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Ministry of Justice

Russian Federation

On December 25, 2015 No. 40286

INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of November 11, 2015 No. 170-I

About procedure for licensing of clearing activities by the Bank of Russia and procedure for maintaining the register of licenses

(as amended on 27-06-2019)

This Instruction based on the Federal Law of February 7, 2011 No. 7-FZ "About clearing and clearing activities" (The Russian Federation Code, 2011, No. 7, Art. 904; No. 48, Art. 6728; No. 49, Art. 7040, Art. 7061; 2012, No. 53, Art. 7607; 2013, No. 30, Art. 4084; 2014, No. 11, Art. 1098; 2015, No. 27, the Art. 4001) (further - the Federal Law "About Clearing and Clearing Activities"), 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, 4001; No. 29, Art. 4348; No. 41, of the Art. 5639) establishes procedure for licensing by the Bank of Russia of clearing activities, including renewal of the document confirming availability of the license, registration and submission of documents for the receipt of the license and renewal of the document confirming license availability, the application form about licensing, questionnaire form, the document form, containing the detailed information about borrowed funds and receivables, the document form, confirming license availability, and also procedure for maintaining the register of licenses, including procedure for forming of structure of the data included in it, and procedure for provision of statements from it.

Chapter 1. General provisions

1.1. The documents submitted according to this Instruction go to the Bank of Russia (Department of the admission and termination of activities of the financial organizations) (further - authorized structural division) on paper if other is not provided by this Instruction and other regulations of the Bank of Russia.

1.2. The document confirming license availability is issued on the form of the Bank of Russia protected from counterfeits in form according to appendix 1 to this Instruction. This document is signed by the authorized person of the Bank of Russia which it is ratified official stamp of the Bank of Russia.

1.3. The documents submitted according to this Instruction, except for the document, the stipulated in Item 2.4 these Instruction and also the document provided by the paragraph the second Item 2.5 of this Instruction concerning board members (supervisory board) of the license applicant shall be signed by person performing functions of sole executive body of the license applicant or the legal entity who already performs clearing activities based on the license according to the Federal Law "About Clearing and Clearing Activities", or his legal successor (further - the licensee).

In the presence of seal the signature of person performing functions of sole executive body of the license applicant (licensee) shall be certified by seal.

The document submitted according to Item 2.4 of this Instruction is signed by physical person with own hand, with indication of signature date of the document, surname, name, middle name (in the presence of the last) according to the identity document.

The document submitted concerning the board member (supervisory board) of the license applicant according to the paragraph the second Item 2.5 of this Instruction shall be certified by person performing functions of sole executive body (other authorized person) of the legal entity with which the board member (supervisory board) has the existing employment contract with appendix of the document determining powers of the specified person and to contain the words "true copy", date of assurance, the signature and disaggregation of the signature of person who certified the copy, and seal of the specified legal entity (in the presence).

1.4. In the documents submitted by the license applicant (licensee) according to this Instruction, containing more than one leaf, sheets shall be numbered, stitched and fastened on the back the last leaf by zaveritelny text with indication of figures and the copy-book of number of the numbered sheets which is commited by person, person performing functions of sole executive body of the license applicant (licensee) or authorized by it, with indication of surname, name, middle name (in the presence of the last), positions and dates of creation.

In the presence of seal the signature of person performing functions of sole executive body of the license applicant (licensee) or person authorized by it, shall be certified by seal.

When making zaveritelny text by other authorized person of the license applicant (licensee) the original (or the copy certified by person performing functions of sole executive body) the document, the confirming power of the person which signed the submitted documents also shall be provided to authorized structural division.

1.5. The documents specified in this Instruction, constituted in foreign language are represented to the Bank of Russia together with the translation into Russian certified by the notary if the notary knows the corresponding foreign language.

If the notary does not know the corresponding language, the translation can be made by the translator whose authenticity of the signature is witnessed by the notary.

1.6. The documents submitted to the Bank of Russia by the clearing organization according to items 4. 1, 4.2, 4.3 and 5.3 of this Instruction, shall be provided in the form of electronic documents according to requirements of the Instruction of the Bank of Russia of November 3, 2017 to No. 4600-U "About order of interaction of the Bank of Russia with credit institutions, not credit financial credit institutions and other participants of information exchange when using of information resources of the Bank of Russia, including private office by them", No. 49605 registered by the Ministry of Justice of the Russian Federation on January 11, 2018 (further - the Instruction of the Bank of Russia of November 3, 2017 No. 4600-U).

1.7. The document confirming payment of the state fee, represented to the Bank of Russia (authorized structural division) shall contain mark of bank about discharge of duty on payment of the state fee collected in accordance with the legislation of the Russian Federation about taxes and fees and to be certified by the signature of person performing functions of sole executive body, or other authorized person of the license applicant (licensee) and also the signature of person responsible for conducting financial accounting.

Chapter 2. Requirements to the documents and data represented to the Bank of Russia for receipt of the license

2.1. For receipt of the license the license applicant shall submit to authorized structural division the documents provided by part 3 of article 26 of the Federal law "About Clearing and Clearing Activities" which shall conform to the requirements established by this Instruction.

2.2. The statement for licensing is constituted by the license applicant in one copy in the form established by appendix 2 to this Instruction and it is represented on the form of the license applicant (in the presence).

2.3. The questionnaire is constituted by the license applicant in one copy in the form established by appendix 3 to this Instruction. The data specified in the questionnaire shall be urgent for date of submission of the statement for licensing. The name, the address of the legal entity brought in the questionnaire shall correspond to the data specified in constituent documents of the license applicant. The questionnaire also shall be represented on the electronic medium (CD disk, the flash-store) in the form of the file having the format providing possibility of its preserving on technical means and allowing after preserving possibility of search and copying of any fragment of the text means for viewing (doc, docx, rtf).

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