INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of December 20, 2017 No. 4654-U

About modification of the Instruction of the Bank of Russia of November 6, 2014 No. 157-I "About order of registration of rules of trust management of mutual investment fund and changes and amendments in them"

1. Based on the paragraph of third Item 1 of article 19 of the Federal Law of November 29, 2001 No. 156-FZ "About investment funds" (The Russian Federation Code, 2001, No. 49, Art. 4562; 2004, No. 27, Art. 2711; 2006, No. 17, Art. 1780; 2007, No. 50, Art. 6247; 2008, No. 30, Art. 3616; 2009, No. 48, Art. 5731; 2010, No. 17, Art. 1988; No. 31, Art. 4193; 2011, No. 48, Art. 6728; No. 49, Art. 7040, Art. 7061; 2012, No. 31, Art. 4334; 2013, No. 26, Art. 3207; No. 27, Art. 3477; No. 30, Art. 4084; No. 51, Art. 6695, Art. 6699; 2014, No. 11, Art. 1098; 2015, No. 27, Art. 4001; No. 29, Art. 4357; 2016, No. 1, Art. 47; No. 23, Art. 3301; No. 27, Art. 4225, Art. 4294; 2017, No. 18, the Art. 2661), article 7 of the Federal Law of July 10, 2002 No. 86-FZ "About the Central bank the Russian Federation (Bank of Russia)" (The Russian Federation Code, 2002, No. 28, Art. 2790; 2003, No. 2, Art. 157; No. 52, Art. 5032; 2004, No. 27, Art. 2711; No. 31, Art. 3233; 2005, No. 25, Art. 2426; No. 30, Art. 3101; 2006, No. 19, Art. 2061; No. 25, Art. 2648; 2007, No. 1, Art. 9, Art. 10; No. 10, Art. 1151; No. 18, Art. 2117; 2008, No. 42, Art. 4696, Art. 4699; No. 44, Art. 4982; No. 52, Art. 6229, Art. 6231; 2009, No. 1, Art. 25; No. 29, Art. 3629; No. 48, Art. 5731; 2010, No. 45, Art. 5756; 2011, No. 7, Art. 907; No. 27, Art. 3873; No. 43, Art. 5973; No. 48, Art. 6728; 2012, No. 50, Art. 6954; No. 53, Art. 7591, Art. 7607; 2013, No. 11, Art. 1076; No. 14, Art. 1649; No. 19, Art. 2329; No. 27, Art. 3438, Art. 3476, Art. 3477; No. 30, Art. 4084; No. 49, Art. 6336; No. 51, Art. 6695, Art. 6699; No. 52, Art. 6975; 2014, No. 19, Art. 2311, Art. 2317; No. 27, Art. 3634; No. 30, Art. 4219; No. 40, Art. 5318; No. 45, Art. 6154; No. 52, Art. 7543; 2015, No. 1, Art. 4, Art. 37; No. 27, Art. 3958, Art. 4001; No. 29, Art. 4348, Art. 4357; No. 41, Art. 5639; No. 48, Art. 6699; 2016, No. 1, Art. 23, Art. 46, Art. 50; No. 26, Art. 3891; No. 27, Art. 4225, Art. 4273, Art. 4295; 2017, No. 1, Art. 46; No. 14, Art. 1997; No. 18, Art. 2661, Art. 2669; No. 27, Art. 3950; No. 30, of the Art. 4456) to bring in the Instruction of the Bank of Russia of November 6, 2014 No. 157-I "About order of registration of rules of trust management of mutual investment fund and changes and amendments in them", registered by the Ministry of Justice of the Russian Federation on December 11, 2014 No. 35146, on May 31, 2017 No. 46901, the following changes.

1.1. To state subitem 1.2.1 of Item 1.2 in the following edition:

"1.2.1. The application for registration of rules signed by person performing functions of sole executive body of managing company (other representative it person), and also containing request to register rules and confirmation of the fact that edited the text in electronic form on the optical carrier corresponds to the specified rules provided on paper according to appendix 1 to this Instruction.".

