INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of August 16, 2016 No. 4104-U

About the agreement types concluded not at the organized biddings, information on which is provided in repository, persons providing in repository information on such agreements, procedure, structure, form and terms of provision of information by them in repository, additional requirements to procedure for maintaining by repository of the register of agreements, procedure and terms of provision of information repository and also procedure, structure, form and terms of provision by repository in the Bank of Russia of the register of agreements,

This Instruction based on Item 1 of Article 15. 5, Item 1 of Article 15. 7, Items 1, 5, 7, the 8 and 10 article 15.8 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. 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. 4357; 2016, No. 1, Art. 50, Art. 81; No. 27, 4225) (further - the Federal Law "About the Security Market") determines the Art.:

agreement types, prisoners not at the organized biddings, information on which is provided in repository;

persons providing in repository information on such agreements, and procedure, structure, form and terms of provision of information by them in repository;

additional requirements to procedure for maintaining by repository of the register of agreements;

procedure and terms of provision of information repository;

procedure, structure, form and terms of provision by repository in the Bank of Russia of the register of agreements.

1. According to Item 1 of Article 15.5 and Item 1 of article 15.8 of the Federal law "About the Security Market" information on the following agreement types concluded not at the organized biddings is subject to provision in repository:

about the repurchase agreement;

about the agreement which is the derivative financial instrument;

about the agreement providing obligation of one party to transfer currency to the possession to other party and obligation of other party to accept and pay currency, and also obligation of other party to transfer currency to the possession to the first party and obligation of the first party to accept and pay currency. At the same time such agreement does not provide other obligations of the Parties on payment or transfer of currency (money).

If the agreements specified in this Item are signed on the terms of the general agreement (the single agreement) (further - the general agreement), then according to Item 2 of article 15.8 of the Federal law "About the Security Market" along with provision of information on such agreements in repository information on the general agreement is provided.

2. The following legal entities created in accordance with the legislation of the Russian Federation, being the agreement party, 1 this Instruction specified in Item shall provide information in repository:

credit institutions;

brokers;

dealers;

managing directors;

depositaries;

registrars;

non-state pension funds;

managing companies of investment funds, mutual investment funds and non-state pension funds;

joint-stock investment funds;

organizers of trade;

clearing organizations;

insurance companies.

3. The legal entities who are not specified in Item 2 presents of the Instruction, created in accordance with the legislation of the Russian Federation which are the parties of the agreements specified in Item of 1 this Instruction concluded since November 1, 2016 shall provide information in repository on each of such agreements if the second party of such agreement is the legal entity who is not specified in Item 2 presents of the Instruction in case of accomplishment of any of the following conditions:

if the amount of obligations from such contract for date of the conclusion in rubles or the equivalent in foreign currency calculated on the official rate of foreign currency in relation to the ruble established by the Bank of Russia exceeds 1 billion rubles;

if the amount of obligations from set of such contracts for the end of each of three months in a row (further - settlement period) constitutes at least 10 billion rubles or the equivalent in foreign currency calculated on the official rate of foreign currency in relation to the ruble established by the Bank of Russia for settlement date (further - threshold value);

if such contracts are signed from the first following settlement period within which threshold values were reached.

4. Information on the agreement specified in Item of 1 this Instruction is provided in repository by persons specified in Items 2 and 3 of this Instruction no later than three working days from the date of the conclusion, change or the termination of such agreement, except as specified provisions in repository of information on the basis provided by the paragraph third Item 3 presents of the Instruction.

In case of provision in repository of information on the basis provided by the paragraph third Item 3 presents of the Instruction, information is provided in repository within a month, following settlement period. At the same time in case of change or the termination of such agreement after the expiration of settlement period information on its change or the termination is submitted within repository within the terms specified in paragraph one of this Item with simultaneous provision of information on the conclusion of such agreement if information on the conclusion of such agreement was not provided earlier.

5. The agreement party, 1 this Instruction specified in Item, has the right to attract to execution of the obligation on provision of information in repository other party of the specified agreement or the third party who is referred to as for the purposes of this Instruction with the informing person.

In case of the attraction by the agreement party specified in Item of 1 this Instruction, for execution of the obligation on provision of information in repository of other party of the specified agreement or the informing person, the parties of the specified agreement have the right to provide independently in repository information provided by lines 1 and 41 of the table 2 of appendix 1 to this Instruction.

