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The document ceased to be valid since December 3, 2018 according to Item 8.2 of the Instruction of the Central bank of the Russian Federation of June 4, 2018 No. 187-I

It is registered

Ministry of Justice

Russian Federation

On August 20, 2015 No. 38621

INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of June 29, 2015 No. 164-I

About procedure for adoption by the Bank of Russia of the decision on state registration of non-state pension funds, about provision or about renewal of the license of non-state pension funds, procedure for maintaining the register of licenses of non-state pension funds, order of registration of rules (changes in rules) non-state pension funds

This Instruction based on 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"), 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, Art. 6154; No. 52, Art. 7543; 2015, No. 1, of the Art. 4, the Art. 37) establishes procedure for adoption by the Bank of Russia of the decision on state registration of non-state pension funds during their creation, including by reorganization, or in case of liquidation of non-state pension funds, about state registration of the changes made to the charter of non-state pension funds, requirements to procedure, terms and the application form and documents submitted for receipt of license for activities on provision of pensions and pension insurance (further - the license), procedure and terms of renewal of the license, procedure for maintaining the register of licenses of non-state pension funds and procedure for provision of statements from it, the procedure for provision of information about officials of non-state pension funds and order of registration governed (changes in rules) non-state pension funds.

Chapter 1. General provisions

1.1. The Bank of Russia makes the decision on state registration of non-state pension funds, performs interaction concerning state registration of non-state pension funds with the Federal Tax Service, its territorial authorities (further - authorized registering body), grants to non-state pension funds licenses, performs registration of rules of non-state pension funds (changes in them), keeps the register of licenses of non-state pension funds and the book of state registration of non-state pension funds (further - the Book of state registration of non-state pension funds) for the purpose of implementation of control and supervising functions.

Ledger maintenance of state registration of non-state pension funds is performed according to the procedure, No. 3492-U established by the Instruction of the Bank of Russia of December 16, 2014 "About procedure for ledger maintenance of state registration of non-state pension funds", by the registered Ministry of Justice of the Russian Federation on January 23, 2015 No. 35668 ("the Bulletin of the Bank of Russia" of February 9, 2015 No. 10) (further - the Instruction No. 3492-U).

1.2. The Bank of Russia makes the decision on state registration newly created (including as a result of reorganization in the form of allocation, separation, merge) non-state pension fund and grants the certificate of the Bank of Russia on state registration of non-state pension fund which shall contain full trade name, the registration number assigned to non-state pension fund according to the Book of state registration of non-state pension funds, the name of the body which assigned the primary state registration number and date of its assignment.

The document confirming license availability shall contain the complete and reduced (in the presence) trade name of non-state pension fund, the place of its stay, the primary state registration number, the name of the body which granted the license.

1.3. The certificate of the Bank of Russia on state registration of non-state pension fund and the license are issued on the form protected from counterfeits. The certificate of the Bank of Russia and the license are signed by the Chairman of the Bank of Russia or its deputy heading Committee of financial supervision of the Bank of Russia (person fulfilling its duties).

1.4. The documents provided by this Instruction go to the Bank of Russia (Department of the admission to the financial market) (further - authorized structural division) on papers.

The documents provided by this Instruction can be provided in electronic form (in the form of electronic documents), signed (signed) by the digital signature according to requirements of the Federal Law of April 6, 2011 No. 63-FZ "About the digital signature" (The Russian Federation Code, 2011, to No. 15, by Art. 2036; No. 27, Art. 3880; 2012, No. 29, Art. 3988; 2013, No. 14, Art. 1668; No. 27, Art. 3463, Art. 3477; 2014, No. 11, Art. 1098; No. 26, Art. 3390). The specified documents in electronic form (electronic documents) are recognized equivalent to the documents signed by the sign manual and provided on paper.

The documents submitted on the electronic medium (CD disk, the flash-store) are created in the form of files in formats ".pdf" or ".doc". Files shall be in root directory, at the same time the electronic medium shall not contain other directories and files, and also the electronic medium shall be protected from the subsequent record.

