INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of July 27, 2018 No. 190-I

About the list of the documents confirming observance of licensed conditions and represented for receipt of license for activities of investment fund, the license of managing company for implementation of activities for management of investment funds, mutual investment funds and non-state pension funds license for activities of specialized depositary of investment funds, mutual investment funds and non-state pension funds, procedure for provision of the license, renewal of the document confirming availability of the license, registration and submission of documents for receipt of the license and renewal of the document confirming license availability, the application form about provision of the license, the document form, confirming license availability, procedure for maintaining registers of licenses and procedure for provision of statements from them

This Instruction based on Items 5, 10, 13, 21 and 22 articles 60.1 of 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, Art. 1098; 2015, No. 27, Art. 4001; No. 29, Art. 4357; 2016, No. 1, Art. 47; No. 23, Art. 3301; No. 27, Art. 4225, Art. 4294; 2017, No. 18, Art. 2661; No. 31, Art. 4830; No. 1, the Art. 66, the Art. 70, the Art. 90) (further - the Federal Law "About Investment Funds") establishes 2018,:

the list of the documents confirming observance of licensed conditions and represented for receipt of license for activities of investment fund, the license of managing company for implementation of activities for management of investment funds, mutual investment funds and non-state pension funds, license for activities of specialized depositary of investment funds, mutual investment funds and non-state pension funds;

the application form about provision of license for activities of investment fund, the license of managing company for implementation of activities for management of investment funds, mutual investment funds and non-state pension funds, licenses for activities of specialized depositary of investment funds, mutual investment funds and non-state pension funds;

procedure for registration and submission of documents for receipt of license for activities of investment fund, the license of managing company for implementation of activities for management of investment funds, mutual investment funds and non-state pension funds, licenses for activities of specialized depositary of investment funds, mutual investment funds and non-state pension funds;

procedure for provision of license for activities of investment fund, the license of managing company for implementation of activities for management of investment funds, mutual investment funds and non-state pension funds, licenses for activities of the specialized depositary of investment funds, mutual investment funds and non-state pension funds and the document form confirming license availability;

procedure for renewal of the document confirming availability of license for activities of investment fund, the license of managing company for implementation of activities for management of investment funds, mutual investment funds and non-state pension funds, licenses for activities of specialized depositary of investment funds, mutual investment funds and non-state pension funds, registrations and submissions of documents for renewal of the document confirming license availability;

procedure for maintaining registers of licenses for activities of investment fund, licenses of managing companies for implementation of activities for management of investment funds, mutual investment funds and non-state pension funds, licenses for activities of specialized depositary of investment funds, mutual investment funds and non-state pension funds, including data included in structure in them, and procedure for provision of statements from them.

Chapter 1. The list of the documents confirming observance of licensed conditions and represented for receipt of license for activities of investment fund, the application form about provision of license for activities of investment fund registration and submission of documents for receipt of license for activities of investment fund

1.1. For receipt of license for activities of investment fund (further - the license of investment fund) in 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) person who intends to obtain the license of investment fund (further - the license applicant of investment fund), in addition to the documents provided by Items 5 and 5.1 of article 60.1 of the Federal law "About Investment Funds" the following documents confirming observance of the licensed conditions specified in Item 2 of article 60.1 of the Federal law "About Investment Funds" shall be submitted.

1.1.1. The balance sheet and the report on financial results of the license applicant of investment fund containing mark of tax authority - concerning the license applicant of the investment fund created to the last reporting date determined according to Item 6 of article 15 of the Federal Law of December 6, 2011 No. 402-FZ "About financial accounting" (The Russian Federation Code, 2013, No. 26, Art. 3207; No. 27, Art. 3477; No. 30, Art. 4084; No. 44, Art. 5631; No. 51, Art. 6677; No. 52, Art. 6990; 2014, No. 45, Art. 6154; 2016, No. 22, Art. 3097; 2017, No. 30, Art. 4440; 2018, No. 1, the Art. 65) (further - reporting date), prior date of submission of documents.

1.1.2. The balance sheet of the license applicant of investment fund as of the last calendar day of the quarter preceding date of submission of documents and if from the date of the termination of the last quarter passed more than a month, - also as of the date preceding date of submission of documents.

1.1.3. Audit opinion on verification of annual accounting (financial) accounts of the license applicant of investment fund - concerning the license applicant of investment fund which annual accounting (financial) accounts were subject to check following the results of the accounting year preceding date of submission of documents according to Item 1 of part 1 of article 5 of the Federal Law of December 30, 2008 No. 307-FZ "About auditor activities" (The Russian Federation Code, 2009, No. 1, of Art. 15; 2010, No. 27, Art. 3420; 2011, No. 1, Art. 12; No. 19, Art. 2716; No. 27, Art. 3880; No. 29, Art. 4291; No. 48, Art. 6728; 2013, No. 27, Art. 3477; No. 30, Art. 4084; No. 52, Art. 6961; 2014, No. 10, Art. 954; No. 49, Art. 6912; 2016, No. 27, Art. 4169, Art. 4195, Art. 4293; 2017, No. 18, Art. 2673; 2018, No. 1, Art. 65; No. 18, the Art. 2582) (further - the Federal Law "About Auditor Activities").

