INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of September 11, 2014 No. 3379-U

About the list of insider information of persons specified in Items 1 - 4, the 11 and 12 article 4 of the Federal law "About Counteraction to Unauthorized Use of Insider Information and to Market Manipulation and about Modification of Separate Legal Acts of the Russian Federation"

According to part 1 of article 3 of the Federal Law of July 27, 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, Art. 4334; 2013, No. 30, Art. 4082, Art. 4084; 2014, No. 30, of the Art. 4219) (further - the Federal Law No. 224-FZ) this Instruction establishes the exhaustive list of insider information of persons specified in Items 1 - 4, the 11 and 12 article 4 of the Federal Law No. 224-FZ.

Chapter 1. General provisions

1.1. This Instruction establishes the exhaustive list of insider information of the following persons.

1.1.1. Issuers whose issued securities are allowed to trade at the organized biddings in the territory of the Russian Federation (further - the organized biddings) or concerning issued securities of which the application about their admission to the organized biddings is submitted (further - issuers).

1.1.2. Persons having license for activities on management of investment funds, mutual investment funds and non-state pension funds (further - managing companies):

exercising trust management of mutual investment funds which shares are admitted to organized trading or concerning investment shares of which the application about their admission to the organized biddings, is submitted by mortgage covering of hypothecation certificates of participation which are admitted to organized trading or concerning which the application about their admission to the organized biddings is submitted, exercising trust management of assets of joint-stock investment fund or performing functions of sole executive body of joint-stock investment fund which shares are admitted to organized trading or concerning shares of which the application about their admission to the organized biddings is submitted;

performing transactions at the organized biddings with financial instruments, foreign currency and (or) goods for the benefit of founders of trust management of mutual investment funds, shareholders of joint-stock investment funds, owners of hypothecation certificates of participation (further - owners of the property delivered in trust management), insured persons and members of non-state pension funds.

1.1.3. The business entities included in the stipulated in Article 23 Federal Laws of July 26, 2006 in No. 135-FZ "About protection of the competition" (The Russian Federation Code, 2006, No. 31, Art. 3434; 2007, No. 49, Art. 6079; 2008, No. 18, Art. 1941; No. 27, Art. 3126; No. 45, Art. 5141; 2009, No. 29, Art. 3601, Art. 3610; No. 52, Art. 6450, Art. 6455; 2010, No. 15, Art. 1736; No. 19, Art. 2291; No. 49, Art. 6409; 2011, No. 10, Art. 1281; No. 27, Art. 3873, Art. 3880; No. 29, Art. 4291; No. 30, Art. 4590; No. 48, Art. 6728; No. 50, Art. 7343; 2012, No. 31, Art. 4334; No. 53, Art. 7643; 2013, No. 27, Art. 3436, Art. 3477; No. 30, Art. 4084; No. 44, Art. 5633; No. 51, Art. 6695; No. 52, Art. 6961, Art. 6988; 2014, No. 23, the Art. 2928) the register and holding dominant position in the market of certain goods in geographical boundaries of the Russian Federation which is admitted to organized trading or concerning which the application about the admission to the organized biddings is submitted (further - the business entities holding dominant position).

1.1.4. The exchanges, trade systems (further - organizers of trade).

1.1.5. The clearing organizations, depositaries and credit institutions perfroming calculations for results of the transactions made through organizers of trade.

1.1.6. The professional participants of the security market and other persons performing for the benefit of the clients of financial instrument transaction, foreign currency and (or) goods who obtained insider information from clients.

1.1.7. The news agencies performing disclosure of information of persons specified in Items 1 - 4 Articles 4 of the Federal Law No. 224-FZ, bodies and the organizations specified in Item 9 of this Article, the Bank of Russia.

1.1.8. Credit rating agencies, foreign credit rating agencies performing assignment of credit ratings:

to persons specified in Items 1 - 4 articles 4 of the Federal Law No. 224-FZ;

to the securities admitted to organized trading or concerning which the application about their admission to the organized biddings is submitted.

1.2. The professional participants of the security market specified in subitem 1.1.6 of Item 1.1 of this Instruction according to the Federal Law of April 22, 1996 No. 39-FZ "About the security market" (The Russian Federation Code, 1996, No. 17, Art. 1918; 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; No. 41, Art. 4845; No. 50, Art. 6247; 2008, No. 52, Art. 6221; 2009, No. 1, Art. 28; No. 18, Art. 2154; No. 23, Art. 2770; No. 29, Art. 3642; No. 48, Art. 5731; No. 52, Art. 6428; 2010, No. 17, Art. 1988; No. 31, Art. 4193; No. 41, Art. 5193; 2011, No. 7, Art. 905; No. 23, Art. 3262; No. 29, Art. 4291; No. 48, Art. 6728; No. 49, Art. 7040; No. 50, Art. 7357; 2012, No. 25, Art. 3269; No. 31, Art. 4334; No. 53, Art. 7607; 2013, No. 26, Art. 3207; No. 30, Art. 4043, Art. 4082, Art. 4084; No. 51, Art. 6699; No. 52, Art. 6985; 2014, No. 30, Art. 4219; 2015, No. 1, Art. 13; No. 14, Art. 2022; No. 27, Art. 4001; No. 29, Art. 4348, Art. 4357; 2016, No. 1, Art. 50, Art. 81; No. 27, Art. 4225; 2017, No. 25, Art. 3592; No. 27, Art. 3925; No. 30, of the Art. 4444) (further - the Federal Law "About the Security Market") are:

brokers and trustees:

the transactions performing for the benefit of clients with securities, foreign currency and (or) goods which are admitted to organized trading or concerning which the application about their admission to the organized biddings is submitted,

the contracts signing for the benefit of clients at the organized biddings being derivative financial instruments;

the depositaries performing for the benefit of clients of transaction with securities which are admitted to organized trading or concerning which the application about their admission to the organized biddings is submitted.

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