INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of March 31, 2025 No. 7031-U

About requirements to contents of basic standards of protection of the rights and interests of physical persons and legal entities - receivers of the financial services rendered by members of the self-regulatory organizations in the sphere of the financial market uniting brokers, dealers, managing directors, depositaries, registrars

This Instruction based on part 2 of article 5 of the Federal Law of July 13, 2015 No. 223-FZ "About self-regulatory organizations in the sphere of the financial market" establishes requirements to contents of basic standards of protection of the rights and interests of physical persons and legal entities - receivers of the financial services rendered by members of the self-regulatory organizations in the sphere of the financial market uniting brokers, dealers, managing directors, depositaries, registrars.

1. Basic standards of protection of the rights and interests of physical persons and legal entities - receivers of the financial services rendered by members of the self-regulatory organizations in the sphere of the financial market uniting brokers, managing directors, depositaries, registrars (further - basic standards), shall contain following provisions:

1.1. The minimum amount of information provided to physical persons and legal entities - to receivers of financial services, and also potential receivers of financial services (further - receivers of financial services) in the places intended for the conclusion of agreements on rendering financial services, rendering financial services, documents acceptance which shall be provided by receivers of financial services for receipt of such services (further - the places intended for servicing of receivers of financial services):

about the complete and reduced (in the presence) trade names of the broker (the managing director, depositary, the registrar), about the used service mark (in the presence), about the license for implementation of professional activity in the security market, including number, date of issue and effective period of the license, membership in self-regulatory organization in the sphere of the financial market uniting brokers, managing directors, depositaries, registrars (further - self-regulatory organization), and the basic standard, about the address within the location of the broker (the managing director, depositary, the registrar), the e-mail address and about phone number, about the address of the official site of the broker (the managing director, depositary, the registrar) on the Internet;

about the financial services and additional services of the broker (the managing director, depositary, the registrar) including rendered by the broker (the managing director, depositary, registrar) for additional fare;

about procedure for receipt of financial services, including about documents which shall be provided by receivers of financial services for receipt of such services;

about the body performing powers on control and supervision of activities of the broker (the managing director, depositary, the registrar);

about methods and about addresses of the direction of addresses (claims) of the receiver of financial services to the broker (to the managing director, depositary, registrar), in self-regulatory organization, in the body performing powers on control and supervision of activities of the broker (the managing director, depositary, the registrar);

about methods of protection of the rights of the receiver of financial services, including information on opportunity and methods of pre-judicial dispute settlement, including on the procedure of mediation (in case of its availability).

1.2. The requirement about informing the receiver of financial services in its request about types and payment amounts (procedure for determination of payment amounts) which he will shall pay for provision to it financial service.

1.3. The procedure for provision of information to the receiver of financial services providing:

non-discriminatory information access of receivers of financial services on equal terms and in equal amount;

exception of provision of information which can entail ambiguous interpretation of properties of financial service;

provision to the receiver of financial services of information without costs or without the need for making of actions, not stipulated by the legislation the Russian Federation;

information statement in Russian in available form (with use of legible fonts, formats in case of provision of information on paper) with explanation of special terms (in case of their availability);

establishment of methods of provision of information to the receiver of financial services;

establishment of terms of provision upon the demand of the receiver of financial services of documents (their copies).

1.4. The rules of interaction of the broker (the managing director, depositary, the registrar) with the receiver of financial services including:

quality requirements of consultation of the receiver of financial services in the rendered financial services, including concerning the legislation of the Russian Federation regulating the rendered service;

the requirement about exception the broker (the managing director, depositary, registrar) obstacles to implementation by the receiver of financial services in the places intended for servicing of receivers of financial services, audio recording video or photographings of process of interaction of the broker (the managing director, depositary, the registrar) with the receiver of financial services.

1.5. The minimum standards of servicing of receivers of financial services concerning availability and material security of offices, and also the recommendation about servicing of receivers of financial services with limited opportunities.

1.6. Requirements to procedure for documents acceptance which shall be provided by receivers of financial services for receipt of such services, in the places intended for servicing of receivers of financial services, providing:

ensuring documents acceptance, including in cases of representation by the receiver of financial services of incomplete set of documents, or receipts of motivated refusal in documents acceptance;

determination of workers of the broker (the managing director, depositary, the registrar), responsible for documents acceptance and direct interaction with receivers of financial services;

fixing of date and time of documents acceptance from the receiver of financial services.

1.7. Requirements to the broker's workers (the managing director, depositary, the registrar) performing interaction with receivers of financial services, and also to check of compliance of these workers to the specified requirements.

1.8. Terms and procedure for the direction in self-regulatory organization of the systematized data on quantity, subject and results of consideration of addresses (claims) which arrived to the broker (to the managing director, depositary, registrar), following the results of quarter, half-year, year, including in case of obtaining by the broker (the managing director, depositary, registrar) more than one address (one claim) on one subject within year.

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