INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of June 17, 2024 No. 6750-U

About modification of the Provision of the Bank of Russia of June 29, 2022 No. 798-P

Based on paragraphs of first, third - the fifth Item 3 of Article 6. 1, Items 6 and 18 of article 42 of the Federal Law of April 22, 1996 No. 39-FZ "About the security market", Item 1 of Article 3, Item 3 of Article 18, Item 1 of Article 44, Item 1, subitems 1, the 7 and 9 Item 5, Items 10, 13, 21 and 22 articles 60.1 of the Federal Law of November 29, 2001 No. 156-FZ "About investment funds", Item 1 of Article 1, Item 1 of article 4 of the Federal Law of December 25, 2023 No. 631-FZ "About modification of separate legal acts of the Russian Federation":

1. Bring in the Provision of the Bank of Russia of June 29, 2022 No. 798-P "About procedure for licensing of the types of professional activity by the Bank of Russia in the security market specified in Articles 3 - 5, 7 and 8 Federal Laws of April 22, 1996 No. 39-FZ "About the security market", and procedure for maintaining the register of professional participants of the security market by the Bank of Russia, about procedure for adoption by the Bank of Russia of the decision on introduction (about refusal in introduction) the information about person in the unified register of investment advisers and procedure for maintaining by the Bank of Russia of the specified register, and also about procedure for provision by the Bank of Russia of license for activities of investment fund, the license of managing company for implementation of activities for management of investment funds, mutual investment funds and non-state pension funds, license for activities of specialized depositary of investment funds, mutual investment funds and non-state pension funds and procedure for maintaining by the Bank of Russia of registers of the specified licenses" <1> following of change:

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<1> It is registered by the Ministry of Justice of the Russian Federation on November 8, 2022, registration No. 70858.

1.1. In Item 1.3 of figure "1.7.8, 1.7.10," to replace with figures "1.7.8 - 1.7.10,".

1.2. In Item 1.4 of figure "1.7.111" to replace with figures "1.7.11".

1.3. State Item 1.5 in the following edition:

"1.5. The legal entity who is intending to perform activities of managing company (further respectively - activities of UK, the license applicant of UK), not being the insurance company having the license for implementation of voluntary insurance of life for receipt of the license of managing company for implementation of activities of UK (further - the license UK) shall submit in the Bank of Russia the application for provision of the license UK in the form provided by appendix 1 to this Provision, the documents provided by subitems 2, 5 - 9 Items 5, subitems 1.1 and 3 of Item 6 and Items 7 and 10 of article 60.1 of the Federal law "About Investment Funds" including the documents provided by subitems 1.7.2 - 1.7.11, 1.7.12.4, 1.7.13, 1.7.14, 1.7.22 and 1.7.23 of Item 1.7 of this provision (further in case of joint mentioning - documents of the license applicant of UK which is not insurance company).

The license applicant of UK, being the insurance company having the license for implementation of voluntary insurance of life for receipt of the license UK shall submit in the Bank of Russia the application for provision of the license UK in the form provided by appendix 1 to this Provision, the documents provided by subitems 7 - the 9th Item 5, the subitem 3 of Item 6 of article 60.1 of the Federal law "About Investment Funds", including the documents provided by subitems 1.7.3 - 1.7.10, 1.7.12.4, 1.7.13 of Item 1.7 of this provision (further in case of joint mentioning - documents of the license applicant of UK which is insurance company).".

1.4. In the paragraph the second Item "1.7.3 - 1.7.10" to replace 1.6 figures with figures "1.7.3 - 1.7.6, 1.7.8 - 1.7.10".

1.5. In Item 1.7:

the paragraph one after words "to the statement for provision of the license PURTsB," to add with words "to the statement for entering of information about the job seeker of activities of IS into the unified register of investment advisers,";

in subitem 1.7.2.3:

the tenth to state the paragraph in the following edition:

"confirmation of lack of the bases for recognition of physical person not conforming to the requirement, stipulated in Item 1 article 10.1-2 of the Federal law "About the Security Market" (concerning the license applicant of PURTsB which is not planning activities implementation Forex dealer);";

in the paragraph the twelfth to replace figure "2" with figure "3";

the fifth subitem 1.7.2.5 after the words "licenses PURTsB" to add the paragraph with words ", planning activities implementation Forex dealer";

in subitem 1.7.3.2:

state paragraph two in the following edition:

