INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of July 2, 2019 No. 5186-U

About procedure for coordination of the interim liquidation balance sheet of non-state pension fund by the Bank of Russia

This Instruction based on Item 6 of article 33.2 of the Federal Law of May 7, 1998 No. 75-FZ "About non-state pension funds" (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, Art. 1584; No. 31, Art. 4858; No. 32, of the Art. 5115) (further - the Federal Law "About Non-state Pension Funds") establishes procedure for coordination of the interim liquidation balance sheet of non-state pension fund by the Bank of Russia.

1. The liquidator (the chairman of liquidation commission) of non-state pension fund (further - fund) shall submit for approval to head department of the Central bank of the Russian Federation in which subordinated territory there is fund (further - head department of the Bank of Russia) approved by it the interim liquidation balance sheet of fund with appendix to it of the documents confirming the data containing in the interim liquidation balance sheet of fund including data, stipulated in Item the 5th article 33.2 of the Federal law "About Non-state Pension Funds", and also documents confirming the power of the person which approved the interim liquidation balance sheet of fund (further - supporting documents).

2. The liquidator (the chairman of liquidation commission) of fund shall send for approval in head department of the Bank of Russia the interim liquidation balance sheet of fund and supporting documents one of the following methods at its choice:

in electronic form according to the procedure, No. 4600-U provided by the Instruction of the Bank of Russia of November 3, 2017 "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;

on paper by the direction of the registered mail with the assurance of receipt.

3. In case of the direction the liquidator (the chairman of liquidation commission) of fund on coordination in head department of the Bank of Russia of the interim liquidation balance sheet of fund and the supporting documents constituted on paper sheets shall be numbered, stitched and fastened the last leaf by text with indication of figures and copy-book of number of sheets, surnames, name and middle name (in the presence) of person who approved the interim liquidation balance sheet of fund, and date of their creation on the back and also are certified by seal of the liquidator (liquidation commission) of fund (in the presence).

4. The head department of the Bank of Russia in case of non-presentation and (or) representation not in full by the liquidator (the chairman of liquidation commission) of fund of supporting documents, and also in case of non-compliance the stipulated in Item 3 presents of the Instruction of requirements to execution of the interim liquidation balance sheet of fund and (or) supporting documents shall send to the liquidator (the chairman of liquidation commission) of fund request about submission of documents with indication of the term of their representation which is not exceeding 5 working days from the date of receipt of request about submission of documents.

The direction to the liquidator (the chairman of liquidation commission) of fund of request about submission of documents shall be performed by the same method which submitted for approval to head department of the Bank of Russia the interim liquidation balance sheet of fund and supporting documents.

5. The liquidator (the chairman of liquidation commission) of fund in response to request about submission of documents shall send required documents to head department of the Bank of Russia to one of methods, the stipulated in Item 2 presents of the Instruction, and in time, specified in request about submission of documents.

The required documents constituted on paper shall conform to requirements, the stipulated in Item 3 presents of the Instruction.

6. In case of non-presentation by the liquidator (the chairman of liquidation commission) of fund in head department of the Bank of Russia of documents in time, specified in request about submission of documents, and also in case of their representation with violation of requirements, the stipulated in Item 3 presents of the Instruction, the head department of the Bank of Russia no later than 5 working days following behind day of the expiration specified in request about submission of documents shall send to the liquidator (the chairman of liquidation commission) of fund the termination letter of consideration of the documents submitted for review the interim liquidation balance sheet of fund.

The termination letter of consideration of the documents submitted for review the interim liquidation balance sheet of fund shall be signed by the head of head department of the Bank of Russia or person replacing it and is sent to the liquidator (the chairman of liquidation commission) of fund by method which submitted for approval to head department of the Bank of Russia the interim liquidation balance sheet of fund and supporting documents.

7. In case of absence in the interim liquidation balance sheet of fund of data, stipulated in Item the 5th article 33.2 of the Federal law "About Non-state Pension Funds", and (or) detection in the interim liquidation balance sheets of fund and (or) supporting documents of unreliable information provided by the liquidator (the chairman of liquidation commission) of fund the head department of the Bank of Russia shall make the decision on refusal in coordination of the interim liquidation balance sheet of fund which is drawn up by the notification on refusal in coordination of the interim liquidation balance sheet of fund containing motivated reasons for refusal in coordination.

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