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Ministry of Justice

Russian Federation

On October 16, 2019 No. 56257

INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of August 1, 2019 No. 5222-U

About requirements to rules of internal control on prevention, identification and suppression of unauthorized use of insider information and (or) market manipulation of the legal entities specified in Items 1, 3 - 8, 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"

This Instruction according to Item 1 of part 2 of Article 11 and Item 13 of part 1 of article 14 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 requirements to rules of internal control on prevention, identification and suppression of unauthorized use of insider information and (or) market manipulation of the legal entities specified in Items 1, 3 - 8, the 11 and 12 article 4 of the Federal Law of July 27, 2010 No. 224-FZ.

1. The rules of internal control on prevention, identification and suppression of unauthorized use of insider information and (or) market manipulation (further - counteraction of NIIIMR) (further - rules of internal control of counteraction of NIIIMR) developed and approved by the legal entities specified in Items 1, 3 - 8, the 11 and 12 article 4 of the Federal Law of July 27, 2010 No. 224-FZ (further - legal entities), shall contain following provisions.

1.1. Purposes, tasks and methods of control of observance by the legal entity:

requirements of the Federal Law of July 27, 2010 No. 224-FZ and regulations adopted according to it, and also requirements (rules) of self-regulatory organization in the sphere of the financial market developed according to Item 1 of part 1 of article 17 of the Federal Law of July 27, 2010 No. 224-FZ in case of their availability (for the legal entities who are members of the specified self-regulatory organization in the sphere of the financial market) (further - requirements in the field of counteraction of NIIIMR);

procedure and terms of disclosure of insider information (separate types of insider information) of the issuer approved according to part 1.1 of article 8 of the Federal Law of July 27, 2010 No. 224-FZ the board of directors (supervisory board) of the issuer, and in case of absence of the board of directors (supervisory board) - person performing functions of sole executive body of the issuer (further - procedure and terms of disclosure of insider information of the issuer) (for the legal entities who are issuers);

procedure for access to insider information, rules of protection of its confidentiality and control of observance of requirements of the Federal Law of July 27, 2010 No. 224-FZ and regulations adopted according to it (further - procedure for access to insider information);

rules of internal control of counteraction of NIIIMR;

the internal documents of the organizer of trade providing the actions directed to the prevention, identification and suppression of violations of requirements of the Federal Law of July 27, 2010 No. 224-FZ and regulations adopted according to it including rules of prevention, identification and suppression of cases of unauthorized use of insider information and (or) market manipulation, including criteria of transactions (requests) having signs of unauthorized use of insider information and (or) market manipulation (further - non-standard transactions (requests) (for the legal entities who are organizers of trade).

1.2. Functions of structural division (official) of the legal entity to which duties control of observance by the legal entity of requirements of the Federal Law of July 27, 2010 No. 224-FZ and regulations adopted according to it belongs (further respectively - responsible structural division, the responsible official), including the following functions.

1.2.1. Identification, the analysis, assessment and monitoring of risk of origin at the legal entity of expenses (losses) and (or) other adverse effects as a result of its discrepancy or discrepancy of its activities to requirements in the field of counteraction of NIIIMR, and also to the documents specified in paragraphs three - pole of subitem 1.1 of this Item (further - documents of the legal entity), and (or) as a result of application by the Bank of Russia and (or) self-regulatory organization in the sphere of the financial market (for the legal entities who are members of the specified self-regulatory organization in the sphere of the financial market) died to the legal entity (further - regulatory risk in the field of counteraction of NIIIMR).

1.2.2. The organization of the processes directed to management of regulatory risk in the field of counteraction of NIIIMR, including development of the actions directed to the prevention and prevention of consequences of realization of regulatory risk in the field of counteraction of NIIIMR, and also control of carrying out the specified actions.

1.2.3. Accounting of the events connected with regulatory risk in the field of counteraction of NIIIMR.

1.2.4. Control of the following actions.

1.2.4.1. Informing by the legal entity the Bank of Russia on the probable and (or) come events of regulatory risk in the field of counteraction of NIIIMR recognized by the legal entity essential (further - essential events of regulatory risk in the field of counteraction of NIIIMR), in case of adoption by the legal entity of the decision on informing the Bank of Russia on essential events of regulatory risk in the field of counteraction of NIIIMR.

1.2.4.2. Creation by the legal entity of own lists of insider information and introduction of changes in them (for the legal entities who are persons specified in Items 1, of 3, of 4, of the 11 and 12 article 4 of the Federal Law of July 27, 2010 to No. 224-FZ).

1.2.4.3. Observance by the legal entity of procedure for access to insider information.

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