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Ministry of Justice

Russian Federation

On July 4, 2016 No. 42733

INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of June 8, 2016 No. 173-I

About procedure and about conditions of licensing of repository activities and about the notification procedure repository of the Bank of Russia about appointment of the head of the structural unit created for implementation of repository activities or release it from post

(as amended of the Instruction of the Central bank of the Russian Federation of 13.06.2017 No. 4408-U)

This Instruction based on Item 3 of Article 15. 7, Item 35 of article 42 of the Federal Law of April 22, 1996 No. 39-FZ "About the security market" (The Russian Federation Code, 1996, No. 17, Art. 1918; 2001, No. 33, Art. 3424; 2002, No. 52, Art. 5141; 2004, No. 27, Art. 2711; No. 31, Art. 3225; 2005, No. 11, Art. 900; No. 25, Art. 2426; 2006, No. 1, Art. 5; No. 2, Art. 172; No. 17, Art. 1780; No. 31, Art. 3437; No. 43, Art. 4412; 2007, No. 1, Art. 45; No. 18, Art. 2117; No. 22, Art. 2563; No. 41, Art. 4845; No. 50, Art. 6247; 2008, No. 52, Art. 6221; 2009, No. 1, Art. 28; No. 18, Art. 2154; No. 23, Art. 2770; No. 29, Art. 3642; No. 48, Art. 5731; No. 52, Art. 6428; 2010, No. 17, Art. 1988; No. 31, Art. 4193; No. 41, Art. 5193; 2011, No. 7, Art. 905; No. 23, Art. 3262; No. 27, Art. 3880; No. 29, Art. 4291; No. 48, Art. 6728; No. 49, Art. 7040; No. 50, Art. 7357; 2012, No. 25, Art. 3269; No. 31, Art. 4334; No. 53, Art. 7607; 2013, No. 26, Art. 3207; No. 30, Art. 4043, Art. 4082, Art. 4084; No. 51, Art. 6699; No. 52, Art. 6985; 2014, No. 30, Art. 4219; 2015, No. 1, Art. 13; No. 14, Art. 2022; No. 27, Art. 4001; No. 29, Art. 4348, Art. 4349, Art. 4357; 2016, No. 1, of the Art. 50, the Art. 81) (further - the Federal Law "About the Security Market") determines procedure and conditions of licensing of repository activities, and also establishes the notification procedure repository of the Bank of Russia about appointment of the head of the structural unit created for implementation of repository activities (further - the division manager), or release it from post.

Chapter 1. General provisions

1.1. Documents for receipt of the license for implementation of repository activities (further - the license), renewals, issues of the duplicate of the license, the notification of the Bank of Russia on appointment of the division manager or on release it from post are represented 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 or other regulations of the Bank of Russia.

1.2. The license is granted on the form protected from counterfeits and signed by the authorized person of the Bank of Russia which it is ratified official stamp of the Bank of Russia.

1.3. Information on licensing or on refusal in licensing is posted on the official site of the Bank of Russia on the Internet (further - Internet network) no later than the next working day after day of adoption of the relevant decision.

1.4. The documents submitted to authorized structural division according to this Instruction shall be signed by person performing functions of sole executive body or other authorized person of the legal entity who filed in authorized structural division petition for licensing (further - the license applicant), with appendix of the document confirming it powers. The signature of person performing functions of sole executive body, or other authorized person on the specified documents of the license applicant is certified by seal of the license applicant (in the presence).

1.5. The copies of documents represented according to this Instruction to authorized structural division if this Instruction does not provide other, shall be certified by person performing functions of sole executive body or other authorized person of the license applicant with appendix of the document confirming it powers. The signature of person performing functions of sole executive body, or other authorized person of the license applicant on the specified copies is certified by seal of the license applicant (in the presence).

1.6. In the documents submitted on paper to authorized structural division and containing more than one leaf, sheets shall be numbered, stitched and fastened the last leaf by zaveritelny text with indication of figures and the copy-book of number of the numbered sheets signed by her originator with indication of surname, name and (in the presence) middle name, position and date of creation on the back, at the same time the signature of person performing functions of sole executive body or other authorized person of the license applicant is certified by seal of the license applicant (in the presence).

1.7. The documents submitted to authorized structural division by the license applicant shall be valid and urgent for date of their representation.

1.8. The documents specified in this Instruction, constituted in foreign language are represented to the Bank of Russia together with the translation into Russian which is properly certified in accordance with the legislation of the Russian Federation about notariate.

1.9. All documents submitted to authorized structural division shall be specified in the inventory containing information on the name of the document, the number of sheets of each document and all set in general which shall be signed by person performing functions of sole executive body or other authorized person of the license applicant, at the same time the signature is certified by seal of the license applicant (in the presence).

1.10. The copy of 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 the functions of sole executive body, or other authorized person of the license applicant, and also the signature of person responsible for conducting financial accounting at the same time specified to the signature are certified by seal of the license applicant (in the presence).

Chapter 2. Submission of documents for receipt of the license and procedure for their consideration by the Bank of Russia

2.1. For receipt of the license the license applicant submits documents, stipulated in Item 2 articles 39.3 of the Federal law "About the Security Market" to authorized structural division.

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