Key Benefits:
RUSSIAN FEDERATION
FEDERAL LAW
About investment funds
Adopted by the State Duma 11 October 2001
Approved by the Council of the Federation November 14, 2001
(reed. The Federal Act of June 29 N 58-FZ-
Russian Federation Law Assembly, 2004, N 27, st.
2711; of the Federal Act of April 15, 2006. N 51-FZ Meeting
Russian Federation Federation, 2006, N 17, st. 1780;
Federal Law From 6 December 2007 N 334-FZ-Assembly
Russian Federation Federation, 2007, N 50, st. 6247;
Federal Law of July 23 2008 N 160-FZ- -Collection
Russian Federation Federation, 2008, N 30, st. 3616;
Federal Law of Nov. 25 2009 N 281-FZ
Russian Federation Federation, 2009, N 48, st. 5731;
Federal Law of April 2010 N 65-FZ -Assembly
Russian Federation Federation, 2010, N 17, st. 1988;
Federal Law of 27 July 2010 N 224-FZ - Collection
Russian Federation Federation, 2010, N 31, st. 4193;
Federal Law of 4 October 2010 N 264-FZ Assembly
Russian legislation Federation, 2010, N 41, st. 5193;
Federal Law 21 November 2011 N 327-FZ -Collection
Russian Federation Federation, 2011, N 48, st. 6728;
Federal Law of Nov. 30 2011 N 362-FZ-Assembly
Russian Federation Federation, 2011, N 49, st. 7040;
Federal Law of 3 December 2011 N 383-FZ Assembly
Russian legislation Federation, 2011, N 49, st. 7061;
Federal Law of July 2012 N 145-FZ -Collection
Russian legislation Federation, 2012, N 31, st. 4334;
Federal Law of 28 June N 134-FZ -Collection
legislation of the Russian Federation 2013, N 26, st. 3207;
Federal Law July 2013 N 185-FZ -Collection
Russian Federation legislation, 2013, N 27, st. 3477;
Federal Law July 2013 N 251-FZ -Assembly
Russian Federation Federation, 2013, N 30, st. 4084;
Federal Law of 21 December N 375-FZ-Assembly
Russian legislation Federation, 2013, N 51, st. 6695;
Federal Law of December 2013 N 379-FZ-Assembly
Russian Federation Federation, 2013, N 51, st. 6699;
Federal Law of March 2014 N 33-FZ
ToRussian legislation Federation, 2014, N 11, st. 1098;
Federal Law of June 2015 N 210-FZ -Collection
Russian Federation legislation, 2015, N 27, st. 4001;
Federal Law of July 2015 N 231-FZ -Collection
Russian Federation Federation, 2015, N 29, st. 4357;
Federal Law 30 December 2015 N 427-FZ-Assembly
Russian legislation, 2015, N, st. )
CHAPTER I. GENERAL PROVISIONS
Article 1: Regulated relationships
Federal Law
This Federal Law regulates relations, related to
Attracting Money and Other Properties by Location
shares or concluding contracts of trust for purposes
joins and subsequent investments in objects defined in
compliance with this Federal Law and Control
(trust management) investment of funds,
accounting, of investment funds and control
to dispose of the specified property.
Investment Fund-held in ownership
company or in shared of physical and
property complex, use and disposal
which is implemented by only in
Shareholders ' Shareholders' or Founders '
trust management.
This law does not apply to relations
related to the investment of other
funds, if they do not match the signs of equity investment
funds (Article 2 of this Federal Law) and (or) topics
investment funds (article 10 of this Federal
law).
CHAPTER II. ACTIVE INVESTMENT FUND
Article 2: The concept of equity investment fund
1. Shareholders ' investment - company
Exclusive
isinvestment property in and other objects
Federal The Federal Branding
name of which contains " Shareholdings investment
fund " or" investment fund " (under Federal Act of 29
June 2015 N 210-FZ - The Russian Law
Federation, 2015, N 27, st. 4001).
Other legal has the right to use in
< investment or
"investment fund" in any combination, except
Theprovided by this Federal Law.
The Joint Stock Investment Fund is not -free
business activities.
