INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of June 29, 2015 No. 166-I

About procedure for licensing of joint-stock investment funds, managing companies and specialized depositaries, procedure for maintaining the register of licenses of joint-stock investment funds, the register of licenses of managing companies and the register of licenses of specialized depositaries, the notification procedure of the Bank of Russia about change of information about officials of joint-stock investment fund, managing company and specialized depositary

This Instruction based on 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, 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, Art. 4219; No. 45, Art. 6154; No. 52, Art. 7543; 2015, No. 1, of the Art. 4, the Art. 37) establishes procedure for provision to joint-stock investment funds of license for activities of investment fund, managing companies of license for activities on management of investment funds, mutual investment funds and non-state pension funds and specialized depositaries of license for activities of specialized depositary of investment funds, mutual investment funds and non-state pension funds, procedure for renewal of the document confirming availability of the license of joint-stock investment fund, the license of managing company, the license of specialized depositary (further in case of joint mentioning - the license), the requirement to the document form confirming license availability, procedure for maintaining the register of licenses of joint-stock investment funds the register of licenses of managing companies and the register of licenses of specialized depositaries (further in case of joint mentioning - the register of licenses) and issues of statements from the register of licenses, and also the notification procedure of the Bank of Russia about change of information about officials of joint-stock investment fund, managing company and specialized depositary.

Chapter 1. General provisions

1.1. Documents for receipt of the license, renewal or issue of the duplicate of the document confirming availability of the license, issue of the statement from the register of licenses and also for entering of data into the register of licenses go to the Bank of Russia (Department of the admission and termination of activities of the financial organizations (further - authorized structural division).

1.2. The license allows to perform the licensed type of activity from the date of its provision in all territory of the Russian Federation.

1.3. The document confirming license availability is issued on the form of the Bank of Russia protected from counterfeits (further - the form of the license).

The form of the license shall contain the complete and reduced (in the presence) trade names of the organization, the location, type of activity on which implementation the license, date of issue, license number, the primary state registration number (PSRN), the identification taxpayer number (ITN) is granted.

Chapter 2. Procedure for document creation, represented for receipt of the license or renewal of the form of the license

2.1. The documents submitted to the Bank of Russia (authorized structural division) for receipt of the license or renewal of the form of the license are drawn up in the form of appendix to the statement for provision of the license or to the statement for renewal of the document confirming license availability.

The documents specified in Items 4.4 and 4.6 of this Instruction are represented to the Bank of Russia (authorized structural division) with the cover letter. The first page of the cover letter shall contain reference number of the document and date of its assignment.

In the cover letter number and date of the corresponding statement (request) in addition to which (according to which) documents, and also specifying go to the list of documents which enclose to the cover letter shall be specified.

2.2. The original document, represented according to this Instruction the license applicant or the licensee, can be replaced with its notarized copy. The copies of documents represented to the Bank of Russia on behalf of physical person also shall be notarized.

2.3. The documents submitted to the Bank of Russia (authorized structural division) by the legal entity are signed by its sole executive body (with indication of the name of position, initials and surname) and sealed (in case of its availability). If the documents submitted to the Bank of Russia (authorized structural division) by the legal entity are signed by other authorized person of the applicant, then the copy of the document, the confirming power of the person which signed the submitted documents which is properly certified by sole executive body of the applicant and containing the words "True copy", date of assurance, position of person who certified the copy, its signature, disaggregation of the signature and seal of the legal entity (shall be attached to them in case of its availability).

The physical person signs the documents submitted to the Bank of Russia (authorized structural division), with own hand, specifying signature date of the document, surname, name, middle name (the last - in the presence) according to the identity document.

2.4. In the documents submitted to the Bank of Russia and containing more than one leaf, sheets shall be numbered, stitched and fastened on the back the last leaf by zaveritelny text with indication of figures and the copy-book of number of the numbered sheets signed by her originator with indication of the name of position, surname, name, middle name (the last - in the presence) and dates of creation.

The signature of the originator of zaveritelny text shall be certified by the applicant's seal - the legal entity (in case of its availability).

2.5. The first page of the document which is subject to statement of the applicant by authorized body shall contain signature stamp of approval of the document: name of authorized body, number and date of the decision on approval.

2.6. The documents established by this Instruction can be represented also in the form of the electronic documents 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, No. 15, 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).

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

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