INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of April 14, 2015 No. 162-I

About requirements to structure and contents of the documents submitted to the Bank of Russia for registration of rules of trust management of mortgage covering, and also changes and additions made to them

List of amending documents

According to part 5 of article 27 of the Federal Law of November 11, 2003 No. 152-FZ "About mortgage securities" (The Russian Federation Code, 2003, No. 46, Art. 4448; 2005, No. 1, Art. 19; 2006, No. 31, Art. 3440; 2010, No. 11, Art. 1171; 2011, No. 48, Art. 6728; No. 49, Art. 7040; 2012, No. 26, Art. 3436; No. 53, Art. 7606; 2013, No. 30, Art. 4084; No. 51, the Art. 6699) (further - the Federal Law "About Mortgage Securities"), 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. 45, Art. 6154; No. 52, Art. 7543; 2015, No. 1, of the Art. 4, of the Art. 37) this Instruction establishes requirements to structure and contents of the documents submitted to the Bank of Russia for registration of rules of trust management of mortgage covering, and also changes and additions made to them (further - changes).

Chapter 1. Requirements to structure and contents of the documents submitted to the Bank of Russia for registration of rules of trust management of mortgage covering

1.1. For registration of rules of trust management of mortgage covering (further; - rules) the managing director of mortgage covering (further - the applicant) represents to Department of the corporate relations of the Bank of Russia (further - Authorized division) the following documents.

1.1.1. The statement for registration of rules which shall contain:

full name of the applicant in Russian;

date of state registration, the primary state registration number, the name of the body which performed state registration of the applicant;

identification taxpayer number;

request register rules;

the individual designation identifying hypothecation certificates of participation with mortgage covering;

confirmation of the applicant that edited the text on the electronic medium corresponds to the text of rules provided on paper.

1.1.2. The questionnaire represented on paper and electronic carriers which shall contain:

the name of the applicant (the complete and reduced names of the applicant in Russian);

data on addresses and applicant's phones (location, address, number of the phone/fax, e-mail address);

data on state registration of the applicant (date of state registration, the primary state registration number, the name of the body which performed state registration);

data on statement on tax accounting of the applicant (INN, the name and number of the tax authority which performed statement of the applicant on tax accounting).

1.1.3. Governed on paper (in duplicate) and the electronic medium.

1.1.4. The original or the copy of the decision on approval of rules made according to constituent documents of the applicant certified by the applicant.

1.1.5. The copy of the insurance contract of responsibility of the managing director of mortgage covering to owners of hypothecation certificates of the participation concluded with the insurer, data on whom contain in rules, certified by the applicant.

The document is submitted in case of specifying in rules of information about the insurer with whom the insurance contract of responsibility of the managing director of mortgage covering to owners of hypothecation certificates of participation is signed.

1.1.6. The copy of the contract of the managing director of mortgage covering with specialized depositary certified by the applicant, data on which contain in rules.

1.1.7. The copy of the insurance contract of responsibility of the specialized depositary to owners of hypothecation certificates of participation signed with the insurer, data on whom contain in rules, certified by the applicant.

The document is submitted in case of specifying in rules of information about the insurer with whom the insurance contract of responsibility of specialized depositary to owners of hypothecation certificates of participation is signed.

1.1.8. The copy of the contract of the managing director of mortgage covering with the registrar performing maintaining the register of owners of hypothecation certificates of participation certified by the applicant (further - the registrar), data on which contain in rules.

1.1.9. The copy of the insurance contract of responsibility of the registrar to owners of hypothecation certificates of participation signed with the insurer, data on whom contain in rules, certified by the applicant.

The document is submitted in case of specifying in rules of information about the insurer with whom the insurance contract of responsibility of the registrar to owners of hypothecation certificates of participation is signed.

Chapter 2. Requirements to structure and contents of the documents submitted to the Bank of Russia for registration of changes

2.1. For registration of changes the following documents are submitted to Authorized division.

2.1.1. The statement for registration of changes which shall contain:

full name of the applicant in Russian;

date of state registration, the primary state registration number, the name of the body which performed state registration of the applicant;

identification taxpayer number;

request register changes;

the individual designation identifying hypothecation certificates of participation with mortgage covering;

confirmation of the applicant that edited the text of changes and the text with the made changes on the electronic medium correspond to the specified documents submitted on paper.

