INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of December 8, 2015 No. 172-I

About order of registration of regulations of specialized depositary on control of activities for investment of means of pension accruals and the changes made to it

List of amending documents

This Instruction according to article 11 of 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, No. 29, 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, Art. 6912, Art. 6919; 2015, No. 27, the Art. 4001), article 36.18 of 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, Art. 4219; 2015, No. 27, the Art. 3958, the Art. 4001), 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, Art. 4, Art. 37; No. 27, Art. 3958, Art. 4001; No. 29, Art. 4348; No. 41, of the Art. 5639) establishes order of registration the Bank of Russia of regulations of specialized depositary on control of activities for investment of means of pension accruals (further - regulations of specialized depositary) and all changes made to it.

1. For registration of regulations of specialized depositary or changes the documents provided by this Instruction, on paper or in the form of the electronic documents signed by the strengthened qualified digital signature according to requirements of the Federal Law of April 6, 2011 No. 63-FZ "About the digital signature" are submitted to regulations of specialized depositary in the Bank of Russia (Department of the admission and termination of activities of the financial organizations (further - authorized structural division) (The Russian Federation Code, 2011, No. 15, Art. 2036; No. 27, Art. 3880; 2012, No. 29, Art. 3988; 2013, No. 14, Art. 1668; No. 27, Art. 3463, Art. 3477; 2014, No. 11, Art. 1098; No. 26, Art. 3390).

2. For registration of regulations of specialized depositary the following documents are submitted to authorized structural division:

statement for registration of regulations of specialized depositary (appendix 1 to this Instruction);

regulations of specialized depositary;

the copy of the document on approval of regulations of specialized depositary certified by specialized depositary;

the document confirming payment of the state fee collected in accordance with the legislation of the Russian Federation about taxes and fees for registration of regulations of specialized depositary.

If documents for registration of regulations of specialized depositary are submitted on paper, then the regulations of specialized depositary are submitted in duplicate, and in the electronic version on the removable electronic medium the text of regulations of specialized depositary is submitted.

3. For registration of changes the following documents are submitted to regulations of specialized depositary in authorized structural division:

the statement for registration of changes in regulations of specialized depositary (appendix 2 to this Instruction);

the list of the changes made to the current version of regulations of specialized depositary (further - the list of changes);

the changes in regulations of specialized depositary approved by authorized body of specialized depositary in the form of new edition of regulations of specialized depositary (further - changes in regulations of specialized depositary). Changes in regulations of specialized depositary shall contain all changes specified in the provided list of changes;

the copy of the document on approval of changes certified by specialized depositary in regulations of specialized depositary;

the document confirming payment of the state fee collected in accordance with the legislation of the Russian Federation about taxes and fees for registration of changes in regulations of specialized depositary.

If documents for registration of changes are submitted to regulations of specialized depositary on paper, then changes shall be represented to regulations of specialized depositary in duplicate, and in the electronic version on the removable electronic medium are represented the text of changes to regulations of specialized depositary and the list of changes.

4. The documents submitted to authorized structural division for registration of regulations of specialized depositary (changes in regulations of specialized depositary) (further - documents), shall be constituted in Russian.

5. In the documents containing more than one leaf, sheets shall be numbered.

The documents on papers containing more than one leaf shall be stitched and sealed on the back the last leaf of specialized depositary (in case of its availability) and the zaveritelny text signed by the originator with indication of (figures and copy-book) the number of sheets, job titles of the originator, its surname, name, middle name (the last - in the presence) and dates of assurance.

6. The copies of documents certified by specialized depositary shall contain the words "True copy", date of assurance, position of person who certified the copy, its signature, disaggregation of the signature and seal of specialized depositary (in case of its availability).

7. The documents submitted on the removable 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 CD disk or the flash-store can be used. Files 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.

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

the text of regulations of specialized depositary - in the form of the file with the name regulations_000.rtf;

changes in regulations of specialized depositary - in the form of the file with the name regulations_amendments_XXX.rtf, where XXX - sequence number of changes in regulations of specialized depositary (edition), since "001";

the list of changes - in the form of the file with the name amendments_list_XXX.rtf, where XXX - the sequence number of the list of changes matching with number of the represented changes in regulations of specialized depositary.

