INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of August 2, 2017 No. 4476-U

About features of issue and registration of securities of bank when implementing by the Bank of Russia of measures for the prevention of bankruptcy of bank

This Instruction according to Item 26 of article 189.50 of the Federal Law of October 26, 2002 No. 127-FZ "About insolvency (bankruptcy)" (The Russian Federation Code, 2002, No. 43, Art. 4190; 2004, No. 35, Art. 3607; 2005, No. 1, Art. 18, Art. 46; No. 44, Art. 4471; 2006, No. 30, Art. 3292; No. 52, Art. 5497; 2007, No. 7, Art. 834; No. 18, Art. 2117; No. 30, Art. 3754; No. 41, Art. 4845; No. 49, Art. 6079; 2008, No. 30, Art. 3616; No. 49, Art. 5748; 2009, No. 1, Art. 4, Art. 14; No. 18, Art. 2153; No. 29, Art. 3632; No. 51, Art. 6160; No. 52, Art. 6450; 2010, No. 17, Art. 1988; No. 31, Art. 4188, Art. 4196; 2011, No. 1, Art. 41; No. 7, Art. 905; No. 19, Art. 2708; No. 27, Art. 3880; No. 29, Art. 4301; No. 30, Art. 4576; No. 48, Art. 6728; No. 49, Art. 7015, Art. 7024, Art. 7040, Art. 7061, Art. 7068; No. 50, Art. 7351, Art. 7357; 2012, No. 31, Art. 4333; No. 53, Art. 7607, Art. 7619; 2013, No. 23, Art. 2871; No. 26, Art. 3207; No. 27, Art. 3477, Art. 3481; No. 30, Art. 4084; No. 51, Art. 6699; No. 52, Art. 6975, Art. 6984; 2014, No. 11, Art. 1095, Art. 1098; No. 30, Art. 4217; No. 49, Art. 6914; No. 52, Art. 7543; 2015, No. 1, Art. 10, Art. 11, Art. 29, Art. 35; No. 27, Art. 3945, Art. 3958, Art. 3967, Art. 3977; No. 29, Art. 4350, Art. 4355, Art. 4362; 2016, No. 1, Art. 11, Art. 27, Art. 29; No. 23, Art. 3296; No. 26, Art. 3891; No. 27, Art. 4225, Art. 4237, Art. 4293, Art. 4305; 2017, No. 1, Art. 29; No. 18, Art. 2661; No. 25, Art. 3596; "The official Internet portal of legal information" (www.pravo.gov.ru), on July 30, 2017) (further - the Federal Law "About Insolvency (Bankruptcy)") establishes features of issue and registration of securities of bank when implementing by the Bank of Russia of measures for the prevention of bankruptcy of bank.

Chapter 1. General provisions

1.1. Releases (additional releases) of shares and reports on results of releases (additional releases) of bank shares if such releases (additional releases) are performed according to the plan of participation of the Bank of Russia in implementation of measures for the prevention of bankruptcy of bank, are subject to the state registration in the Bank of Russia (Department of the corporate relations) (further - registering body) according to the procedure provided by the Instruction of the Bank of Russia of December 27, 2013 No. 148-I "About procedure of the procedure of issue of securities of credit institutions in the territory of the Russian Federation" registered by the Ministry of Justice of the Russian Federation on February 28, 2014 No. 31458, on December 10, 2014 No. 35118, on March 2, 2015 No. 36322, on July 28, 2015 No. 38242, on May 19, 2017 No. 46770, on May 31, 2017 No. 46901 (further - the Instruction of the Bank of Russia No. 148-I), taking into account the features established by this Instruction.

1.2. The decision on share placing of bank when implementing by the Bank of Russia of measures for the prevention of bankruptcy of bank is made by temporary administration on bank management which functions are assigned to "Managing Company of Fund of Consolidation of Banking Sector" limited liability company (further - temporary administration).

1.3. The decision on release (additional release) of shares and the report on release results (additional release) of securities represented for state registration of release (additional release) and the report on release results (additional release) of bank shares affirm temporary administration.

Chapter 2. Features of share issue of bank in case of reduction of the size of the authorized capital

2.1. In case, stipulated in Item 1 article 189.50 of the Federal law "About Insolvency (Bankruptcy)", based on the subitem 1 of item 4 of article 189.34 of the Federal law "About Insolvency (Bankruptcy)" and the order of the Bank of Russia on reduction of the size of the authorized capital of bank up to the size of own means (capital) and if this size has negative value, to one ruble, the temporary administration makes the decision on share placing of bank in connection with reduction of the size of its authorized capital.

2.2. If on acceptance date the Bank of Russia of the decision on reduction of the size of the authorized capital of bank it is at any stage of share issue, at the same time the procedure of share issue of bank does not provide state registration of the report on results of their release (additional release) and one transaction on share placing of this release (additional release) is made at least, the temporary administration before decision making in connection with reduction of the size of the authorized capital of bank makes the decision on completion of share placing of issue and the decision on approval of the notification on release results (additional release) of securities on share placing.

The notification on release results (additional release) of securities shall be prepared according to appendix 12 to the Instruction of the Bank of Russia No. 148-I.

The notification on release results (additional release) of securities is submitted in registering body no later than one working day from the date of its approval by temporary administration.

The temporary administration has no right to send to the address of organizers of trade in the security market (exchanges) the statement for the termination of the biddings according to the shares having the same individual state registration number, as additionally issued shares on which the notification on release results (additional release) of securities according to paragraph one of this Item, until submission of such notification to registering body shall be provided.

2.3. For state registration of release and the report on results of share issue of bank by temporary administration are represented to registering body:

the decision on release (additional release) of shares according to appendix 1 to the Instruction of the Bank of Russia No. 148-I;

the statement on state registration of release (additional release) and the report on release results (additional release) of securities according to appendix 6 to the Instruction of the Bank of Russia No. 148-I;

the list of documents according to appendix 7 to the Instruction of the Bank of Russia No. 148-I;

the questionnaire of credit institution - the issuer according to appendix 8 to the Instruction of the Bank of Russia No. 148-I;

the report on release results (additional release) of securities according to appendix 11 to the Instruction of the Bank of Russia No. 148-I;

the copy of the payment order by which the fact of payment by bank of the state fee collected in accordance with the legislation of the Russian Federation about taxes and fees for state registration of issue of securities is confirmed;

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