PROVISION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of December 27, 2016 No. 572-P

About requirements to implementation of activities for maintaining the register of owners of securities

This Provision based on the paragraph of the sixth Item 1, Item 3. 11, item 4 of Article 8, Item 3 of article 42 of the Federal Law 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. 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. 4357; 2016, No. 1, Art. 50, Art. 81; No. 27, the Art. 4225) (further - the Federal Law "About the Security Market"), the subitem 3 of Item 2 of article 55 of the Federal Law of November 29, 2001 No. 156-FZ "About investment funds" (The Russian Federation Code, 2001, No. 49, Art. 4562; 2004, No. 27, Art. 2711; 2006, No. 17, Art. 1780; 2007, No. 50, Art. 6247; 2008, No. 30, Art. 3616; 2009, No. 48, Art. 5731; 2010, No. 17, Art. 1988; No. 31, Art. 4193; 2011, No. 48, Art. 6728; No. 49, Art. 7040, Art. 7061; 2012, No. 31, Art. 4334; 2013, No. 26, Art. 3207; No. 27, Art. 3477; No. 30, Art. 4084; No. 51, Art. 6695, Art. 6699; 2014, No. 11, Art. 1098; 2015, No. 27, Art. 4001; No. 29, Art. 4357; 2016, No. 1, Art. 47; No. 23, Art. 3301; No. 27, 4225) (further - the Federal Law "About Investment Funds") establishes the Art.:

requirements to implementation of activities for maintaining the register of owners of securities (further - the register), including requirements to document registration, to maintaining the register, to protection and storage of records and documents, to creation of lists of owners of investment shares of mutual investment funds and hypothecation certificates of participation;

requirements to rules of maintaining the register, including requirements to rules of maintaining the register of owners of investment shares;

procedure and terms of transfer of the register and the documents connected with maintaining the register, to the holder of the register specified by the issuer (person obliged on securities) in case of termination of the contract on maintaining the register, and also the list of the specified documents.

Chapter 1. General provisions

1.1. When maintaining the register the holder of the register will organize system of accounting of the documents relating to maintaining the register, and also the documents connected taking into account and transition of the rights to securities (further - system of accounting of documents), according to requirements of this provision.

1.2. The system of accounting of documents shall provide availability of record about any document relating to maintaining the register or the document connected taking into account and transition of the rights to securities which were received or directed by the holder of the register.

1.3. When maintaining the register the holder of the register performs maintaining the accounting registers containing data concerning persons for whom personal accounts (registered persons) are opened, according to the procedure, determined by internal documents of the holder of the register.

1.4. Records are brought in the accounting registers specified in Item 1.3 of this provision based on the questionnaire of the registered person and other documents provided by rules of maintaining the register.

Entries in the accounting registers specified in Item 1.3 of this provision shall contain the data provided by the questionnaire of the registered person and may contain other data provided by rules of maintaining the register.

1.5. If the holder of the register found error in the data provided by the paragraph the second Item 1.4 of this provision and transferred to it previous by the holder of the register or determined that in case of introduction of record by it in accounting registers, stipulated in Item 1.3 this provision, makes mistake, the records directed to correction of the specified mistakes are brought in the accounting register according to the procedure, provided by rules of maintaining the register.

The system of accounting of documents of the holder of the register shall contain records concerning all documents based on which the record directed to correction of mistake is made.

1.6. The holder of the register performs maintaining the accounting registers containing records about securities concerning which he renders services in accounting of the rights, according to the procedure, determined by internal documents of the holder of the register. Such records shall contain the data allowing to identify the specified securities.

1.7. The holder of the register performs in the chronological sequence conducting records about all the performed operations in the register according to requirements of this provision.

1.8. The holder of the register performs storage and protection of the records provided by this Provision taking into account requirements of this provision, and also in case of receipt of bank inquiry of Russia or in other cases provided by rules of maintaining the register provides possibility of visualization and submission of information containing in the specified records.

1.9. The holder of the register shall provide equality of quantity of the securities considered by the holder of the register on personal accounts of registered persons and the account of unidentified persons, to quantity same placed and not being extinguished securities. In case of identification of violation of the specified requirement introduction by the holder of the register of records on personal accounts before elimination of such violation is not allowed, except for introduction of corrective records, the stipulated in Article 8.5 Federal Laws "About the Security Market", and records which are not connected with change of quantity of the securities considered by the holder of the register on personal accounts of registered persons and the account of the unidentified persons brought in other cases, stipulated by the legislation the Russian Federation, according to the procedure, provided by rules of maintaining the register.

