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Ministry of Justice

Russian Federation

On June 29, 2016 No. 42678

PROVISION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of May 13, 2016 No. 542-P

About requirements to implementation of depository activity when forming records based on the documents relating to conducting depositary accounting, and also the documents connected taking into account and transition of the rights to securities, and in case of storage of the specified documents

(as amended of the Instruction of the Central bank of the Russian Federation of 27.09.2022 No. 6265-U)

This Provision according to Item 3 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") establishes requirements to implementation of depository activity when forming records based on the documents relating to conducting depositary accounting, and also the documents connected taking into account and transition of the rights to securities, and in case of storage of the specified documents.

Chapter 1. General provisions

1.1. The depositary will organize system of accounting of the documents relating to conducting depositary accounting, and also the documents connected taking into account and transition of the rights to securities (further - system of accounting of documents), according to requirements of this provision.

1.2. The system of accounting of documents shall provide possibility of access to records about the documents relating to conducting depositary accounting or the documents connected taking into account and transition of the rights to securities which were created, received or directed by depositary.

1.3. The depositary performs maintaining the accounting registers containing data on its depositors.

1.4. Records are brought in the accounting register specified in Item 1.3 of this provision based on the questionnaire of the depositor or documents on modification of the questionnaire of the depositor signed by the depositor or, in case of confirmation of appropriate authority, his representative.

Entries in the accounting register specified in Item 1.3 of this provision shall contain the data allowing to identify the depositor, including the data provided for representation of the register of owners of securities to the holder when opening the corresponding personal account and also bank account details on which the income and (or) payments for securities and (or) the digital rights will be listed.

1.5. In addition to the documents specified in Item 1.4 of this provision, in the cases provided by the depositary agreement, records can be brought in the accounting register specified in Item 1.3 of this provision based on the following documents containing data on depositors of depositary:

the documents received from the Unified State Register of Legal Entities, and concerning the foreign legal entity - from the trade register or other accounting register of the state in which such legal entity is registered;

the documents received by depositary from depositors when rendering other services to depositors or when carrying out their identification provided by 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; 2014, No. 19, Art. 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).

1.6. The depositary performs maintaining the accounting registers containing records about securities concerning which it renders services in accounting of the rights, according to the internal documents approved by it. Such records shall contain the data allowing to identify the specified securities.

Records about the issued securities considered on the custody account of digital financial assets opened according to part 4 of article 12 of the Federal Law of July 31, 2020 for No. 259-FZ "About digital financial assets, digital currency and about modification of separate legal acts of the Russian Federation" (The Russian Federation Code, 2020, No. 31, Art. 5018), also shall contain the data allowing to identify digital financial assets, providing possibility of implementation of the rights on such issued securities, including specified in Item 1.6 (1) this provision.

1.6 (1). The depositary performs maintaining the accounting registers containing records about the digital rights concerning which it renders services in accounting. Such records shall contain:

1.6 (1).1. The information about person who issued the digital financial assets which accounting performs depositary containing in the decision on release of digital financial assets:

for physical person - surname, name, middle name (the last - in the presence), the residence, data on registration as the individual entrepreneur (the primary state registration number of record about state registration of the individual entrepreneur, the place and registration date), the address of the official site on the Internet, details (number, date) of the decision on release of digital financial assets (in the presence) and other data allowing to identify digital financial assets in accordance with the terms of implementation of depository activity;

for the legal entity - full name, the address within the location specified in the Unified State Register of Legal Entities, data on state registration (the primary state registration number and date of its assignment), the address of the official site on the Internet, details (number, date) of the decision on release of digital financial assets (in the presence) and other data allowing to identify digital financial assets in accordance with the terms of implementation of depository activity.

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