INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of December 28, 2015 No. 3915-U

About procedure for approval of the Bank of Russia of internal regulations of making of transactions with means of pension accruals

List of amending documents

This Instruction according to subitem 19.2 of Item 1 of article 12 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), 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. 40, Art. 5318; 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 procedure for approval by the managing company performing investment of means of pension accruals under the contract with the Pension Fund of the Russian Federation, internal regulations of the making of transactions with means of pension accruals reflecting features of activities for trust management of means of pension accruals (further - internal regulations), with the Bank of Russia.

1. The documents necessary for review of internal regulations are represented to Department of the admission and termination of activities of the financial organizations of the Bank of Russia (further - authorized structural division) on paper or in the form of the electronic documents signed by the digital signature according to requirements of the Federal Law of April 6, 2011 No. 63-FZ "About the digital signature" (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 review with the Bank of Russia of internal regulations the following documents are submitted to authorized structural division:

the statement for approval of internal regulations (further - the statement) (appendix to this Instruction);

internal regulations;

the copy of the document on approval of internal regulations certified by managing company.

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

3. In case of submission for review of the internal regulations containing changes in provisions of the last approved internal regulations to documents, the stipulated in Item 2 presents of the Instruction, also complete list of such changes in provisions of the last approved internal regulations is attached (further - the list of changes).

The list of changes is drawn up in the form of the table containing the following parameters: number of structural unit (for example, Chapters, Articles, the Section, Item, the subitem) (further - structural unit) the last approved internal regulations to which changes, its current version, and also new edition of the corresponding structural unit are made.

In case of amendment of internal regulations in new structural units the table of the list of changes shall contain number of the added structural unit and its new edition.

If documents for review of internal regulations are submitted on paper, then the list of changes is submitted in one copy, and in the electronic version on the removable electronic medium the text of the corresponding list of changes is submitted.

4. The documents submitted to authorized structural division for review of internal regulations (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 managing company (in case of its availability) and zaveritelny text with indication of figures and the copy-book of number of sheets signed by her originator with indication of its position, surname, name, middle name (in the presence of the last) and dates of assurance.

6. The copies of documents certified by managing company 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 managing company (in case of its availability).

7. The documents submitted on the removable electronic medium need to be packed by means of the program archiver in 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.

8. Electronic texts of documents are presented in the form of files with the following names:

internal regulations - in the form of the file with the name regulations_XXX.rtf, where XXX - sequence number of edition of internal regulations, since 000;

the list change - in the form of the file with the name amendments_list_XXX.rtf, where XXX - the sequence number of the list of changes since 001, matching with number of edition of the internal regulations containing changes in the last approved edition of internal regulations.

9. The application shall be signed by person performing functions of sole executive body of managing company (other authorized person) and is under seal managing company (in case of its availability).

In case of signing of the statement by other authorized person the copy of the document, the confirming power of the person which signed the specified application certified by managing company is enclosed to the application.

10. The title page of internal regulations shall contain the following details:

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

number of edition of internal regulations;

complete name of the document: "The internal regulations of making of transactions with means of pension accruals reflecting features of activities for trust management of means of pension accruals (the full trade name of managing company in genitive case is specified)".

11. The internal regulations affirm authorized body of managing company according to its charter if other is not established by the legislation of the Russian Federation, and are submitted within authorized structural division within the following terms:

no later than 10 working days from the date of signing by managing company of the trust management agreement of means of pension accruals with the Pension Fund of the Russian Federation;

no later than five working days from the date of approval by authorized body of managing company of the internal regulations containing changes in provisions of the last approved internal regulations.

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

13. Verification of documents on compliance to the requirements to completeness established by Items 2 and 3 of this Instruction and to the requirements to registration established by items 4 - 10 these Instructions, is performed by authorized structural division within five working days from the date of their obtaining.

14. In case of identification in documents of discrepancy to the requirements to completeness and (or) registration provided by this Instruction, the authorized structural division sends to the applicant (issues to the authorized representative of the applicant) the return note of the documents submitted for review internal regulations (further - the return note).

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

The documents which are repeatedly submitted to authorized structural division corrected according to the return note are again arrived.

15. Check on compliance of internal regulations to requirements of the legislation of the Russian Federation is performed by authorized structural division within 20 working days from the date of receipt of documents.

16. In case of identification in internal regulations of the provisions which are not conforming to requirements of 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 internal regulations to requirements of the legislation of the Russian Federation are specified.

The documents which are repeatedly submitted to authorized structural division corrected according to the return note are again arrived.

17. In case of lack of the bases for return of the documents established by Items 14 and 16 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 approval of internal regulations.

The decision of the Bank of Russia on approval of internal regulations is drawn up in the form of the notification on approval of internal regulations of managing company (further - the notification on approval) which is accepted and 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 notification on approval the official stamp of the Bank of Russia is put down.

On each copy of the approved internal regulations the mark about approval is put down.

The notification on approval and mark on approval shall contain acceptance date the Bank of Russia of the decision on approval of internal regulations.

18. One copy of the approved internal regulations is applied to the notification on approval.

The statement for approval and the second copy of the approved internal regulations with mark about approval is stored by authorized structural division according to the procedure, established by the Bank of Russia.

19. The authorized structural division records the approved internal regulations.

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

21. From the date of entry into force of this Instruction not to apply the order of FFMS of Russia of March 29, 2011 No. 11-6/pz-n "About approval of the Procedure for approval of internal regulations of the making of transactions of means of pension accruals reflecting features of activities for trust management of means of pension accruals", No. 20805 registered by the Ministry of Justice of the Russian Federation on May 19, 2011 (The Russian newspaper of June 3, 2011).

Appendix

to the Instruction of the Bank of Russia of December 28, 2015 No. 3915-U "About procedure for approval of the Bank of Russia of internal regulations of making of transactions with means of pension accruals"

 

"__" ________________              Central bank of the Russian Federation

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

 

                                STATEMENT

                  about approval of internal regulations

       making of transactions with means of pension accruals <1>

 

___________________________________________________________________________

          (full trade name of managing company)

 

№ of payment order	Requirements	Data
1	Abbreviated name (in the presence)
2	Address of managing company
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 <2>	Information about person who signed the application for approval of internal 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
7 <3>	Data on the return note of the documents submitted for review internal regulations	Number and date of the return note of the documents submitted for review internal regulations

 

asks to approve:

___________________________________________________________________________

                       (complete name of the document)

 

   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)      (signature)       (disaggregation of the signature)

 

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

<1> Recommended sample.

<2> The Item is filled if the application is not signed by person specified in Item 5 of the table.

<3> the Item is filled in case of the repeated direction of documents for approval.

 

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