriers is direct in Rosfinmonitoring.

In case of submission on paper of documents in the form of copies, the copy of each leaf shall bear text "True copy" and to be certified by the signature of person performing functions of sole executive body, the authorized representative of the organizer of trade, the clearing organization with indication of date of assurance of the corresponding copy and also impress of a seal of the organizer of trade, the clearing organization (in the presence of seal), or copies of documents shall be sewed, numbered, certified by the signature of person performing functions of sole executive body, or the authorized representative (with application of a copy of the document confirming it powers) the organizer of trade, the clearing organization and are under seal the organizer of trade, the clearing organization (in the presence of seal).

In case of lack of the relevant documents at the organizer of trade, the clearing organization, the cover letter shall include motivated explanation of the reasons of their absence.

3. Provision of required information is performed by organizers of trade, the clearing organizations by the registered mail with the assurance of receipt or the courier is direct in Rosfinmonitoring no later than five working days following behind day of receipt of request of Rosfinmonitoring fixed according to the order of registration of incoming documents established by the organizer of trade, the clearing organization if longer term is not established in request of Rosfinmonitoring.

4. Date of provision by the organizer of trade, the clearing organization of required information date of the direction to Rosfinmonitoring the organizer of trade, the clearing organization of the registered mail with the assurance of receipt containing required information is recognized, or date of representation to couriers it is direct in Rosfinmonitoring of required information.

5. On the written motivated request of the organizer of trade, the clearing organization about prolongation of completion date of request of Rosfinmonitoring directed before the expiration determined for provision of required information in Rosfinmonitoring (further - request about prolongation of term), Rosfinmonitoring can extend the term of provision of required information.

The request about prolongation of term shall contain specifying for the period of time necessary for the organizer of trade, the clearing organization for provision of required information in Rosfinmonitoring, and also the reasons for which execution of request of Rosfinmonitoring requires extra time.

Information on the direction the organizer of trade, the clearing organization of request about prolongation of term is subject to inclusion in the cover letter.

6. The organizer of trade, the clearing organization send to Rosfinmonitoring the notification on agreements (services) concerning which good reasons to believe are had that such agreements (services) are signed or can consist (to appear) for the purpose of legalization (washing) of income gained in the criminal way or terrorism financing (further - the notification), no later than three working days following behind day of detection of the relevant agreement (service).

7. The notification is transferred to Rosfinmonitoring by the organizer of trade, the clearing organization in the form of the letter on paper signed by the head of the organizer of trade, the clearing organization or the authorized representative of the organizer of trade, the clearing organization with appendix of the machine carrier containing electronic image of the notification by the direction in Rosfinmonitoring of the registered mail with the assurance of receipt or representation to couriers is direct in Rosfinmonitoring.

8. The notification shall include the data provided by appendix 3 to this Instruction.

9. Date of the notification the organizer of trade, the clearing organization of Rosfinmonitoring about agreements (services) concerning which good reasons to believe are had that such agreements (services) are signed or can consist (to appear) for the purpose of legalization (washing) of income gained in the criminal way or terrorism financing, date of the direction of the notification the organizer of trade is recognized, the clearing organization by the registered mail with the assurance of receipt or date of submission of the notification by the courier it is direct in Rosfinmonitoring.

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

It is approved Director of Federal Service for Financial Monitoring

Yu.A.Chikhanchin

Appendix 1

to the Instruction of the Bank of Russia of August 7, 2015 No. 3754-U "About provision by organizers of trade and the clearing organizations in Federal Service for Financial Monitoring of information provided by the Federal Law "About Counteraction of Legalization (Washing) of Income Gained in the Criminal Way and to Terrorism Financing"

The documents provided by organizers of trade, the clearing organizations in Rosfinmonitoring

1. If the information about bidders and their clients is requested, as the enclosure the document (in the form of the original or the trade certified by the organizer, the clearing organization of the copy) containing the statement created according to criteria of request of Rosfinmonitoring from the register of bidders and their clients which is kept according to the Provision of the Bank of Russia of October 17, 2014 No. 437-P "About activities for carrying out the organized biddings", the registered Ministry of Justice of the Russian Federation on December 30, 2014 No. 35494 ("the Bulletin of the Bank of Russia" of January 26, 2015 No. 5) goes (further - the Provision No. 437-P).

2. If data on the applications submitted by bidders and their clients as the enclosure are requested the document (in the form of the original or the trade certified by the organizer, the clearing organization of the copy) containing the statement created according to criteria of request of Rosfinmonitoring from the register of requests which is kept according to the Provision No. 437-P goes.

3. If data on the agreements signed by bidders and their clients are requested, as the enclosure the document (in the form of the original or the trade certified by the organizer, the clearing organization of the copy) containing the statement created according to criteria of request of Rosfinmonitoring from the register of the agreements signed at the organized biddings which is kept according to the Provision No. 437-P, and (or) the copy of the agreement requested by Rosfinmonitoring certified by the organizer of trade, the clearing organization goes.

4. If the information about participants of clearing is requested, as the enclosure the document (in the form of the original or the trade certified by the organizer, the clearing organization of the copy) containing the statement created according to criteria of request of Rosfinmonitoring from the register of participants of clearing which is kept according to the Regulations on requirements to clearing activities approved by the order of the Federal Service for Financial Markets of October 11, 2012 No. 12-87/pz-n "About approval of the Regulations on requirements to clearing activities", registered by the Ministry of Justice of the Russian Federation on December 20, 2012 No. 26222, on June 7, 2013 No. 28736 (The Russian newspaper of December 26, 2012 of July 3, 2013 goes) (further - Regulations on requirements to clearing activities).