In case of detection of discrepancy of quantity of securities introduction by the holder of the register of records on the account of unidentified persons before elimination of discrepancy is not allowed, except for the records made for the purpose of discrepancy elimination according to the procedure, provided by rules of maintaining the register.

1.10. The holder of the register according to the procedure, determined by its internal documents, performs:

introduction of records on accounts;

maintaining accounting registers;

the organization of document flow, including processing of the arriving documents;

certificate of the fact of receipt of documents by the holder of the register;

consideration of the addresses and requests arriving in connection with implementation of activities for maintaining the register;

the differentiation of access rights and ensuring confidentiality of information which are not allowing possibility of use of the specified information to own advantage the holder of the register, his workers and the third parties.

1.11. Maintaining the register of owners of the securities which are not issued securities including investment shares of mutual investment funds, hypothecation certificates of participation, is performed according to requirements of the Federal Law "About the Security Market" taking into account the features established by this Provision.

Chapter 2. Requirements to document registration

2.1. The holder of the register registers all documents arriving to it in system of accounting of documents, including documents based on which open the personal accounts and accounts which are not intended for accounting of the rights to securities (are closed) (further - other accounts), transactions on them are made, records about registered persons and about securities are made, information on registered persons, about transactions according to personal and other accounts or about securities on the specified accounts is provided, and also registers the documents arriving to it connected with implementation of the rights on securities including subject to transfer to the registered person or the issuer (person obliged on securities).

The holder of the register upon the demand of person which provided documents certifies the fact of data acquisition of documents according to the procedure, provided by internal documents of the holder of the register.

2.2. Document registration, provided by paragraph one of Item 2.1 of this provision, is performed by introduction of records concerning such documents in system of accounting of documents in day of their receipt to the holder of the register, except as specified, provided by this Item.

The documents which arrived to the holder of the register after the termination of its working day shall be registered no later than the working day following behind day of their receipt to the holder of the register.

In case of receipt to the holder of the document register, specified in paragraph one of Item 2.1 of this provision, from transfer agent, the issuer (person obliged on securities), the issue, repayment agent and exchange of investment shares, the holder of the register provides fixing of information on receipt date of the specified documents transfer agent, to the issuer (person obliged on securities), the issue, repayment agent and exchange of investment shares, and also possibility of its visualization and representation in case of receipt of the corresponding bank inquiry of Russia.

2.3. Record concerning each of the documents provided by paragraph one of Item 2.1 of this provision shall contain:

name of the document;

the unique document number assigned to it in case of registration;

surname, name, middle name (in the presence), the name of person concerning which documents, and other identifying sign of this person specified in the document (in the presence) are submitted. Requirements of this paragraph are not applied in case of registration of the document containing list of persons;

date and time of registration of the document in system of accounting of documents;

reference number and document date (in the presence);

surname, name, middle name (in the presence) or the name of person which directed (submitted) the document;

surname, name, middle name (in the presence) person which performed introduction of record in system of accounting of documents or if record is made by program technical means in the automatic mode, specifying on such means and the automatic mode of introduction of record.

2.4. Record, stipulated in Item 2.3 this provision, may contain other data necessary for the holder of the register.

2.5. The holder of the register provides fixing of information on method of obtaining of the documents specified in paragraph one of Item 2.1 of this provision by it (personally, the mailing, in the form of the electronic document, through transfer agent, the issuer (person obliged on securities), the issue, repayment agent and exchange of investment shares, otherwise), and also possibility of its visualization and representation in case of receipt of the corresponding bank inquiry of Russia.

2.6. The holder of the register registers in system of accounting of documents all reports (notifications) on making of transactions on personal accounts created by it, statements from the register on personal accounts, reports (certificates) of the transactions made on personal accounts, notifications on refusal in transaction making, the documents containing information connected with implementation of the rights on securities and also other documents created by the holder of the register when implementing activities for maintaining the register.