2. Joint Stock Investment Fund has the right to run
only permissions
(licenses).
3. The Shareholdings of the Federal Federal < >
equity equity investment
features defined by this Federal Law.
Article 3: Shareholdings Investment Fund
1. The equity investment of the investment
fund on the date view of documents for obtaining licenses
of the investment fund (hereafter referred to as a license)
equity investment must match
requirements, by the Russian (in Ed. Federal
Act of 23 July 2013 N 251-FZ - The Law Collection
Russian Federation, 2013, N 30, est. 4084).
2. The investment of the fund cannot
is a specialized depot, logger, audit
organization, and also a physical or legal person,
July 1998 N 135-FZ On assessment activities in the Russian
Federation " may contract to conduct an assessment (hereinafter -
evaluator if in
appropriate contracts with this equity investment
(Ind. Federal Act of 28 July 2012 N 145-FZ-Assembly
Russian legislation, 2012, N 31, article 4334).
3. Joint Stock Investment Fund is divided
for property, for investing (investment
reserves) and property to support activities
and other equity investment
fund, in the ratio, of the Shareholdings
investment fund.
4. Shareholdings Investment of the Shareholdings Investment Fund
(remainder of stock investment of fund) should be
passed in trust for the company
corresponding requirements of the Federal of the law,
exception to the case provided for in paragraph 6 of this Article.
5. For operations on operations, based on
management of the stock investment of the fund
opens a separate bank account (accounts), a
counting rights on pieces of paper, parts of stock
investment fund, separate account (s) depot. Such accounts, for
exception of cases of Russian
federations, are opened in the name of the management company with
, that it acts as a trustee, , and c
an indication of the name of the equity investment fund.
6. In the company
corresponding requirements of the Federal
of Single Executive
Shareholdings investment company
acquires rights and responsibilities for managing equity assets
Aninvestment fund based on the specified of the contract. This
for Calculations for operations on equity investment assets
fund opens (opening) separate bank account (accounts),
to register securities that make up shareholdings
investment fund, a separate account (s) . These accounts
opens to the name of the equity investment fund.
7. The stock investment is required to
interacting with recorder, with specialized depositary
and with the management company, performing trusted management
assets of equity investment documents in
Theelectronic form, signed by , of the signature. View
agreement between members of the electronic interaction (to the red.
Federal Law of March 2014 N 33-FZ
ToRussian legislation, 2014, N 11, st. 1098).
8. The stock investment is required to have a site on the network
Internet, The e-mail address includes a domain name, rights
belong to this foundation.
9. Stock investment is required to
ability to provide electronic documents to the Bank of Russia, a
also the ability to retrieve electronic documents from the Bank of Russia
in order, set by the Bank of Russia (item 9)
of 13 July 2015 N 231-FZ-Legislative Assembly Russian Federation, 2015, N 29, st. 4357, takes effect from 9 February 2016). (Article 3 ) Federal Act of 6 December 2007 N 334-FZ-Collections of Russian Federation Federation, 2007, 50, Art. 6247) Article 4: Disposition of equity investment fund 1. Stock Investment Fund not Right to Place Other valuable paper, other than common shares (in . Federal Law of June 2015 N 210-FZ - Collection Russian legislation, 2015, 4001).
2. The company's company, whose name is
contains " equity investment or
"investment fund", of the Shareholdings
investment of foundation, right to implement
additional stock and other of the (in red.
Federal Law of June 2015 N 210-FZ -Collection
Russian legislation, 2015, 4001).
3. Shareholdings of Equity Fund may be paid
only or property,
investment declaration. Incomplete of these shares
hosting is not allowed.
(Article 4 -Ed. Federal Act of 6 December 2007 N
334-FZ-Collections of Russian Federation Federation, 2007,
50, Art. 6247)
Article 4-1. Stocks of equity investment fund,
for qualified
investors
1. The investment investment of the can
provided, in cases, by regulations
Russia, must provide this stock
targets for qualified investors. Reintroduction
equity investment fund or elimination direction
for , that shares in the equity investment fund are intended
for trained investors, after shares
fund is not allowed. Federal Act of 23 July 2013
N 251-FZ-Legislative Assembly of the Russian Federation, 2013, N
30, article 4084).
