Appendix 1
to the Electronic Data
Interchange Agreement
ELECTRONIC DATA INTERCHANGE RULES OF NSD
Moscow 2017
TABLE OF CONTENTS
12
2.1.
2.2.
2.3.
2.4.
2.5.
3
3.1.
3.2.
3.3.
3.4.
3.5.
3.6.
3.7.
3.8.
3.9.
3.10.
3.11.
3.12.
3.13.
4
4.1.
4.2.
4.3.
4.4.
4.5.
4.6.
4.7.
4.8.
5.
5.1
5.2
5.3 / General Provisions
Appendices to the Electronic Data Interchange Rules of NSD
Electronic Communication Rules of NSD
Forms of Documents Supporting Electronic Data Interchange (EDI)
EDI Application Form
NSD’s Details Form for EDI
Participant’s Details Form for EDI
Form of a Power of Attorney for Signing Electronic Documents in the NSD’s EDI System
Form of a Notification of Receipt of a Certificate that Can Be Used without a Power of Attorney
Specifications of Electronic Messages Being Used by NSD
Specifications of Functional Electronic Documents in the NSD’s EDI System
Specifications of Internal Electronic Documents in the NSD’s EDI System
NSD’s Specifications of XML Data Structures
PARTAD’s Specifications of XML Data Structures
Specifications of Messages that Meet the ISO Standard and that Are to Be Used When Interchanging Electronic Documents via the SWIFT System in the Course of Depository/Clearing Operations
Specifications of Messages that Meet the SWIFT Standards and that Are to Be Used When Interchanging Electronic Documents via the SWIFT System in the Course of Bank Account Services
Specifications of Electronic Documents Used by NSD Acting as a Withholding Agent
Specifications of Electronic Documents Used by NSD for Corporate Actions Processing
Specifications of Electronic Documents Used by NSD Acting as a Tax Administrator
Specifications of Electronic Documents Being Used by NSD in Connection with Repository Services
Specifications of Electronic Documents Being Used by NSD in Connection with the Disclosure of Beneficiaries for U.S. Securities
Specifications of Electronic Documents Used by NSD in Connection with the Operation of the Centralized UIT Units Record Keeping System (CUU RKS)
Specifications of Electronic Documents Used when providing settlement services on the WEB-service channel
Transit of Electronic Documents via the NSD’s EDI System
General Provisions
List of Identification Codes of Transit Electronic Documents as Used in the NSD’s EDI System
Specifications of Internal Electronic Documents Supporting the Transit of Electronic Documents via the NSD’s EDI System
Templates of Electronic Message Formats to be Used for Creating Transit Electronic Documents with an Identification Code of Category II
Templates of Electronic Message Formats to be Used for Creating Transit Electronic Documents with an Identification Code of Category IV
Templates of Electronic Message Formats to be Used for Creating Transit Electronic Documents with an Identification Code of Category V
Peculiarities of the Transit ofElectronic Documents to Be Sent for the Purpose of Ensuring the Voting on Securities
Peculiarities of the Transit of Electronic Documents to Be Sentfor the Purpose of Drawing up a List of Security Holders in Accordance with Article 8.6-1 of the Federal Law “On the Securities Market”
WEB-interaction
General Provisions
Peculiarities of the connection and use of WEB-service NSD
Peculiarities of the connection and use of WEB-cabinet NSD
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Electronic Data Interchange Rules of NSD
General Provisions
These Electronic Data Interchange Rules of NSD (the “NSD’s EDI Rules”) set out the terms and conditions of, and the procedure for, electronic data interchange between NSD and Participants.
The NSD’s EDI Rules include the following Appendices:
-Appendix 1. Electronic Communication Rules of NSD;
-Appendix 2. Form of Documents Supporting Electronic Data Interchange (EDI);
-Appendix 3. Specifications of Electronic Messages Being Used by NSD; and
-Appendix 4. Transit of Electronic Documents via the NSD’s EDI System.
The Electronic Communication Rules of NSD constitute NSD’s internal regulations approved by the NSD’s Supervisory Board.
The NSD’s Electronic Communication Rules may only be submitted to the Supervisory Board upon their consideration by the National Settlement Depository Customer Committee (Central Securities Depository Customer Committee) (the “Customer Committee”). In the event that the NSD’s Electronic Communication Rules are not approved by the Customer Committee, they may be approved by the NSD’s Supervisory Board by at least a two-thirds vote of the Supervisory Board members.
The NSD’s Electronic Communication Rules, as well as any amendments thereto, shall be submitted for approval to the federal executive authority in charge of the financial markets.
The NSD’s Electronic Communication Rules, as well as any amendments thereto, shall only take effect upon such approval.
The NSD’s EDI Rules and the NSD’s Electronic Communication Rules shall hereinafter be collectively referred to as the “Rules”.
Upon making any amendments to the NSD’s EDI Rules, NSD shall send to Participants, either via E-mail or via a Web Service, an Information Message that shall contain the text of such amendments or the new version of the NSD’s EDI Rules.
Where an amendment is made exclusively to an Appendix to the NSD’s EDI Rules that relates to Electronic Data Interchange via SWIFT, such Information Message containing the text of the amendment or the new version of the Appendix shall only be sent to those Participants who communicate with NSD via SWIFT.
A Notice containing information regarding any amendments to an Appendix to the NSD’s EDI Rules that relates to Electronic Data Interchange via SWIFT may also be sent to Participants via SWIFT.
In addition, Participants may refer to the NSD’s official web site at (the Documents/EDI Documents section).
Information Messages that NSD may send to a Participant shall be of two types: standard messages created in accordance with the requirements set forth by these EDI Rules, and open-type messages created using an Electronic Signature saved in a separate file and without encryption.
In the course of bank account services, the Participant shall use the Electronic Signature Verification Key Certificate (the ESVKC) that is associated with the user identification code (username to log into the corresponding Bank-Client System). Each identification code provides for certain user rights that may be restricted by the Participant. Correspondence of certificates and user identification codes, as well as user right restrictions are set by NSD upon submission of EDI Application Form by the Participant (Appendix 2 to the NSD’s EDI Rules).
The combination of the user identification code for the Internet Bank-Client System or the Intranet Bank-Client System, the ESVKC and the rights granted to the user, correspond to one Automated Software Workstation of Internet Bank-Client System or Intranet Bank-Client System, respectively.
The documents providing the EDINSD can be submitted to the NSD both in the form of a document on paper and in the form of an Electronic Document. For submission of documents in electronic form An electronic message is generated in PDF format in accordance with Appendix No. 2 to the EDI Rules, signed by an Electronic signature, encrypted using all the electronic signature verification keys of the NSD, the certificates of which are published in the online catalog (register) ofEDI System Provider and sent to the NSD at e-mail . At the same time, the rules for the reception of electronic messages / electronic documents provided for by the Rules of Electronic Interaction of EDIs of the NSD are not applied.
In compliance with the Russian laws, NSD has developed and applies measures aimed at preventing and fighting against corruption. NSD does not make anything that is treated by the Russian laws as giving/taking a bribe or kickbacks, does not provide or offer to provide any money or anything of value, either directly or indirectly, to any person to influence their actions or decisions for the purpose of obtaining any undue advantage or achieving any other inappropriate goals, and does not make any other thing violating the Russian anticorruption laws.
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Electronic Data Interchange Rules of NSD