Key Benefits:
RUSSIAN FEDERATION
FEDERAL LAW
About making changes to individual pieces of legislation
The Russian Federation in connection with the adoption of the Federal Law
O Central Depository
Adopted by the State Duma style="mso-spacerun:yes"> 17 November 2011
Approved by the Federation Council style="mso-spacerun:yes"> 29 November 2011
(in the [ [ Federal Law]] of the [ [ Federal Law]]) December 29, 2012 N 282-FZ-
Russian Law Assembly, 2012, N 53, st.
7607; Federal of the Law of 29 June 2015 N 210-FZ-Assembly
Russian legislation, 2015, 4001)
Article 1
To be included in the Federal Act of December 26, 1995 style="mso-spacerun:yes"> N 208-FZ
"About joint-stock companies"
Federation, 1996, N 1, st. 1; 2001, N 33, st. 3423; 2002, N 45, 4436; 2004, N 15, st. 1343; 2006, N 1, st. 5; N 2, est. 172; N31, article 3445; 2007, N 31, st. 4016; 2009, N 29, st. 3642; 2011, N1, st. 21) the following changes:
1) in paragraph 3 of Article 29 fourth clause
exclude; 2) in article 40, paragraph 2, third sentence, delete; 3) in article 42: (a) in the paragraph of the second 1 clause Words ", if does not provide Federal
;
b) in second paragraph 4, second sentence, delete;
4) ( 4) The style="mso-spacerun:yes"> was invalid under the Federal Act
December 29, 2012. N 282-FZ-Legislative Assembly Russian
Federation, 2012, N 53, sect. 7607)
5) ( 5) The style="mso-spacerun:yes"> was invalid under the Federal Act
June 29, 2015 N 210-FZ- Russian Law Collection
Federation, 2015, N 27, st. 4001)
6) (Point 6) The style="mso-spacerun:yes"> was invalid under the Federal Act
June 29, 2015 N 210-FZ- Russian Law Collection
Federation, 2015, N 27, st. 4001)
7) Article 51, paragraph 2, to be void.
Article 2
Commit to Federal Law from April 22 1996 N 39-FZ
About the Securities Market style="mso-spacerun:yes"> ( Russian law
Federation, 1996, N 17, st. 1918; 2001, N 33, sect. 3424; 2002, N 52,
s 5141; 2004, N 27, st. 2711; N 31, sect. 3225; 2005, N 11,
900; N 25, st. 2426; 2006, N 1, st. 5; N 2, st. 172; N 17,
1780; 2007, N 1, st. 45; N 41, est. 4845; N 50, sect. 6247, 6249;
2008, N 44, st. 4982; 2009, N 18, sect. 2154; N 48, sect. 5731; 2010,
N17, st. 1988; N 31, sect. 4193; N 41, sect. 5193; 2011, N 7, sect. 905;
N23, st. 3262; N 29, st. 4291), as follows:
1) in the eleventh article 2 "
registry 'replace' in registry ';
2) Article 5:
(a) add a tenth of the following:
" The manager must perform security accounting, that are
object of trust control, for each
trust management. ";
b) add a subset of the eleventh content to read:
" Control of its all all access
fixed security, object Trust
. by the trust can
set limit on the right to vote. ";
in) add to Part 12:
" Manager if voting rights for specified securities Not
limited to by the Management trust
statutory responsibilities, related to ownership valuable
trust management papers. ";
g) add the following part of the thirteenth content:
" If with management trust
not empowered style="mso-spacerun:yes"> in general
Meeting of Securities Owners, including in the general meeting
shareholders, general investment fund owners, in general
meeting of mortgage owners style="mso-spacerun:yes"> certificates of participation, it is required
provide information about style="mso-spacerun:yes"> a founding control for composing
list of individuals eligible to participate in the overall owner collections
securities. ";
d) add the following to the fourteenth content:
" Manager right yourself to access the court with any
claims for with control
securities, including claims, right of presentation that
in matches with Russian legislation
provided to shareholders or other owners of securities. For
control's in implementation of
governance style="mso-spacerun:yes"> legal costs,
including state duty, paid by the manager for the account
property that is a trust management object. ";
3) in article 7:
(a) Part 2 should read:
Professional securities market participant,
depositary activity, Depot named Depository.
