PROVISION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of June 10, 2015 No. 474-P

About activities of specialized depositaries

This Provision based on the Federal Law of November 29, 2001 No. 156-FZ "About investment funds" (The Russian Federation Code, 2001, No. 49, Art. 4562; 2004, No. 27, Art. 2711; 2006, No. 17, Art. 1780; 2007, No. 50, Art. 6247; 2008, No. 30, Art. 3616; 2009, No. 48, Art. 5731; 2010, No. 17, Art. 1988; No. 31, Art. 4193; 2011, No. 48, Art. 6728; No. 49, Art. 7040, Art. 7061; 2012, No. 31, Art. 4334; 2013, No. 26, Art. 3207; No. 27, Art. 3477; No. 30, Art. 4084; No. 51, Art. 6695, Art. 6699; 2014, No. 11, the Art. 1098), the Federal Law of May 7, 1998 No. 75-FZ "About non-state pension funds" (The Russian Federation Code, 1998, No. 19, Art. 2071; 2001, No. 7, Art. 623; 2002, No. 12, Art. 1093; 2003, No. 2, Art. 166; 2004, No. 49, Art. 4854; 2005, No. 19, Art. 1755; 2006, No. 43, Art. 4412; 2007, No. 50, Art. 6247; 2008, No. 18, Art. 1942; No. 30, Art. 3616; 2009, No. 29, Art. 3619; No. 48, Art. 5731; No. 52, Art. 6450, Art. 6454; 2010, No. 17, Art. 1988; No. 31, Art. 4196; 2011, No. 29, Art. 4291; No. 48, Art. 6728; No. 49, Art. 7036, Art. 7037, Art. 7040, Art. 7061; 2012, No. 31, Art. 4322; No. 47, Art. 6391; No. 50, Art. 6965, Art. 6966; 2013, No. 19, Art. 2326; No. 30, Art. 4044, Art. 4084; No. 49, Art. 6352; No. 52, Art. 6975; 2014, No. 11, Art. 1098; No. 30, the Art. 4219), the Federal Law of December 28, 2013 No. 410-FZ "About introduction of amendments to the Federal law "About Non-state Pension Funds" and separate legal acts of the Russian Federation" (The Russian Federation Code, 2013, No. 52, Art. 6975; 2014, No. 30, Art. 4219; No. 49, the Art. 6919), the Federal Law of July 24, 2002 No. 111-FZ "About investment of means for financing of funded pension in the Russian Federation" (The Russian Federation Code, 2002, No. 30, Art. 3028; 2003, No. 1, Art. 13; No. 46, Art. 4431; 2004, No. 31, Art. 3217; 2005, No. 1, Art. 9; No. 19, Art. 1755; 2006, No. 6, Art. 636; 2008, No. 18, Art. 1942; No. 30, Art. 3616; 2009, No. 29, Art. 3619; No. 52, Art. 6454; 2010, No. 31, Art. 4196; 2011, №29, of Art. 4291; No. 48, Art. 6728; No. 49, Art. 7036, Art. 7037, Art. 7040; 2012, No. 50, Art. 6965, Art. 6966; 2013, No. 30, Art. 4044, Art. 4084; No. 49, Art. 6352; No. 52, Art. 6961, Art. 6975; 2014, No. 30, Art. 4219; No. 49, the Art. 6912, the Art. 6919), the Federal Law of November 30, 2011 No. 360-FZ "About procedure for financing of payments at the expense of means of pension accruals" (The Russian Federation Code, 2011, No. 49, Art. 7038; 2012, No. 50, Art. 6965; 2013, No. 30, Art. 4084; No. 52, Art. 6975; 2014, No. 30, the Art. 4217), the Federal Law of October 26, 2002 No. 127-FZ "About insolvency (bankruptcy)" (The Russian Federation Code, 2002, No. 43, Art. 4190; 2004, No. 35, Art. 3607; 2005, No. 1, Art. 18, Art. 46; No. 44, Art. 4471; 2006, No. 30, Art. 3292; No. 52, Art. 5497; 2007, No. 7, Art. 834; No. 18, Art. 