INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of June 4, 2018 No. 187-I

About procedure for adoption by the Bank of Russia of decisions on state registration of non-state pension fund, the changes made to the charter of non-state pension fund, about the documents submitted to the Bank of Russia for receipt of license for activities on provision of pensions and pension insurance, on requirements to procedure, terms and form of the specified documents, about requirements to registration of license for activities on provision of pensions and pension insurance, about procedure and terms of renewal of the specified license, about procedure for maintaining the register of licenses for activities on provision of pensions and pension insurance of non-state pension funds and provisions of statements from it, about procedure and conditions of issue of coordination by the Bank of Russia on carrying out reorganization of non-state pension funds

This Instruction based on Item 2 of Article 5, Items 5, 9, 12, the 13th Article 7. 1, the subitem 19 of Item 31 of Article 33 and paragraphs of the sixth, eighth and eleventh - the fourteenth subitem 1 of Item 3 of article 34 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, 1584) (further - the Federal Law "About Non-state Pension Funds") establishes the Art.:

procedure for adoption by the Bank of Russia of the decision on state registration of non-state pension fund (further - fund) during its creation by organization;

the documents submitted to the Bank of Russia for receipt of license for activities on provision of pensions and pension insurance (further - the license) person who intends to obtain the license (further - the license applicant);

requirements to procedure, terms and the application form about provision of the license and the documents submitted for receipt of the license, and also the requirement to execution of the license on the form of the Bank of Russia;

procedure for adoption by the Bank of Russia of the decision on state registration of the changes made to the fund charter;

procedure and terms of renewal of the license of fund in case of change of the name of fund and (or) the place of its stay or modification of the register of licenses of funds in connection with refusal of implementation of activities for non-state pension provision or on mandatory pension insurance or intention to perform such activities;

procedure for adoption by the Bank of Russia of the decision on state registration in case of liquidation of fund;

procedure for maintaining the register of licenses of the funds by the Bank of Russia, including the scope of information included in it and procedure for provision of statements from the register of licenses of funds;

procedure and conditions of issue of coordination by the Bank of Russia on carrying out reorganization of funds and procedure for adoption by the Bank of Russia of the decision on state registration of fund during its creation by reorganization;

the list and form of the funds of documents attached to the petition for coordination of carrying out reorganization, including form of the following documents:

statements for provision of licenses to the funds created as a result of reorganization;

the documents containing the information about structure and structure of property which is transferred by reorganization of funds for the purpose of inclusion it to calculation of the size of own means of the funds created as a result of reorganization;

the documents containing the information about structure and structure of the funds transferred by reorganization of assets in which means of pension reserves are placed or means of pension accruals are invested;

the documents containing the information about structure and structure of obligations of fund (funds) to investors, participants and insured persons;

the documents containing the information about structure and structure of the documents transferred by reorganization of funds for the purpose of the maintaining retirement accounts of non-state pension provision and retirement accounts of funded pension allowing to determine obligations of funds to investors, participants and insured persons;

the documents containing the information about the list of creditors and the sizes of the requirements which are subject to early satisfaction in connection with reorganization of funds.

Chapter 1. Adoption by the Bank of Russia of the decision on state registration of fund during its creation by organization

1.1. The decision on state registration of fund during its creation by organization is made by the Bank of Russia by results of consideration of the following set of documents (copies of documents).

1.1.1. The statement for state registration of the legal entity during its creation conforming to requirements of the subitem "an" of article 12 of the Federal Law of August 8, 2001 No. 129-FZ "About state registration of legal entities and individual entrepreneurs" (The Russian Federation Code, 2001, No. 33, Art. 3431; 2003, No. 26, Art. 2565; No. 50, Art. 4855; No. 52, Art. 5037; 2004, No. 45, Art. 4377; 2005, No. 27, Art. 2722; 2007, No. 7, Art. 834; No. 30, Art. 3754; No. 49, Art. 6079; 2008, No. 18, Art. 1942; No. 30, Art. 3616; 2009, No. 1, Art. 19, Art. 20, Art. 23; No. 29, Art. 3642; No. 52, Art. 6428; 2010, No. 21, Art. 2526; No. 31, Art. 4196; No. 49, Art. 6409; No. 52, Art. 7002; 2011, No. 27, Art. 3880; No. 30, Art. 4576; No. 49, Art. 7061; 2012, No. 14, Art. 1553; No. 31, Art. 4322; No. 53, Art. 7607; 2013, No. 26, Art. 3207; No. 30, Art. 4084; No. 44, Art. 5633; No. 51, Art. 6699; 2014, No. 14, Art. 1551; No. 19, Art. 2312; No. 30, Art. 4217, Art. 4242; 2015, No. 1, Art. 10, Art. 42; No. 13, Art. 1811; No. 27, Art. 4000, Art. 4001; No. 29, Art. 4363; 2016, No. 1, Art. 11, Art. 29; No. 5, Art. 559; No. 23, Art. 3296; No. 27, Art. 4248, Art. 4293, Art. 4294; 2017, No. 1, Art. 12, Art. 29; No. 31, Art. 4775; No. 45, Art. 6586; 2018, No. 1, the Art. 65) (further - the Federal Law "About State Registration of Legal Entities and Individual Entrepreneurs") (further - the statement for state registration of the legal entity during its creation).

