of July 25, 2007 No. 157
About approval of Methodical recommendations of features of state registration of the rights to the real estate which is in structure of mutual investment fund, and transactions with it
According to articles 3 and 10 of the Federal Law of July 21, 1997 N 122-FZ "About state registration of the rights to real estate and transactions with it" I order:
Approve the enclosed Methodical recommendations of features of state registration of the rights to the real estate which is in structure of mutual investment fund, and transactions with it.
Director
S. V. Vasilyev
Approved by the Order of Federal registration Service of the Russian Federation of July 25, 2007 No. 157
Methodical recommendations of features of state registration of the rights to the real estate which is in structure of mutual investment fund, and transactions with it (further - Recommendations) are developed on the basis and according to the Civil code of the Russian Federation * (1) (further - the Code), the Federal Law of July 21, 1997 N 122-FZ "About state registration of the rights to real estate and transactions with it" * (2) (further - the Law on registration), the Federal Law of November 29, 2001 N 156-FZ "About investment funds" * (3) (further - the Law on investment funds), the order of the Government of the Russian Federation of February 18, 1998 N 219 "About approval of Rules of maintaining the Unified State Register of Rights on real estate and transactions with it" * (4) (daleepravil of maintaining EGRP), the order of the Ministry of Justice of the Russian Federation of September 18, 2003 N 226 "About approval of the Instruction about procedure for filling and issue of certificates on state registration of the rights, messages on refusals in state registration of the rights to real estate and transactions with it and information on the registered rights" * (5) (further - the Instruction about procedure for filling and issue of certificates on state registration of the rights and information on the registered rights).
Recommendations are submitted on rendering the practical help to Federal registration Service and territorial authorities of Federal registration Service (further - the bodies performing state registration of the rights) for the purpose of enhancement of practice of carrying out state registration of the rights to the real estate which is in structure of mutual investment fund, and transactions with it by them.
In these Recommendations the questions which found reflection in acts of the Ministry of Justice of the Russian Federation, including in Methodical recommendations about procedure for carrying out state registration of the rights to real estate and the transactions with it approved by the order of the Ministry of Justice of the Russian Federation of July 1, 2002 N 184 "About approval of Methodical recommendations about procedure for carrying out state registration of the rights to real estate and transactions with it" * are not considered (6).
1. Investment fund - the property complex which is in property of joint-stock company or in common ownership of physical persons and legal entities, use and the order which are performed by managing company only for the benefit of shareholders of this joint-stock company or founders of trust management (paragraph 2 of article 1 of the Law on investment funds).
Mutual investment fund - the isolated property complex consisting of the property delivered in trust management of managing company of the founder (founders) of trust management with condition of consolidation of this property with property of other founders of trust management and of the property received in the course of such management, the share in the property right to which makes sure the security issued by managing company (the paragraph of 1 Item 1 of article 10 of the Law on investment funds).
The register of owners of investment shares - system of the records about mutual investment fund, about total quantity issued and the extinguished investment shares of this fund, about owners of investment shares and quantity of the investment shares belonging to them, nominee holders, about other registered persons and about quantity of the investment shares registered on them, crushing of investment shares, records about acquisition, about exchange, about transfer or repayment of investment shares (Item 1 of article 47 of the Law on investment funds).
2. According to the paragraph of the 5th Item 6 of article 11 of the Law on investment funds mutual investment funds which rules of trust management provide one of specified in Item 6 of the Law on investment funds of conditions are called respectively open mutual investment funds, interval mutual investment funds and closed-end investment funds.
Real estate and property rights on real estate can be part of assets of closed-end investment funds (the paragraph 2 Items 2 of article 33 of the Law on investment funds).
3. According to the paragraph 2 Items 1 of article 10 of the Law on investment funds the mutual investment fund is not legal entity.
According to the paragraph of 1 Item 2 of article 10 of the Law on investment funds the mutual investment fund shall have the name (individual designation) identifying it in relation to other mutual investment funds.