Number "000" is assigned to the first edition of regulations of specialized depositary, and in case of each modification the following sequence number of edition, starting with number "001" is assigned to regulations of specialized depositary.

8. The statement for registration of regulations of specialized depositary or changes in regulations of specialized depositary (further - the application for registration) shall be signed by person performing functions of sole executive body or other authorized person of specialized depositary and is under seal specialized depositary (in case of its availability).

In case of signing of the statement for registration of specialized depositary by other authorized person the copy of the document, the confirming power of the person which signed documents certified by specialized depositary is enclosed to the application for registration.

9. The regulations of specialized depositary (change in regulations of specialized depositary) affirm (affirm) authorized body of specialized depositary according to the charter of specialized depositary if other is not established by the legislation of the Russian Federation, and it is submitted (are represented) on registration to authorized structural division no later than 10 working days from the date of its approval of specialized depositary by authorized body.

10. The title page of regulations of specialized depositary (changes in regulations of specialized depositary) shall contain:

the approval signature stamp including mark about approval, the name of authorized body of specialized depositary, number and date of the decision on approval;

number of edition of regulations of specialized depositary;

the complete name of regulations of specialized depositary containing:

words "Regulations of Specialized Depositary";

specifying on object of control: "on control of compliance of activities for the order the means of pension accruals delivered in trust management to managing companies of the Pension Fund of the Russian Federation" or "on control of compliance of activities for the order by the means of pension accruals of non-state pension fund including delivered in trust management to managing companies and assets in which these means are invested";

full trade name of specialized depositary in genitive case.

11. The document confirming payment of the state fee for registration of regulations of specialized depositary (changes in regulations of specialized depositary), shall contain mark of bank about discharge of duty on payment of the state fee collected in accordance with the legislation of the Russian Federation about taxes and fees.

12. Date of receipt by authorized structural division of the statement for registration registration date of documents in System of automation of document flow and clerical work of the Bank of Russia is.

13. In case of discrepancy of documents to the requirements to registration established by items 4 - the 11th this Instruction, and (or) requirements to completeness established by Items 2 and 3 of this Instruction, the authorized structural division no later than five working days from the date of their obtaining sends to the applicant (issues to the authorized representative of the applicant) the return note of the documents submitted for registration of regulations of specialized depositary (changes in regulations of specialized depositary) (further - the return note).

In the return note all revealed discrepancies to requirements to registration and (or) to completeness are specified.

Repeatedly provided to authorized structural division the documents corrected according to the return note are again arrived.

14. Check on compliance of regulations of specialized depositary (changes in regulations of specialized depositary) to the legislation of the Russian Federation is performed by authorized structural division within 20 working days from the date of receipt of documents.

In case of identification in regulations of specialized depositary (changes in regulations of specialized depositary) the provisions which are not corresponding to the legislation of the Russian Federation, documents no later than 25 working days from the date of their obtaining go to the applicant (are issued to the authorized representative of the applicant) with the return note.

In the return note all revealed discrepancies of provisions of regulations of specialized depositary (changes in regulations of specialized depositary) are specified to the legislation of the Russian Federation.

Repeatedly provided to authorized structural division the documents corrected according to the return note are again arrived.

15. In case of lack of the bases for return of the documents established by Items 13 and 14 of this Instruction, the Bank of Russia no later than 25 working days from the date of receipt of such documents makes the decision on registration of regulations of specialized depositary (changes in regulations of specialized depositary).

The decision of the Bank of Russia on registration of regulations of specialized depositary (changes in regulations of specialized depositary) is drawn up in the form of the notice of registration of regulations of specialized depositary (the notice of registration of changes in regulations of specialized depositary) (further - the notice of registration) which is signed by the head of authorized structural division (person fulfilling its duties) or the deputy manager of authorized structural division (person fulfilling its duties).

On the notice of registration the Bank of Russia is sealed.

On each copy of the registered regulations of specialized depositary the mark about registration is put down.

In case of adoption by the Bank of Russia of the decision on registration of changes in regulations of specialized depositary the mark about registration is put down on each copy of changes in regulations of specialized depositary.