2.1.2. The questionnaire which shall contain:

the name of the legal entity to which the rights and obligations according to the trust management agreement of mortgage covering are transferred (the complete and reduced names of the legal entity in Russian);

data on addresses and phones of the legal entity to which the rights and obligations according to the trust management agreement of mortgage covering (the location, the address, number of the phone/fax, the e-mail address) are transferred;

data on state registration of the legal entity to which the rights and obligations according to the trust management agreement of mortgage covering are transferred (date of state registration, the primary state registration number, the name of the body which performed state registration);

data on statement on tax accounting of the legal entity to which the rights and obligations according to the trust management agreement of mortgage covering (INN, the name and number of the tax authority which performed statement of the applicant on tax accounting) are transferred.

The document is submitted on paper and electronic carriers in case of change of information about the managing director of mortgage covering as a result of transfer of its rights and obligations according to the trust management agreement of mortgage covering to other legal entity.

2.1.3. Changes on paper (in duplicate) and on the electronic medium, approved as the authorized representative of the applicant who signed the protocol of general meeting of owners of hypothecation certificates of participation (the chairman of general meeting).

In case of assignment of rights and obligations according to the trust management agreement of mortgage covering of the state-owned managing company determined according to the Federal Law "About Mortgage Securities", approval of changes is not required.

2.1.4. Rules with the made changes on paper and electronic carriers.

2.1.5. The copy of the protocol of general meeting of owners of hypothecation certificates of participation certified by the applicant.

The document is not provided in case of assignment of rights and obligations according to the trust management agreement of mortgage covering of the state-owned managing company determined according to the Federal Law "About Mortgage Securities".

2.1.6. The copy of the agreement on transfer to the legal entity certified by the applicant who according to the Federal Law "About Mortgage Securities" has the right to issue hypothecation certificates of participation and the data about which contain in changes, the rights and obligations according to the trust management agreement of mortgage covering.

The document is submitted in case of change of information about the managing director of mortgage covering as a result of transfer of its rights and obligations according to the trust management agreement of mortgage covering to other legal entity.

The document is not provided in case of assignment of rights and obligations according to the trust management agreement of mortgage covering of the state-owned managing company determined according to the Federal Law "About Mortgage Securities".

2.1.7. The copy of the agreement on assignment of rights certified by the applicant and obligations under the contract with specialized depositary of mortgage covering to the legal entity, data on whom contain in rules with the made changes.

The document is submitted in case of assignment of rights and obligations according to the trust management agreement of mortgage covering to other legal entity.

2.1.8. The copy of the agreement on assignment of rights certified by the applicant and obligations under the contract with the registrar performing maintaining the register of owners of hypothecation certificates of participation, to the legal entity, data on whom contain in rules with the made changes.

The document is submitted in case of assignment of rights and obligations according to the trust management agreement of mortgage covering to other legal entity.

2.1.9. The copy of the insurance contract of responsibility of the managing director of mortgage covering to owners of hypothecation certificates of the participation concluded with the insurer, data on whom contain in rules with the made changes, certified by the applicant.

The document is submitted in case of inclusion in rules of information about the insurer with which the insurance contract of responsibility of the managing director of mortgage covering to owners of hypothecation certificates of participation, data on which are specified in rules with the made changes, or changes of the corresponding data, is signed.

2.1.10. The copy of the contract of the managing director of mortgage covering with specialized depositary certified by the applicant, data on which contain in rules with the made changes.

The document is submitted in case of change of the data on specialized depositary containing in rules as a result of termination of the contract with specialized depositary and transfers of its rights and obligations to other legal entity.

2.1.11. The copy of the insurance contract of responsibility of specialized depositary certified by the applicant, data on which contain in rules with the made changes, before owners of hypothecation certificates of the participation concluded with the insurer, data on whom contain in rules with the made changes.

The document is submitted in case of inclusion in rules of information about the insurer with which the insurance contract of responsibility of specialized depositary, data on which are specified in rules with the made changes, before owners of hypothecation certificates of participation, or change of the corresponding data, is signed.

2.1.12. The copy of the contract of the managing director of mortgage covering with the registrar certified by the applicant, data on which contain in rules with the made changes.

The document is submitted in case of change of the information about the registrar containing in rules as a result of termination of the contract with the registrar and transfers of its rights and obligations to other person.

2.1.13. The copy of the insurance contract of responsibility of the registrar certified by the applicant, data on which contain in rules with the made changes, before owners of hypothecation certificates of the participation concluded with the insurer, data on whom contain in rules with the made changes.