Calculatorg Calculme
trading by organizers
trade and (or) with organizations that
these transactions are called the settlement depot. ";
b) Part five to read as follows:
" Negotiation of a depositary treaty does not entail navigation
to the property depositary for the security of the deponent. If
other is not style="mso-spacerun:yes"> federal laws
is not style="mso-spacerun:yes"> security
as a [ [ If is otherwise style="mso-spacerun:yes">
is provided by a depositary treaty, depositaries free to refuse
decommisation of paper from theaccount
accounting for rights to security, and credit securities in such an account
in if there is a debt payment
depository. Depository is not condition conclusion
depository of the contract with the exponent of last at least
one of the rights, assigned securities. style="mso-spacerun:yes"> Depositary
responsibility for security the certificates deposited with him
securities. ";
in) part of the thirteenth to add to the next
content: " In this is required to
by law Russian Federation and
depositary contract with action from directed
get of all of all payments
is due for these securities. ";
4) in article 8:
(a) in paragraph 1:
The first paragraph to read:
" 1. Register-owned Securities
recognizes collection, commit, processing, storage of data
registry of owners of security , and provide information from
security registry. ";
The fourth paragraph should read:
The Registrar is not style="mso-spacerun:yes"> make with a security
Theissuer whose registry owners lead. ";
fifth paragraph:
" Security Inventory (hereinafter referred to as the registry)- Generated
on defined style="mso-spacerun:yes"> times the person records system
open accounts (hereinafter registered persons), records o
valuable papers, taken into account style="mso-spacerun:yes"> accounts,
burdens of securities and other records in matches
Russian legislation. ";
The sixth paragraph should read:
" Registry Holder performs activity in
compliance with federal laws, regulations
Federal executive branch of the securities market, a
also with rules registry must approve
registry holder. Requirements for the specified rules are installed
Federal executive branch of the securities market. ";
The seventh paragraph should read:
" For security on the bearer registry is not maintained. ";
eighth paragraph is void;
ninth paragraph should read
" Registered faces must honor
rules for maintaining the registry requirements for providing information and
registry-holder documents. ";
(Paragraph is no-valid based on The Federal Act of
June 2015 g. N 210-FZ - Law of the Russian
Federation, 2015, N 27, st. 4001)
(Paragraph is no-valid based on The Federal Act of
June 2015 g. N 210-FZ - Law of the Russian
Federation, 2015, N 27, st. 4001)
b) Paragraph 2 should be declared invalid;
in) Paragraph 3 should be redrafted to read:
3. The registry holder is on a specific date list
who carries out securities that contains:
Information about owners style="mso-spacerun:yes"> pieces of paper, and others
which according to federal laws are implemented by rights
securities;
quantities of style="mso-spacerun:yes"> pieces of individuals
included in the specified list, as well as other information according to
with requirements set by federal laws and regulations
legal acts of the federal executive branch on the market
security.
control is added to the list of people
rights by pieces of paper, if on
provided by control
Person who has a deposit account (deposit account) account
deco), is included in the list of persons entitled to receive revenues
and other security payments.
In the case of writing style="mso-spacerun:yes"> list of
securities, for rights, valuable
papers, in volume number individuals of rights get
dividend, list of faces the right to participate in the general assembly
shareholders, general investment fund owners, in general
Meeting of Mortgage Certificate Owners, Remuneration
Theregistry holder must not exceed its cost. In
remaining cases style="mso-spacerun:yes"> contract
registry-holder with issuer (person with securities).
The registrant has the right to charge
fee for to perform the operations in in the registry, in number
provide information from registry (also -
operation in the registry). The registry holder is not entitled to charge in
percentage of style="mso-spacerun:yes"> in
registry operation is performed.
Maximum payment, recharged by
registered faces conducting an operation in the registry, , and (or)
order of the by the body
Executive by stock market. Registry Holder
amends owners of style="mso-spacerun:yes"> and other individuals in
compliance with federal The laws exercise the rights of value
papers, losses,
(Idle) Registry Holder.
Register holder for three business days, if different time
not provided by by federal normative legal
acts of the federal executive branch style="mso-spacerun:yes"> marketplace
paper, executing registered person order
operation in registry or days with dates
representing for this order is denied operations
in registry.
The registry holder is required to style="mso-spacerun:yes"> requirement
person to provide from registry
three workers days. from the registry must contain
regulatory legal
Executive by stock market information on date,
specified on this statement.
When placing a security statement from the registry granted
free owner of the security.
The registry holder is under style="mso-spacerun:yes"> responsibility for and
validity of information provided from the registry, in the volume
details, of the in the extract from the registry for the front account
registered of the face. Registry Holder
responsibilities in style="mso-spacerun:yes"> to provide information from the registry for
registry period by previous registry holder, if
information matches data returned from of the previous
registry holder on transfer of the specified registry.
