Moscow Exchange FBOT Form

APPENDIX 16

[Procedure for submission of information and reports] 

Please find attached:

 Procedure for submission of information and reports to Moscow Exchange
Moscow Exchange FBOT Form

APPENDIX 16

[Procedure for submission of information and reports] 

Approved by 

the Executive Board of 

Public Joint Stock-Company 

“Moscow Exchange MICEX-RTS”

24 July 2015, Minutes No.40

PROCEDURE FOR SUBMISSION OF INFORMATION AND REPORTS 

TO PUBLIC JOINT-STOCK COMPANY “MOSCOW EXCHANGE MICEX–RTS”

Moscow, 2015
Moscow Exchange FBOT Form

APPENDIX 16

[Procedure for submission of information and reports] 

CONTENTS

SECTION I.GENERAL PROVISIONS 43

SECTION II.INFORMATION TO BE SUBMITTED BY TRADING MEMBERS/MEMBERS TO THE EXCHANGE 4

SECTION III. REPORTS TO BE SUBMITTED BY TRADING MEMBERS AND MEMBERS TO THE EXCHANGE4

SECTION IV. DEADLINES FOR SUBMISSION OF INFORMATION TO THE EXCHANGE BY TRADING 

MEMBERS AND MEMBERS 5

SECTION V. FREQUENCY AND DEADLINES FOR SUBMISSION OF REPORTS TO THE EXCHANGE BY 

TRADING MEMBERS 6

SECTION VI. PROCEDURE FOR COMPILING AND SUBMISSION OF INFROMATION AND REPORTS 8

SECTION VII. FINAL PROVISIONS 1011

APPENDIX No. 1 1112

APPENDIX No. 2 1719

APPENDIX No. 3 2629
Moscow Exchange FBOT Form

APPENDIX 16

[Procedure for submission of information and reports] 

4

Terms and definitions

Exchange – Public Joint-Stock Company “Moscow Exchange MICEX-RTS”

EDI Rules – Electronic Data Interchange Rules.

Trading Member – a legal entity included, in compliance with the Exchange internal documents in 

Trading Members to effect transactions on organised trading conducted by the Exchange.

SECTION I. GENERAL PROVISIONS

This Procedure for Submission of Information and Reports to Public Joint-Stock Company “Moscow 

Exchange MICEX-RTS” (hereinafter – the Procedure) is developed in accordance with the requirements of 

the laws and regulations of the Russian Federation/Regulative instruments of the Bank of Russia, the 

Charter and other internal documents of the Exchange.

1.1. The Procedure determines the composition, the deadlines for and the formats of submitting 

Information and Reports 

1.1.1. by Trading Members and Members that effect operations using the trading system of the

Exchange in deposit and/or credit transactions, auctions, order selection for depositing cash 

funds (hereinafter the Members);

1.1.2. by Trading Member/Member Candidates when the Admission Rules and/or other internal 

documents of the Exchange require that Trading Member/Member Candidates should submit 

Information and Reports to the Exchange in compliance with this Procedure.

1.2. Information and Reports shall be submitted by Trading Members/Members to the Exchange for the 

following purposes:

1.2.1. Development and update of the data base with information on Trading Members/Members;

1.2.2. Supervision over Trading Members, including compliance thereof with the requirements to 

their financial state with a view to reduce risk in organised trading.

1.3. All Appendices hereto shall be an integral part hereof.

1.4. This Procedure and all Amendments hereto shall be approved by the Exchange and shall become 

effective from the date specified by the Exchange.

1.5. Information on approval of this Procedure (Amendments and Supplements hereto), entry into force 

thereof as well as the text of the Procedure (Amendments and Supplements) shall be disclosed on 

the Exchange website no later than five (5) business days prior to the effective date, unless 

otherwise provided for by decision of the Exchange.

1.6. Any terms not expressly defined herein have the meanings ascribed to them by the laws and 

regulations of the Russian Federation, regulative instruments of the Bank of Russia, Charter of the 

Exchange, Trading Rules, Admission Rules and other internal documents of the Exchange.

SECTION II. INFORMATION TO BE SUBMITTED BY TRADING MEMBERS/MEMBERS TO THE 

EXCHANGE

2.1. Information to be submitted by Trading Members/Members to the Exchange in compliance 

herewith shall include the Registration Card which form is provided in Appendix No. 1 hereto.

2.2. The Exchange shall have the right to request additional information from the Trading 

Member/Member, including the information characterizing financial state thereof.

2.3. The Exchange shall store the Information for at least five years after the commitments between 

the Exchange and the Trading Member/Member are discontinued.

2.4. Trading Members/Members shall be obligated to secure relevancy and authenticity of data 

contained in the Information submitted thereby to the Exchange. 