"the sole executive body performing functions (concerning the license applicant of PURTsB, the job seeker of activities of IS - the legal entity, not being credit institution and (or) the legal entity having the license PURTsB, the license applicant of AIF which did not make the decision on transfer of functions of sole executive body of the license applicant of AIF to managing company, the license applicant of UK which is not insurance company or the legal entity having the license PURTsB);";

third after words of "the license applicant of UK" to add the paragraph with words ", not being insurance company";

word in paragraph four of "the internal controller" to replace with the word of "controller";

to add paragraphs of the seventh and eighth after words of "the license applicant of UK" with words ", not being insurance company";

in the paragraph the twelfth to replace words of "the internal controller" with the word of "controller";

the thirteenth to state the paragraph in the following edition:

"the head of the structural unit performing functions and workers (specialists) provided by licensed requirements and conditions of implementation of activities of PURTsB, function of the controller (head of internal control), function of the official responsible for the organization of risk management system (the head of the separate structural division responsible for the organization of risk management system), functions of the internal auditor (the head of service of internal audit) to which competence implementation of such functions within the planned activities of PURTsB is referred (concerning the licensee - the license applicant of PURTsB);";

add with the paragraph of the following content:

"performing (planning to perform) functions of the controller (head of internal control) or the employee of service of internal control (in the presence) (concerning the license applicant of UK which is insurance company).";

in subitem 1.7.3.3:

in the paragraph the fourteenth "faces of the licensee -" to replace words with the word "persons";

in the paragraph the twentieth shall be replaced with words the words "about the security market" ", regulating activities in the financial market";

the twenty fourth to add the paragraph with words ", - in case of lack in full of the main information on the labor activity and the working life created by the employer according to article 66.1 of the Labor Code of the Russian Federation and provided according to the procedure, established by the legislation of the Russian Federation on the individual (personified) accounting in systems of mandatory pension insurance and compulsory social insurance for storage in information resources of Fund of pension and social insurance of the Russian Federation (further - information on labor activity containing in information resources of Fund)";

the paragraph the twenty fifth to add with words ", - in case of absence in full information on the labor activity containing in information resources of Fund";

the paragraph one of subitem 1.7.5 after the words "are provided to the Bank of Russia" to add with words "(in case of absence in full information on the labor activity containing in information resources of Fund)";

to add subitem 1.7.7 after the word "signed" with words "the specified physical person and";

in paragraph one of subitem 1.7.8 of the word "about the security market, legislation of the Russian Federation on investment funds" shall be replaced with words ", regulating activities in the financial market,";

in paragraph one of subitem 1.7.9 of the word "about the security market, legislation of the Russian Federation on investment funds" shall be replaced with words ", regulating activities in the financial market,";

the paragraph one of subitem 1.7.14 to state in the following edition:

"1.7.14. The documents confirming data on payment of shares (shares) constituting the authorized capital of the license applicant of PURTsB, the license applicant of SD which are not credit institution and (or) the holder of the register of owners of securities, the license applicant of UK, the license applicant of AIF (depending on payment method of shares (shares) which shall include (concerning the license applicant of PURTsB, the license applicant of SD which are not credit institution and (or) the holder of the register of owners of securities, the license applicant of UK, the license applicant of AIF):".

1.6. The paragraph one of Item 2.1 after words "licenses UK," to add with the words "not being insurance company, documents of the license applicant of UK which is insurance company".

1.7. To state subitem 2.3.4 of Item 2.3 in the following edition:

"2.3.4. Along with the documents for receipt of the license (right) to implementation of activities in the financial market submitted on paper in the Bank of Russia information (flash store) the documents provided by the subitem 3 Items 6, Item 7 of article 60.1 of the Federal law "About Investment Funds", subitems 1.7 shall be provided on the electronic medium. 15, 1.7.17, 1.7.19 and 1.7.24 of Item 1.7 of this provision, in the form of files with the *.pdf expansion providing possibility of their preserving on technical means and allowing after preserving possibility of search and copying of any fragment of the text means for viewing.".

