Moscow Exchange FBOT Form [Supplement S-1]

APPENDIX 9

[Procedure for submission of information and reports] 

Please find attached:

 Procedure for submission of information and reports by the Clearing Members to the National 

Clearing Centre
Moscow Exchange FBOT Form [Supplement S-1]

APPENDIX 9

[Procedure for submission of information and reports] 

Approved by

the Board of 

Bank National Clearing Centre

(Joint-Stock Company)

June 17, 2015 (Minutes No.22)

PROCEDURE

FOR SUBMISSION OF INFORMATION AND REPORTS BY CLEARING MEMBERS

to BANK NATIONAL CLEARING CENTRE

(JOINT-STOCK COMPANY)

Moscow, 2015
Moscow Exchange FBOT Form [Supplement S-1]

APPENDIX 9

[Procedure for submission of information and reports] 

Procedure for Submission of Information and Reports by Clearing Members to Bank National Clearing 

Centre (Joint-stock company)

CONTENTS:

SECTION I.General provisions 4

SECTION II.Contents of the information and reports to be submitted by Clearing Members 5

SECTION III. Periodicity and deadlines for submission of the information and reports by Clearing Members 6

SECTION IV. Procedure for compiling and submission of the information and reports 8

SECTION V.Final provisions 10

APPENDIX No. 1 11

APPENDIX No. 2 16

APPENDIX No. 3 25

APPENDIX No. 4 26
Moscow Exchange FBOT Form [Supplement S-1]

APPENDIX 9

[Procedure for submission of information and reports] 

4

SECTION I. General provisions

1.1. This Procedure for Submission of Information and Reports by Clearing Members to Bank National 

Clearing Centre (Joint-stock company) (hereinafter – the Procedure) is developed in accordance with the 

requirements of the regulatory acts of the Russian Federation, the Bank of Russia, and internal documents of 

Bank National Clearing Centre (Joint-stock company) (hereinafter – the Clearing Centre), including the 

documents determining the rules for clearing activity (hereinafter – the Clearing Rules).

1.2. This Procedure determines the information and reports to be submitted by Clearing Members, as well 

as the format and deadlines for such information and reports. It outlines the requirements which apply to 

electronic document interchange and electronic documents pursuant to the Electronic Document Management 

Procedure (hereinafter – EDM Procedure).

1.3. Terms not specifically described in the Procedure are used in the meanings stipulated by the Clearing 

Rules.

1.4. Clearing Members submit information and reports for the following purposes:

1.4.1. Formation and updating of the database containing information on Clearing Members;

1.4.2. Monitoring and supervision over Clearing Members, including compliance thereof with 

the requirements for their financial condition which are set out in the Clearing Rules and other 

internal documents of the Clearing Centre.

1.5. All Appendices hereto form an integral part hereof.

1.6. This Procedure, as well as any amendments and supplements hereto, approved by the Clearing 

Centre becomes effective on the date stipulated by its resolution.

1.7. Information on approval of this Procedure (amendments and supplements hereto) and its/their 

effective date, as well as the text of the Procedure (amendments and supplements hereto), is published on the 

Clearing Centre’s website at www.nkcbank.ru no later than 5 (five) days prior to the effective date of the 

Procedure (amendments and supplements hereto), unless otherwise provided for by decision of the Clearing 

Centre.
Moscow Exchange FBOT Form [Supplement S-1]

APPENDIX 9

[Procedure for submission of information and reports] 

5

SECTION II. Contents of the information and reports to be submitted by Clearing Members

2.1. Reports presented by Clearing Members pursuant to this Procedure include:

- reports produced by credit institutions, as per the forms 0409051, 0409101, 0409102, 0409123, 

0409135, pursuant to the Instruction of the RF Central Bank dated November 12, 2009 No. 2332-U 

“On List, Forms and Procedure for Compiling and Submitting Reporting Forms of Credit Institutions to 

the Central Bank of the Russian Federation,” as well as the reference information about numerical 

value of the maximum risk per borrower or group of interrelated borrowers (N6) (according to the form 

0409118); 

- reports produced by non-credit institutions being professional securities market participants, as per the 

forms 0420402, 0420403, 0420408, 0420410, 0420411, 0420412, 0420415, 0420416, 0420417, 

0420418, 0420421, pursuant to the Instruction of the RF Central Bank dated January 15, 2015 No. 

3533-U “On Deadlines and Procedure for Compiling and Submitting Reports by professional securities 

market participants to the Central Bank of the Russian Federation”; calculation of equity according to 

the Form established by the Order of the FSFR of Russia dated October 23, 2008 No. 08-41/pz-n;

- reports produced by non-credit institutions not being professional securities market 

participants, as per the forms 0710001, 0710002, pursuant to the Order of the RF Ministry of Finance 

dated July 02, 2010 No. 66n “On Forms of Accounting Reporting by Institutions”; 

- reports produced by State Corporations and International Organizations, as per the forms 

0409101, 0409102, 0409123, pursuant to the Instruction of the RF Central Bank dated November 12, 

2009 No. 2332-U “On List, Forms and Procedure for Compiling and Submitting Reporting Forms of 

Credit Institutions to the Central Bank of the Russian Federation”;