The registry holder is responsible for:
open the front and other accounts in in the registry in
requirements of of this Federal Law and Regulatory Legal
acts of the federal executive style="mso-spacerun:yes"> value
paper;
perform operations in order only
registered faces, if is not set to
laws and normative style="mso-spacerun:yes"> Federal authority
executive securities market;
provide registered Face,
which is taken into account style="mso-spacerun:yes"> 1 percent of the issuer's voting shares,
information from the registry name (name) registered
and style="mso-spacerun:yes"> categories (each type),
counted on their personal accounts;
inform registered requirement
rights, -pinned style="mso-spacerun:yes"> paper, , and
exercising these rights;
To compile a list of persons who are entitled to paper,
Request of the issuer is or other persons in cases
federal laws.
Registry Holder style="mso-spacerun:yes"> in the registry, related to
to orders
registered about the transfer securities or based on
other documents that are with
Russian Federation is a for navigation to
securities, a at on
issuer of the valuable paper, if not otherwise
federal laws and regulations Federal
Securities Market Authority.
Requirements for the content of the operations in
registry is set to executive body
Securities Market.
The registry holder is not style="mso-spacerun:yes"> has the right additional
requirement when performing an operation in the registry, in addition to Installed
true Federal by law style="mso-spacerun:yes"> and legal legal
Federal executive branch of the security market.
For termination style="mso-spacerun:yes"> register registrar
passes to the specified issuer style="mso-spacerun:yes"> registrar or if
last can be a registry holder, inventory, written to
end of contracts, and documents related
registry. List of the specified documents, , and timing
Registry and documents are installed
regulatory legal acts of Federal Executive Body
securities market authorities
If there is , the issuer
(provides information about in order, installed
Thefederal executive branch of the security market.
All statements, issued style="mso-spacerun:yes"> of the registry
registry to another registry holder invalid.
Registry holder after the registry transfer to the holder
registry provides information and documents related to them
this registry, issuer (person bound by the security) by
requirement, Federal the executive body by market
securities, courts and tribunals (judges), if
consent of the The body of the body
preliminary investigation of cases in their production
a also style="mso-spacerun:yes"> inner cases when they perform functions on
detection, warning and in
economics
Failure or failure by in the registry of
may be, except
laws and normative style="mso-spacerun:yes"> Federal authority
{ \cs6\f1\cf6\lang1024
}Securities Market{ \cs6\f1\cf6\lang1024
}
Issuer, sponsoring registrar's registry, to the right
perform parts of style="mso-spacerun:yes"> logger,
Article 8-1 of this Federal of the law,
Theissuer of securities, if provides for
registry. In this case, the issuer must comply requirements
5 style="mso-spacerun:yes"> 8-1 of this Federal
duration of the operation in the registry style="mso-spacerun:yes"> for in
Operation in the registry begins with
issuer of for in the registry, for
exception cases, by regulatory legal acts
Federal executive body on the securities market. ";
5) add the following content to Article 8-1:
" Article 8-1. Transfer agents
1. Recorder has the right to draw to execute a part of its
functions, of the the Federal by law, other
registrars, depositaries, and brokers (hereinafter transfer agents)
2. Transfer agents act on behalf of and for the logger's account
for of the agent
with the registrar as well as the power of attorney given to them.
3. Activities Transfered
must specify, that they are
registrar, and also
power of attorney issued by this logger.
4. and and power of attorney,
transfer agents to the right:
1) accept documents, necessary for operations in
registry;
2) pass and other
personal accounts, notifications, and other information from the registry,
supplied by the registrar.
5. Transagents are required:
1) take measures style="mso-spacerun:yes"> for identifying the person, of the document,
required for registry operations;
2) enable style="mso-spacerun:yes"> registrar
documentation on its request;
3) Comply with the confidentiality of information received in associations
with transfer agent functions;
4) exercise authority over persons, acting on behalf
registered faces;
5) certify style="mso-spacerun:yes"> in order,
provided by the federal executive authority
securities;
6) observe other requirements, regulatory
legal acts of the federal executive branch on the market
security.
6. The duration of in the registry of the registry for
refusing to perform a registry operation) starts at the time of receipt
transfer agent to perform operation in the registry.
7. Recorder and transfer-agent to interaction
friend with Other and documents in
electronic form. ";
6) add the following article 8-2:
" Article 8-2. Accounts opened by depositaries and holders
registry
1. To take account of the rights on the and the depositaries
registry can open the accounts
depot:
1) owner account;
2) the trust account
3) account-holder account
4) escrow account
5 treasury account (person, of the required value
papers);
6) Other accounts provided by federal laws.
2. The depositaries of can also
open the following accounts:
1 account for the foreign nominal holder;
2) Dept of Foreign Authorized Holder;
3) account depot.
3. For , rights on securities, registry holders also
can open the front account of nominal of the holder of the central
depository.
