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It is registered

Ministry of Justice

Russian Federation

On July 6, 2010 No. 17707

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

of March 18, 2010 No. 10-17/pz-n

About approval of the Regulations on procedure for maintaining the register of mutual investment funds and provision of statements from it

(as amended on 06-08-2013)

According to Item 8 of article 19 of the Federal Law of 29.11.2001 No. 156-FZ "About investment funds" (The Russian Federation Code, 2001, No. 49, Art. 4562; 2004, No. 27, Art. 2711; 2006, No. 17, Art. 1780; 2007, No. 50, Art. 6247; 2008, No. 30, Art. 3616; 2009, No. 48, the Art. 5731) 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 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, No. 12, Art. 1417; 2008, No. 19, Art. 2192; No. 46, Art. 5337; 2009, No. 3, Art. 378; to No. 6, of the Art. 738), I order:

1. Approve the enclosed Regulations on procedure for maintaining the register of mutual investment funds and provisions of statements from it.

2. The resolution of Federal Commission on Securities of Russia of April 27, 2002 No. 14/ps "About approval of procedure for maintaining the register of mutual investment funds" (it is registered in the Ministry of Justice of the Russian Federation 31.05.2002, registration No. 3481) not to apply from the effective date this order.

3. The order of FFMS of Russia of 11.11.2008 No. 08-50/pz-n "About procedure for provision of statements from the register of mutual investment funds" (it is registered in the Ministry of Justice of the Russian Federation 12.12. Registration No. 12841) from the effective date of this order to declare 2008, invalid.

Head

V.D.Milovidov

 

Approved by the Order of the Federal Service for Financial Markets of the Russian Federation of March 18, 2010 No. 10-17/pz-n

Regulations on procedure for maintaining the register of mutual investment funds and provision of statements from it

I. General provisions

1.1. This Provision regulates questions of forming and maintaining the register of mutual investment funds, rules of trust management of which are registered by federal executive body on the security market.

1.2. The federal executive body on the security market keeps the register of mutual investment funds (further - the register) containing the list of data on mutual investment funds established by this Provision.

1.3. Introduction of data on mutual investment fund (further Fund) in the register is performed based on the solution of federal executive body on the security market about registration of rules of trust management of such Fund no later than three working days from the moment of its acceptance.

1.4. The exception of Fund of the register is performed based on the solution of federal executive body on the security market about exception of Fund of the register no later than three working days from the moment of its acceptance.

The exception of Fund of the register is performed only in the following cases:

a) in case, stipulated in Item 2 articles 32 of the Federal Law of 29.11.2001 No. 156-FZ "About investment funds" (further - the Federal Law "About Investment Funds");

b) in case of receipt of the notification, the stipulated in Item Federal Law "About Investment Funds" of the 20th Article 13.2, and the documents confirming return of property, and also the income, including income and payments for the securities, faces which transferred him to payment of investment shares of Fund (if the property was transferred to payment of investment shares of Fund);

c) in case of receipt of the report, the stipulated in Item Federal Law "About Investment Funds" of the 7th Article 22.1;

d) in case of receipt of the notification, stipulated in Item 19.1 articles 13.2 of the Federal law "About Investment Funds", and also the documents confirming return of the property transferred to payment of investment shares of Fund, and the income, including the income and payments for the securities, faces which transferred the specified property to payment of investment shares of Fund.

1.5. The federal executive body on the security market makes changes and additions to the data containing in the register no later than three working days from the date of adoption of the relevant decision of federal executive body on the security market or obtaining from managing company of information on changes of the data which are earlier entered in the register.

II. The data included in the register

2.1. The information about Fonda which includes:

a) complete and short name of Fund, type and category of Fund, and also all previous names of Fund;

b) date of completion (termination) of forming of Fund;

c) date (dates) and basis (bases) of suspension (renewal) of issue, repayment and exchange of investment shares of Fund;

d) basis of the termination and date of emergence of the basis of the termination of Fund;

e) specifying on the fact that investment shares of Fund are intended for skilled investors (if investment shares of Fund are limited in turnover).

2.2. Data on rules of trust management of Fund which include:

a) the registration number assigned by federal executive body on the security market and registration date of rules of trust management of Fund of federal executive body for the security market;

b) the registration number assigned by federal executive body on the security market and registration date federal executive body on the security market of changes and amendments in rules of trust management of Fund;

c) registration dates of the changes and amendments in rules of trust management of Fund connected with assignment of rights and obligations of managing company to other legal entity;

d) duration of the agreement of trust management of Fund.

2.3. Data on managing company of Fund (further - managing company) which include:

a) full trade name of managing company, license number on implementation of activities for management of investment funds, mutual investment funds and non-state pension funds.

2.4. Data on auditing organization with which the managing company signs the agreement on audit which include:

a) full trade name of auditing organization;

b) location of auditing organization;

c) postal address of auditing organization;

d) contact phone number of auditing organization;

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