2.7. Record concerning each of stipulated in Item 2.6 this provision of documents shall contain:

the name, document date, and also its unique number assigned in case of registration;

surname, name, middle name (in the presence) or the name of the registered person on which personal account the document is created if such document is the report (notification) on transaction making, the statement on personal account or other document containing information on the number of securities on personal account of the registered person (except as specified creation of lists of owners of securities, lists of persons performing the rights on securities or other lists);

the addressee to whom it is sent the document (is handed);

date and time of entering of record into system of accounting of documents;

surname, name, middle name (in the presence) person which performed introduction of record in system of accounting of documents or if record is made by program technical means in the automatic mode, specifying on such means and the automatic mode of introduction of record.

2.8. The system of accounting of documents can include the data received with use of the program technical means intended for forming, departure and receipt of electronic documents.

2.9. In cases when documents, stipulated in Item 2.6 this provision, are created in execution of documents, provided by paragraph one of Item 2.1 of this provision, the system of accounting of documents shall reflect interrelation of the registered documents.

Chapter 3. Requirements to maintaining the register

3.1. The holder of the register registers in the register opening (closing) of personal or other accounts, introduction of each record on personal account (other account), and also each record about change of information about registered persons and about securities. Registration of introduction of record on personal account (other account), the Section of personal account (other account) or introduction of record about change of information about registered persons or about securities is performed along with their introduction.

3.2. Entry in the register shall contain:

number of personal account (other account) according to which or concerning which record is made;

surname, name, middle name (in the presence) or the name of person, on which account or concerning which record is made;

transaction type (opening (closing) of personal account (other account) or other transaction type which carrying out is performed by introduction of record on personal account (other account) or by introduction of entry in the accounting register);

unique document number based on which operation is performed, appropriated in case of its registration in system of accounting of documents;

date and time of making of transaction and its unique number assigned in case of registration of this transaction;

date as of which transaction (in cases is made if it differs from transaction date);

the number of securities concerning which transaction, and the data allowing to identify securities (when applicable) is made;

surname, name, middle name (in the presence) person which performed carrying out transaction or if operation is performed by program technical means in the automatic mode, specifying on such means and the automatic mode of introduction of record.

3.3. Entry in the register of transactions may contain other data necessary for the holder of the register for accounting of the rights to securities.

3.4. If transactions are made by simultaneous introduction of records about write-off and transfer of securities on accounts which maintaining is performed by the holder of the register, in the register one record about these transactions on condition of specifying in record, in addition to information provided in Item 3.2 of this provision, also accounts of write-off and the account of transfer of securities can be made.

Chapter 4. Requirements to protection and storage of records and documents

4.1. Records on personal accounts (other accounts), entries in accounting registers, entries in the register, record in system of accounting of documents provided by this Provision (further - accounting records), shall contain and be stored in electronic databases.

4.2. For the purpose of protection and storage of accounting records the holder of the register shall take all reasonable measures to provide:

protection against unauthorized access to accounting records and (or) against the information transfer containing in them, to persons who do not have the right to access to the specified information, and also constant control of integrity of information;

protection of accounting records at all stages of functioning of program technical means of processing and storage of accounting records;

protection of accounting records means of anti-virus protection;

protection of accounting records when using information and telecommunication networks public;

regulation and documentation of activities for ensuring protection of accounting records;

detection of incidents of information security and response to them;

monitoring and efficiency analysis of protection of accounting records;

possibility of immediate recovery of the accounting records modified or destroyed owing to unauthorized access to them or owing to failure in operation of program technical means of processing and storage of accounting records;

constant control behind ensuring security of accounting records;

control of accuracy of the information about accounting records;

continuity of operation of program technical means of processing and storage of accounting records.

4.3. Accounting records are subject to storage during the entire period of maintaining the corresponding register by the holder of the register, and also at least five years after cancellation of the contract for maintaining the register.

4.4. Methods of storage of the accounting records containing in electronic databases shall provide possibility of recovery of the temporary sequence of events and actions of workers of the holder of the register for modification of electronic databases, and also possibility of identification of persons or program technical means which make these changes.

4.5. The holder of the register performs daily backup of accounting records on electronic, optical or other data carriers on which violations of operation of program technical means of processing and storage of accounting records do not make impact. Program technical means of backup of accounting records shall provide possibility of withdrawal of copies of accounting records without violation of operation of program technical means of processing and storage of accounting records and their backup.

