PROVISION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of July 20, 2007 No. 307-P

About procedure for accounting and submission of information on affiliates of credit institutions

This Provision is developed according to the Federal Law "About the Central Bank Russian Federation (Bank of Russia)" (The Russian Federation Code, 2002, N 28, Art. 2790; 2003, N 2, Art. 157; N 52, of Art. 5032; 2004, N 27, Art. 2711; N 31, of Art. 3233; 2005, N 25, Art. 2426; N 30, of Art. 3101; 2006, N 19, Art. 2061; N 25, of Art. 2648; 2007, N 1, Art. 9, Art. 10; N 10, of Art. 1151; Art. N 18, 2117), Federal Law "About Banks and Banking Activity" (Sheets of the Congress of People's Deputies of RSFSR and Supreme Council of RSFSR, 1990, N 27, Art. 357; Russian Federation Code, 1996, N 6, Art. 492; 1998, N 31, Art. 3829; 1999, N 28, Art. 3459, Art. 3469; 2001, N 26, Art. 2586; N 33, of Art. 3424; 2002, N 12, Art. 1093; 2003, N 27, Art. 2700; N 50, of Art. 4855; Art. N 52, 5033, Art. 5037; 2004, N 27, Art. 2711; N 31, of Art. 3233; N 45, of Art. 4377; 2005, N 1, Art. 18, Art. 45; N 30, of Art. 3117; 2006, N 6, Art. 636; N 19, of Art. 2061; N 31, of Art. 3439; 2007, N 1, Art. 9; Art. N 22, 2563), article 93 of the Federal law "About Joint-stock Companies" (Russian Federation Code, 1996, N 1, Art. 1; 2001, N 33, the Art. 3423), article 50 of the Federal law "About Limited Liability Companies" (The Russian Federation Code, 1998, N 7, the Art. 785) and the solution of the Board of directors of the Bank of Russia (the minutes of the Board of directors of the Bank of Russia of July 20, 2007 N 15) establish procedure for accounting and submission of information on affiliates of credit institutions.

Chapter 1. General provisions

1.1. According to article 4 of the Law RSFSR "About the competition and restriction of monopolistic activities in the goods markets" (Sheets of the Congress of People's Deputies of RSFSR and the Supreme Council of RSFSR, 1991, N 16, Art. 499; Russian Federation Code, 1995, N 22, Art. 1977; 1998, N 19, Art. 2066; 2002, N 41, Art. 3969; 2006, N 31, Art. 3434) affiliates of credit institution are the physical persons and legal entities capable to exert impact on activities of this credit institution, namely:

1.1.1. physical persons:

board member (supervisory board) of credit institution (A1-1) code,

member of collegiate executive body of credit institution (A1-2) code,

person performing powers of sole executive body of credit institution (the A1-3) code;

1.1.2. persons belonging to that group of persons to which this credit institution (code A 2) belongs;

1.1.3. persons who have the right to dispose of more than 20 percent of total quantity of the voices falling on voting shares (shares) constituting the authorized capital of credit institution (code A 3);

1.1.4. the legal entity in whom this credit institution has the right to dispose of more than 20 percent of total quantity of the voices falling on voting shares or deposits constituting the authorized (share) capital, shares of this legal entity (code A 4);

1.1.5. ceased to be valid

1.2. According to article 9 of the Federal Law of July 26, 2006 N 135-FZ "About protection of the competition" (The Russian Federation Code, 2006, N 31, Art. 3434; 2007, N 49, Art. 6079; 2008, N 18, Art. 1941; N 27, of Art. 3126; N 45, of Art. 5141; 2009, N 29, Art. 3601, Art. 3610; N 52, of the Art. 6450, Art. 6455; 2010, N 15, Art. 1736; N 19, of Art. 2291; N 49, of Art. 6409; 2011, N 10, Art. 1281; N 27, of the Art. 3873, Art. 3880; N 29, of Art. 4291; N 30, of Art. 4590; N 50, of the Art. 7343) (further - the Marine life protection act of the competition) group of persons to which the credit institution belongs are recognized:

1.2.1. credit institution and physical person or the legal entity if such physical person or such legal entity has owing to the participation in this credit institution or according to the powers received including based on the written agreement, from other persons, more than fifty percent of total quantity of the voices falling on voting shares (shares) in the authorized capital of this credit institution, or economic society (partnership, economic partnership) and credit institution if the credit institution has owing to the participation in this economic society (partnership, economic partnership) or according to the powers received including based on the written agreement, from other persons, more than fifty percent of total quantity of the voices falling on voting shares (shares) in the authorized (share) capital of this economic society (partnership, economic partnership) (GL1) code;

1.2.2. credit institution and physical person if such physical person performs functions of sole executive body of this credit institution, or the legal entity and credit institution if such credit institution performs functions of sole executive body of this legal entity (the GL2) code;

1.2.3. credit institution and physical person or the legal entity if such physical person or such legal entity based on constituent documents of this credit institution or the agreement signed with this credit institution has the right to instruct this credit institution obligatory for execution, or economic society (partnership, economic partnership) and credit institution if the credit institution based on constituent documents of this economic society (partnership, economic partnership) or concluded with this economic society (partnership, economic partnership) of the agreement has the right to give to this economic society (partnership, economic partnership) instructions, obligatory for execution (the GL3) code;

