INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of October 3, 2017 No. 4561-U

About procedure for qualification of foreign financial instruments as securities

This Instruction according to the subitem 2 of Item 1 of article 51.1 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. 3952; No. 30, of the Art. 4444) (further - the Federal Law "About the Security Market") establishes procedure for qualification of foreign financial instruments as securities.

1. According to the procedure, established by this Instruction, osushchestvo      qualification as securities of foreign financial instruments to which according to the subitem 1 of Item 1 of article 51.1 of the Federal law "About the Security Market" are appropriated code (number) of identification of securities (further - the ISIN code) and the international code of classification of financial instruments (further - the CFI code) lyatsya.

2. Qualification as securities of foreign financial instruments for which the CFI code having the values established by subitem 4.2 of item 4 of this Instruction is assigned is performed interested in person, including the foreign issuer (the foreign organization obliged on foreign financial instruments), the owner of foreign financial instruments, person having the right to require execution on foreign financial instruments (further - the interested person) specified to qualification according to item 4 of this Instruction.

3. Qualification as securities of foreign financial instruments for which the CFI code having the values other than the values established by subitem 4.2 of item 4 of this Instruction is assigned is performed by the Bank of Russia (Department of the corporate relations (further - authorized department) according to Items 5 - 14 these Instructions.

4. The interested person performs qualification of foreign financial instruments as securities by making of the following actions:

establishment of availability of the ISI№¿ code of the CFI code, appropriated to foreign financial instruments;

establishment of availability of confirmation of code value of CFI of foreign financial instruments information or the document provided by subitem 4.1 of this Item;

correlation of code values of CFI of foreign financial instruments with the values established by subitem 4.2 of this Item.

4.1. The code value of CFI of the foreign financial instrument for the purposes of qualification of such foreign financial instrument as security proves to be true:

information on the CFI code based on the data containing in the information resource of the organization assigning the specified code, placed on the Internet, and in the absence of access to the specified information resource - the document of such organization confirming availability of the CFI code assigned for the foreign financial instrument;

the document of the professional participant of the security market performing depository activity, or the foreign organization performing accounting of the rights to foreign financial instruments, confirming based on information or documents specified in the paragraph the second this subitem, availability of the CFI code assigned for the foreign financial instrument.

4.2. The interested person performs qualification of the foreign financial instrument as security if the CFI code assigned for such foreign financial instrument has the following values.

4.2.1. As shares if the first letter matters "E" provided that the second letter matters "S", "P", "R", "C", "F" or "V", except as specified, when the sixth letter matters "Z" or "A".

4.2.2. As depositary receipts on the share, if:

the first letter matters "E", the second letter matters "S", "R", "R", "C", "F" or "V" provided that the sixth letter matters "Z" or "A";

the first letter matters "E", the second letter matters "D" provided that the third letter matters "S", "P", "C" or "F".

4.2.3. As investment shares or shares of investment funds, if:

the first letter matters "E" provided that the second letter matters "U", except as specified, when the sixth letter matters "Z" or "A";

the first letter matters "C" provided that the sixth letter matters "X".

4.2.4. As investment shares of investment funds if the first letter matters "C" provided that the sixth letter matters "U" or "Y".

4.2.5. As shares of investment funds if the first letter matters "C" provided that the sixth letter matters "S" or "Q".

4.2.6. As depositary receipts on investment shares or shares of investment funds if the first letter matters "E" provided that the second letter matters "U", and the sixth letter - "Z" or "A" value.

4.2.7. As bonds (except for structural bonds) if the first letter matters "D" provided that the second letter matters "B", "C", "T", "Y", "G", "A" or "N", except as specified, when the sixth letter matters "Z" or "A".

4.2.7.1. As structural bonds if the first letter matters "D" provided that the second letter matters "S" or "E".

4.2.8. As depositary receipts on the bond, if:

the first letter matters the "D", second letter "B", "C", "T" or "Y" matters provided that the sixth letter matters "Z" or "A";

the first and second letters matter "D" provided that the third letter matters "B", "C", "T", "Y", "G", "A" or "N".

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