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Ministry of Justice

Russian Federation

On December 24, 2014 No. 35347

PROVISION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of November 24, 2014 No. 441-P

About assessment of conformity of activities of non-state pension fund to requirements to participation in system of guaranteeing the rights of insured persons

(as amended of the Instruction of the Central bank of the Russian Federation of 26.01.2016 No. 3946-U)

This Provision based on articles 19 and 20 of the Federal Law of December 28, 2013 No. 422-FZ "About guaranteeing the rights of insured persons in system of mandatory pension insurance of the Russian Federation during the forming and investment of means of pension accruals, establishment and implementation of payments at the expense of means of pension accruals" (The Russian Federation Code, 2013, No. 52, Art. 6987; 2014, No. 30, the Art. 4219) (further - the Federal Law of December 28, 2013 No. 422-FZ), 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, Art. 4219; No. 45, of the Art. 6154) (further - the Federal Law "About the Central Bank Russian Federation (Bank of Russia)") establishes structure of the indicators used by the Bank of Russia in case of assessment of conformity of activities of non-state pension fund (further - fund) to requirements to participation in system of guaranteeing the rights of insured persons (further - indicators), techniques of their calculation and determination of result on indicators, and also procedure for consideration by the Bank of Russia of the petition for pronouncement by the Bank of Russia of the conclusion about compliance of fund to requirements to participation in system of guaranteeing the rights of insured persons (further - the petition).

Chapter 1. Structure of indicators, techniques of their calculation and determination of result on indicators

1.1. Including about its activities and about persons holding shares of fund and about physical persons which directly or indirectly exercise control of the legal entities who are shareholders of fund treat the indicators reflecting disclosure of information on fund:

availability on the official site of fund on the Internet of information, available to acquaintance of interested persons, which is subject to disclosure according to requirements of articles 35.1 and 35.3 of the Federal Law of May 7, 1998 No. 75-FZ "About non-state pension funds" (The Russian Federation Code, 1998, No. 19, Art. 2071; 2001, No. 7, Art. 623; 2002, No. 12, Art. 1093; 2003, No. 2, Art. 166; 2004, No. 49, Art. 4854; 2005, No. 19, Art. 1755; 2006, No. 43, Art. 4412; 2007, No. 50, Art. 6247; 2008, No. 18, Art. 1942; No. 30, Art. 3616; 2009, No. 29, Art. 3619; No. 48, Art. 5731; No. 52, Art. 6450, Art. 6454; 2010, No. 17, Art. 1988; No. 31, Art. 4196; 2011, No. 29, Art. 4291; No. 48, Art. 6728; No. 49, Art. 7036, Art. 7037, Art. 7040, Art. 7061; 2012, No. 31, Art. 4322; No. 47, Art. 6391; No. 50, Art. 6965, Art. 6966; 2013, No. 19, Art. 2326; No. 30, Art. 4044, Art. 4084; No. 49, Art. 6352; No. 52, Art. 6975; 2014, No. 11, Art. 1098; No. 30, the Art. 4219) (further - the Federal Law "About Non-state Pension Funds");

availability on the official site of fund on the Internet of information, available to acquaintance of interested persons, on final owners of fund (physical persons, public economic societies which, eventually, directly or indirectly (through the third parties) own (have prevailing (more than 25 percent) equity participation) fund or have opportunity to control action of fund) updated no later than 10 working days from the date of change of the specified information including the following data:

the data allowing to identify the final owner of fund;

share fraction, controlled by the final owner of fund, in the authorized capital (separately at par value and percentage of the size of the authorized capital);

the description of circumstances (bases) according to which person is recognized as the final owner of fund.

1.2. The conclusion of the agreement (contracts) of trust management with the managing company (managing companies) conforming (conforming) to the requirement of the paragraph of the sixteenth of article 36.14 of the Federal law "About Non-state Pension Funds" belongs to the indicator reflecting conflict management of interests in case of investment of means of pension accruals and pension reserves.

1.3. Treat the indicators reflecting requirements to qualification and goodwill of members of governing bodies and goodwill of shareholders of fund:

compliance of person performing functions of sole executive body of fund, to the requirements established by the subitem 1 of item 4 of article 6.2 of the Federal law "About Non-state Pension Funds";

absence among the shareholders of fund owning more than 10 percent of shares of fund, persons holding positions of the head, chief accountant or deputy chief accountant of credit institution or not credit financial credit institution within 12 months preceding day of introduction according to the decision of the Bank of Russia of temporary administration on management of credit institution or not credit financial credit institution with suspension of powers of executive bodies (except for persons who produced in the Bank of Russia the evidence of non-participation in decision making or making of actions (failure to act) who led to appointment of temporary administration).

1.4. Observance by fund of the sufficiency of own fund and assets specified in Item 1.7 of this provision in which means of pension accruals, for date of creation of the accounting records specified in paragraph seven of Item 2.1 of this provision are invested belongs to the indicator reflecting sufficiency of own means and assets constituting means of pension accruals.

1.5. Treat the indicators reflecting requirements to the organization of investing activities:

compliance of structure and structure of assets in which means of pension accruals, to requirements of the legislation of the Russian Federation to structure and structure of assets of funds in which means of pension accruals are invested are invested;

availability on the official site of fund on the Internet of interested persons, available to acquaintance, of the requirements approved by fund to which there shall correspond the managing company and specialized depositary for the conclusion with fund of the trust management agreement and service provision agreement of specialized depositary, procedure for the choice and refusal of services of managing company and specialized depositary.

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