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It is registered

Ministry of Justice

Russian Federation

On December 16, 2016 No. 44777

INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of November 3, 2016 No. 4177-U

About contents of the reporting of credit rating agency, form, terms and procedure for its creation and submission to the Bank of Russia

This Instruction based on Item 9 of part 1 of article 15 of the Federal Law of July 13, 2015 No. 222-FZ "About activities of credit rating agencies in the Russian Federation, about modification of article 76.1 of the Federal law "About the Central Bank Russian Federation (Bank of Russia)" and recognition voided separate provisions of legal acts of the Russian Federation" (The Russian Federation Code, 2015, No. 29, the Art. 4348) and article 76.6 of the Federal Law of July 10, 2002 No. 86-FZ "About the Central bank the Russian Federation (Bank of Russia)" (The Russian Federation Code, 2002, No. 28, Art. 2790; 2003, No. 2, Art. 157; No. 52, Art. 5032; 2004, No. 27, Art. 2711; No. 31, Art. 3233; 2005, No. 25, Art. 2426; No. 30, Art. 3101; 2006, No. 19, Art. 2061; No. 25, Art. 2648; 2007, No. 1, Art. 9, Art. 10; No. 10, Art. 1151; No. 18, Art. 2117; 2008, No. 42, Art. 4696, Art. 4699; No. 44, Art. 4982; No. 52, Art. 6229, Art. 6231; 2009, No. 1, Art. 25; No. 29, Art. 3629; No. 48, Art. 5731; 2010, No. 45, Art. 5756; 2011, No. 7, Art. 907; No. 27, Art. 3873; No. 43, Art. 5973; No. 48, Art. 6728; 2012, No. 50, Art. 6954; No. 53, Art. 7591, Art. 7607; 2013, No. 11, Art. 1076; No. 14, Art. 1649; No. 19, Art. 2329; No. 27, Art. 3438, Art. 3476, Art. 3477; No. 30, Art. 4084; No. 49, Art. 6336; No. 51, Art. 6695, Art. 6699; No. 52, Art. 6975; 2014, No. 19, Art. 2311, Art. 2317; No. 27, Art. 3634; No. 30, Art. 4219; No. 40, Art. 5318; No. 45, Art. 6154; No. 52, Art. 7543; 2015, No. 1, Art. 4, Art. 37; No. 27, Art. 3958, Art. 4001; No. 29, Art. 4348, Art. 4357; No. 41, Art. 5639; No. 48, Art. 6699; 2016, No. 1, Art. 23, Art. 46, Art. 50; No. 26, Art. 3891; No. 27, of the Art. 4225, of the Art. 4273, of the Art. 4295) establishes contents of the reporting of credit rating agency, form, terms and procedure for its creation and submission to the Bank of Russia (appendix to this Instruction).

1. The reporting of credit rating agency is submitted in the Bank of Russia in electronic form with the strengthened qualified digital signature according to requirements of the Instruction of the Bank of Russia of December 21, 2015 to No. 3906-U "About order of interaction of the Bank of Russia with not credit financial credit institutions and other participants of information exchange when using of information resources of the Bank of Russia, including private office by them, and also procedure and terms of the direction other participants of information exchange of the notification on use or notifications on refusal of use of private office", No. 41289 registered by the Ministry of Justice of the Russian Federation on March 1, 2016 ("the Bulletin of the Bank of Russia" of March 16, 2016 No. 26), taking into account the features established by this Instruction.

2. The reporting of credit rating agency for the first quarter, the first half of the year, nine months, calendar year is submitted in the Bank of Russia together with the accounting (financial) records of credit rating agency for the corresponding periods constituted according to the Provision of the Bank of Russia of February 3, 2016 No. 532-P "Industry standard of the financial accounting "Procedure for Creation of Accounting (Financial) Records of Professional Participants of the Security Market, Joint-stock Investment Funds, Organizers of Trade, Central Partners, Clearing Organizations, Specialized Depositaries of Investment Fund, Mutual Investment Fund and Non-state Pension Fund, Managing Companies of Investment Fund, Mutual Investment Fund and Non-state Pension Fund, Bureau of Credit Histories, Credit Rating Agencies, Insurance Brokers" the registered Ministry of Justice of the Russian Federation on March 2, 2016 No. 41299 ("the Bulletin of the Bank of Russia" of March 25, 2016 No. 29-30).

