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Ministry of Justice

Russian Federation

On August 10, 2015 No. 38436

INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of July 15, 2015 No. 3730-U

About procedure for informing financial monitoring by authorized bank of body on refusal in carrying out transaction, about carrying out earlier suspended transaction on the separate account opened for the head contractor, the contractor for implementation of payment under the state defensive order

Based on the Federal Law of December 29, 2012 No. 275-FZ "About the state defensive order" (The Russian Federation Code, 2012, No. 53, Art. 7600; 2013, No. 52, Art. 6961; 2015, No. 27, the Art. 3950) (further - the Federal Law No. 275-FZ) 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; 2015, No. 1, Art. 4, Art. 37; No. 27, of the Art. 3958, of the Art. 4001) the Bank of Russia establishes procedure for informing financial monitoring by authorized bank of body on refusal in acceptance to execution of orders about making of transactions which making is not allowed according to articles 8.3 and 8.4 of the Federal Law No. 275-FZ (further - the forbidden transaction), about carrying out earlier suspended transaction, about refusal in carrying out earlier suspended transaction.

1. The concepts used in this Instruction are applied in the values determined by the Federal Law No. 275-FZ and the Provision of the Bank of Russia of August 29, 2008 No. 321-P "About procedure for submission by 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 registered Ministry of Justice of the Russian Federation on September 16, 2008 No. 12296, on August 24, 2012 No. 25258, on November 15, 2012 No. 25814, on May 30, 2013 No. 28581, on September 3, 2014 No. 33957, on December 24, 2014 No. 35374 ("the Bulletin of the Bank of Russia" of September 26, 2008 No. 54, of September 12, 2012 No. 54, of November 21, 2012 No. 66, of June 5, 2013 No. 31, of September 12, 2014 No. 82, of January 21, 2015 No. 1) (further - the Provision of the Bank of Russia No. 321-P).

2. Information on refusal cases in carrying out the forbidden transaction, carrying out earlier suspended transaction, refusal in carrying out earlier suspended transaction goes authorized bank to body of financial monitoring no later than the working day following behind day of making of the specified actions.

3. Information transfer, specified in Item 2 presents of the Instruction, is performed in report form in the form of the electronic message (further - OES) according to the procedure, similar to the procedure established by the Provision of the Bank of Russia No. 321-P taking into account the features established by this Instruction.

Each OES is supplied with authentication code (further - KA) authorized bank and ciphered by authorized bank with use of key of the enciphering received and applied to exchange of information with body of financial monitoring.

Indicators of OES shall correspond to the list and the description given in appendix to this Instruction.

4. The authorized bank by means of the program archiver creates the archival file of OES created during the working day. The archival file is supplied with code of authentication of KA of authorized bank.

The authorized bank sends the archival file in the same working day when it was created, till 16 o'clock local time on communication channels or on the magnetic, optical or digital carrier with the cover letter in territorial office of the Bank of Russia in the territory of which the authorized bank is located (further - territorial office), for subsequent delivery of OES included in the archival file through Department of information technologies of the Bank of Russia (further - DIT of the Bank of Russia) to body of financial monitoring.

5. From all archival files received from authorized banks during the working day and which underwent with positive result control procedure according to Item 6 of this Instruction, the territorial office on the same day till 18 o'clock local time by means of the program archiver creates and transfers the summary archival file of territorial office supplied with KA of territorial office in DIT of the Bank of Russia. At the same time archival files do not razarkhivirutsya by territorial office and their content by territorial office is not controlled.

6. In territorial office the procedure of check of authenticity and integrity of each archival file allowing to determine that such file was directed by the relevant authorized bank is carried out and was not changed during transfer from authorized bank to territorial office (further - the procedure of authentication), and also the procedure of verification of the name of the archival file to compliance to the structure established according to Item 11 of this Instruction (further - the procedure of verification of the name).

In case of positive results of the procedure of authentication and the procedure of verification of the name of the archival file the territorial office creates in electronic form and sends to authorized bank the notice in the form of the electronic message (further - IES) about adoption of the archival file.

The archival file, the procedure of authentication and (or) the procedure of verification of the name of which yielded negative result, is excluded from further processing. At the same time the territorial office creates in electronic form and sends to the IES authorized bank about rejection of the archival file with indication of the reason of its rejection.

The authorized bank in case of obtaining from territorial office of IES about rejection of the archival file removes the cause of rejection and no later than the working day following behind day of receipt of IES about rejection of the archival file, repeatedly directs the archival file.

7. By results of control of financial monitoring of each OES by body the authorized bank receives IES containing information on acceptance (rejection) of financial monitoring of OES by body.

8. Addressed to the same IES authorized bank, directed by body of financial monitoring, arrive in authorized bank from territorial office as a part of the archival file of body of the financial monitoring created by means of the program archiver and supplied with KA of body of financial monitoring (further - the archival file of body of financial monitoring).

The territorial office receives archival files of body of financial monitoring as a part of the summary archival files of body of financial monitoring created by means of the program archiver and supplied with KA of body of financial monitoring.

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