PROVISION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of June 29, 2022 No. 798-P

About procedure for licensing of the types of professional activity by the Bank of Russia in the security market specified in Articles 3 - 5, 7 and 8 Federal Laws of April 22, 1996 No. 39-FZ "About the security market", and procedure for maintaining the register of professional participants of the security market by the Bank of Russia, about procedure for adoption by the Bank of Russia of the decision on introduction (about refusal in introduction) the information about person in the unified register of investment advisers and procedure for maintaining by the Bank of Russia of the specified register, and also about procedure for provision by the Bank of Russia 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 and procedure for maintaining by the Bank of Russia of registers of the specified licenses

This Provision based on Item 1 of Article 3, Item 3 of Article 18, Item 1 of Article 44, Item 1, subitems 1, the 7 and 9 Item 5, Items 10, 13, 21 and 22 articles 60.1 of the Federal Law of November 29, 2001 No. 156-FZ "About investment funds" <1>, paragraphs of first, third - the fifth Item 3 of Article 6. Items 6 and 18 of article 42 of the Federal Law of April 22, 1996 No. 39-FZ "About the security market" <1> establishes 1,:

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<1> Russian Federation Code, 2001, No. 49, Art. 4562; 2007, No. 50, Art. 6247; 2012, No. 31, Art. 4334; 2013, No. 30, Art. 4084; 2017, No. 31, Art. 4830, 2019, No. 30, Art. 4150.

<1> Russian Federation Code, 1996, No. 17, Art. 1918; 2013, No. 30, Art. 4084; 2017, No. 52, Art. 7920.

procedure for licensing of the types of professional activity by the Bank of Russia in the security market specified in Articles 3 - 5, 7 and 8 Federal Laws of April 22, 1996 No. 39-FZ "About the security market" <2>;

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<2> Russian Federation Code, 1996, No. 17, Art. 1918; 2007, No. 22, Art. 2563; 2015, No. 1, Art. 13; 2020, No. 31, Art. 5065; 2021, No. 24, Art. 4210.

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;

the scope of information about persons who are owners or trustees of 5 or more percent of ordinary shares (shares) of the license applicant on implementation of activities of specialized depositary of investment funds, mutual investment funds and non-state pension funds, and also about persons performing functions of sole executive body, the board member (supervisory board), the member of collegiate executive body, the controller (head of internal control) of the license applicant on implementation of activities of specialized depositary of investment funds, mutual investment funds and non-state pension funds, and form of their representation;

the scope of information about persons having the right directly or indirectly or together with other persons, the related property trust management agreements and (or) particular partnership, and (or) the order, and (or) the corporate agreement, and (or) other agreement which subject is implementation of the rights certified by shares (shares) of the license applicant of managing company on implementation of activities for management of investment funds, mutual investment funds and non-state pension funds to dispose of more than 10 percent of shares (share), constituting the authorized capital of the license applicant of managing company on implementation of activities for management of investment funds, mutual investment funds and non-state pension funds, and form of their representation;

the data containing in questionnaires about persons performing functions of sole executive body, his deputy, the member of collegiate executive body, the chief accountant, the deputy chief accountant, the head of branch, the chief accountant of branch, the board member (supervisory board), the controller (head of internal control) of the license applicant on implementation of 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 availability of the specified license;

the list of documents based on which the Bank of Russia makes the decision on introduction (on refusal in introduction) the information about person in the unified register of investment advisers;

the application form about entering of information about person into the unified register of investment advisers;

procedure and terms of adoption by the Bank of Russia of the decision on introduction (about refusal in introduction) the information about person in the unified register of investment advisers;

the bases for adoption by the Bank of Russia of the decision on refusal in entering of information about person into the unified register of investment advisers;

procedure for maintaining register of professional participants of the security market;

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;

procedure for maintaining the unified register of investment advisers by the Bank of Russia.

Chapter 1. The documents presented in the Bank of Russia for receipt of the license for implementation of the types of professional activity at the security market specified in Articles 3 - 5, 7 and 8 Federal Laws of April 22, 1996 No. 39-FZ "About the security market", licenses 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, for adoption by the Bank of Russia of the decision on introduction (about refusal in introduction) the information about person in the unified register of investment advisers

1.1. The legal entity intending to obtain the license for implementation of the types of professional activity in the security market specified in Articles 3 - 5, 7 and 8 Federal Laws of April 22, 1996 No. 39-FZ "About the security market", except for the legal entity specified in Item 1.2 of this provision (further respectively - activities of PURTsB, the Federal Law "About the Security Market", the license applicant of PURTsB, the license PURTsB), shall submit in the Bank of Russia the application for provision of the license PURTsB for each type of activity of PURTsB (the recommended sample is given in appendix 1 to this Provision), and also the documents attached to it provided by subitems 1.7.1 - 1.7.11, 1.7.12.1 or 1.7.12. 3, 1.7.13.1 - 1.7.13.5, 1.7.14 - 1.7.19 Items 1.7 of this provision (further in case of joint mentioning - documents of the license applicant of PURTsB).

