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 which is drawn up by the order of the Bank of Russia signed by the Chairman of the Bank of Russia and contains the written requirement about conducting check (further - the order on conducting check). Preparation of the draft of the order on conducting check is performed by Department of internal audit.

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, 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 which are subject to check are.

2.2. The chief auditor of the Bank of Russia no later than the working day following behind day when the Department of internal audit knew of the facts which are subject to check charges to Department of internal audit to prepare and submit within three working days for approval offers on structure of the commission.

2.2.1. The department of internal audit 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 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 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 which are subject to 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 offers on structure of the commission approves its structure and appoints the commission chairman from number of persons employed of Department of internal audit.

Chapter 3. Execution of the order on conducting check, procedure for acquaintance with the order on conducting check

3.1. The department of internal audit within two working days after day of coordination by the chief auditor of the Bank of Russia of structure of the commission prepares the order on conducting check in which are specified:

structure of the commission;

the paragraph third ceased to be valid according to the Instruction of the Central bank of the Russian Federation of 07.08.2024 No. 6820-U

the facts which are subject to 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.

3.2. The copy of the order on conducting check no later than the next working day from the date of its signing goes to the checked insider of the Bank of Russia, the head of the structural unit of the Bank of Russia (if the checked insider of the Bank of Russia is the employee of structural division of the Bank of Russia).

Chapter 4. The right and obligation of members of the commission checked the insider of the Bank of Russia, the head of the structural unit of the Bank of Russia (if the checked insider of the Bank of Russia is the employee of structural division of the Bank of Russia)

4.1. The commission chairman shall:

provide conducting check in accordance with the legislation of the Russian Federation, normative and other acts of the Bank of Russia, without breaking processes of work of structural division of the Bank of Russia;

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