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If Principal Reporting Agent 2 sends the Repository information on the disagreement with the data (document code CM002 attached at Appendix 1), or if no report affirming the data contained in the Credit support annex reporting form and no advice on the disagreement with the data is received within 30 calendar days from Principal Reporting Agent 2, the Repository shall send to Principal Reporting Agent 1 a Registration / Notification Rejection Advice (document code RM002 attached at Appendix 1. 1.32.3.18.10.Where one of the parties to the contract is not obliged to submit information to the Repository and is non-Repository Client, actions to be taken by the Clients shall be determined in accordance with the procedures unilateral informing for entering information in the Contract Register, defined by these Terms and conditions. 1.32.3.19.Procedures for registering the Credit Support Transfer Reporting . |
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1.32.3.19.1.The basis to enter to the Contracts Register credit support data under the contract shall be the Credit Support Transfer Reporting Form (document code CM092, Appendix 2 to these Terms and Agreement. |
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1.32.3.19.2.The result of the registration of the Credit Support Transfer Reporting Form or rejection of registration of the Credit Support Reporting Form shall be an entry of respective data to the Contract Register and the Registration Log and preparation by the Repository of a Registration Advice (Document Code RM001 Appendix 1 to these Terms and Conditions) or a Registration / Execution Rejection Advice (document Code Appendix 1 to these Terms and Conditions) indicating a reason for rejection. |
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1.32.3.19.3.The Credit Support Transfer Reporting Form shall be registered by the Repository. |
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1.32.3.19.4.The Credit Support Transfer Reporting Form shall be registered within a working day if it is submitted in an electronic form before 6 p.m. to the Repository or during the next working day if it is submitted to the Repository electronically after 6 p.m. Credit Support Transfer Reporting Forms submitted after 5 p.m. in hard copy may be processed on the next working day. |
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1.32.3.19.5.The Credit Support Transfer Reporting Form shall be submitted to the Repository by the Principal Reporting Agency and shall be included in the Contracts Register unilaterally. |
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1.32.3.19.6.Upon receipt by the Repository of the Credit Support Transfer Reporting Form (document code CM092 attached in Appendix 1), the Repository shall send to the Principal Reporting Agent from which it has received such Credit Support Transfer Reporting Form , a delivery acknowledgement report prepared in accordance with the EDI Agreement. |
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1.32.3.19.7.The Repository shall examine the Credit Support Transfer Reporting Form to ascertain that it is correctly filled out and that contains all required data and shall check the Parties’ codes listed in the Credit Support Transfer Reporting Forms on their compliance with the codes, specified in the Master Agreement Reporting Form registered in the Contracts Register, under which the Credit Support Transfer Reporting Form submitted, andif the Repository finds any defects in the way the Reporting Form is filled out or any required data is missing, it shall send to the Principal Reporting Agent a Registration / Execution Rejection Advice (document code RM002 attached at Appendix 1). |
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1.32.3.19.8.If the fields of the Credit Support Transfer Reporting Form are correctly and fully completed the Repository shall make an entry to the Contracts Register and shall send to the Principal Reporting Agent that submitted the Mark to Market Valuation Reporting Form a Notification on registration (document code RM001 of Appendix 1 to these Terms and Conditions). |
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1.32.3.19.9.Where one of the parties to the contract is not obliged to submit information to the Repository and is non-Repository Client, actions to be taken by the Clients shall be determined in accordance with the procedures unilateral informing for entering information in the Contract Register, defined by these Terms and conditions. |
