PROVISION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of December 12, 2014 No. 444-P

About identification by the not credit financial credit institutions of clients, representatives of the client, beneficiaries, beneficial owners for the purpose of counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing

Based on 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. 2315, Art. 2335; No. 23, Art. 2934; No. 30, the Art. 4214, the Art. 4219) (further - the Federal Law) 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, of the Art. 6154) this Provision establishes requirements to identification (including the simplified identification) clients, the client's representatives (including identifications of sole executive body as client's representative), beneficiaries and beneficial owners for the purpose of counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing (further - POD/FT) the organizations performing transactions with the money or other property specified in article 5 of the Federal Law (except for credit institutions), regulation, control and supervision of which in accordance with the legislation of the Russian Federation exercises the Bank of Russia (further - not credit financial credit institutions).

Chapter 1. General provisions

1.1. Not credit financial credit institution shall before acceptance on servicing identify:

physical person or legal entity, foreign structure without formation of legal entity, the individual entrepreneur, the physical person who is engaged in the procedure established by the legislation of the Russian Federation in private practice to whom not credit financial credit institution renders service on one-time basis or whom accepts on the servicing assuming the lasting nature of the relations when implementing transactions with money or other property within the professional activity as not credit financial credit institution (further - the client);

person when making transaction acting on behalf and in interests or for customer account which powers are based on the power of attorney, the agreement, the act of authorized state body or local government body, the law, and also sole executive body of the legal entity (further - the client's representative);

person who is not directly the participant of transaction to whose benefit the client acts including based on the agency agreement, agreements of the order, the commission and trust management, when carrying out transactions with money and other property (further - the beneficiary).

Identification of the legal entity who is the client's representative, the beneficiary, and also foreign structure without formation of legal entity being the client's representative, the beneficiary is performed in the amount provided for clients - legal entities and clients - foreign structures without formation of legal entity respectively, except for the data provided by subitem 1.8 of Item 1 and Item 2 of appendix 2 to this Provision.

Not credit financial credit institution when carrying out identification (the simplified identification) estimates degree (level) of customer risk according to the Provision of the Bank of Russia of December 15, 2014 No. 445-P "About requirements to rules of internal control of not credit financial credit institutions for the purpose of counteraction of legalization (washing) of income gained in the criminal way, and to terrorism financing", the registered Ministry of Justice of the Russian Federation on February 9, 2015 No. 35933 ("the Bulletin of the Bank of Russia" of February 18, 2015 No. 14) (further - the Provision of the Bank of Russia No. 445-P), irrespective of type and transaction nature, carried out by the client, or durations of the established relations with the client.

Assessment of degree (level) of customer risk is not performed in cases when identification (the simplified identification) of the client in the established cases is not carried out.

1.1.1. Not credit financial credit institution, except as specified, established by the Federal Law and this Provision, shall take reasonable and available in the circumstances measures for identification of physical person which eventually directly or indirectly (through the third parties, including through the legal entity, several legal entities or group of the connected legal entities) owns (more than 25 percent in the capital have the prevailing participation) the client - the legal entity or directly or indirectly controls actions of the client, including has opportunity to determine the decisions made by the client (further - the beneficial owner).

Not credit financial credit institution makes the decision on recognition of physical person by the beneficial owner taking into account the factors provided by rules of internal control for the purpose of POD/FT.

If the structure of property and (or) organizational structure of the client - the legal entity - the nonresident or organizational form of the client - foreign structure without formation of legal entity do not assume availability of the beneficial owner and sole executive body (head), not credit financial credit institution fixes information on it in the questionnaire (file) of the client.

1.2. Identification is not carried out:

concerning the client, the beneficiary, being public authority of the Russian Federation, public authority of the subject of the Russian Federation, local government body, public authority of foreign state, the Bank of Russia;

concerning the beneficial owners in case of acceptance on customer service who are persons specified in the paragraph the second this Item;

concerning beneficiaries if client is person specified in the paragraph the second this Item.

Not credit financial credit institution identifies representatives of the clients specified in the paragraph the second this Item taking into account features, stipulated in Item 1.3.1 this provision.

1.3. Not credit financial credit institution has the right not to identify the beneficiary if:

the client is the organization performing transactions with money or other property, specified in article 5 of the Federal Law or person specified in article 7.1 of the Federal Law, and the beneficiary is client of such client;

the client is resident bank of foreign state - the member Gruppy of development of financial measures of anti-money laundering (FATF), having indicator of the rating assessment appropriated by the Russian credit rating agency or the international rating agency <1> and included in the list (register) of the operating credit institutions of the corresponding foreign state.