4. Depositaries and registry holders can open and
accounts that are not intended to account for security rights, in
Volume, Charge Account and Unidentified Persons.
5. How to open and maintain personal accounts (billing accounts), a
Also Other defines the legal by
Federal executive branch of the security market.
6. (the account of the owner's account) style="mso-spacerun:yes"> paper
takes account of property rights and other proprietary rights to valuable
paper.
7. By the front account (Depo) of the trustee
takes into account the rights of the manager in Relation of Securities,
in trust.
8. Front (account ) of the nominal the holder
implemented accounting rights style="mso-spacerun:yes"> on for which
Depository (nominee) not is owners of and
takes them into account for the benefit of its depositors.
9. Escrow ("Escrow") account style="mso-spacerun:yes"> depo)
implemented accounting rights style="mso-spacerun:yes"> on securities, transferred to a deposit
notary or court.
10. On the Treasury account (treasury account)
issuer (person, of the required securities) is administered by
Issuer (faces, obligation for securities) on the released
(issued) securities.
11. The rights of persons with respect to securities
enforcing obligations to such individuals, style="mso-spacerun:yes"> also
counting other charges style="mso-spacerun:yes"> a security is done by committing
appropriate record for the front account ( deco) of the owner
these Securities, (deo) trust account
control, foreign account holder account.
12. The rules, of of this articles,
may not apply if depot (registry holder)
is a person, style="mso-spacerun:yes"> commitments to
provided with securities. In this case, for
security, with the exception Bail, Conclusion
corresponding contract. (Paragraph 20, third loses power with 1
July 2016, according to the Federal Law of June 29, 2015
N 210-FZ-Assembly of Russian legislation, 2015, N
27, Text 4001)
13. Attaching arrest and handling the security penalty,
rights to be accounted for in the front account (deo account)
may be only on the front account (deo account) of the owner valuable
paper.
14. To Depository Relations with Foreign Persons, Related
with discovery, , , and Depot
applies Russian legislation. ";
7) add the following content to Article 8-3:
" Article 8-3. Nominal security holder
1. The nominal holder of the - depositary,
front account style="mso-spacerun:yes"> ] that includes the rights to valuable
other people's papers.
2. Opening to the front Account Holder's Depository
registry cannot be determined by the existence of a depositary contract
between the depot and its client.
3. In cases, of the federal laws,
nominal by the asset holder style="mso-spacerun:yes"> in the registry can only be
central depot.
4. The nominal holder of is right to
valuable paper-only style="mso-spacerun:yes">
authority.
5. Moving the right to security between to the one
nominal holder style="mso-spacerun:yes"> paper does not affect paper
account of the nominal holder's account or account holder's account.
6. The nominal holder of is required by
person to which he has an open account (depo) style="mso-spacerun:yes"> nominal
Securities, to provide to this
specific date list containing information: 1) of its deponents to include in the list of securities rights, including both founders trust management,
Part XIII of this Federal
law;
2) of persons to be subject to inclusion in the list of persons carrying out
security rights received by a nominal holder from their
components;
3) on the number of security, belonging to persons included
to list;
4) other information as required installed
federal laws and regulations Federal
Securities Market Authority.
7. In addition to the list, given in 6
Articles, nominal provides
nominal holders, of foreign nominal holders,
information to be included in the list, as well
valuable paper, of posted papers style="mso-spacerun:yes">
unidentified persons.
8. The has the right to require views
6 6 style="mso-spacerun:yes"> s condition
of the corresponding requirements by the registry holder
base of issuer request, a if the registry holder is
issuer-based on its request, a Other cases
federal laws.
9. List of all owners of securities and other persons
compliance with federal The laws exercise the rights of value
papers, to be submitted to the registry holder during the
days after requirements by the holder
registry.
10. Nominal holder of the repays the part
damages, caused by the date
decponent of the registry holder, regardless of whether or not
specified front of the depot style="mso-spacerun:yes"> of the
registry. The nominal holder is exempt from reimbursement (losses)
in the case, if style="mso-spacerun:yes"> has
submit information to another depot, whose exponent is it
has become in compliance with a written statement of his or her deponent. ";
(Paragraph 8-16 will cease to be in force since July 1, 2016) a year
on the basis of the Federal Law of June 29 2015 style="mso-spacerun:yes"> N 210-FZ
Assembly Legislation of the Russian Federation, 2015, N 27, st.