2117; No. 30, Art. 3754; No. 41, Art. 4845; No. 49, Art. 6079; 2008, No. 30, Art. 3616; No. 49, Art. 5748; 2009, No. 1, Art. 4, Art. 14; No. 18, Art. 2153; No. 29, Art. 3632; No. 51, Art. 6160; No. 52, Art. 6450; 2010, No. 17, Art. 1988; No. 31, Art. 4188, Art. 4196; 2011, No. 1, Art. 41; No. 7, Art. 905; No. 19, Art. 2708; No. 27, Art. 3880; No. 29, Art. 4301; No. 30, Art. 4576; No. 48, Art. 6728; No. 49, Art. 7015, Art. 7024, Art. 7040, Art. 7061, Art. 7068; No. 50, Art. 7351, Art. 7357; 2012, No. 31, Art. 4333; No. 53, Art. 7607, Art. 7619; 2013, No. 23, Art. 2871; No. 26, Art. 3207; No. 27, Art. 3477, Art. 3481; No. 30, Art. 4084; No. 51, Art. 6699; No. 52, Art. 6975, Art. 6979, Art. 6984; 2014, No. 11, Art. 1095, Art. 1098; No. 30, Art. 4217; No. 49, Art. 6914; No. 52, Art. 7543; 2015, No. 1, the Art. 10, the Art. 35) (further - the Federal Law "About Insolvency (Bankruptcy)"), the Law of the Russian Federation of November 27, 1992 No. 4015-1 "About the organization of insurance case in the Russian Federation" (Sheets of the Congress of People's Deputies of the Russian Federation and the Supreme Council of the Russian Federation, 1993, No. 2, Art. 56; Russian Federation Code, 1998, No. 1, Art. 4; 1999, No. 47, Art. 5622; 2002, No. 12, Art. 1093; No. 18, Art. 1721; Art. 2003, №50, 4855, Art. 4858; 2004, No. 30, Art. 3085; 2005, No. 10, Art. 760; No. 30, Art. 3101, Art. 3115; 2007, No. 22, Art. 2563; No. 46, Art. 5552; No. 49, Art. 6048; 2009, No. 44, Art. 5172; 2010, No. 17, Art. 1988; No. 31, Art. 4195; No. 49, Art. 6409; 2011, No. 30, Art. 4584; No. 49, Art. 7040; 2012, No. 53, Art. 7592; 2013, No. 26, Art. 3207; No. 30, Art. 4067; No. 52, Art. 6975; 2014, No. 23, Art. 2934; No. 30, Art. 4224; No. 45, the Art. 6154, 2015, No. 10, the Art. 1409) (further - the Law "About the Organization of Insurance Case in the Russian Federation"), 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, the Art. 37) establishes requirements to activities of the specialized depositaries including which are credit institutions when rendering services of specialized depositary to insurance companies and societies of mutual insurance (further - insurers), except for the insurers performing compulsory medical insurance, to the managing companies attracted by insurers to rendering services in investment of funds of insurance reserves and own means (capital) of insurers (further - managing company of the insurer), to the joint-stock investment funds or managing companies of joint-stock investment funds, managing companies of mutual investment funds, non-state pension funds and managing companies exercising trust management of means of pension reserves or pension accruals based on the contract with non-state pension funds To the Pension Fund of the Russian Federation and managing companies exercising trust management of means of pension accruals based on the contract with the Pension Fund of the Russian Federation (further in case of joint mentioning - clients).

