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Ministry of Justice

Russian Federation

On August 22, 2022 No. 69735

INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of May 24, 2022 No. 208-I

About order of registration of rules of trust management of mutual investment fund which investment shares are not intended only for skilled investors, and registration of changes and amendments in them, and also about report form about quantity of in addition issued investment shares of closed-end investment fund

This Instruction based on Item 17 of Article 13. 2, the paragraph of the third Item 1, of the paragraph of the eighth subitem 2 of item 4 of Article 19, of paragraph one of Item 6 of article 21 of the Federal Law of November 29, 2001 No. 156-FZ "About investment funds" <1> establishes order of registration of rules of trust management of mutual investment fund which investment shares are not intended only for skilled investors, and registration of changes and amendments in them, including requirements to structure, content and form of in addition issued investment shares of closed-end investment fund represented on document registration, and also report form about quantity.

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<1> Russian Federation Code, 2001, No. 49, Art. 4562; 2007, No. 50, Art. 6247; 2013, No. 30, Art. 4084; 2019, No. 30, Art. 4150.

Chapter 1. Requirements to structure, content and the document form, represented on registration of rules of trust management of mutual investment fund which investment shares are not intended only for skilled investors

1.1. The legal entity having the license of managing company for implementation of activities for management of investment funds, mutual investment funds and non-state pension funds (further respectively - managing company, the license of managing company), for registration of rules of trust management of mutual investment fund which investment shares are not intended only for skilled investors (further respectively - rules of trust management, mutual investment fund which investment shares are not limited in turnover), shall submit in the Bank of Russia the application for registration of rules of trust management, content and which form are established by appendix 1 to this Instruction.

The detail "signature" of the statement for registration of rules of trust management is filled in case of submission to the Bank of Russia of the paper document or in the form of the electronic copy created by scanning of the original document as a part of the documents submitted for registration of rules of trust management in the form of electronic documents.

1.2. The following documents shall be enclosed to the application for registration of rules of trust management of managing company.

1.2.1. Rules of trust management.

1.2.2. The service provision agreement of specialized depositary signed by managing company with specialized depositary, data on which contain in rules of trust management.

1.2.3. The agreement on maintaining the register of owners of investment shares of mutual investment fund which investment shares are not limited in turnover (further respectively - the agreement on maintaining the register, the register), concluded by managing company with person performing maintaining the register (further - the registrar), data on which contain in rules of trust management.

1.2.4. The agreement of rendering auditor services signed by managing company with auditing organization, data on which contain in rules of trust management (it is represented if rules of trust management provide the conclusion of the agreement of rendering auditor services).

1.2.5. The contract for evaluating signed with physical person or the legal entity with which according to requirements of the Federal Law of July 29, 1998 No. 135-FZ "About estimative activities in the Russian Federation" <2> can be signed the contract for evaluating (further - the appraiser), data on which contain in rules of trust management (it is represented if rules of trust management provide possibility of investment of the property constituting mutual investment fund which investment shares are not limited in turnover, in property which assessment according to Item 2 of article 37 of the Federal Law of November 29, 2001 No. 156-FZ "About investment funds" <3> (further - the Federal Law "About Investment Funds") it is performed by the appraiser).

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<2> Russian Federation Code, 1998, No. 31, Art. 3813; 2021, No. 27, Art. 5179.

<3> Russian Federation Code, 2001, No. 49, Art. 4562; 2013, No. 30, Art. 4084.

1.2.6. The agreement of the order (agency agreement) signed by managing company with each of agents on issue (repayment, exchange) of investment shares (further - the agent) (it is represented if rules of trust management provide possibility of giving to the agent of requests for acquisition, repayment and exchange of investment shares of mutual investment fund which investment shares are not limited in turnover).

1.2.7. The agreements specified in Item 1 of article 14.2 of the Federal law "About Investment Funds" <4> (are represented if rules of trust management provide that the mutual investment fund which investment shares are not limited in turnover is exchange and if the managing company is the party under the agreements specified in this subitem).

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<4> Russian Federation Code, 2001, No. 49, Art. 4562; 2012, No. 31, Art. 4334.

1.2.8. The document containing data on acceptance of obligation by the foreign exchange to allow investment shares of mutual investment fund which investment shares are not limited in turnover to the organized biddings (it is represented if rules of trust management provide regulations on the admission of investment shares of mutual investment fund which investment shares are not limited in turnover, to the organized auction held by the foreign exchange).

1.2.9. One of the following documents at the choice of managing company:

the document containing specifying on number and document date about payment of the state fee collected according to the paragraph the second the subitem 56 of Item 1 of article 333.33 of the Tax Code of the Russian Federation <5> (further - the state fee for registration of rules of trust management), and also the name of the payer (the legal or authorized representative of the payer) and its bank details (the name of paying bank, bank identification code of paying bank and purpose of payment);

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<5> Russian Federation Code, 2000, No. 32, Art. 3340; 2004, No. 45, Art. 4377; 2014, No. 30, Art. 4222.

the document confirming the fact of payment by the applicant of the state fee for registration of rules of trust management containing mark of bank or territorial authority of the Federal Treasury (other body performing opening and account management) including making calculations electronically about its execution.

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