INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of February 7, 2017 No. 4281-U

About procedure for transfer of self-regulatory organization by the Bank of Russia in the sphere of the financial market of powers on receipt of the reporting from members of self-regulatory organization in the sphere of the financial market, procedure of delegated powers, procedure and the bases of their termination, and also the list of the reporting which powers on obtaining can be delegated by the Bank of Russia of self-regulatory organization in the sphere of the financial market

This Instruction based on article 7 of the Federal Law of July 13, 2015 No. 223-FZ "About self-regulatory organizations in the sphere of the financial market" (The Russian Federation Code, 2015, No. 29, Art. 4349; No. 27, the Art. 4225) (further - the Federal Law of July 13, 2015 No. 223-FZ) establishes 2016,:

the list of the reporting of members of self-regulatory organization in the sphere of the financial market (further - self-regulatory organization) which powers on obtaining can be delegated by the Bank of Russia of self-regulatory organization (appendix 1 to this Instruction) (further - the reporting);

procedure for transfer of self-regulatory organization of powers by the Bank of Russia on receipt of the reporting;

procedure self-regulatory organization of delegated powers on receipt of the reporting;

procedure and the bases of the termination of the powers delegated to self-regulatory organization on receipt of the reporting.

1. For the purpose of this Instruction interaction of self-regulatory organization and Bank of Russia is performed by means of use of the information resources posted on the official site of the Bank of Russia on the Internet according to the Instruction of the Bank of Russia of December 21, 2015 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", the registered Ministry of Justice of the Russian Federation on March 1, 2016 No. 41289 (further - the Instruction of the Bank of Russia No. 3906-U).

2. For the purpose of acquisition of powers on receipt of the reporting from the members of self-regulatory organization constituting and representing the reporting by the form to the self-regulatory organization of the activities specified regarding 1 article 3 of the Federal Law of July 13, 2015 to No. 223-FZ performed by the member (further - the member of self-regulatory organization constituting and representing the reporting), the self-regulatory organization together with the written address sends the following documents to the Bank of Russia.

2.1. The estimate specified in Item 6 of part 7 of article 3 of the Federal Law of July 13, 2015 to No. 223-FZ.

2.2. Internal (internal) the document (documents) containing (containing) following provisions:

the creation determining procedure (procedures) and terms of submission to self-regulatory organization of the reporting according to requirements of regulations of the Bank of Russia according to which the creation and submission of the reporting to the Bank of Russia (further - regulations of the Bank of Russia about the reporting) (appendix 1 to this Instruction) including determining obligation of the members of self-regulatory organization constituting and representing the reporting is performed to represent the reporting since the accounting period following the period in which the stipulated in Item 8 these Instructions the notification of the Bank of Russia on delegation of power on receipt of the reporting are received;

determining procedure self-regulatory organization of the verification of the reporting, and also identification of violations provided by subitem 11.1 of Item 11 of this Instruction regarding creation and submission of the reporting to self-regulatory organization;

determining the notification procedure of the members of self-regulatory organization constituting and representing the reporting about delegated powers by receipt of the reporting in time no later than 3 working days from the date of receipt of the notification of the Bank of Russia on transfer of power on receipt of the reporting.

2.3. The documents confirming availability at self-regulatory organization of the software allowing self-regulatory organization to perform delegated powers on receipt of the reporting (further - the software).

2.4. The documents confirming availability in organizational and regular structure of self-regulatory organization at least six workers to whose job responsibilities implementation of functions within realization of delegated powers by self-regulatory organization on receipt of the reporting according to requirements of this Instruction, and also in the scanned type in the *.pdf format of the copy of job descriptions of these workers belongs.

3. The decision on transfer of powers to self-regulatory organization on receipt of the reporting or the decision on refusal in transfer of powers to self-regulatory organization on receipt of the reporting is made by Committee of financial supervision of the Bank of Russia by results of consideration of documents, the stipulated in Item 2 presents of the Instruction, the documents submitted according to paragraph one of item 4 of this Instruction, and also the report, stipulated in Item 7 these Instructions not later than in 90 days from the date of submission to the Bank of Russia of documents, the stipulated in Item 2 presents of the Instruction.

4. The Bank of Russia within 30 days from the date of submission to the Bank of Russia of the documents specified in Item 2 presents of the Instruction in case of identification of violations of requirements to document creation and (or) to completeness of documents sends inquiry of self-regulatory organization for submission of the missing and (or) properly processed documents with indication of the revealed violations, and in case of need submissions of the additional information and documents for establishment of reliability of the documents submitted by self-regulatory organization within this Instruction to the Bank of Russia - for submission of the additional information and documents (further - request about submission of documents). Term for submission to the Bank of Russia of documents specified in request about submission of the additional information and documents shall not exceed 20 days from the date of its obtaining by self-regulatory organization.

From the date of receipt of request by self-regulatory organization about submission of documents the term of consideration of documents specified in Item 3 presents of the Instruction stops about day of submission to the Bank of Russia of the documents requested according to this Item.

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