Chapter 5. Requirements to creation of lists of owners of investment shares of mutual investment funds and hypothecation certificates of participation

5.1. The list of owners of investment shares (hypothecation certificates of participation) is constituted upon the demand of person obliged on securities, persons who according to the Federal Law "About Investment Funds" have the right to require creation of the corresponding list, and also persons who have the right to convocation of general meeting of owners of investment shares (hypothecation certificates of participation) (further - the requirement).

5.2. The holder of the register of owners of investment shares (hypothecation certificates of participation) constitutes the list of owners of investment shares of mutual investment funds (hypothecation certificates of participation) for the date determined in the requirement.

5.3. The list of owners of investment shares (hypothecation certificates of participation), except for the list of persons having the right to monetary compensation in case of the termination of mutual investment fund is constituted as of the end of the working day of the date specified in the requirement.

5.4. The list of persons having the right to monetary compensation in case of the termination of mutual investment fund is constituted as of the end of the working day in which the requirement about its creation was received.

5.5. The list of owners of investment shares (hypothecation certificates of participation) shall include:

concerning physical person - surname, name, middle name (in the presence), the residence or registration (address), passport data (data of other identity document);

concerning the Russian legal entity - full name, the abbreviated name (if is available), the address of the legal entity, and also the international code of identification of the legal entity or the primary state registration number and date of state registration as the legal entity (date of entering into the Unified State Register of Legal Entities of information about the legal entity registered till July 1, 2002);

concerning the foreign legal entity - the name, the address of the legal entity, and also the international code of identification of the legal entity or number assigned to the legal entity in the trade register or other accounting register of the state in which it is registered such legal entity, and date of state registration of the legal entity or assignment of number;

concerning the foreign organization, not being the legal entity according to the country right where this organization is founded, - the name, its address, and also other registration signs according to the country right where this organization is founded;

quantity of investment shares (hypothecation certificates of participation) belonging to each owner of securities;

the size of share in the right of common property to the property constituting mutual investment fund (mortgage covering) in case of creation of the list of owners of investment shares (hypothecation certificates of participation) upon the demand of the bodies performing registration of the rights to real estate.

5.6. If the list of owners of investment shares (hypothecation certificates of participation) is constituted for payment of the income for investment shares (hypothecation certificates of participation) or for payment of monetary compensation in case of the termination of mutual investment fund, it shall include identification taxpayer number (in the presence of it at the holder of the register) and bank account details.

5.7. The list of owners of investment shares (hypothecation certificates of participation) may contain other data including provided by the contract between the holder of the register and person obliged on securities.

5.8. On receipt of the requirement about creation of the list of owners of investment shares (hypothecation certificates of participation) the holder of the register sends to the person for whom the personal account of the nominee holder of the central depositary, and also to nominee holders on whose personal accounts investment shares (hypothecation certificates of participation), the requirement about provision of information on persons for the benefit of whom they perform the functions, quantity of the investment shares (hypothecation certificates of participation) belonging to them with indication of date for which the corresponding list shall be constituted are considered is opened.

5.9. The holder of the register constitutes the list of owners of investment shares (hypothecation certificates of participation) within five working days after date for which the corresponding list shall be constituted if the relevant requirement was received by the holder of the register before such date, or within five working days from the date of receipt of the requirement if it was received by the holder of the register after date for which the corresponding list shall be constituted.

5.10. At the same time with the list of owners of investment shares (hypothecation certificates of participation) the holder of the register represents to person based on whose requirement the corresponding list, data on the depositaries specified in Item 5.8 of this provision, which did not provide data on persons for the benefit of which they perform the functions, and quantity of investment shares (hypothecation certificates of participation) considered on such accounts is constituted.

Chapter 6. Requirements to rules of maintaining the register, including requirements to rules of maintaining the register of owners of investment shares

6.1. Rules of maintaining the register shall include the following information.

6.1.1. The procedure of opening of personal and other accounts by the holder of the register, including the list of the documents submitted for opening of personal accounts in case of placement of securities.

6.1.2. Ceased to be valid according to the Instruction of the Central bank of the Russian Federation of 08.06.2021 No. 5812-U

6.1.3. The list, procedure and terms of introduction of accounting records, including procedure for introduction of accounting records in the cases provided by Items 1.5 and 1.9 of this provision.