2. Shareholdings of Shareholdings of the fund,
for investors (remainder-shares, limited in
turnover), can only belong to qualified investors.
The constraint must be contained in the appropriate solution
to issue stock of such equity investment fund.
3. Transactions with stocks limited in circulation
with and rules
Federal Law of April 22, 1996 N 39-FZ "On the Securities Market"
papers " (next-Federal notes law ) for
securities for qualified investors.
(Article 4-1 was introduced by Federal Law of December 6, 2007). N
334-FZ -Collection of Russian legislation, 2007, N
50, Art. 6247)
Article 5: Stock out equity investment
foundation
Shareholders of the equity fund are entitled to require
cases
Federal Law "On joint-stock companies", and in
Shareholdings Shareholders Meeting
investment investment declaration, if
voted against of the corresponding
took part in the vote on this issue. In if
Shareholdings Foundation approval
investment declaration (changes and additions to it) has been assigned to
board of directors (supervisory board), shareholder
may face demand to buy shares in 45-day with
dates for the Board
(tip )corresponding solution.
Shareholdings of of the Shareholders ' Investment Fund
in order, Federal Law
"About joint-stock companies".
Article 6: Charter and investment declaration
equity investment fund
Shareholdings investment in
Provisions, Federal On Shareholdings
societies ", must include a provision for that is exclusive
of this investment fund
subject
property investment, defined according to
true Federal and in its investment
declarations.
Investment declaration, changes or to
approved by general Shareholders Meeting
investment fund, if its approval is not classified by its charter
}
fund. Investment declaration, all or
10-day day
is represented in the Bank of Russia. Federal Act of 23 July
2013 N 251-FZ-Assembly of Russian legislation,
2013, N 30, article 4084).
In the case, if of the equity investment of the fund
approve an investment declaration (changes and
it) attributed to the board of directors (observatory
board of the equity investment fund, investment
declaration with changes
reported to shareholders of this equity investment
10-day day
(supervisory board) of relevant changes and additions to in order provided for public meeting message shareholders. Shareholdings Investment of the fund, non-public A Stock Society, cannot contain provisions, which according to the Russian Federation Civil Code and The Federal Law on Joint Stock Companies may contain only in the bylaws of a non-public joint-stock company (Part of was introduced Federal Law of June 2015 N 210-FZ -Collection Russian legislation, 2015, 4001).
Article 7. Conduct a General Shareholders Meeting
equity investment fund
1. General Shareholders Shareholders of the Investment
fund conformance with Federal
"About Stock Societies" with Installed Features
true article.
2. Solution of Shareholders Meeting Shareholders
investment fund can be accepted by distance
voting on Any Matters Related to the Common
Shareholders Meeting.
3. Written notification of shareholders ' general meeting
stock investment fund is directed to a specialized
depository, appraiser and audit organization in order, form and
dates, of which are provided for by the Federal Law " On joint-stock
societies " and by the equity investment for
Notify Shareholders ' of the investment fund
Federal Law of 28 July 2012 N 145-FZ -Collection
Russian legislation, 2012, N 31, article 4334).
4. The Rebuild Shareholder Shareholders Meeting
investment fund instead of due to
no quorum, for general shareholders meeting,
agenda item included reorganizing and eliminating
stock investment of the fund, of the assignment of the liquidation
Commissions, o changes in investment
declaration, entitlement regardless of shareholders,
accepted in to participate in it. Federal Act of 6 December
2007 N 334-FZ-Assembly of Russian legislation,
2007, N 50, article 6247).
Re-shared Shareholders Meeting
investment fund with more than 10 shareholders, convened
replacement of failed due to commit
General
Shareholdings Shareholdings, entitled
regardless of the number of shareholders that participated in it.
5. The Shareholder Shareholders Meeting
fund can be made a decision to apply to the Bank of Russia's
about from the investment investment of the investment
firm name of the words "equity investment fund" or
"investment fund". This decision is taken by the general
shareholders by all shareholders unanimously ( 5
Federal Law of June 2015 N 210-FZ - Collection
Russian legislation, 2015, 4001).