- reports produced by non-resident banks and non-credit non-resident companies, as well as 

EurAsEc/EAEU banks (hereinafter – Non-Residents), including:

 IFRS financial statements in Russian or English, in absence thereof, balance sheet 

(or a turnover balance sheet), income statement and calculation of equity (capital) (if any) in 

accordance with established national accounting and reporting standards;

 major performance indicators for a Non-Resident [according to the forms of the 

Appendix No. 3 (for EurAsEc/EAEU banks) and Appendix No. 4 (for Non-Resident Banks and 

Non-credit non-resident institutions) to the Procedure];

 document confirming information about actual and permissible values of mandatory 

ratios of activity set by a competent body, if such mandatory ratios shall be set pursuant to the 

national legislation of the state of the Non-Resident’s incorporation;

 IFRS financial statements in Russian or English for the latest reporting year, certified 

by auditor, in absence thereof, audited financial statements compiled in accordance with 

requirements of the national legislation of the state of the Non-Resident’s incorporation.

Reports of credit institutions, reports of non-credit institutions, reports of State Corporations and 

International Organizations, and reports of Non-Residents contemplated in this clause of the Procedure are 

hereinafter jointly referred to as the Reports.

2.2. Information to be submitted by Clearing Members in accordance with this Procedure includes the 

Questionnaire of the Clearing Member (client) (Registration Card) (hereinafter – the Registration Card) 

contemplated by the Appendix No.1 hereto. 

2.3. The Clearing Centre is entitled to request from Clearing Member additional information about its 

activity and/or additional reporting forms.

2.4. Information and reports shall be kept for at least five years after termination of obligations between 

the Clearing Centre and the Clearing Member.

2.5. Clearing Members shall ensure that the information and reports they submit are up-to-date and 

accurate. 
Moscow Exchange FBOT Form [Supplement S-1]

APPENDIX 9

[Procedure for submission of information and reports] 

6

SECTION III. Periodicity and deadlines for submission of the information and reports by Clearing 

Members 

3.1. Reports produced by credit institutions: 

 turnover balance sheet of a credit institution (form 0409101) – monthly;

 statement of financial results (form 0409102) – quarterly;

 calculation of equity (capital) (Basel III) (Form 0409123) – monthly;

 information on mandatory norms (form 0409135) – monthly;

 reference information about numerical value of the maximum risk per borrower or group of interrelated 

borrowers (N6) (according to the form 0409118) – monthly;

 list of affiliated persons and entities (form 0409051)1- quarterly.

Credit institutions shall submit reports no later than on the 15th (fifteenth) business day of the month 

following the reporting month or reporting quarter. 

3.2. Reports produced by non-credit institutions being professional securities market participants:

 balance sheet (form 0420410), statement of financial results (form 0420411), information on the largest 

debtors and creditors of the professional participant (form 0420412), information about portfolio investments in 

securities issued by non-residents (form 0420416)2, statement of the flow of foreign assets and liabilities of the 

professional participant in relation to non-residents if the latter and the non-residents have a direct investment 

relationship (form 0420421)3, information on affiliates of the professional participant (form 0420402)4, 

information on affiliates belonging to the same group with the professional participant (form 0420403)5–

quarterly;

 calculation of equity (capital), information on participation in legal proceedings where the professional 

participant is a defendant (form 0420408)6, report on securities (form 0420415), report on OTC trades (form 

0420417)7, information on performance of brokerage, depositary and security management activity (form 

0420418) – monthly.

 

1 On the date of submission of the Report, the information contained therein shall conform to the latest information about 

the affiliated persons/entities, submitted to the Bank of Russia.

2

This applies to the professional securities market participants included in the list of professional securities market

participants submitting reports in accordance with the form 0420416, pursuant to the Instruction of the RF Central Bank

dated January 15, 2015 No.3533-U “On Deadlines and Procedure for Compiling and Submitting of Reports by Professional

Securities Market Participants to the Central Bank of the Russian Federation.”

3

This applies to the professional securities market participants included in the list of professional securities market

participants submitting reports in accordance with the form 0420421, pursuant to the Instruction of the RF Central Bank

dated January 15, 2015 No.3533-U “On Deadlines and Procedure for Compiling and Submitting of Reports by Professional

Securities Market Participants to the Central Bank of the Russian Federation.”

4

,

5 On the date of submission of the Report, the information contained therein shall conform to the latest information about

the affiliated persons/entities, submitted to the Bank of Russia.

6 On the date of submission of the Report, the information contained therein shall conform to the latest information about

participation in legal proceedings where the professional participant was a defendant, submitted to the Bank of Russia.

7

This applies to the professional participants included in the List of professional securities market participants set by the 

Bank of Russia pursuant to the Instruction of the Bank of Russia dated January 15, 2015 No.3533-U “On Deadlines and 

Procedure for Compiling and Submitting of Reports by Professional Securities Market Participants to the Central Bank of 

the Russian Federation.” This Report shall be submitted for the week to which the last calendar day of the reporting month 

belongs.
Moscow Exchange FBOT Form [Supplement S-1]

APPENDIX 9

[Procedure for submission of information and reports] 

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Non-credit institutions being professional securities market participants shall submit reports within one 

calendar month following the reporting month or reporting quarter. Balance sheet (form 0420410), statement 

of financial results (form 0420411), information on the largest debtors and creditors of the professional 

participant (form 0420412), information about portfolio investments in securities issued by non-residents (form 

0420416), as of and including December 31, shall be submitted no later than on March 30.