6.1.4. Procedure for provision of documents and information to the holder of the register, including for carrying out transaction with securities.

6.1.5. Procedure and terms of provision of information by the holder of the register, including:

the report (notification) to the nominee holder about making of transaction in day of introduction of record on its personal account;

the report (notification) to the registered person about write-off from its personal account of the securities of society redeemed according to the procedure, the stipulated in Article 84.8 Federal Laws of December 26, 1995 No. 208-FZ "About joint-stock companies" (The Russian Federation Code, 1996, No. 1, Art. 1; No. 25, Art. 2956; 1999, No. 22, Art. 2672; 2001, No. 33, Art. 3423; 2002, No. 12, Art. 1093; No. 45, Art. 4436; 2003, No. 9, Art. 805; 2004, No. 11, Art. 913; No. 15, Art. 1343; No. 49, Art. 4852; 2005, No. 1, Art. 18; 2006, No. 1, Art. 5, Art. 19; No. 2, Art. 172; No. 31, Art. 3437, Art. 3445, Art. 3454; No. 52, Art. 5497; 2007, No. 7, Art. 834; No. 31, Art. 4016; No. 49, Art. 6079; 2008, No. 18, Art. 1941; 2009, No. 1, Art. 23; No. 19, Art. 2279; No. 23, Art. 2770; No. 29, Art. 3642; No. 52, Art. 6428; 2010, No. 41, Art. 5193; No. 45, Art. 5757; 2011, No. 1, Art. 13, Art. 21; No. 30, Art. 4576; No. 48, Art. 6728; No. 49, Art. 7024, Art. 7040; No. 50, Art. 7357; 2012, No. 25, Art. 3267; No. 31, Art. 4334; No. 53, Art. 7607; 2013, No. 14, Art. 1655; No. 30, Art. 4043, Art. 4084; No. 45, Art. 5797; No. 51, Art. 6699; No. 52, Art. 6975; 2014, No. 19, Art. 2304; No. 30, Art. 4219; No. 52, Art. 7543; 2015, No. 14, Art. 2022; No. 27, Art. 4001; 2016, No. 1, Art. 29; No. 23, Art. 3296; No. 27, the Art. 4271, the Art. 4272, the Art. 4273, the Art. 4276), within one working day from the moment of entering of the corresponding record into the register.

6.1.6. If maintaining the register is performed by the professional participant of the security market having license for activities on maintaining the register of owners of securities, rules of maintaining the register of owners of investment shares of mutual investment funds also shall provide the direction of reports (notifications) on making of transactions to person obliged on securities, and specialized depositary of mutual investment fund.

6.2. Rules of maintaining the register may contain other provisions which are not contradicting requirements of the legislation of the Russian Federation and this provision.

Chapter 7. Procedure and terms of transfer of the register and the documents connected with maintaining the register, to the holder of the register specified by the issuer (person obliged on securities) in case of termination of the contract on maintaining the register, and also the list of the specified documents

7.1. In case of termination of the contract on maintaining the register the holder of the register performing its maintaining shall perform transfer of the register and the documents connected with its maintaining, to the new holder of the register specified by the issuer (person obliged on securities), according to the procedure, provided by this Provision.

7.2. Documents acceptance, the documents connected with maintaining the register, except for which are subject to execution by the holder of the register based on requirements of the Federal Laws can be stopped by the holder of the register, but not earlier than in three working days prior to date of termination of the contract on maintaining the register.

7.3. The holder of the register stops carrying out transactions in the register for the end of the working day preceding date of termination of the contract on maintaining the register (for issued securities) or the date of entry into force of the changes and amendments in rules of trust management connected with change of person performing maintaining the register (for investment shares and hypothecation certificates of participation).

7.4. Transfer of the register and the documents connected with its maintaining is performed no more than three working days from the date of the termination of carrying out transactions in the register in time and drawn up by the delivery-acceptance certificate.