1.8. State Item 2.4 in the following edition:

"2.4. In case of submission of documents for receipt of the license (right) to implementation of activities in the financial market by means of personal account the specified documents shall be processed according to the following requirements:

2.4.1. The statement for provision of the license (right) to implementation of activities in the financial market shall be presented in the file form with the *.docx (*.rtf) expansion.

2.4.2. Documents for receipt of the license (right) to implementation of activities in the financial market (except for the documents provided by the subitem 3 Items 6, Item 7, subitems 1 and 2 of Item 8 of article 60.1 of the Federal law "About Investment Funds", subitems 1.7. 15, 1.7.17, 1.7.19 and 1.7.24 of Item 1.7 of this provision) shall be presented in the Bank of Russia in the form of the files with the *.pdf expansion containing electronic copies of the specified documents.

2.4.3. The documents provided by the subitem 3 Items 6, Item 7, subitems 1 and 2 of Item 8 of article 60.1 of the Federal law "About Investment Funds", subitems 1.7. 15, 1.7.17, 1.7.19 and 1.7.24 of Item 1.7 of this provision, shall be presented in the Bank of Russia in the form of files with the *.pdf expansion providing possibility of their preserving on technical means and allowing after preserving possibility of search and copying of any fragment of the text means for viewing.".

1.9. In paragraph one of Item 3.1 of the word "by method by which the specified documents were submitted to the Bank of Russia" shall be replaced with words "in electronic form according to order of interaction, and in case of absence at the addressee of access to personal account - the method specified in subitem 2.1.1 of Item 2.1 of this provision".

1.10. In paragraph one of Item 3.2 and paragraph one of Item 3.8 of the word "by method by which documents for receipt of the license (right) to implementation of activities in the financial market were submitted to the Bank of Russia" shall be replaced with words "in electronic form according to order of interaction, and in case of absence at the addressee of access to personal account - the method specified in subitem 2.1.1 of Item 2.1 of this provision".

1.11. In Item 3.9 of the word "The Bank of Russia Shall Notify by Method by Which Documents for Receipt of the License (Right) to Implementation of Activities in the Financial Market Were Submitted to the Bank of Russia the License Applicant of PURTsB, the License Applicant of AIF, the License Applicant of SD, the License Applicant of UK, the Job Seeker of Activities of IS" shall be replaced with words "The Bank of Russia shall notify the license applicant of PURTsB, the license applicant of AIF, the license applicant of SD, the license applicant of UK, the job seeker of activities of IS in electronic form according to order of interaction, and in case of absence at the addressee of access to personal account - the method specified in subitem 2.1.1 of Item 2.1 of this provision".

1.12. In paragraph four of Item 3.11 of the word "about the security market" shall be replaced with words ", PURTsB regulating activities".

1.13. In paragraphs second and third Item 3.12 of the word "from the date of" shall be replaced with words ", following behind day".

1.14. In paragraph one of Item 3.13 of the word "in Internet network shall be replaced with words "on the Internet (further - Internet network)".

1.15. In Item 3.14:

the paragraph one to state in the following edition:

"3.14. The Bank of Russia no later than 5 working days from the date of decision making, stipulated in Item 3.12 this provision, shall notify in electronic form according to order of interaction, and in case of absence at the addressee of access to personal account - the method specified in subitem 2.1.1 of Item 2.1 of this provision on the specified decision:";

in subitem 3.14.1 of the word "about provision, the license AIF" shall be replaced with words "about provision of the license AIF".

1.16. In Item 3.16 of the word "by method by which documents for receipt of the license (right) to implementation of activities in the financial market, were provided to the Bank of Russia" shall be replaced with words "in electronic form according to order of interaction, and in case of absence at the addressee of access to personal account - the method specified in subitem 2.1.1 of Item 2.1 of this provision".

1.17. In subitem 4.2.3 of Item 4.2:

in paragraph one of the word "phone number;" to exclude;

word in paragraph seven of "the internal controller" to replace with the word of "controller".

