Statement of operations on the securities account. Forms

The section of the securities account is called accounting register analytical securities account, which is a set of personal accounts, operations with which are regulated by one document.

The types of documents that form the sections of securities accounts and the set of allowed sections of securities accounts are determined by the rules of the depository.

Examples of sections of securities accounts are securities put up for trading, securities pledged, etc.

Depo accounts LORO and NOSTRO

Depo account LORO is a passive analytical depo account designed for accounting of securities that are not the property of the depositary and transferred by it for safekeeping to another depository.

The depositary keeping the LORO account is called the domicile, and the depositary to which the LORO account was opened is called the domicile.

The opening of a LORO account must be accompanied by the opening of a corresponding NOSTRO account in the custody of the domicile depositary.

If the depositary transfers the securities belonging to it for safekeeping or for accounting in another depository, then such a depositary-depositor shall open an ordinary depo account.

The NOSTRO depo account is an active analytical depo account opened in the accounting of the domicile depository.

This account is intended for the bookkeeping of securities placed in a domicile depository, or recorded with the registrar on the account of a nominee holder.

The NOSTRO account is a reflection of the corresponding LORO account of the domicile depository or registrar.

A selection of the most important documents on demand Depo account statement (regulations, forms, articles, expert advice and much more).

Forms of documents: Statement of the depo account

Articles, comments, answers to questions: Statement of the depo account

Open a document in your system ConsultantPlus:
If the proposal is on the agenda general meeting signed by a shareholder (his representative), the rights to shares of which are recorded by a nominee holder, then an extract from the shareholder's custody account (document of a foreign nominee holder or foreign organization, who has the right, in accordance with her personal law, to record and transfer rights to securities). The extract confirms the number of shares of the company owned by the shareholder as of the date not earlier than seven working days prior to the date of sending the offer. To a document of a foreign nominee holder or a foreign organization, drawn up on foreign language must be accompanied by a translation into Russian, certified in the manner prescribed by the legislation of the Russian Federation (clause 2.8 of Regulation N 660-P, clauses 2.1, 12.3 of the Regulation on the procedure for opening and maintaining custody accounts and other accounts by depositories (approved by the Bank of Russia 13.11 .2015 N 503-P)).

Open a document in your system ConsultantPlus:
- a document on the rights to shares, for example, an extract from the register of shareholders on personal account, an extract on the shareholder's depot account, confirming the number of shares as of the date not earlier than seven business days before the date of the offer (clause 2.8 of Regulation N 660-P). In addition, you can submit an extract on the custody account of the trustee (clause 2.1 of Regulation N 503-P);

Normative acts: Statement of the depo account

Such documents may, in particular, be sale and purchase (exchange) agreements, decisions on the placement of equity securities, agreements on reorganization in the form of a merger or acquisition, decisions on reorganization in the form of division, separation or transformation, liquidation (dividing) balance sheets, transfer acts, certificates of state registration of the organization, privatization plans, decisions on the issue of securities, reports on the results of the issue of securities, issue prospectuses, court decisions, charters, constituent agreements (decisions on establishment) or their analogues, extracts from the personal account (accounts) in the system of maintaining the register of shareholders (participants), statements of the account (accounts) "depot" and other documents containing information on the date (dates) acquisition (receipt) of the ownership right to the contribution (share) in the authorized (reserve) capital (fund) of the organization paying dividends or to depositary receipts giving the right to receive dividends. These documents or their copies, if they are drawn up in a foreign language, must be legalized in the prescribed manner and translated into Russian.

2. A debtor under an obligation secured by a mortgage who has received from the legal owner of the mortgage a written notification of the registration of the latter in the Unified State Register of Real Estate with a duly certified extract from this register, as well as a written notification of the acquisition by such owner of a mortgage transferred to the depository for immobilization, with a proper a certified depo account statement, is obliged to make interim payments on the specified obligation, without requiring each time the presentation of a mortgage to him. Such obligation of the debtor terminates upon receipt of written notice from this or another legal owner of the mortgage bond of the assignment of rights under the mortgage bond.

