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Ministry of Justice

Russian Federation

On April 17, 2018 No. 50800

INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of March 22, 2018 No. 4748-U

About the maximum payment levied by the holder of the register of owners of securities from registered persons for carrying out transactions on personal accounts and for provision of information from the register of owners of securities and procedure for its determination

This Instruction based on Item 3.7 of article 8 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, Art. 7052; 2018, No. 1, of the Art. 65, the Art. 70) (further - the Federal Law "About the Security Market") establishes the maximum payment levied by the holder of the register of owners of securities (further - the register) from registered persons for carrying out transactions on personal accounts and for provision of information from the register, and procedure for its determination.

1. The maximum payment levied by the holder of the register from registered persons for carrying out transactions on personal accounts and for provision of information from the register on condition of observance of the requirement, the stipulated in Item 2 presents of the Instruction, constitutes the following size.

1.1. For opening of personal account:

135 rubles - for physical persons;

650 rubles - for legal entities.

1.2. For closing of personal account:

65 rubles - for physical persons;

325 rubles - for legal entities.

1.3. For introduction of record on personal account about encumbrance of securities - 1 500 rubles.

1.4. For introduction of record on personal account about the termination of encumbrance of securities - 1 500 rubles.

1.5. For introduction of record on personal account about change of the data containing in record about encumbrance of securities, except for introduction of record on personal account about the termination of encumbrance of securities - 1 500 rubles.

1.6. For introduction of records about write-off of securities from personal account of the registered person and transfer of securities on personal account of other registered person, except as specified, provided by subitems 1.7 and 1.8 of this Item, in total for both transactions:

at the cost of securities determined according to the procedure, specified in Item 3 presents of the Instruction (further - the cost of securities), no more than 3 000 rubles - 300 rubles;

at the cost of securities more than 3 000 rubles, but no more than 600 000 rubles - 3 000 rubles;

at the cost of securities more than 600 000 rubles, but no more than 1 400 000 rubles - 7 000 rubles;

at the cost of securities more than 1 400 000 rubles, but no more than 10 000 000 rubles - 50 000 rubles;

at the cost of securities more than 10 000 000 rubles, but no more than 100 000 000 rubles - 500 000 rubles;

at the cost of securities more than 100 000 000 rubles - 1 500 000 rubles.

1.7. For introduction of records about write-off of securities from personal account of the nominee holder, the nominee holder of the central depositary, the trustee and transfer of securities on personal account of the owner, other nominee holder, nominee holder of the central depositary, the trustee in total for both transactions, or introduction of records about write-off of securities from personal account of the owner and transfer of securities on personal account of the nominee holder, nominee holder of the central depositary, the trustee in total for both transactions which are not connected with transition of the property rights to securities:

at the cost of securities no more than 3 000 rubles - 300 rubles;

at the cost of securities more than 3 000 rubles - 1 000 rubles.

1.8. For introduction of records about write-off and transfer of securities as a result of reorganization of the legal entity in the form of transformation in total for both transactions - 3 000 rubles.

1.9. For provision to the registered person according to its requirement of the statement from the register on its personal account, except for the case provided by the paragraph the second Item 3.7 of article 8 of the Federal law "About the Security Market", or the certificate of availability on the account of certain quantity of securities, or the report (notification) on making of transaction on personal account:

on paper - 270 rubles;

in electronic form - 135 rubles.

1.10. For provision to the registered person of the report (certificate) of the transactions made on its personal account (further - the report (reference):

on paper - 270 rubles for the report (reference) containing (containing) no more than four records about the transactions made on personal account plus 65 rubles for each subsequent such record, but no more than 2 750 rubles for the report (reference);

in electronic form - 135 rubles for the report (reference) containing (containing) no more than four records about the transactions made on personal account plus 30 rubles for each subsequent record, but no more than 1 375 rubles for the report (reference).

1.11. For provision to the registered person on whose personal account more than one percent of voting shares of the issuer are considered, information from the register on name (name) of registered persons and about the number of the shares of each category (each type) considered on their personal accounts - 8 000 rubles for information containing no more than 2 000 records about registered persons and the shares considered on their personal accounts plus 1 ruble for each subsequent record.

2. Established by subitems 1.9 - 1.11 Items of 1 this Instruction the maximum payment levied by the holder of the register from registered persons for provision of information from the register includes everything the expenses which are actually incurred by the holder of the register connected with provision of information from the register, except for expenses on fee of mail service on delivery and transfer of the specified information on paper.

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