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и иными нормативными правовыми актами, а также настоящими Условиями. | | |||
1.4.Functions of the Participants and the Repository |
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1.4.1.The Reporting Agent |
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1.4.1.1.The Reporting Agent is designated by the parties to the Master Agreement and is responsible for submitting information to the Repository on the contracts concluded on the terms and conditions of the master agreement, and for the receipt of reporting documents from the Repository with respect to information about contracts contained in the Contracts Register and made on the basis of master agreements under which such person acts as a Reporting Agent. For REPO trades with a securities basket that are made under the Master Agreement on the OTC market when one of the parties of the Master Agreement is the Bank of Russia, only NSD may be nominated as the Principal Reporting Agent. If one of the parties to the Master Agreement or another person is nominated a Reporting Agent representing both parties to the Master Agreement, information about contracts made on the basis of this Master Agreement and changes in them shall be entered unilaterally on the basis on information provided by such person. If the NSD is nominated a Reporting Agent by both parties of the Master Agreement, contracts made on the basis of this Master Agreement and changes in them shall be registered unilaterally. If one of the parties to the Master Agreement is a person not obliged to submit information to the Repository and that is not the Client of the Repository, a Reporting Agent shall be identified by a party that has the obligation to submit information to the Repository. |
По сделкам репо с корзиной ценных бумаг, заключаемых на условиях Генерального соглашения не на организованном рынке ценных бумаг, когда одной из сторон Генерального соглашения является Банк России, Информирующим лицом может быть назначена только НКО ЗАО НРД. В случае назначения Информирующим лицом от обеих сторон Генерального соглашения одной из сторон Генерального соглашения или иного лица, внесение сведений о договорах, заключаемых на условиях данного Генерального соглашения, а также внесение по ним изменений, будет осуществляться в одностороннем порядке по сведениям, представляемым таким лицом. В случае назначения Информирующим лицом от обеих сторон Генерального соглашения НКО ЗАО НРД, внесение сведений о новых договорах, заключаемых на условиях данного Генерального соглашения, а также внесение по ним изменений, будет осуществляться в одностороннем порядке. В случае если одной из сторон Генерального соглашения является лицо, не обязанное предоставлять информацию в репозитарий и не являющееся Клиентом Репозитария, то Информирующее лицо определяется стороной, обязанной предоставлять информацию в репозитарий. | | ||
1.4.1.2.The Reporting Agent shall have an effective Electronic Data Interchange Agreement with the Repository. If NSD acts as the Reporting Agent of the Client, entering into the EDI Agreement with the Repository shall not required. |
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1.4.1.3.The Reporting Agent shall have an Identification Code which shall be used for the purpose of identifying such Reporting Agent within the Repository’s data registration system |
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1.4.1.4.Information on the Reporting Agent shall be submitted to the Repository by the Principal Reporting Agent. The Client shall have the right to act as a Reporting Agent. |
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1.4.1.5.The Reporting Agent shall have the following responsibilities: |
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- provision of information on the contracts, changes in terms of contacts or obligations under contracts concluded on the terms and conditions of the master agreement; | - предоставление информации о договорах, изменении условий договоров, изменении обязательств по договорам, заключенным на условиях Генерального соглашения; | | ||
- lodging objections with the Repository to data entered in the Contracts Register; | - предоставление возражений Репозитарию по внесенным в Реестр договоров сведениям; | | ||
- receipt of Extracts from the Repository; and - receipt extracts out from the Message Log from the Repository; | - получение от Репозитария Выписки по договорам, зарегистрированным в интересах Клиента; - получение от Репозитария выписок из Журнала учета сообщений; | | ||
- receipt of reporting documents from the Repository regarding data entered in the Contracts Register. | - получение отчетных документов Репозитария в отношении сведений, внесенных в Реестр договоров. | | ||
1.4.1.6.If a party to the Master Agreement acts as Reporting Agent, such party should be indicated in the Master Agreement Reporting Form as a Reporting Agent under that Master Agreement by inserting the Identification Code of the Client who is a party to the Master Agreement. |
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1.4.1.7.If under a Master Agreement the duty to provide information about all contracts or certain types of contracts is to be performed on behalf of both parties to the Master Agreement, by the Reporting Agent, then parties to the Master Agreement shall indicate such Reporting Agent as their Reporting Agent in a Master Agreement Reporting Form. For the purpose of registering such Reporting Agents with the Repository the parties to the Master Agreement shall, when filling out the Master Agreement Reporting Form, specify the Identification Code of all persons who are authorized to act as Reporting Agents under the relevant Master Agreement. If the parties to the Master Agreement have limited the powers of the Reporting Agent in respect of the submission of information on contracts concluded on the terms and conditions of the master agreement, the Repository shall not be liable for any action or inaction of the Reporting Agent, including any actions performed by such Reporting Agent in excess of its scope of powers, unless the have notified the Repository of the termination of powers of such Reporting Agent. |