1.1.2. The documents provided by subitems "b" - "d" article 12 of the Federal law "About State Registration of Legal Entities and Individual Entrepreneurs".

1.1.3. The copy of the protocol of general meeting of founders of fund (the decision of the single founder of the fund) containing the decision on investment of the representative of founders of fund with powers on signing and the direction in the Bank of Russia of the statement for state registration of the legal entity during its creation and documents for decision making on state registration of fund.

1.1.4. The copy of the document received from federal antimonopoly authority on satisfaction of the petition for consent on creation of fund (if according to article 27 of the Federal Law of July 26, 2006 No. 135-FZ "About protection of the competition" (The Russian Federation Code, 2006, No. 31, Art. 3434; 2007, No. 49, Art. 6079; 2008, No. 18, Art. 1941; No. 27, Art. 3126; No. 45, Art. 5141; 2009, No. 29, Art. 3601, Art. 3610; No. 52, Art. 6450, Art. 6455; 2010, No. 15, Art. 1736; No. 19, Art. 2291; No. 49, Art. 6409; 2011, No. 10, Art. 1281; No. 27, Art. 3873, Art. 3880; No. 29, Art. 4291; No. 30, Art. 4590; No. 48, Art. 6728; No. 50, Art. 7343; 2012, No. 31, Art. 4334; No. 53, Art. 7643; 2013, No. 27, Art. 3436, Art. 3477; No. 30, Art. 4084; No. 44, Art. 5633; No. 51, Art. 6695; No. 52, Art. 6961, Art. 6988; 2014, No. 23, Art. 2928; No. 30, Art. 4266; 2015, No. 27, Art. 3947; No. 29, Art. 4339, Art. 4342, Art. 4350, Art. 4376; No. 41, Art. 5629; 2016, No. 27, Art. 4197; 2017, No. 31, Art. 4828; 2018, No. 18, of the Art. 2561) creation of fund requires receipt of prior consent of federal antimonopoly authority).

1.1.5. The reference confirming submission to the Bank of Russia of documents for state registration of share issue of the created fund, containing date and number of the letter which to the Bank of Russia submits documents for state registration of share issue of the created fund, constituted in any form.

1.1.6. The questionnaire of person (appointed) to position of the elected sole executive body of the created fund (appendix 1 to this Instruction), with appendix:

copies of the identity document of person (appointed) to position of the elected sole executive body;

copies of education documents and (or) about qualification of person (appointed) to position of the elected sole executive body;

copies of the document on qualification of person (appointed) to position of the elected sole executive body confirming increase or assignment of qualification by results of the additional professional education issued by the organization performing educational activities (in the presence);

copies of the documents containing data on implementation by person, chosen (appointed) to position of sole executive body, labor activity, including in combination, within five years preceding date of the direction of the questionnaire of person, the elected (appointed) to position sole executive body of the created fund in the Bank of Russia;

other (others) the document (copy) (documents) according to the solution of the face (appointed) to position of the elected sole executive body, confirmatory (confirming) its compliance to qualification requirements and requirements to goodwill, the stipulated in Article 6.2 Federal Laws "About Non-state Pension Funds", (and) or the data specified in the questionnaire of person (appointed) to position of the elected sole executive body.

