INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of September 9, 2015 No. 3777-U

About creation and submission to the Bank of Russia of the reporting and other information on risks of bank holding

This Instruction based on 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, Art. 3958, Art. 4001; No. 29, the Art. 4348), the Federal Law "About Banks and Banking Activity" (in edition of the Federal Law of February 3, 1996 No. 17-FZ) (Sheets of the Congress of People's Deputies of RSFSR and the Supreme Council of RSFSR, 1990, No. 27, Art. 357; Russian Federation Code, 1996, No. 6, Art. 492; 1998, No. 31, Art. 3829; 1999, No. 28, Art. 3459, Art. 3469; 2001, No. 26, Art. 2586; No. 33, Art. 3424; 2002, No. 12, Art. 1093; 2003, No. 27, Art. 2700; No. 50, Art. 4855; No. 52, Art. 5033, Art. 5037; 2004, No. 27, Art. 2711; No. 31, Art. 3233; 2005, No. 1, Art. 18, Art. 45; No. 30, Art. 3117; 2006, No. 6, Art. 636; No. 19, Art. 2061; No. 31, Art. 3439; No. 52, Art. 5497; 2007, No. 1, Art. 9; No. 22, Art. 2563; No. 31, Art. 4011; No. 41, Art. 4845; No. 45, Art. 5425; No. 50, Art. 6238; 2008, No. 10, Art. 895; 2009, No. 1, Art. 23; No. 9, Art. 1043; No. 18, Art. 2153; No. 23, Art. 2776; No. 30, Art. 3739; No. 48, Art. 5731; No. 52, Art. 6428; 2010, No. 8, Art. 775; No. 27, Art. 3432; No. 30, Art. 4012; No. 31, Art. 4193; No. 47, Art. 6028; 2011, No. 7, Art. 905; No. 27, Art. 3873, Art. 3880; No. 29, Art. 4291; No. 48, Art. 6728, Art. 6730; No. 49, Art. 7069; No. 50, Art. 7351; 2012, No. 27, Art. 3588; No. 31, Art. 4333; No. 50, Art. 6954; No. 53, Art. 7605, Art. 7607; 2013, No. 11, Art. 1076; No. 19, Art. 2317, Art. 2329; No. 26, Art. 3207; No. 27, Art. 3438, Art. 3477; No. 30, Art. 4084; No. 40, Art. 5036; No. 49, Art. 6336; No. 51, Art. 6683, Art. 6699; 2014, No. 6, Art. 563; No. 19, Art. 2311; No. 26, Art. 3379, Art. 3395; No. 30, Art. 4219; No. 40, Art. 5317, Art. 5320; No. 45, Art. 6144, Art. 6154; No. 49, Art. 6912; No. 52, Art. 7543; 2015, No. 1, Art. 37; No. 17, Art. 2473; No. 27, Art. 3947, Art. 3950; No. 29, the Art. 4355) and according to the solution of the Board of directors of the Bank of Russia (the minutes of the Board of directors of the Bank of Russia of July 31, 2015 No. 23) establish the following forms, procedure and terms of creation and submission to the Bank of Russia by parent organization of bank holding (managing company of bank holding - in case of assignment of obligations of parent organization of bank holding on it) (further - parent organization of bank holding) the reporting and other information on risks of bank holding necessary for implementation of supervision of credit institutions - members of bank holding.

1. For the purpose of submission to the Bank of Russia of information necessary for risks assessment of bank holding and implementation of supervision of credit institutions - members of bank holding, the parent organization of bank holding prepares:

information on risks of bank holding (appendix 1 to this Instruction);

the report on the list of members of bank holding and investments in shares of investment funds (appendix 2 to this Instruction);

information on managing company of bank holding and the obligations of parent organization of bank holding (appendix 3 to this Instruction) assigned to it;

consolidated financial statements of bank holding.

2. The reporting and other information on risks of bank holding (in form of appendices 1 - 3 to this Instruction and consolidated financial statements of bank holding) are represented by parent organization of bank holding to the Bank of Russia according to the rules established by the Instruction of the Bank of Russia of September 29, 2022 No. 6277-U "About rules of representation of bank holding by parent organization in the Bank of Russia of the reporting and other information on risks of bank holding" (it is registered by the Ministry of Justice of the Russian Federation on January 25, 2023, registration No. 72133).

3. The parent organization of bank holding prepares the reporting and other information on risks of bank holding and submits it in the Bank of Russia within the following terms.

3.1. Information on risks of bank holding:

for January 1 - no later than four months after reporting date;

for July 1 - no later than three months after reporting date;

upon the demand of the Bank of Russia - no later than 40 working days from the date of receipt of the written requirement of the Bank of Russia.

3.2. The report on the list of members of bank holding and investments in shares of investment funds:

for January 1 - no later than two months after reporting date;

for July 1 - no later than one month after reporting date;

the paragraph the fourth ceased to be valid according to the Instruction of the Central bank of the Russian Federation of 19.06.2023 No. 6451-U

upon the demand of the Bank of Russia - no later than 30 working days from the date of receipt of the written requirement of the Bank of Russia;

if the bank holding ceases to correspond to provisions of article 4 of the Federal law "About Banks and Banking Activity" (in edition of the Federal Law of February 3, 1996 No. 17-FZ) - no later than 10 working days from the date of approach of the basis owing to which the bank holding ceases to correspond to provisions of article 4 of the Federal law "About Banks and Banking Activity" (in edition of the Federal Law of February 3, 1996 No. 17-FZ);

in process of change of data (except for the data caused by change of book value of shares (shares) of members of bank holding - nonresidents, connected with their revaluation in foreign currency) - no later than 10 working days from the date of change of data.

3.3. Information on managing company of bank holding and the obligations of parent organization of bank holding assigned to it:

no later than 20 working days from the date of creation of managing company and (or) assignment of obligations of parent organization of bank holding on it;

in process of change of data (except for the data caused by change of book value of shares (shares) of members of bank holding - nonresidents, connected with their revaluation in foreign currency) - no later than 15 working days from the date of change of data.

3.4. Consolidated financial statements of bank holding:

for January 1 and for July 1 - in the terms established by the Instruction of the Bank of Russia of November 27, 2017 No. 4619-U "About procedure and terms of disclosure and submission of consolidated financial statements by bank holdings", the registered Ministry of Justice of the Russian Federation on February 9, 2018 No. 49985.

4. Ceased to be valid according to the Instruction of the Central bank of the Russian Federation of 19.06.2023 No. 6451-U

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

From the date of entry into force of this Instruction to declare invalid the Instruction of the Bank of Russia of October 25, 2013 No. 3083-U "About creation and submission to the Bank of Russia of information on risks of bank holding", registered by the Ministry of Justice of the Russian Federation on December 2, 2013 No. 30515 ("the Bulletin of the Bank of Russia" of December 10, 2013 No. 71).

Appendix 1

to the Instruction of the Bank of Russia of September 9, 2015 No. 3777-U "About creation and submission to the Bank of Russia of the reporting and other information on risks of bank holding"

Form

Information on risks of bank holding
on "__" ____________ ____.

Complete and (in the presence) the reduced trade name head

organizations of bank holding (managing company of bank

holding) _________________________________________________________________

Postal address ____________________________________________________________

Form code on OKUD 0415001

Semi-annual / On irregular basis

thousands of rubles

Section I. Data on financial position of bank holding

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