5. If information on activities for rendering clearing services according to the rules of clearing approved by the clearing organization is requested, as the enclosure the documents (in the form of the original or the trade certified by the organizer, the clearing organization of the copy) created according to criteria of request of Rosfinmonitoring, containing the statement from the magazine of document registration, connected with implementation of clearing activities which is conducted according to Regulations on requirements to clearing activities, and (or) the report on the participant of clearing prepared on the report form to participants of clearing established by rules of clearing, and (or) certified by the organizer of trade, the clearing organization of the copy of the document requested by Rosfinmonitoring go.

Appendix 2

to the Instruction of the Bank of Russia of August 7, 2015 No. 3754-U "About provision by organizers of trade and the clearing organizations in Federal Service for Financial Monitoring of information provided by the Federal Law "About Counteraction of Legalization (Washing) of Income Gained in the Criminal Way and to Terrorism Financing"

The data included in the cover letter of the organizer of trade, the clearing organization

1. Required information (information about bidders and their clients; data on the applications submitted by bidders and their clients; data on the agreements signed by bidders and their clients; information about participants of clearing; information on activities for rendering clearing services according to the rules of clearing approved by the clearing organization).

2. Date and number of motivated request of the organizer of trade, the clearing organization providing required information about prolongation of completion date of request of authorized body (in case of the direction of motivated request).

3. The information about the organizer of trade, about the clearing organization, providing required information.

3.1. Full name.

3.2. Primary State Registration Number (PSRN).

3.3. Identification Taxpayer Number (ITN).

3.4. Reason code of registration (check point).

3.5. Registration number of credit institution according to the Book of State Registration of Credit Institutions (BSRCI) (for credit institution).

3.6. Bank identification code of the participant of calculations making payments through settlement network of the Bank of Russia (BIC) (for credit institution).

3.7. Data on the granted license (license type (the license of the exchange, the license of trade system, the license for implementation of clearing activities), number, date of issue of the license who grants the license).

4. Information about the subject of request.

4.1. Subject of request (bidder, bidder's client, participant of clearing).

4.2. The information about the subject - the legal entity (branch of the legal entity).

4.2.1. Full name.

4.2.2. Identification Taxpayer Number (ITN).

4.2.3. Bank identification code of the participant of calculations making payments through settlement network of the Bank of Russia (BIC) of credit institution (for credit institution).

4.3. The information about the subject - physical person.

4.3.1. Surname, name, middle name (in the presence).

4.3.2. Birth date (it is specified according to the identity document).

4.3.3. Registration address (it is specified according to the identity document).

4.3.4. Nationality.

4.3.5. The identity document (document type, series, number by whom and when it is issued).

4.4. The information about the subject - the individual entrepreneur.

4.4.1. Surname, name, middle name (in the presence).

4.4.2. Birth date (it is specified according to the identity document).

4.4.3. Registration address (it is specified according to the identity document).

4.4.4. Identification Taxpayer Number (ITN).

4.4.5. Nationality.

4.4.6. The identity document (document type, series, number by whom and when it is issued).

5. Data on the provided information.

5.1. The number of appendices (in the presence) (the number of sheets of the documents enclosed letter is specified).

5.2. Motivated explanation of absence reasons of required information (in case of lack of required information).

Appendix 3

to the Instruction of the Bank of Russia of August 7, 2015 No. 3754-U "About provision by organizers of trade and the clearing organizations in Federal Service for Financial Monitoring of information provided by the Federal Law "About Counteraction of Legalization (Washing) of Income Gained in the Criminal Way and to Terrorism Financing"

The data included in the notification

1. The information about the organizer of trade, about the clearing organization, directing the notification.

1.1. Name.

1.2. Primary State Registration Number (PSRN).

1.3. Identification Taxpayer Number (ITN).

1.4. Reason code of registration (check point).

1.5. Registration number of credit institution according to the Book of State Registration of Credit Institutions (BSRCI) (for credit institution).

1.6. Bank identification code of the participant of calculations making payments through settlement network of the Bank of Russia (BIC) of credit institution (for credit institution).

1.7. Data on the granted license (license type (the license of the exchange, the license of trade system, the license for implementation of clearing activities), number, date of issue of the license who grants the license).

2. Data on the agreement.

2.1. Date of detection of the agreement.

2.2. Date of the agreement.

2.3. Agreement number.

2.4. Date of the order (the request, the order) providing rendering service.

2.5. Number of the order (the request, the order) providing rendering service (in the presence).

2.6. Date (term) of rendering service.

3. Information about the subject of the agreement (service).

3.1. Subject of the agreement (service) (bidder, bidder's client, participant of clearing).

3.2. The information about the subject - the legal entity (branch).

3.2.1. Full name.

3.2.2. Identification Taxpayer Number (ITN).

3.2.3. Bank identification code of the participant of calculations making payments through settlement network of the Bank of Russia (BIC) of credit institution (for credit institution).

3.3. The information about the subject - physical person.

3.3.1. Surname, name, middle name (in the presence).

3.3.2. Birth date (it is specified according to the identity document).

3.3.3. Registration address (it is specified according to the identity document).

3.3.4. Nationality.

3.3.5. The identity document (document type, series, number by whom and when it is issued).

3.4. The information about the subject - the individual entrepreneur.

3.4.1. Surname, name, middle name (in the presence).

3.4.2. Birth date (it is specified according to the identity document).

3.4.3. Registration address (it is specified according to the identity document).

3.4.4. Identification Taxpayer Number (ITN).

3.4.5. Nationality.

3.4.4. The identity document (document type, series, number by whom and when it is issued).

 

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