Article 8: Board of Directors (Supervisory Board)
Shareholdings
investment fund
1. Exercise the executive
equity investment and in tip
(tip board and The
executive of the Shareholdings Investment Fund cannot
:
1) Depot, logger,
audit of the equity investment fund,
- of the legal of the person, of the attracted
organizations for ( Services
civil-legal treaties, Shareholdings
Theinvestment fund is an individual. Federal Law
dated July 28, 2012 N 145-FZ-Legislative Assembly of Russian
Federation, 2012, N 31, article 4334);
2) Affiliated of the Depot Depot
registrar, of the audit of the Shareholdings
investment fund (in the investment fund) Federal Act of 28 July 2012
g. N 145-FZ-Assembly of Russian legislation, 2012,
N 31, article 4334);
3) individuals who have Single
executive or included in composition of
executive organ of company, specialized
depository, of an equity investment fund, professional
market participant Securities, Credit of the organization, insurance
organization, of a non-state of the fund (
financial organization in financial
violations, revoked
licenses for the appropriate activities, if
less than three years past the date of such cancellation;
4 persons who have not expired during
they are considered to be punished by as
disqualification;
5) convicted felony convictions.
2. Affiliates of the Managing Company as well as Workers
company or of its affiliated faces, including
civil-legal treaties, may not can be more than one
fourth from members (observatory
council) and executive of the Shareholdings
investment fund.
3. Person of the Single Executive Function
equity investment fund, except
control's control,
have higher education and correspond to set by
Russian Qualification Requirements
professional experience (ed.) Federal Act of 2 July 2013
g. N 185-FZ-Assembly of Russian legislation, 2013,
N27, st. 3477; Federal Act of 23 July 2013 N 251-FZ-
The legislation of the Russian Federation, 2013, N 30, st.
4084).
4. The equity investment is required to send the investment to the Bank
Russia Change
(supervisory board) and of the Shareholdings
fund no later than days
offensive of the events (in the red. Federal Act of 23
July 2013 N 251-FZ - The legislature
Federation, 2013, N 30, st. 4084).
5. The notification referred to in paragraph 4 of this article
included documents ( copies), a list of which is defined
The Bank of Russia's normative acts (to the red of the Russian Federation). Federal Act of 23
July 2013 N 251-FZ - Collection of the Law of the Russian
Federation, 2013, N 30, st. 4084).
6. directors
Joint Stock Investment Fund(Supervisory
)with questions Federal
joint-stock companies ", includes decision making and
termination of relevant contracts with a management company,
specialized depository, with logger,
audit organization (under Ed. The federal law of July 28
2012 N 145-FZ-Assembly of Russian Legislation,
2012, N 31, article 4334).
(Article 8 ) Federal Act of 6 December 2007 N
334-FZ-Collections of Russian Federation Federation, 2007,
50, Art. 6247)
Article 9: Reorganizing and Eliminating Shareholdings
investment fund
1. Reorganization of the investment of the fund in the form
merges, splitting and selection allowed
reorg will be created (will be )
{ joint-stock investment fund}
2. Reorganization of the investment of the fund in the form
is allowed to join
equity investment investment
equity investment (equity-owned investment
funds).
3. Reorganization of the Shareholdings of the fund in
conversion is not allowed.
4. In voluntary shareholding
hedge fund liquidation commission (liquidator)
fund is assigned by to the Russia (in .
Federal Law July 2013 N 251-FZ -Assembly
Russian legislation, 2013, N 30, sect. 4084).
5. reorg
stock equity must Notify of Russia
later five working days from the date of the specified decision. (in
Federal Law of 23 July 2013 N 251-FZ - Collection
Russian legislation, 2013, N 30, sect. 4084).
6. The notification referred to in paragraph 5 of this article
included copy of the decision (s)
reorganization or liquidation, copy (copies) of bylaws (bylaws) again
created investment of the fund
(equity investment funds), trusted
Theorgan of the equity investment fund.
