INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of March 4, 2014 No. 3207-U

About the list of officials of the Bank of Russia, representatives to constitute protocols on administrative offenses

This Instruction according to the Russian Federation Code of Administrative Offences (The Russian Federation Code, 2002, No. 1, the Art. 1) (further - the Administrative Code), 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. 52, of the Art. 6975) the Bank of Russia establishes the list of officials of the Bank of Russia, representatives to constitute protocols on administrative offenses in cases of identification of the offenses provided by Articles 5.53 - 5.55, parts 1, 3 and 4 Articles 13. 25, parts 1 - 3 Articles 14. 1, part 1 of Article 14.4. 1, parts 1 - 5 and 7 - 9 Articles 14. 24, Articles 14. 29, 14.30, 14.36, 15.17 - 15.22, 15.23. 1, 15.24. 1, parts 2 - the 6th Article 15.26. 1, part 1 of Article 15.26.2 (except for restrictions of operating time), part 2 of Article 15.26. 2, Articles 15.26.3 - 15.26. 5, parts 1 - 3 Articles 15. 27, Articles 15.27. 2, 15.28 - 15.31, 15.34. 1, 15.35, 15.36, 15.38, part 1 of Article 15. 39, Articles 15. 40, 17.7, 17.9, part 1 of Article 19. 4, parts 1 and 9 of Article 19. 5, Articles 19. 6, 19.7, 19.7.3, 19.20, part 1 of the article 20.25 Administrative Code.

1. Protocols on administrative offenses concerning legal entities, including bureau of credit histories, their officials, citizens in cases of identification of the offenses provided by Articles 5.53 - 5.55, 14.29, 14.30, part 6 of Article 15.26. 1, Articles 15.26.3 - 15.26. 5, part 6 of Article 15. 38, Articles 17. 7, 17.9, part 9 of Article 19. 5, Articles 19. 19.7.3, part 1 of the article 20.25 Administrative Code, the following officials of the Bank of Russia are authorized to constitute 6,.

1.1. Chairman of the Bank of Russia, his deputies.

1.2. Director of the department of licensing of activities and financial improvement of credit institutions, his deputies.

1.3. Head of department of the Central catalog of credit stories and control of disclosure of information of Department of licensing of activities and financial improvement of credit institutions.

1.4. The deputy head of department - the head of the Central catalog of credit stories of Management of the Central catalog of credit stories and control of disclosure of information of Department of licensing of activities and financial improvement of credit institutions.

1.5. Other officials of Management of the Central catalog of credit history and control of disclosure of information of Department of licensing of activities and financial improvement of credit institutions as which control and supervision of activities of bureau of credit histories becomes.

1.6. Heads of territorial offices of the Bank of Russia, their deputies, and also other officials of territorial offices of the Bank of Russia authorized by orders of heads of territorial offices of the Bank of Russia.

1.7. Managing directors of Departments 1 - 4 Head departments of the Central bank of the Russian Federation across Central Federal District Moscow, their deputies, chiefs of managements, their deputies, chiefs of departments, managers of sectors, and also other officials of Departments 1 - 4 Head departments of the Central bank of the Russian Federation across Central Federal District Moscow authorized by orders of the head of Head department of the Central bank of the Russian Federation across Central Federal District Moscow.

2. Protocols on administrative offenses concerning not credit financial credit institutions, issuers of issued securities, participants of the corporate relations, limited liability companies, their officials, citizens, subjects of the legislation of the Russian Federation on counteraction to unauthorized use of the insider information and to market manipulation, other legal entities, their officials in cases of identification of the offenses provided by parts 1, 3 and 4 Articles 13. 25, parts 1 - 3 Articles 14. 1, part 1 of Article 14.4. 1, parts 1 - 5 and 7 - 9 Articles 14. 24, Articles 14. 36, 15.17 - 15.22, 15.23. 1, 15.24. 1, parts 2 - the 5th Article 15.26. 1, part 1 of Article 15.26.2 (except for restrictions of operating time), part 2 of Article 15.26. 2, Articles 15.28 - 15.31, 15.34. 1, 15.35, parts 1 - the 5th Article 15. 38, Articles 17. 7, 17.9, part 1 of Article 19. 4, parts 1 and 9 of Article 19. 5, Articles 19. 19.7, 19.7.3, 19.20, part 1 of the article 20.25 Administrative Code, the following officials of the Bank of Russia are authorized to constitute 6,.

