INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of June 16, 2016 No. 4045-U

About order of registration the Bank of Russia of rules of implementation of repository activities, rules of internal control, internal audit and risk management, and also the changes made to them and approval procedure the Bank of Russia of regulations on committee of users of repository services

List of amending documents

This Instruction based on Articles 15. 6, 15.7 and 15.9 Federal Laws 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; 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, Art. 4219; 2015, No. 1, Art. 13; No. 14, Art. 2022; No. 27, Art. 4001; No. 29, Art. 4348, Art. 4349, Art. 4357; 2016, No. 1, of the Art. 50, the Art. 81) establishes order of registration the Bank of Russia of rules of implementation of repository activities, rules of internal control, internal audit and risk management (further - rules), and also the changes made to them and approval procedure by the Bank of Russia of regulations on committee of users of repository services (further - provision).

1. Primary registration of rules (provision) is performed by the Bank of Russia when licensing for implementation of repository activities according to the procedure, No. 173-I established by the Instruction of the Bank of Russia of June 8, 2016 "About procedure and about conditions of licensing of repository activities and about the notification procedure repository of the Bank of Russia about appointment of the head of the structural unit created for implementation of repository activities, or release it from post", registered by the Ministry of Justice of the Russian Federation on July 4, 2016 No. 42733 ("the Bulletin of the Bank of Russia" of July 13, 2016 No. 65).

Registration of the changes made to rules (provision) of repository is performed by the Bank of Russia in case of representation of the new edition of rules (provision) approved by repository.

2. For registration (approval) of the new editorial office of rules (provision) the following set of documents shall be provided to the Bank of Russia (Department of the admission and termination of activities of the financial organizations) with the statement for registration (about approval) rules (provision) of repository (further - the statement) (appendix to this Instruction):

governed (provision) in duplicate on paper. Rules (provision) are also represented it (is represented) on the electronic medium in the *.doc format; *.docx; *.rtf. Repozitary shall provide compliance of the text of rules (provision) on paper and electronic carriers;

the list of the changes made to rules (provision) with the description of the reasons of modification which shall be provided on the electronic medium in the *.doc format; *.docx; *.rtf;

the copy (copies) of the decision (decisions) of authorized body of repository to which, (which) approved new edition of rules (provision) of repository.

In the presence in the rules (provision) of references to other internal documents of repository directed to registration (approval) in the Bank of Russia (Department of the admission and termination of activities of the financial organizations), not being subject registrations (approval) in the Bank of Russia, copies of such documents are also represented on the electronic medium in the *.doc format; *.docx; *.rtf.

Documents, not being subject registrations (approval) in the Bank of Russia, shall be approved by authorized bodies (persons) of repository.

3. On the title page of the rules (provision) of repository registered (approved) by the Bank of Russia are specified:

name of rules (provision);

the name of authorized body of repository, the claimed (developed) rule (provision);

approval date of the rules (provision) which are subject (being subject) to registration (approval);

the authorized signature of repository certified by repository seal (in case of its availability).

The left upper corner of the title page of the rules (provision) which are subject (being subject) to registration (approval) remains empty for putting down of mark about registration (about approval) the Bank of Russia.

4. In case of signing (assurance) of the documents specified in Item 2 presents of the Instruction, person which is not performing function of sole executive body of repository the copy of the document, the confirming power of the person which signed documents certified according to the procedure, established by the legislation of the Russian Federation is submitted.

5. In the documents specified in Item 2 presents of the Instruction, containing more than one leaf, sheets shall be numbered, stitched and fastened the last leaf by zaveritelny text with indication of figures and the copy-book of number of the stitched sheets signed by her originator with indication of surname, name, middle name (in the presence), positions and dates of creation on the back.

The signature of the originator of zaveritelny text shall be certified by repository seal (in case of its availability).

6. The Bank of Russia makes the decision on registration (on approval) new edition of rules (regulations) or on refusal in registration (approval) of the new editorial office of rules (provision) not later than in 30 working days from the date of receipt by the Bank of Russia of complete set of documents, the stipulated in Item 2 presents of the Instruction.

7. The decision of the Bank of Russia on registration of new edition of rules (provision) is made (on approval) by the director or the deputy director of Department of the admission and the termination of activities of the financial organizations and drawn up in the form of the notice of registration (about approval) new edition of rules (provision) (further - the notice of registration (about approval).

The first copy of the rules (provision) registered (approved) by the Bank of Russia (Department of the admission and termination of activities of the financial organizations), with mark about registration (about approval) is applied to the notice of registration (about approval) and goes to repository according to Item 16 of this Instruction, the second copy of rules (provision) together with the provided set of documents is stored in the Bank of Russia.