6. Information on one agreement specified in Item of 1 this Instruction, and also set of such agreements signed on the terms of one general agreement is provided in one repository.

7. Information on the agreement specified in Item of 1 this Instruction is provided in repository electronically in the formats provided by the agreement on rendering repository services, and in the cases provided by the agreement on rendering repository services - on paper.

8. Information on the agreement specified in Item of 1 this Instruction is provided in repository in the structure provided by appendices 1 - 7 to this Instruction, according to procedure for provision of separate data in repository, given in appendix 8 to this Instruction.

8.1. If one of agreement parties, 1 this Instruction specified in Item, the clearing organization performing functions of the central partner is, information on the specified agreement is provided in repository only by the clearing organization performing functions of the central partner, in the structure provided by appendices 1 - 7 to this Instruction, according to procedure for provision of separate data in repository, given in appendix 8 to this Instruction, except for information provided by line 41 of the table 2 of appendix 1 to this Instruction.

At the same time other party of the specified agreement, being the legal entity specified in Item 2 or Item 3 presents of the Instruction in addition provides in repository information in the structure provided by lines 1 and 41 of the table 2 of appendix 1 to this Instruction if the specified agreement is the derivative financial instrument, which:

treats the hedging instruments determined according to the International accounting standard (IFRS) 9 "Financial instruments" in edition of 2014 enacted in the territory of the Russian Federation by the order of the Ministry of Finance of the Russian Federation of June 27, 2016 No. 98n "About introduction of documents of International accounting standards in action in the territory of the Russian Federation and about recognition No. which voided some orders of the Ministry of Finance of the Russian Federation", the registered Ministry of Justice of the Russian Federation on July 15, 2016 42869, with the amendments enacted in the territory of the Russian Federation by the order of the Ministry of Finance of the Russian Federation of July 11, 2016 No. 111n "About enforcement and cancellation of documents of International accounting standards in the territory of the Russian Federation" the registered Ministry of Justice of the Russian Federation on August 1, 2016 No. 43044, the order of the Ministry of Finance of the Russian Federation of March 27, 2018 No. 56n "About introduction of documents of International accounting standards in action in the territory of the Russian Federation", the registered Ministry of Justice of the Russian Federation on April 16, 2018 No. 50779, the order of the Ministry of Finance of the Russian Federation of June 4, 2018 No. 125n "About introduction of the document of International accounting standards in action in the territory of the Russian Federation", the registered Ministry of Justice of the Russian Federation on June 21, 2018 No. 51396, the order of the Ministry of Finance of the Russian Federation of September 16, 2019 No. 146n "About introduction of the document of International accounting standards "Editorial corrections in IFRS" in action in the territory of the Russian Federation", the registered Ministry of Justice of the Russian Federation on October 9, 2019 No. 56187, the order of the Ministry of Finance of the Russian Federation of April 7, 2020 No. 55n "About introduction of the document of International accounting standards "Reform of benchmark interest rate (Amendments to IFRS (IFRS) 9, of IFRS (IAS) 39 and IFRS (IFRS) 7)" in action in the territory of the Russian Federation", the registered Ministry of Justice of the Russian Federation on July 3, 2020 No. 58832, and (or) consists within the transactions of hedging determined according to Item 5 of article 301 of the Tax Code of the Russian Federation (The Russian Federation Code, 2000, No. 32, of Art. 3340; 2016, No. 27, Art. 4175).

9. The register of agreements which maintaining is performed by repository consists of three Sections and is kept electronically on condition of possibility of provision of information containing in it on papers.

10. Record about the message containing information on the agreement received by repository specified in Item of 1 this Instruction, and (or) the general agreement is made to Section 1 of the register of agreements (further - the message).

Record is made by repository no later than the working day following behind day of receipt of the message to Section 1 of the register of agreements.

11. Entry in Section 1 of the register of agreements shall contain:

the name of the message and the sequence number assigned to it is consecutive on registration time (the entering number);

date and time of entering into Section 1 of the register of agreements of record about the message;

sequence number (reference number) and date of departure of the message (in the presence);

reference number of the answer (in the presence) to the received message and date of its provision.

12. The record containing information according to tables 1 and 2 of appendix 1 to this Instruction and also the record containing information relating to the corresponding agreement type according to tables 3 - the 8th appendices 1 and to appendices 2 - 7 to this Instruction is made to Section 2 of the register of agreements.

Entering of record into Section 2 of the register of agreements is performed by repository no later than the working day following behind day of receipt of the message.

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