INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of October 3, 2017 No. 4560-U

About modification of the Instruction of the Bank of Russia of February 25, 2014 No. 149-I "About the organization of inspection activities of the Central bank of the Russian Federation (Bank of Russia)"

1. According to article 73 of 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, Art. 3950; No. 30, the Art. 4456) and based on 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 September 27, 2017 No. 26) to bring in the Instruction of the Bank of Russia of February 25, 2014 No. 149-I "About the organization of inspection activities of the Central bank of the Russian Federation (Bank of Russia)" ("the Bulletin of the Bank of Russia" of March 13, 2014 No. 23 - 24, of December 23, 2015 No. 117, of February 22, 2017 No. 22, of May 4, 2017 No. 43, of September 27, 2017 No. 83) the following changes.

1.1. In subitem 1.2.1 of Item 1.2 of the word "and subitem 7.1.1 of Item 7.1" to exclude.

1.2. State Item 1.7 in the following edition:

"1.7. Offers on conducting checks of credit institutions (their branches), including along with checks of other credit institutions (their branches), and also not credit financial credit institutions, self-regulatory organizations of not credit financial credit institutions or not being credit institutions of operators of payment systems, operators of services of payment infrastructure, are approved by Department of banking supervision of the Bank of Russia with operating structural units of the Bank of Russia, including:

with authorized structural division of central office of the Bank of Russia (Department of supervision of systemically significant credit institutions of the Bank of Russia, Service of the current banking supervision of the Bank of Russia) or the territorial office of the Bank of Russia exercising supervision of activities of credit institution (its branch) (further - the structural division of the Bank of Russia exercising supervision of activities of credit institution (its branch);

with the structural divisions of central office of the Bank of Russia performing functions of regulation, control and supervision in the field of the financial markets of not credit financial credit institutions and self-regulatory organizations of not credit financial credit institutions;

with Department of national payment system of the Bank of Russia.

1.7.1. The offer on conducting check of the credit institution which is the operator of payment service provider, operator of services of payment infrastructure of significant payment service provider, operator of payment system in which settlement center is the Bank of Russia and also the credit institution which is significant in the market of payment services concerning observance of requirements of the legislation of the Russian Federation on national payment system (except for questions of observance of requirements to ensuring information security when implementing money transfers) is subject to approval of Department of national payment system of the Bank of Russia.

1.7.2. Offers on conducting check of credit institution (its branch) on observance by credit institutions (their branches) of requirements of the foreign exchange legislation of the Russian Federation, the legislation of the Russian Federation on counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing, and also the Federal Law of December 29, 2012 No. 275-FZ "About the state defense order" (The Russian Federation Code, 2012, No. 53, Art. 7600; 2013, No. 52, Art. 6961; 2015, No. 27, Art. 3950; 2015, No. 29, Art. 4342; 2016, No. 27, Art. 4250; 2017, No. 1, Art. 12; No. 31, Art. 4786) and the regulations of the Bank of Russia adopted according to it (further - the legislation of the Russian Federation on the state defense order) are subject to approval of Department of financial monitoring and currency exchange control of the Bank of Russia.".

1.3. State Item 2.1 in the following edition:

"2.1. Credit institutions (their branches) are performed according to the Consolidating plan of checks of credit institutions (their branches) constituted for the next half-year (further - the Consolidating plan).

The consolidating plan establishes the list of checks of credit institutions, obligatory for execution by structural divisions of the Bank of Russia (their branches) arranged on terms of their carrying out (with indication of type and type of checks of credit institutions (their branches).

2.1.1. The main inspection develops and brings to Department of banking supervision of the Bank of Russia of the recommendation about form of the generalized offers on conducting checks of credit institutions (their branches) for inclusion in the draft of the Consolidating plan (further - the generalized offers in the draft of the Consolidating plan) and to procedure for their creation.

The department of banking supervision of the Bank of Russia develops and brings to structural divisions of the Bank of Russia of the recommendation about form of offers on conducting checks of credit institutions (their branches) for inclusion in the generalized offers in the draft of the Consolidating plan (further - offers in the draft of the Consolidating plan) and to procedure for their creation.

2.1.2. The main inspection no later than April 15 and on October 15 the current year sends to Department of banking supervision of the Bank of Russia (according to the procedure of informing on competence - in Department of supervision of systemically significant credit institutions of the Bank of Russia, the Service of the current banking supervision of the Bank of Russia and head departments of the Bank of Russia exercising supervision of activities of credit institutions) the list of credit institutions which it is necessary to perform in the next half-year proceeding from the requirements about obligatory frequency of their carrying out established by the legislation of the Russian Federation and regulations of the Bank of Russia (further - obligatory frequency of conducting checks).".

1.4. In Item 2.2:

the third and fourth to state paragraphs in the following edition:

"proposals of the First Deputy Chairman of the Bank of Russia and (or) the vice-chairman of the Bank of Russia which coordinate and control work of structural divisions of the Bank of Russia which perform functions of banking supervision and (or) representatives of which are part of Committee of financial supervision of the Bank of Russia (further - the structural divisions of the Bank of Russia performing functions of banking supervision), and also the proposals of the First Deputy Chairman of the Bank of Russia and (or) the vice-chairman of the Bank of Russia coordinating and controlling work of structural division of the Bank of Russia performing functions of supervision in national payment system;

the generalized offers in the draft of the Consolidating plan represented by Department of banking supervision of the Bank of Russia on the basis of offers to the draft of the Consolidating plan according to Items 2.6 and 2.7 of this Instruction, including offers on conducting checks of parent credit institution of banking group and credit institutions - members of banking groups according to the regulation of the Bank of Russia about procedure of supervision of banking groups, and also the offers of the Agency sent to the Bank of Russia according to article 27 of the Federal law "About Deposit Insurance in Banks of the Russian Federation" (further - offers of the Agency).";

the fifth to declare the paragraph invalid.

1.5. In Item 2.3:

word in paragraph one "developed by the Main inspection according to Item 2.1 of this Instruction" shall be replaced with words "finished by Department of banking supervision of the Bank of Russia according to subitem 2.1.1 of Item 2.1 of this Instruction";

third to declare the paragraph invalid;

in paragraph four of the word "with indication of the scope of check or questions which are subject to check" shall be replaced with words "with indication of the list of codes of the questions which are subject to check";

the fifth to state the paragraph in the following edition:

"the checked period (by codes of the questions which are subject to check) according to requirements, the stipulated in Clause 73 Federal Laws "About the Central Bank Russian Federation (Bank of Russia)";";

paragraphs the eighth and ninth to recognize invalid.

1.6. Items 2.4 - 2.11 to state in the following edition:

"2.4. The department of banking supervision of the Bank of Russia considers offers of the Agency and no later than 15 calendar days from the date of their obtaining by the Bank of Russia sends to the Agency of the notification on the made decisions on conducting checks of banks according to offers of the Agency.

Disclaimer! This text was translated by AI translator and is not a valid juridical document. No warranty. No claim. More info