DEPO account statement

With(period start date) on(end date of period)
Sections: _________________________
Account number:________________________
Account name: ___________________________
Security: _____________ Incoming balance: ________ Outgoing balance: _______

……………………………………………………………………………………………………………

Authorized person /__________________/

Appendix No. 2-2-8
Out. No. _____

Date _______

Report on the execution of the operation "Change of personal data of an individual / individual entrepreneur"

Surname: ____________________
Name: ____________________

Surname: ____________________
Date of Birth: ____________________
Status: ____________________
Residence / registration address: ____________________

The country: _____________________

Town:__________________________________

INN: _____________________


Document: _____________________
Series: _____________________ No. ______________
Issued by: _____________________
Bank: _____________________


BIK: _____________________ Current account: _____________________

Certificate of State registration individual entrepreneur: _____________________

Date of the operation: ______________________________

Open joint-stock company"BANK URALSIB"

Appendix No. 2-2-9
Ref. No. _____

Date _______

Report on the execution of the operation "Change personal data" of a legal entity

Code (securities account): ____________________
Name: ____________________
Short title: ____________________

Organizational form: ____________________
Name in English: ___________________
The actual address: _____________________
Location address: _____________________

Address for correspondence: _____________________
Country city:______________________________
Phone: _____________________ Email: ___________________
Correspondence type: _____________________
The contact person: _____________________
Certificate of State Registration: _____________________
Issued by: _____________________
PSRN: _____________________
Issued by: ___________ __________
INN / KIO: _____________________
Manager: _____________________ Full name: ____________________________
Chief Accountant: _____________________ FULL NAME: ____________________________
Bank: _____________________
Correspondent account: _____________________
Personal account: _____________________
BIC: _____________________
Payment account: _____________________
Date of the operation: ___________________________
Authorized person:______________________________________________________
M.P.
Open Joint Stock Company BANK URALSIB

Appendix No. 2-2-10

REFERENCE

on the acceptance of documents

_________ "____" _____________ 20_
We hereby confirm acceptance from _______________________________
_______
following documents:

1. 
   ________________________________________________________________
2. 
   ________________________________________________________________
3. 
   ________________________________________________________________
4. 
   ________________________________________________________________
5. 
   ________________________________________________________________
6. 
   ________________________________________________________________
7. 
   ________________________________________________________________
8. 
   ________________________________________________________________
9. 
   ________________________________________________________________

Authorized person _____________________/___________________________
M.P.

Open Joint Stock Company BANK URALSIB

Appendix No. 2-2-11

Checkout

Compiled by: OJSC URALSIB

Sender: OJSC URALSIB

Depositary manager
M.P.

Open Joint Stock Company BANK URALSIB

Appendix No. 2-2-12

EXTRACT

On the state of the securities account No. _________________ for accounting for non-equity securities

Date of preparation of the statement: _______________ Reg. Number________________

Compiled by: OJSC URALSIB

Sender: OJSC URALSIB
RECIPIENT:______________________________

Depositary manager
M.P.

This account statement is not securities

and its transfer does not entail a change in ownership

Open Joint Stock Company BANK URALSIB

Appendix No. 2-2-13

Report

Compiled by: OJSC URALSIB

Sender: OJSC URALSIB
RECIPIENT:______________________________

Depositary manager
M.P.

Open Joint Stock Company BANK URALSIB

Appendix No. 2-2-14

Report

On transactions performed on the securities account No. _________________

For the period from ____________ to ________________
Date of the report: _______________ Reg. Number________________
Initiator: _____________________________________________
Sender: OJSC URALSIB
RECIPIENT:______________________________
Issuer of securities: ______________________________________
Chapter: ____________________________________________________

Depositary manager
M.P.

This report is not a security

and its transfer does not entail a change in ownership

Open Joint Stock Company BANK URALSIB

Appendix No. 2-2-15

Checkout

from securities account No. _________________
Date of preparation of the statement: _______________ Reg. Number________________

Compiled by: OJSC URALSIB

Sender: OJSC URALSIB
RECIPIENT:______________________________
Balance at the beginning of the day: _________________________________

End of day balances: ___________________________________

Depositary manager
M.P.

This report is not a security

and its transfer does not entail a change in ownership

Open Joint Stock Company BANK URALSIB

Appendix No. 2-2-16

REPORT : (operation number)
ABOUT PERFORMANCE OF THE OPERATION:
APPOINTMENT (CANCELLATION OF APPOINTMENT) OF THE TRUSTEE OF THE DEPOT ACCOUNT, THE OPERATOR OF THE DEPOT ACCOUNT (SECTION OF THE DEPOT ACCOUNT)

_________________________

(date of report generation )

Initiator depository operation: (name of initiator)
Client (Depositor): _________________________________
DEPO account: (number and type of account)

Securities account section: _________ (section name) _________

Type of transaction: (name of the type of operation - appointment or cancellation of the appointment of a trustee, operator)

Custody account custodian: _______________________

Operator of the custody account / section of the custody account: _______________________

Date of operation: ____________

Basis for the operation: _______ ( name, number and date of order)______________