INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of June 16, 2016 No. 4045-U

About order of registration the Bank of Russia of rules of implementation of repository activities, rules of internal control, internal audit and risk management, and also the changes made to them and approval procedure the Bank of Russia of regulations on committee of users of repository services

This Instruction based on Articles 15. 6, 15.7 and 15.9 Federal Laws 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) establishes order of registration the Bank of Russia of rules of implementation of repository activities, rules of internal control, internal audit and risk management (further - rules), and also the changes made to them and approval procedure by the Bank of Russia of regulations on committee of users of repository services (further - provision).

1. Primary registration of rules (provision) is performed by the Bank of Russia when licensing for implementation of repository activities according to the procedure, No. 173-I established by the Instruction of the Bank of Russia of June 8, 2016 "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", registered by the Ministry of Justice of the Russian Federation on July 4, 2016 No. 42733 ("the Bulletin of the Bank of Russia" of July 13, 2016 No. 65).

Registration of the changes made to rules (provision) of repository is performed by the Bank of Russia in case of representation of the new edition of rules (provision) approved by repository.

2. For registration (approval) of the new editorial office of rules (provision) the following set of documents shall be provided to the Bank of Russia (Department of the admission and termination of activities of the financial organizations) with the statement for registration (about approval) rules (provision) of repository (further - the statement) (appendix to this Instruction):

governed (provision) in duplicate on paper. Rules (provision) are also represented it (is represented) on the electronic medium in the *.doc format; *.docx; *.rtf. Repozitary shall provide compliance of the text of rules (provision) on paper and electronic carriers;

the list of the changes made to rules (provision) with the description of the reasons of modification which shall be provided on the electronic medium in the *.doc format; *.docx; *.rtf;

the copy (copies) of the decision (decisions) of authorized body of repository to which, (which) approved new edition of rules (provision) of repository.

In the presence in the rules (provision) of references to other internal documents of repository directed to registration (approval) in the Bank of Russia (Department of the admission and termination of activities of the financial organizations), not being subject registrations (approval) in the Bank of Russia, copies of such documents are also represented on the electronic medium in the *.doc format; *.docx; *.rtf.

Documents, not being subject registrations (approval) in the Bank of Russia, shall be approved by authorized bodies (persons) of repository.

3. On the title page of the rules (provision) of repository registered (approved) by the Bank of Russia are specified:

name of rules (provision);

the name of authorized body of repository, the claimed (developed) rule (provision);

approval date of the rules (provision) which are subject (being subject) to registration (approval);

the authorized signature of repository certified by repository seal (in case of its availability).

The left upper corner of the title page of the rules (provision) which are subject (being subject) to registration (approval) remains empty for putting down of mark about registration (about approval) the Bank of Russia.

4. In case of signing (assurance) of the documents specified in Item 2 presents of the Instruction, person which is not performing function of sole executive body of repository the copy of the document, the confirming power of the person which signed documents certified according to the procedure, established by the legislation of the Russian Federation is submitted.

5. In the documents specified in Item 2 presents of the Instruction, 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 stitched sheets signed by her originator with indication of surname, name, middle name (in the presence), positions and dates of creation on the back.

The signature of the originator of zaveritelny text shall be certified by repository seal (in case of its availability).

6. The Bank of Russia makes the decision on registration (on approval) new edition of rules (regulations) or on refusal in registration (approval) of the new editorial office of rules (provision) not later than in 30 working days from the date of receipt by the Bank of Russia of complete set of documents, the stipulated in Item 2 presents of the Instruction.

7. The decision of the Bank of Russia on registration of new edition of rules (provision) is made (on approval) by the director or the deputy director of Department of the admission and the termination of activities of the financial organizations and drawn up in the form of the notice of registration (about approval) new edition of rules (provision) (further - the notice of registration (about approval).

Disclaimer! This text was translated by AI translator and is not a valid juridical document. No warranty. No claim. More info