of August 11, 2017 No. 4488-U
About the organization and implementation in the Bank of Russia of activities of curators of not credit financial credit institutions and self-regulatory organizations in the sphere of the financial market
This Specifying based on 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. 40, Art. 5318; No. 45, Art. 6154; No. 52, Art. 7543; 2015, No. 1, Art. 4, Art. 37; No. 27, Art. 3958, Art. 4001; No. 29, Art. 4348, Art. 4357; No. 41, Art. 5639; No. 48, Art. 6699; 2016, No. 1, Art. 23, Art. 46, Art. 50; No. 26, Art. 3891; No. 27, Art. 4225, Art. 4273, Art. 4295; 2017, No. 1, Art. 46; No. 14, Art. 1997; No. 18, Art. 2661, Art. 2669; No. 27, "The official Internet portal of legal information" (www.pravo.gov.ru), on July 19, 2017) (further - the Federal Law "About the Central Bank Russian Federation (Bank of Russia)") establishes procedure for the organization and implementation in the Bank of Russia of activities of curators of not credit financial credit institutions (further - NFO) and self-regulatory organizations in the sphere of the financial market (further - SRO).
1.1. The department of the insurance market, Department of the security market and goods market, Department of collective investments and trust management, Department of the microfinancial market and the territorial offices of the Bank of Russia exercising control and supervision of observance of NFO and SRO within the competence (further in case of joint mentioning - persons under surveillance of the organization) requirements of the legislation of the Russian Federation, including regulations of the Bank of Russia (further - operating units), determine employees of the operating units responsible for implementation of the functions provided by this Instruction for control and supervision concerning the corresponding persons under surveillance of the organizations (further - curators).
1.2. The purpose of the organization and implementation in the Bank of Russia of activities of curators is increase in efficiency of implementation by the Bank of Russia of control and supervision of activities of the corresponding persons under surveillance of the organizations, including adoption of decisions by operating units within implementation by the Bank of Russia of the specified control and supervision, by means of carrying out monitoring of activities of persons under surveillance of the organizations regarding compliance to requirements of the legislation of the Russian Federation, including regulations of the Bank of Russia, and identification of risks in activities of the subsupervising organization, including risks which realization can lead to loss of financial stability of the subsupervising organization, violation of going concern of the subsupervising organization and (or) other adverse effects which can result in lack of possibility of implementation of activities of the subsupervising organization (further - risks of the subsupervising organization).
1.3. Determination of curators concerning insurance companies, the procedure and the terminations of the activities by them is performed according to the Provision of the Bank of Russia of December 22, 2014 No. 447-P "About curators of insurance companies", the registered Ministry of Justice of the Russian Federation on May 12, 2015 No. 37236.
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