1.18. In Item 4.3:

in subitem 4.3.1 of the word "and also the managing company which does not have the license on implementation of activities for management of securities" shall be replaced with words "managing company";

in subitem 4.3.2:

the paragraph one to state in the following edition:

"4.3.2. In case of change of surname, name, middle name (in the presence), details of the identity document, registration address at the place of residence, addresses for the direction of post correspondence, nationality (citizenship) of person, the name of position - no later than 10 working days from the date of the specified changes in the relation of the following physical persons:";

word in paragraph three of "the internal controller" to replace with the word of "controller";

add with the paragraph of the following content:

"Shall be attached to the statement for modification of the data containing in the register of the financial organizations: the questionnaire constituted according to subitem 1.7.3 of Item 1.7 of this provision in which surname, the name, middle name (in the presence), details of the identity document, Insurance Number of Individual Ledger Account (in the presence), by INN (in the presence) of person, data according to which there were changes shall be entered; the documents confirming change of biographical particulars of person.";

in paragraph one of subitem 4.3.3 of the word "in the form of files with the *.pdf expansion" to exclude;

in paragraph one of subitem 4.3.4 of the word "in the form of the file with the *.pdf expansion" to exclude;

in subitem 4.3.5:

in the paragraph the second to exclude the words "in the form of files with the *.pdf expansion";

third to state the paragraph in the following edition:

"the person performing functions of the controller (head of internal control) and the head of the structural unit, created according to licensed requirements and conditions of implementation of activities of PURTsB (concerning the credit institution, the state corporation of development "ВЭБ.РФ" having the license PURTsB) (with application of documents, specified in subitems 1.7.3 - 1.7.6, 1.7.8 - 1.7.10 Items 1.7 of this provision, concerning each person, temporarily the acting as specified persons within quarter).";

in subitem 4.3.6 of the word "in the form of the file with the *.pdf expansion" to exclude;

in subitem 4.3.7 of the word", not having license on implementation of activities for management of securities" to exclude.

1.19. Add with Item 4.4 (1) the following content:

"4.4 (1). Documents which submission to the Bank of Russia is provided by subitems 4.3.2 - 4.3.6 Items 4.3 of this provision shall conform to requirements, stipulated in Item 2.2 and subitem 2.4.2 of Item 2.4 of this provision.".

1.20. In Item 4.5 of figure "1.7.4" to replace with figures "1.7.3", "4.3.2 - 4.3.5" to replace figures with figures "4.3.2, 4.3.3, 4.3.5".

1.21. In Item 4.7 of the word "paragraphs third and" to replace with the word "paragraph".

1.22. In Item 4.11 of the word "paragraphs the third and fourth subitem 4.2. - 4.2.5 Items 4.2 of this provision" shall be replaced with words 1, in subitems 4.2.3 "the paragraph the fourth subitem 4.2. 1, subitems 4.2.3 - 4.2.5 Items 4.2 of this provision".

1.23. State appendix 1 in edition of appendix to this Instruction.

1.24. In appendix 3 line

"

8.

Phone numbers

"

state in the following edition:

"

8.

Phone number

".

2. This Instruction is subject to official publication and according to the solution of the Board of directors of the Bank of Russia (the minutes of the Board of directors of the Bank of Russia of June 7, 2024 No. PSD-15) become effective since January 1, 2025.

Appendix

to the Instruction of the Bank of Russia of June 17, 2024 No. 6750-U "About modification of the Provision of the Bank of Russia of June 29, 2022 No. 798-P"

"Appendix 1

to the Provision of the Bank of Russia of June 29, 2022 No. 798-P "About procedure for licensing of the types of professional activity by the Bank of Russia in the security market specified in Articles 3 - 5, 7 and 8 Federal Laws of April 22, 1996 No. 39-FZ "About the security market", and procedure for maintaining the register of professional participants of the security market by the Bank of Russia, about procedure for adoption by the Bank of Russia of the decision on introduction (about refusal in introduction) the information about person in the unified register of investment advisers and procedure for maintaining by the Bank of Russia of the specified register, and also about procedure for provision by the Bank of Russia of license for activities of investment fund, the license of managing company for implementation of activities for management of investment funds, mutual investment funds and non-state pension funds, license for activities of specialized depositary of investment funds, mutual investment funds and non-state pension funds and procedure for maintaining by the Bank of Russia of registers of the specified licenses"

(recommended sample - concerning the license applicant of PURTsB)

(form - concerning the license applicant of AIF, the license applicant of SD, the license applicant of UK, the job seeker of activities of IS)

