PROVISION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of October 17, 2014 No. 437-P

About activities for carrying out the organized biddings

Based on the Federal Law of November 21, 2011 No. 325-FZ "About the organized biddings" (The Russian Federation Code, 2011, No. 48, Art. 6726; 2012, No. 53, Art. 7607; 2013, No. 30, Art. 4084; No. 51, the Art. 6699) (further - the Federal Law "About the Organized Biddings"), the Federal Law of July 10, 2002 No. 86-FZ "About the Central bank the Russian Federation (Bank of Russia)" (The Russian Federation Code, 2002, No. 28, Art. 2790; 2003, No. 2, Art. 157; No. 52, Art. 5032; 2004, No. 27, Art. 2711; No. 31, Art. 3233; 2005, No. 25, Art. 2426; No. 30, Art. 3101; 2006, No. 19, Art. 2061; No. 25, Art. 2648; 2007, No. 1, Art. 9, Art. 10; No. 10, Art. 1151; No. 18, Art. 2117; 2008, No. 42, Art. 4696, Art. 4699; No. 44, Art. 4982; No. 52, Art. 6229, Art. 6231; 2009, No. 1, Art. 25; No. 29, Art. 3629; No. 48, Art. 5731; 2010, No. 45, Art. 5756; 2011, No. 7, Art. 907; No. 27, Art. 3873; No. 43, Art. 5973; No. 48, Art. 6728; 2012, No. 50, Art. 6954; No. 53, Art. 7591, Art. 7607; 2013, No. 11, Art. 1076; No. 14, Art. 1649; No. 19, Art. 2329; No. 27, Art. 3438, Art. 3476, Art. 3477; No. 30, Art. 4084; No. 49, Art. 6336; No. 51, Art. 6695, Art. 6699; No. 52, Art. 6975; 2014, No. 19, Art. 2311, Art. 2317; No. 27, Art. 3634; No. 30, of the Art. 4219) this Provision establishes requirements to procedure for carrying out the organized biddings, and also procedure for maintaining by organizers of trade of the register of bidders and their clients, procedure for conducting trade of the register of agreements by organizers, procedure and terms of calculation of the prices, indexes and other indicators, requirements to procedure for storage and the information security and documents connected with carrying out the organized biddings and also to the term of their storage, the rule, structure, procedure and terms of disclosure (provision) of information by organizers of trade.

Chapter 1. Requirements to procedure for carrying out the organized biddings

1.1. For the purpose of the admission of persons specified in parts 1 - 5.2 articles 16 of the Federal law "About the Organized Biddings" (The Russian Federation Code, 2011, No. 48, Art. 6726; 2013, No. 30, Art. 4084; 2016, No. 27, Art. 4225; 2017, No. 30, Art. 4456; 2020, No. 31, the Art. 5012), to participation in the organized biddings, and also for the purpose of provision of possibility of the conclusion of agreements by it at the organized biddings for the benefit of clients of bidders and other persons for the benefit of whom bidders sign contracts at the organized biddings (further - the client of the second level), the organizer of trade according to the requirements provided by the rules of the organized biddings specified in article 4 of the Federal law "About the Organized Biddings" (The Russian Federation Code, 2011, No. 48, Art. 6726; 2019, No. 52, the Art. 7802) (further - rules of the organized biddings), performs registration, and also check of compliance of specified persons to such requirements.

In case of registration the organizer of trade appropriates to bidders, clients of bidders and clients of the second level (further in case of joint mentioning - the registered persons) the unique codes allowing to identify the registered persons based on the information provided by bidders and (or) the clearing organization.

If it is provided by rules of the organized biddings, the codes assigned by the bidder independently also shall conform to requirements of this provision. The case specified in this paragraph in rules of the organized biddings shall contain the measures applied by the organizer of trade in case of detection of discrepancy of procedure for assignment of codes by the bidder to requirements of this provision.

The organizer of trade has the right to request the additional information from the bidder, necessary for registration of bidders, clients of the bidder, clients of the second level and provided by rules of the organized biddings.

The paragraph the fifth ceased to be valid according to the Instruction of the Central bank of the Russian Federation of 17.05.2022 No. 6140-U

The organizer of trade in rules of the organized biddings shall establish procedure for updating of code of the registered person in case of change of information about the bidder, about his client or the client of the second level, providing obligation of the bidder to provide to the organizer of trade the urgent information no later than 10 working days from the date of change of information about the specified participant or receipt of urgent data by it from the clients and clients of the second level. At the same time the organizer of trade staticizes code of the registered person no later than the next working day from the date of receipt of the data specified in this paragraph.

