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Ministry of Justice

Russian Federation

On December 11, 2014 No. 35146

INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of November 6, 2014 No. 157-I

About order of registration of rules of trust management of mutual investment fund and changes and amendments in them

(as amended on 20-12-2017)

This Instruction based on the paragraph of third Item 1 of article 19 of the Federal Law of November 29, 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, Art. 5731; 2010, No. 17, Art. 1988; No. 31, Art. 4193; 2011, No. 48, Art. 6728; No. 49, Art. 7040, Art. 7061; 2012, No. 31, Art. 4334; 2013, No. 26, Art. 3207; No. 27, Art. 3477; No. 30, Art. 4084; No. 51, Art. 6695, Art. 6699; 2014, No. 11, the Art. 1098) (further - the Federal Law "About Investment Funds"), the Federal Law of July 10, 2002 No. 86-FZ "About the Central bank the Russian Federation (Bank of Russia)" (The Russian Federation Code, 2002, No. 28, Art. 2790; 2003, No. 2, Art. 157; No. 52, Art. 5032; 2004, No. 27, Art. 2711; No. 31, Art. 3233; 2005, No. 25, Art. 2426; No. 30, Art. 3101; 2006, No. 19, Art. 2061; No. 25, Art. 2648; 2007, No. 1, Art. 9, Art. 10; No. 10, Art. 1151; No. 18, Art. 2117; 2008, No. 42, Art. 4696, Art. 4699; No. 44, Art. 4982; No. 52, Art. 6229, Art. 6231; 2009, No. 1, Art. 25; No. 29, Art. 3629; No. 48, Art. 5731; 2010, No. 45, Art. 5756; 2011, No. 7, Art. 907; No. 27, Art. 3873; No. 43, Art. 5973; No. 48, Art. 6728; 2012, No. 50, Art. 6954; No. 53, Art. 7591, Art. 7607; 2013, No. 11, Art. 1076; No. 14, Art. 1649; No. 19, Art. 2329; No. 27, Art. 3438, Art. 3476, Art. 3477; No. 30, Art. 4084; No. 49, Art. 6336; No. 51, Art. 6695, Art. 6699; No. 52, Art. 6975; 2014, No. 19, Art. 2311, Art. 2317; No. 27, Art. 3634; No. 30, of the Art. 4219) establishes order of registration of rules of trust management of mutual investment fund and registration of changes and amendments in them, including requirements to structure and content represented on document registration.

Chapter 1. The documents submitted by managing company for registration of rules of trust management of mutual investment funds and requirements to them

1.1. (Further - rules) only the organization having license for activities on management of investment funds, mutual investment funds and non-state pension funds (further - managing company) can be the applicant in case of registration of rules of trust management of mutual investment fund.

1.2. For registration of rules by managing company of mutual investment fund the following documents are submitted to the Bank of Russia (Department of the corporate relations (further - authorized division).

1.2.1. The application for registration of rules signed by person performing functions of sole executive body of managing company (other representative it person), and also containing request to register rules and confirmation of the fact that edited the text in electronic form on the optical carrier corresponds to the specified rules provided on paper according to appendix 1 to this Instruction.

1.2.2. Governed on paper (in duplicate) and the optical carrier.

1.2.3. The copy of the decision of managing company on approval of rules made according to constituent documents of managing company certified by managing company.

1.2.4. The copy of the contract of managing company with specialized depositary certified by managing company, data on which contain in rules.

1.2.5. The copy of the agreement on maintaining the register of owners of investment shares of the mutual investment fund signed by managing company with person performing maintaining such register, data on which contain in rules (further - person performing maintaining the register), certified by managing company.

1.2.6. The copy of the agreement on carrying out audit inspections signed by managing company with auditing organization, data on which contain in rules (further - the auditor of fund), certified by managing company.

The copies of the documents confirming membership of the auditor of fund in self-regulatory organization of auditors certified by managing company (the statement from the register of auditors and auditing organizations of self-regulatory organization of auditors).

The copy of the statement certified by managing company from the state register of self-regulatory organizations of auditors which member is the auditor of fund.

1.2.7. The list of securities (financial instruments, qualified and unqualified as securities) for calculation of index and method of calculation of index based on which the structure and structure of assets of index mutual investment fund operating for date of submission of documents on registration in the Bank of Russia (authorized division) is determined.

Requirements of this subitem are not applied if the index based on which the structure and structure of assets of index mutual investment fund is determined is the stock index or is specified in Item 12.7 of the Regulations on structure and structure of assets of joint-stock investment funds and assets of mutual investment funds approved by the order of FFMS of Russia of December 28, 2010 No. 10-79/pz-n registered by the Ministry of Justice of the Russian Federation on March 18, 2011 No. 20175, on June 24, 2011 No. 21157 (The bulletin of regulations of federal executive bodies of May 2, 2011 to No. 18, the Russian newspaper of July 4, 2011) (further - Regulations on structure and structure of assets).

1.2.8. The copies of documents, confirmatory data on foreign investment fund specified in rules according to Item 8.4 of the Regulations on structure and structure of assets certified by managing company and also the fact that the specified fund according to its personal law is index fund.

The documents provided by this subitem are provided if rules provide that only the assets provided by the subitem 1 of Item 8.1 of the Regulations on structure and structure of assets and shares (shares) of one foreign investment fund can be part of assets of mutual investment fund.

1.2.9. The copy of the contract for evaluating between managing company and the appraiser of mutual investment fund certified by managing company - the individual entrepreneur or the legal entity (further - the appraiser of fund).

The copies of the documents confirming membership of the appraiser of fund certified by managing company - the individual entrepreneur or appraisers who will perform assessment of property of mutual investment fund, signed the employment contract with the appraiser of fund - the legal entity, in self-regulatory organization of appraisers (the statement from the register of members of self-regulatory organization of appraisers).

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