4. The mutual investment fund consists of property (the paragraph of 1 Item 1 of article 10 of the Law on investment funds):
1) the trust management delivered in trust management of managing company of the founder (founders);
2) received in the course of trust management.
The property constituting mutual investment fund is common property of owners of investment shares and belongs to them on the right of common ownership. The Section of the property constituting mutual investment fund, and apportionment from it of share in nature are not allowed (the paragraph 2 Items 2 of article 11 of the Law on investment funds).
Requirements to structure of assets of mutual investment fund are determined in the investment declaration containing in rules of trust management of this mutual investment fund. Before forming of mutual investment fund only the property given by founders of trust management (Item 3 of article 33 of the Law on investment funds) can enter its assets.
5. The investment share is the personalized security certifying share of its owner in the property right to the property constituting mutual investment fund, the right to demand from managing company of proper trust management of mutual investment fund, the right to monetary compensation in case of termination of the contract of trust management of mutual investment fund with all owners of investment shares of this mutual investment fund (the termination of mutual investment fund) (the paragraph of 1 Item 1 of article 14 of the Law on investment funds).
The rights certified by investment share are fixed in paperless form (the paragraph 2 Items 2 of article 14 of the Law on investment funds).
Each investment share certifies identical share in the right of common property to the property constituting mutual investment fund, and the identical rights (the paragraph of the 5th Item 1 of article 14 of the Law on investment funds).
Investment shares freely address upon termination of forming of mutual investment fund. Restrictions of the address of investment shares can be set by the Federal Law (the paragraph of 1 Item 5 of article 14 of the Law on investment funds).
6. According to the paragraph 2 Items 5 of article 14 of the Law on investment funds accounting of the rights to investment shares is performed on personal accounts in the register of owners of investment shares of mutual investment fund (further - the register of owners of investment shares) and if it is provided by rules of trust management of mutual investment fund, on custody accounts depositaries for which for these purposes in the register of owners of investment shares personal accounts of nominee holders are opened.
According to Items 2, 3 articles 47 of the Law on investment funds maintaining the register of owners of investment shares has the right to perform only the legal entity having license for activities on maintaining the register of owners of personalized securities or specialized depositary of this mutual investment fund. The agreement on maintaining the register of owners of investment shares can be signed only with one legal entity.
7. The basis of emergence of trust management according to article 1012 of the Code is the property trust management agreement.
Terms of the contract of trust management of mutual investment fund (further - rules of trust management of mutual investment fund) are determined by managing company in standard forms and can be accepted by the founder of trust management only by accession to the specified agreement in general (Item 1 of article 11 of the Law on investment funds, article 428 of the Code).
Standard rules of trust management of closed-end investment fund are approved by the order of the Government of the Russian Federation of July 25, 2002 N 564 * (7).
8. Accession to the trust management agreement of mutual investment fund is performed by acquisition by the founder of trust management of the investment share issued by the managing company exercising trust management of this mutual investment fund (the paragraph 2 Items 1 of article 11 of the Law on investment funds).
Joining the trust management agreement of mutual investment fund, the physical person or legal entity thereby refuses implementation of the privilege of acquisition of share in the property right to the property constituting mutual investment fund. At the same time the appropriate right stops (the paragraph 3 Items 2 of article 11 of the Law on investment funds).
9. The duration of the agreement of trust management of mutual investment fund specified in rules of trust management of mutual investment fund shall not exceed 15 years (paragraph 1 of article 12 of the Law on investment funds).
The duration of the agreement of trust management of closed-end investment fund specified in rules of trust management of this fund cannot be less than one year since the beginning of term of forming of this mutual investment fund (paragraph 3 of article 12 of the Law on investment funds).
The term of forming of mutual investment fund is specified in rules of trust management of mutual investment fund. The specified term shall begin no later than six months from the moment of registration of rules of trust management of mutual investment fund and shall not exceed three months (Item 1 of article 17 of the Law on investment funds).