Bank of Russia

STATEMENT ABOUT PROVISION OF THE LICENSE PURTSB, LICENSE AIF, LICENSE UK, LICENSE SD, ABOUT ENTERING OF INFORMATION ABOUT PERSON INTO THE UNIFIED REGISTER OF INVESTMENT ADVISERS <1>

(complete the corporate and reduced corporate (in the presence) names, INN and PSRN of the license applicant of PURTsB, the license applicant of AIF, the license applicant of SD, the license applicant of UK, the job seeker of activities of IS who is not the individual entrepreneur <1>/surname, name, middle name (in the presence) and PSRNSP of the job seeker of activities of IS who is the individual entrepreneur)

I ask to consider the documents submitted to the Bank of Russia and: enter the information about the job seeker of activities of IS in the unified register of investment advisers; provide to the license applicant of PURTsB the license for implementation of broker activities, license for activities of the merchandise broker, license for activities of the client broker, the license for implementation of dealer activities, license for activities Forex dealer, license for activities on management of securities, the license for implementation of depository activity, license for activities on maintaining the register of owners of securities <1>; provide to the license applicant of AIF AIF license for activities; provide to the license applicant of SD SD license for activities; provide to the license applicant of UK UK license for activities.

No. of line	Type of the represented information about the license applicant of PURTsB, the license applicant of AIF, the license applicant of SD, the license applicant of UK, the job seeker of activities of IS <1>	The description of contents of the represented data
1	2	3
1	General information about the license applicant of PURTsB, the license applicant of AIF, the license applicant of SD, the license applicant of UK, the job seeker of activities of IS - the legal entity <1>	Complete the corporate and reduced corporate (in the presence) names in Russian; PSRN; INN; the address within the location specified in the Unified State Register of Legal Entities; the address to which implementation of activities of PURTsB, activities of AIF, activities of SD, activities of UK is planned (in the presence)
	General information about the job seeker of activities of IS - the individual entrepreneur	Surname, name, middle name (in the presence); birth date and birth place, digital country code of nationality (citizenship) or specifying on lack of nationality (citizenship) (if nationality (citizenship) changed, former nationality (citizenship), and also date and the reason of change are in addition specified); PSRNSP; INN; the registration address at the place of residence specified in the Unified State Register of Private Entrepreneurs; details of the identity document
2	Contact information	Phone number; e-mail address; the address of the official site (official sites) in Internet network
3	Data on payment of the state fee <2>	Date and document number about payment of the state fee collected according to the subitem 58 of Item 1 of article 333.33 of the Tax Code of the Russian Federation with indication of purpose of payment; surname, name and middle name (in the presence) the physical person authorized by the license applicant of PURTsB, the license applicant of AIF, the license applicant of SD, the license applicant of UK on payment of the state fee for provision of the license PURTsB, license AIF, license SD, license UK (in case of payment of the specified state fee by the representative of the license applicant of PURTsB, the license applicant of AIF, the license applicant of SD, the license applicant of UK); number and document date, confirmatory power of the representative of the license applicant of PURTsB, the license applicant of AIF, the license applicant of SD, the license applicant of UK on making of actions for payment of the state fee (in case of payment of the state fee by the representative of the license applicant of PURTsB, the license applicant of AIF, the license applicant of SD, the license applicant of UK)

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<1> Necessary to choose.

<2> It is filled with the license applicant of AIF, the license applicant of UK, the license applicant of SD, the license applicant of PURTsB by each type of the planned activities of PURTsB.

4

Information about the following persons: person performing functions of sole executive body <1>; person (persons) performing (performing) function of the member of collegiate executive body (in the presence) the board member (supervisory board) (in the presence) <2>; the person performing (planning to perform) functions of the controller (head of internal control) to which competence implementation of function of internal control of the planned activities of PURTsB, activities of SD, activities of IS <3 is referred>; the person performing (planning to perform) (the persons performing (planning to perform)

The name of post (governing body which part person is); date of appointment (election) to position (in structure of governing body); surname, name and middle name (in the presence); birth date and birth place; digital country code of nationality (citizenship) or specifying on lack of nationality (citizenship) (if nationality (citizenship) changed, former nationality (citizenship), and also date and the reason of change are in addition specified); details of the identity document; Insurance Number of Individual Ledger Account (in the presence); INN (in the presence); registration address at the place of residence; the address for the direction of post correspondence; phone number

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<1> It is filled with the license applicant of PURTsB, the job seeker of activities of IS - the legal entity, not being credit institution and (or) the legal entity having the license PURTsB the license applicant of AIF who did not make the decision on transfer of functions of sole executive body of the license applicant of AIF to managing company, the license applicant of UK not being insurance company or the legal entity having the license PURTsB.

