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Ministry of Justice

Russian Federation

On February 4, 2015 No. 35865

INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of December 5, 2014 No. 3471-U

About requirements to preparation and personnel training in not credit financial credit institutions

(as amended of the Instruction of the Central bank of the Russian Federation of 24.12.2019 No. 5372-U)

Based on 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. 2315, Art. 2335; No. 23, Art. 2934; No. 30, the Art. 4214, the Art. 4219) (further - the Federal Law) and 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) the Bank of Russia establishes requirements to preparation and personnel training for professional participants of the security market (except for professional participants of the security market, being credit institutions) (further - professional participants of the security market), insurance companies (except for the medical insurance companies performing activities only in the sphere of compulsory medical insurance) and insurance brokers (further in case of joint mentioning - insurance companies), managing companies of the investment funds, mutual investment funds and non-state pension funds having license for activities on provision of pensions and pension insurance (further - managing companies), and other organizations performing transactions with money or other property, specified in article 5 of the Federal Law (except for credit institutions), regulation, control and supervision of which in accordance with the legislation of the Russian Federation exercises the Bank of Russia (further in case of joint mentioning - not credit financial credit institutions).

Chapter 1. General provisions

1.1. In not credit financial credit institution taking into account requirements of this Instruction and regulatory legal acts of the Russian Federation in the field of counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing (further - POD/FT), and also nature and features of its activities, nature and features of activities of her clients the events directed to preparation and training of employees in POD/FT shall be held.

1.2. The purpose of training of staff of not credit financial credit institution in POD/FT is knowledge acquisition on POD/FT, necessary for execution of legal acts of the Russian Federation by them, regulations of the Bank of Russia and regulatory legal acts of the Russian Federation in the field of POD/FT, and also internal documents of not credit financial credit institution on POD/FT.

1.3. In the cases provided by this Instruction in not credit financial credit institution the program of preparation and training of staff of not credit financial credit institution in the sphere of POD/FT shall be developed (further - the program of preparation and training in POD/FT).

Chapter 2. Requirements to forming of the list of employees who shall have obligatory training and training for the purpose of POD/FT

2.1. In not credit financial credit institution the list of employees who shall have obligatory training and training for the purpose of POD/FT (further - the List) shall be determined.

The list affirms the head of not credit financial credit institution.

2.2. The following employees are included in the List (in the presence of the corresponding positions in staff of not credit financial credit institution or the individual entrepreneur, being insurance broker):

a) head of not credit financial credit institution;

b) head of branch of not credit financial credit institution;

c) the deputy manager of not credit financial credit institution (branch) supervising according to in writing drawn up distribution of obligations questions of the organization and implementation of internal control for the purpose of POD/FT;

d) the chief accountant (accountant) of not credit financial credit institution (branch) or the employee performing functions on conducting financial accounting;

e) the special official responsible for implementation of rules of internal control for the purpose of POD/FT in not credit financial credit institution, or the worker of insurance broker, being the individual entrepreneur, performing functions of the responsible on POD/FT (further - the responsible);

e) the staff of structural division on POD/FT, in case of forming of such structural division under the leadership of the responsible;

g) controller;

h) staff of service of internal control of not credit financial credit institution (branch);

i) head of legal division of not credit financial credit institution (branch) or lawyer of not credit financial credit institution;

j) safety manager of not credit financial credit institution (branch);

k) other staff of not credit financial credit institution (branch) at the discretion of her head taking into account features of activities of not credit financial credit institution (branch) and activities of her clients.

2.3. The professional participant of the security market, in addition to the employees specified in Item 2.2 of this Instruction in the List includes the following employees (in the presence of the corresponding positions in staff of the organization):

a) the head and the deputy manager of structural division of the professional participant of the security market (branch) which performs professional activity in the financial market;

b) employees of the professional participant of the security market (branch) who according to job responsibilities carry out at least one of the following functions:

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