10. Founder of trust management is the owner of property or other person in cases, stipulated in Article 1026 the Code (Item 1 of article 1014 of the Code).
The property which is under economic authority or operational management cannot be delivered in trust management (Item 3 of article 1013 of the Code).
Founders of trust management can deliver money in trust management of closed-end investment fund, and also if it is provided by rules of trust management of this mutual investment fund, other property provided by the investment declaration (paragraph 2 of article 13 of the Law on investment funds).
Transfer by founders of trust management to trust management of mutual investment fund of the property which is in pledge is not allowed (paragraph 3 of article 13 of the Law on investment funds).
11. Restrictions of activities of managing company are stipulated in Clause 40 Laws on investment funds.
12. The managing company has the right to suggest to sign the trust management agreement of mutual investment fund only on condition of registration of federal executive body on the security market of rules of trust management of this mutual investment fund (the paragraph of 1 Item 1 of article 19 of the Law on investment funds).
13. The managing company has the right to make changes and additions to rules of trust management of mutual investment fund. Changes and amendments in rules of trust management of closed-end investment fund affirm general meeting of owners of investment shares of this fund (Item 5 of article 17 of the Law on investment funds).
Changes and amendments in rules of trust management of mutual investment fund become effective on condition of their registration by federal executive body on the security market (the paragraph 2 Items 1 of article 19 of the Law on investment funds).
The procedure for entry into force of changes and amendments in rules of trust management of mutual investment fund is determined in article 20 of the Law on investment funds.
14. The bases of the termination of mutual investment fund, procedure for the termination of mutual investment fund and distribution of the property constituting mutual investment fund in case of its termination are provided by Chapter V of the Law on investment funds.
Obligations on the termination of mutual investment fund are assigned, the cases except for provided by the law, to managing company which shall realize the property constituting mutual investment fund and to perfrom calculations according to article 32 of the Law on investment funds within three months from the date of publication of the message on the termination of mutual investment fund if rules of trust management of mutual investment fund do not provide other term (Item 1, the paragraph of 1 Item 7 of article 31 of the Law on investment funds).
In case of the termination of mutual investment fund because upon termination of the term of its forming property value constituting mutual investment fund it appeared less than a property value determined by rules of trust management of mutual investment fund on reaching which the mutual investment fund is created, person performing the termination of mutual investment fund shall realize the property constituting mutual investment fund and to perfrom calculations according to article 32 of the Law on investment funds no later than two weeks from the date of the termination of term of forming of mutual investment fund (the paragraph 2 Items 7 of article 31 of the Law on investment funds).
15. The right of common ownership of owners of investment shares to the real estate which is in structure of mutual investment fund, and the transaction with it, and also the conveyance of real property in trust management of managing company are subject according to article 131 of the Code, Item 2 of article 1017 of the Code of state registration in the Unified State Register of Rights on real estate and transactions with it (further - EGRP) the bodies performing state registration of the rights to the real estate and transactions with it.
16. State registration of the rights is carried out according to the procedure, established by the Law on registration (Item 6 of article 131 of the Code).
Features of state registration of the right of common ownership of owners of investment shares to the real estate constituting mutual investment fund (acquired for inclusion in structure of mutual investment fund), restrictions (encumbrance) of this right or transactions with this property are stipulated in Item 4 articles 24 of the Law on registration.
17. The founder of trust management gives property (paragraph 2 of article 13 of the Law on investment funds) of managing company for its inclusion in structure of mutual investment fund with condition of consolidation of this property with property of other founders of trust management.
In case of accession to the trust management agreement of mutual investment fund which is performed by acquisition of the investment shares of mutual investment fund issued by the managing company exercising trust management of this mutual investment fund (the paragraph of 1 Item 2, the paragraph 2 Items 1 of article 11 of the Law on investment funds).
18. Issue of investment shares is performed based on requests for acquisition of investment shares. Requests for acquisition of investment shares have irrevocable character (Item 1 of article 21 of the Law on investment funds).
