Main > Information Disclosure (3921-U)
» 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
|
NN |
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. |
||
|
2. |
The tax identification number |
point 2 |
Unlimited |
||
|
3. |
Address of the professional securities market participant specified in the Unified State Register of Russian Legal Entities |
point 3 |
Unlimited |
||
|
4. |
Phone number, fax number of the professional securities market participant |
point 4 |
Unlimited |
||
|
5. |
E-mail of the professional securities market participant |
point 5 |
Unlimited |
||
|
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 |
||
|
7. |
Scanned electronic copies of all the licenses to exercise professional activities on securities market |
point 8 |
Unlimited |
Date of information disclosure update – 04.10.2022 |
|
|
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. |
On 30.08.2022 the Bank applies to the Central Bank of Russian Federation for cancellation of license for depository activities No. 178-03963-000100 dated December 15, 2000 and license for brokerage activity No. 178-03810- 100000 dated December 13, 2000 |
Date of information disclosure- 31.08.2022, validity period- till 29.09.2022 |
|
10. |
Information about the licenses' cancelation |
point 12 |
Within three years since the date of disclosure |
On 28.09.2022 the Central Bank of Russian Federation takes a decision for cancellation of license for depository activities No. 178-03963-000100 dated December 15, 2000 and license for brokerage activity No. 178-03810- 100000 dated December 13, 2000 Notification |
Date of information disclosure- 29.09.2022, validity period- three years since the date of disclosure |
|
11. |
SRO memberships information |
point 13 |
During the whole term of membership in SRO, in case of membership cancellation within 30 days consecutive |
||
|
12. |
Information about the SRO standards applied by the securities market participant in its activities |
point 14 |
During the terms of SRO standards application |
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 |
||
|
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 |
||
|
15 |
Template of the brokerage agreement |
point 23 |
Within agreement template validity period. |
||
|
16 |
Template of the custodian agreement |
point 23 |
Within agreement template validity period. |
||
|
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. |
||
|
29. |
Documents' templates provided by Depository to depositories and vice versa |
points 29.2-29.3 |
Unlimited |
||
|
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 |