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

of June 18, 2013 No. 13-51/pz-n

About approval of the Regulations on the notification procedure of persons about their inclusion in the list of insiders and exception of such list, Regulations on procedure for transfer of lists of insiders to organizers of trade through whom financial instrument transactions, by foreign currency and (or) goods, Regulations on procedure and terms of the direction by insiders of notifications on the transactions made by them are made

According to Items 2 and 3 of part of 1 Article 9, part 6 of Article 10, item 4 of article 13 of the Federal Law of 27.07.2010 No. 224-FZ "About counteraction to unauthorized use of insider information and to market manipulation and about modification of separate legal acts of the Russian Federation" (The Russian Federation Code, 2010, No. 31, Art. 4193; 2011, No. 29, Art. 4291; No. 48, Art. 6728; 2012, No. 31, the Art. 4334), the Regulations on the Federal Service for Financial Markets approved by the order of the Government of the Russian Federation of 29.08.2011 No. 717 (The Russian Federation Code, 2011, No. 36, Art. 5148; 2012, No. 20, Art. 2562; 2013, to No. 20, of the Art. 2488), I order:

1. Approve the enclosed Regulations on the notification procedure of persons on their inclusion in the list of insiders and exception of such list.

2. Ceased to be valid according to the Instruction of the Central bank of the Russian Federation of 22.04.2019 No. 5129-U

3. Ceased to be valid according to the Instruction of the Central bank of the Russian Federation of 22.04.2019 No. 5128-U

4. Recognize invalid:

the order of FFMS of Russia of 21.01.2011 No. 11-3/pz-n <1> "About approval of the Regulations on the notification procedure of persons about their inclusion in the list of insiders and exception of such list, Regulations on transfer of lists of insiders to organizers of trade through whom financial instrument transactions, by foreign currency and (or) goods, Regulations on procedure and terms of the direction of notifications by insiders about the transactions made by them are made";

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<1> It is registered in the Ministry of Justice of the Russian Federation 01.04. 2011, registration No. 20382.

the order of FFMS of Russia of 28.06.2011 No. 11-28/pz-n <1> "About introduction of amendments to the order of FFMS of Russia of 21.01.2011 No. 11-3/pz-n "About approval of the Regulations on the notification procedure of persons about their inclusion in the list of insiders and exception of such list, Regulations on transfer of lists of insiders to organizers of trade through whom financial instrument transactions, by foreign currency and (or) goods, Regulations on procedure and terms of the direction of notifications by insiders about the transactions made by them" and in Regulations on transfer of lists of insiders to organizers of trade through whom financial instrument transactions, by foreign currency and (or) goods, approved by this order are made" are made;

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<1> It is registered in the Ministry of Justice of the Russian Federation 22.07. 2011, registration No. 21449.

Item 27 of the order of FFMS of Russia of 24.04.2012 No. 12-27/pz-n <1> "About modification of some regulatory legal acts of the Federal Service for Financial Markets".

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<1> It is registered in the Ministry of Justice of the Russian Federation 01.06. 2012, registration No. 24428.

Approved by the order of the Federal Service for Financial Markets of 18.06.2013 No. 13-51/pz-n

Regulations on the notification procedure of persons on their inclusion in the list of insiders and exception of such list

I. General provisions

1.1. This Provision establishes the notification procedure the legal entities determined regarding 1 article 9 of the Federal Law of 27.07.2010 No. 224-FZ "About counteraction to unauthorized use of insider information and to market manipulation and about modification of separate legal acts of the Russian Federation" <1> (further - the Law), the faces included in the list of insiders of the specified legal entities (further - the organizations), about their inclusion in such list and exception of it.

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<1> Russian Federation Code, 2010, No. 31, Art. 4193; 2011, No. 29, Art. 4291; No. 48, Art. 6728; 2012, No. 31, Art. 4334.

II. The notification procedure of faces included in the list of insiders of the organization about their inclusion in such list and exception of it

2.1. The organization shall send the notification on inclusion of person in the list of insiders of the organization or on exception of person of such list (further - the Notification) to the face included in the list of insiders of the organization or excluded from such list no later than 7 (seven) working days from the date of inclusion of this person in the list of insiders or date of exception of this person of the specified list respectively.

2.2. The faces included in the list (excluded from the list) of insiders of the organization, are notified by the organization by delivery of the Notification under the signature or by means of the mail, cable, teletype, electronic communication allowing to determine authentically the fact of the direction of the Notification.

2.3. The notification can be constituted on paper and (or) in electronic form, the legislation of the Russian Federation signed by the digital signature according to requirements. According to the procedure, established by the organization, date and reference number shall be appropriated to the notification.

The notification constituted on paper shall be signed by the authorized person of the organization and is certified by seal (stamp) of the organization.

All sheets of the Notification which amount exceeds one leaf shall be stitched, numbered and fastened on insertion by the authorized signature and seal (stamp) of the organization.

The notification of the organization can not be certified (not to be sealed) (stamp) of the organization if such assurance (fastening) is not required according to the personal law or constituent documents of the foreign organization.

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