4001)
8) to supplement Article 8-4 as follows:
" Article 8-4. Considerations for Securities Accounting
of foreign organizations active in
interests of others
1. The deo- of the foreign of the nominal holder can be
opened foreign organization with place of institution in states,
specified in of the 1 and 2 2 Articles 51-1 of the present
Federal Act for the benefit of others, if so
organization to the right under its personal law Implement
accounting and the move security this is foreign
organizations, which are international central
security accounting systems and/or
paper or in Personal central
depositories and (or) Calculations by
trading on foreign exchanges of or other managed
or clicking of these accounts style="mso-spacerun:yes"> depot
Foreign nominal can can be only
Central Depot, if
list, of the article 25 of the Federal Law
"About Central Depository"
2. Foreign nominal holder of securities
right by valuable style="mso-spacerun:yes"> in gets the name
corresponding authority.
3. Foreign Authorized Holder account can be
open of the foreign organization with the place of the institution in States,
1 and 2 51-1
Federal Act, if such an organization is personal
to the right, without being the owner of securities, to implement
of its name and in others any legal and
actual security actions and rights
with Securities. Foreign delegate
papers exercise rights fixed by security.
4. Issued securities of the Russian issuer,
and (or) organization
Federation is by the location according to
Foreign right style="mso-spacerun:yes"> issuers
rights in the Securities
Russian issuers, count on by the depot account
programs. A depot depot can be deactivated only
in a Russian depot, opened by the details
Holder in Central Depository.
5. On the security, learts the rights to which is
account of the foreign nominal holder, in
foreign delegate of the holder, Depot Depot
programs, not can be revered Recovery of obligations of persons,
which open the specified accounts.
6. Foreign holder must provide
information about style="mso-spacerun:yes"> and faces
rights by Securities posted in the Depot Account
foreign nominal holder, in cases, order and terms,
which includes federal and laws
legal acts of the federal executive branch on the market
securities for nominal holders.
7. The person of which the account of the depositors is open software,
implements right on the participation in general Shareholders Meeting
shares whose rights are certified by valuable paper
foreign issuer, owned by owners,
vote in a certain way at the general meeting of shareholders. style="mso-spacerun:yes"> In
this right to participate in the general meeting only
Terms of Reference for Russian Issuer Information about
owners of security style="mso-spacerun:yes"> instruction foreign with
number of shares, for which the rights are certified valuable
papers of the foreign issuer that belong to each of them.
8. list of people who have style="mso-spacerun:yes"> dividends,
payment by shares, in
authenticate with the foreign issuer, includes
opened by style="mso-spacerun:yes"> depot account.
dividend payout is made to the person of which the depot
depository programs, only shares, rights in relation that
are certified by a foreign issuer, information about
owners of of which provided by to the issuer of the shares in accordance with
point 7 of this article.
9. Requirements for the order in which the is open
account for depot programs, owners of
Shares of Foreign Issuer Certifying Russian issuer, as well as the number of its own valuable
of the foreign issuer is set by regulatory Legal
acts of the federal executive branch style="mso-spacerun:yes"> marketplace
paper.
10. Foreign nominal the holder is required
at of which style="mso-spacerun:yes"> a foreign nominal account
security holder, introduce this
specified date list, about
securities rights, , and quantity
securities, belonging to these individuals. (Paragraph 12 is lost
power from July 1, 2016, based on Federal Act of June 29
2015. N 210-FZ- Russian National Assembly (Russian Federation)
2015, N 27, st. 4001)
11. Foreign face holder, foreign
authorized holder must provide information
about paper, faces, in
which the foreign authorized holder is implementing ownership
securities, on demand of issuer, ships, arbitration Courts
(judges), of the federal executive branch of the market valuable
paper, and subject to the consent of the head of the investigating body style="mso-spacerun:yes"> -
for Requirements preliminary cases
in their production, as well as the internal affairs agencies style="mso-spacerun:yes"> in
their detection, warning, and suppression functions
economic crime. The issuer is entitled to the require
granting specified information, if is required
compliance with Russian legislation requirements
12. Securities Owners, faces by
securities, and faces in whose ownership
valuable by foreign authorized holder, cannot
obstruct the provision of information, of the style="mso-spacerun:yes">
11 of this article.
(Paragraph 15 is lost style="mso-spacerun:yes"> on the Federal
Act of December 29, 2012 N 282-FZ- legislation
Russian Federation, 2012, N 53, est. 7607)
14. Russian Issuer for Courts, Arbitration Courts
(judges), of the federal executive branch of the market valuable
paper, and subject to the consent of the head of the investigating body style="mso-spacerun:yes"> -
for Requirements preliminary cases
in their production, as well as the internal affairs agencies style="mso-spacerun:yes"> in
their detection, warning, and suppression functions
crimes must present a list of owners
valuable foreign papers style="mso-spacerun:yes"> issuer, permissions
relation of the Russian issuer, including
number of owned of this foreign
issuer, generated in 13
articles.
