INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of December 28, 2016 No. 4256-U

About provision by organizers of trade, the clearing organizations and the central partners in Federal Service for Financial Monitoring of information provided by the Federal Law "About Counteraction of Legalization (Washing) of Income Gained in the Criminal Way and to Terrorism Financing"

According to article 7.1-1 of 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; No. 26, Art. 3860, Art. 3884; No. 27, Art. 4196, Art. 4221; No. 28, the Art. 4558) (further - the Federal Law No. 115-FZ), 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) this Instruction establishes procedure and amount of provision by persons rendering services in carrying out the organized biddings in the commodity and (or) financial markets based on the license of the exchange or the license of trade system (further - organizers of trade), at the request of Rosfinmonitoring of information on bidders and their clients, about the applications submitted by them and agreements signed by them, procedure and amount of provision by persons having the right to perform clearing activities based on the license for implementation of clearing activities (further - the clearing organizations), the persons which are the central partners or performing in accordance with the legislation of the Russian Federation functions of the central partner (further - the central partners) at the request of Rosfinmonitoring of information on participants of clearing, about activities for rendering clearing services according to the rules of clearing approved by the clearing organization, and also the notification procedure by organizers of trade, the clearing organizations, the central partners of Rosfinmonitoring about availability at them good causes to believe that the relevant contracts (services) are signed or can consist (to appear) for the purpose of legalization (washing) of income gained in the criminal way or terrorism financing.

1. The organizer of trade, the clearing organization, the central partner in case of receipt of requests of Rosfinmonitoring about provision of information provided by Items 1 and 2 of article 7.1-1 of the Federal Law No. 115-FZ (further - required information), no later than the term determined by Item 3 presents of the Instruction provide in Rosfinmonitoring required information in document type (electronic images of paper documents) according to appendix 1 to this Instruction (further - documents) with appendix of the cover letter including the data provided by appendix 2 to this Instruction (further - the cover letter).

2. Documents are provided with the cover letter signed by person performing functions of sole executive body of the organizer of trade, the clearing organization, the central partner, or the authorized representative of the organizer of trade, the clearing organization, the central partner on the paper and magnetic, optical or digital carrier by the direction of the registered mail with the assurance of receipt or representation to couriers is direct in Rosfinmonitoring.

In case of provision of copies of paper documents the copy of each leaf shall bear text "True copy" and to be certified by the signature of person performing functions of sole executive body of the organizer of trade, the clearing organization, the central partner, or the authorized representative of persons listed in this paragraph (with application of a copy of the document confirming it powers) with indication of date of assurance of the corresponding copy, and also impress of a seal of the organizer of trade, the clearing organization, the central partner (in the presence of seal).

By provision of copies of paper documents in the form of the sewed sheets of the copy of documents shall be numbered, assured by the signature of person performing functions of sole executive body of the organizer of trade, the clearing organization, the central partner, or the authorized representative (with application of a copy of the document confirming it powers) the organizer of trade, the clearing organization, the central partner and are under seal the organizer of trade, the clearing organization, the central partner (in the presence of seal).

In case of lack of the relevant documents at the organizer of trade, the clearing organization, the central partner the cover letter shall include motivated explanation of the reasons of their absence.

3. Provision of required information is performed by organizers of trade, the clearing organizations, the central partners by the direction of the registered mail with the assurance of receipt or representation to couriers is direct in Rosfinmonitoring no later than five working days following behind day of receipt of request of Rosfinmonitoring registered according to the order of registration of incoming documents established by the organizer of trade, the clearing organization, the central partner if other, longer term is not established in request of Rosfinmonitoring.

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