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Ministry of Justice

Russian Federation

On March 20, 2018 No. 50423

PROVISION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of December 26, 2017 No. 622-P

About procedure for disclosure of information on persons, under control or considerable influence of which there are banks - participants of system of compulsory deposit insurance of physical persons in banks of the Russian Federation, and also about procedure for disclosure and submission to the Bank of Russia of information on structure and shareholding structure (participants) of non-state pension funds, insurance companies, managing companies, microfinance companies, including about persons, under control or considerable influence of which they are

This Provision based on Item 5 of part 1 of article 44 of the Federal Law of December 23, 2003 No. 177-FZ "About deposit insurance in banks of the Russian Federation" (The Russian Federation Code, 2003, No. 52, Art. 5029; 2004, No. 34, Art. 3521; 2005, No. 1, Art. 23; 2006, No. 31, Art. 3449; 2007, No. 12, Art. 1350; 2008, No. 42, Art. 4699; No. 52, Art. 6225; 2011, No. 1, Art. 49; No. 27, Art. 3873; No. 29, Art. 4262; No. 49, Art. 7059; 2013, No. 19, Art. 2308; No. 27, Art. 3438; No. 49, Art. 6336; No. 52, Art. 6975; 2014, No. 14, Art. 1533; No. 30, Art. 4219; No. 52, Art. 7543; 2015, No. 1, Art. 4, Art. 14; No. 27, Art. 3958; No. 29, Art. 4355; 2016, No. 27, Art. 4297; 2017, No. 18, Art. 2661, Art. 2669; No. 31, the Art. 4789, the Art. 4816) (further - the Federal Law "About Deposit Insurance in Banks of the Russian Federation"), Item 5 of article 4.1 of the Federal Law of May 7, 1998 No. 75-FZ "About non-state pension funds" (The Russian Federation Code, 1998, No. 19, Art. 2071; 2001, No. 7, Art. 623; 2002, No. 12, Art. 1093; 2003, No. 2, Art. 166; 2004, No. 49, Art. 4854; 2005, No. 19, Art. 1755; 2006, No. 43, Art. 4412; 2007, No. 50, Art. 6247; 2008, No. 18, Art. 1942; No. 30, Art. 3616; 2009, No. 29, Art. 3619; No. 48, Art. 5731; No. 52, Art. 6450, Art. 6454; 2010, No. 17, Art. 1988; No. 31, Art. 4196; 2011, No. 29, Art. 4291; No. 48, Art. 6728; No. 49, Art. 7036, Art. 7037, Art. 7040, Art. 7061; 2012, No. 31, Art. 4322; No. 47, Art. 6391; No. 50, Art. 6965, Art. 6966; 2013, No. 19, Art. 2326; No. 30, Art. 4044, Art. 4084; No. 49, Art. 6352; No. 52, Art. 6975; 2014, No. 11, Art. 1098; No. 30, Art. 4219; 2015, No. 27, Art. 3958, Art. 4001; No. 29, Art. 4357; 2016, No. 1, Art. 41, Art. 47; No. 27, Art. 4225; 2017, No. 31, the Art. 4754, the Art. 4830) (further - the Federal Law "About Non-state Pension Funds"), Item 13 of article 32.1 of the Law of the Russian Federation of November 27, 1992 No. 4015-1 "About the organization of insurance case in the Russian Federation" (Sheets of the Congress of People's Deputies of the Russian Federation and the Supreme Council of the Russian Federation, 1993, No. 2, Art. 56; Russian Federation Code, 1998, No. 1, Art. 4; 1999, No. 47, Art. 5622; 2002, №12, of Art. 1093; No. 18, Art. 1721; 2003, No. 50, Art. 4855, Art. 4858; 2004, No. 30, Art. 3085; 2005, No. 10, Art. 760; No. 30, Art. 3101, Art. 3115; 2007, No. 22, Art. 2563; No. 46, Art. 5552; No. 49, Art. 6048; 2009, No. 44, Art. 5172; 2010, No. 17, Art. 1988; No. 31, Art. 4195; No. 49, Art. 6409; 2011, No. 30, Art. 4584; No. 49, Art. 7040; 2012, No. 53, Art. 7592; 2013, No. 26, Art. 3207; No. 30, Art. 4067; No. 52, Art. 6975; 2014, No. 23, Art. 2934; No. 30, Art. 4224; No. 45, Art. 6154; 2015, No. 10, Art. 1409; No. 27, Art. 3946, Art. 4001; No. 29, Art. 4357, Art. 4385; No. 48, Art. 6715; 2016, No. 1, Art. 52; No. 22, Art. 3094; No. 26, Art. 3863, Art. 3891; No. 27, Art. 4225, Art. 4294, Art. 4296; 2017, No. 31, the Art. 4754, the Art. 4830) (further - the Federal Law "About the Organization of Insurance Case in the Russian Federation"), Item 5 of article 38.1 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, Art. 4225, Art. 4294; 2017, No. 18, Art. 2661; No. 31, the Art. 4830) (further - the Federal Law "About Investment Funds") and parts 5 of article 4.3 of the Federal Law of July 2, 2010 No. 151-FZ "About microfinancial activities and the microfinancial organizations" (The Russian Federation Code, 2010, No. 27, Art. 3435; 2011, No. 27, Art. 3880; No. 49, Art. 7040; 2013, No. 26, Art. 3207; No. 30, Art. 4084; No. 51, Art. 6683, Art. 6695; 2014, No. 26, Art. 3395; 2015, No. 27, Art. 4001; No. 29, Art. 4357; 2016, No. 1, Art. 27; No. 27, Art. 4163, Art. 4225; 2017, No. 18, Art. 2669; No. 31, of the Art. 4830) establishes procedure for disclosure to the unrestricted group of people of information on persons, under control or considerable influence of which there are participating banks of system of compulsory deposit insurance of physical persons in banks of the Russian Federation (further - credit institutions), and also procedure for submission to the Bank of Russia and disclosures to the unrestricted group of people of information:

