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Ministry of Justice

Russian Federation

On February 2, 2015 No. 35833

INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of December 15, 2014 No. 3484-U

About procedure for submission by not credit financial credit institutions to authorized body of the data provided by the Federal Law "About Counteraction of Legalization (Washing) of Income Gained in the Criminal Way and to Terrorism Financing"

(as amended of the Instruction of the Central bank of the Russian Federation of 28.07.2016 No. 4088-U)

Based on article 7 of the Federal Law of August 7, 2001 No. 115-FZ "About counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing" (The Russian Federation Code, 2001, No. 33, Art. 3418; 2002, No. 30, Art. 3029; No. 44, Art. 4296; 2004, No. 31, Art. 3224; 2005, No. 47, Art. 4828; 2006, No. 31, Art. 3446, Art. 3452; 2007, No. 16, Art. 1831; No. 31, Art. 3993, Art. 4011; No. 49, Art. 6036; 2009, No. 23, Art. 2776; No. 29, Art. 3600; 2010, No. 28, Art. 3553; No. 30, Art. 4007; No. 31, Art. 4166; 2011, No. 27, Art. 3873; No. 46, Art. 6406; 2012, No. 30, Art. 4172; No. 50, Art. 6954; 2013, No. 19, Art. 2329; No. 26, Art. 3207; No. 44, Art. 5641; No. 52, Art. 6968; 2014, No. 19, Art. 2311, Art. 2315, Art. 2335; No. 23, Art. 2934; No. 30, the Art. 4214, the Art. 4219) (further - the Federal Law) and article 7 of 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, Art. 4219; No. 45, of the Art. 6154) this Instruction establishes procedure for submission by not credit financial credit institutions to authorized body of the following data and information provided by the Federal Law:

about the transactions with money or other property (further - transaction) which are subject to mandatory control and also about transactions concerning which in case of implementation of rules of internal control there are suspicions about their implementation for the purpose of legalization (washing) of income gained in the criminal way or terrorism financings;

about the taken measures for freezing (blocking) of money or other property of the organizations and physical persons;

about results of verification of presence among the clients of the organizations and physical persons to whom measures for freezing (blocking) of money or other property are applied or shall be applied;

about the transactions suspended according to Item 10 of article 7 of the Federal Law;

about refusal cases in accomplishment of the order of the client about making of transaction on the bases specified in Item 11 of article 7 of the Federal Law.

1. For the purpose of this Instruction professional participants of the security market, insurance companies (except for the medical insurance companies performing activities only in the field of compulsory medical insurance), insurance brokers, managing companies of investment funds, mutual investment funds and non-state pension funds, credit consumer cooperatives, including agricultural credit consumer cooperatives, the microfinancial organizations, societies of mutual insurance, non-state pension funds, pawnshops treat not credit financial credit institutions (further - NFO).

2. Data on the transaction which is subject to mandatory control are represented to authorized body no later than three working days following behind day of making of the corresponding transaction.

3. Data on transaction concerning which in case of implementation of rules of internal control there are suspicions about its implementation for the purpose of legalization (washing) of income gained in the criminal way and terrorism financing are represented to authorized body no later than three working days following behind day of identification of the corresponding transaction.

4. Information on the taken measures for freezing (blocking) of money or other property of the organization and (or) physical person included in the list of the organizations and physical persons concerning which there are data on their participation in extremist activities or terrorism, or the organization and (or) physical person on which the interdepartmental coordinating body performing functions on counteraction to terrorism financing makes the decision on freezing (blocking) to belonging such organization or physical person of money or other property (further - the organization and physical person) goes NFO to authorized body without delay in day of application of measures for freezing (blocking) of money or other property of the organization and physical person.

5. Information on results of verification of presence among the clients of the organizations and physical persons to whom measures for freezing (blocking) of money or other property are applied or shall be applied (further - check) goes NFO to authorized body no later than three working days after day of the end of conducting such check.

6. Information on the transaction suspended according to Item 10 of article 7 of the Federal Law goes NFO to authorized body without delay in day of application of measures for suspension.

