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Ministry of Justice

Russian Federation

On January 20, 2010 No. 16030

ORDER OF THE FEDERAL SERVICE FOR FINANCIAL MARKETS OF THE RUSSIAN FEDERATION

of November 10, 2009 No. 09-45/pz-n

About approval of the Regulations on decrease (restriction) in the risks connected with trust management of assets of investment funds, investment of funds of pension reserves, investment of means of pension accruals and accumulatings for housing providing the military personnel and also about approval of changes in some regulatory legal acts of the Federal Service for Financial Markets

(as amended on 25-08-2015)

According to the subitem 5 of Item 1 and Item 2 of article 40 of the Federal Law of 29.11.2001 N 156-FZ "About investment funds" (The Russian Federation Code, 2001, N 49, Art. 4562; 2004, N 27, Art. 2711; 2006, N 17, Art. 1780; 2007, N 50, Art. 6247; 2008, N 30, the Art. 3616), Items 1 and 2 of article 25.1 of the Federal Law of 07.05.1998 N 75-FZ "About non-state pension funds" (The Russian Federation Code, 1998, N 19, Art. 2071; 2001, N 7, Art. 623; 2002, N 12, Art. 1093; 2003, N 2, Art. 166; 2004, N 49, Art. 4854; 2005, N 19, Art. 1755; 2007, N 50, Art. 6247; 2008, N 18, Art. 1942, N 30, Art. 3616; 2009, N 29, the Art. 3619), Item 5 of article 16 of the Federal Law of 20.08.2004 N 117-FZ "About accumulative and mortgage system of housing providing the military personnel" (The Russian Federation Code, 2004, N 34, Art. 3532; 2006, N 6, Art. 636; 2007, N 50, Art. 6237; 2008, N 30, the Art. 3616) and the Regulations on the Federal Service for Financial Markets approved by the Order of the Government of the Russian Federation of 30.06.2004 N 317 (The Russian Federation Code, 2004, N 27, Art. 2780; 2005, N 33, Art. 3429; 2006, N 13, Art. 1400; N 52, of Art. 5587; 2007, N 12, Art. 1417; 2008, N 19, Art. 2192; N 46, of Art. 533; 2009, N 3, Art. 378; 2009, N 6, to the Art. 738), I order:

1. Approve the enclosed Regulations on decrease (restriction) in the risks connected with trust management of assets of investment funds, investment of funds of pension reserves, investment of means of pension accruals and accumulatings for housing providing the military personnel (further - the Provision).

2. Approve the enclosed Changes which are made to some regulatory legal acts of the Federal Service for Financial Markets.

3. This Order becomes effective after 10 days after day of its official publication, except for subitems 2 - the 5th Item 1.1 of the Provision for which the following terms of entry into force are provided:

1) subitems 2 and 3 of Item 1.1 of the Provision become effective from 01.07.2010;

2) subitems 4 and 5 of Item 1.1 of the Provision become effective from 01.01.2012.

 

Head

V.D.Milovidov

Approved by the Order of the Federal Service for Financial Markets of the Russian Federation of November 10, 2009 No. 09-45/pz-n

Regulations on decrease (restriction) in the risks connected with trust management of assets of investment funds, investment of funds of pension reserves, investment of means of pension accruals and accumulatings for housing providing the military personnel

I. General provisions

1.1. This Provision establishes the requirements directed to decrease (restriction) in the risks connected with transactions, stipulated in Item 2 articles 40 of the Federal Law of 29.11.2001 N 156-FZ "About investment funds" (The Russian Federation Code, 2001, N 49, Art. 4562; 2004, N 27, Art. 2711; 2006, N 17, Art. 1780; 2007, N 50, Art. 6247; 2008, N 30, the Art. 3616), Item 2 of article 25.1 of the Federal Law of 07.05.1998 N 75-FZ "About non-state pension funds" (The Russian Federation Code, 1998, N 19, Art. 2071; 2001, N 7, Art. 623; 2002, N 12, Art. 1093; 2003, N 2, Art. 166; 2004, N 49, Art. 4854; 2005, N 19, Art. 1755; 2006, N 43, Art. 4412; 2007, N 50, Art. 6247; 2008, N 18, Art. 1942, N 30, Art. 3616; 2009, N 29, the Art. 3619), Item 5 of article 16 of the Federal Law of 20.08.2004 N 117-FZ "About accumulative and mortgage system of housing providing the military personnel" (The Russian Federation Code, 2004, N 34, Art. 3532; 2006, N 6, Art. 636; 2007, N 50, Art. 6237; 2008, N 30, the Art. 3616) (daleesrochny contracts) under management (trust management):

1) assets of joint-stock investment funds and closed-end investment funds;

2) assets of open and interval mutual investment funds;

3) means of pension reserves of non-state pension funds;

4) means of pension accruals of non-state pension funds;

5) accumulatings for housing providing the military personnel.

The assets of investment fund, means of pension reserves of non-state pension fund, means of pension accruals of non-state pension fund or accumulating for housing providing the military personnel which are at managing company in management (trust management) under one agreement hereinafter are referred to as further as Assets.

1.2. This Provision establishes also cases in which for the asset account transactions of repo can be made (except for transactions of the repo made in case of receipt of money for exchange or repayment of investment shares in case of insufficiency of the money constituting this mutual investment fund and also transactions of the repo made due to accumulatings for housing providing the military personnel).

1.3. Property rights (daleefinansovy tools) according to the following terminal contracts can be part of Assets:

1) according to the terminal contracts providing obligation of the Parties to pay money in the amount of which depends on the change in price for underlying asset or values of underlying asset (daleevariatsionny margin), or to pay variation margin and to perform, including at the discretion of the parties, delivery (payment) of underlying asset (further - the futures contract);

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