Applications for acquisition of investment shares according to rules of trust management of mutual investment fund are submitted to managing company and (or) to the agents on issue of investment shares of this mutual investment fund acting on behalf of managing company (the paragraph of 1 Item 2 of Article 21, the paragraph of 1 Item 2 of article 27 of the Law on investment funds).
The request for acquisition of investment shares represents the offer (offer) addressed to managing company on the conclusion of the trust management agreement of mutual investment fund with person which directed the offer on the conditions containing in rules of trust management of this mutual investment fund (article 435 of the Code, Item 1 of Article 11, article 17 of the Law on investment funds).
The obligatory data included in the commitment form on acquisition of investment shares are established in appendix to Standard rules of trust management of the closed-end investment fund approved by the order of the Government of the Russian Federation of July 25, 2002 N 564.
In particular, the request for acquisition of investment shares (in case of payment of investment shares by non-cash means) shall include the data allowing to establish definitely the property which is subject to entering into mutual investment fund, including the data determining real estate arrangement on the corresponding parcel of land or as a part of other real estate (Item 7 of Appendix to Standard rules of trust management of the closed-end investment fund approved by the order of the Government of the Russian Federation of July 25, 2002 N 564).
19. Adoption of the request by managing company is performed by issue of investment shares. Issue of investment shares is performed by entering of records into the register of owners of investment shares according to Item 8 of the Regulations on procedure for maintaining the register of owners of investment shares of mutual investment funds approved by the resolution of the Federal Commission for the Securities Market of June 7, 2002 N 20/ps * (8).
According to the paragraph 2 Items 1 of article 149 of the Code person which performed fixing of the right in paperless form shall upon the demand of the owner of the right to issue it the document testimonial of the affirmed right.
20. According to Item 2 of article 1017 of the Code the conveyance of real property in trust management is subject to state registration in the same order, as transition of the property right to this property.
The cession of property in trust management does not attract transition of the property right to it to the trustee (Item 1 of article 1012 of the Code).
By transfer by the founder of trust management of the real estate belonging to it on the property right to structure of mutual investment fund the property right of the founder of trust management to the transferred property stops. On the real estate given by the founder of trust management to structure of mutual investment fund there is right of common ownership of owners of investment shares of this mutual investment fund (Item 1 of article 235 of the Code, the paragraph 2 Items 2 of article 11 of the Law on investment funds).
21. According to Item 1 of article 16 of the Law on registration state registration of the right of common ownership of owners of investment shares to the real estate given by the founder of trust management to structure of mutual investment fund is performed based on the statement of the founder of trust management and managing company in which trust management there is mutual investment fund, about state registration of transition of the right to the real estate given by the founder of trust management to structure of mutual investment fund.
As the bases for state registration of transition of the right to the real estate given by founders of trust management to structure of mutual investment fund it is recommended to consider:
the request for acquisition of investment share conforming to requirements of the Standard rules of trust management of closed-end investment fund approved by the order of the Government of the Russian Federation of July 25, 2002 N 564;
rules of trust management of mutual investment fund (the trust management agreement of mutual investment fund) with all changes and amendments registered according to the procedure made to them, established by the Law on investment funds (the paragraph of the 5th item 4 of article 24 of the Law on registration). If changes and additions were made to rules of trust management, also printing edition in which the message on their registration was published is submitted;
the document on the reception-transmission of property constituted according to the procedure, provided by rules of trust management of mutual investment fund.
The documents necessary according to Articles 16, of 17, 18 Laws on registration for carrying out state registration of the rights are attached to the statement for state registration of transition of the right to the real estate given by founders of trust management to structure of mutual investment fund.
According to the paragraph 2 Items 2 of article 15 of the Law on investment funds upon the demand of the body performing registration of the rights to real estate, person performing maintaining the register of owners of investment shares shall constitute the list of owners of investment shares containing the data on them provided by the Law on investment funds and to provide it to the specified body.
In case of the direction of the corresponding request to person performing maintaining the register of owners of investment shares it is recommended to request the list as of date of submission of the statement on state registration of transition of the right to the real estate given by founders of trust management to structure of mutual investment fund.