3.3. Reports produced by non-credit institutions not being professional securities market participants: 

 balance sheet (form 0710001) - annually;

 statement of financial results (form 0710002) – annually;

The reports of non-credit institutions not being professional securities market participants shall be 

submitted no later than on 15th (fifteenth) of April of the year following the reporting year.

3.4. Reports produced by State Corporations and International Organizations:

 turnover balance sheet of a credit institution (form 0409101) – monthly;

 statement of financial results (form 0409102) – quarterly;

 calculation of equity (capital) (Basel III) (form 0409123) – monthly;

State Corporations and International Organizations shall submit reports no later than on the 15th 

(fifteenth) business day of the month following the reporting month or reporting quarter.

3.5. Reports produced by Non-Residents:

 IFRS financial statements in Russian or in English, in absence thereof, balance sheet (or a turnover 

balance sheet), income statement and calculation of equity (capital) (if any) in accordance with established 

national accounting and reporting standards - quarterly;

 major performance indicators for a Non-Resident [according to the forms of the Appendix No. 3 (for 

EurAsEc/EAEU banks) and Appendix No. 4 (for Non-Resident Banks and Non-credit non-resident institutions) 

to the Procedure] - quarterly;

 document confirming information about actual and permissible values of mandatory ratio of activity set by a 

competent body, if such mandatory ratios shall be set pursuant to the national legislation of the state of the 

Non-Resident’s incorporation – quarterly;

 IFRS financial statements in Russian or in English for the latest reporting year, certified by auditor, in 

absence thereof, audited financial statements compiled in accordance with requirements of the national 

legislation of the state of the Non-Resident’s incorporation - annually.

Non-Residents shall submit the reports no later than on the 15th (fifteenth) business day from the date 

of submission of quarterly reports, respectively, or from the date determined by the competent body of the 

state of the Non-Resident’s incorporation as the date for submission of quarterly reports, respectively (if the 

report submission deadlines are set by the competent body of the state of the Non-Resident’s incorporation), 

with the following exception: IFRS financial statements for the latest reporting year, certified by auditor, in 

absence thereof, audited financial statements compiled in accordance with requirements of the national 

legislation of the state of the Non-Resident’s incorporation, shall be submitted no later than on the 15th

(fifteenth) business day from the date on which such statements were signed by the auditor.

3.6. Information (Registration Card) shall be submitted by Clearing Members on an annual basis within the 

time period from the first business day of the calendar year through January 31 and must be up-to-date as of 

the date of submission.

 In case of any changes in the information specified in the Registration Card, Clearing Member shall 

notify the Clearing Centre about such changes within 5 (five) business days from the day on which they take 

place, in form of submission of the Registration Card which is up-to-date as of the specified date, in 
Moscow Exchange FBOT Form [Supplement S-1]

APPENDIX 9

[Procedure for submission of information and reports] 

8

accordance with requirements of the section IV hereof. Documents confirming the said changes shall be 

submitted to the Clearing Centre in accordance with the Clearing Rules.

If necessary, the Clearing Centre may request Clearing Member to submit the Registration Card at 

any time. In this case, the Registration Card shall be submitted within the time period specified in the request, 

and if no such time period has been specified – within 10 (ten) business days from the date when such 

request was received.

3.7. The date of submission of the information and reports by Clearing Member is deemed the date on 

which such information and reports are received by the Clearing Centre, provided that they meet the 

requirements to the contents, form and format stipulated herein.

SECTION IV. Procedure for compiling and submission of the information and reports

4.1. Information and reports to be submitted by Clearing Members pursuant to this Procedure shall be 

compiled taking into account the following requirements:

4.1.1. Reports by credit institutions, State Corporations and International Organizations shall be 

prepared as follows:

 reports compiled in accordance with the forms 0409051, 0409101, 0409102, 0409123, 

0409135 are presented in the format corresponding to the format of the files generated in 

KLIKO (software provided by MGTU of the RF Central Bank) or PTK PSD (software provided 

by TU of the RF Central Bank);

 reports compiled in accordance with the form 0409118 - reference information about 

numerical value of the maximum risk per borrower or group of interrelated borrowers (N6) are 

presented in form of an XML file generated in ARFA software.

4.1.2. Reports by non-credit institutions being professional securities market participants shall be 

prepared as follows:

 reports compiled in accordance with the forms 0420402, 0420403, 0420408, 0420410, 

0420411, 0420412, 0420415, 0420416, 0420417, 0420418, 0420421 are presented in form of 

XML files (with *.xtdd extension) generated in the Program-Questionnaire for Generation of 

Electronic Documents, provided by the Bank of Russia. 

 calculation of equity is provided in form of an XML file generated in PROFY software.