7.5. The holder of the register shall transfer the following documents connected with maintaining the register:

the list of the opened personal and other accounts including the data allowing to identify registered persons (when applicable), data on securities on the specified accounts and their quantity, on encumbrances of securities, restrictions of the order with securities, constituted for date of termination of the contract on maintaining the register (further - the List). The list is constituted and transferred in electronic form, signed by the strengthened qualified digital signature of the authorized person of the holder of the register transferring the register, and in the presence of the requirement of the holder of the register accepting the register, - also on paper, by the fastened authorized signature of the holder of the register transferring the register;

the list of personal accounts which were closed during maintaining the register by the holder of the register transferring the register, and also for previous periods (in the presence of the corresponding data at the holder of the register), containing the information about such persons which is available for the holder of the register allowing them to identify, constituted for date of termination of the contract on maintaining the register. The specified list is constituted and transferred in electronic form, signed by the strengthened qualified digital signature of the authorized person of the holder of the register transferring the register, and in the presence of the requirement of the holder of the register accepting the register, - also on paper, by the fastened authorized signature of the holder of the register transferring the register;

questionnaires of the issuer (person obliged on securities), registered persons, pawnbrokers with all available documents which were submitted for opening and (or) modification of the data containing in the questionnaire;

decisions on issue of securities of the issuer, the documents containing conditions of share placing and the securities converted into shares, and also prospectuses of securities of the issuer the changes made to the specified documents, reports (notifications) on results of releases (additional releases) of securities of the issuer, the documents confirming registration of releases (additional releases) of securities of the issuer, other documents confirming the quantity of the placed securities (when applicable) and also the documents confirming consolidation of releases (additional releases) of issued securities, cancellation of individual number (code) of additional release of issued securities, release recognition (additional release) of issued securities cancelled or invalid;

the accounting records containing in the register, for the period maintaining the register by the holder of the register, created in electronic form signed by the strengthened qualified digital signature of the authorized person of the holder of the register transferring the register;

registers for all preceding periods of maintaining the register by all previous holders of the register in paper and (or) electronic type;

copies of the documents containing data on the size of shares of the participants of equity property who are registered persons for date of creation of the register by its transfer;

documents (originals or copies) which are the basis for fixing of encumbrance of securities or the basis for fixing of restriction of the order with securities including the data on conditions of pledge, arrest of securities including received from the previous holders of the register and existing at the time of transfer the register;

the charter of the issuer (person obliged on securities) with all changes in the charter (in the presence);

by transfer of the register of owners of investment shares of mutual investment fund - requests for acquisition of investment shares or their copies providing that issue of investment shares is performed in case of each inclusion of money in structure of mutual investment fund (in the presence), and also requests for acquisition, repayment or exchange of investment shares, unexecuted for date of transfer of the register;

the documents and information received according to Item 7.11 of this provision (in the presence).

7.6. The documents specified in Item 7.5 of this provision are transferred in the form in which they are available for the holder of the register transferring the register if other is not provided by this Provision.

7.7. Copies of documents, stipulated in Item 7.5 this provision, are certified by the holder of the register transferring the register and shall contain the words "True copy", date of assurance, position of person who certified the copy, its signature, disaggregation of the signature and seal of the holder of the register transferring the register (in case of its availability).

7.8. Transfer of the register and the documents connected with its maintaining is performed to the address of the holder of the register transferring the register, specified in the Unified State Register of Legal Entities if other is not provided by the contract for maintaining the register or the agreement of the holder of the register and the issuer (person obliged on securities), or the agreement of the holder of the register transferring the register and the holder of the register accepting the register.

7.9. The documents specified in Item 7.5 of this provision and constituted electronically upon the demand of the holder of the register accepting the register are transferred in the formats established by the basic standard of making of transactions in the financial market developed by the self-regulatory organizations combining registrars or, in case of that absence, - in the formats determined by the agreement between the holder of the register transferring the register and the holder of the register accepting the register.

7.10. If the contract for maintaining the register is stopped, including in connection with reorganization of the issuer, and the issuer according to Item 3.11 of article 8 of the Federal law "About the Security Market" did not specify the holder of the register to whom the register shall be transferred, the holder of the register shall store the register and documents connected with its maintaining, at least five years.

In case of reorganization of the issuer and in the presence of the corresponding specifying of the reorganized issuer the registers and documents connected with its maintaining, specified in paragraph one of this Item are transferred to storage to the holder of the register specified by the reorganized issuer. In that case aggregate term of storage of the register and the documents connected with its maintaining shall constitute at least five years from the date of termination of the contract on maintaining the register.