On state registration of transition of the right to the real estate given by founders of trust management to structure of mutual investment fund are also represented:
the statement from the register of mutual investment funds issued in the procedure established by the Law on investment funds not earlier than before ten days before date of submission of documents for state registration (the paragraph 3 items 4 of article 24 of the Law on registration, Item 6 of article 19 of the Law on investment funds, the Procedure for maintaining the register of mutual investment funds approved by the resolution of the Federal Commission for the Securities Market of April 27, 2002 N 14/ps * (9));
the license of managing company in which trust management there is mutual investment fund (the paragraph 4 items 4 of article 24 of the Law on registration).
According to article 18 of the Law on registration the documents, necessary for state registration of the rights, expressing contents of the transactions made in simple written form, and being the basis for state registration of availability, origin, the termination, transition, restriction (encumbrance) of the rights are represented at least in two copies originals, one of which after state registration of the rights shall be returned to the owner, the second - is located to documents of title.
The application for state registration of the right is submitted on state registration of the rights in the single copy original and after state registration of the right is located to documents of title.
Others documents, necessary for state registration of the rights (except for acts of public authorities and acts of local government bodies, and also acts of the courts which established the rights to real estate) are represented at least in duplicate, one of which - the original - after state registration of the rights shall be returned to the owner.
In the cases established by the legislation of the Russian Federation and also if the submitted documents do not meet the requirements of article 18 of the Law on registration, on state registration additional documents (the paragraph of 1 Item 2 of article 17 of the Law on registration) can be requested.
22. Along with state registration of transition of the right to the real estate given by founders of trust management to structure of mutual investment fund state registration of restriction (encumbrance) of the right of common ownership at the same number of state registration of owners of investment shares on real estate in the form of trust management based on the trust management agreement of mutual investment fund (the rule of trust management of mutual investment fund) is performed.
23. The property received in the course of trust management of mutual investment fund is part of this mutual investment fund. The specified property is common property of owners of investment shares and belongs to them on the right of common ownership (the paragraph of 1 Item 1 of Article 10, the paragraph 2 Items 2 of article 11 of the Law on investment funds).
For example, real estate, property rights on real estate acquired by managing company in the course of trust management of mutual investment fund based on civil transactions for inclusion in structure of mutual investment fund belongs to such property.
24. The managing company exercises trust management by mutual investment fund by making of any legal and actual acts concerning the property constituting this mutual investment fund and makes transactions with this property on its own behalf, specifying at the same time that she acts as the trustee (the paragraph of 1 Item 3, the paragraph of 1 item 4 of article 11 of the Law on investment funds).
This condition is considered observed if when making the actions which are not requiring written registration, other party is informed on their making by the trustee in this quality, and in written instruments after the name of the trustee the mark of "D. U." is made and the name of mutual investment fund (item 4 of article 11 of the Law on investment funds) is specified.
Transactions concerning the property constituting mutual investment fund, the managing company can make only after the termination of term of forming of the mutual investment fund specified in rules of trust management as before forming of mutual investment fund only the property given by founders of trust management can enter its assets (Item 1 of Article 17, Item 3 of article 33 of the Law on investment funds).
Non-paid alienation by managing company of the property constituting mutual investment fund is not allowed (Item 1 of article 40 of the Law on investment funds).
25. State registration of the right of common ownership of owners of investment shares to the real estate acquired by managing company in the course of trust management of mutual investment fund for inclusion in structure of mutual investment fund is performed based on the statement of agreement parties for state registration of the transaction (if the transaction is subject to state registration), transition of the right to the respective real estate unit. At the same time the application on behalf of owners of investment shares is submitted by managing company in which trust management there is mutual investment fund.
The documents necessary according to Articles 16, of 17, of 18, 24 Laws on registration for carrying out state registration of the rights and meeting the requirements of the Law on registration are attached to the statement for state registration of transition of the right to the real estate given by founders of trust management to structure of mutual investment fund.