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1.32.3.20.The procedure to enter data on mark to market valuation to the Contracts Register if clients make a separate contract defining a mark to market value. 1.32.3.20.1.The basis to enter to the Contracts Register mark to market value data shall be the Mark to Market Valuation Reporting Form (document code CM094, Appendix 2 to these Terms and Agreement). 1.32.3.20.2.The result of the registration of the Mark to Market Valuation Reporting Form or rejection of registration of the Credit Support Reporting Form shall be an entry of respective data to the Contract Register and the Registration Log and preparation by the Repository of a Registration Advice (Document Code RM001 Appendix 1 to these Terms and Conditions) or a Registration Rejection Advice (document Code Appendix 1 to these Terms and Conditions) indicating a reason for rejection. 1.32.3.20.3.An entry of data on mark to market value may be initiated by any Principal Reporting Agents or Reporting Agents of clients making a contract on mark to market value defined by clients when registering a respective Master Agreement. 1.32.3.20.4.The Mark to Market Valuation Reporting Form shall be registered by the Repository. 1.32.3.20.5.The Mark to Market Valuation Reporting Form shall be registered within a working day if it is submitted in an electronic form before 6 p.m. to the Repository or during the next working day if it is submitted to the Repository electronically after 6 p.m. Reporting Forms submitted after 5 p.m. in hard copy may be processed on the next working day. 1.32.3.20.6.The Mark to Market Valuation Reporting Form shall be submitted to the Repository by the the Principal Reporting Agent or the Reporting Agent and shall be included in the Contracts Register unilaterally. 1.32.3.20.7.Upon receipt by the Repository of the Mark to Market Reporting Form (document code CM094 attached in Appendix 1), the Repository shall send to the Principal Reporting Agent or to the Reporting Agent from which it has received such Mark to Market Valuation Reporting Form, a delivery acknowledgement report prepared in accordance with the EDI Agreement. 1.32.3.20.8. While processing the Repository shall examine the Mark to Market Valuation Reporting Form to ascertain that it is correctly filled out and that contains all required data. In case of any discrepancies or incompleteness the Repository shall send a Registration / Execution Rejection Advice (document code RM002 attached at Appendix 1). 1.32.3.20.9.If the fields of the Mark to Market Valuation Reporting Form are correctly and fully completed the Repository shall make an entry to the Contracts Register and shall send to the Principal Reporting Agent or tho the Reporting Agent that submitted the Mark to Market Valuation Reporting Form a Notification on registration (document code RM001 of Appendix 1 to these Terms and Conditions). 1.32.3.20.10. Where one of the parties to the contract is not obliged to submit information to the Repository and is non-Repository Client, actions to be taken by the Clients shall be determined in accordance with the procedures unilateral informing for entering information in the Contract Register, defined by these Terms and conditions. |
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1.32.4.Procedures for correcting erroneous entries made in the Contracts Register in connection with objections raised by the Reporting Agent or the Principal Reporting Agent. |
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1.32.4.1.The Reporting Agent and the Principal Reporting Agent shall have the right to lodge objections with the Repository to the information recorded in the Contracts Register by the end of the third (3rd) working day immediately following the day on which it receives a report from the Repository on the recording of such information in the Contracts Register. |
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1.32.4.2.Objections to the information recorded in the Contracts Register shall be lodged with the Repository as a letter in hard copy. |
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Objections to the information recorded in the Contracts Register must be certified with the signature of the authorized representative of the Reporting Agent or the Principal Reporting Agent. If there are two Reporting Agents or Principal Reporting Agents, such objections must be lodged in hard copy form and signed by the authorized representatives of both Reporting Agents or Principal Reporting Agents. | Возражения по внесенным в Реестр договоров сведениям предоставляются за подписью уполномоченного представителя Информирующего лица или Базового информирующего лица. При наличии двух Информирующих лиц или Базовых информирующих лиц возражения по внесенным в Реестр договоров сведениям на бумажном носителе предоставляются за подписью уполномоченных представителей двух Информирующих лиц или Базовых информирующих лиц. |
1.32.4.3.The Repository shall be required to consider the objections lodged by the Reporting Agent or the Principal Reporting Agent to the information recorded in the Contracts Register by the end of the first working day immediately following the day on which the objection was lodged and shall amend the entries made in the register accordingly and issue to the Reporting Agent or the Principal Reporting Agent, respectively, a Registration Advice (document code RM001 attached at Appendix 1) or shall reject the received objections and send a written refusal to amend the entries made in the Contracts Register, specifying a valid reason for such refusal, and shall post the relevant entries in the Registration Log. |
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1.33.Procedures and time limits for providing information from the Contracts Register |
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1.33.1.Provision of reports from the Contracts Register to the Reporting Agent and/or the Principal Reporting Agents on a regular basis |