SECTION III. REPORTS TO BE SUBMITTED BY TRADING MEMBERS AND MEMBERS TO THE 

EXCHANGE

3.1. Reports to be submitted by Trading Members to the Exchange shall include: 
Moscow Exchange FBOT Form

APPENDIX 16

[Procedure for submission of information and reports] 

5

 Reports by credit institutions complied according to Forms 0409051, 0409101, 0409102, 

0409123, 0409135 in compliance with Instructions by the Bank of Russia dated 12 

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

Reports Forms of Credit Institutions to the Central Bank of the Russian Federation”, and a 

statement on the numeric value of the ratio of single borrower or group of related party 

borrowers risk (N6) (based on data in Form 0409118); 

 Reports by non-credit institutions that are professional securities market participants

compiled according to Forms 0420402, 0420403, 0420408, 0420410, 0420411, 0420412, 

0420415, 0420416, 0420417, 0420418, 0420421 in compliance with Instruction by the Bank 

of Russia dated 15.01.2015 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”; a calculation of equity according to the form established by Order 

of the FFMS of Russia dated 23 October 2008 No. 08-41/pz-n Instruction of the Bank of 

Russia dated 19.07.2016 No. 548-P;

 Reports by non-credit institutions other than professional securities market participants 

complied according to Forms 0710001, 0710002 in compliance with order of the RF Ministry 

of Finance dated 2 July 2010 No. 66n “On Forms of Accounting Reporting by Organisations”. 

 Reports by state corporations and international organisations compiled according to Forms 

0409101, 0409102, 0409123 in compliance with Instruction by the Bank of Russia dated 12 

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

Reports Forms of Credit Institutions to the Central Bank of the Russian Federation”. 

 Reports by non-resident banks 

 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 shall be 

submitted quarterly;

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

3 to the Procedure) shall be submitted 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 bank’s incorporation shall be submitted 

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 bank’s 

incorporation shall be submitted annually.

3.2. Reports by credit and non-credit institutions, by state corporations and international organisations, 

and by non-resident banks to be submitted thereunder shall be jointly referred to as Reports. 

3.3. The Exchange shall have the right to request supplementary statements not specified herein from 

Trading Members.

3.4. Reports shall be stored for 5 years.

3.5. Trading Members shall be obligated to secure relevancy and authenticity of data contained in the 

Information submitted thereby.

SECTION IV. DEADLINES FOR SUBMISSION OF INFORMATION TO THE EXCHANGE BY 

TRADING MEMBERS AND MEMBERS 

4.1. The Registration Card shall by submitted to the Exchange by the Trading Member/Members at 

least once every six months with the current data as of the date of submission thereof for the 

following periods:

 from the first business day of the calendar year to 31 January of the same year;

 from the first business day of July to 31 July of the current year.
Moscow Exchange FBOT Form

APPENDIX 16

[Procedure for submission of information and reports] 

6

4.2. In an event the data in the Registration Card changes, the Trading Member/Member shall be 

obligated to notify the Exchange of said changes within five (5) business days of the day of such 

changes by submitting an updated Registration Card in compliance with the requirements of 

Section VI hereof. Documents supporting the said changes shall be submitted to the Exchange in 

compliance with the Exchange internal documents.

4.3. As and when required the Exchange shall have the right to request Trading Members/Members to 

submit the Registration Card at any time. In such an event the Registration Card must be 

submitted within the timeline specified in the relevant request and, where such a timeline is not 

specified – within ten (10) business days of the receipt of such a request.

SECTION V. FREQUENCY AND DEADLINES FOR SUBMISSION OF REPORTS TO THE 

EXCHANGE BY TRADING MEMBERS

5.1. Reports by credit institutions: 

 Trial balance according to the accounts of the credit institution (Form 0409101) shall be

submitted on a monthly basis.

 Income statement (Form 0409102) shall be submitted on a quarterly basis.

 Calculation of equity (capital) (BASEL III) (Form 0409123) shall be submitted on a monthly 

basis.

 Information on the mandatory ratios (Form 0409135) shall be submitted on a monthly basis,

 Statement on numerical value of the ratio of single borrower or group of related party 

borrowers risk (N6) (based on data in Form 0409118) shall be submitted on a monthly basis.

 Affiliated Parties List (Form 0409051)1shall be submitted on a quarterly basis. 

Reports by credit institutions shall be submitted no later than business day fifteen (15) of the 

month following the reporting month or the reporting quarter.

5.2. Reports by credit institutions that are 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)5shall be submitted 

on a quarterly basis;

 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), 

 

1 As at the date of submitting an Affiliated Parties List to the Exchange, the data contained therein must match the 

latest updated information on the affiliated parties 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 by 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”.