4.1.3. Reports by non-credit institutions not being professional securities market participants shall be 

prepared as follows:

 Reports compiled in accordance with the forms 0710001, 0710002 are provided in 

form of an XML file generated in PROFY software or in form of an XML exchange file 

generated for the purpose of electronic submission of the company's accounting data to the 

tax authorities;

4.1.4. Reports by Non-Residents shall be prepared as follows:

 IFRS financial statements; balance sheet, income statement and calculation of equity 

(capital) in accordance with established national accounting and reporting standards; 

document confirming information about actual and permissible values of mandatory ratio 

activity set by a competent body shall be submitted in the format corresponding to the format 

of the file generated in a report preparation software for the purpose of submission to the 

regulatory bodies of the Non-Resident’s incorporation; 

 Major performance indicators for a Non-Resident for the reporting quarter according to 

the forms of the Appendix No. 3 (text format with tabulation separators) and Appendix No. 4 

(XLS format) to the Procedure.
Moscow Exchange FBOT Form [Supplement S-1]

APPENDIX 9

[Procedure for submission of information and reports] 

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4.1.5. The Registration Card is submitted in form of an XML file generated in the Registration Card 

software.

4.2. The Registration Card and reports are submitted by Clearing Members to the Clearing Centre in the form 

of electronic documents in an appropriate format.

4.3. The Registration Card and reports are submitted in form of electronic documents by Clearing Member 

being the participant of the EDM NCC Subsystem taking into account the following requirements:

4.3.1. In case of submission of the Registration Card or reports in form of electronic document, all files 

contained in such electronic document must be included in the electronic document in the same form 

in which they were generated in the formation software pursuant to the par. 4.1 hereof. The electronic 

document must be signed by Clearing Member in accordance with the order stipulated in the EDM 

Procedure. 

4.3.2. The Registration Card and reports submitted to the Clearing Centre in the form of electronic 

documents are included in the G document category pursuant to the EDM Procedure. 

4.3.3. The formats of electronic documents used for submission of the reports in accordance with the 

par. 4.1 hereof are described in the Appendix No. 2 hereto.

4.3.4. The Registration Card and reports are submitted by Clearing Members in the form of electronic 

documents via e-mail.

4.3.5. Following the results of submission of electronic documents by Clearing Member, the following 

electronic messages are sent to the latter via e-mail:

1) A notification of the electronic document receipt as a result of the delivery of the 

message with the reports attached;

2) A statement on the report processing result;

3) A notification of the electronic document receipt containing the Registration Card.

4.3.6. The information and reports received by the Clearing Centre in the form of electronic documents 

are recorded and stored pursuant to the EDM Procedure. The Clearing Centre ensures keeping of an 

electronic register of electronic documents received from Clearing Member, as well as storage of the 

electronic documents in an electronic repository.

4.4. Clearing Members which have branches shall submit consolidated reports comprising data on a Trading 

Participant and its branches thereof compiled in compliance with the requirements of the regulations issued by 

the Bank of Russia, legislation of the Russian Federation governing issuance of consolidated reports, and 

requirements stipulated herein.

4.5. The Registration Card and reports submitted by Clearing Members shall be processed within the time 

period not exceeding 3 (three) business days from the date of receipt of the said documents from Clearing 

Member.
Moscow Exchange FBOT Form [Supplement S-1]

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[Procedure for submission of information and reports] 

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4.6. If Clearing Member submits the Registration Card and/or reports that do not meet the requirements of 

the Clearing Rules and/or this Procedure, the Clearing Centre shall, within the time period not exceeding 3 

(three) business days from the date of processing of the documents received, notify the Clearing Member 

about the need to remedy violation of the requirements of this Procedure by sending an electronic message 

to the Clearing Member.

4.7. Clearing Member’s obligation to present the reports specified in this Procedure, and the Questionnaire of 

the Clearing Member (client) (Registration Card) is deemed fulfilled upon submission by the Clearing 

Member of the said documents, provided that they meet the requirements as to their contents, form and 

format, set by the Clearing Rules and/or the Procedure.

SECTION V. Final provisions 

5.1. Clearing Members bear liability for inaccuracy of the information and data they present as part of 

information and reports, as well as for the deadlines violation, in accordance with the legislation of the Russian 

Federation, regulations of the Bank of Russia, the Clearing Rules, this Procedure, and other internal 

documents of the Clearing Centre.

5.2. The sanctions applicable to Clearing Members failing to submit the information and reports or meet the 

deadlines provided hereby are set forth by the Clearing Rules and other internal documents of the Clearing 

Centre.
Moscow Exchange FBOT Form [Supplement S-1]

APPENDIX 9

[Procedure for submission of information and reports] 

11

APPENDIX No. 1

to the Procedure for Submission of Information and 

Reports by Clearing Members to Bank National 

Clearing Centre (Joint-Stock Company) 

Form of QUESTIONNAIRE OF CLEARING MEMBER (CLIENT) 

(REGISTRATION CARD)

1. Company’s full name (according to the Articles)

2. Company’s short name (according to the Articles)

3. Company’s full name in a foreign language (according to the 

Articles; if not available – as used in practice)

4. Company’s short name in a foreign language (according to 

the Articles; if not available – as used in practice)