The questionnaire of person (appointed) to position of the elected sole executive body of the created fund, with application of documents, confirming the data containing in the specified questionnaire is submitted if the protocol of general meeting of founders (the decision of the single founder) on organization of fund contains the decision on formation of sole executive body of the created fund and the statement for state registration of the legal entity during its creation contains information on sole executive body of the created fund.

1.2. Documents (the copy of documents), stipulated in Item 1.1 these Instructions, are represented by the founder of fund authorized by the decision of general meeting of founders of fund or the single founder of fund (further - the representative of founders of fund) to Department of the admission and termination of activities of the financial organizations of the Bank of Russia (further - authorized division of the Bank of Russia) according to the decision of founders of fund on paper or in the form of electronic documents.

1.3. Documents (the copy of documents), the stipulated in Item 1.1 these Instructions sent to the Bank of Russia on paper and consisting more than of one leaf shall be numbered, stitched and fastened the last leaf by zaveritelny text with indication of figures and copy-book of number of sheets, putting down of the signature and disaggregation of the signature of person who processed the specified documents (the copy of documents) on the back. Copies of documents, stipulated in Item 1.1 these Instructions, shall bear zaveritelny text "True copy", the signature of person who certified the copy, disaggregation of the signature and date of assurance.

The document provided by the subitem "v" of article 12 of the Federal law "About State Registration of Legal Entities and Individual Entrepreneurs" in case of its direction on paper shall be provided to the Bank of Russia in duplicate.

1.4. Documents (the copy of documents), stipulated in Item 1.1 these Instructions, in case of their direction in the form of electronic documents shall be provided to the Bank of Russia according to 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", the registered Ministry of Justice of the Russian Federation on January 11, 2018 No. 49605 (further - the Instruction of the Bank of Russia No. 4600-U).

1.5. Documents (the copy of documents), the stipulated in Item 1.1 these Instructions constituted in foreign language shall be provided with appendix of the translation of the specified documents into Russian. Fidelity of the translation and authenticity of the signature of the translator shall be attested according to Article 35, part of 1 Article 38, articles 46 and 81 of Bases of the legislation of the Russian Federation about notariate of February 11, 1993 No. 4462-1 (Sheets of the Congress of People's Deputies of the Russian Federation and the Supreme Council of the Russian Federation, 1993, No. 10, Art. 357; Russian Federation Code, 2003, No. 50, Art. 4855; 2004, No. 27, Art. 2711; No. 35, Art. 3607; No. 45, Art. 4377; 2005, No. 27, Art. 2717; 2006, No. 27, Art. 2881; 2007, No. 1, Art. 21; No. 27, Art. 3213; No. 41, Art. 4845; No. 43, Art. 5084; 2008, No. 52, Art. 6236; 2009, No. 1, Art. 14, Art. 20; 2010, No. 28, Art. 3554; 2011, No. 49, Art. 7064; No. 50, Art. 7347; 2012, No. 27, Art. 3587; 2013, No. 14, Art. 1651; No. 51, Art. 6699; 2014, No. 19, Art. 2304; No. 26, Art. 3371; No. 30, Art. 4268; 2015, No. 1, Art. 10; No. 13, Art. 1811; No. 29, Art. 4385; 2016, No. 1, Art. 11; No. 26, Art. 3891; No. 27, Art. 4265, Art. 4293, Art. 4294; 2018, No. 1, Art. 65, Art. 70, Art. 90; No. 22, Art. 3043).

1.6. The authorized division of the Bank of Russia within thirty calendar days after day of receipt of stipulated in Item 1.1 these Instructions of documents (copies of documents) performs check of their compliance to the requirements to registration provided by Items 1.3 - 1.5 these Instructions, to requirements to completeness, stipulated in Item 1.1 these Instructions, check of reliability of the data containing in them, and also verification of presence of the following circumstances:

compliance of person (appointed) to position of the elected sole executive body of the created fund, qualification requirements and (or) requirements to goodwill, the stipulated in Article 6.2 Federal Laws "About Non-state Pension Funds" (if the protocol of general meeting of founders (the decision of the single founder) on organization of fund contains the decision on formation of sole executive body of the created fund and the statement for state registration of the legal entity during creation contains information on sole executive body of the created fund);

availability in the submitted documents of the bases for refusal in state registration of the legal entity provided by subitems "g", "d", "zh", "l", "m", "n", "f" of Item 1 of article 23 of the Federal law "About State Registration of Legal Entities and Individual Entrepreneurs".

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