This Item is not applied in case not credit financial credit institution concerning the client specified in this Item or concerning transaction with money or other property of this client has suspicions that they are connected with legalization (washing) of income gained in the criminal way, or terrorism financing.

___________

<1> For information only: Moody "s Investors Service, Standard & Poor" s, Fitch Ratings.

1.3.1. Not credit financial credit institution has the right not to identify the representative, being sole executive body (head):

the client specified in paragraphs the second, the third, fifth and sixth the subitem 2 of Item 1 of article 7 of the Federal Law;

the client, being the Bank of Russia;

- the foreign organization having according to its personal law the right to render the services connected with attraction from clients and placement of money or other financial assets for storage, management, investment and (or) implementation of other transactions for the benefit of the client or directly or indirectly for customer account provided that such organization is resident of foreign state - the member Gruppy of development of financial measures of anti-money laundering (FATF), the indicator of rating assessment appropriated by the Russian credit rating agency or the international rating agency has the client and also it is included in the list (register) of operational entities of the corresponding foreign state.

This Item is not applied in case not credit financial credit institution concerning the client specified in this Item or concerning transaction with money or other property of this client has suspicions that they are connected with legalization (washing) of income gained in the criminal way, or terrorism financing and also if the client's representative, being sole executive body (head), makes on behalf of the client of action, necessary for acceptance of the client by the not credit financial credit institution on servicing, or makes on behalf of the client transaction with money or other property.

1.4. If the beneficiary cannot be identified by not credit financial credit institution before acceptance of the client on servicing due to the lack of the beneficiary in the transactions planned by the client to making, not credit financial credit institution performs identification of the beneficiary (in case of its availability) in time, not exceeding seven working days from the date of transaction making.

1.5. Not credit financial credit institution shall update the data received as a result of identification (the simplified identification) of clients, representatives of clients, beneficiaries, beneficial owners in the terms established by the Federal Law and also to update assessment of degree (level) of customer risk in the terms established by the Federal Law for updating of the data received as a result of identification of clients, representatives of clients, beneficiaries, beneficial owners.

Updating of the data received as a result of identification (the simplified identification) of clients, representatives of clients, beneficiaries, beneficial owners and also updating of assessment of degree (level) of customer risk is performed concerning the clients who are on servicing in not credit financial credit institution at the time of approach at not credit financial credit institution of obligation on updating of the corresponding data, assessment of degree (level) of customer risk.

Updating of the data received as a result of identification (the simplified identification) of the client, the representative of the client, the beneficiary, the beneficial owner and also updating estimates of degree (level) of customer risk can not be carried out in the presence of in total following conditions:

not credit financial credit institution undertook reasonable and available in the circumstances measures for updating of information about specified persons as a result of which updating of data was not complete;

from the date of undertaking of measures for updating of information about specified persons and to updating of assessment of degree (level) of customer risk operations by the client or concerning the client were not performed (except for transactions within stipulated by the legislation measures of forced execution of the Russian Federation in the form of the address of collection on money or other property of the client, transactions for the purpose of non-admission of emergence of negative balance of the securities considered on the custody account of the client, transactions in pursuance of the obligations provided by the derivative financial instrument on condition of lack of the order which is separately submitted the client on their carrying out, the transactions connected with payment of money (transactions on transfer or write-off of the securities on personal accounts of the client (on custody accounts of the client) made in stipulated by the legislation cases of the Russian Federation as a result of corporate actions without declaration of will of the client, transactions the measures for decrease in the size of the minimum margin and (or) value addition of portfolio of the client connected with acceptance by the broker if the standard rate of covering of risk in case of change in value of portfolio of the client referred by the broker according to the Instruction of the Bank of Russia of November 26, 2020 No. 5636-U "About requirements to implementation of broker activities when making by the broker of separate transactions for customer account", the registered Ministry of Justice of the Russian Federation on December 29, 2020 No. 61923, to category of clients with the standard or increased risk level accepts value less 0).

In case of the appeal of the client to not credit financial credit institution for carrying out transaction updating of information about the specified client, the client's representative, the beneficiary, the beneficial owner, and also updating of assessment of degree (level) of customer risk shall be complete before its carrying out.

