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» Information Disclosure in accordance with the Central Bank of Russia Directive dated 28.12.2015 # 3921-U


Disclosure of the information in accordance with the Central Bank of Russia Directive dated 28.12.2015 # 3921-U

The points 28 and 30 of the Annex 1 to the Directive are not applicable

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The information subject to disclosure.

Reference to the point of the Annex 1 to CBR Directive 3921-U

Terms for information disclosure

Link to the information

Comments

1.

Full and short name of the professional securities market participant in Russian and in foreign language if the name is bilingual.

point 1

Unlimited. The information disclosed before must be available within 5 years since the day of more recent disclosure.

Link

2.

The tax identification number

point 2

Unlimited

Link

3.

Address of the professional securities market participant specified in the Unified State Register of Russian Legal Entities

point 3

Unlimited

Link

4.

Phone number, fax number of the professional securities market participant

point 4

Unlimited

Link

5.

E-mail of the professional securities market participant

point 5

Unlimited

Link

6.

Surname, name and patronymic (in case of existence) of the person, assuming the functions of unique managing body of the professional securities market participant

points 6 и 7

Unlimited/Till new appointments

Link

7.

Scanned electronic copies of all the licenses to exercise professional activities on securities market

point 8

Unlimited

Link

8.

Information of suspension/renewal of the licenses with the dates and reasons of suspension/renewal

points 9 и 10

Within one year since the day of disclosure

No grounds for information disclosure

9.

Information regarding the decision of securities market participant to notify the Central Bank of Russia about license cancellation

point 11

Until Central Bank of Russia decision is issued.

No grounds for information disclosure

10.

Information about the licenses' cancelation

point 12

Within three years since the date of disclosure

No grounds for information disclosure

11.

SRO memberships information

point 13

During the whole term of membership in SRO, in case of membership cancellation within 30 days consecutive

Self-regulatory organization «National Finance Association»

12.

Information about the SRO standards applied by the securities market participant in its activities

point 14

During the terms of SRO standards application

Base standards

Internal standards of Self-regulatory organization «National Finance Association»

13.

Financial reporting, equity calculation, audit confirmation (if available)

points 15-21

Within thee years since the date of disclosure/Interim reporting is kept till the disclosure of annual reporting

Link

14.

List of branches, representative offices and other separate units, exercising activity on securities market with their full name, address, phone and fax number.

point 22

Unlimited

Link

15

Template of the brokerage agreement

point 23

Within agreement template validity period.

Link

16

Template of the custodian agreement

point 23

Within agreement template validity period.

Link

17.

Information on the issues with software used by the professional securities market participant which resulted in activity failure or constraints.

point 24

Within three years since the date of disclosure

No grounds for information disclosure

18.

Information on activity resumption after software issues, resulted in failure or constraints of the activity of the professional securities market participant.

point 25

Within 10 working day since the software recovery

No grounds for information disclosure

19.

Information on significant court hearings, which can result in a considerable impact on financial standing of the Bank as professional securities market participant.

point 26

Within one year since the date of court decision entry in force

No grounds for information disclosure

20.

Evidence, that the broker is a Clients' broker as required by CBR Directive 3349- U

point 27.1

Unlimited

No grounds for information disclosure

21.

The List of clearing and trade participants having agreements signed with the Client broker

point 27.2

Unlimited

No grounds for information disclosure

22.

List of clearing organizations having agreements signed with the Bank

point 27.3

Unlimited

National Settlement Depository, National Clearing Ceter AO

23.

List of trade organizers, including foreign ones, where the Bank participates

point 27.4

Unlimited

Moscow Exchange, PAO

24.

Information on Broker's suspension of access to organized trading

point 27.5

Within three months since resumption of access to organized trading.

No grounds for information disclosure

25.

Information on Broker's suspension of access to clearing service

point 27.6

Within three months since resumption of access to clearing service

No grounds for information disclosure

26.

Procedure of assigning to a person a qualified investor status

point 27.7

Unlimited. The information disclosed before must be available within 5 years since the day of more recent disclosure.

No grounds for information disclosure

27.

List of credit organizations, where the Broker has opened special broker's accounts

point 27.8

Unlimited

No grounds for information disclosure

28.

Terms and conditions of Depository activity

point 29.1

Unlimited. The information disclosed before must be available within 5 years since the day of more recent disclosure.

Link

29.

Documents' templates provided by Depository to depositories and vice versa

points 29.2-29.3

Unlimited

Link

30.

List of registrars and depositories including foreign ones where the Depository holds depot accounts of nominal holders.

point 29.4

Unlimited

No grounds for information disclosure