Скачать 2.14 Mb.
|
|
| |||
|
| |||
|
| |||
1.32.1.2.Information is entered in the Contracts Register on the basis of a document signed by the Principal Reporting Agent or the Reporting Agent and submitted to the Repository in electronic form. If it is impossible to deliver a document in electronic form due to a Technological Error in the systems of the Repository, which is not remedied by the expiry of the term for submission established in these Terms and Conditions, the Principal Reporting Agent or the Reporting Agent may deliver the document in hard copy form to the Repository. |
| |||
1.32.1.3.All communications shall be registered in the Messages Log on the day of their receipt by the Repository. |
| |||
An entry made to the Messages Log shall contain the following data: | Запись в Журнале учета сообщений содержит: | |||
1) the title of the communication and the incoming reference number assigned to communication based on the time of registration (incoming number); | 1) наименование сообщения и его порядковый номер, присваиваемый сообщениям последовательно по времени регистрации (входящий номер); | |||
2) the date and time of the registration of the communication in the Messages Log; | 2) дату и время регистрации сообщения в Журнале учета сообщений; | |||
3) the outgoing reference number and the date of the dispatch of the communication, if applicable; | 3) порядковый номер (исходящий номер) и дату отправления сообщения (при наличии); | |||
4) the outgoing reference number of a reply to the communication received and the date of the reply, if applicable. | 4) исходящий номер ответа (при наличии) на полученное сообщение и дату его представления. | |||
The Messages Log shall be maintained in electronic form and its content must be capable of being printed on paper. | Журнал учета сообщений ведется в электронной форме при условии обеспечения возможности предоставления учитываемой информации и содержащихся в нем сведений на бумажных носителях. | |||
All the messages received shall be kept in Message log of the Repository during five (5) years from the date the agreement, information about which is entered in the Contracts Register, is terminated. | Принятые сообщения сохраняются в Журнале учета сообщений Репозитария в течение 5 (пяти) лет с даты прекращения срока действия договора, сведения о котором внесены в Реестр договоров. | |||
1.32.1.4. | | |||
The Repository shall register the making of data entries, or rejections of requests to enter such data, in the Contracts Register and in the Registration Log. The registration of entries made in the Contracts Register shall be carried out at the same time as the relevant entry is posted in the Contracts Register, and a rejection of such data entry shall be registered on the date of the decision of the Repository to deny the registration request. | Репозитарий регистрирует внесение сведений в Реестр договоров, а также каждый отказ во внесении сведений в Реестр договоров в Регистрационном журнале. Регистрация внесения сведений в Реестр договоров осуществляется одновременно с совершением записи в Реестре договоров, регистрация отказа во внесении сведений в Реестр договоров осуществляется в день принятия Репозитарием решения об отказе во внесении сведений в Реестр договоров. | |||
The Registration Log which is an integral part of the Contracts Register shall contain the following: | Регистрационный журнал, который является неотъемлемой частью Реестра договоров, содержит: | |||
1) the Registration Number of the Master Agreement assigned by the Repository; | 1) присвоенный Репозитарием регистрационный номер Генерального соглашения; | |||
2) the code of the person from whom the communication was received that forms the basis for making or rejecting an entry in the Contracts Register; when receiving such communications in relation to a Contract from two Reporting Agents and on the selection by them of the method of the counter-affirmation of the Contract Reporting Form as set out in Section 5.4.3.16.1 in connection with the entry of data on that communication in the Registration Log, the Registration Log shall indicate the code of the Reporting Agent who was the first to send the communication to the Repository; | 2) код лица, предоставившего сообщение, являющееся основанием для внесения или отказа во внесении сведений в Реестр договоров; при предоставлении сообщений о внесении в Реестр договоров сведений о Договоре двумя Информирующими лицами и избрании ими метода встречного подтверждения Анкеты договора при внесении сведений о данном сообщении в Регистрационный журнал указывается код лица, первым приславшим сообщение в Репозитарий; | |||
3) the sequential number assigned to the communication and the date of the communication as recorded in the Messages Log; | 3) порядковый номер и дата сообщения, присвоенные в Журнале учета сообщений; | |||
4) the date, time and number of the entry made in the Contracts Register or of the rejection of registration of data in the Contracts Register; | 4) дату, время и номер записи в Реестре договоров или дату уведомления об отказе во внесении записи в Реестр договоров; | |||
5) the type of the entry made in the Contracts Register (e.g., recording of information about a Master Agreement, a Contract, changing the Master Agreement or Contract data, etc.); | 5) вид записи в Реестре договоров (внесение сведений о Генеральном соглашении, о договоре, изменение сведений о Генеральном соглашении, договоре и т.д.); | |||
6) information on data recorded in the Contracts Register or the grounds for the rejection of registration of such data in the Contracts Register. Where changes are made to existing data in the Contracts Register, the number and the date on which the previous entry was made in the Contracts Register should be indicated. | 6) информация о сведениях, внесенных в Реестр договоров, или основание для отказа во внесении сведений в Реестр договоров. При этом если в Реестр договоров вносятся сведения об изменении уже внесенных в Реестр договоров сведений, то в информации указываются номер и дата внесения предыдущей записи в Реестр договоров. | |||