1.6. When carrying out the simplified identification of the client identification, including the simplified identification, the representative of the client, the beneficiary and the beneficial owner is not carried out.

Chapter 2. Procedure for identification of clients, representatives of the client, beneficiaries and beneficial owners

2.1. For the purpose of identification of the client, the representative of the client, the beneficiary, the beneficial owner by not credit financial credit institution independently or with involvement of the third parties collection of the data and documents provided by appendices 1 and 2 to this Provision, the documents which are the basis of making of transactions is performed. Not credit financial credit institution uses including other data (documents) which are independently determined by not credit financial credit institution in rules of internal control for the purpose of POD/FT.

Not credit financial credit institution independently determines in rules of internal control for the purpose of POD/FT of the requirement to documents of the client who is the legal entity, foreign structure without formation of legal entity by the individual entrepreneur, the physical person who is engaged in the procedure established by the legislation of the Russian Federation in private practice whose period of activities does not exceed three months from the date of its registration (incorporation) and does not allow to provide to not credit financial credit institution of the data (documents) specified in subitem 2.5 of Item 2 of appendix 2 to this Provision, and also requirements to documents of the legal entity - the nonresident, foreign structure without formation of legal entity, represented according to subitem 2.5 of Item 2 of appendix 2 to this Provision.

In case of involvement by not credit financial credit institution to collection of the data and documents specified in this Item of the third parties identification of the client, representative of the client, beneficiary, beneficial owner is performed by directly not credit financial credit institution or person to whom in the cases established by the Federal Law carrying out identification (the simplified identification) is entrusted.

2.2. In case of identification (the simplified identification) of the client, the representative of the client, the beneficiary, the beneficial owner, and also when updating the data received as a result of identification (the simplified identification), not credit financial credit institution uses information from open information systems of public authorities of the Russian Federation, Fund of the pension and social insurance of the Russian Federation, Federal Compulsory Health Insurance Fund placed on the Internet (further - Internet network), or received with use of single system of interdepartmental electronic interaction, including:

the data containing in the Unified State Register of Legal Entities, the Unified State Register of Private Entrepreneurs, the state register of accredited branches, representations of foreign legal entities;

data on the lost, invalid passports, on passports of the died physical persons, on the lost forms of passports;

information on availability concerning the client, the representative of the client, the beneficiary and the beneficial owner of data on their participation in extremist activities or terrorism.

The paragraph the fifth ceased to be valid according to the Instruction of the Central bank of the Russian Federation of 04.04.2023 No. 6397-U

Not credit financial credit institution can also use other sources of information available to it on legal causes.

2.3. Updating of the data received as a result of identification of the client, the representative of the client, the beneficiary, the beneficial owner is performed by not credit financial credit institution according to the procedure established in rules of internal control for the purpose of POD/FT by receipt of documents and data directly from the client (the client's representative) and (or) by the appeal to information sources specified in Item 2.2 of this provision.

2.4. All documents allowing to identify the client, the representative of the client, the beneficiary, the beneficial owner shall be valid for date of their presentation.

The documents constituted completely or in their any part in foreign language (except for the identity documents of physical person issued by competent authorities of the foreign states constituted in several languages including Russian), are represented to not credit financial credit institution with properly certified translation into Russian. Not credit financial credit institutions accept the documents issued by competent authorities of foreign states, confirming the status of nonresident banks without their legalization. Not credit financial credit institutions accept the documents issued by competent authorities of foreign states, confirming the status of legal entities - nonresidents, not being nonresident banks, foreign structures without formation of legal entity without their legalization, except as specified availability at employees of not credit financial credit institution of doubts in reliability or accuracy of the documents and (or) data or suspicions submitted by specified persons that the purpose of the conclusion of the agreement specified persons with not credit financial credit institution is making of transactions for the purpose of legalization (washing) of income gained in the criminal way or terrorism financings.

The requirement about representation of documents to the not credit financial credit institution with properly certified translation into Russian does not extend to the documents issued by competent authorities of foreign states, proving the identity of physical persons on condition of availability at physical person of the document confirming the right of legal stay in the territory of the Russian Federation (for example, the entrance visa, the migration card).

In cases and according to the procedure, provided by not credit financial credit institution in internal documents, the employee of not credit financial credit institution, or the employee of person to whom based on the Federal Law powers on carrying out identification, or the employee of the specialized organization providing of translation service are conferred has the right to execute transfer of the document (its part) into Russian. Transfer shall be signed by person which performed it with indication of surname, name, middle name (in the presence of the last), position or details of the identity document of person who made transfer.