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1.4.1.8.If it has been agreed under the Master Agreement that two Reporting Agents shall provide information on contracts concluded on the terms and conditions of the master agreement, each party to the Master Agreement shall have the right to appoint only one person to act as a Reporting Agent under that Master Agreement. This restriction does not prevent the parties from appointing other persons to provide information on contracts concluded on the terms and conditions of that master agreement to other repositories under the laws of foreign states. |
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1.4.1.9.If the Master Agreement provides for concluding Contracts of different types, the parties to the Master Agreement shall have the right to appoint Reporting Agents for each type of Contract under that Master Agreement in accordance with Section 2.4.1.6 or Section 2.4.1.7. |
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1.4.2.The Principal Reporting Agent |
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1.4.2.1.The Principal Reporting Agent shall be appointed by the Client and shall be granted such powers as required to perform the actions provided for in these Terms and Conditions. |
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1.4.2.2.Any legal entity which has an effective EDI Agreement with the Repository may act as a Principal Reporting Agent. If NSD acts as the Principal Reporting Agent of the Client, entering into the EDI Agreement with the Repository is not required |
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1.4.2.3.The Principal Reporting Agent shall have an Identification Code which shall be used for the purpose of identifying such Principal Reporting Agent within the Repository’s data registration system. |
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1.4.2.4.The Principal Reporting Agent shall provide the Repository with information on the Principal Reporting Agent, together with the power of attorney issued by the Client to the Principal Reporting Agent (Appendix 5 to these Terms and Conditions). The scope of powers vested in the Principal Reporting Agent to act on behalf of the Client under these Terms and Conditions shall be as stated in the power of attorney. In the case of changing data about previously appointed Principal Reporting Agent the Client is obliged simultaneously with granting the Power of attorney for a new Principal Reporting Agent authorized to act on behalf of the Client revoke previously issued power of attorney. The Client may itself act as the Principal Reporting Agent, in which case no power of attorney is required. For REPO trades with a securities basket that are made under the Master Agreement on the OTC market when one of the parties of the Master Agreement is the Bank of Russia, only NSD may be nominated as the Principal Reporting Agent. |
По сделкам репо с корзиной ценных бумаг, заключаемых на условиях Генерального соглашения не на организованном рынке ценных бумаг, когда одной из Сторон Генерального соглашения является Банк России, Базовым информирующим лицом может быть назначена только НКО ЗАО НРД. | | ||
1.4.2.5.The Principal Reporting Agent shall have the following responsibilities, inter alia : |
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- signing and delivering to the Repository, on behalf of the Client, the Client’s documents as provided for in the Repository Services Agreement; | - подписание и передачу Репозитарию от имени Клиента документов Клиента, предусмотренных договором об оказании репозитарных услуг; | | ||
- receipt from the Repository of documents, intended for the Client, and delivery of such documents to the Client; | - получение от Репозитария документов, предназначенных для Клиента, и передача Клиенту полученных документов; | | ||
- receipt from the Repository and delivery to the Client of invoices and VAT-invoices for the Repository Services; | - получение от Репозитария и передачу Клиенту счетов и счета-фактуры на оплату Репозитарных услуг; | | ||
- payment of invoices issued to the Client for the provision of Repository Services;. | - оплату счетов Клиента за оказанные Клиенту Репозитарные услуги; | | ||
- interaction with the Repository concerning complaints from the Client related to the repository services. | - взаимодействие с Репозитарием по поводу претензий Клиента, связанных с оказанием репозитарных услуг. | | ||
1.4.2.6.The powers of the Principal Reporting Agent may be revoked on the grounds provided for by the laws of the Russian Federation. If such powers are terminated by the Client, the Client shall notify the Repository in writing of the revocation of the power of attorney and of the termination of the appointment of the Principal Reporting Agent. |
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1.4.2.7.In the documents submitted to the Repository by the Principal Reporting Agent there must be indicated the identification code of the principal reporting agent and the identification code of the Client on whose behalf the Principal Reporting Agent acts. |
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1.4.2.8.The Principal Reporting Agent shall deliver to the Client the reporting documents received from the Repository that are intended for the Client. |
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1.4.2.9.The Principal Reporting Agent shall keep the Client’s primary documents used by the Principal Reporting Agent to prepare and submit documents to the Repository. |