2.1. Chairman of the Bank of Russia, his deputies.

2.2. The director of the department of collective investments and trust management, his deputies, chiefs of managements, their deputies, chiefs of departments, their deputies managing sectors and consultants in cases of identification of the offenses provided by part 1 of Article 13. 25, parts 1 - 3 Articles 14. 1, Articles 14. 36, 15.19, 15.20, 15.23. 1, 15.29, 15.31, 17.7, 17.9, part 1 of Article 19. 4, parts 1 and 9 of Article 19. 5, Articles 19. 6, 19.7, 19.7.3, 19.20, part 1 of the article 20.25 Administrative Code.

2.3. The director of the department of the admission on the financial market, his deputies, chiefs of managements, their deputies, chiefs of departments, their deputies managing sectors and consultants in cases of identification of the offenses provided by part 1 of Article 13. 25, parts 1 - 3 Articles 14. 1, Articles 14. 36, 15.17 - 15.20, 15.22, 15.23. 1, 15.28, 15.29, 17.7, 17.9, part 1 of Article 19. 4, parts 1 and 9 of Article 19. 5, Articles 19. 6, 19.7, 19.7.3, 19.20, part 1 of the article 20.25 Administrative Code.

2.4. The director of the department of the insurance market, his deputies, chiefs of managements, their deputies, chiefs of departments, their deputies managing sectors and consultants in cases of identification of the offenses provided by part 3 of Article 13. 25, parts 1 - 3 Articles 14. 1, part 1 of Article 14.4. 1, Articles 14. 36, 15.34. 1, 17.7, 17.9, part 1 of Article 19. 4, parts 1 and 9 of Article 19. 5, Articles 19. 6, 19.7, 19.7.3, 19.20, part 1 of the article 20.25 Administrative Code.

2.5. The director of the department of the security market and the goods market, his deputies, chiefs of managements, their deputies, chiefs of departments, their deputies managing sectors and consultants in cases of identification of the offenses provided by part 1 of Article 13. 25, parts 1 - 3 Articles 14. 1, parts 1 - 5 and 7 - 9 Articles 14. 24, Articles 14. 36, 15.18, 15.20, 15.22, 15.23. 1, 15.24. 1, 15.29, 17.7, 17.9, part 1 of Article 19. 4, parts 1 and 9 of Article 19. 5, Articles 19. 6, 19.7, 19.7.3, 19.20, part 1 of the article 20.25 Administrative Code.

2.6. The director of the department of collection and processing of the reporting of not credit financial credit institutions, his deputies, chiefs of managements, their deputies, chiefs of departments, their deputies managing sectors and consultants in cases of identification of the offenses provided by Articles 15. 19, 15.29, 17.7, 17.9, part 1 of Article 19. 4, parts 1 and 9 of Article 19. 5, Articles 19. 6, 19.7, 19.7.3, 19.20, part 1 of the article 20.25 Administrative Code.

2.7. The head of Service on consumer protection of financial services and minority shareholders, his deputies, chiefs of managements, their deputies, chiefs of departments, their deputies managing sectors and consultants in cases of identification of the offenses provided by parts 1, 3 and 4 Articles 13. 25, parts 1 - 3 Articles 14. 1, part 1 of Article 14.4. 1, parts 1 - 5 and 7 - 9 Articles 14. 24, Articles 14. 36, 15.17 - 15.22, 15.23. 1, 15.24. 1, parts 2, 4 and 5 Article 15.26. 1, part 1 of Article 15.26.2 (except for restrictions of operating time), part 2 of Article 15.26. 2, Articles 15.28 - 15.31, 15.34. 1, 15.35, parts 3 - the 5th Article 15. 38, Articles 17. 7, 17.9, part 1 of Article 19. 4, parts 1 and 9 of Article 19. 5, Articles 19. 6, 19.7, 19.7.3, 19.20, part 1 of the article 20.25 Administrative Code.