All documents necessary for identification of the client, the representative of the client, the beneficiary, the beneficial owner, updating of information on them are represented in the original or properly verified copy. If only part of the document is related to identification of the client, representative of the client, beneficiary, beneficial owner, the certified extract from it can be provided. In case of submission of the copy of documents (statements from documents) not credit financial credit institution has the right to demand from the client, the representative of the client of submission of originals of the relevant documents for acquaintance.

Separate data which confirmation is not connected with need of studying by not credit financial credit institution of documents of title, financial (accounting) records of the client or identity documents of physical person (for example, phone number, the fax, the e-mail address, other contact information) can be represented by the client (the client's representative) without their documentary confirmation, including from words (orally).

Reliability of such data is confirmed by the client according to the procedure, established by not credit financial credit institution in rules of internal control for the purpose of POD/FT.

Not credit financial credit institution independently determines in rules of internal control for the purpose of POD/FT method of assurance of copies of the documents (including statements from documents) submitted for the purposes of identification of the client, the representative of the client, the beneficiary, the beneficial owner, updating of information about them.

2.5. The information about the client, the client's representative, the beneficiary, the beneficial owner given in appendix 3 to this Provision is fixed in the questionnaire (file) of the client representing the separate document or set of documents which is drawn up on the paper and (or) electronic medium.

At the discretion of not credit financial credit institution the questionnaire (file) of the client can also include other data.

The questionnaire (file) of the client created (created) in electronic form in case of transfer on paper is certified by the signature of the employee of not credit financial credit institution, authorized to certify the questionnaire (file).

Properly verified copies of paper documents and (or) documents (copies of documents) in electronic form can be stored in the questionnaire (file) of the client in addition to data.

The form of the questionnaire (file) of the client and (or) procedure for maintaining the questionnaire (file) for the client is determined by not credit financial credit institution in rules of internal control for the purpose of POD/FT.

The questionnaire (file) of the client is subject to storage in not credit financial credit institution at least five years from the date of the termination of the relations with the client.

Paragraph of the seventh ceased to be valid.

2.6. The data included in the questionnaire (file) of the client can be fixed and be stored by not credit financial credit institution in the electronic database to which quick access in the permanent mode for check of customer information, the client's representative, the beneficiary, the beneficial owner can be provided to the staff of not credit financial credit institution performing identification of the client, representative of the client, beneficiary, beneficial owner.

2.7. Not credit financial credit institution has the right not to carry out repeated identification of the client, representative of the client, beneficiary, beneficial owner, the repeated simplified identification of the client - physical person in the presence of in total following conditions:

identification of the client, representative of the client, beneficiary, beneficial owner, the simplified identification of the client - physical person is carried earlier out, and the client is on servicing;

not credit financial credit institution has no doubts in reliability and accuracy of earlier acquired information, and also its sufficiency for execution of requirements of the Federal Law;

to the information about this client, the client's representative, the beneficiary, the beneficial owner quick access in the permanent mode according to the procedure set by not credit financial credit institution in rules of internal control for the purpose of POD/FT is provided.

Chapter 3. Features of identification of clients, representatives of the client, beneficiaries and beneficial owners managing company of investment funds, mutual investment funds and non-state pension funds

3.1. The managing company of investment funds, mutual investment funds and non-state pension funds (further - managing company) has the right not to identify the client whose rights to investment shares of the mutual investment fund which is under control of the specified managing company are considered by the nominee holder on the custody account. In the case established in this paragraph, the managing company has the right not to identify also the representative of the client, the beneficiary and the beneficial owner.

3.2. The managing company has the right not to update the information about the client, the client's representative, the beneficiary and the beneficial owner if according to the order of the client or client's representative shares of the mutual investment fund which is under control of the specified managing company are transferred to the custody account opened at the nominee holder.

Chapter 4. Final provisions

4.1. This Provision 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 Provision of the Bank of Russia of December 12, 2014 No. 444-P "About identification by the not credit financial credit institutions of clients, representatives of the client, beneficiaries, beneficial owners for the purpose of counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing"

The data received for the purpose of identification (the simplified identification) of clients - physical persons, identification of representatives of the client, beneficiaries - physical persons and beneficial owners

1. Surname, name and middle name in the presence of the last.

2. Birth date.

3. Nationality.

4. Details of the identity document: series (in the presence) both document number, date of issue of the document, the name of the body which issued the document (in the presence of subdivision code it can not be established), and subdivision code (in the presence).