15. Depositary, opening the account of a foreign nominal
holder, the account of the Foreign of an authorized holder or
account for deposit , must notify federal
executive executive style="mso-spacerun:yes"> security on the violation
faces that have the appropriate the depot, requirements,
items installed by this article.
16. Federal Executive Body on
right Extend style="mso-spacerun:yes">
foreign authorized holder or person, to which is open
account for the Depository programs, to resolve
violation of requirements, of this article,
non-default - or restrict to six
months of all or individual operations to appropriate
deco accounts. ";
9) add the following addition to Article 8-5:
" Article 8-5. Corrections to personal accounts
(s)
1. The registry of the logger and conditions
of the depositary The Depot activity
define time (moments) style="mso-spacerun:yes"> time in work day,
which has instructions for operations in the registry
can be revoked or modified.
2. accounts ( depot account),
includes rights to securities, since they were introduced are
final, is or is canceled
registrar or depositary, except if like
record was entered without an order (control) of the person of which style="mso-spacerun:yes"> open
front account (account), or no other document,
base for the operation in a registry, , or with a violation
conditions, containing in the such an order or other
document (entry for which correction is allowed).
3. Recorder or to the right in style="mso-spacerun:yes"> detect
error in writing, patch with before
working of the day, of the next the day of making such a record, , and
condition, that the person is open personal account ( depot), not
sent report style="mso-spacerun:yes"> of the operation or statement
account ( depot), reflective data,
correctional records by related (accounts),
required to resolve the error.
4. in in entries, patch
allowed, in cases, paragraph 3 of this
article, logger or depot may make corrections
records necessary to correct the problem only with the consent faces,
of the front style="mso-spacerun:yes"> ( deo), , or other person,
assignment or request for which corrections can be
is in accordance with federal laws or a contract.
5. Person to whom the Front Account (debit account) for
on valuable paper, must return pieces of paper
unreasonably acquired from in
such an account, or the securities to which they were converted,
a also to submit style="mso-spacerun:yes"> and compensate losses style="mso-spacerun:yes"> in
compliance with Russian civil law Federation.
With this nominal the must be sensitive to
credited on its front account (the deo account) of the security on account
unidentified persons and must return the specified security or
securities, to which they are converted, to the front account (Account)
depo) of the person from whom they were written, no later than one worker
days since the receipt of the relevant reporting documents.
6. { \b } { \cs6\f1\cf6\lang1024 } { \cs6\f1\cf6\lang1024
nominal of the The central of the depot is implemented in
order, of the Federal Law " O Central
.
7. The number of securities, of the registry-holder
personal accounts of registered persons and accounts of unidentified persons,
must be equal to the same number of allocated and non-
out of securities.
8. The amount of stock, of the Depository
debit and accounts
unidentified persons, must equal the number of the same
papers, accounted for on ( deo) accounts
opened with this The depositary, , and accounts, open
Foreign organization, that implement permissions
papers as person acting on behalf of others.
9. Reconciliation Match Securities count
7 and 8 of this article, must
implement by the the registry and the repository of each worker
day.
10. of the violation of the requirements of paragraph 8 of this Article
depot not later than day, next day,
violation was was or should have been identified,
is required to notify the federal executive authority of
Securities style="mso-spacerun:yes"> and to fix the violation is in order,
provided for the implementation of by the depositary development style="mso-spacerun:yes"> activities
Depot in the requirements of this Federal
law
11. In if the quantity of paper, counted
Depot on right-to-rights accounts
securities and accounts of unidentified persons, more number
same security reported on the front accounts
nominal of the holder, This this is this
exposed to him by a foreign organization at
valuable paper, as person, in effect in in
depositaries must: 1) write off in order, under the conditions of implementation depositary activity, invoices
takes note of rights to securities, and accounts Uninstalled
persons with a quantity equal to the total quantity
such securities on his personal accounts (debit accounts)
and accounts, an organization
rights-to-security accounting, as a person acting in
interests of other persons not exceeding one working day with
days, when the specified excess was detected or should have been to be
identified. This will make the entries deposited with the depot open
accounts for and the account unknown Persons with respect to securities,
which has been exceeded, from the day, when is exceeded paper was identified by or should have been identified, to the moment
write-offs in compliance
is allowed, except for entries made for implementation
write-offs;
2) its to ensure the enlistment
paper to debit and account of unknown with
accomplished write-off of valuable paper according to sub-paragraph 1
true point, in pieces of paper written off
appropriate accounts, , or
damages in order and conditions, that are provided depositary
contract. This is the length of such time enrollments determined by conditions
of the depositary with requests
Regulatory Legal Acts style="mso-spacerun:yes"> federal executive
securities market authorities
12. of the enlistment paper,
( 2) style="mso-spacerun:yes"> 11
depositors must compensate the depositors for appropriate losses.
