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Ministry of Justice

Russian Federation

On March 10, 2021 No. 62702

INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of February 2, 2021 No. 5720-U

About the notification procedure of faces included in the list of insiders about their inclusion in such list and exception of it

This Instruction based on Item 2 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; 2018, No. 32, the Art. 5103) establishes the notification procedure of faces included in the list of insiders about their inclusion in such list and exception of it.

1. 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" (The Russian Federation Code, 2010, No. 31, Art. 4193; 2020, No. 14, of the Art. 2027) (further - the Federal Law of July 27, 2010 No. 224-FZ), the bodies and the organizations specified in Item 9 of article 4 of the Federal Law of July 27, 2010 to No. 224-FZ (further in case of joint mentioning - the notifying persons), shall send to the persons included in the list of insiders (further respectively - the list, insiders) (to persons excluded from the list), notifications on their inclusion in the list (exception of the list) (further - notifications) in time which is not exceeding 7 working days from the date of their inclusion in the list (exception of the list). The recommended sample of the notification on inclusion of persons in the list (exception of the list) is given in appendix to this Instruction.

In case of receipt from the insider (person excluded from the list) of request about the direction to it to the copy of the notification the notifying person shall in time, not exceeding 7 working days from the date of receipt of the specified request, to provide to the insider (person excluded from the list) the copy of the notification (in the presence), and in case of its absence at the notifying person - information on the fact and date of its inclusion in the list (exception of the list).

1.1. The notification shall contain sequence number and date of creation of the notification, and also:

1.1.1. concerning the notifying person the following data:

the name (for the notifying person being the Russian legal entity - non-profit organization, the body, the organization specified in Item 9 of article 4 of the Federal Law of July 27, 2010 to No. 224-FZ, the foreign legal entity), full trade name (for the notifying person being the Russian legal entity - the commercial organization);

the location and (or) the address for the direction of post correspondence (in the presence);

the primary state registration number (further - PSRN), identification taxpayer number (further - INN) (in the presence) (for the notifying person being the Russian legal entity, body, the organization specified in Item 9 of article 4 of the Federal Law of July 27, 2010 to No. 224-FZ);

code of the foreign organization (further - KIO) (in the presence) and digital country code of registration on the All-Russian qualifier of the countries of the world (further - OKSM) (for the notifying person being the foreign legal entity not having PSRN, INN but having KIO);

registration number in country of incorporation (for the notifying person being the foreign legal entity not having PSRN, INN and KIO);

the website address on the Internet (further - Internet network) (in the presence);

contact phone number and (or) the e-mail address for addresses of insiders (persons excluded from the list);

number of Item of article 4 of the Federal Law of July 27, 2010 No. 224-FZ carrying the notifying person to insiders;

1.1.2. concerning the insider (person excluded from the list) who is the Russian or foreign legal entity (the foreign organization, not being the legal entity according to the country right where this organization is founded), the following data:

full trade name (for the insider (person excluded from the list) who is the Russian legal entity - the commercial organization), the name (for the insider (person excluded from the list) who is the Russian legal entity - non-profit organization, the foreign legal entity, the foreign organization, not being the legal entity according to the country right where this organization is founded);

the location and (or) the address for the direction of post correspondence (in the presence);

PSRN, INN (in the presence) (for the insider (person excluded from the list) who is the Russian legal entity);

KIO (in the presence) and OKSM (for the insider (person excluded from the list) who is the foreign legal entity, the foreign organization not being the legal entity according to the country right where this organization is founded, not having PSRN, INN, but the having KIO);

registration number in country of incorporation (for the insider (person excluded from the list) who is the foreign legal entity, the foreign organization not being the legal entity according to the country right where this organization is founded, not having PSRN, INN and KIO);

the financial instrument, foreign currency and (or) goods to insider information on which the insider has access;

basis for inclusion of the insider in the list;

the basis owing to which the insider (person excluded from the list) ceased to correspond to provisions of article 4 of the Federal Law of July 27, 2010 No. 224-FZ;

information on inclusion of the insider in the list (exception of person excluded from the list, from the list) and date of such inclusion (exception);

1.1.3. concerning the insider (person excluded from the list) which is physical person, the following data:

surname, name, middle name (the last - in the presence);

birth date;

the birthplace (in the presence of such data);

position which the insider (person excluded from the list) holds in the notifying person (in the presence);

the financial instrument, foreign currency and (or) goods to insider information on which the insider has access;

basis for inclusion of the insider in the list;

the basis owing to which the insider (person excluded from the list) ceased to correspond to provisions of article 4 of the Federal Law of July 27, 2010 No. 224-FZ;

information on inclusion of the insider in the list (exception of person excluded from the list, from the list) and date of such inclusion (exception);

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