In accordance with the legislation of the Russian Federation identity documents, are:

4.1. for citizens of the Russian Federation:

passport of the citizen of the Russian Federation;

the passport of the citizen of the Russian Federation, the diplomatic passport, service passport proving the identity of the citizen of the Russian Federation outside the Russian Federation;

the certificate of birth of the citizen of the Russian Federation (for citizens of the Russian Federation aged up to 14 years);

the temporary identity certificate of the citizen of the Russian Federation issued for execution of the passport of the citizen of the Russian Federation;

4.2. for foreign citizens:

passport of the foreign citizen;

4.3. for stateless persons:

the document issued by foreign state and recognized according to the international treaty of the Russian Federation as the identity document of the stateless person;

permission to temporary residence, residence permit;

the identity document of person which does not have the valid identity document for consideration of the application about recognition by the citizen of the Russian Federation or about acceptance in citizenship of the Russian Federation;

certificate of the refugee, certificate on consideration of the petition for recognition by the refugee in the territory of the Russian Federation in essence;

4.4. other documents recognized by identity documents of the citizen of the Russian Federation in accordance with the legislation of the Russian Federation and identity documents of the foreign citizen and stateless persons in accordance with the legislation of the Russian Federation and the international treaty of the Russian Federation.

5. Ceased to be valid according to the Instruction of the Central bank of the Russian Federation of 05.10.2021 No. 5965-U

6. Data of the document confirming the right of the foreign citizen or stateless person to stay (residence) in the Russian Federation (data of the migration card in case of lack of other documents): series (if is available) and document number, start date of effective period of the right of stay (accommodation), expiry date of the right of stay (accommodation).

The data specified in this Item are established concerning the foreign citizens and stateless persons which are in the territory of the Russian Federation if need of availability at them of the document confirming the right of the foreign citizen or stateless person to stay (residence) in the Russian Federation is provided by international treaties of the Russian Federation and the legislation of the Russian Federation.

7. Residential address (registration) or places of stay.

8. Identification taxpayer number (in the presence).

8.1. Information on the insurance number of the individual ledger account of insured person in system of mandatory pension insurance (in the presence).

9. Phone numbers and faxes (in the presence).

10. Other contact information (in the presence).

11. Position of the client specified in the subitem 1 of Item 1 of article 7.3 of the Federal Law, the name and the address of his employer.

12. Degree of relationship or the status (the spouse or the spouse) of the client in relation to person specified in the subitem 1 of Item 1 of article 7.3 of the Federal Law.

13. The data confirming availability at person of powers of the representative of the client: the name, date of issue, effective period, document number on which powers of the representative of the client are based.

14. Data on the purposes of establishment and expected nature of business relations with not credit financial credit institution, data on the purposes of financial and economic activities.

15. Data on financial position.

16. Data on goodwill.

17. Data on sources of origin of money and (or) other property of the client.

18. The information about the beneficial owner of the client, including the decision of not credit financial credit institution on recognition by the beneficial owner of the client of other physical person with reasons for the made decision (in case of identification of such beneficial owner).

19. For the purpose of carrying out the simplified identification of clients - physical persons collection of the data determined in the Federal Law depending on the chosen method of the simplified identification is performed.

20. Data, the stipulated in Item 8.1 presents of appendix, are established concerning the client in case of realization of the right by the not credit financial credit institution, stipulated in Item 5.4 articles 7 of the Federal Law.

The data provided by Items 14 - 16 these appendices, are established by not credit financial credit institution concerning clients with the raised degree (level) of customer risk. At the same time data, stipulated in Item 14 these appendices, are established by not credit financial credit institution once in case of acceptance of the client on servicing and updated in case of doubts in their reliability.

Data, stipulated in Item 17 these appendices, are established in case of realization by not credit financial credit institution of the right provided by subitem 1.1 of Item 1 of Article 7, and also in the case provided by the subitem 3 of Item 1 of article 7 of the Federal Law.

Appendix 2

to the Provision of the Bank of Russia of December 12, 2014 No. 444-P "About identification by the not credit financial credit institutions of clients, representatives of the client, beneficiaries, beneficial owners for the purpose of counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing"

The data received for the purpose of identification of the clients and beneficiaries who are legal entities, foreign structures without formation of legal entity, the individual entrepreneurs, physical persons who are engaged in the procedure established by the legislation of the Russian Federation in private practice

1. Data (documents) received for the purpose of identification of clients - legal entities and foreign structures without formation of legal entity, beneficiaries - legal entities and foreign structures without formation of legal entity.

