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Ministry of Justice

Russian Federation

On November 9, 2015 No. 39615

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

(as amended of the Instruction of the Central bank of the Russian Federation of 09.04.2018 No. 4772-U)

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 structural division of the Bank of Russia, authorized to perform acceptance of the reporting and other information on risks of bank holding, determined according to the Instruction of the Bank of Russia of September 9, 2015 No. 3780-U "About the notification procedure of the Bank of Russia about formation of bank holding, about creation of managing company of bank holding and the powers conferred to it", the registered Ministry of Justice of the Russian Federation on November 9, 2015 No. 39616, on February 6, 2018 No. 49919 (further - authorized structural division of the Bank of Russia).

3. The parent organization of bank holding prepares the reporting and other information on risks of bank holding and represents it to authorized structural division of the Bank of Russia in 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;

no later than one month from the date of the conclusion with the Bank of Russia of the agreement of transfer acceptance of the reporting and other information on risks of bank holding (further - the agreement of transfer acceptance of the reporting) according to the Instruction of the Bank of Russia of September 9, 2015 No. 3783-U "About procedure for representation of bank holding by parent organization in the Bank of Russia of the reporting and other information on risks of bank holding in the form of the electronic message supplied with authentication code", the registered Ministry of Justice of the Russian Federation on November 9, 2015 No. 39618 ("the Bulletin of the Bank of Russia" from _________ 2015 No. ______) (further - the Instruction of the Bank of Russia No. 3783-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 (on condition of availability of the agreement of transfer acceptance of the reporting) or no later than 20 working days from the date of the conclusion of the agreement of transfer acceptance of the reporting;

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. The reporting and other information on risks of bank holding is presented in authorized structural division of the Bank of Russia in the form of the electronic message supplied with authentication code, according to the procedure, established by the Instruction of the Bank of Russia No. 3783-U.

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

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