The body performing state registration is right, has the right to request from person performing maintaining the register of owners of investment shares, the list of owners of investment shares as of date of transaction on acquisition by managing company in the course of trust management of the real estate unit of mutual investment fund for inclusion in structure of mutual investment fund (the paragraph 2 Items 2 of article 15 of the Law on investment funds, Item 19 of the Regulations on procedure for maintaining the register of owners of investment shares of mutual investment funds approved by the resolution of the Federal Commission for the Securities Market of June 7, 2002 N 20/ps) * (10).
In the cases established by the legislation of the Russian Federation and also if the submitted documents do not meet the requirements of article 18 of the Law on registration, on state registration of the right of common ownership of owners of investment shares to real estate additional documents (the paragraph of 1 Item 2 of article 17 of the Law on registration) can be requested.
26. Considering provisions of the paragraph of the 6th Item 6 of article 12 of the Law on registration, Item 2 of article 1017 of the Code, along with state registration of the right of common ownership of owners of investment shares to the real estate acquired by managing company in the course of trust management of mutual investment fund for inclusion in structure of mutual investment fund it is recommended to perform state registration of restriction (encumbrance) of the right of common ownership of owners of investment shares to real estate at the same number of state registration in the form of trust management based on the trust management agreement of mutual investment fund (rules of trust management of mutual investment fund).
27. State registration of transition of the right of common ownership of owners of investment shares to the real estate alienated by managing company in the course of trust management of mutual investment fund is performed based on the statement of agreement parties for state registration of the transaction (if the transaction is subject to state registration), transition of the right to the respective real estate unit (the paragraph of 1 item 4 of article 24 of the Law on registration). At the same time the application on behalf of owners of investment shares is submitted by managing company in which trust management there is mutual investment fund.
The documents necessary according to Articles 16, of 17, of 18, 24 Laws on registration for carrying out state registration of the rights and meeting the requirements of the Law on registration are attached to the statement for state registration of transition of the right to the real estate given by founders of trust management to structure of mutual investment fund.
The body performing state registration is right, has the right to request from person performing maintaining the register of owners of investment shares, the list of owners of investment shares as of date of transaction on acquisition by managing company in the course of trust management of the real estate unit of mutual investment fund for inclusion in structure of mutual investment fund (the paragraph 2 Items 2 of article 15 of the Law on investment funds, Item 19 of the Regulations on procedure for maintaining the register of owners of investment shares of mutual investment funds approved by the resolution of the Federal Commission for the Securities Market of June 7, 2002 N 20/ps).
In the cases established by the legislation of the Russian Federation and also if the submitted documents do not meet the requirements of article 18 of the Law on registration, on state registration of transition of the right of common ownership of owners of investment shares to real estate additional documents (the paragraph of 1 Item 2 of article 17 of the Law on registration) can be requested.
28. Along with state registration of transition of the right of common ownership of owners of investment shares to the real estate alienated by managing company in the course of trust management of mutual investment fund state registration of the termination of restriction (encumbrance) of the right of common ownership at the same number of state registration of owners of investment shares on real estate in the form of trust management is performed.
29. When conducting legal examination of the documents submitted on state registration of the rights based on the transactions made by managing company in the course of trust management of mutual investment fund it is recommended to check observance of restrictions by managing company, the stipulated in Clause 40 Laws on investment funds.
30. In case of state registration of the right of common ownership to the real estate unit in EGRP it is specified that owners of such object are owners of investment shares of the relevant mutual investment fund (without specifying of names (names) of owners of investment shares and the sizes of the shares in the right of common ownership belonging to them) (the paragraph of the 6th item 4 of article 24 of the Law on registration).
31. Based on Rules of maintaining EGRP state registration of the right of common ownership to the real estate unit which is in structure of mutual investment fund is performed by entering of records into the subsection II-1 "Record about the property right and about other corporeal rights" of EGRP.
In the column "Right Type" of the subsection II-1 "the right of common ownership" is specified.
