PROVISION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of June 29, 2022 No. 799-P

About opening and maintaining by the holder of the register of owners of securities of the personal accounts and accounts which are not intended for accounting of the rights to securities

This Provision based on Items 3.2 - 3.5 Articles 8, Item 5 of Article 8. 2, Item 3.1 of Article 8. 6, Item 3 of Article 42 and Item 17 of article 51.3 of the Federal Law of April 22, 1996 No. 39-FZ "About the security market" <1>, paragraph two of item 4 of article 14 of the Federal Law of November 29, 2001 "About investment funds" <2> establishes No. 156-FZ:

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<1> Russian Federation Code, 1996, No. 17, Art. 1918; 2009, No. 48, Art. 5731; 2011, No. 50, Art. 7357; 2013, No. 30, Art. 4084; 2015, No. 27, Art. 4001.

<2> Russian Federation Code, 2001, No. 49, Art. 4562; 2013, No. 30, Art. 4084.

requirements to contents of orders of registered persons, the issuer (person obliged on securities) about carrying out transactions on personal account;

completion dates of the order of the registered person about carrying out transaction on personal account or refusal in carrying out transaction on personal account, excellent from stipulated in Item 3.3 articles 8 of the Federal Law of April 22, 1996 No. 39-FZ "About the security market";

cases in case of which the refusal or evasion of the holder of the register of owners of securities of carrying out transaction on personal account is allowed;

information which the statement from the register of owners of securities on personal account of the registered person shall contain;

procedure for opening and maintaining by the holder of the register of owners of securities of the personal accounts and accounts which are not intended for accounting of the rights to securities;

procedure for provision of information on person for which the personal account is opened and also information on such account, including transactions on it, person for benefit of whom it is fixed encumbrance of securities (is registered);

requirements to implementation of activities for maintaining the register of owners of securities according to Item 3 of article 42 of the Federal Law of April 22, 1996 No. 39-FZ "About the security market" regarding provision by the holder of the register of information on personal account to person for whom it is opened, storages of information in case of transfer of securities into the account of unidentified persons;

procedure for fixing of restriction of the rights of the buyer on the repurchase agreement, procedure for fixing of cancellation of such restriction;

cases of origin and change of fractional parts of investment shares at their owner, excellent from provided by the paragraph the second item 4 of article 14 of the Federal Law of November 29, 2001 No. 156-FZ "About investment funds".

Section I. Procedure for opening and maintaining by the holder of the register of owners of securities of the personal accounts and accounts which are not intended for accounting of the rights to securities, procedure for fixing of restriction of the rights of the buyer on the repurchase agreement and procedure for fixing of cancellation of such restriction, cases of origin and change of fractional parts of investment shares at their owner excellent from provided by the paragraph the second item 4 of article 14 of the Federal Law of November 29, 2001 No. 156-FZ "About investment funds"

Chapter 1. General provisions

1.1. The holder of the register of owners of securities (further - the register) shall perform maintaining the personal accounts and accounts which are not intended for accounting of the rights to securities by means of introduction and ensuring safety of records on the specified accounts concerning securities (further - accounting of securities).

1.2. The holder of the register shall perform accounting of securities on the personal accounts and accounts which are not intended for accounting of the rights to securities in pieces.

1.3. When implementing accounting of securities the holder of the register not allow emergence of negative balance of the securities considered on the personal accounts and accounts which are not intended for accounting of the rights to securities.

1.4. The personal account and the account which is not intended for accounting of the rights to securities on the decision of the holder of the register may contain Sections - components in which records about securities are grouped in the sign determined according to the rules of maintaining the register approved by the holder of the register according to the paragraph the sixth Item 1 of article 8 of the Federal Law of April 22, 1996 No. 39-FZ "About the security market" <1> (further - rules of maintaining the register) if the possibility of such group is provided by rules of maintaining the register.

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<1> Russian Federation Code, 1996, No. 17, Art. 1918; 2013, No. 30, Art. 4084.

1.5. If registered persons perform interaction with the holder of the register by means of messages with use of the Internet, the holder of the register shall perform interaction with such persons by means of messages with use of the Internet if the different way of interaction is not determined by the registered person in the specified messages.

If registered persons perform interaction with the holder of the register by means of the registered mailings, the holder of the register shall perform interaction with such persons, using the registered mailings if the different way of interaction is not determined by the registered person in the registered mailing.

1.6. Transactions with securities on the personal accounts and accounts which are not intended for accounting of the rights to securities are performed by introduction of the following types of records:

about transfer of securities;

about write-off of securities;

about encumbrance of securities;

about restriction of the order with securities;

about the termination of encumbrance of securities;

about lifting of restriction on the order securities;

about change of conditions of encumbrance of securities.

1.7. The holder of the register in case of transfer of securities on the personal accounts or accounts which are not intended for accounting of the rights to securities shall sum up their fractional parts.

The holder of the register shall perform accounting of fractional parts of investment shares of mutual investment fund (hypothecation certificates of participation) in decimal fractions with the quantity of signs after comma specified in rules of trust management of mutual investment fund (rules of trust management of mortgage covering), but at least five signs after comma.

The holder of the register not allow origins and changes of fractional parts of securities in case of their write-off on the personal accounts and accounts which are not intended for accounting of the rights to securities, except for personal accounts of the nominee holder and personal accounts of the nominee holder of the central depositary.

1.8. The holder of the register in case of write-off of fractional part of security from personal account (except for personal account of the nominee holder and personal account of the nominee holder of the central depositary), the account which is not intended for accounting of the rights to securities shall observe the following requirements:

1.8.1. Incomplete write-off of fractional part of security is not allowed.

1.8.2. Write-off of fractional part of security without integer of securities is allowed only in the absence of integer of securities.

1.9. In case of termination of the contract on maintaining the register of record on the accounts which are not intended for accounting of the rights to securities are not allowed.

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