ORDER OF THE FEDERAL SERVICE FOR FINANCIAL MARKETS OF THE RUSSIAN FEDERATION

of August 13, 2009 No. 09-33/pz-n

About features of procedure for maintaining the register of owners of personalized securities by issuers of personalized securities

According to Item 5 of article 42 of the Federal Law of 22.04.1996 No. 39-FZ "About the security market" (The Russian Federation Code, 1996, No. 17, Art. 1918; 1998, No. 48, Art. 5857; 1999, No. 28, Art. 3472; 2001, No. 33, Art. 3424; 2002, No. 52, Art. 5141; 2004, No. 27, Art. 2711; No. 31, Art. 3225; 2005, No. 11, Art. 900; No. 25, Art. 2426; 2006, No. 1, Art. 5; No. 2, Art. 172; No. 17, Art. 1780; No. 31, Art. 3437; No. 43, Art. 4412; 2007, No. 1, Art. 45; No. 18, Art. 2117; No. 22, Art. 2563; N 41, of Art. 4845; No. 50, Art. 6247; No. 50, Art. 6249; 2008, No. 44, Art. 4982; N 52, of Art. 6221; 2009, No. 1, Art. 28; No. 7, Art. 777; No. 18, Art. 2154; No. 23, the Art. 2770) and Item 5.2.3 of the Regulations on the Federal Service for Financial Markets approved by the order of the Government of the Russian Federation of 30.06.2004 No. 317 (The Russian Federation Code, 2004, No. 27, Art. 2780; 2005, No. 33, Art. 3429; 2006, No. 13, Art. 1400; No. 52, Art. 5587; 2007, No. 12, Art. 1417; 2008, No. 19, Art. 2192; No. 46, Art. 5337; 2009, No. 3, Art. 378; to No. 6, of the Art. 738), I order:

1. Determine that in case of independent maintaining the register of owners of personalized securities by joint-stock companies in accordance with the legislation of the Russian Federation, joint-stock companies shall observe the requirements to procedure for maintaining the register of owners of personalized securities established by the Federal Laws and other regulatory legal acts of the Russian Federation and also the requirements established by this order.

2. When maintaining the register of owners of personalized securities by joint-stock companies the following requirements shall be observed:

2.1. Carrying out transactions in the register of owners of personalized securities shall be performed based on the internal document of joint-stock company - rules of maintaining the register of owners of the personalized securities approved by the board of directors (supervisory board) of joint-stock company if their approval is not referred by charter of joint-stock company to competence of executive bodies of joint-stock company.

2.2. Rules of maintaining the register of owners of personalized securities shall conform to requirements of the legislation of the Russian Federation on securities, including regulatory legal acts of federal executive body on the security market, and shall include:

the list, procedure and completion dates of transactions on maintaining the register of owners of personalized securities;

the list, forms and methods of provision of documents based on which operations in the register of owners of personalized securities are performed;

forms, content and terms of issue of statements and references from the register of owners of personalized securities;

rules of registration, processing and storage of the entering documentation;

terms of provision of replies to the requests;

requirements to the officials and other workers (job descriptions) performing functions on maintaining the register of owners of personalized securities of joint-stock company.

2.3. Rules of maintaining the register of owners of personalized securities shall be available to acquaintance to all interested persons in executive body of joint-stock company or the room used by society for implementation of functions on maintaining the register of owners of personalized securities.

Upon the demand of the interested person the joint-stock company shall provide (to direct) to it within seven days the copy of the existing rules of maintaining the register of owners of personalized securities certified as appropriate. The payment levied by society for provision of such copy cannot exceed costs for its production.

2.4. Open joint stock companies, and also the private companies which performed (performing) public placement of securities shall open rules of maintaining the register of owners of personalized securities on the page on the Internet used by joint-stock company for disclosure of the annual statement, annual accounting records, the text of the charter and other internal documents of society.

The private companies which were not performing public placement of securities shall open rules of maintaining the register of owners of personalized securities on the Internet on the website of private company or other website or by the direction of the copies of rules of maintaining the register of owners of personalized securities certified as appropriate to persons registered in the register of owners of personalized securities.

Information on modification or amendments in rules of maintaining the register of owners of securities, including the text of changes and amendments in rules of maintaining the register of owners of securities, shall be opened on the Internet or is sent to the persons registered in the register of owners of personalized securities not later than 30 days before date of their introduction to force.

Joint-stock companies shall provide open and easy entry to such information, and also report upon the demand of interested persons the page address on the Internet on which disclosure of rules of maintaining the register of owners of personalized securities is performed.

2.5. The joint-stock companies which are independently performing maintaining the register of owners of personalized securities, having no right to levy payment for carrying out transactions in the register of owners of personalized securities, provision of information from the register of owners of personalized securities (except for provisions of the list of persons registered in the register of owners of personalized securities upon the demand of person owning more than 1% of voting shares), implementation of other actions connected with maintaining the register of owners of personalized securities.

3. The joint-stock companies which are independently performing maintaining the register of owners of personalized securities shall annually, no later than February 15 of the year following reporting to represent the reporting as of the end of the accounting period, to territorial authorities of FFMS of Russia in the place of the stay, the containing following information:

1) general information about joint-stock company (the complete and reduced trade name in Russian, individual taxpayer number, the primary state registration number, the location, the address for the direction of post correspondence, number of phones/fax, the website (page) on the Internet on which disclosure of rules of maintaining the register of owners of securities, surname, name, middle name (in the presence), position of person (persons) performing carrying out transactions in the register of owners of personalized securities, data on availability (absence) of the competence certificate of the specialist of the financial market in maintaining the register of owners of securities, e-mail addresses of specified persons is performed);

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