INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of September 14, 2020 No. 5549-U

About requirements to contents of notifications, stipulated in Item 3 parts 1 and part 4 of article 12 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", and also about procedure and terms of submission to the Bank of Russia of the specified notifications

This Instruction based on Item 3 of part 1 and part 4 of article 12 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; 2016, No. 27, the Art. 4225) determines requirements to content, procedure and terms of submission to the Bank of Russia:

notifications on transactions (requests) having signs of unauthorized use of insider information and (or) market manipulation;

notifications on results of the performed transactions (requests) having signs of unauthorized use of insider information and (or) market manipulation;

notifications on implementation of transaction concerning which participants of the organized biddings have reasons to believe that this transaction performed from their name, but for customer account or for and on behalf of the client, is performed with unauthorized use of insider information and (or) is market manipulation.

Chapter 1. Requirements to contents of the notification on transactions (requests) having signs of unauthorized use of insider information and (or) market manipulation, and also procedure and terms of submission by the organizer of trade of the specified notification to the Bank of Russia

1.1. The notification on transactions (requests) having signs of unauthorized use of insider information and (or) market manipulation including on transactions (requests) which have signs of unauthorized use of insider information and (or) market manipulation in total (further - non-standard transactions (requests), represented to the Bank of Russia by the organizer of trade who revealed the specified non-standard transactions (requests) (further - the organizer of trade) shall contain:

1.1.1. full trade name of the organizer of trade;

1.1.2. the primary state registration number (further - PSRN), identification taxpayer number (further - INN) the organizer of trade;

1.1.3. the description of signs of unauthorized use of insider information and (or) market manipulation in the non-standard transactions (requests) revealed by the organizer of trade;

1.1.4. specifying on availability (absence) of the Federal Law provided by part 5 of Article 12 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" (further - the Federal Law of July 27, 2010 No. 224-FZ) consent to distribution or provision of information on the name of the organizer of trade;

1.1.5. the following data on all non-standard transactions (requests) revealed by the organizer of trade during the trading day:

concerning non-standard transactions (requests) which are agreements (further - non-standard agreements), - the data containing in the register of the agreements signed at the organized biddings according to paragraphs the fourth and seventh subitem 2.5.1 of Item 2.5 of the Provision of the Bank of Russia of October 17, 2014 No. 437-P "About activities for carrying out the organized biddings", No. registered by the Ministry of Justice of the Russian Federation on December 30, 2014 35494, on February 16, 2018 No. 50066 (further - the Provision of the Bank of Russia No. 437-P);

concerning the requests having signs of unauthorized use of insider information and (or) market manipulation (further - non-standard requests), - the identification requisition number assigned to it by the organizer of trade according to the paragraph the second subitem 2.4.3 of Item 2.4 of the Provision of the Bank of Russia No. 437-P and the unique code of the request assigned for it by the organizer of trade according to the paragraph the second Item 1.14 of the Provision of the Bank of Russia No. 437-P.

1.2. The notification on non-standard transactions (requests) shall be represented by the organizer of trade, except for trade system, the rendering service in carrying out the organized biddings only in the goods market on the cumulative annual trading volume in all trade sections which last working day of every quarter does not exceed 50 billion rubles (further - Commodity trade system), to the Bank of Russia on the device intended for provision by the organizer of trade of information on the course of the organized biddings including about the applications submitted by participants of the organized biddings for the conclusion of transactions, and the transactions made at the biddings of the organizer of trade established in the Bank of Russia according to Item 32 of appendix 4 to the Provision of the Bank of Russia No. 437-P.

Commodity trade systems represent the notification specified in paragraph one of this Item according to the order of interaction of the Bank of Russia with not credit financial credit institutions determined based on parts one and the eighth article 76.9 of the Federal Law of July 10, 2002 No. 86-FZ "About the Central bank the Russian Federation (Bank of Russia)" (further - order of interaction).

1.3. The notification on non-standard transactions (requests) shall be represented by the organizer of trade to the Bank of Russia in electronic form, signed by the strengthened qualified digital signature of person performing functions of sole executive body of the organizer of trade (authorized by it persons).

1.4. If the notification on non-standard transactions (requests) is signed not by the person performing functions of sole executive body of the organizer of trade, in structure represented to the Bank of Russia according to Item 1.3 of this Instruction of the electronic document the powers of attorney or other document, confirmatory powers of the person for signing of the notification on non-standard transactions (requests) transformed to electronic form by scanning with preserving details shall be included.

1.5. The notification on non-standard transactions (requests) shall be presented by the organizer of trade in the Bank of Russia in the file form with one of the following expansions at the choice of the organizer of trade: *.xls, *.xlsx, *.txt, *.csv.

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