The documents sent to authorized structural division according to this Instruction are registered in the procedure established by the Bank of Russia and are stored according to the nomenclature of cases of the representative of structural division.

Chapter 2. Procedure for decision making about state registration of non-state pension fund under its organization

2.1. Until submission to authorized structural division of the documents specified in Item 2.4 of this Instruction, authorized structural division for the purpose of check of observance by founders of non-state pension fund of the requirements established by the Federal Laws including for the purpose of establishment of availability of identical names of other non-state pension funds in the Book of state registration of non-state pension funds establishes possibility of use by non-state pension fund of the names assumed complete corporate and reduced corporate (in the presence).

2.2. To the conclusion of the constitutive treaty (the agreement on creation) of non-state pension fund founders of non-state pension fund have the right to send to authorized structural division inquiry for possibility of use by non-state pension fund of the names assumed complete corporate and reduced corporate (in the presence) (in Russian).

2.3. The authorized structural division within five working days from the date of receipt of the request specified in Item 2.2 of this Instruction sends to founders of non-state pension fund the written message containing the conclusion about possibility of use of the names of non-state pension fund assumed complete corporate and reduced corporate (in the presence).

The specified message is valid within twelve months from the date of its direction.

2.4. For adoption by the Bank of Russia of the decision on state registration the following documents go to authorized structural division with the cover letter.

2.4.1. The statement for state registration of the non-state pension fund created in the form of joint-stock company constituted in the form established according to the Federal Law of August 8, 2001 No. 129-FZ "About state registration of legal entities and individual entrepreneurs" (The Russian Federation Code, 2001, No. 33, Art. 3431; 2003, No. 26, Art. 2565; No. 50, Art. 4855; No. 52, Art. 5037; 2004, No. 45, Art. 4377; 2005, No. 27, Art. 2722; 2007, No. 7, Art. 834; No. 30, Art. 3754; No. 49, Art. 6079; 2008, No. 18, Art. 1942; No. 30, Art. 3616; 2009, No. 1, Art. 19, Art. 20, Art. 23; No. 29, Art. 3642; No. 52, Art. 6428; 2010, No. 21, Art. 2526; No. 31, Art. 4196; No. 49, Art. 6409; No. 52, Art. 7002; 2011, No. 27, Art. 3880; No. 30, Art. 4576; No. 49, Art. 7061; 2012, No. 14, Art. 1553; No. 31, Art. 4322; No. 53, Art. 7607; 2013, No. 26, Art. 3207; No. 30, Art. 4084; No. 44, Art. 5633; No. 51, Art. 6699; 2014, No. 14, Art. 1551; No. 19, Art. 2312; No. 30, Art. 4217, Art. 4242; 2015, No. 1, Art. 10, Art. 42; No. 13, the Art. 1811) (further - the Federal Law "About State Registration of Legal Entities and Individual Entrepreneurs") (in duplicate).

The forms of notifications or statements established according to the Federal Law "About State Registration of Legal Entities and Individual Entrepreneurs" (further - the established forms).

2.4.2. The charter of non-state pension fund (original) (in triplicate) which shall conform to the requirements established by the Federal Laws and which title page is drawn up according to appendix 1 to this Instruction.

2.4.3. The protocol of general meeting of founders (the decision of the single founder) (original) of non-state pension fund (in triplicate) containing the following decisions:

about creation of non-state pension fund;

about approval of its full corporate and reduced trade name, the location;

about approval of the charter of non-state pension fund;

about approval of candidacies to positions of sole executive body, members of collegiate executive body, the controller and the chief accountant of non-state pension fund;

about election of board members (supervisory board) of non-state pension fund;

about approval of money value of deposits of founders to the authorized capital of non-state pension fund.

2.4.4. Complete list of founders (shareholders) of non-state pension fund (appendix 2 to this Instruction).

2.4.5. Certified by sole executive body of non-state pension fund or person of the copy of constituent documents of founders of non-state pension fund authorized by general meeting of founders - legal entities or the copy of their constituent documents issued by authorized registering body.

