Changes (effective from 1 December 2016) in the procedure for compilation of lists of securities owners and lists of persons authorized to exercise rights attached to securities

25 November 2016
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Ref. No. АС-20/9033 dated 25 November 2016

Attn.: NSD's Clients

Please be advised that, with effect from 1 December 2016, NSD will change the procedure for compilation of lists of securities owners and lists of persons authorized to exercise rights attached to securities in accordance with Articles 8.6-1 and 8.7-1 of the Federal Law "On the Securities Market" or on other applicable grounds (a "List").

  1. For the purposes of compiling a List, NSD will send to its clients:
    • either a Form GS061 request (a "Request"); or
    • a document in the ISO 20022 format, if such document is provided for by the NSD's EDI Rules for such corporate action (a "Notification").
  2. A Request to compile a List will be sent to clients, provided that NSD has received a request from the relevant register keeper or from the Bank of Russia, or on the basis of an issuer's request where NSD is responsible for mandatory centralized safekeeping of the relevant securities.
  3. A Request may contain, inter alia, the following details:
    • the ground on which the List is to be compiled, as specified in the register keeper's request;
    • the depository code assigned by NSD to the register keeper;
    • the related corporate action code and reference (in addition to the principal code (DSCL) of the corporate action); and
    • the timeframe within which the client should submit the List.
  4. The timeframe within which clients should submit the List depends on the ground on which the List is to be compiled and may not exceed 12 business days.
  5. In response to the Request, clients shall disclose information on the securities owners and the persons authorized to exercise the rights attached to the securities ("Part I of the List") by submitting a Form RF005 instruction.
  6. In response to the Request, clients shall disclose information on the persons on whose behalf the rights attached to the securities are exercised ("Part II of the List") by submitting an *xls (*xlsx) document via NSD's EDI System in the form of an untyped transit electronic document to the register keeper, by using the register keeper's depository code indicated in the Request. When completing that document, clients must not change the names, arrangement, or quantity of the columns.
  7. For the format description of Part II of the List, please see Appendix 4 to the NSD's EDI Rules (Chapter 8) posted on NSD's official web site (Electronic Data Interchange section).
  8. A transit electronic document package containing Part II of the List shall be sent to the relevant recipient, using the 'open envelope' schema and always indicating the subject of the message (in Latin characters, case-sensitive) by applying the following template: <8.6-1>_<Security code assigned by NSD>_<Date as at which the list is compiled, in the DD/MM/YYYY format>, or as an attachment to the Transit Electronic Document with Identification Code 5RESTR20 (FREE_FORMAT_MESSAGE_V02).
  9. In response to a Notification, clients shall submit ISO 20022 documents to NSD in accordance with the NSD's EDI Rules and the Rules of Communication with NSD in the Course of Corporate Information Interchange, Corporate Actions Processing, and Other Transactions.

In case of any question related to this communication, you may contact your account managers at: +7 495 956-27-90, +7 495 956-27-91.

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