3. The electronic document containing the reporting of credit rating agency and the accounting (financial) records of credit rating agency represented together with it (further - the reporting), is signed by the strengthened qualified digital signature of person performing functions of sole executive body of credit rating agency (person who is temporarily fulfilling its duties).

If the reporting is signed by the strengthened qualified digital signature of person, the acting as person performing functions of sole executive body of credit rating agency the electronic copy of the document on appointment of the acting as is attached to the reporting.

4. In case of detection of mistakes by credit rating agency in the reporting which is earlier provided to the Bank of Russia the corrected reporting shall be sent to the Bank of Russia within three working days from the date of identification of mistakes. When forming the electronic document with the corrected reporting sent to the Bank of Russia, the reporting for other accounting periods does not join in it. In case of detection of mistakes in the reporting provided for several accounting periods to the Bank of Russia, each corrected reporting goes to the Bank of Russia the separate electronic document.

The electronic document containing the corrected reporting shall contain also explanations with the list of incorrect measure values and the description of the reasons of their reflection.

5. This Instruction is subject to official publication and according to the solution of the Board of directors of the Bank of Russia (the minutes of the Board of directors of the Bank of Russia of October 28, 2016 No. 30) become effective since January 1, 2017.

The reporting of credit rating agency is constituted and it is represented in the Bank of Russia starting with the reporting for the corresponding period of 2017.

Chairman of the Central bank of the Russian Federation

E. S. Nabiullina

Appendix

to the Instruction of the Bank of Russia of November 3, 2016 No. 4177-U "About contents of the reporting of credit rating agency, form, terms and procedure for its creation and submission to the Bank of Russia"

 


Sequence number of entry in the register of credit rating agencies

Territory code under RCATU

Identification Taxpayer Number (ITN)

Primary State Registration Number (PSRN)






 

The activities report of credit rating agency as of "__" _______________ ____.

 

Full trade name of credit rating agency ___________

 

                                                 Form code on OKUD 0420880

 

                                         On irregular basis (Monthly)

                                     (Quarter) (Semi-annual) (Annual)

 

Section 1. General information about credit rating agency

 

Line number

Type of data

Content

1

2

3

1

Full trade name


2

The reduced trade name (in the presence)


3

Sequence number of record about credit rating agency in the register of credit rating agencies


4

Identification Taxpayer Number (ITN)


5

Primary State Registration Number (PSRN)


6

Code under the All-Russian Classifier of Enterprises and Organizations (RCBO)


7

Code of type of activity under the All-Russian Classifier of Economic Activities (ARCEA)


8

The location according to the charter


9

Territory code on the All-Russian qualifier of subjects to administrative-territorial division (RCATU)


10

Actual address


11

The address of the official site of credit rating agency on the Internet


 

Section 2. Data on separate divisions of credit rating agency

 

Line number

Full name of separate division

Date of opening of separate division

Registration country code on OKSM

Actual location of separate division

Surname, name and (in the presence) middle name of the head of separate division

The actual number of workers on reporting date, persons.

E-mail address

Phone number

Types of the rendered services

1

2

3

4

5

6

7

8

9

10

1










2






























 

Section 3. Information about founders (shareholders, participants) of credit rating agency

Subsection 3.1. General information about founders (shareholders, participants) - legal entities

 

Line number

Full name of the legal entity

INN or TIN

PSRN

Registration country code on OKSM

Location (address)

Code of type of activity under RCEAP

Share in the authorized capital of credit rating agency, %

by the end of the reporting period

for the beginning of the accounting period

1

2

3

4

5

6

7

8

9

1









1.1









1.2









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