The copy of the extract from the Unified State Register of Legal Entities and Individual Entrepreneurs certified by sole executive body of non-state pension fund or person authorized by general meeting of founders of non-state pension fund concerning the founder of non-state pension fund - physical person.

The copy of annual accounting (financial) accounts of founders of non-state pension fund certified by sole executive body of non-state pension fund or person authorized by general meeting of founders of non-state pension fund - legal entities for the last three calendar years with appendix of audit opinions about reliability of such reporting (if the legal entity performs activities less than three years, then from the moment of state registration of this legal entity).

2.4.6. Certified by sole executive body of non-state pension fund or the copy of the document issued by the federal antimonopoly authority and confirming satisfaction of the petition for issue of consent to creation of non-state pension fund authorized by general meeting of founders of non-state pension fund person (if according to the Federal Laws creation of non-state pension fund requires prior consent of federal antimonopoly authority).

If according to the Federal Laws creation of non-state pension fund is performed with the subsequent notification of federal antimonopoly authority, the copy of the adequate notice certified by sole executive body of non-state pension fund or person authorized by general meeting of founders of non-state pension fund and also certified by sole executive body of non-state pension fund or person authorized by general meeting of founders of non-state pension fund the copy of the notification of the federal antimonopoly authority sent according to part 2 of article 31 of the Federal Law of July 26, 2006 to No. 135-FZ "About protection of the competition" shall be provided to authorized structural division (The Russian Federation Code, 2006, No. 31, Art. 3434; 2007, No. 49, Art. 6079; 2008, No. 18, Art. 1941; No. 27, Art. 3126; No. 45, Art. 5141; 2009, No. 29, Art. 3601, Art. 3610; No. 52, Art. 6450, Art. 6455; 2010, No. 15, Art. 1736; No. 19, Art. 2291; No. 49, Art. 6409; 2011, No. 10, Art. 1281; No. 27, Art. 3873; No. 27, Art. 3880; No. 29, Art. 4291; No. 30, Art. 4590; No. 48, Art. 6728; No. 50, Art. 7343; 2012, No. 31, Art. 4334; No. 53, Art. 7643; 2013, No. 27, Art. 3436, Art. 3477; No. 30, Art. 4084; No. 44, Art. 5633; No. 51, Art. 6695; No. 52, Art. 6961, Art. 6988; 2014, No. 23, Art. 2928; No. 30, Art. 4266).

2.4.7. The documents necessary for registration of the first share issue of non-state pension fund provided by the Provision of the Bank of Russia of August 11, 2014 No. 428-P "About standards of issue of securities, procedure for state registration of release (additional release) of issued securities, state registration of reports on release results (additional release) of issued securities and registration of prospectuses of securities", the registered Ministry of Justice of the Russian Federation on September 9, 2014 No. 34005 ("the Bulletin of the Bank of Russia" of October 6, 2014 No. 89-90).

2.4.8. The document confirming payment of the state fee for state registration of non-state pension fund.

2.5. The documents specified in Item 2.4 of this Instruction are represented to authorized structural division no later than six months from the date of issue by the Bank of Russia according to article 7 of the Federal law "About Non-state Pension Funds" of prior consent to share acquisition of the non-state pension fund created by organization. The term of consideration of the documents specified in Item 2.4 of this Instruction shall not exceed two months from the date of submission of these documents.

In the presence of notes according to the submitted documents and (or) lack of complete set of the documents specified in Item 2.4 of this Instruction, the authorized structural division sends to the address of founders (issues to the authorized person of founders) non-state pension fund the notification on need of elimination of notes and (or) on submission of necessary documents in time which is not exceeding 14 working days. In case of violation of this term of submission of the corrected or additional documents the authorized structural division returns the documents submitted according to Item 2.4 of this Instruction, to founders of non-state pension fund with the written conclusion. In one copy each of the submitted documents remains in authorized structural division. In case of submission of documents in one copy these documents do not return.

The documents corrected and repeatedly submitted to authorized structural division specified in Item 2.4 of this Instruction are considered as again arrived and are considered in the procedure established by this Instruction.

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