<2> It is filled with the license applicant of AIF, the license applicant of PURTsB, the job seeker of activities of IS - the legal entity, not being credit institution and (or) the legal entity having the license PURTsB, the license applicant of UK not being insurance company.

<3> It is filled with the license applicant of PURTsB, the license applicant of SD, the job seeker of activities of IS.

functions of the internal auditor (head of service of internal audit) (in the presence), persons responsible for the organization of risk management system (head of the separate structural division responsible for the organization of risk management system) (in the presence) <1>; the person performing (planning to perform) functions of the head of branch (in the presence) <2>; the person performing (planning to perform) functions of the special official <3>; the persons performing (planning to perform) functions of the deputy of sole executive body (in the presence), the chief accountant, the deputy chief accountant (in the presence), the head of branch (in the presence), the chief accountant of branch (in the presence), the controller (head of internal control) <4>; the person performing (planning to perform) (persons performing (planning to perform) functions of the head of the structural unit and the workers (specialists) provided by licensed requirements and conditions of implementation of activities of PURTsB <5>; the person performing (planning to perform) functions of the specialist of IS <6>; the person performing (planning to perform) functions of the head of the structural unit (the head of branch),

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<1> It is filled with the license applicant of PURTsB, the job seeker of activities of IS - the legal entity, not being credit institution and (or) the legal entity having the license PURTsB.

<2> It is filled with the license applicant of PURTsB, the job seeker of activities of IS - the legal entity, not being credit institution and (or) the legal entity having the license PURTsB.

<3> It is filled with the license applicant of PURTsB, not being credit institution and (or) the legal entity having the license PURTsB, the license applicant of UK not being insurance company.

<4> It is filled with the license applicant of UK, not being insurance company.

<5> It is filled with the license applicant of PURTsB.

<6> It is filled with the job seeker of activities of IS - the legal entity.

	intended to perform activities of SD <1>; the person performing (planning to perform) functions of the controller (head of internal control) or the employee of service of internal control (in the presence) <2>
5	Confirmation of lack of the bases for recognition of the job seeker of activities of IS - the individual entrepreneur, not to relevant requirements, stipulated in Item 1 article 10.1 of the Federal law "About the Security Market" and the Instruction of the Bank of Russia about requirements to the investment adviser <3>	Signature <4>
6	Information about the following persons <5>: persons specified in Item 2 of article 10.1-2 of the Federal law "About the Security Market" <6>; persons specified in Item 13 of article 44 of the Federal law "About Investment Funds" <7>; persons specified in Item 1 of article 38.1 of the Federal law "About Investment Funds" <8>; persons performing functions of sole executive body of persons specified in Item 1 of article 38.1 of the Federal law "About Investment Funds" <9>	Information about the Russian legal entity; information about the foreign legal entity; information about the physical person (surname, name, middle name (in the presence); birth date and birth place; digital country code of nationality (citizenship) or specifying on lack of nationality (citizenship) (if nationality (citizenship) changed, former nationality (citizenship), and also date and the reason of change are in addition specified); details of the identity document; registration address at the place of residence; the address for the direction of post correspondence; INN (in the presence); Insurance Number of Individual Ledger Account (in the presence); phone number); the number of the shares (the share size) constituting (constituting) authorized capital of the license applicant PURTsB, the job seeker of activities of IS, the license applicant of SD, the license applicant of UK <10> (in percentage expression), the order right which, (which) is available for person
7	Data on transfer of powers of individual to managing company	Complete the corporate and reduced corporate (in the presence) names;

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<1> It is filled with the license applicant of SD planning to combine activities of SD with other types of activity.

<2> It is filled with the license applicant of UK, being insurance company.