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1.33.1.1.Not later than by the end of the working day immediately following the day on which information is recorded in the Contracts Register the Repository shall send to the Clients' Principal Reporting Agents who are parties to the Master Agreement and to the Reporting Agent(s) that are not party to the Master Agreement a report on the changes made to the data contained in the Contracts Register. |
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1.33.1.2.The report on the amendments made to the data contained in the Contracts Register shall be prepared and sent to the Principal Reporting Agents and to the Reporting Agent(s) in the form of an Extract for the benefit of the Client (document code RM004 attached at Appendix 1 to these Terms and Conditions). |
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1.33.1.3.An Extract shall include information on amendments made to Master Agreements, on the contracts concluded on the terms and conditions of Master Agreements, Credit Support Transfer Reporting Forms and Mark to Market Valuation Reporting Forms, information on status of obligations under the contracts concluded on the terms and conditions of Master Agreements recorded in the Contracts Register as on the date of issue of the Extract |
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1.33.1.4.An Extract made to the data recorded in the Contracts Register shall be prepared as at the end of the working day and shall include all the information registered in the Contracts Register within the working day completed |
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1.33.1.5.The Extract to be sent to the Principal Reporting Agent shall contain information on amendments made to the Master Agreements where this Principal Reporting Agent is indicated as the Principal Reporting Agent and on the Contracts, Credit Support Transfer Reporting Forms and Mark to Market Valuation Reporting Forms, information on status of obligations under the contracts registered during the working day to which the Extract relates and relate to these Master Agreements. |
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1.33.1.6.The report to be sent to the Reporting Agent shall contain information on the Contracts and Mark to Market Valuation Reporting Forms and information on status of obligations under the contracts concluded on the basis of the Master Agreement, recorded in the Contracts Register during the working day to which the report relates and in respect of which such agent acts as a Reporting Agent. |
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1.33.1.7.The Extract to be sent to the Principal Reporting Agent which concurrently acts as a Reporting Agent under the Master Agreements to which it is not a party shall contain information on amendments made to the Master Agreements, the Contracts, Credit Support Transfer Reporting Forms and Mark to Market Valuation Reporting Forms and information on status of obligations under the contracts, which information was recorded in the Contracts Register during the reporting working day. |
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1.33.1.8.The information to be sent on a daily basis to the Principal Reporting Agent and the Reporting Agent shall be issued without scanned copies of the Master Agreements or contracts agreed by the parties to the Master Agreement and provided by them for inclusion in the Contracts Register. In order to receive an Extract containing scanned copies of the Master Agreements or contracts included in the Contracts Register, the Principal Reporting Agent or the Reporting Agent will be required to file a written request in any form for the issuance of an Extract containing scanned copies of documents, specifying the type of the document: Master Agreement(s) and/or contract(s) and the Identification Code(s) of the Master Agreement(s) on the terms and conditions of which the Contracts were concluded and the information on which and the scanned copies of which were included in the Contracts Register. |
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1.33.2.Daily provision of the Contracts Register to the Regulating Authority on Financial Markets. |
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1.33.2.1.On each working day of each month as of the end of the operating day (an operating day regularly ends at 6:00 p.m., Moscow time), the Repository shall submit the Contracts Register to the Bank of Russia. |
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1.33.2.2.The Contracts Register to be submitted on a daily basis to the Regulating Authority on Financial Markets shall contain information on all registered and amended Master Agreements and Contracts made on the basis of the Master Agreements registered in the Contracts Register from its inception through the reporting date. |
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1.33.2.3.The Contracts Register shall be submitted in the form of a document called “Contracts Register”. |
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1.33.2.4.The Contracts Register shall be submitted with the Registration Log, the Message Log in an electronic form in the FpML format (Financial products Markup Language. Each file shall contain information on all registered and amended Master Agreements and Contracts made on the basis of Master Agreements with respect to each Client, information on which was recorded in the Contracts Register from its inception through the reporting date. |
