Disclosure of information for receivers of financial services

This information is posted for receivers of financial services of SPB Bank, PJSC under the "Basic Standard of Protection of the Rights and Interests of Legal Entities and Natural Persons Being Receivers of Financial Services Provided by the Members of Self-Regulating Organizations in the Field of Financial Market Uniting Brokers" (approved by the Bank of Russia, Protocol dated 20.12.2018 No. КФНП-39) and the "Basic Standard of Protection of the Rights and Interests of Legal Entities and Natural Persons Being Receivers of Financial Services Provided by the Members of Self-Regulating Organizations in the Field of Financial Market Uniting Depositories" (approved by the Bank of Russia).

1. General Information

Full and abbreviated name (if any):

full name: SPB Bank, Public Joint-Stock Company;
abbreviated name: SPB Bank, PJSC

Address:

38 Dolgorukovskaya str., bld. 1, Moscow, 127006, Russian Federation

Reception hours and days:

information is posted at: https://www.spbbank.ru/ru/contacts/bank_contacts/

E-mail:

info@spbbank.ru

Contact telephone number:

+7(495) 899-01-70

Official website in the Internet:

https://www.spbbank.ru/

License for carrying out brokerage activity including the number, date of issue and validity:

License of a securities market professional for carrying out brokerage activity No. 077-13817-100000 dated 18.11.2013, permanent
License of a securities market professional for carrying out depository activity No. 077-13860-000100 dated 28.04.2014, permanent

The authority that issued the license for carrying out brokerage and depository activity (name, address and telephone numbers):

License for carrying out brokerage and depository activity is issued by the Central Bank of the Russian Federation (the Bank of Russia).
Address of the Bank of Russia: 12 Neglinnaya str., Moscow, 107016
Telephone number of call center of the Bank of Russia:

8 (800) 300-30-00 – free in the territory of the Russian Federation;
+7 (499) 300-30-00 – charged according to tariffs of your operator;
+7 (495) 771-91-00

Membership in self-regulating organization specifying the name of such self-regulating organization, website of self-regulating organization in the Internet and its standards for protection of the rights and interests of receivers of financial services:

The authority exercising the powers in relation to control and supervision over broker activity:

the Central Bank of the Russian Federation (Finance and Investment Broker Department)

2. Information on financial services

On financial services provided under brokerage services agreement and additional broker services including the ones provided by broker for an extra fee

The information about financial services provided under brokerage services agreement and related additional services and fees is contained in the "Regulation for the Provision of Services on Financial Markets of SPB Bank, PJSC" posted on website of the Bank.

On financial services and additional depository services including the ones provided for an extra fee

The information about financial services and additional depository services including the ones provided for an extra fee is contained in the "Terms and Conditions of Depository Activity of SPB Bank, PJSC" posted on website of the Bank.

On procedure for receiving financial service including the documents to be provided by receiver of financial services for its receipt

Procedure for receiving financial service is contained in the "Regulation for the Provision of Services on Financial Markets of SPB Bank, PJSC" posted on website of the Bank and the "Terms and Conditions of Depository Activity of SPB Bank, PJSC" posted on website of the Bank.
The documents to be provided by receiver of financial service for its receipt are listed on website of the Bank: for brokerage service and for custody service.

On the ways and addresses for sending applications (complaints) to the Bank, self-regulating organization, to the authority exercising the powers in relation to control and supervision over broker activity

Ways and addresses for sending applications (complaints) to SPB Bank, PJSC:

The Bank accepts applications (complaints) at customer service outlet at the address: 38 Dolgorukovskaya str., bld. 1, Moscow.
Sending a written application:

by mail to the address: 38 Dolgorukovskaya str., bld. 1, Moscow 127006, Russian Federation;
using the Personal Account, EDF;
by e-mail: info@spbbank.ru.

The Bank ensures informing the receiver of financial services about receipt of the application (complaint) in case such informing is required in the application (complaint).

The ways and addresses for sending applications (complaints) to the Self-Regulating Organization "National Association of Securities Market Participants" (NAUFOR):

Ways of applying to SRO NAUFOR are specified on website of SRO NAUFOR
Address of SRO NAUFOR: 18 1st Koptelsky per., bld. 1, Moscow, 129090

Ways and addresses for sending applications (complaints) to the Bank of Russia:

Ways of applying to the Bank of Russia are specified on website of the Bank of Russia: https://cbr.ru/contacts/, https://www.cbr.ru/Reception/
Address of the Bank of Russia: 12 Neglinnaya str., Moscow, 107016
Telephone number of call center of the Bank of Russia:

8 (800) 300-30-00 – free in the territory of the Russian Federation;
+7 (499) 300-30-00 – charged according to tariffs of your operator;
+7 (495) 771-91-00

On the ways of protection of the rights of the receiver of financial services including the information on possibility of pre-trial dispute resolution and non-litigated solution procedure including pre-court dispute resolution, mediation procedure (if any)

The rights of receivers of financial services are established in the following documents:

the Federal Law dated 05.03.1999 No. 46-ФЗ "On Protection of the Rights and Legal Interests of Investors on the Securities Market";
"Basic Standard of Protection of the Rights and Interests of Legal Entities and Natural Persons Being Receivers of Financial Services Provided by the Members of Self-Regulating Organizations in the Field of Financial Market Uniting Brokers" (approved by the Bank of Russia, Protocol dated 20.12.2018 No. КФНП-39);
"Basic Standard of Protection of the Rights and Interests of Legal Entities and Natural Persons Being Receivers of Financial Services Provided by the Members of Self-Regulating Organizations in the Field of Financial Market Uniting Depositories" (approved by the Bank of Russia);
the Federal Law dated 04.06.2018 No. 123-ФЗ "On Authorized Person on the Rights of Financial Service Consumers";
other laws and regulations of the Russian Federation.