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 by 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”..

4

,

5 As at the date of submitting an Affiliated Parties List to the Exchange, the information contained therein shall 

conform to the latest updated information on the affiliated parties submitted to the Bank of Russia.

6 On the date of submission of the Report, the information contained therein shall conform to the latest updated 
Moscow Exchange FBOT Form

APPENDIX 16

[Procedure for submission of information and reports] 

7

report on OTC trades (Form 0420417)7, information on performance of brokerage, depositary and 

security management activity (Form 0420418) shall be submitted on a monthly basis.

Reports by credit institutions that are professional securities market participants shall be submitted no 

later than one calendar month following the reporting month or the reporting quarter. 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.

5.3. Reports by non-credit institutions other than professional securities market participants: 

 Balance Sheet (Form 0710001) shall be submitted on a yearly basis;

 Income Statement (Form 0710002) shall be submitted on a yearly basis.

Reports by non-credit institutions other than professional securities market participants shall be 

submitted no later than business day fifteen (15) of April of the year following the reporting one.

5.4. Reports by state corporations and international organisations:

 Trial balance according to the accounts of the credit institution (Form 0409101) shall be 

submitted on a monthly basis;

 Income statement (Form 0409102) shall be submitted on a quarterly basis;

 Calculation of equity (capital) (BASEL III) (Form 0409123) shall be submitted on a monthly 

basis.

Reports by state corporations and international organisations shall be submitted no later than business 

day fifteen (15) of the month following the reporting month or the reporting quarter.

5.5. Reports by non-resident banks: 

 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 shall be submitted on a 

quarterly basis;

 Major performance indicators for a non-resident bank (according to the Form of Appendix No. 3 

to the Procedure shall be submitted on a quarterly basis;

 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 bank’s incorporation shall be submitted on a quarterly 

basis;

 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 bank’s incorporation shall 

be submitted annually.

Non-resident banks 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 bank’s incorporation as the date for submission of quarterly reports, 

 

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

APPENDIX 16

[Procedure for submission of information and reports] 

8

respectively (if the report submission deadlines are set by the competent body of the state of the nonresident bank’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 bank’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.

SECTION VI. PROCEDURE FOR COMPILING AND SUBMISSION OF INFROMATION AND 

REPORTS 

6.1. Information and Reports submitted to the Exchange by Trading Members/Members in 

compliance herewith shall be compiled taking into account the following requirements:

6.1.1. Reports by credit institutions, state corporations and international organisations shall be 

prepared in the following way:

 Reports compiled in compliance with Forms: 0409051, 0409101, 0409102, 0409123, 

0409135 shall be submitted in the format corresponding to that of files formed in the 

KLIKO software (submitted to the Moscow Main Territorial Department of the Bank of 

Russia or the TC’s SHC (submitted to the Territorial Department of the Bank of Russia. 

 Reports compiled in accordance with Form 0409118 – a statement on numerical value 

of the ratio of single borrower or group of related party borrowers risk (N6) shall be 

submitted as an XML file formed in ARFA software, posted on the Exchange website 

(www.moex.com).

6.1.2. Reports by credit institutions that are professional securities ,market than shall be prepared 

in the following way: 

 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 ProgramQuestionnaire for Generation of Electronic Documents, provided by the Bank of 

Russia. 

 Calculation of equity is provided in form of an XML file files (with *.xtdd extension) 

generated in PROFY software.

6.1.3. Reports by credit institutions other than credit institutions shall be prepared in the following 

way

 Reports compiled in compliance with Forms 0710001, 0710002 shall be submitted as 

an XML format file generated in PROFY software posted on the Exchange website 

(www.moex.com) or as a swap file (XML format), formed for electronic transmission 

of data on accounting reporting to tax authorities.

6.1.4. Reports by non-resident banks shall be prepared in the following way: 

 IFRS financial statements; balance sheet (trial 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 

bank’s incorporation; 

 Major performance indicators for a non-resident bank for the reporting quarter 

according to the Form of Appendix No. 3 (text format with tabulation separators)) to 

the Procedure.

6.2. The Registration Card shall be submitted as an XML file, formed by the Registration Card software 

posted on the Exchange website (www.moex.com).

6.3. The Registration Card and Reports shall be submitted by Trading Members/Members to the 

Exchange in the form of electronic documents in an appropriate format. 
Moscow Exchange FBOT Form

APPENDIX 16

[Procedure for submission of information and reports] 

9

6.4. Submission of the Registration Card and Reports in the form of electronic documents shall be 

effected by Trading Members/Members that have signed an Agreement with the Exchange on 

participation in the Electronic Documentary Circulation System and have been authorised to effect 

an electronic documentary circulation in compliance with the EDI Rules and meeting the following 

requirements:

6.4.1. When the Registration Card or Reports are sent electronic document, the files contained 

therein must be included in the electronic document in the form they were generated by the 

documenter in compliance with sub-clause 6.1 hereof. The electronic document must be 

signed by the Trading Member/Members in compliance with the EDI Rules of the Exchange.