2.8. The chief of Head department of counteraction to unfair practicians of behavior in the public market, his deputies, chiefs of managements, their deputies, chiefs of departments, their deputies managing sectors and consultants in cases of identification of the offenses provided by Articles 15. 21, 15.30, 15.35, 17.7, 17.9, part 1 of Article 19. 4, parts 1 and 9 of Article 19. 5, Articles 19. 6, 19.7, 19.7.3, 19.20, part 1 of the article 20.25 Administrative Code.

2.9. The chief of Head department of the market of microfinancing and methodology of financial availability, his deputies, chiefs of managements, their deputies, chiefs of departments, their deputies managing sectors and consultants in cases of identification of the offenses provided by part 4 of Article 13. 25, Article 14. 36, parts 2 - the 5th Article 15.26. 1, part 1 of Article 15.26.2 (except for restrictions of operating time), part 2 of Article 15.26. 2, parts 1 - the 5th Article 15. 38, Articles 17. 7, 17.9, part 1 of Article 19. 4, parts 1 and 9 of Article 19. 5, Articles 19. 6, 19.7, 19.7.3, 19.20, part 1 of the article 20.25 Administrative Code.

2.10. Heads of territorial offices of the Bank of Russia, their deputies, and also other officials of territorial offices of the Bank of Russia authorized by orders of heads of territorial offices of the Bank of Russia, in cases of identification of the offenses provided by parts 1, 3 and 4 Articles 13. 25, parts 1 - 3 Articles 14. 1, part 1 of Article 14.4. 1, parts 1 - 5 and 7 - 9 Articles 14. 24, Articles 14. 36, 15.17 - 15.22, 15.23. 1, 15.24. 1, parts 2 - the 5th Article 15.26. 1, part 1 of Article 15.26.2 (except for restrictions of operating time), part 2 of Article 15.26. 2, Articles 15.28 - 15.31, 15.34. 1, 15.35, parts 1 - the 5th Article 15. 38, Articles 17. 7, 17.9, part 1 of Article 19. 4, parts 1 and 9 of Article 19. 5, Articles 19. 6, 19.7, 19.7.3, 19.20, part 1 of the article 20.25 Administrative Code.

2.11. Managing directors of Departments 1 - 4 Head departments of the Central bank of the Russian Federation across Central Federal District Moscow, their deputies, chiefs of managements, their deputies, chiefs of departments, managers of sectors, and also other officials of Departments 1 - 4 Head departments of the Central bank of the Russian Federation across Central Federal District Moscow authorized by orders of the head of Head department of the Central bank of the Russian Federation across Central Federal District Moscow, in cases of identification of the offenses provided by parts 1, 3 and 4 Articles 13. 25, parts 1 - 3 Articles 14. 1, part 1 of Article 14.4. 1, parts 1 - 5 and 7 - 9 Articles 14. 24, Articles 14. 36, 15.17 - 15.22, 15.23. 1, 15.24. 1, parts 2 - the 5th Article 15.26. 1, part 1 of Article 15.26.2 (except for restrictions of operating time), part 2 of Article 15.26. 2, Articles 15.28 - 15.31, 15.34. 1, 15.35, parts 1 - the 5th Article 15. 38, Articles 17. 7, 17.9, part 1 of Article 19. 4, parts 1 and 9 of Article 19. 5, Articles 19. 6, 19.7, 19.7.3, 19.20, part 1 of the article 20.25 Administrative Code.

3. Protocols on administrative offenses concerning officials of credit institutions, their employees specified in the note 2 to the article 15.27 Administrative Code and also not credit financial credit institutions, their officials, citizens, subjects of the legislation of the Russian Federation on counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing (within powers) in cases of identification of the offenses provided by parts 1 - 3 articles 15.27 Administrative Code, concerning legal entities, officials and citizens in cases of identification of offenses, stipulated in Article 15.27. 2, part 1 of Article 15. 39, Articles 17. 17.9, 19.6, part 1 of the article 20.25 Administrative Code, the following officials of the Bank of Russia are authorized to constitute 7,.

3.1. Chairman of the Bank of Russia, his deputies.

3.2. Director of the department of financial monitoring and currency exchange control, his deputies.

3.3. Director of the department of supervision of systemically significant credit institutions, his deputies.

3.4. Chiefs of managements, their deputies, chiefs of departments, managers of sectors of Department of financial monitoring and currency exchange control.