Chapter 1. General provisions

1.1. The specialized depositary during the bankruptcy proceedings provided by the Federal Law "About Insolvency (Bankruptcy)" concerning non-state pension fund does not exercise control concerning the "Deposit Insurance Agency" state corporation, including when making transactions with property of non-state pension fund.

1.2. The specialized depositary performs functions on accounting and control concerning the property belonging to joint-stock investment fund, the property constituting mutual investment fund, property in which means of pension reserves are placed are invested means of pension accruals, assets accepted for covering of insurance reserves and own means (capital) of the insurer ((are placed) further in case of joint mentioning - property of clients).

Chapter 2. Requirements to system of accounting of specialized depositary and procedure for its maintaining

2.1. For the purpose of realization of the functions the specialized depositary performs maintaining system of accounting in the form of the electronic database.

The system of accounting shall contain all documents, including changes and amendments to them (the copy of documents), and the data (information) necessary for implementation of functions of specialized depositary, including concerning activities of clients, about incoming documents, about property of clients (including its costs), about the property (including its costs) transferred to payment of investment shares of mutual investment fund and which is not included in structure of mutual investment fund and other property (including its costs) which is on the transit account or the transit account of depot (further - the property transferred to payment of investment shares), about the transactions made with the specified property about the obligations which are subject to execution at the expense of property of investment funds or arising in connection with activities for placement of pension reserves or investment of pension accruals about the revealed violations (discrepancies), and to allow to perform sorting, selection and generalization of the specified information.

The system of accounting shall contain, in particular, the documents confirming the property right (transition of the property right) of clients, right to claim (transition of right to claim) of clients to all property of clients (except for property of insurers).

The system of accounting shall provide in the cases provided by regulatory legal acts of the Russian Federation, regulations of the Bank of Russia, conducting the isolated accounting of property.

2.2. In addition to the documents containing in system of accounting, the specialized depositary shall accept and store originals of documents in the cases provided by regulatory legal acts of the Russian Federation and have the documents necessary for realization of the functions, including for implementation of the termination of mutual investment funds.

2.3. The specialized depositary which signed the service provision agreement of specialized depositary with the insurer and with managing company of the insurer (in case of its attraction), shall accept and store:

originals of the documents confirming the property right to the securities and real estate accepted for covering of insurance reserves and own means (capital) of the insurer;

information on other assets accepted for covering of insurance reserves and own means (capital) of the insurer according to the Law "About the Organization of Insurance Case in the Russian Federation", except for securities and real estate (further - other assets of the insurer), in the form of statements from the accounts of financial accounting presented by the insurer at least once a month. At the same time submission of this information by the insurer the last calendar day of month is obligatory;

copies of source documents concerning the money placed in deposits, including certified by deposit certificates, remaining balance on the depersonalized metal accounts, money on bank accounts, gold bars, silver, platinum and palladium, and also commemorative coins of the Russian Federation from precious metals;

information on size of the created insurance reserves and own means (capital) of the insurer provided by the insurer at least once a month. At the same time submission of this information by the insurer the last calendar day of month is obligatory.

The specialized depositary has the right to receive from the insurer and managing company of the insurer information on the assets accepted for covering of insurance reserves and own means (capital) of the insurer at the request of specialized depositary for any date or with other frequency specified in request.

2.4. The term of representation of documents to specialized depositary, including changes and amendments to them (copies of documents), and the data (information) is determined in the service provision agreement of specialized depositary, but there cannot be more than one working day from the moment of their creation or obtaining by the client.

Entering of documents and data (information) into system of accounting shall be performed by specialized depositary in day of their obtaining or forming by specialized depositary.

2.5. Storage of the documents which are in system of accounting, including changes and amendments to them (copies of documents), and the data (information) is performed during the term of the agreement about rendering services of specialized depositary and at least three years from the date of the termination (termination) of such agreement (if the specialized depositary performs the termination of mutual investment fund - at least three years from the moment of exception of mutual investment fund of the register of mutual investment funds) or at least three years from the date of when need for the specified documents, including changes and amendments to them (copies of documents), or the data (information) for implementation of functions of specialized depositary is lost.

2.6. The system of accounting shall provide forming of the following reports:

about incoming documents;

about the soglasiya issued by specialized depositary on the order property of clients (except for insurers);

about the soglasiya issued by specialized depositary on the order the property transferred to payment of investment shares;

about transactions with property of clients (for insurers - by property types by which it is possible to create such report);

about transactions with the property transferred to payment of investment shares;

about the violations (discrepancies) revealed by specialized depositary when implementing control functions.