6.4.2. The Registration Card and Reports submitted to the Exchange in the form of electronic 

documents are assigned to the G category of documents in compliance with the EDI Rules of 

the Exchange.

6.4.3. The formats of electronic documents used for submitting the Registration Card and Reports 

in compliance with sub-clause 6.1 hereof, are provided in Appendix No. 2 hereto. 

6.4.4. The Registration Card and Reports in the form of electronic documents and e-mail messages 

shall be sent by Trading Members/Members via e- mail to the addresses of the Exchange 

posted on the website (www.moex.com).

6.4.5. Based on the results of submitting electronic documents to the Exchange by Trading 

Members/Members, the Exchange shall send the following electronic messages to the 

Trading Member/Member via e-mail:

 Notification of the electronic document receipt as a result of the delivery of the 

message with the Reports File attached;

 Statement on the outcome of the Reports File processing – as a result of the 

Reports processing;

 Notification of the receipt of the electronic document containing the Registration 

Card.

6.4.6. Record keeping and storage of the Registration Card and Reports received by the Exchange 

in the form of electronic documents shall be effected in compliance with the EDI Rules. At 

that, the Exchange shall secure maintenance of an electronic log of electronic documents 

received from Trading Members/Member as well as storage of the electronic documents per 

se in the electronic archive of the Exchange. 

6.5. The Registration Card and Reports submitted by the Trading Member/Member to the Exchange 

shall be processed within no more than three (3) business days of the date of receipt of said 

documents from the Trading Member/Member. 

6.6. In an event the Trading Member/Member submits the Registration Card and/or Reports noncompliant with the requirements hereof, the Exchange, within no more than three (3) business 

days of processing of the documents received, shall notify the Trading Member/Member by way of 

sending an e-mail message thereto, of the need to eliminate violations of the requirements hereof.

6.7. The date of receipt of the Registration Card and Reports shall be deemed the date of submission 

thereof to the Exchange by the Trading Member/Members provided they comply with the 

requirements hereof with respect to the composition, form and format thereof.

6.8. Trading Members which have branches must submit consolidated reports comprising data on the 

Trading Member and branches thereof compiled in compliance with the requirements of the 

regulatory instruments of the Bank of Russia and laws and regulations of the Russian Federation to 

execution of consolidated reports and requirements hereof.

6.9. Obligation of the Trading Member/Member to present the reports specified in this Procedure, and 

the Registration Card is deemed fulfilled upon submission by the Trading Member/Member of the 

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

set by the Procedure.
Moscow Exchange FBOT Form

APPENDIX 16

[Procedure for submission of information and reports] 

10

6.10. Where non-resident banks submit documents provided for herein, the said documents must be 

translated into the official language of the Russian Federation (the Russian language), the accuracy 

of the translation and the authenticity of the translator’s signature must be notarised. 

Documents executed in the territory of foreign states must be legalised or apostilled, unless 

otherwise provided for by international agreements of the Russian Federation. 

SECTION VII. FINAL PROVISIONS 

7.1. Trading Members/Members shall bear responsibility for invalid data and information submitted 

thereby as part of the Information and/or Reports as well as violations of deadlines for submission 

thereof in compliance with the laws and regulations of the Russian Federation, regulations of the 

Bank of Russia, herein and other internal documents of the Exchange. 

7.2. Penalties levied on Trading Members/Members failing to submit Information and Reports and meet 

the deadlines provided hereby for submission of Information and Reports are established by 

internal documents of the Exchange.
Moscow Exchange FBOT Form

APPENDIX 16

[Procedure for submission of information and reports] 

11

APPENDIX No. 1

Registration Card Form

Registration Card of the Trading Member (List of Markets where the Trading Member is 

present)/Members 

Public Joint-Stock Company “Moscow Exchange MICEX-RTS”

as of _____________ 20___

1. Organisation’s full name (from Charter)

2. Organisation’s short name (from Charter)

3. Organisation’s full name in English (from Charter, 

where unavailable – one used in practice)

4. Organisation’s short name in English (from 

Charter, where unavailable– one used in practice)

5. Form Codes for federal public statistical data 

assembly: 

5.1. OKPO (General Classifier of Enterprises and 

Organisations)

5.2. OKVED (Russian Classification of Economic 

Activity)

5.3. OKOGU (National Classifier of Government Entities 

and Administration)

5.4. OKFS (National Classifier of Forms of Ownership)

5.5. OKOPF (National Classifier of Organisational Legal 

Forms)