Procedure for submission of claims and dispute resolution is contained in the "Regulation for the Provision of Services on Financial Markets of SPB Bank, PJSC" posted on website of the Bank and the "Terms and Conditions of Depository Activity of SPB Bank, PJSC" posted on website of the Bank.
Applying to the authorized person on the rights of financial service consumers – the Financial Ombudsman considering damage claims of the consumer being a natural person, if such claim amount does not exceed 500,000 rubles.

Starting from 01.01.2021, a new pre-court dispute resolution procedure has been in force in relation to disputes between consumers and credit organizations.

Prior to sending an application to the Financial Ombudsman, the consumer shall forward an application (complaint) to SPB Bank, PJSC (hereinafter the Bank).

If the Client being a natural person received official refusal of the Bank to satisfy his/her request, prior to taking legal action in order to resolve the dispute, the consumer shall apply to the Financial Ombudsman.

The application can be forwarded in electronic form using the Personal Account on the official website of the Financial Ombudsman (www.finombudsman.ru) or in written form.

Telephone number: 8 (800) 200-00-10 (free in Russia).

Location and postal address: 3 Staromonetny pereulok, Moscow, 119017, for the Independent Non-Profit Organization "Financial Ombudsman Supporting Service" (INPO FOSS).

On the ways and procedure for amending brokerage services agreement or depository standards including as a result of introduction of changes to internal documents ~~by broker~~

The Bank shall have the right to amend unilaterally the "Regulation for the Provision of Services on Financial Markets of SPB Bank, PJSC" and the "Terms and Conditions of Depository Activity of SPB Bank, PJSC". Disclosure of the information regarding amendments to the "Regulation for the Provision of Services on Financial Markets of SPB Bank, PJSC" and the "Terms and Conditions of Depository Activity of SPB Bank, PJSC" shall be performed by means of posting the given amendments (new version) on the official website of the Bank.
"Regulation for the Provision of Services on Financial Markets of SPB Bank, PJSC", "Terms and Conditions of Depository Activity of SPB Bank, PJSC" and amendments thereto shall come into force not earlier than five (5) days after disclosure of the relative information.

3. Financial services provided by SPB Bank, PJSC under the "Regulation for the Provision of Services on Financial Markets of SPB Bank, PJSC" are not the services of bank account opening and deposit acceptance.

The money transferred under brokerage services agreement are not subject to insurance in accordance with Federal Law dated 23.12.2003 No. 177-ФЗ "On Insurance of Deposits of Natural Persons with Banks of the Russian Federation".

4. SPB Bank, PJSC informs receivers of financial services about the risks related to joining the "Regulation for the Provision of Services on Financial Markets of SPB Bank, PJSC" in the "Risk Warning Statement Related to Operations Performed by the Clients on Securities Market and the Derivatives Market" posted on website of the Bank.

5. Documents and their copies provided by the Bank upon request of the receiver of financial services

The Bank shall provide upon a written request of the receiver of financial services the information related to provision of financial services including the information regarding remuneration of the broker or depository as well as the documents and their copies containing the information, which content and terms of provision are established in the Standards of Protection of the Rights and Interests of Receivers of Financial Services posted on website of SRO NAUFOR: https://naufor.ru/tree.asp?n=16042, using the way such request was sent.

SPB Bank, PJSC informs the receiver of financial services about the Fees for the Services on Financial Markets posted on website of the Bank and about the Fees for the Provision of Custody Services posted on website of the Bank.

6. Internal Standard of SPB Bank, PJSC of Protection of the Rights and Interests of Legal Entities and Natural Persons Being Receivers of Financial Services within brokerage services on the Securities Market and the Derivatives Market.

28.11.2019 The Internal Standard of Best Efforts Bank, PJSC, of Protection of the Rights and Interests of Legal Entities and Natural Persons Being Receivers of Financial Services within brokerage services on the Securities Market and the Derivatives Market.

(validity: until amended)

7. SPB Bank, PJSC informs receivers of financial services about potential conflict of interests and measures which allow preventing the conflict of interests specified in the "List of Measures Aimed at Preventing Conflict of Interests when Performing Professional Activity on the Securities Market of SPB Bank, PJSC".

02.12.2019 List of Measures Aimed at Preventing Conflict of Interests when Performing Professional Activity on the Securities Market of Best Efforts Bank, PJSC

(validity: until amended)

8. Information on the tax rate and tax payment order in relation to yield on foreign securities

SPB Bank, PJSC provides receivers of financial services being natural persons with the information on the tax rate and tax payment order in relation to yield on foreign securities.