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Ministry of Justice

Russian Federation

On April 2, 2018 No. 50585

INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of December 21, 2017 No. 4658-U

About procedure and term of the direction of the notification person who directly or indirectly acquired the order right in 10 and more percent of votes, the Bank of Russia of information on persons falling on voting shares (shares) constituting the authorized capital of the professional participant of the security market, microcredit company, pawnshop and also about procedure for request which directly or indirectly have the order right in 10 and more percent of votes, falling on voting shares (shares) constituting the authorized capital of the professional participant of the security market, microcredit company, pawnshop

This Instruction based on Items 2 and 3 of article 10.1-2 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, Art. 4225; 2017, No. 25, Art. 3592; No. 27, Art. 3925; No. 30, Art. 4444; No. 48, the Art. 7052), parts 2 and 3 of article 4.2 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. 4225; 2017, No. 18, Art. 2669; No. 31, the Art. 4830), parts 2 and 4 of article 2.2 of the Federal Law of July 19, 2007 No. 196-FZ "About pawnshops" (The Russian Federation Code, 2007, No. 31, Art. 3992; No. 45, Art. 5426; 2013, No. 51, Art. 6683, Art. 6695; 2015, No. 29, the Art. 4357), article 76.7 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, Art. 4456; No. 31, No. 4830; No. 50, of the Art. 7562) establishes procedure and term of the direction of the notification person who directly or indirectly (through persons under control to it) independently or together with other persons, the related property trust management agreements, and (or) particular partnership, and (or) the order, and (or) the shareholders' agreement, and (or) other agreement which subject is implementation of the rights certified by shares (shares) of the professional participant of the security market which is not credit institution, the microcredit company, pawnshop (further - NFO) acquired the order right in 10 and more percent of votes, falling on voting shares (shares) constituting the authorized capital of NFO (further - person who acquired the order right shares (shares) of NFO), and also procedure for request the Bank of Russia of information on persons who acquired the order right shares (shares) of NFO.

1. Person who acquired the order right shares (shares) of NFO shall send to Department of the admission and termination of activities of the financial organizations of the Bank of Russia (further - authorized structural division) and in NFO the notification on receipt of the right of the order in 10 and more percent of votes falling on voting shares (shares) constituting the authorized capital of NFO (the recommended sample is given in appendix to this Instruction) (further - the notification), within ten working days from the date of emergence of such right.

2. The notification goes to authorized structural division person who acquired the order right shares (shares) of NFO, or one of the following methods authorized by it person:

on paper by the direction of the registered mail;

on paper by transfer to expedition of the Bank of Russia;

in electronic form according to the procedure, No. 4600-U established by the Instruction of the Bank of Russia of November 3, 2017 "About order of interaction of the Bank of Russia with credit institutions, not credit financial credit institutions and other participants of information exchange when using of information resources of the Bank of Russia, including private office by them", the registered Ministry of Justice of the Russian Federation on January 11, 2018 No. 49605 (further - the Instruction of the Bank of Russia No. 4600-U).

The notification goes to NFO person who acquired the order right shares (shares) of NFO, or person authorized by it on paper or in electronic form.

3. The notification represented on paper is certified by the signature of person who acquired the order right shares (shares) of NFO, or person authorized by it, and also sealed the legal entity (in the presence).

In case of assurance of the notification the signature of person authorized by person who acquired the order right shares (shares) of NFO submits the document confirming powers of such person.

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