INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of August 23, 2016 No. 4107-U

About procedure for disclosure (provision) for information by the issuer in case of replacement of the holder of the register of owners of securities

This Instruction based on Item 3.15 of article 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, of the Art. 4225) (further - the Federal Law "About the Security Market") establishes procedure for disclosure (provision) for information by the issuer in case of replacement of the holder of the register of owners of securities (further respectively - the holder of the register, the register).

1. In case of replacement of the holder of the register the issuer shall open information on it in the form of the message on replacement of the holder of the register and the message on start date of maintaining the register by the new holder of the register. If total number of owners of personalized bank entry securities of the issuer (further - owners of securities) is not exceeded 50, by the issuer to the owners of securities having the right to provide such information instead of disclosure in the form of the message on replacement of the holder of the register and the message on start date of maintaining the register by the new holder of the register.

2. Disclosure of the message on replacement of the holder of the register and message on start date of maintaining the register by the new holder of the register is performed by the issuer by their publication in the information resource updated in real time (further - news feed) and provided at least to one of accredited news agencies which carry out actions for disclosure of information on securities and about other financial instruments.

3. Provision of the message on replacement of the holder of the register and message on start date of maintaining the register by the new holder of the register to the owners of securities registered in the register is performed by the issuer by the direction of the corresponding messages the registered mail or deliveries under the signature if the different way of provision (direction) of messages to such owners of securities provided by rules of maintaining the register is not specified by these owners.

Provision of the message on replacement of the holder of the register and message on start date of maintaining the register by the new holder of the register to owners of securities whose rights to securities are considered by nominee holders, the foreign nominee holders or the foreign organizations having the right according to their personal law to perform accounting and transition of the rights to securities is performed by the issuer by transfer of the specified messages to the corresponding holder of the register for the direction to the nominee holders registered in the register according to requirements of Item 9 of article 8.9 of the Federal law "About the Security Market".

4. The message on replacement of the holder of the register and the message on start date of maintaining the register by the new holder of the register reveal (are submitted) no later than two working days from the date of the conclusion of the contract for maintaining the register and day of the beginning of maintaining the register by the new holder of the register respectively in time.

5. The message on replacement of the holder of the register shall contain the following data:

information on the issuer (the complete and reduced trade names, the location, the address, identification taxpayer number (further - INN), the primary state registration number (further - PSRN);

information on the holder of the register with whom it is stopped the contract for maintaining the register (the complete and reduced trade names, the location, the address, INN, PSRN) (stops);

the basis of termination of the contract on maintaining the register (agreement cancelation on maintaining the register by agreement of the parties; agreement cancelation on maintaining the register in case of unilateral refusal of the agreement (unilateral agreement cancelation); cancellation of the contract for maintaining the register in connection with the expiration of its action; cancellation of the contract for maintaining the register in connection with cancellation of license for activities on maintaining the register of owners of securities; other basis). If the authorized body of the issuer made the decision on termination of the contract on maintaining the register, the governing body of the issuer which made such decision and also date of its acceptance in addition is specified;

date of cancellation of the contract for maintaining the register signed with the holder of the register;

information on the new holder of the register (the complete and reduced trade names, the location, the address, INN, PSRN);

acceptance date the issuer of the decision on the conclusion of the contract with the new holder of the register, and also information on authorized body of management of the issuer which makes the decision on the conclusion of the contract with the new holder of the register;

date of the conclusion of the contract for maintaining the register with the new holder of the register.

6. The message on start date of maintaining the register by the new holder of the register shall contain the following data:

information on the issuer (the complete and reduced trade names, the location, the address, INN, PSRN);

information on the holder of the register with whom the contract for maintaining the register is signed (the complete and reduced trade names, the location, the address, INN, PSRN);

date with which maintaining the register by the new holder of the register is begun.

7. The messages specified in Item of 1 this Instruction are signed by the person holding position (performing functions) of sole executive body of the issuer, or other authorized person of the issuer.

8. The issuer has the right to change (to correct) earlier opened (provided) information containing in the message on replacement of the holder of the register or the message on start date of maintaining the register by the new holder of the register by disclosure (provision) of new (other) message which shall contain the following data:

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