INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of April 22, 2019 No. 5128-U

About procedure and terms of provision of information by the insiders who received provided by parts 1 - 3 articles 10 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" request

This Instruction based on part 4 of article 10 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 and terms of provision of information by the insiders who received provided by parts 1 - 3 articles 10 of the Federal Law of July 27, 2010 No. 224-FZ request.

1. The insiders included in the list of insiders of persons specified in parts 1 - 3 articles 10 of the Federal Law of July 27, 2010 No. 224-FZ (further - insiders) which received from persons specified in parts 1 - 3 articles 10 of the Federal Law of July 27, 2010 No. 224-FZ (further - the requesting person), request about provision of information specified in parts 1 - 3 articles 10 of the Federal Law of July 27, 2010 No. 224-FZ (further respectively - information, request) signed by the head of the requesting person or person authorized by it and the containing period for which information shall be provided directed by method, allowing to confirm the fact of its obtaining by the insider shall provide requesting to person the answer, containing required information (further - reply to the request), in specified in request the term which shall be at least 10 working days from the date of receipt of request by the insider.

If information belongs to transactions (agreements) specified in parts 1 - 3 articles 10 of the Federal Law of July 27, 2010 No. 224-FZ which were not made by the insider (did not consist) during the period for which according to request information shall be provided, the insider shall provide the information on lack of the facts of making (conclusion) of transactions (agreements) in reply to the request.

2. According to the decision of the insider in reply to the request it is specified about need of assurance of receipt by the requesting person of reply to the request.

3. In case of availability of the circumstances interfering execution by the insider of request in the time established in it, the insider according to its decision represents to the requesting person not later than 5 working days before the expiration of the term specified in request the motivated petition for prolongation of completion date of request (further - the petition for prolongation of term).

The requesting person 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 requesting person of the petition for prolongation of term proved the requesting person shall provide to the insider the notification on prolongation of term of provision of information (further - the notification on prolongation of term), but no more than for 5 working days from the date of receipt by the insider of the notification on prolongation of term.

In case of recognition by the requesting person of the petition for prolongation of term unreasonable the requesting person shall provide to the insider the notification on refusal in prolongation of term of provision of information (further - the notification on refusal).

4. The insider, except for the case specified in Item 5 of this Instruction shall provide to the requesting person reply to the request in electronic form one of the following methods at the choice of the insider:

by means of use of program technical means and Internet;

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

5. In case of availability of the circumstances interfering execution by the insider - physical person of request in electronic form one of the methods specified in item 4 of this Instruction, the insider - reply to the request on paper at its choice by the courier or the registered mail with the assurance of receipt shall present the physical person to the requesting person.

6. By provision of reply to the request by the method specified in paragraph three of item 4 of this Instruction, the insider shall provide reply to the request in the form of the file with one of the following expansions at the choice of the insider: ".dbf", ".xls", ".xlsx", ".txt", ".csv".

7. Reply to the request on the electronic medium of information (compact disk, the flash drive) shall be provided by the insider together with the cover letter on paper.

8. In case of availability in reply to the request of specifying on need of assurance of receipt by the requesting person of reply to the request the requesting person no later than 2 working days from the date of receipt of reply to the request shall provide to the insider assurance of receipt of reply to the request (further - confirmation).

9. The petition for prolongation of term shall be provided by the insider, and the notification on prolongation of term, the notification on refusal, confirmation are provided by the requesting person by the method allowing to confirm the fact of its obtaining by the addressee.

10. Reply to the request, the petition for prolongation of term in electronic form shall (shall) be is signed (signed) by the digital signature of the insider - physical person or person authorized by it, the insider's head - the legal entity or person authorized by it, and the notification on prolongation of term, the notification on refusal, confirmation in electronic form - the digital signature of the head of the requesting person or person authorized by it and to contain the data allowing to identify the insider.

Reply to the request, the petition for prolongation of term, the cover letter which are drawn up by the insider - physical person on paper, shall be signed by the insider - physical person or person authorized by it and to contain the data allowing to identify the insider - physical person.

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

The notification on prolongation of term, the notification on refusal, the confirmation which are drawn up by the requesting person on paper shall be signed by the head of the requesting person or person authorized by it, are certified by seal of the requesting person (in the presence) and to contain the data allowing to identify the requesting person.

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