INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of July 12, 2017 No. 4464-U

About procedure and technique of carrying out the analysis of financial position of bank for the solution of question of participation of the Bank of Russia in implementation of measures for the prevention of bankruptcy or settlement of obligations of bank

This Instruction based on Item 6 of article 189.47 of the Federal Law of October 26, 2002 No. 127-FZ "About insolvency (bankruptcy)" (The Russian Federation Code, 2002, No. 43, Art. 4190; 2004, No. 35, Art. 3607; 2005, No. 1, Art. 18, Art. 46; No. 44, Art. 4471; 2006, No. 30, Art. 3292; No. 52, Art. 5497; 2007, No. 7, Art. 834; No. 18, Art. 2117; No. 30, Art. 3754; No. 41, Art. 4845; No. 49, Art. 6079; 2008, No. 30, Art. 3616; No. 49, Art. 5748; 2009, No. 1, Art. 4, Art. 14; No. 18, Art. 2153; No. 29, Art. 3632; No. 51, Art. 6160; No. 52, Art. 6450; 2010, No. 17, Art. 1988; No. 31, Art. 4188, Art. 4196; 2011, No. 1, Art. 41; No. 7, Art. 905; No. 19, Art. 2708; No. 27, Art. 3880; No. 29, Art. 4301; No. 30, Art. 4576; No. 48, Art. 6728; No. 49, Art. 7015, Art. 7024, Art. 7040, Art. 7061, Art. 7068; No. 50, Art. 7351, Art. 7357; 2012, No. 31, Art. 4333; No. 53, Art. 7607, Art. 7619; 2013, No. 23, Art. 2871; No. 26, Art. 3207; No. 27, Art. 3477, Art. 3481; No. 30, Art. 4084; No. 51, Art. 6699; No. 52, Art. 6975, Art. 6984; 2014, No. 11, Art. 1095, Art. 1098; No. 30, Art. 4217; No. 49, Art. 6914; No. 52, Art. 7543; 2015, No. 1, Art. 10, Art. 11, Art. 29, Art. 35; No. 27, Art. 3945, Art. 3958, Art. 3967, Art. 3977; No. 29, Art. 4350, Art. 4355, Art. 4362; 2016, No. 1, Art. 11, Art. 27, Art. 29; No. 23, Art. 3296; No. 26, Art. 3891; No. 27, Art. 4225, Art. 4237, Art. 4293, Art. 4305; 2017, No. 1, Art. 29; No. 18, Art. 2661; No. 25, of the Art. 3596) (further - the Federal Law "About Insolvency (Bankruptcy)") establishes procedure and technique of carrying out the analysis of financial position of bank (further - the analysis) for the solution of question of participation of the Bank of Russia in implementation of measures for the prevention of bankruptcy or settlement of obligations of bank.

Chapter 1. General provisions

1.1. According to article 189.47-1 of the Federal law "About Insolvency (Bankruptcy)" the analysis is carried out by bank representatives of Russia whose part of group representatives of "Managing Company of Fund of Consolidation of Banking Sector" limited liability company can be (further - Managing company) (further - representatives).

