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Ministry of Justice

Russian Federation

On April 23, 2020 No. 58196

INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of January 29, 2020 No. 5395-U

About procedure and terms of creation and submission to the Bank of Russia of reports by operators of investment platforms, report form of operators of investment platforms and structure of the data included in them

This Instruction based on part 8 of Article 3, Item 6 of part 1 of Article 16 and part 8 of article 17 of the Federal Law of August 2, 2019 No. 259-FZ "About investment attraction with use of investment platforms and about modification of separate legal acts of the Russian Federation" (The Russian Federation Code, 2019, No. 31, the Art. 4418) (further - the Federal Law of August 2, 2019 No. 259-FZ) and article 76.6 of the Federal Law of July 10, 2002 No. 86-FZ "About the Central bank the Russian Federation (Bank of Russia)" (The Russian Federation Code, 2002, No. 28, Art. 2790; No. 30, the Art. 4084) establishes 2013,:

procedure and terms of creation and submission to Bank of Russia of reports by operators of investment platforms;

report forms of operators of investment platforms and structure of the data included in them.

1. Operators of investment platforms shall constitute and submit in the Bank of Russia reports in the scope of information in forms, according to the procedure and terms which are established by appendices 1 - 10 to this Instruction.

2. The operators of investment platforms who are not combining the activities with other types of activity specified in Items 1 - 7 parts 2 of article 10 of the Federal Law of August 2, 2019 No. 259-FZ (The Russian Federation Code, 2019, No. 31, Art. 4418), shall submit in the Bank of Russia the report on form 0420707 "The report on receivables and payables of the operator of the investment platform" established by appendix 5 to this Instruction for the first quarter, the first half of the year, 9 months of calendar year with appendix of the intermediate accounting (financial) records constituted according to requirements of the legislation of the Russian Federation about financial accounting for the first quarter, the first half of the year, 9 months of accounting year as of March 31, on June 30, on September 30 calendar year respectively.

The operators of investment platforms who are not combining the activities with other types of activity specified in Items 1 - 7 parts 2 of article 10 of the Federal Law of August 2, 2019 No. 259-FZ, shall submit in the Bank of Russia the report on form 0420704 "The report on the bank accounts of the operator of the investment platform opened in credit institutions", established by appendix 4 to this Instruction no later than the tenth working day of the month following the first quarter of accounting year with appendix of the annual accounting (financial) accounts constituted according to requirements of the legislation of the Russian Federation about financial accounting, for the previous accounting year, and also audit opinion by results of audit inspection of the specified annual accounting (financial) accounts in case, if according to article 5 of the Federal Law of December 30, 2008 No. 307-FZ "About auditor activities" (The Russian Federation Code, 2009, No. 1, Art. 15; 2019, No. 48, the Art. 6739) concerning the specified annual accounting (financial) accounts establishes the requirement about carrying out statutory audit.

3. The operators of investment platforms combining the activities with the types of activity specified in Items 1 and 2 of part 2 of article 10 of the Federal Law of August 2, 2019 to No. 259-FZ shall not constitute and represent to the Bank of Russia:

Sections 2 and 3 of the report on form 0420701 "The report on the operator of the investment platform" established by appendix 1 to this Instruction;

the report on form 0420702 "Report on affiliates and structure of property of the operator of the investment platform" established by appendix 2 to this Instruction;

the report on form 0420703 "The report on participation in legal procedures in which the operator of investment platform acted as the defendant", established by appendix 3 to this Instruction;

the report on form 0420707 "The report on receivables and payables of the operator of the investment platform" established by appendix 5 to this Instruction;

the report on form 0420713 "Report on the auditing organization or the individual auditor" established by appendix 10 to this Instruction.

4. The operators of investment platforms combining the activities with the types of activity specified in Items 3 - 7 parts 2 of article 10 of the Federal Law of August 2, 2019 No. 259-FZ, shall not constitute and represent to the Bank of Russia:

Sections 2 and 3 of the report on form 0420701 "The report on the operator of the investment platform" established by appendix 1 to this Instruction;

the reports specified in paragraphs three - Item pole 3 presents of the Instruction;

the report on form 0420712 "The report on persons to whom the operator of investment platform carrying out identification is entrusted", established by appendix 9 to this Instruction.

5. Operators of investment platforms shall submit in the Bank of Russia reports on the forms established by appendices 1 - 10 to this Instruction, with appendix to them of accounting (financial) records and audit opinion by results of audit inspection of annual accounting (financial) accounts, the stipulated in Item 2 presents of the Instruction (further in case of joint mentioning - the reporting), in the form of electronic documents according to the order of interaction of the Bank of Russia with not credit financial credit institutions determined based on parts 1 and 8 of article 76.9 of the Federal Law of July 10, 2002 No. 86-FZ "About the Central bank the Russian Federation (Bank of Russia)" (The Russian Federation Code, 2002, No. 28, Art. 2790; 2015, No. 29, Art. 4357; 2016, No. 27, Art. 4225).