5.6. OKATO (National Classifier of Administrative 

Territorial Entities)

5.7. OKTMO (Russian Classifier of Municipal Unit 

Territories)

6. State registration data:

6.1 Legal entity’s state registration date

6.2 OGRN (Primary State Registration Number) 

6.3 Primary State Registration Number (OGRN) entry 

date in Unified State Register of Legal Entities

6.4 Registration authority’s name

6.5 Registration place
Moscow Exchange FBOT Form

APPENDIX 16

[Procedure for submission of information and reports] 

12

6.6 Series and number of document evidencing state 

registration

7. INN (Taxpayer Identification Number)

KPP (Tax Registration Reason Code) 

KPP 2 (indicated by major taxpayers, if available)

8. BIC (Bank of Russia Identifier Code)

9. SWIFT code

10. Location (according to Articles of Association)

11. Actual address

12. Postal address (for correspondence)

13. Telephone

14. Fax

15. E-mail address

16. Web address 

17. Registered and paid-in (pooled) authorised capital 

or authorised fund value, property value

18. Presence or absence of legal entity, its permanent 

executive body, other body or person authorised 

to act on legal entity’s behalf without power of 

attorney at legal address

19. Number of branches 

20.8For regional organisation –

Moscow branch (representation office):

Postal address

Telephone

Leader’s full name

Leader’s position 

21. Licences to conduct professional activity (number, 

issuing authority, issuance date with specification 

of activity types, licence expiry date): 

21.1 To conduct banking operations

 

8 To be filled in by a regional organisation with a representation office in Moscow.
Moscow Exchange FBOT Form

APPENDIX 16

[Procedure for submission of information and reports] 

13

21.2 Securities Market Professional Participant:

Brokerage 

Dealership 

Securities Management

Depositary 

21.3 Professional securities market participant licence 

for broker activities to conclude contracts on 

commodity-backed financial derivatives 

22. Data on structure and composition of legal 

entity’s governing bodies 

22.1. Highest governing body’s name

22.1.1 Participant (shareholder) list

22.2. Collegiate management body’s (council’s) name

22.2.1 Organisation’s collegiate management body 

(council) leader:

Full name 

22.2.2 Management body’s (council’s) composition

Members’ full names:

22.3. Collegiate executive management body’s name

22.3.1 Collegiate executive management body’s 

composition:

Members’ full names:

23. Organisation’s sole executive body (hereinafter –

organisation’s leader):

Full name

Position

Commission on appointment (name, date and 

number)

Organisation’s leader status

23.1 Data on effective qualification certificates of 

organisation’s leader:

Date and number of decision minutes by 

Examining Board

Date and number of decision minutes by 
Moscow Exchange FBOT Form

APPENDIX 16

[Procedure for submission of information and reports] 

14

Certification Commission

Qualification Certificate series and number 

Qualification awarded

24. Organisation’s controller

Full name

Position 

Commission on appointment (name, date and 

number)

24.1 Data on effective qualification certificates of 

organisation’s controller

Date and number of decision minutes by 

Examining Board

Date and number of decision minutes by 

Certification Commission

Qualification Certificate series and number

Qualification awarded

25 Information about beneficial owners (indicating the 

evidence that such individual is a beneficial 

owner)

26 Possession of the client or control of the client is 

exercised through third parties

27 Confirmation of possession of the client or control 

of the client through third parties

28 Letter on impossibility of submission of supporting 

documents, containing reference to publicly 

available source of information

29. Contact persons:

29.1 Personnel in charge of FX and Precious Metals 

market operations:

Full name

Position

Contact telephones

E-mail address

29.2 Personnel in charge of standardised OTC 

derivatives market operations:
Moscow Exchange FBOT Form

APPENDIX 16

[Procedure for submission of information and reports] 

15

Full name

Position

Contact telephones

E-mail address

29.3 Personnel in charge of derivatives market 

operations:

Full name

Position

Contact telephones

E-mail address 

29.4 Personnel in charge of money market operations:

Full name

Position

Contact telephones

E-mail address 

30 Data on presence (absence) of correspondent 

accounts with banks in states (territories) known 

not to comply with generally accepted standards 

for anti-money laundering and countering 

terrorism financing or foreign states (foreign 

territories) with a heightened level of corruption 

(to list countries if “available”)

31 Data on presence (absence) of correspondent 

accounts with banks in states (territories) 

offering preferential tax treatment and (or) not 

providing for disclosure or submission of 

information on conduct of financial operations 

(off-shore zones) (to list countries if “available’). 