1.2. For receipt of the license PURTsB by the following legal entities (further - the licensee - the license applicant of PURTsB) shall be provided to the Bank of Russia the statement for implementation of activities of PURTsB on each type of activity of PURTsB (the recommended sample is given in appendix 2 to this Provision), and also the documents attached to it provided by subitems 1.7.3 - 1.7.6, 1.7.8 - 1.7.10 Items 1.7 of this provision (further in case of joint mentioning - documents of the licensee - the license applicant of PURTsB):

the credit institution intending to perform dealer activities, the securities management, broker activities or broker activities only for the conclusion of the agreements which are derivative financial instruments which basic asset are the goods (further - activities of the merchandise broker) or broker activities without the right based on the contract for broker servicing with the client to exploit money of clients and to make security transactions and derivative financial instruments for customer account without involvement of other broker (agent) who is the bidder and the participant of clearing (further - activities of the client broker);

the clearing organization intending to perform dealer activities, the securities management, broker activities or activities of the merchandise broker, or activities of the client broker;

the managing company of investment funds, mutual investment funds and non-state pension funds (further - managing company) intending to perform the securities management;

the managing director intending to perform dealer activities, broker activities or activities of the merchandise broker, or activities of the client broker;

the broker intending to perform dealer activities, the securities management, activities of the merchandise broker or activities of the client broker instead of broker activities;

the broker performing activities of the merchandise broker and intending to perform dealer activities, the securities management, broker activities or activities of the client broker instead of activities of the merchandise broker;

the broker performing activities of the client broker and intending to perform dealer activities, the securities management, broker activities or activities of the merchandise broker instead of activities of the client broker;

the depositary which is not the settlement depositary intending to perform dealer activities, the securities management, broker activities or activities of the merchandise broker, or activities for maintaining the register of owners of securities;

the holder of the register of owners of securities intending to perform depository activity;

the dealer intending to perform the securities management, broker activities or activities of the merchandise broker, or activities of the client broker.

1.3. The legal entity intending to perform activities of joint-stock investment fund (further respectively - activities of AIF, the license applicant of AIF), for receipt of license for activities of investment fund (further - the license AIF) shall submit in the Bank of Russia the application for provision of the license AIF in the form provided by appendix 1 to this Provision, the documents provided by subitems 2, 5 - 9 Items 5 of article 60.1 of the Federal Law of November 29, 2001 No. 156-FZ "About investment funds" (further - the Federal Law "About Investment Funds") <1>, including the documents provided by subitems 1.7.3 - 1.7.6, 1.7.8, 1.7.10, 1.7.12.2, 1.7.13.1 - 1.7.13.4, 1.7.14, 1.7.20 and 1.7.21 of Item 1.7 of this provision (further in case of joint mentioning - documents of the license applicant of AIF).

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<1> Russian Federation Code, 2001, No. 49, Art. 4562; 2007, No. 50, Art. 6247; 2013, No. 30, Art. 4084; 2017, No. 31, Art. 4830.

1.4. The depositary intending to perform activities of specialized depositary of investment funds, mutual investment funds and non-state pension funds (further respectively - specialized depositary, activities of SD, the license applicant of SD), for receipt of license for activities of specialized depositary of investment funds, mutual investment funds and non-state pension funds (further - the license SD) shall submit in the Bank of Russia the application for provision of the license SD in the form provided by appendix 1 to this Provision, the documents provided by subitems 2, 5 - 9 Items 5, subitems 1, 2 both 3 Items 6 and Items 8 and 10 of article 60.1 of the Federal law "About Investment Funds" <2> including the documents provided by subitems 1.7.2 - 1.7.111, 1.7.12. 3, 1.7.13.1 - 1.7.13.5 and 1.7.14 Items 1.7 of this provision (further in case of joint mentioning - documents of the license applicant of SD).

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<2> Russian Federation Code, 2001, No. 49, Art. 4562; 2007, No. 50, Art. 6247; 2013, No. 30, Art. 4084; 2017, No. 31, Art. 4830.

1.5. The legal entity intending to perform activities of managing company (further respectively - activities of UK, the license applicant of UK), for receipt of the license of managing company for implementation of activities of UK (further - the license UK) shall submit in the Bank of Russia the application for provision of the license UK in the form provided by appendix 1 to this Provision, the documents provided by subitems 2, 5 - 9 Items 5, subitems 1.1 and 3 of Item 6 and Items 7 and 10 of article 60.1 of the Federal law "About Investment Funds" <1> including the documents provided by subitems 1.7.2 - 1.7.11, 1.7.12.4, 1.7.13, 1.7.14, 1.7.22 and 1.7.23 of Item 1.7 of this provision (further in case of joint mentioning - documents of the license applicant of UK).

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<1> Russian Federation Code, 2001, No. 49, Art. 4562; 2007, No. 50, Art. 6247; 2013, No. 30, Art. 4084; 2017, No. 31, Art. 4830.

1.6. The legal entity (individual entrepreneur) intending (intending) to perform activities for investment consulting, except for the legal entity specified in the paragraph the second this Item (further respectively - activities of IS, the job seeker of activities of IS), for entering of information about him into the unified register of investment advisers shall (shall) submit in the Bank of Russia the application for entering of information about the job seeker of activities of IS into the unified register of investment advisers in the form provided by appendix 1 to this Provision and also the documents attached to it, provided by subitems 1.7.1 - 1.7.11 and 1.7.24 Items 1.7 of this provision (concerning the job seeker of activities of IS - the legal entity) or subitems 1.7.3 - 1.7.10 and 1.7.24 Items 1.7 of this provision (concerning the job seeker of activities of IS - the individual entrepreneur) (further in case of joint mentioning - documents of the job seeker of activities of IS).

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