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Ministry of Justice

Russian Federation

On August 15, 2016 No. 43228

INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of July 20, 2016 No. 4077-U

About procedure for submission by credit institutions to authorized body of data on cases of refusal of the conclusion of bank account agreement (contribution) and (or) agreement cancelation of the bank account (contribution) with the client at the initiative of credit institution, about refusal cases in accomplishment of the order of the client about transaction making

(as amended of the Instruction of the Central bank of the Russian Federation of 15.07.2021 No. 5861-U)

Based on Items 13 and 13.1 of article 7 of the Federal Law of August 7, 2001 No. 115-FZ "About counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing" (The Russian Federation Code, 2001, No. 33, Art. 3418; 2002, No. 30, Art. 3029; No. 44, Art. 4296; 2004, No. 31, Art. 3224; 2005, No. 47, Art. 4828; 2006, No. 31, Art. 3446, Art. 3452; 2007, No. 16, Art. 1831; No. 31, Art. 3993, Art. 4011; No. 49, Art. 6036; 2009, No. 23, Art. 2776; No. 29, Art. 3600; 2010, No. 28, Art. 3553; No. 30, Art. 4007; No. 31, Art. 4166; 2011, No. 27, Art. 3873; No. 46, Art. 6406; 2012, No. 30, Art. 4172; No. 50, Art. 6954; 2013, No. 19, Art. 2329; No. 26, Art. 3207, No. 44, Art. 5641; No. 52, Art. 6968; Art. 2014, №19, 2311, Art. 2315, Art. 2335; No. 23, Art. 2934; No. 30, Art. 4214, Art. 4219; 2015, No. 1, Art. 14, Art. 37, Art. 58; No. 18, Art. 2614, No. 24, Art. 3367; No. 27, Art. 3945, Art. 3950, Art. 4001; 2016, No. 1, Art. 11, Art. 23, Art. 27, Art. 43, Art. 44; No. 27, Art. 4196, Art. 4221; No. 28, the Art. 4558) (further - the Federal Law No. 115-FZ), 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. 40, Art. 5318, No. 45, Art. 6154; No. 52, Art. 7543; 2015, No. 1, Art. 4, Art. 37; No. 27, Art. 3958, Art. 4001; No. 29, Art. 4348, Art. 4357; No. 41, Art. 5639; No. 48, Art. 6699; 2016, No. 1, Art. 23, Art. 46, Art. 50; "The official Internet portal of legal information" (www.pravo.gov.ru), on July 4, 2016) the Bank of Russia establishes procedure for submission by credit institutions to authorized body of data on cases of refusal of the conclusion of bank account agreement (contribution) and (or) agreement cancelation of the bank account (contribution) with the client at the initiative of credit institution on the bases specified in Item 5.2 of article 7 of the Federal Law No. 115-FZ about refusal cases in accomplishment of the order of the client about making of transaction on the bases specified in Item 11 of article 7 of the Federal Law No. 115-FZ.

1. Ceased to be valid according to the Instruction of the Central bank of the Russian Federation of 15.07.2021 No. 5861-U

2. Ceased to be valid according to the Instruction of the Central bank of the Russian Federation of 15.07.2021 No. 5861-U

3. Paragraph one of ceased to be valid

Each OES is supplied with authentication code (further - KA) credit institution and ciphered by credit institution with use of key of the enciphering received and applied to exchange of information with authorized body.

4. The credit institution by means of the program archiver creates the archival file which is supplied with KA of credit institution of OES created during the working day.

The credit institution sends the archival file in the same working day when it was created, till 16 o'clock local time on communication channels or on the magnetic, optical or digital carrier with the cover letter to territorial office of the Bank of Russia in the territory of which the credit institution is located (further - territorial office), for subsequent delivery of OES included in the archival file through Department of information technologies of the Bank of Russia in authorized body.

5. From all archival files received from credit institutions during the working day and which underwent with positive result control procedures according to Item 6 of this Instruction, the territorial office on the same day till 18 o'clock local time by means of the program archiver creates and transfers the summary archival file of territorial office supplied with KA of territorial office to Department of information technologies of the Bank of Russia. At the same time archival files do not razarkhivirutsya by territorial office and their content by territorial office is not controlled.

6. In territorial office the procedure of check of authenticity and integrity of each archival file allowing to determine that such file was directed by the relevant credit institution is carried out and was not changed during transfer from credit institution to territorial office (further - the procedure of authentication), and also the procedure of verification of the name of the archival file to compliance to the structure established according to Item 12 of this Instruction (further - the procedure of verification of the name).

In case of positive results of the procedure of authentication and the procedure of verification of the name of the archival file the territorial office in day of receipt of the archival file creates in electronic form and no later than 18:00 local time same days sends to credit institution the notice in the form of the electronic message (further - IES) about adoption of the archival file.

The archival file, the procedure of authentication and (or) the procedure of verification of the name of which yielded negative result, is excluded from further processing. At the same time the territorial office in day of receipt of the archival file creates in electronic form and no later than 18:00 local time same days sends to credit institution of IES about rejection of the archival file with indication of the reason of its rejection.

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