INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of June 4, 2018 No. 4812-U

About order of registration the Bank of Russia of pension rules of non-state pension funds, including the pension rules of early non-state pension provision, insurance rules of non-state pension funds and changes made to them

This Instruction based on Items 1 and 4 of Article 9 and Item 3 of article 36.30 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, Art. 3958, Art. 4001; No. 29, Art. 4357; 2016, No. 1, Art. 41, Art. 47; No. 27, Art. 4225; 2017, No. 31, Art. 4754, Art. 4830; 2018, No. 1, Art. 66; No. 11, of the Art. 1584) (further - the Federal Law "About Non-state Pension Funds") establishes order of registration the Bank of Russia of pension rules of non-state pension funds (further - fund), including pension rules of early non-state pension provision, insurance rules of funds (further - rules of fund), and also the changes made to them.

1. For registration of rules of fund the following documents shall be submitted to Department of the admission and termination of activities of the financial organizations of the Bank of Russia (further - authorized division) fund:

the application for registration of rules of fund signed by person performing functions of sole executive body of fund (appendix 1 to this Instruction);

the certified person performing functions of sole executive body of fund (person authorized by it), the copy of the solution of the board of directors (supervisory board) of fund which approved rules of fund, or the statement from the specified decision;

rules of fund which title page contains the name of rules of fund, full trade name of fund, mark about their approval of fund by the board of directors (supervisory board) (appendix 2 to this Instruction).

2. For registration of changes the following documents shall be submitted to rules of fund in authorized division by fund:

the application for registration of changes in rules of fund signed by person performing functions of sole executive body of fund (appendix 3 to this Instruction);

the certified person performing functions of sole executive body of fund (person authorized by it), the copy of the solution of the board of directors (supervisory board) of fund which approved changes in rules of fund, or the statement from the specified decision;

changes in rules of fund in the form of new edition of rules of fund which title page contains the name of rules of fund, full trade name of fund, sequence number of edition of rules of fund, and also mark about their approval of fund by the board of directors (supervisory board) (appendix 2 to this Instruction);

the reference containing list of the changes made to rules of fund in the form of the table consisting of the next columns: sequence number of change, number of structural unit (for example, Chapters, Articles, the Section, Item, the subitem) rules of fund to which changes, content of structural unit of rules of fund before modification (in the presence), new edition of structural unit of rules of fund are made.

3. Documents for registration of rules of fund or for registration of changes in the rules of fund provided by Items 1 and 2 of this Instruction respectively shall be provided by fund to authorized division in the form of the electronic documents signed by the strengthened qualified digital signature according to requirements of the Instruction of the Bank of Russia of November 3, 2017 to No. 4600-U "About order of interaction of the Bank of Russia with credit institutions, not credit financial credit institutions and other participants of information exchange when using of information resources of the Bank of Russia, including private office by them", No. 49605 registered by the Ministry of Justice of the Russian Federation on January 11, 2018 (further - the Instruction of the Bank of Russia No. 4600-U), no later than 15 working days from the date of acceptance by the board of directors (supervisory board) of fund of the decision on their approval.

4. In case of representation of incomplete set of documents by fund and (or) inadequate image of the processed documents provided by Items 1 and 2 of this Instruction, the authorized division within 5 working days from the date of receipt of such documents shall direct to fund the notification with indication of to violation of requirements to document creation and (or) specifying of the list of missing documents (further - the notice of documents submission) by placement in private office on the Internet (further - Internet network) according to requirements of the Instruction of the Bank of Russia No. 4600-U.

5. The documents specified in the notice of documents submission shall be provided by fund to authorized division in time, established in the notification which cannot constitute less than 5 working days from the date of the direction of the notice of documents submission.

6. By results of consideration of documents, stipulated in Item 1 or Item 2 presents of the Instruction, the Bank of Russia within 30 working days from the date of their obtaining makes the decision on registration of rules of fund (the decision on registration of changes in rules of fund) (further - the decision on registration) or the decision on refusal in registration of rules of fund (the decision on refusal in registration of changes in rules of fund) (further - the decision on refusal in registration).

7. The decision on registration or the decision on refusal in registration is made by the head (person fulfilling its duties) or the deputy manager (person fulfilling its duties) of authorized division and drawn up by authorized division in the form of the notice of registration of rules of fund (the notice of registration of changes in rules of fund) (further - the notice of registration) or notifications on refusal in registration of rules of fund (the notification on refusal in registration of changes in rules of fund) (further - the notification on refusal in registration).

8. In case of decision making about registration the authorized division no later than the working day following behind day of decision making about registration provides placement of the electronic file of the registered rules of fund (the registered changes in rules of fund) on the official site of the Bank of Russia in Internet network.

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