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The Contracts Register shall be submitted to the Regulating Authority on Financial Markets in the manner prescribed by the Regulating Authority on Financial Markets. | Реестр договоров передается в Регулирующий орган в области финансовых рынков в порядке, определенном Регулирующим органом в области финансовых рынков. |
1.33.2.5.Any information other than the Contracts Register (which is different by its contents, periods covered, etc.) shall be submitted by the Repository to the Regulating Authority on Financial Markets upon request, and in its request the Regulating Authority on Financial Markets shall specify the necessary parameters and the deadlines for the submission of such information. |
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1.33.2.6.The Contracts Register to be submitted by the Repository on a daily basis to the Regulating Authority on Financial Market shall not include scanned copies of the Master Agreements or contracts agreed between the parties to the Master Agreement and included in the Contracts Register. In order to receive a Contracts Register containing scanned copies of the Master Agreements or contracts included in the Contracts Register maintained by the Repository, the Regulating Authority on Financial Markets shall make an additional request in any form for the issuance of a Contracts Register containing scanned copies of the documents, specifying in such request the types of the documents: Master Agreement(s) and/or Contract(s) and the Registration Number (s) (assigned by the Repository when information is entered in the Contracts Register) of the Master Agreement(s) and / or contracts , information about which and the scanned copies of which were included in the Contracts Register and shall be provided. |
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1.33.3.Procedures and time limits for the provision of information from the Contracts Register / the Message Log following a written request from interested persons. |
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1.33.3.1.Upon receipt of a written request from the Client,Principal Reporting Agents, the Reporting Agents or from other persons entitled to receive information from the Contracts Register maintained by the Repository, the Repository shall provide such persons with information from the Contracts Register (the Message Log) in accordance with the regulatory documents adopted by the Regulating Authority on Financial Markets and governing the activities of the Repository. |
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1.33.3.2.In order to receive information from the Contracts Register (the Message Log), the Client, a Principal Reporting Agent or Reporting Agent or other persons identified by regulatory acts of the Regulating Authority on financial markets shall file a request with the Repository for the provision of an Extract (document code CM004 attached at Appendix 1). If necessary, the Reporting Agent may file a request with the Repository for the issuance to it of the standard Extract in hard copy form. 1.33.3.3.The Client, the Principal reporting agent, the Reporting agent, or other person specified in the regulations of the The Regulating Authority on Financial Markets, regulating the Repository activities, may request an Extract from the Contracts Register (Messages Log) in relation to a particular contract or contracts registered during the period (on a specific date), or by specifying other criteria (contracts, which obligations will be included into a close-out netting) determined by the type of Extract ("StatementType"). The list of "StatementType" values and the filling procedures are given in Appendix 2 to these Terms and conditions in the "Reference format”. |
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1.33.3.4.No later than the next working day following the day when the request is obtained the Repository shall prepare and send to the Client, the Principal Reporting Agent or the Reporting Agent an Extract on contracts registered in the interests of the Client document code RM004 attached as Appendix 1) / an Extract from the Message Log (Client document code RM009 attached as Appendix 1). If it is impossible to prepare an Extract from the Contracts Register / Message Log the Repository shall prepare and send a Registration / Execution Rejection Advice (document code RM002 attached at Appendix 1). |
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1.33.3.5.In order to receive additional information from the Contracts Register, the Regulating Authority on Financial Markets shall file with the Repository a request for the provision of an Extract specifying the deadline for the provision of information and the method by which the information is to be provided (on paper and/or on an electronic data carrier). |
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1.33.3.6.Within the time period specified in the request, which time period may not be less than three (3) working days, the Repository shall prepare and send to the Regulating Authority on Financial Markets a Contracts Register (Appendix 1) containing information selected in accordance with the parameters indicated in the request. |