1.32.1.5.Upon receiving a message for initial registration, which contains Master Agreement Reporting Form and/or Contract Reporting Form, the Repository verifies received message uniqueness and controls the possibility of duplication in the Соntracts Register. The procedure of uniqueness and duplication control is performed within the Repository’s data registration system and in accordance with the order, stipulated in Appendix 8. |
| |||
1.32.1.6.Information on the contract concluded on the terms and conditions of the master agreement is recorded in the Contracts Register only after information on the Master Agreement, pursuant to which the relevant Contract was concluded, has been recorded in the Contracts Register. |
| |||
1.32.1.7.When entering information in the Contracts Register in respect of an electronic communication sent to the Repository in accordance with the EDI Agreement, the Repository shall issue to the Reporting Agent an electronic document – a Notice of the registration in the Contracts Register, in which the number assigned by the Repository to that communication will be specified. |
| |||
1.32.1.8.If the Repository refuses to register data sent to the Repository in accordance with EDI Agreement, the Reporting agent shall be granted an electronic document and the Principal reporting Agent shall be granted a Notification on Rejection of registration/ performance in which the reasons for the rejection shall be stated. shall receive an electronic document and the Principal Reporting Agent shall receive a. If necessary, the reasons for the rejection as provided for in these Terms and Conditions may be explained in detail in issued explanatory documents. In such case, the obligations of the Repository in relation to that communication of the Principal Reporting Agent or the Reporting Agent shall be deemed fulfilled. Payment for such reports shall be made by the Client in accordance with the applicable procedures and based on the Tariffs. |
| |||
1.32.1.9.If the Repository refuses to record any data in the Contracts Register, the Principal Reporting Agent shall have the right to amend its communication and submit to the Repository a new Master Agreement Reporting Form and the Reporting Agent – a Contract Reporting Form within three working days from the date of the receipt of a Registration / Execution Rejection Notification from the Repository. In such case, the time limits established in these Terms and Conditions for the submission of data shall be deemed complied with, except for the case of a repeated refusal by the Repository to enter data in the Contracts Register. |
| |||
1.32.1.10.The Repository shall enter or refuse to enter data in the Contracts Register not later than by the end of the working day immediately following the day of the receipt of a communication from the Principal Reporting Agent and/or from the Reporting Agent, and if both parties to the Master Agreement act as the Principal Reporting Agent and/or the Reporting Agent, by no later than by the end of the working day immediately following the day of the receipt of the second communication, provided there is no inconsistency between the data contained in such communications received from the parties to the Master Agreement. |
| |||
1.32.1.11.Communications from the Principal Reporting Agent on the Master Agreement (changes in the Master Agreement or performance of obligations under the contract) or communications from the Reporting Agent on the Contract (amendments to the terms of contracts, amendments to codes of the status of obligation or the performance of obligations under the Contract) shall, where the Principal Reporting Agent or the Reporting Agent are parties to the Master Agreement, be recorded in the Contracts Register only if the both parties have entered into the Agreement on the terms and conditions for the provision of repository services with the Repository1. |
| |||
1.32.1.12.Communications from the Principal Reporting Agent and/or the Reporting Agent to be submitted for their recording in the Contracts Register shall be sent to the Repository in the form of electronic documents. Where the Repository, the Principal Reporting Agent or the Reporting Agent is unable to prepare, receive and/or send duly executed communications or documents in electronic form by the deadline for the submission, such communications or documents may be delivered to the Repository in hard copy form. |
| |||
1.32.1.13.If the Master Agreement Reporting Form / Master Agreement Termination Reporting Form or Contract Reporting Form / Credit Support Annex Reporting Form / Contract Obligation Status Reporting Form/ Credit support annex reporting form Mark to Market Valuation Reporting Form are submitted to the Repository in hard copy, they shall be signed by two Principal Reporting Agents / Reporting Agents appointed by the Clients that are parties the Master Agreement. If the Principal Reporting Agent / Reporting Agent of both parties is one and the same person, Reporting Forms shall be signed only by such person. If Reporting Forms are submitted to the Repository in hard copy by the Client / Principal Reporting Agent / Reporting Agent a counterparty of which is a Client that is not obliged to submit information to the Repository and that provided to the Repository “the Notification on rejection to provide information to the Repository”, such Reporting Forms shall be signed only the Client / Principal Reporting Agent / Reporting Agent that is a party to the Master Agreement obliged to provide information to the Repository. |
| |||
1.32.1.14.All incoming communications from the Principal Reporting Agent and/or from the Reporting Agent, made for the purpose of recording data in the Contracts Register (including scanned copies of the documents attached thereto(master agreements, contracts or scanned copies of such documents in the PDF format, if submitted in electronic form)) shall be held by the Repository throughout the effective term of the Master Agreement or Contract on which information was recorded, and for a period of five (5) years after the termination of the master agreement / the contract the information on which was recorded in the Contracts Register. |
| |||