32 Data on presence (absence) of correspondent 

accounts with banks in states or territories where 

information is available from international 

resources that drugs are illegally produced in or 

smuggled through territories thereof as well as 

states or territories allowing free circulation of 

drugs (save for states or territories using drugs 

solely for medical purposes) (to list countries if 

“available”).

33. Data on presence (absence) of accounts with 

shell banks (a shell bank is one registered in the 

jurisdiction of a state where said bank has no 

representation). If there are accounts opened for 

shell banks, specify their full names and account 
Moscow Exchange FBOT Form

APPENDIX 16

[Procedure for submission of information and reports] 

16

details. 

34 Personnel in charge of anti-money laundering and 

countering terrorism financing operations:

Full name

Position

Contact telephones

E-mail address

35 Actions in anti-money laundering and countering 

terrorism financing

36 Purpose of establishing and contemplated nature 

of business relations between Moscow Exchange 

and organisation

37 Organisation’s business objectives 

38 Organisation’s goodwill 

* If the person signing the Registration Card acts on the basis of the power of attorney, the Registration Card must 

be accompanied by a notarised copy of the said power attorney authorizing the person to sign the Registration Card 

and consent to processing of personal data of the authorised person executed in compliance with the form posted on 

the Exchange website, unless provided otherwise by statutory requirements. 

Contact Data for SMS via IDS (Information Display System)

Telephone number

Category

Owner’s full name 

Owner’s position 

E-mail address

Position

(Leader or any other authorised official*)

Seal

(Full name)

Drafted by, tel.

(Full name and telephone number)
Moscow Exchange FBOT Form

APPENDIX 16

[Procedure for submission of information and reports] 

17

APPENDIX No. 2

FORMATS OF ELECTRONIC DOCUMENTS FOR SUBMISSION OF INFORMATION AND REPORTS 

I. Format of Electronic Document for Submission of the Registration Card of the Trading 

Member/Member to Moscow Exchange

An electronic data file is formed as an XML document complying with the International XML 1.0 

Specification of the World Wide Web Consortium. The file is a set of elements describing the values of 

parameters of the Registration Card.

II. Formats of Electronic Documents for Submission of Reports by Credit Institutions to 

Moscow Exchange: 

1. The Trial Balance According to the Accounts (Form 0409101)

For credit institutions submitting Reports to the Moscow Main Territorial Department of the Bank of 

Russia

An electronic data file (Type - REGN*.K31) is formed in a text format. The file consists of lines 

representing a sequence of symbols separated by commas, each of them describing several fields of a 

line of standard Form 0409101.

List of fields is given in Table 1.

Table 1

Field No. Description

1 Account number

2 Account attribute

3 Opening balance in Rubles

4 Opening balance (FX, precious metals)

5 Opening balance total

6 Debit turnover in Rubles

7 Debit turnover (FX, precious metals)

8 Debit turnover total

9 Credit turnover in Rubles

10 Credit turnover (FX, precious metals)

11 Credit turnover total

12 Closing balance in Rubles

13 Closing balance (FX, precious metals)

14 Closing balance total

For credit institutions submitting Reports formed at the TC’s SHC to the Territorial Department of the 

Bank of Russia 

An electronic data file is formed in a tab-separated text format. The file represents a sequence of lines, 

each of them describing several fields comprising part of a line in standard Form 0409101.
Moscow Exchange FBOT Form

APPENDIX 16

[Procedure for submission of information and reports] 

18

List of fields is given in Table 2.

Table 2

Description

BIC (Organisation’s Bank Identification Code)

Report date

Form identifier

Account number

Supplementary parameter/Parameter according to the account/form (in this Form)

Value of parameter according to a particular account 

2. Income Statement (Form 0409102)

For credit institutions submitting Reports to the Moscow Main Territorial Department of the Bank of 

Russia

An electronic data file (Type - REGN*.KG1) is formed in a text format. The file consists of lines 

representing a sequence of symbols separated by commas, each of them describing several fields 

comprising a line of standard Form 0409102.

List of fields is given in Table 3.

Table 3

Description 

Symbol number

Ruble transactions total value 

FX transactions total value 

Grand total

For credit institutions submitting Reports formed at the TC’s SHC to the Territorial Department of the 

Bank of Russia 

An electronic data file is formed in a tab-separated text format. The file represents a sequence of lines, 

each of them describing several fields comprising part of a line in standard Form 0409102.

List of fields is given in Table 4.

Table 4

Description 

BIC (Organisation’s Bank Identification Code)

Reporting date

Form identifier

Symbol number

Supplementary Parameter/ Amount type according to symbol (in this form)
Moscow Exchange FBOT Form

APPENDIX 16

[Procedure for submission of information and reports] 

19

Value of amount type according to a particular symbol

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

For credit institutions submitting Reports to the Moscow Main Territorial Department of the Bank of 

Russia

An electronic data file (Type - REGN*.KA1) is formed in a text format. The file consists of lines 

representing a sequence of symbols separated by commas, each of them describing several fields of a 

line in standard Form 0409123.