1.1. The name, trade name in Russian (complete and (or) reduced) and (or) in foreign languages (complete and (or) reduced) (in the presence).

1.2. Form of business.

1.3. Identification taxpayer number - for resident, identification taxpayer number or the code of the foreign organization assigned till December 24, 2010 in case of registration in tax authority or identification taxpayer number appropriated after December 24, 2010 in case of registration in tax authority - for the nonresident.

1.3.1. Code (codes) (in the presence) foreign structure without formation of legal entity in the state (in the territory) its registration (incorporation) as the taxpayer (or its analogs).

1.4. Data on state registration:

the primary state registration number - for resident;

number of record about accreditation of branch, representation of the foreign legal entity in the state register of accredited branches, representations of foreign legal entities, registration number of the legal entity in the place of organization and registration - for the nonresident;

place of state registration (location);

the registration number (numbers) (in the presence) assigned to foreign structure without formation of legal entity in the state (in the territory) its registration (incorporation) in case of registration (incorporation), - for foreign structure without formation of legal entity.

1.5. Address of the legal entity.

1.6. Ceased to be valid according to the Instruction of the Central bank of the Russian Federation of 06.07.2020 No. 5495-U

1.7. The place of maintaining the main activities of foreign structure without formation of legal entity.

1.8. Structure of the property which is in management (property), surname, name, middle name (in the presence) (name) and the residential address (locations) of founders (participants), the incorporated trustee (managing director) and protectors (in the presence) - concerning trusts and other foreign structures without formation of legal entity with similar structure or function.

2. Additional data (documents) received for the purpose of identification of clients - legal entities and foreign structures without formation of legal entity.

2.1. Data on bodies of the legal entity, foreign structure without formation of legal entity (structure and staff of governing bodies of the legal entity, except for the information about members of shareholders (participants) of the legal entity owning less than five percent of shares (share) of the legal entity, structure and staff of governing bodies of foreign structure without formation of legal entity (in the presence).

2.2. Phone numbers and faxes (in the presence).

2.3. Other contact information (in the presence).

2.4. Data on the purposes of establishment and expected nature of business relations with not credit financial credit institution, data on the purposes of financial and economic activities (data on the planned transactions).

Data on the purposes of establishment and expected nature of business relations with not credit financial credit institution, and also data on the purposes of financial and economic activities of the client are established once in case of acceptance of the client on servicing and updated in case of doubts in their reliability.

2.5. Data (documents) on financial position (the copy of annual accounting records (the balance sheet, the report on financial result), and (or) the copy annual (or quarter) the tax declaration with marks of tax authority about their acceptance or without such mark with appendix or copies of the receipt on sending the registered mail with the inventory of investment (in case of the direction by mail), or acknowledgment copies of sending on papers (by transfer in electronic form); and (or) the copy of audit opinion on the annual statement for last year in which reliability of the financial (accounting) reporting and compliance of procedure for conducting financial accounting to the legislation of the Russian Federation prove to be true; and (or) the certificate of execution by the taxpayer (the payer of charges, the tax agent) of obligation on tax payment, charges, penalty fee, penalties issued by tax authority; and (or) data on absence concerning the client of insolvency proceedings (bankruptcy), the become effective decisions of judicial authorities on recognition by his insolvent (bankrupt), carrying out liquidation procedures as of date of submission of documents to not credit financial credit institution; and (or) data on lack of the facts of non-execution by the client of the monetary commitments on absence reason of money on bank accounts; and (or) the data on the rating of the client which are posted online "Internet" on the websites of the international rating agencies <1> and Russian credit rating agencies).

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<1> For information only: Moody "s Investors Service, Standard & Poor" s, Fitch Ratings.

Not credit financial credit institution in rules of internal control for the purpose of POD/FT independently determines quantity and document types from among specified in this subitem which are used by not credit financial credit institution for the purpose of determination of financial position of the client.

2.6. Data on goodwill (responses (in any written form, in case of possibility of their obtaining) about the client of other clients of this organization doing the business with it; and (or) responses (in any written form, in case of possibility of their obtaining) from credit institutions and (or) not credit financial credit institutions in which the client is (was) on servicing, with information of these credit institutions and (or) not credit financial credit institutions on assessment of goodwill of the client).