Documents in hard copy submitted to the Repository by the Principal Reporting Agent and / or the Reporting Agent with information to be entered in the Contracts Register shall be kept by the Repository during the entire effective term of the Master Agreement or a contract and another five years from the date the Master Agreement or a contract information about which is entered in the Contracts Register are terminated. | Документы, поступившие в Репозитарий в бумажной форме от Базового информирующего лица и/или Информирующего лица для внесения сведений в Реестр договоров, хранятся в Репозитарии в течение всего срока действия Генерального соглашения или договора и еще в течение 5 (пяти) лет с даты прекращения срока действия Генерального соглашения или договора, сведения о котором внесены в Реестр договоров. | |||
1.32.1.15.The Contracts Register, including the Registration Log, shall be maintained by the Repository in electronic form and its data shall be capable of being printed on paper. The Repository shall keep and protect all data recorded in the Contracts Register, and shall create a reserve copy of the Contracts Register. |
| |||
1.32.1.16.The Repository shall be responsible for the maintenance of the Contracts Register at all times and must be able to prepare Extracts at any time and in respect of any time period. |
| |||
1.32.1.17.The Repository shall include in the Contracts Register the data required by the effective legislation of the Russian Federation and/or regulatory act(s) of the Regulating Authority on financial markets with respect to repository activities, the details of communications on Contracts and also additional data supplied by the Reporting Agent for inclusion in the Contracts Register, whether supplied by hard copy documents or in PDF or other electronic format. |
| |||
1.32.1.18.Information shall be recorded in the Contracts Register in the Russian language. If a Master Agreement and/or a Contract are submitted for inclusion in the Contracts Register in a foreign language, the names of the parties to the Master Agreement or the Contract, the name of the Reporting Agent, and the scanned copy of the attached document may be recorded in the Contracts Register in the same foreign language. Information, submitted for the recording in the Register of contracts in foreign language shall be submitted using transliteration in the latin alphabet. |
Информация, предоставленная для внесения в Реестр договоров Репозитария на иностранном языке, должна быть предоставлена в транслитерации латинского алфавита. | |||
1.32.2.Registration of information on Master Agreements |
| |||
1.32.2.1.The Repository shall register information on Master Agreements and amendments to their terms and conditions or termination of the Master Agreement to reflect the terms and conditions of the Master Agreements that serve basis for Contracts required to be entered in the Contracts Register. |
| |||
1.32.2.2.Only new information on Master Agreements not previously registered in the registration system of the Repository shall be registered. |
| |||
1.32.2.3.Information on any amendments made to the terms of a Master Agreement is also required to be recorded in the Contracts Register. |
| |||
1.32.2.4.If a party to a Master Agreements acts as a Reporting Agent, then the identification of such party as a Reporting Agent is made by indicating the Identification Code of the Principal Reporting Agent of such party in the Master Agreement Reporting Form. |
| |||
1.32.2.5.If a party to the Master Agreement is an entity not obliged to submit information to the Repository and that is not a Client of the Repository, it is identified as a counterparty in the Master Agreement Reporting Form submitted by the Client of the Repository by indicating one of the values from the Reference Guide for Eligible Identification Codes of an entity not obliged to provide information to the Repository. |
| |||
1.32.2.6.If a party to the Master Agreement is a Client not obliged to submit information to the Repository and that refused to provide information to the Contracts Register, it is identified as a counterparty in the Master Agreement Reporting Form submitted by the Client of the Repository (the Principal Reporting Agent of a party obliged to submit information to the Repository) by indicating a repository code of the Client. |
| |||
1.32.2.7.Registration of a Master Agreement includes receiving the Master Agreement Reporting Form from the Principal Reporting Agent (Principal Reporting Agent 1), examining the Master Agreement Reporting Form’s compliance with the necessary requirements, uniqueness and duplication control of the received message within the Repository’s data registration system the affirmation3 of the Master Agreement Reporting Form by the Client’s counterparty's Principal Reporting Agent (Principal Reporting Agent 2), posting an entry regarding the Master Agreement in the Contracts Register and issuing the Principal Reporting Agents a Registration Advice confirming the registration of data on the Master Agreement, or a Registration / Execution Rejection Advice rejecting the registration of data on the Master Agreement. |
| |||
1.32.2.8.Information on changes made to a Master Agreement is recorded in the Contracts Register upon receipt of a Master Agreement Reporting Form (document code CM010 attached at Appendix 1). The Master Agreement Reporting Form may be submitted by the Principal Reporting Agent together with a copy of the relevant Master Agreement. If the Master Agreement Reporting Form is submitted to the Repository in electronic form, the Principal Reporting Agent may include in the package of electronic documents prepared in accordance with the EDI Agreement and Section 7 of these Terms and Conditions, apart from the Reporting Form file in the format provided by Appendix 2 to these Terms and Conditions, a scanned electronic copy of the Master Agreement. |
| |||
1.32.2.9.Information on any changes made to the terms of the Master Agreement is recorded in the Contracts Register upon receipt of a Master Agreement Reporting Form stating that it is intended for “making amendments” and containing the details of the Master Agreement Reporting Form, including the date and registration number, which is to be amended. |
| |||
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) |
Поиск Главная страница   Заполнение бланков   Бланки   Договоры   Документы    |