List of fields is given in Table 5.

Table 5

Description 

Line number

Closing balance on reporting date

For credit institutions submitting Reports formed at the TC’s SHC to the Territorial Department of the 

Bank of Russia 

An electronic data file is formed in a tab-separated text format. The file represents a sequence of lines, 

each of them describing several fields of a line in standard Form 0409123.

List of fields is given in Table 6.

Table 6

Description 

BIC (Organisation’s Bank Identification Code)

Reporting date

Form identifier 

Line number

Supplementary parameter

Closing balance on reporting date

4. Information on Mandatory Ratios (Form 0409135)

For credit institutions submitting Reports to the Moscow Main Territorial Department of the Bank of 

Russia

An electronic data file (Type - REGN*.KF1) is formed in a text format. The file consists of lines 

representing a sequence of symbols separated by commas, each of them describing several fields of a 

line in standard Form 0409135.

List of fields in the Form (Sections 1, 2b) is given in Table 7.

Table 7

Description 
Moscow Exchange FBOT Form

APPENDIX 16

[Procedure for submission of information and reports] 

20

Identification code

Value

List of fields in the Form (Sections 2 and 2a) is given in Table 7a.

Table 7а

Description 

Indicator name

Indicator/ratio value (in shares)

For credit institutions submitting Reports formed at the TC’s SHC to the Territorial Department of the 

Bank of Russia 

Electronic data files are formed in a tab-separated text format. The files represent a sequence of lines, 

each of them describing several fields of a line in standard Form 0409135 ( Sections 1 and 2b are in one 

file, and Sections 2 and 2a in another one). 

List of fields in the Form (Sections 1 and 2b) is given in Table 8.

Table 8

Description 

BIC (Organisation’s Bank Identification Code)

Reporting date

Form identifier

Breakdown code 

Breakdown parameter 

Value of parameter for a particular breakdown

List of fields in the Form (Sections 2 and 2a) is given in Table 8a

Table 8а

Description 

BIC (Organisation’s Bank Identification Code)

Reporting date

Indicator name

Parameter for indicator

Parameter value for given indicator /ratio (in shares) 
Moscow Exchange FBOT Form

APPENDIX 16

[Procedure for submission of information and reports] 

21

5. Statement on Numerical Value of Maximum Ratio of Single Borrower or Group of 

Related Party Borrowers Risk (H6) (According to Data in Form 0409118).

An electronic data file is formed as an XML document complying with the International XML 1.0 

Specification of the World Wide Web Consortium. The file represents a set of elements describing the 

values of parameters in the Statement on Numerical Value of Maximum Ratio of Single Borrower or 

Group of Related Party Borrowers Risk (H6).

List of elements in the Form is given in 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 with the Bank of Russia

< regcode > Trading Member’s code (number)

<repdate> Reporting date

<ftype> Form type

<fname> Form name

List of parameters in the Form is given in Table 9a.

Table 9a

Parameter Description 

kapital Capital value

krz Borrower risk ratio value

h6 Н6 value

6. Affiliated Parties List (Form 0409051)

For credit institutions submitting Reports to the Moscow Main Territorial Department of the Bank of 

Russia

An electronic data file (Type - REGN*.KH*) is formed in a text format. The file consists of lines 

representing a sequence of symbols separated by commas, each of them describing several fields of a 

line of standard Form 0409051.

List of fields is given in Table 10.
Moscow Exchange FBOT Form

APPENDIX 16

[Procedure for submission of information and reports] 

22

Table 10

Field No. Description 

1 Change type 

2 Reporting date

3 Affiliated party individual code 

4 Person type 

5 Full name

6 Abbreviated name

7 Legal address

8 Postal address

9 Physical person’s document code

10 OKPO (General Classifier of Enterprises and organisations) code

11 INN (Taxpayer Identification Number)

12 Grounds effective date 

13 Grounds code

14 Note on grounds 

15 Vote percentage to total share number

For credit institutions submitting Reports formed at the TC’s SHC to the Territorial Department of the 

Bank of Russia 

An electronic data file is formed in a tab-separated text format. The file represents a sequence of lines, 

each of them describing several fields comprising part of a line in standard Form 0409051.

List of fields is given in Table 11.
Moscow Exchange FBOT Form

APPENDIX 16

[Procedure for submission of information and reports] 

23

Table 11

ARR+application code:$empty$: Information according to Form 051, where

Application code may have the following meanings:

AFL_1 – Affiliated parties data

AFL_11 – Grounds for parties affiliation

$empty$ – Notional (specifying) line code.