3.5. Chiefs of managements, their deputies, chiefs of departments, managers of sectors, and also other officials of Department of supervision of systemically significant credit institutions as which implementation of supervision of observance by credit institutions of the legislation of the Russian Federation on counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing enters.

3.6. Heads of territorial offices of the Bank of Russia, their deputies.

3.7. Managing directors of Departments 1 - 4 Head departments of the Central bank of the Russian Federation across Central Federal District Moscow, their deputies.

3.8. Chiefs of managements, their deputies, chiefs of departments, managers of sectors, and also other officials of territorial offices of the Bank of Russia, Departments 1 - 4 Head departments of the Central bank of the Russian Federation across Central Federal District Moscow as which control of observance by credit institutions, not credit financial credit institutions of the legislation of the Russian Federation on counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing enters.

3.1. Protocols on administrative offenses concerning credit institutions in cases of identification of the offenses provided by part 1.1 of Article 15. 27, concerning legal entities, officials and citizens in cases of identification of the offenses provided by Articles 17. 17.9, 19.6, part 1 of the article 20.25 Administrative Code, the following officials of the Bank of Russia are authorized to constitute 7,.

3.1.1. Chairman of the Bank of Russia, his deputies.

3.1.2. Director of the department of financial monitoring and currency exchange control, his deputies.

3.1.3. Director of the department of supervision of systemically significant credit institutions, his deputies.

3.1.4. Chiefs of managements, their deputies, chiefs of departments, managers of sectors of Department of financial monitoring and currency exchange control.

3.1.5. Chiefs of managements, their deputies, chiefs of departments, managers of sectors, and also other officials of Department of supervision of systemically significant credit institutions as which implementation of supervision of observance by credit institutions of the legislation of the Russian Federation on counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing enters.

3.1.6. Heads of territorial offices of the Bank of Russia, their deputies.

3.1.7. Managing directors of Departments 1 - 4 Head departments of the Central bank of the Russian Federation across Central Federal District Moscow, their deputies.

3.1.8. Chiefs of managements, their deputies, chiefs of departments, managers of sectors, and also other officials of territorial offices of the Bank of Russia, Departments 1 - 4 Head departments of the Central bank of the Russian Federation across Central Federal District Moscow as which control of observance by credit institutions of the legislation of the Russian Federation on counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing enters.

3.2. Protocols on administrative offenses concerning officials of credit institutions in cases of identification of offenses, the stipulated in Article 15.40 Administrative Code, concerning legal entities, officials and citizens in cases of identification of the offenses provided by Articles 17. 17.9, 19.6, part 1 of the article 20.25 Administrative Code, the following officials of the Bank of Russia are authorized to constitute 7,.

3.2.1. Chairman of the Bank of Russia, his deputies.

3.2.2. Director of the department of banking supervision, his deputies.

3.2.3. Director of the department of supervision of systemically significant credit institutions, his deputies.

3.2.4. Director of the department of financial monitoring and currency exchange control, his deputies.

3.2.5. Chiefs of managements, their deputies, chiefs of departments, managers of sectors of Department of banking supervision as whom implementation of supervision of credit institutions enters.

3.2.6. Chiefs of managements, their deputies, chiefs of departments, managers of sectors of Department of supervision of systemically significant credit institutions as which implementation of supervision of credit institutions enters.

3.2.7. Chiefs of managements, their deputies, chiefs of departments, managers of sectors of Department of financial monitoring and currency exchange control as whom implementation of supervision of credit institutions enters.

3.2.8. Heads of territorial offices of the Bank of Russia, their deputies.

3.2.9. Chiefs of managements, their deputies, chiefs of departments, managers of sectors, and also other officials of territorial offices of the Bank of Russia as whom implementation of supervision of credit institutions enters.

4. Protocols on administrative offenses concerning officials of the credit institutions which are operators of payment systems, the operational centers, payment clearing centers in cases of identification of offenses, the stipulated in Article 15.36 Administrative Code, concerning legal entities, officials and citizens in cases of identification of the offenses provided by Articles 17. 17.9 Administrative Code, the following officials of the Bank of Russia are authorized to constitute 7,.

4.1. Chairman of the Bank of Russia, his deputies.

4.2. Director of the department of banking supervision, his deputies.

4.3. Director of the department of supervision of systemically significant credit institutions, his deputies.

4.4. Chiefs of managements, their deputies, chiefs of departments, managers of sectors of Department of banking supervision.