The column "Share" of the subsection II-1 is not filled in.
In the column "Owners" of the subsection II-1 it is specified "Owners of investment shares" and the name of the relevant mutual investment fund.
32. State registration of trust management of the real estate which is in structure of mutual investment fund according to the paragraph of the 6th Item 6 of article 12 of the Law on registration is performed in the subsection III-6 "Record about other restrictions (encumbrances)" of EGRP.
In the column "Number of Registration" it is recommended to specify number of state registration of the right of common ownership of owners of investment shares to the real estate unit which is in structure of mutual investment fund.
In the column "Description of Restriction (Encumbrance)" of the subsection III-6 it is recommended to specify "trust management".
The column "Term" is subject to obligatory filling - in it start and end dates of the duration of the agreement of the trust management of mutual investment fund specified in rules of trust management of this mutual investment fund or start date and its duration are brought. The duration of the agreement of trust management of closed-end investment fund begins to flow with the beginning of term of forming of this mutual investment fund (paragraph 3 of article 12 of the Law on investment funds).
In the column "Person Whose Rights Are Encumbered (Are Limited)" of the subsection III-6 it is specified "Owners of investment shares" and the name of the relevant mutual investment fund.
In the column "Person for benefit of Whom Are Encumbered the Rights (Are Limited)" of the subsection III-6 data on managing company according to Item 18 of Rules of maintaining EGRP are entered.
In the column "Reference documents" details of rules of trust management are specified (including date and number of their registration in federal executive body on the security market).
33. The managing company if it is provided by rules of trust management of mutual investment fund, has the right according to the procedure, established by regulatory legal acts of federal executive body on the security market, to transfer the rights and obligations according to the trust management agreement of mutual investment fund of other managing company (Item 5 of article 11 of the Law on investment funds).
The regulations on procedure for transfer by managing company of the rights and obligations according to the trust management agreement of mutual investment fund of other managing company are approved by the resolution of the Federal Commission for the Securities Market of September 11, 2002 N 37/ps * (11).
34. The rights and obligations of managing company according to the trust management agreement of mutual investment fund are considered transferred to other legal entity from the date of publication in "The annex to the bulletin of the Federal Commission for the Securities Market" of the message on registration of corresponding changes and amendments in rules of trust management of mutual investment fund (Item 3 of the Regulations on procedure for transfer by managing company of the rights and obligations according to the trust management agreement of mutual investment fund of other managing company approved by the resolution of the Federal Commission for the Securities Market of September 11, 2002 N 37/ps).
35. According to Item 1 of article 16 of the Law on registration entering of records into EGRP by transfer by managing company of the rights and obligations according to the trust management agreement of mutual investment fund of other managing company is performed based on the statement from managing company which transfers the rights according to the trust management agreement, and from managing company to which passed the rights according to the trust management agreement, about entering of the corresponding record into EGRP.
With the statement for entering into EGRP of records about assignment of rights and obligations according to the trust management agreement of mutual investment fund the following documents can be submitted:
the documents confirming assignment of rights and obligations of managing company according to the trust management agreement of mutual investment fund;
the documents confirming legal capacity of managing companies;
the statement from the register of mutual investment funds issued in the procedure established by the Law on investment funds not earlier than before ten days before date of submission of documents for state registration (the paragraph 3 items 4 of article 24 of the Law on registration, Item 6 of article 19 of the Law on investment funds, the Procedure for maintaining the register of mutual investment funds approved by the resolution of the Federal Commission for the Securities Market of April 27, 2002 N 14/ps);
the license of managing company to which passed the rights according to the trust management agreement (the original or notarially certified copy) (the paragraph 4 items 4 of article 24 of the Law on registration, item 4 of the Regulations on procedure for transfer by managing company of the rights and obligations according to the trust management agreement of mutual investment fund of other managing company approved by the resolution of the Federal Commission for the Securities Market of September 11, 2002 N 37/ps);
changes and amendments in the rules of trust management of mutual investment fund registered according to the procedure, stipulated in Item 9 Regulations on registration of rules of the trust management of mutual investment funds and changes and amendments to them approved by the order of the Federal Service for Financial Markets of December 21, 2006 N 06-154/pz-n * (12);
the printing edition in which the message on registration of changes and amendments in rules of trust management of mutual investment fund (Item 3 of the Regulations on procedure for transfer by managing company of the rights and obligations according to the trust management agreement of mutual investment fund of other managing company approved by the resolution of the Federal Commission for the Securities Market of September 11, 2002 N 37/ps) is published.