<3> It is filled with the job seeker of activities of IS - the individual entrepreneur.

<4> It is filled in case of submission of the statement on paper.

<5> It is filled with the job seeker - the legal entity.

<6> It is filled with the license applicant of PURTsB, not being credit institution and (or) the legal entity having the license PURTsB, the job seeker of activities of IS - the legal entity who does not have the license PURTsB.

<7> It is filled with the license applicant of SD, not being credit institution.

<8> It is filled with the license applicant of UK, not being insurance company.

<9> It is filled with the license applicant of UK, not being insurance company.

<10> Necessary to choose.

	executive body of the license applicant of AIF <1>	the address within the location specified in the Unified State Register of Legal Entities; PSRN; INN; date and number of creation of the protocol of the board of directors (supervisory board) of the license applicant of AIF containing the decision on the conclusion of the contract with managing company on transfer of powers of sole executive body of the license applicant of AIF to it
8	Data on approval of separate internal documents
	Investment declaration of joint-stock investment fund <2>	Number and date of creation of the minutes (decision making) of authorized body (the statement from it) the license applicant of AIF, the license applicant of SD, the license applicant of PURTsB, the license applicant of UK who contains data on approval of the internal document by it
	Regulations on the structural division created for implementation of the planned type of activity <3>
	Rules of internal control <4>
	Rules of internal control for the purpose of counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction	Approval date person performing functions of sole executive body of the license applicant of UK, the license applicant of PURTsB, the license applicant of SD, rules of internal control for the purpose of counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction and also the name, date and number of the internal document of the license applicant of UK, the license applicant of PURTsB, the license applicant of SD according to which the specified rules are approved (in case of its availability)

This statement the license applicant of PURTsB, the license applicant of AIF, the license applicant of SD, the license applicant of UK, the job seeker of activities of IS <5> assures about its intention to acquire the status of the member of self-regulatory organization in the field of the financial market in compliance part 3 of article 10 of the Federal Law of July 13, 2015 No. 223-FZ "About self-regulatory organizations in the field of the financial market" (if the specified job seeker for date of submission to the Bank of Russia of this statement is not alternate member of the specified self-regulatory organization in the field of the financial market) or reports that he is alternate member of the specified self-regulatory organization in the field of the financial market.

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<1> It is filled with the license applicant of AIF who made the decision on transfer of powers of sole executive body of the license applicant of AIF to managing company.

<2> It is filled with the license applicant of AIF.

<3> It is filled with the license applicant of PURTsB, the license applicant of SD.

<4> It is filled with the license applicant of SD, the license applicant of UK.

<5> Necessary to choose.

(the name of position, surname, name and middle name (in the presence), the signature of person performing functions of sole executive body (other representative it persons) the license applicant of PURTsB, the license applicant of AIF, the license applicant of UK, the license applicant of SD, the job seeker of activities of IS - the legal entity <1>; surname, name and middle name (in the presence), the signature of the job seeker of activities of IS - the individual entrepreneur)

I report that earlier the following documents were submitted to the Bank of Russia, and data containing in them did not change <2>:

Line number	Name of the document	Date and number of the letter of the job seeker
1	2	3
1
2

(the name of position, surname, name and middle name (in the presence), the signature of person performing functions of sole executive body (other representative it persons) the license applicant of PURTsB, the license applicant of AIF, the license applicant of UK, the license applicant of SD, the job seeker of activities of IS - the legal entity <3>; surname, name and middle name (in the presence), the signature of the job seeker of activities of IS - the individual entrepreneur)

The following documents are enclosed to this application:

Line number	Name of the document	Quantity of document sheets <4>
1	2	3
1
2

(the name of position, surname, name and middle name (in the presence), the signature of person performing functions of sole executive body (other representative it persons) the license applicant of PURTsB, the license applicant of AIF, the license applicant of UK, the license applicant of SD, the job seeker of activities of IS - the legal entity <1>; surname, name and middle name (in the presence), the signature of the job seeker of activities of IS - the individual entrepreneur)

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<1> Necessary to choose.

<2> It is filled if documents were submitted to the Bank of Russia and data containing in them earlier did not change.

<3> Necessary to choose.

<4> It is filled in case of submission to the Bank of Russia of paper documents.".

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