5. Form of incorporation

6. Form Codes of the Federal State Statistics Assembly:

6.1. OKPO

6.2. OKVED

6.3. OKOGU

6.4. OKFS

6.5. OKOPF

6.6. OKATO

6.7. OKTMO

7. Information about state registration: date, number, date of 

EGRUL entry, name of registration body, place of 

registration, series and number of the document confirming 

state registration

8. INN (or, in case of non-resident – foreign company code)

KPP

KPP 2 (to be indicated by major taxpayers, if available)

9. BIC

10. SWIFT

11. Location according to the Articles

12. Actual address
Moscow Exchange FBOT Form [Supplement S-1]

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[Procedure for submission of information and reports] 

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13. Postal address (for correspondence)

14. Phone number

15. Fax

16. E-mail

17. Web address

18. Information about company's management bodies (structure 

and the list of members)

19. Information about beneficial owners (indicating the evidence 

that such individual is a beneficial owner)

20. Possession of the client or control of the client is exercised 

through third parties

21. Confirmation of possession of the client or control of the 

client through third parties

22. Letter on impossibility of submission of supporting 

documents, containing reference to publicly available 

source of information

23. Information about registered and paid-up authorized (share) 

capital or authorized fund value, property value

24. Information about presence or absence at the company’s 

location, its permanent management body, other body or 

person authorized to act on behalf of the company without 

power of attorney

25. Number of branches

26. In case of a regional company – Moscow branch 

(representative office)1:

Postal address

Phone number

Full name of Head

Title of Head

27. Licenses to conduct professional activity (number, issuing 

authority, date of issue with specification of activity types, 

license expiry date):

27.1. To conduct banking operations

27.2. Licenses of professional securities market participant:

Brokerage
Moscow Exchange FBOT Form [Supplement S-1]

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[Procedure for submission of information and reports] 

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Dealership

Securities Management

Depositary

27.3. License to conduct brokerage activity related to conclude 

contracts on exchange commodity-backed financial 

derivatives with commodity basic asset

27.4. To conduct licensed activity not specified in the par 27.1 to 

27.3.

28. Sole executive body (hereinafter – Head of company):

Full name

Title

Document of appointment to the position (description, date, 

reference number)

Information about status of the Head of company

28.1. Details of valid qualification certificates of the Head of 

company: 

Date and number of resolution minutes by Examination 

Commission

Date and number of resolution minutes by Certification 

Commission

Qualification Certificate series and number

Qualification assigned

29. Company’s controller:

Full name

Title

Document of appointment to the position (description, date, 

reference number)

29.1. Details of valid qualification certificates of the company’s 

controller:

Date and number of the resolution minutes by Examination 

Commission

Date and number of the resolution minutes by Certification 

Commission

Qualification Certificate series and number
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Qualification assigned

30. Information on presence (absence) of accounts opened with 

banks of the countries (territories), known as not complying 

with generally accepted standards for anti-money 

laundering and countering terrorism financing (hereinafter -

AML/CFT), or which are countries (territories) with 

increased level of corruption (in case of “presence,” such 

countries shall be listed).

31. Information on presence (absence) of accounts opened with 

banks of the countries (territories) providing preferential tax 

treatment and (or) not permitting disclosure and submission 

of information on financial operations (offshore jurisdictions) 

(in case of “presence,” such countries shall be listed)

32. Information on presence (absence) of accounts opened with 

banks of the countries or territories, known from 

international sources as countries with illegal production or 

transit of narcotic substances, and of the countries or 

territories permitting free turnover of narcotics (except for 

the countries or territories where narcotics are used solely 

for medical purposes) (in case of “presence,” such countries 

shall be listed).

33. Information on presence (absence) of accounts opened for 

“shell banks” (“shell bank” is a bank registered under the 

jurisdiction of the country where this bank has no 

representative office). If there are any accounts opened for 

“shell banks,” their full names and account details shall be 

specified. 

34. Employee in charge of AML/CFT:

Full name

Title

Phone number

E-mail

35. Employees in charge of operational issues:

Full name

Title

Phone numbers

E-mail

36. Information on beneficiaries: trade name, name, number 

and date of the relevant agreement2

37. Information about activity for AML/CFT

38. Purpose and intended nature of business relationship to be 

established between Bank National Clearing Centre (Joint-
Moscow Exchange FBOT Form [Supplement S-1]

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[Procedure for submission of information and reports] 

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Stock Company) and the company

39. Objects of financial and economic activities of the company

40. Business reputation of the company

Title

(Head of company or other authorized person)3

SEAL

(Full name)

Prepared by, tel.

(Full name and phone number of the person filling out the 

Registration Card)

1 To be completed by a regional company having a branch in Moscow.

2 If the applicant is not a company conducting operations using cash or other property specified in the Article 5 of the Federal Law “On combating legalization (money 

laundering) of criminal income and financing of terrorism,” or is not a resident bank of the foreign country – member of the Financial Action Task Force on money 

laundering (FATF), having ratings assigned by the international rating agency (for reference: Moody’s Investors Service, Standard & Poor’s or Fitch Ratings) or included in 

the international banking handbook Bankers Almanac (publishing house Reed Business Information, UK) of any issue published not earlier than on the calendar year 

preceding to the operation), or in the list (register) of active banks of the relevant foreign country – then, along with the Questionnaire of the Clearing Member (Client) 

(Registration Card), it shall submit a notarized copy of the relevant agreement and the completed questionnaire of a beneficiary (questionnaire of a beneficiary can be 

obtained from Bank National Clearing Centre (Joint-Stock Company).