1.1.4. The protocol (minutes abstract) of general meeting of shareholders of the license applicant of investment fund containing (containing) the decision on approval of the investment declaration of the license applicant of investment fund - if approval of the investment declaration is referred by the charter of the license applicant of investment fund to competence of general shareholder meeting.

The protocol (minutes abstract) of the board of directors (supervisory board) of the license applicant of investment fund containing (containing) the decision on approval of the investment declaration of the license applicant of investment fund - if approval of the investment declaration is referred by the charter of the license applicant of investment fund to competence of the board of directors (supervisory board).

1.1.5. Investment declaration of the license applicant of investment fund.

1.1.6. The documents confirming the property right of the license applicant of investment fund to the property included in calculation of the size of own means of the license applicant of investment fund and cost of the specified property.

1.1.7. The certificate of managing company to which the joint-stock investment fund delegates powers of sole executive body (appendix 1 to this Instruction) (in case of the conclusion the license applicant of investment fund with the specified managing company of the agreement on transfer of powers of sole executive body of joint-stock investment fund to it), containing the following data:

complete and reduced (in the presence of the last) trade names;

primary state registration number (PSRN);

individual taxpayer number (ITN);

location;

the address for the direction of post correspondence;

phone number and the fax (in the presence of the last);

the website address on the Internet (further - Internet network), the e-mail address;

data on all licenses of managing company (the name of the license, the name of the body which granted the license, date of issue, license number and term of its action);

information about person performing functions of sole executive body of managing company (surname, name, middle name (in the presence of the last) and the name of position, details of the document confirming appointment, date of appointment and term, on which the nominated person (with indication of part-time job in the presence), full names of all other organizations in which person performs labor activity (with indication of position and part-time job (in the presence);

information about each board member (supervisory board) of managing company (in the presence) (surname, name, middle name (in the presence of the last), details of the document confirming election, date of election and term for which person, full names of all other organizations in which person performs labor activity is elected);

information about each person, the being member of collegiate executive body of managing company (in the presence) (surname, name, middle name (in the presence of the last), the name of position (with indication of part-time job (in the presence), details of the document confirming appointment (election), full names of all other organizations in which person performs labor activity (with indication of position and part-time job (in the presence).

1.1.8. The protocol of the board of directors (supervisory board) of the license applicant of investment fund containing the decision on the conclusion of the contract with managing company on transfer of powers of sole executive body of joint-stock investment fund to it - in case of the conclusion with the specified managing company of the agreement on transfer of powers of sole executive body of joint-stock investment fund to it.

1.1.9. The agreement on transfer of powers of sole executive body of joint-stock investment fund to managing company - in case of the conclusion with the specified managing company of the agreement on transfer of powers of sole executive body of joint-stock investment fund to it.

1.1.10. The employment contract signed between the license applicant of investment fund and person performing functions of sole executive body (except as specified transfers of powers of sole executive body of joint-stock investment fund to managing company).

1.1.11. Documents concerning person performing functions of sole executive body of the license applicant of investment fund (except as specified transfers of powers of sole executive body of joint-stock investment fund to managing company), members of collegiate executive body (if the charter of the license applicant provides creation of collegiate executive body) and board members (supervisory board) of the license applicant of investment fund (further in case of joint mentioning - the official of the license applicant of investment fund):

identity document;

the education document or the education document and about qualification;

the document on qualification confirming increase or assignment of qualification by results of additional professional education, issued by the organization performing educational activities (in the presence);

the documents containing data on implementation of labor activity, including in combination within five years preceding date of the direction of the questionnaire of the official of the license applicant of investment fund in the Bank of Russia.

1.2. According to the subitem 7 of Item 5 of article 60.1 of the Federal law "About Investment Funds" the license applicant of investment fund shall provide the questionnaire (data) concerning the official of the license applicant of investment fund containing the following data to the Bank of Russia:

full trade name of the license applicant;

primary state registration number (PSRN) of the license applicant;

surname, name, middle name (in the presence of the last);

birth date and birth place;

nationality (citizenship) or specifying on its absence;

name and details of the identity document; residential address;

residence address;

data on education;

data on foreign language skills;

data on labor activity;

data on availability of competence certificates, certificates, including international;

data on availability (about absence) the restrictions interfering appointment (election) of the official of the license applicant of investment fund, and (or) the bases for recognition of its goodwill unsatisfactory, provided by the Federal Law "About Investment Funds".

The recommended model of filling of the questionnaire (data) concerning the official of the license applicant of investment fund is given in appendix 3 to this Instruction.

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