8. In case of violation by repository of the requirements to document creation provided by Items 3 and 5 of this Instruction, and (or) non-presentation of the documents specified in Items 2 and 4 of this Instruction, the Bank of Russia (Department of the admission and termination of activities of the financial organizations) directs to repository the notification with indication of to violation of requirements to document creation and (or) the list of missing documents (further - the notice of documents submission) no later than 15 working days from the date of representation of set of documents. The notice of documents submission is sent to the address specified in the Unified State Register of Legal Entities, the registered mail on paper with the assurance of receipt or by means of electronic communication channels or the different way confirming the fact and the date of receipt of the notice of documents submission.

9. In case of the direction to repository of the notice of documents submission terms of consideration of complete set of documents are estimated from the date of representation in repository in the Bank of Russia (Department of the admission and termination of activities of the financial organizations) of documents according to the notice of documents submission.

10. Representation term repository in the Bank of Russia (Department of the admission and termination of activities of the financial organizations) of documents according to the notification on provision of documents shall not exceed 60 working days from the date of registration of the statement by the Bank of Russia.

In case of non-presentation by repository of documents according to the notice of documents submission in time, specified in paragraph one of this Item, the Bank of Russia no later than five working days from end date of this term makes the decision on refusal in registration (approval) of the new editorial office of rules (provision) of repository according to Item 11 of this Instruction.

11. The decision on refusal in registration (approval) of the new editorial office of rules (provision) is made by the Bank of Russia on the following bases:

non-presentation, representation of incomplete set of documents and (or) inadequate execution of the documents entering it after receipt of the notice of documents submission;

discrepancy of new edition of rules and (or) provision to requirements of the Federal Laws and the regulations of the Bank of Russia adopted according to them;

availability in the submitted documents of incomplete and unreliable information.

12. The decision of the Bank of Russia on refusal in registration (approval) of the new editorial office of rules (provision) is made and signed by the director or the deputy director of Department of the admission and the termination of activities of the financial organizations and drawn up in the form of the notification on refusal in registration (approval) of the new editorial office of rules (provision) of repository (further - the notification on refusal).

13. The notification on refusal shall contain the basis on which the decision on refusal was made.

14. The notice of registration (about approval), mark about registration (about approval) new edition of rules (provision) and the notification on refusal shall contain decision date the Bank of Russia about registration (about approval) or about refusal in registration (approval) of the new editorial office of rules (provision).

15. On the notice of registration (about approval) or the notification on refusal the print of official stamp of the Bank of Russia is put down.

16. The notice of registration (about approval) or the notification on refusal is sent to the address specified in the Unified State Register of Legal Entities by the registered mail on paper with the assurance of receipt or issued to the authorized person of the repository within three working days from the date of following behind day of adoption of the relevant decision.

17. In case of refusal the Bank of Russia in registration (approval) of the new editorial office of rules (provision) the set of documents does not return to repository and is subject to storage in the Bank of Russia.

18. This Instruction becomes effective after 10 days after day of its official publication.

Appendix

to the Instruction of the Bank of Russia of June 16, 2016 No. 4045-U "About order of registration the Bank of Russia of rules of implementation of repository activities, rules of internal control, internal audit and risk management, and also the changes made to them and approval procedure the Bank of Russia of regulations on committee of users of repository services"

 

                                   Department of the admission and termination of activities

                                   financial organizations of the Bank of Russia,

                                   Ulitsa Neglinnaya, 12, Moscow, 107016

 

Ref. No. ____________

from "__" ___________

 

                                Statement

              about registration (about approval) the Bank of Russia

             rules of implementation of repository activities,

             rules of internal control, internal audit

               and risk managements (regulations on committee

                  users of repository services) <1>

 

___________________________________________________________________________

           (full name of repository in Russian)

___________________________________________________________________________

                   (date of state registration)

___________________________________________________________________________

      (primary state registration number of repository)

___________________________________________________________________________

               (identification taxpayer number;

                     reason code of registration)

___________________________________________________________________________

   (the address specified in the Unified State Register of Legal Entities)

asks to register (to approve):

___________________________________________________________________________

                  (name of the document of repository,

                  being subject to registration (approval)

 

   The following documents are enclosed to this application:

 

№ of payment order	Name of the document	Number of sheets	Number of copies

 

_______________________________ ____________ ______________________________

   (name of position     (signature)       (initials, surname)

       head or           MT

     authorized person)   (in the presence)

 

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<1> Recommended sample.

 

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