INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of April 26, 2016 No. 4004-U

About procedure for maintaining the register of members of self-regulatory organization in the sphere of the financial market

This Instruction based on part 5 of article 12 of the Federal Law of July 13, 2015 No. 223-FZ "About self-regulatory organizations in the sphere of the financial market" (further - the Federal Law) establishes procedure for maintaining the register of members of self-regulatory organization in the sphere of the financial market (further - the Register).

1. The register is kept by self-regulatory organization in the sphere of the financial market (further - self-regulatory organization) in electronic form.

2. The register contains the data provided by appendix to this Instruction concerning each member accepted in self-regulatory organization.

3. The basis for entering into the Register of information about the legal entity and (or) the individual entrepreneur performing the types of activity provided by part 1 of article 3 of the Federal Law (further - the financial organization), is:

the made decision of permanent collegiate organ of management of self-regulatory organization on acceptance of the financial organization in members of self-regulatory organization;

obtaining by person accepted by self-regulatory organization in alternate members of self-regulatory organization (further - the candidate), licenses (permission) or entering of information about him into the state register of the financial organizations performing the corresponding type of activity.

4. Entering of data into the Register with assignment of the financial organization of registration number in the Register is performed by self-regulatory organization no later than three working days following behind day of the decision making specified in Item 3 presents of the Instruction or behind day of acceptance of the alternate member of self-regulatory organization according to part 8 of article 10 of the Federal Law or no later than three working days following behind day of entering of data on non-profit organization into the unified register of self-regulatory organizations.

5. Change of the data containing in the Register is performed by self-regulatory organization no later than three working days following behind day of receipt in self-regulatory organization of the notification from the member of self-regulatory organization on modification of the information about him containing in the Register with application of documents, the corresponding data confirming change.

6. Data about performed by self-regulatory organization concerning the member are entered in the Register no later than 14 working days following behind day of signing (approval) of the relevant act of results of the activities of the member performed by self-regulatory organization.

7. The data on application of measures by self-regulatory organization concerning the member provided in the lines 7.1, 7. 2, 13.1 and 13.2 appendices to this Instruction, are entered in the Register no later than 14 working days following behind day of decision making about application of measure concerning the member of self-regulatory organization.

Data on execution (non-execution) by the member of self-regulatory organization of the measure applied by self-regulatory organization concerning such member are entered in the Register no later than 14 working days following behind day of origin or change of information on such data at self-regulatory organization.

8. Data on the termination of membership of the financial organization in self-regulatory organization are entered in the Register according to the procedure and terms, the stipulated in Clause 11 Federal Laws.

9. Information on entering of information about the member of self-regulatory organization into the Register, including on modification of the data containing in the Register, with indication of date of introduction of such data goes to the member of self-regulatory organization by the method providing assurance of receipt of such message no later than the working day following behind day of entering of data into the Register.

10. Methods of storage of information on accounting of the changes made to the data containing in the Register shall provide possibility of recovery of the temporary sequence of events and actions of users for modification of the data containing in the Register, and also possibility of establishment of persons which made these changes.

11. The self-regulatory organization shall provide maintenance of the Register in urgent condition, possibility of recovery of information from the Register, and also to exclude emergence of conditions for its spoil, loss, infection with malicious codes, unauthorized change or access for unauthorized persons to change of information containing in the Register.

12. Determination of methods and means on ensuring information security during creation, maintaining and storage of the Register is performed by self-regulatory organization independently, except as specified, when requirements to the specified methods and means concerning certain information are determined by the legislation of the Russian Federation, including the legislation of the Russian Federation on personal data.

13. The data containing in the Register are represented by self-regulatory organization on requests of legal entities and physical persons in which are specified: full name, the location, contact telephone number, the postal address, the e-mail address of the organization, surname, name, middle name (in the presence) the head of the organization sending inquiry (for requests of legal entities), surname, name, middle name (in the presence), the postal address, the e-mail address of the physical person sending inquiry (for requests of physical persons), method of receipt of the statement from the Register, and also the complete and reduced (in the presence) name of the member of self-regulatory organization concerning which data are requested.

14. The data containing in the Register are presented by self-regulatory organization in the statement form from the Register which is confirming the data containing in the Register for date of the statement, and including:

date of its issue;

date as of which data from the Register are represented;

information about person to which the statement is issued (surname, name, middle name (in the presence) physical person or the name of the legal entity and surname, name, middle name (in the presence) his representative);

the information about the member of self-regulatory organization represented from the Register;

the signature of person which provided the statement with indication of completely its surname, name, middle name (in the presence), and also post;

the paragraph of the seventh ceased to be valid according to the Instruction of the Central bank of the Russian Federation of 29.03.2024 No. 6706-U

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