3 If the person signing the Questionnaire of the Clearing Member (client) (Registration Card) acts on the basis of a power of attorney, a notarized copy of such power of 

attorney shall be attached thereto to confirm the right of such person to sign the Questionnaire.

 
Moscow Exchange FBOT Form [Supplement S-1]

APPENDIX 9

[Procedure for submission of information and reports] 

16

 APPENDIX No. 2

to the Procedure for Submission of Information and 

Reports by Clearing Members to Bank National 

Clearing Centre (Joint-Stock Company) 

FORMATS OF ELECTRONIC DOCUMENTS FOR SUBMISSION OF INFORMATION AND REPORTS 

I. Format of electronic document for submission of the Registration Card of Clearing Member to 

Bank National Clearing Centre

The electronic data file is generated in XML document form and meets the international specification XML 1.0 

Specification of the World Wide Web Consortium. This file outlines parameters for the Registration Card. 

II. Formats of electronic documents for submission of reports by credit institutions to Bank 

National Clearing Centre (Joint-Stock Company):

1. Turnover Balance Sheet

(form 0409101)

For credit institutions submitting reports to MGTU of the RF Central Bank

The electronic data file (type - REGN*.K31) is generated in text format. This file consists of the lines 

representing a sequence of symbols separated by commas, each of which describes several fields constituting 

one of the lines of the standard form 0409101.

The list of fields is provided in the Table 1.

Table 1

Field number Description

1 Account number

2 Account symbol

3 Opening balance in rubles

4 Opening balance (foreign currency, precious metals)

5 Opening balance, total

6 Debit turnover, in rubles

7 Debit turnover (foreign currency, precious metals)

8 Debit turnover, total

9 Credit turnover, in rubles

10 Credit turnover (foreign currency, precious metals)

11 Credit turnover, total
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[Procedure for submission of information and reports] 

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12 Closing balance, in rubles

13 Closing balance (foreign currency, precious metals)

14 Closing balance, total

For credit institutions submitting reports to TU of the RF Central Bank, generated in PTK PSD

The electronic data file is generated in text format with tabulation separators. This file constitutes a sequence 

of lines, each of which describes several fields constituting a part of a certain line of the standard form 

0409101.

The list of fields is provided in the Table 2.

Table 2

Description

BIC

Reporting date

Form identifier

Account number

Additional parameter / Parameter for account/form (in this form)

Value for certain parameter for certain account

2. Statement of Financial Results (form 0409102)

For credit institutions submitting reports to MGTU of the RF Central Bank

The electronic data file (type - REGN*.KG1) is generated in text format. This file consists of the lines 

representing a sequence of symbols separated by commas, each of which describes several fields constituting 

one of the lines of the standard form 0409102.

The list of fields is provided in the Table 3.

Table 3

Description

Symbol number

Ruble operations total value

FX operations total value

Grand total

For credit institutions submitting reports to TU of the RF Central Bank, generated in PTK PSD
Moscow Exchange FBOT Form [Supplement S-1]

APPENDIX 9

[Procedure for submission of information and reports] 

18

The electronic data file is generated in text format with tabulation separators. This file constitutes a sequence 

of lines, each of which describes several fields constituting a part of a certain line of the standard form 

0409102.

The list of fields is provided in the Table 4.

Table 4

Description

BIC

Reporting date

Form identifier

Symbol number

Additional parameter / Amount type for symbol (in this form)

Value for certain amount type for certain symbol

3. Calculation of Equity (Capital) (Basel III) (form 0409123). 

For credit institutions submitting reports to MGTU of the RF Central Bank.

The electronic data file (type - REGN*.KA1) is generated in text format. This file consists of the lines 

representing a sequence of symbols separated by commas, each of which describes several fields of one of 

the lines of the standard form 0409123.

The list of fields is provided in the Table 5.

Table 5

Description

Line number

Balance as of the reporting date

For credit institutions submitting reports to TU of the RF Central Bank, generated in PTK PSD

The electronic data file is generated in text format with tabulation separators. This file constitutes a sequence 

of lines, each of which describes several fields of a certain line of the standard form 0409123.

The list of fields is provided in the Table 6.

Table 6

Description

BIC
Moscow Exchange FBOT Form [Supplement S-1]

APPENDIX 9

[Procedure for submission of information and reports] 

19

Reporting date

Form identifier

Line number

Additional parameter

Balance as of the reporting date

4. Information on Mandatory Ratios (form 0409135)

For credit institutions submitting reports to MGTU of the RF Central Bank

The electronic data file (type - REGN*.KF1) is generated in text format. This file consists of the lines 

representing a sequence of symbols separated by commas, each of which describes several fields of one of 

the lines of the standard form 0409135.

The list of fields of the form (sections 1, 2b) is provided in the Table 7.

Table 7

Description

Designation code

Sum

The list of fields of the form (sections 2, 2a) is provided in the Table 7a.