36. For the purpose of entering into EGRP of records about transfer by managing company of the rights and obligations according to the trust management agreement of mutual investment fund of other managing company the following is recommended:
in new leaf of the subsection III-6 EGRP at the same number of registration to make record about trust management of managing company of mutual investment fund which transferred the rights and obligations according to the trust management agreement;
on the face of the previous leaf of the subsection III-6 EGRP to put down stamp of repayment of registration record (Item 62 of Rules of maintaining EGRP) with indication of number of subsection and leaf on which record about trust management of new managing company of mutual investment fund (Item 63 of Rules of maintaining EGRP) is made.
In all columns of new leaf of the subsection III-6 EGRP, except for the columns "Person for benefit of Whom Are Encumbered the Rights (Are Limited)", it is recommended to make the records similar to records of leaf of the subsection III-6 EGRP containing records about trust management of managing company of mutual investment fund in which column "Person for benefit of Whom Are Encumbered the Rights (Are Limited)" the initial managing company was specified. Data of new managing company according to Item 18 of Rules of maintaining EGRP are entered in the column "Person for benefit of Whom Are Encumbered the Rights (Are Limited)" of new leaf of the subsection III-6 EGRP, in the column "Reference documents" of this leaf the bases of introduction of these records are in addition specified.
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* (1) Russian Federation Code. 1994. N 32. Art. 3301; 1996. N 5. Art. 410; 2001. N 49. Art. 4552.
* (2) Russian Federation Code. 1997. N 30. Art. 3594; 2001. N 11. Art. 997; N 16. Art. 1533; 2002. N 15. Art. 1377; 2003. N 24. Art. 2244; 2004. N 30. Art. 3081; N 27. Art. 2711; N 35. Art. 3607; N 45. Art. 4377; 2005. N 1 (p. I). Art. 15; St. 22; St. 40; St. 43; N 50. Art. 5244; 2006. N 1. Art. 17; N 17 (p. I). Art. 1782; N 23. Art. 2380.
* (3) Russian Federation Code. 2001. N 49. Art. 4562; 2006. N 17 (p. I). Art. 1780.
* (4) Russian Federation Code. 1998. N 8. Art. 963; 1999. N 52. Art. 6416; 2002. N 41. Art. 3983; 2003. N 37. Art. 3584; 2004. N 47. Art. 4652.
* (5) It is registered by the Ministry of Justice of the Russian Federation on September 30, 2003, registration N 5122. Russian newspaper. 2003. 8 Oct.
* (6) Bulletin of the Ministry of Justice of the Russian Federation. 2002. N11.
* (7) Russian Federation Code. 2002. N 31. Art. 3113.
* (8) Bulletin of regulations of federal executive bodies. 2002. N 35.
* (9) Bulletin of regulations of federal executive bodies. 2002. N 24; it is registered in the Ministry of Justice of the Russian Federation on May 31, 2002, registration N 3481.
* (10) Bulletin of regulations of federal executive bodies. 2002. N 35; it is registered in the Ministry of Justice of the Russian Federation on July 31, 2002, registration N 3641.
* (11) Bulletin of regulations of federal executive bodies. 2002. N 49; it is registered in the Ministry of Justice of the Russian Federation on November 19, 2002, registration N 3933.
* (12) Bulletin of regulations of federal executive bodies. 2007. N 11; it is registered in the Ministry of Justice of the Russian Federation on February 8, 2007, registration N 8915.
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