4.5. Chiefs of managements, their deputies, chiefs of departments, managers of sectors, and also other officials of Department of supervision of systemically significant credit institutions as which implementation of supervision of credit institutions enters.

4.6. Heads of territorial offices of the Bank of Russia, their deputies.

4.7. The chiefs of managements, their deputies, chiefs of departments, their deputies managing sectors and also other officials of territorial offices of the Bank of Russia as whom supervision implementation enters.

5. Protocols on administrative offenses concerning operators of the payment systems, the operational centers, payment clearing centers which are not credit institutions (further - persons under surveillance of the organization) and their officials in cases of identification of offenses, the stipulated in Article 15.36 Administrative Code, concerning legal entities, officials and citizens in cases of identification of the offenses provided by Articles 17. 17.9 Administrative Code, the following officials of the Bank of Russia are authorized to constitute 7,.

5.1. Chairman of the Bank of Russia, his deputies.

5.2. Director of the department of national payment system, his deputies.

5.3. Chiefs of managements, their deputies, chiefs of departments, managers of sectors of Department of national payment system.

5.4. Heads of territorial offices of the Bank of Russia, their deputies.

5.5. Chiefs of managements, their deputies, chiefs of departments, managers of sectors, and also other officials of territorial offices of the Bank of Russia as whom implementation of supervision of observance by persons under surveillance by the organizations of requirements of the Federal Law of June 27, 2011 No. 161-FZ "About national payment system" (The Russian Federation Code, 2011, No. 27, of Art. 3872 enters; 2012, No. 53, Art. 7592; 2013, No. 27, Art. 3477; No. 30, the Art. 4084) and the regulations of the Bank of Russia adopted according to it.

6. From among persons holding the positions specified in subitems 3. 4, 3.5, 3.7 and 3.8 of Item 3, subitems 3.1. 4, 3.1. 5, 3.1.7 and 3.1.8 Items 3. 1, subitems 3.2.5 - 3.2.7 and 3.2.9 Items 3. 2, subitems 4. 4, 4.5, 4.7 of item 4 of this Instruction having no right to constitute protocols on administrative offenses the officials of the Bank of Russia who were directly participating in the organization and conducting check of credit institution (its branch) by results of which the decision on initiation of proceedings on administrative offense can be made.

7. From among persons holding the positions specified in subitems 5.3 and 5.5 of Item 5 of this Instruction having no right to constitute protocols on administrative offenses the officials of the Bank of Russia who were directly participating in the organization and conducting check of the subsupervising organization by results of which the decision on initiation of proceedings on administrative offense can be made.

8. In addition to the cases provided by Items 1 - 3 presents of the Instruction, protocols on the administrative offenses provided by part 1 of the article 20.25 Administrative Code concerning person who did not pay the administrative fine which is ordered to pay by the authorized officer of central office of the Bank of Russia the following officials of the Bank of Russia are authorized to constitute.

8.1. Director of the department of national payment system, his deputies.

8.2. Chiefs of managements, their deputies, chiefs of departments, managers of sectors and consultants of Department of national payment system.

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

10. From the date of entry into force of this Instruction to recognize invalid:

Instruction of the Bank of Russia of September 11, 2012 No. 2871-U "About the list of officials of the Bank of Russia, representatives to constitute protocols on administrative offenses", registered by the Ministry of Justice of the Russian Federation on October 24, 2012 No. 25720 ("the Bulletin of the Bank of Russia" of October 31, 2012 No. 63);

Instruction of the Bank of Russia of October 25, 2013 No. 3078-U "About the list of officials of the Bank of Russia, representatives to constitute protocols on the administrative offenses made by not credit financial credit institutions, issuers of issued securities, participants of the corporate relations, limited liability companies, their officials, citizens, subjects of the legislation of the Russian Federation on counteraction of legalization (washing) of income gained in the criminal way, and to terrorism financing (within the powers), subjects of the legislation of the Russian Federation on counteraction to unauthorized use of the insider information and to market manipulation, other legal entities, their officials", registered by the Ministry of Justice of the Russian Federation on November 5, 2013 No. 30312 ("the Bulletin of the Bank of Russia" of November 20, 2013 No. 64).

 

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