about structure and shareholding structure of non-state pension funds, including about persons, under control or considerable influence of which there are non-state pension funds (further - funds);

about structure and shareholding structure (participants) of insurance companies, shareholders (participants) of managing companies of investment funds, mutual investment funds and non-state pension funds (further - managing companies), shareholders (participants) of microfinance companies, including about persons, under control or considerable influence of which there are insurance companies, managing companies, microfinance companies (further in case of joint mentioning - NFO).

1. For ensuring access of the unrestricted group of people to information on persons, under control or considerable influence of which there are credit institutions, and to information on structure and shareholding structure of funds, including on persons, under control or considerable influence of which there are funds, this information shall be posted on the official site of the Bank of Russia on the Internet (further - the official site of the Bank of Russia). Information on structure and shareholding structure of fund, including on persons, under control or considerable influence of which is fund, also shall be posted on the official site of fund on the Internet (further - the official site of fund).

1.1. For placement of information on persons, under control or considerable influence of which there is credit institution, on the official site of the Bank of Russia credit institution go to the Bank of Russia (the center of the admission of the financial organizations which is territorial subdivision of Department of the admission and the termination of activities of the financial organizations of the Bank of Russia (further - the center of the admission) the following documents:

the statement for placement on the official site of the Bank of Russia of information on persons, under control or considerable influence of which is credit institution (further - the Statement);

the list of persons, under control or considerable influence of which is credit institution (further - the List);

the scheme of interrelations of credit institution and persons, under control or considerable influence of which there is credit institution (further - the Scheme).

The recommended application form is given in appendix 1 to this Provision. The recommended sample of the List is given in appendix 2 to this Provision. The example of filling of the List is given in appendix 3 to this Provision. The example of creation of the Scheme is given in appendix 4 to this Provision.

The statement, the List and the Scheme are represented by credit institution in electronic form.

1.2. For placement of information on structure and shareholding structure of fund, including about persons, under control or considerable influence of which there is fund, on the official site of the Bank of Russia fund the following documents go to Department of the admission and termination of activities of the financial organizations of the Bank of Russia:

the statement for placement on the official site of the Bank of Russia of information on structure and shareholding structure of fund, including about persons, under control or considerable influence of which is fund (further - the Statement 1);

the list of shareholders of fund and persons, under control or considerable influence of which is fund (further - the List 1);

the scheme of interrelations of shareholders of fund and persons, under control or considerable influence of which there is fund (further - the Scheme 1).

The recommended application form 1 is given in appendix 5 to this Provision. The recommended sample of the List 1 is given in appendix 6 to this Provision. The example of filling of the List 1 is given in appendix 7 to this Provision. The example of creation of the Scheme 1 is given in appendix 8 to this Provision.

The statement 1, the List 1 and the Scheme 1 are represented by fund in electronic form.

1.3. For placement on the official site of the Bank of Russia of information on persons, under control or considerable influence of which there is credit institution, the List and the Scheme go credit institutions to the Bank of Russia (the center of the admission) in the form of files, each of which shall include both the List, and the Scheme. Names of files shall correspond to the following template: RByyyy_ггггммдд.doc and RByyyy_ггггммдд.pdf, where yyyy - registration number of credit institution according to the Book of state registration of credit institutions (it is specified in the four-digit category), ggggmmdd - year, month, date of forming of the List and Scheme. The statement is presented in the form of the file which name shall correspond to the following template: RBZyyyy.pdf, where yyyy - registration number of credit institution according to the Book of state registration of credit institutions (it is specified in the four-digit category).

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