case, if specified in paragraph 11 of this article mismatch
valuable paper caused by Registry Holder Actions
or of another depot, depot, duty,
covered by this article, has a right to a callback
(regress) to corresponding repaid
loss depositary, including costs incurred by the depositary at
performance, of the 2 ( )
real of the article. The Depot
responsibilities of 2 11 of this
Articles, If the security was caused by actions other
Depository
style="mso-spacerun:yes">
valuable paper, as person, in effect
Thedecongor (client) of which it has been made according to written
an indication of its deponent. ";
10) add the following article 8-6:
" Article 8-6. Ensuring confidentiality of information
registry holders and depositaries
1. The and depositors of the registry are required by ensure
Privacy of information about the to which the front is open account
(the deo account), , and information about the account, including operations by
.
2. The information referred to in paragraph 1 of this article may be
provided only to the person,
deco), , or its representative, a Other persons in accordance with federal laws. The Depositary has the right to have written style="mso-spacerun:yes">
to provide information to other individuals about the deponent, a
also about the operation of his account.
3. Information, specified in of paragraph of this article, can
provided by with the to the specified by the depositary
contract, in prescribed cases.
4. The information referred to in paragraph 1 of this article may be
also provided to the courts of and to the vessels (judges)
Federal executive branch of the securities market, a
The presence of style="mso-spacerun:yes"> head of investigation body-organs
preliminary investigation of cases in their production
a also style="mso-spacerun:yes"> inner cases when they perform functions on
detection, warning and in
economics
5. Information about person open of the front account style="mso-spacerun:yes"> (Account
depot , also style="mso-spacerun:yes"> style="mso-spacerun:yes">
issuer on specified face account (deo account) can be also
issuer, if required for
Russian legislation requirements
6. of the violation by the or deposited with
requirements of this article for the person whose rights are style="mso-spacerun:yes"> violated, to the right
require from of the corresponding registry or depositary
damages.
7. The registry holder and are responsible for
violation of of this articles in order, installed
Russian legislation. ";
11) add the following article 14-1:
" Article 14-1. Tender Tendering Considerations
individual security
1. Bearer Bearer with Required Centralized
storage allowed to organized < > , condition,
centralized stores such bonds central
depository. The specified rule is not will be propagated to
organized trading bonds with mandatory central
storage during their placement, if the conditions are
bonds are not allowed to be accessed.
2. Investment of and Mortgage
organized by style="mso-spoacerun:yes"> if in rules
trust management the investment investment or
rules of of trust mortgage management
provided for such on
organized trades. ";
12) in article 16:
(a) Part 5 of the sentence The following content:
" In registration of the Mandatory
centralized storage such valuable pieces
mandatory central in central
depositories. ";
b) Part 9:
add a new paragraph to the sixth paragraph to read:
" if Russian securities are accounted for issuer,
hosting and (or) the organization of which is intended
Russian The federation in
with foreign the right Foreign
issuers, certifying rights for security
account depot account opened; ";
Paragraph sixth read paragraph and in
next revision:
" if other Requirements, set by
Federal Act and other federal laws. ";
13) in article 27, paragraph 7, of the words " rights to which take into account
in of the registry or in depositaries, "
exclude;
14) in article 28:
(a) in parts of the of the system registry -"
exclude;
b) in the third word "to the maintenance system" to replace the words
"to maintenance";
15) in article 29:
(a) in the third part of the word " in the maintenance system
registry 'replace' in registry ';
b) Part eight is no more effective;
16) add paragraph 4 of Article 44 to the following paragraph Content:
" repeatedly infractions in one
professional members of market
activity or operations, implementation (conducting)
allowed in federal requirements
laws only on based on a professional participant's license
market of securities style="mso-spacerun:yes"> the implementation of
agent-agent, function The agent's counter
to issue, redeem and exchange investment ploys, to make a decision on
suspensions or licenses
professional on the market
paper; '.
Article 3
Commit to the Federal Act style="mso-spacerun:yes"> from 26 October 2002 N 127-FZ
"About insolvency (bankruptcy)" (Legislative Assembly
Russian Federation, 2002, N 43, , st. 4190; 2005, N 1, st. 18;
2009, N 1, st. 4; 2010, N 17, st. 1988; 2011, N7, st. 905)
changes:
1) in the third paragraph of Article 133 of the word " and special
brokerage professional accounts securities market participant,
implementing broker activity " replace with
" special broker broker accounts style="mso-spacerun:yes"> professional market participant
securities deposit;
2) Paragraph first 3 Articles 185-5 set out the following
revision:
3. If multiple customers
special brokeraccount, special deposit account, account
depo of the nominal holder, account foreign nominal
or Front account open to the nominal holder in
security registry, and these assets are not sufficient for
satisfaction in full size of All
their property, this property is passed in quantity,
proportional to the size of the specified requirements. ";
3) Article 185-6, paragraph 4, should read:
" 4. If the property of multiple clients is combined
onebank account, the demo-holder, Depot
Foreign nominee or Front account, open
nominal holder in the security registry, , and like
properties not sufficient for full
submission of the all of their property,
property is passed to the number, proportional to
specified requirements. ".