7.11. The holder of the register performing its storage after termination of the contract on maintaining the register, shall accept on storage the documents and information transferred by depositary according to Item 7.6 of the Provision of the Bank of Russia of November 13, 2015 to No. 503-P "About procedure for opening and maintaining by depositaries custody accounts and other accounts", No. 40137 registered by the Ministry of Justice of the Russian Federation on December 16, 2015 ("the Bulletin of the Bank of Russia" of December 25, 2015 No. 119).

7.12. In case of renewal of maintaining the register specified in Item 7.10 of this provision, the holder of the register within three working days from the date of following behind day of renewal of maintaining the specified register makes records on accounts based on documents, stipulated in Item 7.11 this provision.

7.13. In case of liquidation of the holder of the register, cancellation of the license (including according to the statement of the licensee) based on which activities for maintaining the register were performed, the holder of the register (the organization performing activities for maintaining the register) according to the registers which are stored constitutes for date of termination of the contract on maintaining the register the List and gives him to storage for the term which remained before the expiration, stipulated in Item 7.10 this provision, to other registrar and (or) in the self-regulatory organization in the field of the financial market combining registrars, and (or) in the Public or municipal Records Office according to the procedure, provided by regulations of the Russian Federation about archiving.

Chapter 8. Final provisions

8.1. This Provision according to the solution of the Board of directors of the Bank of Russia (the minutes of the Board of directors of the Bank of Russia of December 23, 2016 No. 35) become effective after six months after day of its official publication.

8.2. From the date of entry into force of this provision not to apply:

the order of the Federal Service for Financial Markets of April 15, 2008 No. 08-17/pz-n "About accounting of the rights to investment shares of mutual investment funds", No. 11888 registered by the Ministry of Justice of the Russian Federation on June 25, 2008 (The bulletin of regulations of federal executive bodies of August 4, 2008 No. 31);

the order of the Federal Service for Financial Markets of July 2, 2009 No. 09-24/pz-n "About modification of the Regulations on procedure for maintaining the register of owners of investment shares of mutual investment funds approved by the order of FFMS of Russia of April 15, 2008 No. 08-17/pz-n", No. 14577 registered by the Ministry of Justice of the Russian Federation on August 20, 2009 (The Russian newspaper of August 28, 2009);

the order of the Federal Service for Financial Markets of December 24, 2009 No. 09-61/pz-n "About introduction of amendments to the order of FFMS of Russia of April 15, 2008 No. 08-17/pz-n "About accounting of the rights to investment shares of mutual investment funds", No. 16596 registered by the Ministry of Justice of the Russian Federation on March 11, 2010 (The Russian newspaper of March 19, 2010);

the order of the Federal Service for Financial Markets of July 29, 2010 No. 10-53/pz-n "About some questions of maintaining the register of owners of securities", No. 18683 registered by the Ministry of Justice of the Russian Federation on October 11, 2010 (The bulletin of regulations of federal executive bodies of November 8, 2010 No. 45);

the order of the Federal Service for Financial Markets of November 23, 2010 No. 10-69/pz-n "About modification of the Regulations on procedure for maintaining the register of owners of investment shares of mutual investment funds approved by the order of FFMS of Russia of April 15, 2008 No. 08-17/pz-n", No. 19363 registered by the Ministry of Justice of the Russian Federation on December 23, 2010 (The bulletin of regulations of federal executive bodies of January 24, 2011 No. 4);

the order of the Federal Service for Financial Markets of December 23, 2010 No. 10-77/pz-n "About approval of the Regulations on order of interaction in case of the document transfer and information constituting system of maintaining the register of owners of securities", No. 20296 registered by the Ministry of Justice of the Russian Federation on March 25, 2011 (The bulletin of regulations of federal executive bodies of May 2, 2011 No. 18);

Item 6 of the order of the Federal Service for Financial Markets of April 5, 2011 No. 11-9/pz-n "About introduction of amendments to some orders of the Federal Service for Financial Markets", No. 20793 registered by the Ministry of Justice of the Russian Federation on May 18, 2011 (The bulletin of regulations of federal executive bodies of May 30, 2011 No. 22);

Items 13, 21 and 24 orders of the Federal Service for Financial Markets of April 24, 2012 No. 12-27/pz-n "About modification of some regulatory legal acts of the Federal Service for Financial Markets", No. 24428 registered by the Ministry of Justice of the Russian Federation on June 1, 2012 (The Russian newspaper of July 6, 2012).

 

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