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Ministry of Justice

Russian Federation

On February 15, 2017 No. 45649

PROVISION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of December 27, 2016 No. 572-P

About requirements to implementation of activities for maintaining the register of owners of securities

(as amended of the Instruction of the Central bank of the Russian Federation of 08.06.2021 No. 5812-U)

This Provision based on the paragraph of the sixth Item 1, Item 3. 11, item 4 of Article 8, 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. 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, the Art. 4225) (further - the Federal Law "About the Security Market"), the subitem 3 of Item 2 of article 55 of the Federal Law of November 29, 2001 No. 156-FZ "About investment funds" (The Russian Federation Code, 2001, No. 49, Art. 4562; 2004, No. 27, Art. 2711; 2006, No. 17, Art. 1780; 2007, No. 50, Art. 6247; 2008, No. 30, Art. 3616; 2009, No. 48, Art. 5731; 2010, No. 17, Art. 1988; No. 31, Art. 4193; 2011, No. 48, Art. 6728; No. 49, Art. 7040, Art. 7061; 2012, No. 31, Art. 4334; 2013, No. 26, Art. 3207; No. 27, Art. 3477; No. 30, Art. 4084; No. 51, Art. 6695, Art. 6699; 2014, No. 11, Art. 1098; 2015, No. 27, Art. 4001; No. 29, Art. 4357; 2016, No. 1, Art. 47; No. 23, Art. 3301; No. 27, 4225) (further - the Federal Law "About Investment Funds") establishes the Art.:

requirements to implementation of activities for maintaining the register of owners of securities (further - the register), including requirements to document registration, to maintaining the register, to protection and storage of records and documents, to creation of lists of owners of investment shares of mutual investment funds and hypothecation certificates of participation;

requirements to rules of maintaining the register, including requirements to rules of maintaining the register of owners of investment shares;

procedure and terms of transfer of the register and the documents connected with maintaining the register, to the holder of the register specified by the issuer (person obliged on securities) in case of termination of the contract on maintaining the register, and also the list of the specified documents.

Chapter 1. General provisions

1.1. When maintaining the register the holder of the register will organize system of accounting of the documents relating to maintaining the register, 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 availability of record about any document relating to maintaining the register or the document connected taking into account and transition of the rights to securities which were received or directed by the holder of the register.

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