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The document ceased to be valid since April 1, 2023 according to Item 8.3 of the Provision of the Central bank of the Russian Federation of June 29, 2022 No. 799-P

It is registered

Ministry of Justice 

Russian Federation

On September 9, 2010 No. 18404

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

of August 12, 2010 No. 10-56/pz-n

About features of carrying out in the register of owners of personalized securities of transaction on change of information containing on personal account of the nominee holder and (or) trustee in connection with reorganization of specified persons in the form of transformation or in the form of accession

According to article 45 of the Federal Law of 26.12.1995 No. 208-FZ "About joint-stock companies" (The Russian Federation Code, 1996, No. 1, Art. 1; 2001, No. 33 (part I), Art. 3423; 2006, No. 2, the Art. 172), 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; 2002, No. 52 (part II), the Art. 5141), article 3 of the Federal Law of 05.03.1999 No. 46-FZ "About protection of the rights and legitimate interests of investors in the security market" (The Russian Federation Code, 1999, No. 10, the Art. 1163) 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; No. 6, Art. 738; 2010, to No. 26, of the Art. 3350), I order:

1. Determine that in case of reorganization in the form of transformation of the nominee holder (trustee) for which the personal account in the register of owners of personalized securities is opened and also in case of its reorganization in the form of accession to other depositary (trustee) for which in the register of owners of personalized securities the personal account of the nominee holder (trustee) is not opened, by the registrar or the issuer performing independent maintaining the register of owners of personalized securities (further - the holder of the register), in the register of owners of personalized securities perform operation on modification of information of the specified personal account of the nominee holder (trustee).

2. For carrying out in the register of owners of personalized securities of transaction on modification of information of personal account of the nominee holder (trustee) the legal entity created as a result of transformation of the nominee holder (trustee) or, in case of reorganization in the form of accession, the legal entity to whom joining of the nominee holder (trustee) (daleeyuridichesky person) is performed is presented to the holder of the register by the following documents:

1) questionnaire of the legal entity;

2) the copy of the charter (constituent documents) of the legal entity certified in accordance with the established procedure;

3) the copy of the document confirming entering into the Unified State Register of Legal Entities of record about reorganization of the nominee holder (trustee) in the form of transformation, certified in accordance with the established procedure in case of reorganization in the form of transformation;

4) the copy (copies) of the document (documents) confirming (confirming) entering into the Unified State Register of Legal Entities of record about exception of the specified register of the nominee holder (trustee) as a result of its reorganization in the form of accession, and about its accession to other nominee holder (trustee), certified (certified) in accordance with the established procedure in case of reorganization in the form of accession;

5) the copy of the document (the statement from the document) confirming election (appointment) to the position of persons having the right to act without power of attorney on behalf of the legal entity, certified in accordance with the established procedure;

6) the copy of the cash card certified in accordance with the established procedure (if persons having the right to act without power of attorney on behalf of the legal entity did not undersign for the questionnaire of the legal entity in the presence of the authorized representative of the holder of the register);

7) the copy of the license of the legal entity to whom the nominee holder (trustee) is attached, on implementation of professional activity in the security market, certified in accordance with the established procedure, in case of reorganization in the form of accession.

3. Determine that within 15 working days after obtaining from federal executive body on the security market of the form of the license for implementation of professional activity renewed in accordance with the established procedure in the security market, the legal entity created as a result of transformation shall provide the copy of the form of the specified license certified in accordance with the established procedure, to the holder of the register.

4. Determine that in case of joining of the nominee holder to other depositary for which in the register of owners of personalized securities the personal account of the nominee holder is opened by the holder of the register carries out re-registration of securities from personal account of the attached nominee holder on personal account of the nominee holder to which accession, based on the order of the last, and also the document (documents) provided (provided) by the subitem 4 of Item 2 of this order is performed.

Head

V.D.Milovidov

 

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