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1.4.2.10.The Repository shall not be liable to the Client for any losses sustained by the Client as a result of any action or inaction the Principal Reporting Agent of such Client. |
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1.4.3.The Client |
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1.4.3.1.When entering into the Agreement on the terms and conditions for the provision of repository services the Client shall appoint at least one Principal Reporting Agent and authorize it (if the Principal Reporting Agent is a third party), inter alia, to receive invoices and VAT-invoices for Repository Services. Alternatively the Client shall carry out the functions of the Principal Reporting Agent on its own. If the Client fulfills the functions of the principal reporting agent on its own, it will not be necessary to submit a power of attorney. |
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1.4.3.2.The Client shall have the right to appoint several Principal Reporting Agents and grant them the requisite powers. |
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1.4.3.3.Where the Client is a legal entity, it shall have the right to act as the Reporting Agent and/or the Principal Reporting Agent. |
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1.4.3.4.Where the Client is an individual (natural person), such individual, when entering into the Agreement on the terms and conditions for the provision of repository services, shall be required to lodge with the Repository a notarized power of attorney that has been granted to at least one legal entity, under which such individual has authorized the legal entity to act as the Principal Reporting Agent of such individual. Such legal entity must meet the requirements imposed on Principal Reporting Agents by these Terms and Conditions. |
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1.4.3.5.If the Client is a foreign individual, then when entering into the Agreement on the terms and conditions for the provision of repository services such Client shall lodge with the Repository a notarized power of attorney issued to at least one Russian or foreign legal entity authorizing such entity to act as its Principal Reporting Agent. Such legal entity must meet the requirements imposed on Principal Reporting Agents by these Terms and Conditions. 1.4.3.6.In case a foreign legal entity acts as the Client, such Client has a right to act as Principal reporting agent and/or Reporting agent. Such foreign legal entity shall comply with the requirements, applied to the Principal reporting agents, stipulated by the Terms. |
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If a power of attorney granted to a Principal Reporting Agent was executed and issued outside the Russian Federation, then, unless otherwise provided by the applicable international treaties to which the Russian Federation is a party, the power of attorney must be legalized (at the consulate service of the Russian Federation in the relevant foreign state) or apostilled by the competent authority of the relevant foreign state in accordance with the requirements of the Hague Convention of 1961 which cancels the legalization requirement for foreign official documents. A power of attorney issued in a foreign language must be submitted to the Repository together with a notarized translation to Russian. | В случае, если доверенность на Базовое информирующее лицо составлена и выдана за пределами Российской Федерации, если иное не предусмотрено международными договорами с участием Российской Федерации, доверенность должна быть легализована (в консульстве Российской Федерации за границей) или должна иметь апостиль, проставляемый компетентным органом иностранного государства в соответствии с требованиями Гаагской Конвенции 1961 года, отменяющей требование легализации иностранных официальных документов. Доверенность, составленная на иностранном языке, представляется с нотариально заверенным переводом на русский язык. | | ||
1.4.3.7.The Client, not obliged to submit information to the Repository, shall have the right to forego to submit information to the Contracts Register. In this case it shall provide “the Notification on rejection to submit information to the Repository (document code CM012 of Appendix 1 to these Terms and Conditions) and shall notify its counterparty under the Master Agreement about its rejection to submit information to the Repository. Furthermore, such Client, not obliged to submit information to the Repository, shall have the right to:
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- оставаться Клиентом Репозитария, пользоваться правами и нести обязанности Клиента, предусмотренные Условиями; - расторгнуть с Репозитарием Соглашение об условиях оказания репозитарных услуг в порядке, предусмотренном Условиями. | | ||
1.4.3.7.1.Actions to be taken by the Client not obliged to submit information to the Repository and refusing to submit information to the Repository but not willing to terminate the Agreement on repository services. 1.4.3.7.1.1.If the Client, not obliged to submit information to the Repository, wants to forego to submit the information to the Contracts Register but it does not terminate the Agreement on the terms and conditions for the provision of repository services, such Client shall submit “the Notification on the rejection to submit information to the Repository (document code CM012 of Appendix 1 to these Terms and Conditions) and notify its counterparty about its rejection to provide information to the Repository. |
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1.4.3.7.1.2.“The Notification on the rejection to submit information to the Repository (document code CM012 of Appendix 1 to these Terms and Conditions) shall be provided to the Repository only in a paper form. |