6. In case of identification of investment platforms of incorrect and (or) irrelevant measure values by operators (text or numerical) in the reporting provided by them to the Bank of Russia within 3 years preceding day of this identification, the reporting shall be corrected and provided by operators of investment platforms to the Bank of Russia within 10 working days from the date of detection of incorrect and (or) irrelevant values. The document with the corrected reporting shall not join the reporting for other periods (week, quarter, half-year, 9 months, year) for which operators of investment platforms constitute reports on the forms established by appendices 1 - 10 to this Instruction (further - the accounting period).

When entering corrections into the reporting for several accounting periods each corrected reporting shall be represented to the Bank of Russia by the separate document with appendix of the list of incorrect and (or) irrelevant measure values and the description of the reasons of their specifying.

7. The reporting is constituted and it is represented according to this Instruction starting with the reporting for the period in which this Instruction becomes effective.

8. This Instruction is subject to official publication and according to the solution of the Board of directors of the Bank of Russia (the minutes of the Board of directors of the Bank of Russia of January 24, 2020 No. 1) become effective since October 1, 2020.

Chairman of the Central bank of the Russian Federation

E. S. Nabiullina

Appendix 1

to the Instruction of the Bank of Russia of January 29, 2020 No. 5395-U "About procedure and terms of creation and submission to the Bank of Russia of reports by operators of investment platforms, report forms of operators of investment platforms and structure of the data included in them"

(form)

Report on the operator of investment platform

(as of __ _____ ____ years)

 

Full trade name of the operator of investment platform: _________

 

                                                 Form code on OKUD 0420701

 

                             Annual/quarterly / On irregular basis

 

Section 1. General information about the operator of investment platform

 

Line number

Type of data

Content

1

2

3

1

Full trade name (in Russian)


2

The reduced trade name (in Russian) (in the presence)


3

Full name in English (in the presence)


4

The abbreviated name in English (in the presence)


5

Identification taxpayer number (further - INN)


6

The primary state registration number (further - PSRN)


7

Territory code on the All-Russian qualifier of subjects to administrative-territorial division (RCATU)


8

The address specified in the Unified State Register of Legal Entities (further - the USRLE)


9

Place of direct conducting activities


10

The address for the direction of post correspondence


11

Contact phone number (in the presence)


12

E-mail address (in the presence)


13

The website address on the Internet


14

Instruction on combination of activities of the operator of investment platform with other types of activity


 

Section 2. Data on separate divisions of the operator of investment platform (in the presence)

 

Line number

Type of data

Content

1

2

3

1

Full name of separate division (in the presence)


2

Type of separate division


3

Code under the All-Russian Classifier of Enterprises and Organizations (RCBO) of separate division


4

Date of creation of separate division


5

Contact phone number of separate division (in the presence)


6

Location of separate division


7

Surname, name, middle name (the last - in the presence) the head of separate division


 

Section 3. Data on structure and staff of governing bodies of the operator of investment platform

Subsection 3.1. The information about person performing functions of sole executive body (including it is temporary) the operator of investment platform

 

Line number

Type of data

Content

1

2

3

1

Surname, name, middle name (the last - in the presence)


2

Birth date


3

Birthplace


4

Nationality


5

INN (in the presence)


6

The insurance number of the individual ledger account (further - the Insurance Number of Individual Ledger Account) (in the presence)


7

Identity document


7.1

Series (in the presence) and document number, proving the identity


7.2

Date of issue of the identity document


7.3

The name of the body which issued the identity document


8

The address of place of registration according to the identity document


9

Name of post


10

Date of appointment (election) to position


11

Date of dismissal (in the presence)


12

Date and document number by which person was designated it (is elected) to the position held by it


13

Date and document number by which person was dismissed occupied by him (in the presence)


14

Term of assignment of temporary fulfillment of duties (when applicable)


15

Full name of other organization in which person works (in the presence)


16

The abbreviated name of other organization in which person works (in the presence)


17

The name of post of person in other organization (in the presence)


18

The name of other organization in which governing bodies the face consists (in the presence)


19

The name of governing body of other organization in which the face, with indication of post consists (in the presence)


20

Name of higher educational institution


21

End date of higher educational institution


22

Number of the diploma


23

Specialty according to the diploma


24

Qualification according to the diploma


 

Subsection 3.2. Information about the deputy of sole executive body of the operator of investment platform (in the presence)

 

Line number

Type of data

Content

1

2

3

1

Surname, name, middle name (the last - in the presence)


2

Birth date


3

Birthplace


4

Nationality


5

INN (in the presence)


6

Insurance Number of Individual Ledger Account (in the presence)


7

Identity document


7.1

Series (in the presence) and document number, proving the identity


7.2

Date of issue of the identity document


7.3

The name of the body which issued the identity document


8

The address of place of registration according to the identity document


9

Name of post


10

Date of position assignment


11

Date of dismissal (in the presence)


12

Date and document number by which person was appointed to the position held by it


13

Date and document number by which person was dismissed occupied by him (in the presence)


14

Name of higher educational institution


15

End date of higher educational institution


16

Number of the diploma


17

Specialty according to the diploma


18

Qualification according to the diploma


 

Subsection 3.3. The information about persons entering into collegiate executive body of the operator of investment platform (in the presence)

 

Line number

Type of data

Content

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