The notice of registration and mark about registration shall contain acceptance date the Bank of Russia of the decision on registration.

16. One copy of the registered regulations of specialized depositary or the registered changes in regulations of specialized depositary is applied to the notice of registration.

The statement for registration and the second copy of the registered regulations of specialized depositary (the second copy of changes in regulations of specialized depositary) with mark about registration is stored by authorized structural division according to the procedure, established by the Bank of Russia.

17. The authorized structural division records the registered regulations of specialized depositary (changes in regulations of specialized depositary).

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

19. From the date of entry into force of this Instruction the order of FFMS of Russia of June 5, 2012 No. 12-38/pz-n "About approval of Administrative regulations of provision by the Federal Service for Financial Markets of the state service in registration of regulations of specialized depositaries of investment funds, mutual investment funds and non-state pension funds, rules of maintaining the register of owners of investment shares of mutual investment funds, changes and amendments in them, and also according to rules of maintaining the register of owners of hypothecation certificates of participation and changes and amendments in them", No. 25057 registered by the Ministry of Justice of the Russian Federation on July 31, 2012 is not applied (The bulletin of regulations of federal executive bodies of October 22, 2012 No. 43).

Appendix 1

to the Instruction of the Bank of Russia of December 8, 2015 No. 172-I "About order of registration of regulations of specialized depositary on control of activities for investment of means of pension accruals and the changes made to it"

 

"__" __________                      Central bank of the Russian Federation

No. _____________                    Department of the admission and termination of activities of the financial organizations

 

                                STATEMENT

         about registration of regulations of specialized depositary

 

___________________________________________________________________________

     (full trade name of specialized depositary)

 

№ of payment order	Requirements	Data
1	Abbreviated name (in the presence)
2	Address
3	Phone number
4	Data on licenses
5	Information about person performing functions of sole executive body	Surname, name, middle name (in the presence), number and document date about appointment (about election)
6 <1>	Information about person who signed the application for registration of regulations	Surname, name, middle name (in the presence), the name and details of the document confirming powers of the person for signing of the documents sent to the Bank of Russia

 

asks to register: _________________________________________________.

                         (complete name of regulations specialized

                                           depositary)

   We confirm that the text of documents    in electronic form completely

corresponds to the text of paper documents.

 

   Appendix:

 

№ of payment order	Name of the document	Number of sheets	Number of copies

 

__________________________ __________________ ___________________________

  (job title)     (personal signature)     (disaggregation of the signature)

 

--------------------------------

<1> The Item is filled if the application is not signed by person specified in line 5 of the table.

 

Appendix 2

to the Instruction of the Bank of Russia of December 8, 2015 No. 172-I "About order of registration of regulations of specialized depositary on control of activities for investment of means of pension accruals and the changes made to it"

 

"__" __________                      Central bank of the Russian Federation

No. _____________                    Department of the admission and termination of activities of the financial organizations

 

                                STATEMENT

   about registration of changes in regulations of specialized depositary

 

___________________________________________________________________________

     (full trade name of specialized depositary)

 

№ of payment order	Requirements	Data
1	Abbreviated name (in the presence)
2	Address
3	Phone number
4	Data on licenses
5	Information about person performing functions of sole executive body	Surname, name, middle name (in the presence), number and document date about appointment (about election)
6 <1>	Information about person who signed the application for registration of changes in regulations	Surname, name, middle name (in the presence), the name and details of the document confirming powers of the person for signing of the documents sent to the Bank of Russia

 

asks  to register  changes  in  regulations  of specialized

depositary: ______________________________________________________________

___________________________________________________________________________

       (complete name of regulations of specialized depositary)

 in the form of the new edition containing the changes made to operating

edition of the specified document registered "__" _______________.

   We confirm that the text of documents    in electronic form completely

corresponds to the text of paper documents.

 

   Appendix:

 

№ of payment order	Name of the document	Number of sheets	Number of copies

 

__________________________ __________________ ___________________________

  (job title)     (personal signature)     (disaggregation of the signature)

 

--------------------------------

<1> The Item is filled if the application is not signed by person specified in line 5 of the table.

 

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