Reporting of information regarding non-disclosure by a nominee holder of its clients

04 February 2019
Print version

Ref. 03-20/575 dated 4 February 2019

Attn.: NSD's Clients 

Please be advised that, in accordance with Bank of Russia's Directive No. 4927-U dated 8 October 2018 "On the List, Templates and Methods of Preparation and Submission of Reporting Forms by Credit Organizations to the Central Bank of the Russian Federation" (effective 1 January 2019), NSD is required to submit Reporting Form 0409713 entitled "Information Regarding a Nominee Holder's Failure to Ensure the Receipt of Income from Securities and Non-Disclosure by a Nominee Holder of Its Clients" (the "Report") to the Bank of Russia.

To enable us to fill in Section 2 of the Report, we request that you, in due time, no later than the dates as of which the relevant information is to be provided to the Bank of Russia, provide us with information regarding non-disclosure by you of your clients to NSD, where such non-disclosure is provided for by agreements with the relevant clients.

Please provide the requested information in any format, and make sure that the following details are included:

  • issuer's full name;
  • date as of which the list of securities owners or the list of persons exercising the rights attached to the securities (the "List") is drawn up;
  • basis for drawing up the List (Request Form GS061 or Meeting Notification);
  • security's ISIN; and
  • quantity of securities owned by the clients not disclosed to NSD.

If we do not receive the information requested above, the details of the nominee holder who has not disclosed its clients will be included in the Report.

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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