Table 7a

Description

Item description

Value of indicator/ratio (in fractions)

For credit institutions submitting reports to TU of the RF Central Bank, generated in PTK PSD

Electronic data files are generated in text format with tabulation separators. These files constitute sequences 

of lines, each of which describes several fields of a certain line of the standard form 0409135 (sections 1 and 

2b in the first file and sections 2 and 2a in the second file).

The list of fields of the form (sections 1, 26) is provided in the Table 8.

Table 8

Description

BIC

Reporting date

Form identifier
Moscow Exchange FBOT Form [Supplement S-1]

APPENDIX 9

[Procedure for submission of information and reports] 

20

Interpretation code

Interpretation parameter

Value of parameter for certain interpretation

The list of fields of the form (sections 2, 2a) is provided in the Table 8a.

Table 8a

Description

BIC

Reporting date

Item description

Item parameter

Value of parameter for a given indicator/ratio (in percent)

5. Reference Information about Numerical Value of the Maximum Risk per Borrower or Group of 

Interrelated Borrowers (N6) (According to the form 0409118).

The electronic data file is generated in XML document form and meets the international specification XML 1.0 

Specification of the World Wide Web Consortium. This file outlines parameters regarding Reference 

information about the numerical value of the maximum risk per borrower or group of interrelated borrowers 

(N6).

The list of form elements is provided in the Table 9.

Table 9

Element Description

<form_extra_param> Describes element group

<record> Describes parameter name and value

<main> Describes element group 

<pname> Describes parameter name

<pvalue> Describes parameter value

<regnumber> Registration number assigned by the RF Central Bank

< regcode > Trading participant number

<repdate> Reporting date

<ftype> Form type
Moscow Exchange FBOT Form [Supplement S-1]

APPENDIX 9

[Procedure for submission of information and reports] 

21

<fname> Form name

The list of form parameters is provided in the Table 9a.

Table 9a

Parameter Description

kapital Capital value

krz Krz value

h6 H6 value

6. List of Affiliated Persons and Entities

(form 0409051)

For credit institutions submitting reports to MGTU of the RF Central Bank

The electronic data file (type - REGN*.KH*) is generated in text format. This file consists of lines representing 

a sequence of symbols separated by commas, each of which describes several fields constituting one of the 

lines of the standard form 0409051.

The list of fields is provided in the Table 10.

Table 10

Field number Description

1 Type of changes

2 Reporting date

3 Individual code of affiliated person/entity

4 Type of person/entity

5 Full name

6 Short name

7 Registered office

8 Postal address

9 Code of document of a private individual

10 OKPO code

11 INN

12 Effective date of the legal basis

13 Code of the legal basis
Moscow Exchange FBOT Form [Supplement S-1]

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[Procedure for submission of information and reports] 

22

14 Notes to the legal basis

15 Percentage of votes in the total quantity of shares

For credit institutions submitting reports to TU of the RF Central Bank, generated in PTK PSD

The electronic data file is generated in text format with tabulation separators. This file constitutes a sequence 

of lines, each of which describes several fields constituting a part of a certain line of the standard form 

0409051.

The list of fields is provided in the Table 11.

Table 11

ARR+application code:$empty$: Information on form 051, where

Application code may have the following values:

AFL_1 – Information about affiliated persons

AFL_11 – Legal basis for affiliation

$empty$ – Conventional (adjusting) line code.

AFL_1 Information about affiliated persons/entities

Line code Line code equals value in the column with the code 1

Column codes A column code may have the following value: 

a (Lat., lowercase) – type of changes from the set {1,2,3,4}

1 – code of affiliated person/entity;

2- Type of person/entity (1 – Legal entity, 2 – Private individual)

31 – Short name of legal entity/Surname of private individual

32 – Full name of legal entity/Name and patronymic of private individual

4 – Legal entity’s location / citizenship of private individual

5- Address

6 – type of identity certificate (must be either not filled or equal 0 for 

legal entity) from the set {1,2,3,4,5,0}

7 – OKPO code/Document series

8 – INN code/Document number

12 - Percentage of votes in the total quantity of shares
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APPENDIX 9

[Procedure for submission of information and reports] 

23

DATE_IZM – Effective date of changes in the format DD-MM-YYYY (not 

filled if the type of changes = 4)

AFL_11 Basis for affiliation of persons/entities

Line code column 1 + ‘|’ (vertical line) + column 10 + (if the 2nd symbol in the 

column 10 equals 2, then ‘|’ + column 10, otherwise it has to be empty)

Column codes A column code may have the following values: 

1 – code of affiliated person/entity (from the application AFL_1)

9 - Effective date of the legal basis (DD-MM-YYYY)

10 – Code of legal basis (pursuant to the regulations of the Bank of 

Russia)

11 – Notes (for the A2 legal basis code, the number of the group from 

the application AFL_21 must be inserted)

III. Formats of electronic documents for submission of reports by non-credit institutions being 

professional securities market participants, to Bank National Clearing Centre (Joint-Stock 

Company):

1. Information about affiliated persons/entities of professional participant (form 0420402), 2. 

Information about affiliated persons/entities, belonging to the same group with the participant (form 

0420403), 3. Information on participation in legal proceedings where the professional participant is a 

defendant (form 0420408), 4. Balance sheet (form 0420410), 5. Statement of financial results (form 

0420411), 6. Information on the largest debtors and creditors of professional participant (form 0420412), 

7. Report on securities (form 0420415), 8. Information about portfolio investments in securities issued 

by non-residents (form 0420416), 9. Report on OTC trades (form 0420417), 10. Information on 

performance of brokerage, depositary and security management activity (form 0420418), 11. Statement 

of the flow of foreign assets and liabilities of the professional participant in relation to non-residents if the 

latter and the non-residents have a direct investment relationship (form 0420421), 12. Calculation of 

equity (capital).