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1.4.3.7.1.3.If the Client not obliged to submit information to the Repository and that has two or more repository codes provides “the Notification on rejection to submit information to the Repository”, the Notification on rejection to submit information to the Repository shall apply to all repository codes of the Clients without exception. |
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1.4.3.7.1.4.On the basis of “the Notification on rejection to submit information to the Repository”, the Repository shall make respective entries to its record systems. Simultaneously the Repository shall make changes to the Reference guide for Participants available on the NSD official web-site where all repository codes of the Client not obliged to submit information to the Repository and refusing to provide information to the Repository are respectively marked. “Notification on rejection to submit information to the Repository” shall be processed by the Repository according to the procedure set out by Section 4 “Documents Turnover” of these Terms and Conditions. Information about the Client not obliged to submit information to the Repository shall be included in the Reference Guide of Participants and the Record Systems of the Repository on the day the Repository receives the Notification on rejection to submit information to the Repository if its is submitted before 5pm or on a business day following the day when such notification is submitted. Information recorded may be used by counterparties of the Participant refusing to provide information to the Repository to perform their obligations under the Agreement on terms and conditions for provision of repository services. |
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1.4.3.7.1.5.In order to renew submission of information to the Contracts Register the Client, not obliged to submit information to the Repository, refusing submission of information shall provide to the Repository “the Notification on document revocation” (document code CM013 of Appendix 1 to these Terms and Conditions) |
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1.4.3.7.1.6.Following respective changes to the record systems of the Repository and submission to the Repository of a Master Agreement Reporting Form containing appropriate changes the Client, not obliged to submit information to the Repository, shall resume provision of information to the Contracts Register of the Repository. |
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1.4.3.7.2.Actions to be taken by the Client not obliged to submit information to the Repository and refusing to submit information to the Repository and willing to terminate the Agreement on repository services. 1.4.3.7.2.1.If the Client, not obliged to submit information to the Repository, foregoes to provide information to the Contracts Register and does not want to remain the Client of the Repository, such Client shall:
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- подать «Уведомление о намерении расторгнуть Соглашение об условиях оказания репозитарных услуг» (код документа СМ014 Приложение 1 к настоящим Условиям). - расторгнуть Соглашение об условиях оказания репозитарных услуг. | | ||
1.4.3.7.3.Persons that under the effective legislation of the Russian Federation and/or regulatory act(s) of the Regulating Authority on financial markets are not obliged to submit information to the Repository but willing to become clients of the Repository shall meet requirements of the Repository for potential clients to conclude an Agreement on terms and conditions for provision of repository services and a Repository Services Agreement. Repository services to Clients not obliged to submit information to the Repository shall be rendered according to a standard procedure on the basis of effective wording of the Terms and Conditions. |
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1.4.4.Repository |
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Repository is the National Settlement Depository (NSD) performing repository activities in accordance with a Notification, submitted to the Regulating Authority on Financial Markets and disclosed on the official website of the Bank of Russia. | Репозитарий - Небанковская кредитная организация закрытое акционерное общество «Национальный расчетный депозитарий» (НКО ЗАО НРД), осуществляющая репозитарную деятельность на основании Уведомления, направленного Регулирующему органу в области финансовых рынков и размещенному на официальном сайте Центрального банка Российской Федерации в сети Интернет. | | ||
1.4.4.1.In accordance with these Terms and Conditions, the Repository shall: |
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- carry out the registration of Clients / principal reporting agents / reporting agents within the registration system of the Repository; | - осуществляет регистрацию Клиентов/Базовых информирующих лиц/Информирующих лиц в учетной системе Репозитария; | | ||
- record information in the Contracts Register regarding the registration, amendment and termination of the Master Agreement; | - вносит сведения в Реестр договоров о регистрации, изменении, прекращении Генерального соглашения; | | ||
- record information in the Contracts Register regarding the registration, amendment and termination of the contracts concluded on the terms and conditions of the Master agreement; - register information with the Contracts Register on the status / performance of obligations made on the terms and conditions of the Master Agreement; | - вносит сведения в Реестр договоров о регистрации, изменении, прекращении договоров, заключенных на условиях Генерального соглашения; - вносит сведения в Реестр договоров о состоянии/исполнении обязательств по договорам, заключенным на условиях Генерального соглашения; | | ||
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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