2.6.1. The report on incoming documents shall contain the following data:

the name of the document and the sequence number assigned to it is consecutive on registration time in system of accounting (the entering number);

date of actual receipt of the document;

date of entering of information on the document into system of accounting;

number (reference number) and date of departure of the document (in the presence);

the name of person which directed the document.

2.6.2. The report on the soglasiya issued by specialized depositary on the order property of clients (except for insurers) shall contain the following data:

date of issue of consent to the order property of the client;

receipt date of request for issue of consent to the order property of the client;

date of entering into system of accounting of data on the arrived request for issue of consent to the order property of the client;

nature (method) of the expected order property of the client;

description of property of clients;

data on the document based on which the order is performed by property of the client (the description, date, number);

the data allowing to identify the partner;

time (date) of obligation fulfillment and other essential conditions.

2.6.3. The report on the soglasiya issued by specialized depositary on the order the property transferred to payment of investment shares shall contain data in the amount provided by this Provision for the report on the issued soglasiya on the order property of clients (except for insurers), according to subitem 2.6.2 of this Item.

2.6.4. The operations statement with property of clients shall contain the following data:

activity date;

transaction type;

the description of the property which is transaction subject;

data on the documents confirming the fact of implementation of transaction with property including the sequence (entering) number and date of their registration in system of accounting;

date of issue of consent of specialized depositary to the order property based on which there was transaction (if consent was issued).

The system of accounting also shall provide report generation about transactions with separate property of clients (except for insurers) for certain period which making led to forming of property and obligations as of any working day.

2.6.5. The operations statement with the property transferred to payment of investment shares shall contain data in the amount provided by this Provision for the operations statement with property of clients according to subitem 2.6.4 of this Item.

2.6.6. The report on the violations (discrepancies) revealed by specialized depositary when implementing control functions shall contain the following data:

date of identification of violation (discrepancy);

date of making of violation (emergence of discrepancy);

the description of the revealed violation (discrepancy);

reference number and date of the notification on violation (discrepancy) and date of its direction in the Bank of Russia (if the notification was performed);

reference number and date of the notification on elimination of violation (discrepancy) and date of its direction in the Bank of Russia (if the notification was performed);

reference number and date of the notification on not elimination of violation (discrepancy) and date of its direction in the Bank of Russia (if the notification was performed);

the time (date) established (established) for elimination of violation (discrepancy) (if the term (date) is established it (is established) (it is not applied when implementing control functions to insurers);

date of elimination of violation (discrepancy) (if violation (discrepancy) is eliminated);

information on the measures taken for elimination of violation (discrepancy);

number and date of the instruction of the Bank of Russia about elimination of violation (discrepancy) if the instruction was issued (the requirement of this paragraph is not applied to violations (discrepancies) revealed by specialized depositary in case of control concerning insurers).

2.7. The system of accounting shall contain data (information) concerning property (obligations) in the amount allowing to identify the corresponding property (the corresponding obligations) and to execute control functions of specialized depositary.

The system of accounting shall contain data (information) concerning the relevant organizations in the amount allowing to identify such organizations.

2.8. The specialized depositary shall support system of accounting in urgent condition, provide, including by backup of the electronic database and remote storage of backup copies, possibility of recovery of information containing in it, and also to undertake necessary measures for ensuring information security.

The specialized depositary develops the relevant internal document based on which it provides in system of accounting for these purposes:

information security under management of access and registration:

information security at lifecycle stages;

information security by means of anti-virus protection;

information security in case of interaction of system of accounting with the Internet;

information security in case of purpose of cast;

regulation and documentation of activities for ensuring information security;

detection of incidents of information security;

monitoring and analysis of ensuring information security;

timely enhancement of ensuring information security;

evaluating ensuring information security at least once a year with creation of the relevant document following the results.