The document is submitted in case of inclusion in rules of information about the insurer with which the insurance contract of responsibility of the registrar, data on which are specified in rules with the made changes, before owners of hypothecation certificates of participation, or change of the corresponding data, is signed.

Chapter 3. Check of structure and contents of the submitted documents

3.1. All paper documents submitted for registration of rules or changes shall be signed by person performing functions of sole executive body of the applicant.

In case of signing (assurance) of paper documents by person who is not performing function of sole executive body of the applicant the copy of the document confirming delegation of power to person which signed documents (further - the authorized person), certified according to the procedure, established by the legislation of the Russian Federation is provided.

3.2. In the documents submitted to Authorized division containing more than one leaf, sheets shall be numbered, stitched and ratified the last leaf of person performing functions of sole executive body of the applicant or the authorized person 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 on the back.

The signature of person performing functions of sole executive body of the applicant or the authorized person shall be certified by the applicant's seal.

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 applicant or the authorized person, its personal signature and date of assurance of the copy. The specified mark shall be fastened by impress of a seal of the applicant.

The first page of the document which is subject to statement of the applicant by authorized body or the authorized person 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) shall contain reference number and date of forming of the document.

3.3. The documents submitted on the electronic medium need to be packed by means of the program archiver into the ZIP format. Each file is packed separately, the name of the archived file shall match with name of the initial file and have the zip expansion.

As the electronic medium the removable electronic medium (compact disk or flash card) is used.

Texts of documents are provided in the form of files with the following names:

the questionnaire - in the form of the file with the name application.rtf;

edited the text - in the form of the file with the name rules.rtf;

the text of changes is amendments_XXX.rtf where XXX - sequence number of changes, since 001;

edited the text with the made changes - rules_amendments_XXX.rtf where XXX - sequence number of changes, since 001, which shall match with sequence number of changes.

All files on the electronic medium shall be in root directory, at the same time the electronic medium shall not contain other directories and files and shall be protected from the subsequent record.

3.4. In case of discrepancy of the submitted application and (or) the documents necessary for registration of rules or changes, to requirements for completeness and the registration established by this Instruction, the Authorized division returns the submitted documents within 15 working days from the date of their submission to the Bank of Russia.

The return note of documents goes to the applicant's address specified in its questionnaire with appendix of the list of documents containing notes to set of documents and also with appendix of the set of documents.

The documents necessary for registration of rules or changes provided by the applicant to the Bank of Russia and containing corrections according to the return note of documents are again arrived.

3.5. The decision on registration of rules (registration of changes) and the decision on refusal in registration of rules (registration of changes) are accepted by the head or the deputy manager of Authorized division. The specified decisions are drawn up in the form of the notice of registration of rules (registration of changes) (further - the notice of registration) or notifications on refusal in registration of rules (registration of changes) (further - the notification on refusal in registration) which is signed by the head or the deputy manager of Authorized division.

The notice of registration or the notification on refusal shall contain acceptance date of the relevant decision in registration.

On the notice of registration or the notification on refusal in registration the Bank of Russia shall be sealed.

3.6. The notice of registration and the notification on refusal go to registration to the applicant or are handed out to the authorized person of the applicant within three working days from the date of following behind day of adoption of the relevant decision.

3.7. The notice of registration goes (is handed out) to the applicant (the authorized person of the applicant) with appendix of the copy of rules (changes) containing mark about registration.

The second copy of rules (changes) with mark about registration and the set of documents corresponding to them is stored in Authorized division during the term established by its nomenclature of cases.

3.8. The notification on refusal shall contain the basis on which the decision on refusal was made in registration.

The documents transferred to the Bank of Russia for registration of rules or changes on which the decision on refusal in registration is made to the applicant do not return.

Chapter 4. Final provisions

4.1. This Instruction becomes effective after 10 days after day of its official publication in "the Bulletin of the Bank of Russia".

4.2. From the date of entry into force of this Instruction not to apply the order of FFMS of Russia of March 26, 2013 No. 13-21/pz-n "About approval of Administrative regulations of provision by the Federal Service for Financial Markets of the state service in registration of rules of trust management of mortgage covering and changes and amendments in them", No. 28799 registered by the Ministry of Justice of the Russian Federation on June 14, 2013 (The bulletin of regulations of federal executive bodies of August 5, 2013 No. 31).

 

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