The electronic data files are generated in XML document form and meet the international specification 

XML 1.0 Specification of the World Wide Web Consortium. This file describes values of parameters of 

the relevant forms.

IV. Formats of electronic documents for submission of reports by non-credit institutions not being 

professional securities market participants, to Bank National Clearing Centre (Joint-Stock 

Company):

1. Balance sheet (form no. 1), 2. Statement of financial results (form no. 2).

The electronic data file is generated in XML document form and meets the international specification XML 1.0 

Specification of the World Wide Web Consortium. This file describes values of parameters of standard forms: 

form no.1 and form no.2. 

The list of elements and form parameters is provided in the Table 7.

Table 7
Moscow Exchange FBOT Form [Supplement S-1]

APPENDIX 9

[Procedure for submission of information and reports] 

24

Element Description

<QuartalReport> Describes element group 

<QRP_version> Software version number

<REGDATA> Describes element group related to the institution’s details

<BALANS> Describes element group of the form no.1

<OTCH_PU> Describes element group of the form no.2

<SOB_SREDSTVA> Describes element group of the calculation of equity (capital) 

form

<AKTIVY> Describes element group of the net asset value calculation 

form

<row> Describes element group

<code> Describes parameter name

<val1> Describes parameter value

<val2> Describes parameter value

<val3> Describes parameter value

<val4> Describes parameter value

V. Formats of electronic documents for submission of reports by Non-Residents to Bank National 

Clearing Centre (Joint-Stock Company):

1. Form of the Appendix No. 3 MAJOR PERFORMANCE INDICATORS OF EurAsEc BANK for the 

reporting quarter

The electronic data file is generated in text format with tabulation separators in accordance with the relevant 

form.

2. Form of the Appendix No. 4 MAJOR PERFORMANCE INDICATORS OF NON-RESIDENT

The electronic data file is generated in MS Excel format in accordance with the relevant form.
Moscow Exchange FBOT Form [Supplement S-1]

APPENDIX 9

[Procedure for submission of information and reports] 

25

APPENDIX No. 3

to the Procedure for Submission of Information and 

Reports by Clearing Members to Bank National 

Clearing Centre (Joint-Stock Company) 

MAJOR PERFORMANCE INDICATORS OF NON-RESIDENT (for EurAsEc/EAEU banks) FOR THE 

PERIOD ________________________.

(reporting quarter of the year)

(measurement units)

Indicators DD.MM.YYYY

1. Assets, total:

1.1. Cash and balances on correspondent accounts in financial 

institutions (including central banks)

1.2 Deposits and other funds placed with financial institutions

1.3. Investments in securities (excepts bills of exchange)

1.3.1. including investments in government debt securities

1.4.

Loans and other funds placed with non-financial institutions

- share of overdue debt (in %)

- formed reserve (in %)

1.4.1. including corporate loans

- share of overdue debt (in %)

1.4.2. including personal loans

- share of overdue debt (in %)

1.5 Miscellaneous assets

2. Total liabilities, including:

2.1 Account balances and loans and deposits received from other 

banks

2.2. Balances of corporate accounts (including deposits)

2.3. Balances of private accounts (including deposits)

2.4. Debentures issued

3. Equity (capital)

4. Profit (loss) (current year)

5. Return on assets (ROA)

6. Return on capital (ROE)

7. Cost-to-income ratio (CIR) (ratio of operating expenses 

versus operating income)

(Title of the Head of company) __________________/Full name/

SEAL
Moscow Exchange FBOT Form [Supplement S-1]

APPENDIX 9

[Procedure for submission of information and reports] 

26

“____” ___________ 20

APPENDIX No. 4

to the Procedure for Submission of Information and 

Reports by Clearing Members to Bank National 

Clearing Centre (Joint-stock company)

MAJOR PERFORMANCE INDICATORS OF NON-RESIDENT

as of _______________

mln USD

Indicators DD.MM.YYYY

1. Total assets/Total property value

1.1. Cash and cash equivalents 

1.2. Due from banks and other financial institutions 

1.3. Loans 

1.3.1. Non-performing loans (NPL) 

1.4. Securities

1.5. Derivatives

1.6. Other assets

2. Total liabilities

2.1. Due to banks (Loro accounts /balances of correspondent 

accounts with banks)

2.2. Deposits 

2.3. Securities 

2.4. Derivatives 

2.5. Other liabilities

3. Total equity

3.1. Shareholders’ equity

3.2. Subordinated loans

3.2. Retained earnings 

3.3. Contingency reserves

4. Total revenue 

5. Net profit/Loss

6. Total capital ratio (%) 

7. Cost-to-income ratio (%) (ratio of operating expenses versus 

operating income)

Company representative __________________________ 

Date of completion DD.MM.YYYY