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Ministry of Justice

Russian Federation

On April 15, 2008 No. 11536

ORDER OF THE FEDERAL SERVICE FOR FINANCIAL MARKETS

of March 12, 2008 No. 08-8/pz-n

About approval of the Regulations on procedure and times for notification of managing company, specialized depositary and Federal Service for Financial Markets by the person owning (exercising trust management) in 5 and more percent of ordinary shares (shares) of managing company or specialized depositary

According to Item 13 of Article 38, Item 14 of Article 44 and Item 2 of article 55 of the Federal Law of November 29, 2001 No. 156-FZ "About investment funds" (The Russian Federation Code, 2001, No. 49, Art. 4562; 2007, No. 50, the Art. 6247), the Regulations on the Federal Service for Financial Markets approved by the order of the Government of the Russian Federation of June 30, 2004 No. 317 (The Russian Federation Code, 2004, No. 27, Art. 2780; 2005, No. 33, Art. 3429; 2006, No. 13, Art. 1400; 2006, No. 52, Art. 5587; 2007, to No. 12, of the Art. 1417), I order:

1. Approve the enclosed Regulations on procedure and times for notification of managing company, specialized depositary and the Federal Service for Financial Markets as the person owning (exercising trust management) in 5 and more percent of ordinary shares (shares) of managing company or specialized depositary.

2. Determine that within two months from the effective date this Order:

a) the persons owning (exercising trust management) in 5 and more percent of ordinary shares (shares) of managing company shall notify this managing company and the Federal Service for Financial Markets on the compliance (discrepancy) to requirements of Item 10 and 12 of article 38 of the Federal Law of November 29, 2001 No. 156-FZ "About investment funds";

b) the persons owning (exercising trust management) in 5 and more percent of ordinary shares (shares) of specialized depositary shall notify this specialized depositary and and the Federal Service for Financial Markets on the compliance (discrepancy) to requirements of Item 13 of article 44 of the Federal Law of November 29, 2001 No. 156-FZ "About investment funds";

c) managing companies and specialized depositaries in case of discrepancy of the persons owning (exercising trust management) in 5 and more percent of their ordinary shares (shares), to requirements of the Federal Law "About Investment Funds" shall take measures for observance of the requirements specified in Item 14 of Article 38 and in Item 15 of article 44 of the Federal Law of November 29, 2001 to No. 156-FZ "About investment funds".

3. This Order does not extend to the persons owning (exercising trust management) in 5 and more percent of ordinary shares (shares) of the credit institutions performing activities of specialized depositary.

 

Head

V.D.Milovidov

Approved by the order of the Federal Service for Financial Markets of March 12, 2008 No. 08-8/pz-n

Regulations on procedure and times for notification of managing company, specialized depositary and the Federal Service for Financial Markets the person owning (exercising trust management) in 5 and more percent of ordinary shares (shares) of managing company or specialized depositary

1. This Provision establishes procedure and times for notification of managing company, specialized depositary and Federal Service for Financial Markets the person owning (exercising trust management) in 5 and more percent of ordinary shares (shares) of managing company or specialized depositary (further in the text - the owner or the trustee).

2. The owner or the trustee shall send the registered mail with the assurance of receipt and by means of fax connection (the electronic message) to managing company, specialized depositary and the Federal Service for Financial Markets the notification on acquisition to property by the owner or to structure of the property which is at the trustee in trust management, ordinary shares (shares) of managing company or specialized depositary (daleeuvedomleniye) in form according to appendix No. 1 to this Provision within 5 working days:

a) from the moment of transition of the rights to ordinary shares of managing company or specialized depositary if the managing company or specialized depositary are joint-stock company;

b) from the moment of state registration of changes in constituent documents of society with limited (additional) liability in connection with making of concession of share (part of share) in the authorized capital of society with limited (additional) liability if the managing company or specialized depositary are society with limited (additional) liability;

c) after the date of transmission in trust management of ordinary shares of managing company or specialized depositary if the managing company or specialized depositary are joint-stock company;

d) after the date of transmission in trust management of share in the authorized capital of society with limited (additional) liability if the managing company or specialized depositary are society with limited (additional) liability.

3. The notification goes with appendix of supporting documents:

a) the owner shall attach the documents confirming transition of share rights (the statement from system of maintaining the register, the account statement of depot), making of concession of share (part of share) in the authorized capital of society with limited (additional) liability (the copy of constituent documents with the changes made to them in accordance with the established procedure);

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