AFL_1 Affiliated party data

Line code Line code equals value in column with code 1

Column codes Column code may have the following meanings: 

a (Lat. Lower case letter) – change type from a set {1,2,3,4}

1 – Affiliated party code

2 – Entity type (1- legal entity, 2- individual)

31 – Abbreviated legal entity’s name/Individual’s name

32 – Full legal entity’s name/ Individual’s full name

4 – Legal entity’s location/Individual’s nationality

5 – Address

6 – Personal ID type (not to be filled in or must equal 0 for legal 

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

7 – OKPO (General Classifier of Enterprises and Organisations) 

code /Document series

8 – INN (Taxpayer Identification Number) code/Document 

number

12 – Votes percentage to total share number

DATE_IZM – Date changes came into effect in DD-MM-YYYY 

format (not to be filled in where change type = 4) 

AFL_11 Grounds for parties affiliation

Line code Column 1 + ‘|’ (vertical line) + Column 10 + (where symbol 2 in 

Column 10 equals 2, then ‘|’ + Column 10, otherwise empty)

Column code Column code may have the following meanings: 

1 - Affiliated party code (From Application AFL_1)

9 – Grounds effective date (DD-MM-YYYY)

10 – Grounds code (acc. to regulatory legal acts of the Bank of 

Russia)

11 – Notes (for grounds A2 code must be filled in by group 

number from application AFL_21)

III. Formats of Electronic Documents for Submission of Reports by Non-Credit Institutions 

that are Professional Securities Market Participants to Moscow Exchange:

1. Information about affiliated persons/entities of professional participant (Form 0420402);
Moscow Exchange FBOT Form

APPENDIX 16

[Procedure for submission of information and reports] 

24

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 form of an XML document meeting the international 

specification XML 1.0 Specification of the World Wide Web Consortium. This file represents a set of 

elements describing values of parameters of the relevant forms.

IV. Formats of Electronic Documents for Submission of Reports by Non-Credit Institutions 

other than Professional Securities Market Participants to Moscow Exchange: 

1. Balance sheet (Form 0710001);

2. Statement of financial results (Form 0710002).

The electronic data file is generated in form of an XML document meeting the international specification 

XML 1.0 Specification of the World Wide Web Consortium. This file represents a set of elements 

describing values of parameters of standard forms: Form 0710001 and Form 0710002

List of elements and parameters in the Form is given in Table 12.

Table 12

Element Description 

<QuartalReport> Describes element group

<QRP_version> Software version number

<REGDATA> Describes element group of organisation’s details

<BALANS> Describes element group in Form No. 0710001

<OTCH_PU> Describes element group in Form No. 0710002

<SOB_SREDSTVA> Describes element group in Equity (Capital) Calculation Form 

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

form

<row> Describes element group

<code> Describes parameter name

<val1> Describes parameter value
Moscow Exchange FBOT Form

APPENDIX 16

[Procedure for submission of information and reports] 

25

<val2> Describes parameter value

<val3> Describes parameter value

<val4> Describes parameter value

V. Format of Electronic Documents for Submission of Reports by Non-Resident Banks to 

Moscow Exchange

1. Form of Appendix No. 3 KEY PEROFMANCE INDICATORS OF NON-RESIDENT BANK

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

relevant form.
Moscow Exchange FBOT Form

APPENDIX 16

[Procedure for submission of information and reports] 

26

APPENDIX No. 3

KEY PEROFRMANCE INDICATORS

TRADING MEMBER – NON-RESIDENT BANK 

FOR THE YEAR ________________

(reporting quarter of the year)

(Units of measure)

Indicators dd.mm.yyyy

1. Total assets:

1.1. Cash and balances in correspondent accounts with financial 

institutions (including central banks)

1.2 Deposits and other funds with financial institutions

1.3. Investment in securities (except for promissory notes)

1.3.1. Including investment in government liabilities

1.4. Loans and other funds with non-financial institutions

- overdue debt share (in %)

- provisions (in %)

1.4.1. Including loans to legal entities

- overdue debt share (in %)

1.4.2. Loans to individuals

- overdue debt share (in %)

1.5 Other assets

2. Total liabilities, including:

2.1 Funds in accounts and loans and deposits from other banks 

2.2. Funds in accounts of legal entities (including deposits)

2.3. Funds in accounts of physical persons (including deposits)

2.4. Debt securities issued

2.5. Share of demand funds in liabilities (in %)

3. Equity (capital)

4. Profit (loss) (current year)

5. Return on assets (ROA)

6. Return on equity (ROE)

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

operating income)

(Position of the organisation’s leader) ________________/ Full name /

Seal

_______________, 20___

Drafted by, full name, telephone _________________