7. Data on refusal case in accomplishment of the order of the client about making of transaction on the bases specified in Item 11 of article 7 of the Federal Law are represented to NFO to authorized body no later than the working day following behind day of making of the specified actions in time.

8. The data and information specified in Items 2 - 7 these Instructions, are presented in authorized body in the form of the formalized electronic messages (further - FES) through the Personal account of NFO on the portal of authorized body on the Internet (further - the Personal account) on the communication channels determined and used by authorized body for information transfer.

9. By results of control of each FES NFO by authorized body no later than the working day following behind day of obtaining by the FES authorized body receives the receipt containing confirmation of acceptance by the FES authorized body (further - the receipt on acceptance of FES), or the receipt containing confirmation of rejection by the FES authorized body (further - the receipt on rejection of FES) which is placed in the Personal account.

10. The receipt on rejection of FES with indication of the reason is created in cases of non-confirmation of authenticity and (or) violation of integrity of FES, discrepancy of formats and structures of FES to the established requirements, total or partial absence in FES of data which availability is provided by the established formats.

11. In case of receipt of NFO of the receipt on rejection of FES NFO removes the rejection cause, again creates FES and no later than the working day following behind day of receipt of the receipt sends it to authorized body according to the procedure, established by this Instruction.

12. In case of non receipt of NFO of the receipt on acceptance of FES or the receipt on rejection of FES after five working days after day of the FES NFO direction can send the written request in any form to authorized body for clarification of the reasons of non receipt of the receipt.

13. Receipts on acceptance FES or the receipt on rejection of FES are transferred by authorized body on the communication channels used for transfer of the corresponding FES.

14. Date of the message NFO - 7 these Instructions, the date of forming of NFO FES specified in Item 8 of this Instruction, included in the receipt on acceptance of the corresponding FES is recognized to authorized body of the data and information specified in Items 2.

15. The FES sent to NFO to authorized body, and also received by NFO of the receipt on acceptance of FES receipts on rejection of FES shall be stored NFO according to the procedure determined by NFO in electronic form at least five years from the date of receipt of the receipt of authorized body on acceptance of FES, the receipt of authorized body on rejection of FES.

16. The information exchange of NFO with authorized body provided by this Instruction is performed using means of information protection in accordance with the legislation of the Russian Federation.

17. In exceptional cases, when for the reasons of natural or technogenic nature of NFO, independent of NFO, is not able to transmit FES through the Personal account of the data and information specified in Items 2 - 7 these Instructions, they can be represented on the magnetic, optical or digital carrier with the cover letter signed by the head of NFO or the authorized representative of NFO by the direction directly to authorized body of the registered mail with the assurance of receipt.

18. The list and structure of the indicators included in NFO in FES are given in appendix to this Instruction.

19. This Instruction becomes effective after 10 days after day of its official publication in "the Bulletin of the Bank of Russia".

20. Central Bank of the Russian Federation in time no later than 30 days after day of entry into force of this Instruction provides development and placement on the official site of the Bank of Russia on the Internet approved with authorized body:

formats and structure of FES (including structure of its name);

formats and structure of the receipt on acceptance of FES and the receipt on rejection of FES (including structure of their names).

21. The formats and structure of electronic documents established according to Item 20 of this Instruction and approved with Rosfinmonitoring and also changes in them, are posted on the official site of the Bank of Russia on the Internet and applied after 30 days after day of their placement.

22. The procedure for connection of NFO to the Personal account is determined by authorized body and is brought to the attention of NFO by placement of the relevant information on the website of Rosfinmonitoring on the Internet or other public method.

Chairman of the Central bank of the Russian Federation

E. S. Nabiullina

 

It is approved by the Director of Federal Service for Financial Monitoring

Yu.A.Chikhanchin

 

Appendix

to the Instruction of the Bank of Russia of December No. 3484-U 15 "About procedure for submission by not credit financial credit institutions to authorized body of the data provided by the Federal Law "About Counteraction of Legalization (Washing) of Income Gained in the Criminal Way and to Terrorism Financing"

The list and structure of the indicators included in NFO in FES

FES consists of office and information parts.

Office part of FES is created of indicators of the table of 1 this appendix.

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