PROVISION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of September 22, 2022 No. 805-P

About procedure for licensing by the Bank of Russia of the exchanges, trade systems and the clearing organizations, procedure for maintaining by the Bank of Russia of the register of licenses of the exchanges and trade systems, the register of licenses for implementation of clearing activities and procedure for submission of statements from the specified registers

This Provision based on Items 1, 2 and 14 parts 3, of parts 5, of 10, of 18, 19 and Item 7 of part 20 of article 26 of the Federal Law of November 21, 2011 No. 325-FZ "About the organized biddings" <1>, Items 1, 3, of parts 5, of 10, of the 18 and 19 article 26 of the Federal Law of February 7, 2011 No. 7-FZ "About clearing, clearing activities and the central partner" <2> establishes 2 and 12 parts:

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<1> Russian Federation Code, 2011, No. 48, Art. 6726; 2013, No. 30, Art. 4084.

<2> Russian Federation Code, 2011, No. 7, Art. 904; 2013, No. 30, Art. 4084.

application forms about licensing of the exchange, the license of trade system, the license for implementation of clearing activities, the questionnaire and the document containing the detailed information about borrowed funds and receivables on the last reporting date;

requirements to the documents and data represented to the Bank of Russia for receipt of the license of the exchange, the license of trade system, the license for implementation of clearing activities;

procedure for registration and submission to the Bank of Russia of documents for receipt of the license of the exchange, the license of trade system, the license for implementation of clearing activities and documents for renewal of the document confirming availability of the specified license;

procedure for licensing by the Bank of Russia of the exchanges, trade systems and the clearing organizations, including renewals of the document confirming availability of the license of the exchange, the license of trade system and the license for implementation of clearing activities;

document forms, confirming availability of the license of the exchange, the license of trade system, the document confirming availability of the license for implementation of clearing activities;

procedure for maintaining by the Bank of Russia of the register of licenses of the exchanges and trade systems, and also other data included in the register of licenses of the exchanges and trade systems other than the data provided by Items 1 - 6 parts 20 of article 26 of the Federal Law of November 21, 2011 No. 325-FZ "About the organized biddings" <1>;

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<1> Russian Federation Code, 2011, No. 48, Art. 6726.

procedure for maintaining the register of licenses for implementation of clearing activities, including procedure for forming of structure of the data included in it;

procedure for provision of statements by the Bank of Russia from the register of licenses of the exchanges and trade systems, the register of licenses for implementation of clearing activities.

Chapter 1. Application forms about licensing of the exchange, the license of trade system, the license for implementation of clearing activities, the questionnaire and the document containing the detailed information about borrowed funds and receivables on the last reporting date, requirements to the documents and data represented to the Bank of Russia for receipt of the license of the exchange, the license of trade system, the license for implementation of clearing activities, procedure for registration and submission to the Bank of Russia of the specified documents, and also documents for renewal of the document confirming availability of the specified license

1.1. The legal entity intending to perform activities for carrying out the organized biddings for receipt of the license of the exchange or the license of trade system shall submit to the Bank of Russia the documents provided by part 3 of article 26 of the Federal Law of November 21, 2011 No. 325-FZ "About the organized biddings" <1> (further - the Federal Law "About the Organized Biddings"), conforming to the requirements provided by Items 1.3 - 1.14 this provision (further - documents for receipt of the license of the exchange or the license of trade system).

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<1> Russian Federation Code, 2011, No. 48, Art. 6726; 2013, No. 30, Art. 4084.

1.2. The legal entity intending to perform clearing activities for receipt of the license for implementation of clearing activities shall submit to the Bank of Russia the documents provided by part 3 of article 26 of the Federal Law of February 7, 2011 No. 7-FZ "About clearing, clearing activities and the central partner" <2> (further - the Federal Law "About Clearing, Clearing Activities and the Central Partner"), conforming to the requirements provided by Items 1.3 - 1.13 and 1.15 this provision (further - documents for receipt of the license for implementation of clearing activities).

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<2> Russian Federation Code, 2011, No. 7, Art. 904; 2015, No. 27, Art. 4001.

1.3. The legal entity intending to perform activities for carrying out the organized biddings, clearing activities (further in case of joint mentioning - activities in the financial market) (further - the job seeker), shall constitute the statement for licensing of the exchange, the license of trade system, the statement for licensing for implementation of clearing activities for the form established by appendix 1 to this Provision (further in case of joint mentioning - the statement for licensing).

1.4. The questionnaire of the job seeker shall be completed by the job seeker in the form established by appendix 2 to this Provision.

1.5. The document containing the information about each person specified in Item 6 of part 3 of article 26 of the Federal law "About the Organized Biddings" <1>, Item 6 of part 3 of article 26 of the Federal law "About Clearing, Clearing Activities and the Central Partner" <2> (further respectively - the questioned person, the document on the questioned person), shall include:

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<1> Russian Federation Code, 2011, No. 48, Art. 6726.

<2> Russian Federation Code, 2011, No. 7, Art. 904; 2015, No. 27, Art. 4001.

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

birth date and birth place of the questioned person;

digital country code (countries) of nationality (citizenship) of the questioned person according to the All-Russian qualifier of the countries of the world (further - country code of nationality (citizenship) or specifying on lack of nationality (citizenship) (if nationality (citizenship) changed, former nationality (citizenship), and also date and the reason of its change are in addition specified);

series (in the presence) and document number, proving the identity, the name of the body which issued the identity document, date of issue of the identity document (further - details of the identity document) the questioned person;

the insurance number of the individual ledger account in system of mandatory pension insurance (further - the Insurance Number of Individual Ledger Account) the questioned person (in the presence);

identification taxpayer number (further - INN) the questioned person (in the presence);

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