INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of July 10, 2017 No. 4455-U

About approval of the Program of qualification examination for certification of citizens in field of activity on maintaining the register of owners of securities

1. According to Item 14 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, Art. 4225; 2017, No. 25, Art. 3592; "The official Internet portal of legal information" (www.pravo.gov.ru), on June 30, 2017) (further - the Federal Law "About the Security Market") the Bank of Russia approves the program of qualification examination for certification of citizens in field of activity on maintaining the register of owners of securities (appendix to this Instruction).

2. This Instruction becomes effective after 10 days after day of its official publication.

3. From the date of entry into force of this Instruction not to apply the order of FFMS of Russia of April 3, 2012 No. 12-19/pz-n "About approval of the Program of specialized qualification examination for specialists of the financial market in maintaining the register of owners of securities (examination of the third series)", No. 24145 registered by the Ministry of Justice of the Russian Federation on May 14, 2012.

Appendix

to the Instruction of the Bank of Russia of July 10, 2017 No. 4455-U "About approval of the program of qualification examination for certification of citizens in field of activity on maintaining the register of owners of securities"

The program of qualification examination for certification of citizens in field of activity on maintaining the register of owners of securities

Chapter 1. Activities for maintaining the register of owners of securities and feature of its implementation

Subject 1.1. Activities for maintaining the register of owners of securities

The basic concepts used in the legislation regulating activities for maintaining the register of owners of securities (further - the register).

Requirements to implementation of activities for maintaining the register. Prohibition on combination of activities for maintaining the register with other types of professional activity in the security market.

Requirements to the holder of the register performing maintaining the register of the economic societies having strategic importance for defense industry complex and safety of the Russian Federation, and also societies which are under their direct or indirect control.

The services provided by the holder of the register to the issuer (person obliged on securities). The rights and obligations of the holder of the register, the issuer (person obliged on securities), registered persons. Rules of maintaining register. Features of the contract for maintaining the register.

Responsibility of the holder of the register when implementing activities for maintaining the register. Cases of emergence of joint liability of the holder of the register and the issuer (person obliged on securities).

Subject 1.2. The services of the holder of the register rendered within the licensed activities

Services as the issue, repayment agent and exchange of investment shares, the stipulated in Article 27 Federal Laws 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, Art. 4225, Art. 4294; 2017, No. 18, Art. 2661), or services transfer agent, stipulated in Article 8.1 Federal Laws "About the Security Market". Rights and obligations transfer agent, issue, repayment agent and exchange of investment shares.

Services in rendering assistance in implementation of the rights in securities.

Services in the organization, convocation and holding general meetings of owners of securities, including in accomplishment of functions of counting board.

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