2.9. The specialized depositary shall provide easy access to the data (information) containing in system of accounting for persons authorized on it according to regulatory legal acts of the Russian Federation, regulations of the Bank of Russia, the agreement, job responsibilities and also to provide possibility of transfer of all information of system of accounting, including documents and data, in the cases, amount and procedure established by regulatory legal acts of the Russian Federation, regulations of the Bank of Russia.

2.10. In case of implementation of all or part of functions of specialized depositary by its branch the specialized depositary shall provide easy access to all information of system of accounting, all documents and data (information) concerning activities, property and obligations of the client for the place of the stay irrespective of the branch location.

Chapter 3. Requirements to procedure of functions of specialized depositary

3.1. Specialized depositary each working day shall exercise control.

If control is connected with measure calculation, provided in Item 3.2 of this provision, the specialized depositary shall exercise control no later than two working days after day as of which calculations of such indicators shall be perfromed.

3.2. In case of control of observance of established procedure of cost determination of net assets of joint-stock investment fund, net assets value of joint-stock investment fund counting on one share, net assets value and the settlement cost of one investment share of mutual investment fund, market value of assets in which means of pension reserves are placed and aggregate market value of pension reserves, calculates net assets values in which means of pension accruals are invested, asset costs which are accepted for covering of insurance reserves and own means (capital) of the insurer, specialized depositary as of each working day of value of the specified indicators.

3.3. In case of control of the order property of clients (except for property of insurers) the specialized depositary does not agree to such client to the order the specified property if as a result of such order money is transferred into the bank account of the client which contract with the servicing credit institution does not contain condition about obligatory signing of the payment document by specialized depositary according to which the credit institution the client is given the order about money transfer.

The requirement of this Item is applied to the bank account of the client, the order money on which is subject to control by specialized depositary in accordance with the legislation of the Russian Federation.

3.4. The specialized depositary in case of the conclusion with clients of the service provision agreement of specialized depositary establishes including conditions in the relation:

procedure for document flow of the parties, including form of the documents applied by the parties;

procedure and terms of approval by specialized depositary of documents of the client in the cases provided by regulatory legal acts of the Russian Federation, regulations of the Bank of Russia;

procedure and terms of issue by specialized depositary of consent (refusal in consent issue) on the order property of clients (except for insurers), the property transferred to payment of investment shares of mutual investment fund.

3.5. The property of clients is subject to storage in specialized depositary, except for:

real estate, other assets of the insurer, property which procedure for storage according to regulatory legal acts of the Russian Federation, regulations of the Bank of Russia does not allow to keep it in specialized depositary;

other property if the agreement of rendering services of specialized depositary provides responsibility of specialized depositary of property value for complete or partial loss, damage or impossibility of use of the specified property, including because of the third parties involved by specialized depositary for implementation of functions on storage of property of clients or accounting of the rights to such property (the requirement about responsibility is not applied in cases when for accounting of the rights to securities by the involved third party the registrar, the central depositary, the depositary performing obligatory centralized storage of securities or the foreign organization included in the list, stipulated in Item 4 articles 25 of the Federal Law of December 7, 2011 No. 414-FZ "About the central depositary" (The Russian Federation Code, 2011, No. 50, of Art. 7356 is; 2012, No. 31, Art. 4334; №53, of Art. 7607; 2013, No. 27, Art. 3477; No. 30, the Art. 4084) (further - the Federal Law "About the Central Depositary");

cases when the third person who is involved for implementation of functions by specialized depositary on storage and accounting of the rights to the securities accepted for covering of insurance reserves and own means (capital) of the insurer is the registrar, the central depositary, the depositary performing obligatory centralized storage of securities, the foreign organization included in the list, stipulated in Item 4 articles 25 of the Federal law "About the Central Depositary", or the depositary satisfying to one of the criteria specified in Item 1.2 of the Instruction of the Bank of Russia of November 17, 2011 to No. 2732-U "About features of forming by credit institutions of reserve possible losses on transactions with securities, the rights to which make sure depositaries", No. registered by the Ministry of Justice of the Russian Federation on December 12, 2011 22544, on August 1, 2012 No. 25070, on December 11, 2014 No. 35134 ("the Bulletin of the Bank of Russia" of December 19, 2011 No. 71, of August 8, 2012 No. 44, of December 22, 2014 No. 112).