1.2. In Item 2.2:

state subitem 2.2.1 in the following edition:

"2.2.1. The statement for registration of changes and amendments in rules signed by person performing functions of sole executive body of managing company (other representative it person) (person performing functions of sole executive body of specialized depositary (other representative it person), or the head of temporary administration if changes and amendments are connected with assignment of rights and obligations according to the trust management agreement of closed-end investment fund in case of cancellation (cancellation) of the license of managing company), and also containing request to register changes and amendments in rules and confirmation of the fact that the text of changes and amendments in rules in electronic form on the optical carrier corresponds to the specified changes and amendments provided on paper according to appendix 2 to this Instruction.";

state subitem 2.2.9 in the following edition:

"2.2.9. Signed by person performing functions of sole executive body of the organization performing maintaining the register (other representative it person), the document containing data on quantity of the issued investment shares of closed-end investment fund as of the last date of issue (repayments) of investment shares preceding date of provision of documents in the Bank of Russia (authorized division) for registration of changes and amendments in rules.

The document is provided if changes and amendments in rules are connected with change of quantity of the issued investment shares of closed-end investment fund.";

state subitem 2.2.11 in the following edition:

"2.2.11. The report on quantity of in addition issued investment shares of closed-end investment fund signed by person performing functions of sole executive body of managing company of the specified fund (other representative it person), and person performing functions of sole executive body of specialized depositary of the specified fund (other representative it person), prepared according to appendix 3 to this Instruction.

The specified report is provided if changes and amendments in rules are the changes specified in Item 6 of article 21 of the Federal law "About Investment Funds".".

1.3. State Item 3.1 in the following edition:

"3.1. All paper documents submitted for registration of rules or changes and amendments to them shall be signed by person performing functions of sole executive body of managing company (other representative it person) (person performing functions of sole executive body of specialized depositary (other representative it person), or the head of temporary administration if changes and amendments are connected with assignment of rights and obligations according to the trust management agreement of closed-end investment fund in case of cancellation (cancellation) of the license of managing company).".

1.4. Add with Item 3.1.1 of the following content:

"3.1.1. In case of signing of the documents submitted to the Bank of Russia (authorized division) for registration of rules or changes and amendments in them by the other person authorized on it by person performing functions of sole executive body of the legal entity the document confirming the power of the person which signed documents is attached to such documents. Authorized signatures on the documents submitted on paper are certified by seal of this legal entity (in the presence).".

1.5. State Item 3.2 in the following edition:

"3.2. In the documents represented to the Bank of Russia (authorized division) containing more than one leaf, sheets shall be numbered, stitched and certified on the back the last leaf by the signature of person performing functions of sole executive body of managing company (other representative it faces) (person performing functions of sole executive body of specialized depositary (other representative it faces), or the head of temporary administration), with indication of surname, name, middle name (in the presence), positions, signature dates, and also with indication of figures and copy-book of number of the numbered sheets.

The signature of person performing functions of sole executive body of the applicant (other representative it persons), shall be certified by the applicant's seal (in the presence) (if applicant is the managing company or specialized depositary).

The copies of documents represented by the applicant shall contain the mark about assurance of the copy consisting of text "True copy", names of position, surname and initials of person performing functions of sole executive body of the organization (other representative it persons), its personal signature and date of assurance of the copy. The specified mark shall be fastened by impress of a seal of the organization (in the presence).

The first page of the document which is subject to statement of the applicant by authorized body shall contain signature stamp of approval of the document.

The first page of the document (the statement for registration of rules, the statement for registration of changes and amendments in rules or the cover letter) shall contain reference number and date of forming of the document.".

1.6. State Item 4.3 in the following edition:

"4.3. Documents with the considered notes are submitted with the cover letter signed by person performing functions of sole executive body of the applicant (other representative it person), or the head of temporary administration and also containing confirmation of the fact that the text edited or the text of changes and amendments in rules with the considered notes (further - Changes) and edited the text with the made Changes in electronic form corresponds to the specified documents submitted on papers according to appendix 4 to this Instruction.".

1.7. After the last paragraph of appendix 1 of the word "Position of Person Performing Functions of Sole Executive Body of the Applicant" shall be replaced with words "The name of position".

1.8. After the last paragraph of appendix 2 of the word "Position of Person Performing Functions of Sole Executive Body of the Applicant" shall be replaced with words "The name of position".

1.9. After Item 25 of appendix 3 of the word "Position of Person Performing Functions of Sole Executive Body of Specialized Depositary of Fund" shall be replaced with words "The name of position", the words "Position of Person Performing Functions of Sole Executive Body of Managing Company of Fund" shall be replaced with words "The name of position".

1.10. After the last paragraph of appendix 4 of the word "Position of Person Performing Functions of Sole Executive Body of the Applicant or the Head of Temporary Administration" shall be replaced with words "The name of position".

2. This Instruction becomes effective after 10 days after day of its official publication.

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