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If more time is required for preparing a report containing the request information, the requested volume of information or a report in any particular requested format than the time period specified in the request, the Repository shall notify the Regulating Authority on Financial Markets of the time required for the preparation of the requested information and of the date on which such information can be provided. | В случае если для подготовки информации в запрошенном объеме, формате и в оговоренные сроки требуется больше времени, Репозитарий информирует Регулирующий орган в области финансовых рынков о времени, необходимом для подготовки запрошенной информации и о дате ее предоставления. |
1.33.3.7.The Repository shall also issue an Extract from the Contracts Register (the Message Log) at the written request of arbitration appointed managers (liquidation commissions) of debtors who are parties to the relevant Contracts. |
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1.33.3.8.An arbitration appointed manager may file a request for the issuance of an Extract in hard copy form from the Contracts Register(the Message Log) for the benefit of an indebted Client who is a party to a Contract (document code CM004 attached at Appendix 1). In addition to the request to provide an Extract from the Contracts Register (the Message Log) an arbitration appointed manager (a liquidation commission) must submit documents confirming the appointment of such arbitration appointed manager, the date of the revocation of the banking license and the data on the representative of the liquidator and on the state corporation “Agency for insurance of bank deposits”, where the functions of the liquidator are performed by this agency (applicable in the case of the bankruptcy of a credit organization). The request must also be accompanied by the documents confirming the powers of the arbitration appointed manager or the liquidator in the case of the bankruptcy of the debtor. |
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1.33.3.9.The Repository shall verify the powers of the requestor using the documents submitted by the requestor and shall consider the request received from the arbitration appointed manager, the liquidation commission or the liquidator for the issuance of an Extract from the Contracts Register (the Message Log) within five (5) working days from the receipt of the request. Following the consideration of the request, the Repository shall send to the arbitration appointed manager or the liquidator the requested Extract for the benefit of the indebted Client who is a party to the relevant Contract, containing the information selected in accordance with the requested parameters in hard copy form. If it is impossible to prepare the requested Extract from the Contracts Register (the Message Log), the Repository shall issue a report on the denial of the request in hard copy form (document code attached at Appendix 1 to these Terms and Conditions). If it is impossible to prepare an Extract from the Contracts Register, the Repository shall prepare and send a letter of an optional form indicating a reason for non-delivery of requested documents which may be appealed against by the recipient at court |
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1.33.3.10.The Repository shall not include in the Contracts Register Extract by an arbitration appointed manager, a liquidation commission or a liquidator scanned copies of Master Agreements or contracts agreed between the parties to the Master Agreement and included in the Contracts Register. In order to obtain an Extract containing scanned copies of the Master Agreements or contracts included in the Contracts Register, the arbitration appointed manager, the liquidation commission or the liquidator will be required to additionally submit a written request in any form for the issuance of an Extract together with scanned copies of the documents and specifying the types of the documents: Master Agreement(s) and/or contract(s), and / or a reporting form (s), Registration Number (s) (assigned by the Repository when information is entered in the Contracts Register) of the Master Agreement(s) and / or contracts information about which and scanned copies of which were included in the Contracts Register. |
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Особенности организации эдо при обеспечении депозитарной/клиринговой/ репозитарной деятельности | |||
Небанковской кредитной организации закрытого акционерного общества «национальный расчетный депозитарий» | ... | ||
... | Порядок взаимодействия клиентов и нко зао нрд при оказании услуг по управлению обеспечением 1 | ||
Нрд – канал информационного взаимодействия, обеспечивающий взаимодействие программного обеспечения Клиента и/или Информирующего лица... | Комитетом пользователей услуг нко зао нрд (Комитетом пользователей услуг центрального депозитария) | ||
Комитетом пользователей услуг нко зао нрд (Комитетом пользователей услуг центрального депозитария) |
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