The specialized depositary has no right to involve in execution of the obligations on storage of certificates of securities and (or) accounting of the rights to securities of depositors other depositaries (the foreign organizations performing accounting of the rights to securities as persons which are acting for the benefit of other persons) according to specifying of the client.

3.6. The notification on identification of violation (discrepancy) shall contain respectively the following data:

number and date of the notification;

full trade name of specialized depositary;

primary state registration number (PSRN) of specialized depositary;

identification taxpayer number (ITN) of specialized depositary;

number and decision date about provision of the license of specialized depositary;

full trade name of the client;

primary state registration number (PSRN) of the client;

identification taxpayer number (ITN) of the client;

number and decision date about provision (issue) of the license (licenses) to the client;

registration number of entry of the insurer in the unified state register of subjects of insurance case;

specifying on the fact that shares (investment shares) of investment fund are intended for skilled investors (for joint-stock and mutual investment funds);

full trade name, the primary state registration number (PSRN), the identification taxpayer number (ITN), number and decision date about provision of the license of joint-stock investment fund with indication of its category (in cases when trust management of assets of joint-stock investment fund is exercised by managing company);

full trade name, the primary state registration number (PSRN), the identification taxpayer number (ITN), number and decision date about provision of the license of non-state pension fund (in cases when trust management of means of pension reserves is exercised by managing company);

the name of mutual investment fund with indication of its type and category, and also registration date and registration number of rules of trust management of mutual investment fund;

the name of investment portfolio of the managing company exercising trust management of means of pension accruals, or specifying on the fact that the requirement to structure of total investment portfolio is violated;

date of identification of violation (discrepancy);

date of making of violation (emergence of discrepancy);

specifying on regulation (regulations) of regulatory legal act of the Russian Federation, the regulation of the Bank of Russia or other document which requirements are violated;

content of the revealed violation (discrepancy);

the time (date) established (established) for elimination of violation (discrepancy) (if such term (date) is established it (is established).

Documents (data) confirming violation making (emergence of discrepancy), except for notifications on identification of violations (discrepancies), for which regulatory legal acts of the Russian Federation, regulations of the Bank of Russia elimination fixed terms are put to the notification on identification of violation (discrepancy).

3.7. The specialized depositary notifies the Bank of Russia on elimination of the revealed violations (discrepancies) no later than one working day following behind day of factual determination of their elimination.

The notification on elimination of violation (discrepancy) shall contain data, stipulated in Item 3.6 this provision for the notification on identification of violation (discrepancy), and also the following data:

date and number of the notification on identification of the specified violation (discrepancy);

date of elimination of violation (discrepancy);

the description of the measures taken for elimination of violation (discrepancy).

Documents (data) confirming elimination of violation (discrepancy), except for notifications on elimination of violations (discrepancies), for which regulatory legal acts of the Russian Federation, regulations of the Bank of Russia elimination fixed terms are put to the notification on elimination of violation (discrepancy).

3.8. If violation (discrepancy) is not eliminated during the Bank of Russia established by regulatory legal acts of the Russian Federation, regulations or the instruction of the Bank of Russia of term, the specialized depositary notifies the Bank of Russia on not elimination of the revealed violations (discrepancies) no later than one working day following behind day of factual determination of their not elimination.

The notification on the fact of not elimination of violation (discrepancy) shall contain at the scheduled time data, stipulated in Item 3.6 this provision for the notification on identification of violation (discrepancy), and also the following data:

date and number of the notification on identification of violation (discrepancy);

the term established for elimination of violation (discrepancy).

Documents (data) confirming not elimination of violation (discrepancy) are put to the notification on the fact of not elimination of violation (discrepancy).

Requirements of this Item are not applied to violations (discrepancies) revealed by specialized depositary in case of control concerning insurers.