1.2. The code of the registered person - the bidder shall include:

for the legal entity - identification taxpayer number (further - INN), and for the foreign organization which does not have INN - code of the foreign organization (further - KIO). For the bidder, being credit institution, the code of the registered person also shall include bank identification code of credit institution (further - BIC);

for the foreign organization which does not have INN and KIO - the unique sequence of the symbols applied by the organizer of trade and (or) the clearing organization performing clearing following the results of the organized biddings to assignment of codes of the foreign organization which does not have INN and KIO;

for the individual entrepreneur - number and series of the main identity document of the citizen of the relevant state in the territory of the specified state (further - the all-civil passport). If the individual entrepreneur is person without citizenship - details of the identity document of the stateless person in the Russian Federation;

for the managing director or the managing company of investment fund, mutual investment fund and non-state pension fund performing property trust management (property complex) which is not specified in paragraphs six - the ninth this Item, - the data provided by the paragraph the second this Item and also the unique sequence of the symbols specifying that this code is assigned for person acting as the trustee. At the same time the quantity of codes of this managing director (managing company of investment fund, mutual investment fund and non-state pension fund) is determined by the number of his (her) clients (founders of trust management) for the benefit of whom the managing director (managing company of investment fund, mutual investment fund and non-state pension fund) is going to sign contracts at the organized biddings. Each code of the corresponding bidder (the bidder's client) in addition shall contain code of his client which is assigned by the bidder independently according to the procedure, provided by this Provision;

for managing company of investment fund, mutual investment fund the data provided by the paragraph the second this Item and also the unique sequence of the symbols which are unambiguously specifying that this code is assigned for person acting as the trustee with this investment fund, mutual investment fund. At the same time registration of founders of management of investment fund, mutual investment fund is not made;

for the managing company exercising trust management of means of the pension accruals created in the Pension Fund of the Russian Federation - the data provided by the paragraph the second this Item and also the unique sequence of the symbols which are unambiguously specifying that this code is assigned for the managing company operating as the trustee with means of the pension accruals created in the Pension Fund of the Russian Federation. This code also shall include in addition the sign specifying the corresponding investment portfolio;

for the managing company exercising trust management of means of the pension accruals created in non-state pension fund, means of pension reserves and the property intended for ensuring authorized activities of the specified non-state pension fund - the data provided by the paragraph the second this Item and also the unique sequence of the symbols which are unambiguously specifying that this code is assigned for the managing company operating as the trustee with means of non-state pension fund. At the same time three codes are assigned for the specified managing company: for means of pension accruals, for means of pension reserves, and also for the property intended for ensuring authorized activities, or own means of non-state pension fund. The code of the founder of trust management - non-state pension fund includes its INN, and also shall include in addition the sign specifying what means are object of trust management;

for the managing company exercising trust management of accumulatings for housing providing the military personnel - the data provided by the paragraph the second this Item and also the unique sequence of the symbols which are unambiguously specifying that this code is assigned for the managing company operating as the trustee with accumulatings for housing providing the military personnel.

1.3. The code of the registered person - the client of the bidder who is physical person shall include:

for the physical person which reached age from which the all-civil passport, number and series of the all-civil passport is issued;

for the physical person which did not reach age from which the all-civil passport, number and series of the document confirming the fact of state registration of the birth (certificate of birth) of the registered person is issued;

for physical person without nationality details of the identity document of the stateless person in the Russian Federation.

for the physical person who is the foreign citizen - details of the identity document of the foreign citizen.

If the registered face is person under the age from which the all-civil passport is issued, incapacitated or is limited by capable physical person, the code of such registered person also includes number and series of the identity document of person who is the legal representative of such registered person.

1.4. The code of the registered person - the client of the bidder who is the legal entity or the individual entrepreneur (if for the benefit of the individual entrepreneur the conclusion of agreements at the organized biddings is planned by goods), is created according to Item 1.2 of this provision.

If client of the bidder is the broker, the face included by the organizer of trade in the participant list of the biddings by goods which are acting for the benefit of and at the expense of other persons or the foreign legal entity founded in one of the states specified in subitems 1 and 2 of Item 2 of article 51.1 of the Federal Law of April 22, 1996 to 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, Art. 6249; 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. 27, Art. 3880; 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, for No. 30, the Art. 4219) (further - the Federal Law "About the Security Market"), and the having right according to the personal law to perform broker activities, to the specified client assign codes by the number of clients of such broker (the foreign legal entity). At the same time the code of the client shall be assigned according to requirements of Items 1.2 - 1.4 this provision, except for requirements about inclusion in code of the registered person BIC and KIO provided by the paragraph the second Item 1.2 of this provision.

1.5. The code of the registered person - the client of the second level is created according to Items 1.2 - 1.4 this provision, except for requirements about inclusion in code of the registered person BIC and KIO provided by the paragraph the second Item 1.2 of this provision.

For the foreign organization according to which personal law cross-border transfer of the data necessary for registration of code of the client of the second level is forbidden the unique code assigned for the client of the second level by the foreign organization performing broker activities or activities for trust management according to its personal law is used.

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