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Ministry of Justice

Russian Federation

On December 10, 2015 No. 40070

INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of November 9, 2015 No. 3845-U

About procedure for conducting checks of observance of requirements of the Federal Law by the Bank of Russia of July 27, 2010 No. 224-FZ "About counteraction to unauthorized use of insider information and to market manipulation and about modification of separate legal acts of the Russian Federation" and the regulations of the Bank of Russia adopted according to it the employees of the Bank of Russia and members of National financial council having access to insider information of the Bank of Russia

According to part 5 of article 14 of the Federal Law of July 27, 2010 No. 224-FZ "About counteraction to unauthorized use of insider information and to market manipulation and about modification of separate legal acts of the Russian Federation" (The Russian Federation Code, 2010, No. 31, Art. 4193; 2011, No. 29, Art. 4291; No. 48, Art. 6728; 2012, No. 31, Art. 4334; 2013, No. 30, Art. 4082, Art. 4084; 2014, No. 30, of the Art. 4219) (further - the Federal Law No. 224-FZ) this Instruction establishes procedure for conducting checks of observance of requirements of the Federal Law No. 224-FZ by the Bank of Russia and the regulations of the Bank of Russia adopted according to it the employees of the Bank of Russia and members of National financial council having access to insider information of the Bank of Russia (further - insiders of the Bank of Russia).

Chapter 1. General provisions

1.1. The Bank of Russia according to parts 1 and 3 of article 14 of the Federal Law No. 224-FZ performs observance of requirements of the Federal Law No. 224-FZ and the regulations of the Bank of Russia adopted according to it by the insider of the Bank of Russia (further - check) based on the decision of the Chairman of the Bank of Russia (his deputy supervising questions of ensuring control of observance of requirements of the legislation of the Russian Federation of counteraction to unauthorized use of insider information and to market manipulation (further - the vice-chairman of the Bank of Russia) which is drawn up by the order of the Bank of Russia signed by the Chairman of the Bank of Russia (the vice-chairman of the Bank of Russia) and contains the written requirement about conducting check (further - the order on conducting check). The order on conducting check of the insider of the Bank of Russia who is not the employee of the Bank of Russia is signed by the Chairman of the Bank of Russia. Preparation of the draft of the order on conducting check is performed by Head department of counteraction to unfair practicians of behavior in the public market.

1.2. Control of observance in the Bank of Russia of requirements of the Federal Law No. 224-FZ and the regulations of the Bank of Russia adopted according to it is performed by the chief auditor of the Bank of Russia.

1.3. Check of the facts specified in the order on conducting check is carried out in time, not exceeding two months from the date of its edition.

The specified term can be prolonged in coordination with the Chairman of the Bank of Russia (the vice-chairman of the Bank of Russia), but no more than for one month.

1.4. Day of the end of check is signature date the commission on conducting check (further - the commission) the report about performed (further - the report).

1.5. Information on conducting check, and also information obtained during check belong to information of limited access.

Chapter 2. Procedure for forming of the commission

2.1. It is performed by the commission which part employees of service of the chief auditor of the Bank of Russia, and also employees of other structural divisions of the Bank of Russia, taking into account the facts specified in the order on conducting check are.

2.2. The chief auditor of the Bank of Russia no later than the next working day after day of the publication of the order on conducting check charges to Department of internal audit of the Bank of Russia to prepare and submit within five working days for approval offers on structure of the commission.

2.2.1. The department of internal audit of the Bank of Russia for the purpose of forming of the commission no later than the next working day after day of obtaining from the chief auditor of the Bank of Russia of the order sends to structural divisions of central office of the Bank of Russia requests about submission of data on candidates for workers for their inclusion in structure of the commission (further - request).

2.2.2. Structural divisions of central office of the Bank of Russia no later than the next working day after day of receipt of request send to Department of internal audit of the Bank of Russia of the data on candidates for the workers (surname, name, middle name and position) offered for inclusion in structure of the commission.

2.2.3. The department of internal audit of the Bank of Russia after obtaining from structural divisions of central office of the Bank of Russia of data on the candidacies of workers proposed for inclusion in structure of the commission represents to the chief auditor of the Bank of Russia of the offer on structure of the commission.

2.3. The workers having length of service in the Bank of Russia at least three years for date of forming of the commission can be part of the commission.

The numerical structure of the commission, and also the requirement to members of the commission (qualification, position) are determined proceeding from the amounts of check and the facts specified in the order on conducting check.

2.4. The chief auditor of the Bank of Russia no later than the third working day after day of representation by Department of internal audit of the Bank of Russia of offers on structure of the commission approves its structure and appoints the commission chairman from number of persons employed of Department of internal audit of the Bank of Russia.

Chapter 3. Execution of the order of the Bank of Russia about conducting check, procedure for acquaintance with the order of the Bank of Russia about conducting check

3.1. The department of internal audit of the Bank of Russia within three working days after day of coordination by the chief auditor of the Bank of Russia of structure of the commission prepares the order of the Bank of Russia about conducting check signed by the chief auditor of the Bank of Russia (further - the order of the Bank of Russia) in which are specified:

structure of the commission;

date and number of the order on conducting check;

the facts which are subject to check specified in the order on conducting check;

term of conducting check;

surname, name, middle name and position of the checked insider of the Bank of Russia;

obligation of the checked insider of the Bank of Russia to provide necessary information and explanations according to part 4 of article 14 of the Federal Law No. 224-FZ;

term and procedure for submission of the report to the chief auditor of the Bank of Russia;

if necessary the other information concerning to performed.

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