Not credit financial credit institution in rules of internal control for the purpose of POD/FT independently determines other document type or source of data which can be used by not credit financial credit institution for the purpose of determination of goodwill of the client, and also for the purpose of updating of information about her.

2.7. Data on sources of origin of money and (or) other property of the client.

2.8. Information about the beneficial owner (beneficial owners) of the client.

2.9. Code of the legal entity according to the All-Russian Classifier of Enterprises and Organizations (in the presence).

2.10. Data on the license for the right of implementation by the client, except for foreign structure without formation of legal entity, the activities which are subject to licensing: number, date of issue of the license; by whom it is issued; effective period; the list of types of the licensed activities.

2.11. Bank identification code - for credit institutions - residents.

2.12. Domain name, the index of the page of the website in Internet networks with which use by the client, except for foreign structure without formation of legal entity, renders services (in the presence).

3. Data (documents) received for the purpose of identification of the individual entrepreneurs, physical persons who are engaged in the procedure established by the legislation of the Russian Federation in private practice.

3.1. The data provided by appendix 1 to this Provision.

3.2. Data on registration as the individual entrepreneur: the primary state registration number of record about state registration of the individual entrepreneur according to the certificate on state registration of a person as an individual entrepreneur (the certificate on entering of record into the Unified State Register of Private Entrepreneurs of record about the individual entrepreneur registered till January 1, 2004), place of registration.

3.3. Data (documents) provided by subitems 2.4 - 2.7, 2.10, 2.12 Items 2 presents of appendix (are established concerning clients).

3.4. Ceased to be valid.

4. The data provided by subitem 2.7 of Item 2 presents of appendix are established in case of realization by not credit financial credit institution of the right provided by subitem 1.1 of Item 1 of article 7 of the Federal Law.

Appendix 3

to the Provision of the Bank of Russia of December 12, 2014 No. 444-P "About identification by the not credit financial credit institutions of clients, representatives of the client, beneficiaries, beneficial owners for the purpose of counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing"

The data included in the questionnaire (file) of the client

1. The data received as a result of identification of the client, the beneficiary, the representative of the client, the beneficial owner, specified in appendices 1 and 2 to this Provision.

2. Data on degree (level) of customer risk, including reasons for reference of the client to certain degree (certain level) of customer risk according to the Provision of the Bank of Russia No. 445-P.

3. Start date of the relations with the client, date of the termination of the relations with the client.

4. Date of execution of the questionnaire, date of updates of the questionnaire (file) of the client.

5. Surname, name, middle name (in the presence of the last), position of the employee of not credit financial credit institution who made the decision on acceptance of the client on servicing and also the employee who filled (updated) questionnaire (file) client (except for case when filling (updating) of the questionnaire (file) of the client is performed with use of the automated systems without the actual participation of the employee of not credit financial credit institution and in the questionnaire (file) of the client it is specified that filling (updating) is performed with use of the automated systems).

6. Data on results of each verification of presence (absence) concerning the client of information on his participation in extremist activities or terrorism, its communication with the terrorist organizations and terrorists or distribution of weapons of mass destruction (date of check, results of check, and in case of availability of information on participation of the client in extremist activities or terrorism, its communication with the terrorist organizations and terrorists or distribution of weapons of mass destruction - also number (in the presence) and date of the list of the organizations and physical persons concerning which there are data on their participation in extremist activities or terrorism, numbers (in the presence) and dates of lists of the organizations and physical persons connected with the terrorist organizations and terrorists or distribution of weapons of mass destruction, constituted within realization of powers provided by Chapter VII of the Charter of the UN of June 26, 1945 (The collection of the current agreements, agreements and conventions signed by the USSR with foreign states, the issue XII. - M, 1956, page 14 - 47. It is ratified by the Decree of Presidium of the Supreme Council of the USSR of August 20, 1945 "About ratification of Articles of organization of the United Nations" (The collection of the laws of the USSR and Decrees of Presidium of the Supreme Council of the USSR, 1938 - 1975, t. 2, the pages 237), the UN Security Council or bodies which are specially created by decisions of the UN Security Council containing the information about the client, or number and date of the decision of the interdepartmental coordinating body performing functions on counteraction to terrorism financing about freezing (blocking) of money or other property of the client).

7. Other data at the discretion of not credit financial credit institution.

 

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