INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of January 13, 2017 No. 4262-U

About content, form, procedure and terms of submission to the Bank of Russia of the reporting of self-regulatory organization in the sphere of the financial market

Based on part 9 of article 28 of the Federal Law of July 13, 2015 No. 223-FZ "About self-regulatory organizations in the sphere of the financial market" (The Russian Federation Code, 2015, No. 29, Art. 4349; 2016, No. 27, of the Art. 4225) (further - the Federal Law of July 13, 2015 No. 223-FZ) the Bank of Russia establishes content, form, procedure and terms of submission to the Bank of Russia of the reporting of self-regulatory organization in the sphere of the financial market (further - self-regulatory organization).

1. The reporting of self-regulatory organization (further - the reporting) is submitted in the Bank of Russia according to appendices 1 and 2 to this Instruction.

2. The reporting is submitted in the Bank of Russia according to requirements of the Instruction of the Bank of Russia of November 3, 2017 to No. 4600-U "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", No. 49605 registered by the Ministry of Justice of the Russian Federation on January 11, 2018.

3. The reporting is submitted in the Bank of Russia in electronic form, signed by the strengthened qualified digital signature (further - UKEP) person performing functions of the head (sole executive body) of self-regulatory organization.

If the electronic document containing the reporting is signed by UKEP of person, the acting as person performing functions of the head (sole executive body) of self-regulatory organization the electronic document containing the copy of the document on appointment of the acting as is attached to the reporting.

The reporting is submitted in the Bank of Russia together with the cover letter containing information on full name of self-regulatory organization, identification taxpayer number and the primary state registration number of self-regulatory organization, on surname, name and middle name (in the presence) of the head of self-regulatory organization, information on structure of the submitted documents with indication of outgoing date of the cover letter and its registration number and also information on date and number of the instruction or request if the reporting is provided in response to the received instruction or bank inquiry of Russia.

4. In case of identification by self-regulatory organization of the facts of submission to the Bank of Russia of the reporting containing incorrect or irrelevant measure values for any accounting period within the last three years, the corrected reporting shall be provided within 10 working days from the date of identification of such facts. The electronic document with the corrected reporting shall contain the file with the list of incorrect and (or) irrelevant measure values and the description of the reasons of their reflection.

When forming the electronic document with the corrected reporting for certain accounting period the reporting for other accounting periods does not join in it. The corrected reporting for each accounting period goes to the Bank of Russia the separate electronic document.

5. If the last day of term of submission of the reporting falls on the output or non-working holiday recognized by that legislation of the Russian Federation, then the termination of term of submission of the reporting is transferred to the next working day following it.

6. This Instruction becomes effective after 10 days after day of its official publication <1>.

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<1> It is officially published on the website of the Bank of Russia 30.03.2017.

Appendix 1

to the Instruction of the Bank of Russia of January 13, 2017 No. 4262-U "About content, form, procedure and terms of submission to the Bank of Russia of the reporting of self-regulatory organization in the sphere of the financial market"

Report
about activities self-regulating
the organizations in the sphere of the financial market

                                                                                                    as of "__" _____________ ____.

                                                 Form code on OKUD 0420850

                                                               Quarter

Section I. General information about self-regulatory organization

Subsection 1.1. Details

Subsection 1.2. Information on the number of members of self-regulatory organization

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