Article 4
Commit to the Federal Act style="mso-spacerun:yes"> 2007 N 229-FZ
About executive production (Legislative Assembly
Russian Federation, 2007, N 41, Art. 4849; 2009, No. 29, sect. 3642)
changes:
1) Part 3 of Article 73-1 should read:
3. The of the front
( depot) owner of the Not Allowed for write-off
valuable papers, taken into account style="mso-spacerun:yes"> accounts ( )
nominal holder or other accounts. ";
2) Part 1 of Article 82 should read:
" 1. The arrest of on document securities are placed in place
their presence. Arresting on paperless securities style="mso-spacerun:yes"> is imposed
on Front owners of style="mso-spacerun:yes"> Not
arrested on undocumented pieces of paper,
expunes on the front account (s) of nominal the holder
or other accounts. ".
Article 5
Paragraph 2 of Article 2 of the Federal Law of 5 January
2006 N 7- " changes in Federal law
About joint-stock companies and some other legislative acts
Russian Federation (Meeting of Russian legislation
Federation, 2006, N 2, st. (172) be declared invalid.
Article 6
1. One year from 1 July enrollment
account depo style="mso-spacerun:yes">
Parts 2 and 3 Articles 24 of the Federal
"About Central Depot", is allowed under of the opening
face-face central depot
registers of such security.
2. Enrollup on on foreign Rated
securities holder, not provided for in parts 2 and 3 of the article 24
Federal O Depot central
1 January 2013.
3. Within one year from the assignment of to the legal person
status of central The Depot Depot with Federal
The Central Depository Law, but not earlier than 1 January 2013
before the January 1, 2013 open accounts (accounts
deco, that take into account emissive securities for the Russian
issuers, rights in authenticated
foreign issuers, must perform the action,
required for enlistment style="mso-spacerun:yes"> specified of Russian
issuers to account depot programs.
4. Within six months from the date of entry into force of the present
Federal Law of the Face, on the Front Account (es) style="mso-spacerun:yes">
rights to securities, transferred to the deposit notary
or court, must perform actions, required for enrollments
specified securities in the Escrow account (deposit account) account
depotor to make appropriate changes to the front account
(children's accounts).
5. Within six months from the date of entry into force of the present
Federal issuers style="mso-spacerun:yes"> on
(debit) that account for the rights of issued by valuable
papers, committed to style="mso-spacerun:yes"> actions, required for enrollment
specified securities style="mso-spacerun:yes"> the treasury tab account
(treasury account ) or for matching
changes to the front account (s).
6. Within six months from the date of entry into force of the present
Federal of the law Shareholdings in
hosting and (or) shares are obligated to disclose information
according to Article 30 of the Federal Law of April 22 1996
Year N 39 -FZ "About Securities" should be wrap
corresponding contract with if
joint-stock company on the
The Federal was owners of owners
shares.
7. Effect of article 14, paragraph 1, of the Federal Law
from 22 April 1996 N 39-FZ " O securities market " (Rev. 1)
true federal law) applies to legal relations, assignments after the legal person of the status of the central depositary according to Federal by the law " O . 8. The Federal Law of the Federal style="mso-spacerun:yes"> from 22 April 1996 style="mso-spacerun:yes"> n 39-FZ "About the security market" (edited true Federal Law) is used by
years with days style="mso-spacerun:yes"> assigning a legal to the status of the central
depositary according to Federal by the law " O
.
9. Part Part 16 style="mso-spacerun:yes"> Federal
law of 22 April 1996 N 39-FZ "About the securities market" (in
revision of this Federal law)
bonds, posted to a legal assignment
central depository.
Article 7
1. This Federal Law takes effect from 1 July
, for except positions for of this article
has a different due date.
2. Paragraph 3 (a) and article 1, paragraph 4, paragraph 13
paragraph 6, paragraphs 6, ninth and tenth, paragraph 8, subparagraph (b)
paragraph 12 of Article 2 of this Federal Law comes into force with
1 January 2013.
President of the Russian Federation style="mso-spacerun:yes"> Dmitry Medvedev
Moscow, Kremlin
7 December 2011
N 415 FZ