1.2.4. credit institution and physical person or the legal entity if according to the proposal of such physical person or such legal entity the sole executive body of this credit institution is appointed or elected, or economic society (economic partnership) and credit institution if according to the offer of credit institution the sole executive body of this economic society (economic partnership) is appointed or elected (the GL4) code;

1.2.5. credit institution and physical person or the legal entity if according to the proposal of such physical person or such legal entity it is chosen more than fifty percent of quantitative structure of collegiate executive body or the board of directors (supervisory board) of this credit institution, or economic society and credit institution if according to the offer of such credit institution than fifty percent of quantitative structure of collegiate executive body or the board of directors (supervisory board) of this economic society are elected more (the GL5) code;

1.2.6. legal entities (one of whom the credit institution), in which more than fifty percent of quantitative structure of collegiate executive body and (or) the board of directors (the supervisory board, council of fund is) constitute the same physical persons (the GL6) code;

1.2.7. persons, each of which on any of specified in Items 1 - 7, 9 parts 1 of Article 9 of the Marine life protection act of the competition of signs enter into group with the same person, and also other persons entering with any of such persons into one group on any of specified in Items 1 - 7, 9 parts 1 of Article 9 of the Marine life protection act of the competition of signs (the GL8-n code where "n" - number of Item of part 1 of Article 9 of the Marine life protection act of the competition); the credit institution shall be the participant of any interrelation from specified in this subitem, the GL8-n code is used for reflection of interrelations between other members of group of persons;

1.2.8. credit institution, physical persons and (or) legal entities who on any of specified in Items 1 - 8 parts 1 of Article 9 of the Marine life protection act of the competition of signs enter one group of persons if such persons owing to the joint participation in this credit institution or according to the powers received from other persons have more than fifty percent of total quantity of the voices falling on voting shares (shares) in the authorized capital of this credit institution, or economic society (partnership, economic partnership), physical persons and (or) legal entities (one of which the credit institution is), which on any of specified in Items 1 - 8 parts 1 of Article 9 of the Marine life protection act of the competition of signs enter one group of persons if such persons owing to the joint participation in this economic society (partnership, economic partnership) or according to the powers received from other persons have more than fifty percent of total quantity of the voices falling on voting shares (shares) in the authorized (share) capital of this economic society (partnership, economic partnership) (the GL9) code.

1.3. Ceased to be valid

1.4. The physical person recognized based on Item 7 of part 1 of Article 9 of the Marine life protection act of the competition by group of persons with the physical person belonging to group of persons to which the credit institution belongs joins in the list of the affiliates of credit institution, constituted according to Chapter 2 this provision, provided that concerning this physical person or his spouse, parents (including adoptive parents), children (including adopted), full and not full brothers and sisters one of reference conditions to group of persons with the legal entity is carried out at least (including with economic society (partnership), economic partnership, 9 parts 1 of Article 9 of the Marine life protection act of the competition listed in Items 1, of 2, of 3, of 5, of 6,.

Chapter 2. Accounting and submission of information on affiliates of credit institution

2.1. The credit institution shall record its affiliates by maintaining the list of affiliates.

The list of affiliates of credit institution is kept and "The list of affiliates" and in form of the reporting 0409052 "The list of the affiliates belonging to group of persons to which the credit institution", the installed application 1 to the Instruction of the Bank of Russia of October 8, 2018 belongs to No. 4927-U "About the list, forms and procedure for creation and representation of forms of the reporting of credit institutions in the Central bank of the Russian Federation", to No. 52992 registered by the Ministry of Justice of the Russian Federation on December 13, 2018 is submitted credit institution in the Bank of Russia in form of the reporting 0409051.

For maintaining the list of affiliates of credit institution according to the specified forms of the reporting the codes containing in Items 1.1 and 1.2 of this provision are used.

Information which is known or shall be known to this credit institution in accordance with the legislation of the Russian Federation is entered in the list of affiliates of credit institution.

2.2. The credit institution shall no later than 3 working days in time since the moment when she knew about documentary confirmed fact requiring modification and (or) amendments of the list of affiliates to enter corresponding changes and (or) amendments in the specified list.

The credit institution shall provide compliance to information on affiliates provided in the Bank of Russia to data who are known to credit institution.

Chapter 3. Final provisions

3.1. This Provision becomes effective after 10 days after day of its official publication in "the Bulletin of the Bank of Russia".

3.2. From the date of entry into force of this provision to declare invalid:

Provision of the Bank of Russia of May 14, 2003 N227-P "About Procedure for Accounting and Submission of Information on Affiliates of Credit Institutions" registered by the Ministry of Justice of the Russian Federation on June 11, 2003 of N4676 ("the Bulletin of the Bank of Russia" of June 25, 2003 N 35);

Instruction of the Bank of Russia of March 29, 2004 N1409-U "About modification and amendments in the Provision of the Bank of Russia of May 14, 2003 N227-P "About Procedure for Accounting and Submission of Information on Affiliates of Credit Institutions" registered by the Ministry of Justice of the Russian Federation on April 15, 2004 of N5749 ("the Bulletin of the Bank of Russia" of May 13, 2004 N 29);

Instruction of the Bank of Russia of June 5, 2006 N1691-U "About modification of the Provision of the Bank of Russia of May 14, 2003 N227-P "About Procedure for Accounting and Submission of Information on Affiliates of Credit Institutions" registered by the Ministry of Justice of the Russian Federation on June 28, 2006 of N7994 ("the Bulletin of the Bank of Russia" of July 12, 2006 N 39).

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