3.9. The notifications provided in Items 3.6 - 3.8 this provision, and the documents (data) enclosed to them at the same time go to the Bank of Russia and to clients.

3.10. In case of identification of violation in activities of specialized depositary during implementation of internal control the specialized depositary in time no later than three working days from the date of such identification shall send the notification on the revealed violation containing the following data to the Bank of Russia:

date of identification of violation;

date of making (origin) of violation;

specifying on regulation (regulations) of regulatory legal act of the Russian Federation, the regulation of the Bank of Russia or other document which requirements are violated;

content of the revealed violation;

the description of the measures taken for violation elimination.

3.11. Notifications and documents (data) provided by this Chapter enclosed to them go in electronic form, signed by the strengthened qualified digital signature of person performing functions of sole executive body of specialized depositary on telecommunication channels, including through the Internet.

3.12. In case of cancellation of the license of managing company of closed-end investment fund the specialized depositary holds competition for determination of new managing company of this fund (further - tender).

3.13. The notice on carrying out tender is posted on the website of specialized depositary on the Internet (further - the website of specialized depositary) no later than five working days of date of cancellation of the license of managing company.

The notice on carrying out tender can be brought in addition to the attention interested persons by the different ways determined in regulations of specialized depositary.

3.14. Competition shall be held no later than 10 working days of date of placement of the notice on its carrying out on the website of specialized depositary.

3.15. The specialized depositary shall undertake all necessary measures directed to proper execution of functions on accounting, storage and control.

Chapter 4. Requirements to regulations of specialized depositary

4.1. The regulations of specialized depositary shall describe the procedure of implementation of functions of specialized depositary and contain including:

rules of implementation of activities of specialized depositary and rendering the services connected with its implementation;

procedure for document flow of specialized depositary;

features of implementation of activities of specialized depositary in case of exchange of investment shares according to the decision of managing company of mutual investment fund, when implementing by specialized depositary of functions of person performing the termination of mutual investment funds;

procedure for carrying out tender for determination of managing company of mutual investment fund.

4.2. Contents of regulations of specialized depositary shall conform to requirements of regulatory legal acts of the Russian Federation, regulations of the Bank of Russia.

Chapter 5. Requirements to document transfer and data (information), property to other specialized depositary

5.1. In case of assignment of rights and obligations of specialized depositary to other specialized depositary, and also in case of termination of the contract of the client with specialized depositary and the conclusions of the contract with other specialized depositary (further - new specialized depositary) shall be transferred to the last:

all documents (copy of documents) confirming the size of the unexecuted requirements which are part of property of the client, and incomplete obligations available for former specialized depositary;

reports of the appraiser (if the property value of the client for date of transfer is determined by the report of the appraiser);

the certificate of net assets value of mutual investment fund, joint-stock investment fund as of the day preceding day of cession of property and documents to new specialized depositary;

data on net assets value for each working day of the current year on the investment portfolio of each managing company of non-state pension fund exercising trust management of means of pension accruals before date of cession of property and documents to other specialized depositary;

the certificate of not eliminated violations or discrepancies, and also copies of the notifications which are available for former specialized depositary about identification of such violations (discrepancies) and the copies of instructions of the Bank of Russia which are available for it of their elimination;

the reference (data) on the current book value of securities by their accounting on releases;

the certificate of receivables considered in case of cost determination of property with indication of the origin basis, the name of debtor, the size, date of emergence of debt;

the certificate of the accounts payable considered in case of cost determination of property with indication of the basis of origin, the name of the creditor, the size, date of emergence of debt;

the certificate of all transactions with property of the corresponding clients to whose making it was agreed by specialized depositary and which execution is not complete;

information of system of accounting concerning activities, property and obligations of the corresponding client;

property of the corresponding clients which storage is performed by specialized depositary, including certificates of documentary securities;

other documents and data (information) concerning activities, property and obligations of the corresponding client at the request of new specialized depositary.

