INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of April 29, 2015 No. 3629-U

About recognition of persons by skilled investors and procedure for maintaining the register of persons recognized as skilled investors

The Bank of Russia according to Item 25 of Article 30, Items 3 - 5, the 7 and 12 article 51.2 of 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, 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, No. 30, Art. 4219; 2015, No. 14, the Art. 2022) (further - the Federal Law "About the Security Market"), Item 1 of article 53 of the Federal Law of November 29, 2001 No. 156-FZ "About investment funds" (The Russian Federation Code, 2001, No. 49, Art. 4562; 2004, No. 27, Art. 2711; 2006, No. 17, Art. 1780; 2007, No. 50, Art. 6247; 2008, No. 30, Art. 3616; 2009, No. 48, Art. 5731; 2010, No. 17, Art. 1988; No. 31, Art. 4193; 2011, No. 48, Art. 6728; No. 49, Art. 7040, Art. 7061; 2012, No. 31, Art. 4334; 2013, No. 26, Art. 3207; No. 27, Art. 3477; No. 30, Art. 4084; No. 51, Art. 6695, Art. 6699; 2014, No. 11, the Art. 1098) 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, Art. 6154; No. 52, Art. 7543; No. 1, the Art. 4, the Art. 37) establishes 2015,:

procedure for recognition of physical persons and legal entities (further in case of joint mentioning - person) according to their statement skilled investors, including requirements to disclosure of procedure for decision making about recognition of person by the skilled investor;

requirements to total cost of securities which are owned by the physical person, and (or) to the general size of obligations from the agreements which are derivative financial instruments and prisoners at the expense of this person for recognition by his skilled investor;

requirements to securities and other financial instruments which can be considered when calculating total cost of securities which are owned by the physical person, and (or) the general size of obligations from the agreements which are derivative financial instruments and prisoners at the expense of this person for recognition of person by the skilled investor, and also procedure for her (his) calculation;

requirements to work experience of physical person for recognition by his skilled investor;

quantity, amount and term of the commited by person security transactions and the signed agreements which are derivative financial instruments considered for recognition by his skilled investor;

the size of the property belonging to physical person and procedure of payments of such size for recognition by his skilled investor;

requirements to education and the competence certificate of physical person for recognition by his skilled investor;

the size of equity of the legal entity for recognition by his skilled investor;

the size and the period of calculation of turnover (revenue) from sales of goods (works, services) of the legal entity for recognition by his skilled investor;

the size of the amount of assets of the legal entity for recognition by his skilled investor;

procedure for maintaining the register of persons recognized as skilled investors (further - the register).

Chapter 1. General provisions

1.1. Person meeting the requirements established by the Federal Law "About the Security Market" and this Instruction can be acknowledged skilled investor according to its statement according to the procedure, established by this Instruction. At the same time person can be acknowledged skilled investor concerning one type or several types of the securities and other financial instruments, one type or several types of service intended for skilled investors.

Recognition of person according to its statement by the skilled investor is performed by brokers, managing and managing companies of mutual investment fund (further - person performing recognition by the skilled investor).

1.2. Person performing recognition by the skilled investor develops and approves taking into account requirements of this Instruction the document containing procedure for decision making about recognition of person by the skilled investor (further - regulations), including:

requirements for recognition of person by the skilled investor according to the Federal Law "About the Security Market" and this Instruction;

the list of the documents submitted by person confirming its compliance to requirements which observance is necessary for recognition of person by the skilled investor, and also procedure for their representation;

procedure for test of compliance of person to requirements to which there shall correspond such person for recognition by his skilled investor;

the procedure of confirmation by the skilled investor of observance of requirements, compliance to which it is necessary for recognition of person by the skilled investor if such confirmation is provided by the Federal Law "About the Security Market";

decision making term about recognition or about refusal in recognition of person by the skilled investor, and also the notification procedure of the specified person about the made decision;

procedure for maintaining the register according to the Federal Law "About the Security Market" and this Instruction.

Disclaimer! This text was translated by AI translator and is not a valid juridical document. No warranty. No claim. More info