Document from CIS Legislation database © 2003-2020 SojuzPravoInform LLC

It is registered

Ministry of Justice

Russian Federation

On June 7, 2019 No. 54881

INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of April 22, 2019 No. 5129-U

About procedure for transfer by the legal entities specified in Items 1, 3 - 7, the 11 and 12 article 4 of the Federal Law of July 27, 2010 No. 224-FZ "About counteraction to unauthorized use of insider information and to market manipulation and about modification of separate legal acts of the Russian Federation", to the organizer of trade through whom financial instrument transactions, by foreign currency and (or) goods, according to its requirement of the list of insiders are made

This Instruction based on Item 3 of part 1 of article 9 of the Federal Law of July 27, 2010 No. 224-FZ "About counteraction to unauthorized use of insider information and to market manipulation and about modification of separate legal acts of the Russian Federation" (The Russian Federation Code, 2010, No. 31, Art. 4193; 2011, No. 29, Art. 4291; No. 48, Art. 6728; 2012, No. 31, Art. 4334; 2013, No. 30, Art. 4082, Art. 4084; 2014, No. 30, Art. 4219; 2016, No. 27, Art. 4225; 2018, No. 32, Art. 5103; No. 53, of the Art. 8440) (further - the Federal Law of July 27, 2010 No. 224-FZ) establishes procedure for transfer by the legal entities specified in Items 1, 3 - 7, the 11 and 12 article 4 of the Federal Law of July 27, 2010 No. 224-FZ, to the organizer of trade through whom financial instrument transactions, by foreign currency and (or) goods, according to its requirement of the list of insiders are made.

1. The legal entities specified in Items 1, 3 - 7, the 11 and 12 article 4 of the Federal Law of July 27, 2010 No. 224-FZ (further - legal entities), shall transfer the list of insiders to the organizer of trade through whom financial instrument transactions, by foreign currency and (or) goods, according to its requirement signed by person performing functions of sole executive body of the organizer of trade, or person authorized by it (further - the authorized person of the organizer of trade) and containing date as of which the list of insiders shall be constituted by the legal entity, received by the method allowing to confirm the fact of its obtaining by the legal entity are made.

2. According to the decision of the legal entity together with the list of insiders the message on need of assurance of receipt of the list of insiders is transferred by the organizer of trade (except for case of transfer of the list of insiders by the method specified in the paragraph the second Item 5 of this Instruction).

3. The legal entity shall transfer to the organizer of trade the list of insiders in time specified in the requirement which shall not be less than 10 working days from the date of receipt of the requirement by the legal entity, except for case, the stipulated in Item 4 presents of the Instruction.

4. In case of availability of the circumstances interfering execution of the requirement in the time established in it, the legal entity according to its decision represents to the organizer of trade not later than 5 working days before the expiration of the term specified in the requirement the motivated petition for prolongation of completion date of the requirement (further - the petition for prolongation of term).

The organizer of trade shall consider the petition for prolongation of the term within 2 working days from the date of following behind day of its obtaining.

In case of recognition by the organizer of trade of the petition for prolongation of term proved the organizer of trade shall provide to the legal entity the notification on prolongation of term of transfer of the list of insiders (further - the notification on prolongation of term), but no more than for 5 working days from the date of receipt by the legal entity of the notification on prolongation of term.

In case of recognition by the organizer of trade of the petition for prolongation of term unreasonable the organizer of trade shall provide to the legal entity the notification on refusal in prolongation of term of transfer of the list of insiders (further - the notification on refusal).

5. The legal entity shall transfer to the organizer of trade the list of insiders in electronic form by one of the following methods at the choice of the legal entity:

by means of use of the software posted on the official site of the organizer of trade on the Internet (further respectively - PO the organizer of trade, Internet network) for transfer of the list of insiders (in the presence);

by means of use of program technical means and Internet network;

on the electronic medium of information (compact disk, the flash drive) the courier or the registered mail with the assurance of receipt.

6. By transfer of the list of insiders by the methods specified in paragraphs three and the fourth Item 5 of this Instruction, the legal entity shall provide the list of insiders in the form of the file with one of the following expansions at the choice of the legal entity: ".dbf", ".xls", ".xlsx", ".txt", ".csv".

7. The list of insiders on the electronic medium of information (compact disk, the flash drive) shall be transferred by the legal entity together with the cover letter on paper.

8. In case of receipt of trade by the organizer together with the list of insiders of the message on need of assurance of receipt by the organizer of trade of the list of insiders the organizer of trade no later than 2 working days from the date of receipt of the list of insiders shall provide to the legal entity assurance of receipt of the list of insiders (further - confirmation).

9. The petition for prolongation of term shall be provided by the legal entity, and the notification on prolongation of term, the notification on refusal, confirmation are provided by the organizer of trade in the method allowing to confirm the fact of its obtaining by the addressee.

10. The list of insiders, the petition for prolongation of term in electronic form shall be signed by the digital signature of the head of the legal entity or person authorized by it (except for transfers of the list of insiders by means of use of PO the organizer of trade), and the notification on prolongation of term, the notification on refusal, confirmation in electronic form - the digital signature of the authorized person of the organizer of trade and to contain the data allowing to identify the legal entity.

The petition for prolongation of term, the cover letter represented by the legal entity on paper shall be signed by the head of the legal entity or person authorized by it, are certified by seal of the legal entity (in the presence) and to contain the data allowing to identify the legal entity.

The notification on prolongation of term, the notification on refusal, the confirmation provided by the organizer of trade on paper shall be signed by the authorized person of the organizer of trade, are certified by seal of the organizer of trade (in the presence) and to contain the data allowing to identify the legal entity.

Warning!!!

This is not a full text of document! Document shown in Demo mode!

If you have active License, please Login, or get License for Full Access.

With Full access you can get: full text of document, original text of document in Russian, attachments (if exist) and see History and Statistics of your work.

Get License for Full Access Now

Disclaimer! This text was translated by AI translator and is not a valid juridical document. No warranty. No claim. More info

Effectively work with search system

Database include more 40000 documents. You can find needed documents using search system. For effective work you can mix any on documents parameters: country, documents type, date range, teams or tags.
More about search system

Get help

If you cannot find the required document, or you do not know where to begin, go to Help section.

In this section, we’ve tried to describe in detail the features and capabilities of the system, as well as the most effective techniques for working with the database.

You also may open the section Frequently asked questions. This section provides answers to questions set by users.

Search engine created by SojuzPravoInform LLC. UI/UX design by Intelliants.