5.2. The documents specified in Item 5.1 of this provision and the data (information), property shall be transferred to new specialized depositary in day of entry into force of the contract of clients with new specialized depositary or agreements on assignment of rights and obligations of specialized depositary of joint-stock investment fund or non-state pension fund to other specialized depositary, and in case of replacement of specialized depositary of mutual investment fund - in day of entry into force of corresponding changes and amendments to rules of trust management of mutual investment fund.

Arrived to specialized depositary after the date specified in paragraph one of this Item, documents, data (information) and property concerning the corresponding client shall be transferred to new specialized depositary no later than one working day from the date of their receipt.

Document transfer and the data (information), property is drawn up by the delivery-acceptance certificate which is signed by the specialized depositary transferring documents and data (information), new specialized depositary, and also the corresponding client.

The specialized depositary and new specialized depositary shall organize the interaction aimed at providing document transfer and data (information), property according to the procedure and the terms provided by regulatory legal acts of the Russian Federation, regulations of the Bank of Russia, including this Provision.

5.3. Documents and data (information) provided in this Chapter shall be transferred by specialized depositary in form and format, providing to new specialized depositary free execution of the functions.

5.4. Requirements of this Chapter are applied to activities of the specialized depositaries which signed agreements of rendering services of specialized depositary with the non-state pension funds and managing companies exercising trust management of means of pension reserves or pension accruals based on the contract with non-state pension funds, insurers and managing companies of insurers taking into account provisions of regulatory legal acts of the Russian Federation, the specified agreements.

Chapter 6. Requirements to disclosure of information on structure and shareholding structure (participants), final owners of specialized depositary

6.1. The specialized depositary opens information on structure and the list of the shareholders (participants), final owners (physical persons, public economic societies which, eventually, directly or indirectly (through the third parties) own (have prevailing (more than 25 percent) equity participation) specialized depositary or have opportunity to control actions of specialized depositary) by publication of the specified information on the website of specialized depositary.

The specialized depositary shall provide easy access to the specified information on the website of specialized depositary, and also report the address of the corresponding page of the website of specialized depositary upon the demand of all interested persons.

6.2. Information on structure and shareholding structure (participants), final owners of specialized depositary shall contain the following data:

the data allowing to identify the shareholder (participant), the final owner;

share of the shareholder (participant), the shares controlled by the final owner in the authorized capital (separately at par value and percentage of the size of the authorized capital);

the description of circumstances (bases) according to which person is recognized as the final owner of specialized depositary.

6.3. The specialized depositary opens information on structure and the list of the shareholders (participants), final owners in the following terms:

no later than 30 days of the date of entry into force of this provision as of the date of entry into force of this provision;

no later than 10 working days of date of change of structure and (or) structure of shareholders (participants), final owners.

6.4. Requirements of this Chapter are not applied to activities of the specialized depositaries which are credit institutions.

Chapter 7. Final provisions

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

7.2. From the date of entry into force of this provision not to apply:

the resolution of Federal Commission on Securities of Russia of October 9, 2002 No. 40/ps "On regulation of activities of specialized depositaries of joint-stock investment funds, mutual investment funds and non-state pension funds", registered by the Ministry of Justice of the Russian Federation on November 26, 2002 No. 3950 (The bulletin of regulations of federal executive bodies of October 16, 2002 No. 50);

the resolution of Federal Commission on Securities of Russia of February 10, 2004 No. 04-3/ps "On regulation of activities of specialized depositaries of joint-stock investment funds, mutual investment funds and non-state pension funds", registered by the Ministry of Justice of the Russian Federation on March 29, 2004 No. 5693 (The bulletin of regulations of federal executive bodies of April 19, 2004 No. 16);

the order of FFMS of Russia of July 19, 2007 No. 07-84/pz-n "About approval of regulations on procedure and terms of disclosure of information on structure and structure of shareholders (participants) of the specialized depositary which signed the contract with the non-state pension fund performing activities as the insurer for mandatory pension insurance", No. 9934 registered by the Ministry of Justice of the Russian Federation on August 1, 2007 (The bulletin of regulations of federal executive bodies of August 20, 2007 No. 34).

 

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