1.2. The representative shall not:

be the owner (owner) of shares (shares) of bank concerning which it is supposed to carry out the analysis (further - the estimated bank) and also person rendering indirectly (through the third parties) considerable influence on the decisions made by governing bodies of the estimated bank (for the purpose of this Instruction considerable influence is understood in the value determined in article 4 of the Federal law "About Banks and Banking Activity" (in edition of the Federal Law of February 3, 1996 No. 17-FZ) (Sheets of the Congress of People's Deputies of RSFSR and the Supreme Council of RSFSR, 1990, No. 27, Art. 357; Russian Federation Code, 1996, No. 6, Art. 492; 1998, No. 31, Art. 3829; 1999, No. 28, Art. 3459, Art. 3469; 2001, No. 26, Art. 2586; No. 33, Art. 3424; 2002, No. 12, Art. 1093; 2003, No. 27, Art. 2700; No. 50, Art. 4855; No. 52, Art. 5033, Art. 5037; 2004, No. 27, Art. 2711; No. 31, Art. 3233; 2005, No. 1, Art. 18, Art. 45; No. 30, Art. 3117; 2006, No. 6, Art. 636; No. 19, Art. 2061; No. 31, Art. 3439; No. 52, Art. 5497; 2007, No. 1, Art. 9; No. 22, Art. 2563; No. 31, Art. 4011; No. 41, Art. 4845; No. 45, Art. 5425; No. 50, Art. 6238; 2008, No. 10, Art. 895; 2009, No. 1, Art. 23; No. 9, Art. 1043; No. 18, Art. 2153; No. 23, Art. 2776; No. 30, Art. 3739; No. 48, Art. 5731; No. 52, Art. 6428; 2010, No. 8, Art. 775; No. 27, Art. 3432; No. 30, Art. 4012; No. 31, Art. 4193; No. 47, Art. 6028; 2011, No. 7, Art. 905; No. 27, Art. 3873, Art. 3880; No. 29, Art. 4291; No. 48, Art. 6730; No. 49, Art. 7069; No. 50, Art. 7351; 2012, No. 27, Art. 3588; No. 31, Art. 4333; No. 50, Art. 6954; No. 53, Art. 7605, Art. 7607; 2013, No. 11, Art. 1076; No. 19, Art. 2317, Art. 2329; No. 26, Art. 3207; No. 27, Art. 3438, Art. 3477; No. 30, Art. 4084; No. 40, Art. 5036; No. 49, Art. 6336; No. 51, Art. 6683, Art. 6699; 2014, No. 6, Art. 563; No. 19, Art. 2311; No. 26, Art. 3379, Art. 3395; No. 30, Art. 4219; No. 40, Art. 5317, Art. 5320; No. 45, Art. 6144, Art. 6154; No. 49, Art. 6912; No. 52, Art. 7543; 2015, No. 1, Art. 37; No. 17, Art. 2473; No. 27, Art. 3947, Art. 3950; No. 29, Art. 4355, Art. 4357, Art. 4385; No. 51, Art. 7243; 2016, No. 1, Art. 23; No. 15, Art. 2050; No. 26, Art. 3860; No. 27, Art. 4294, Art. 4295; 2017, No. 14, Art. 2000; No. 18, Art. 2661, Art. 2669; No. 25, Art. 3596);

have contractual relations with the estimated bank;

have family or related relations (the spouses, parents, children including adopted adoptive parents, brothers, sisters, grandfathers, grandmothers, grandsons, and also the parents, children including adopted, adoptive parents, brothers, sisters, grandfathers, grandmothers, grandsons of spouses) with shareholders (participants) of the estimated bank to whose share more than one percent of shares (shares) fall;

have family or related relations with board members (supervisory board), person performing functions of sole executive body, his deputy, the member of collegiate executive body, the chief accountant and the deputy chief accountant, and also with division managers of the estimated bank if specified persons can exert considerable impact on the decisions made by governing bodies of the estimated bank.

1.3. The term of carrying out the analysis cannot exceed forty five calendar days from the date of presentation to heads (to persons, them replacing) the estimated bank of the order of the Bank of Russia on carrying out the analysis. The specified term can be extended by the Bank of Russia for ten calendar days based on the petition of Department of financial improvement of the Bank of Russia containing reasons for need of prolongation of term.

Chapter 2. Procedure and technique of carrying out analysis

2.1. The decision on carrying out the analysis is drawn up by the order of the Bank of Russia which is signed by the Chairman of the Bank of Russia (person, it replacing), or the First Deputy Chairman of the Bank of Russia who is the chairman of Committee of banking supervision of the Bank of Russia (person, it replacing), or other authorized vice-chairman of the Bank of Russia (person, it replacing).

2.2. The order of the Bank of Russia on carrying out the analysis shall contain:

complete the corporate and reduced corporate (in the presence) names of the estimated bank, the registration number assigned by the Bank of Russia, registration date, the location of the estimated bank, form of business of the estimated bank;

the name of the Federal Law and the reference to Article based on which the decision on carrying out the analysis is made;

start date of carrying out analysis;

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