7. Deploying shares of
reorganizing Shareholdings investment funds, in
form of merge, splitting and highlighting can only be done
after shares of such funds and
getting of the investment investment
Created by joint-stock companies.
8.
Liquidation of the investment bank of the Bank of
to be tried by the court or to join the case for
initiative or on the initiative of the persons involved in the case. (in red.
Federal Law of 23 July d N 251-FZ - Collection
Russian legislation, 2013, N 30, sect. 4084).
(Article 9 -Ed. Federal Act of 6 December 2007 N
334-FZ-Collections of Russian Federation Federation, 2007,
50, Art. 6247)
CHAPTER III. INVESTMENT FOUNDATION
Article 10: Understanding the mutual investment fund
1. The investment fund - separate property
complex, of property, of in trust
of the parent company (founders)
trust management with a condition to combine this property with
other trusts of control, , and from
property, of the resulting control, a share in the law
property to be authenticated with a security, issued
control company.
The investment fund is not a legal entity.
2. The investment
(individual symbol), identifying it relative to other mutual investment funds. No for -Controls
investment fund, cannot include money
other property, using the word investment fund " in
any combination.
3. (individual symbol)
investment of the fund should contain
structure of its assets (further- category equity investment
fund) in accordance with Bank of Russia regulations and cannot
contain unethical, unethical, knowingly false, hidden or
introducing in Information ( 3 )
Act of December 6, 2007 N 334-FZ-Assembly Russian Federation, 2007, N 50, st. 6247; in red. Federal Act of 23 July 2013 N 251-FZ - The Law Collection Russian Federation, 2013, N 30, est. 4084).
Article 11. Pev Trust Contract
investment fund
1. mutual trust mutual trust
investment fund (hereafter of the trust
mutual investment fund) is defined by the management company in
standard forms and can be accepted by the founder of trust
only by attaching to the specified contract in
target.
Joining
} payevtrust
investment is implemented by syndication
investment s of the investment of the fund
investment s , company
trust management of this mutual investment
fund.
2. The trust-based control passes to the property
company for in the class
hedge fund with of this property
property of other founders of trust management.
Property, which is equity investment fund, is
common property of the owners of the investment shares and belongs to them
shared ownership right. Stanza of Property
mutual investment fund, and
may be, for exceptions
Federal law (under the rule of law). Federal Act of 28 July 2012
N 145-FZ-Russian Federation Law Assembly, 2012, N
31, st. 4334).
Join the trust
investment foundation, physical or legal person
refuses to take precedence syndication
shares of in property, equity
An investment fund. The corresponding right shall cease to be applicable.
The owners of investment shares incur the risk of loss, associated with
change of the marketplace of the property, of the paced property
An investment fund.
3. The management company trusts
mutual investment by committing any legal and
actual actions against of its property, a
performs all rights, authenticated security,
component investment fund, including voting rights
voting securities.
Control company has the right to claim and to perform
sued in court for activity
trust management of the mutual investment fund.
4. The control company deals with property,
component investment fund, on its behalf, pointing to
at the same time that it acts as a trustee.
This condition is considered to be satisfied if it is not
requiring writing, the other party is informed about
their commission by the trust in this
written trust documents
control made Mark " D. W. " and was named
investment fund.
If no o , that
acts as a trustee, it is required
before third individuals and answers only
property belonging to it.
4-1. The company's s
depot, with the person
investment of the mutual investment fund (hereinafter-the registry
owners investment of investment , an audit
organization before { \cs6\f1\cf6\lang1024
}
{ \cs6\f1\cf6\lang1024
}
{ \cs6\f1\cf6\lang1024
}
{ \cs6\f1\cf6\lang1024
}
investment control's control
company without in in quality
trust fund manager, and should
containing condition, that from the completion date
pInvestment such contracts are considered prisoners
company trusted trusts
investment fund name investment
fund (item 4-1) introduced by Federal Act of 6 December 2007 N
334-FZ-Collections of Russian Federation Federation, 2007,
50, st. 6247; in . Federal Act of 28 July 2012 N
145-FZ-Legislative Assembly of the Russian Federation Federation, 2012, N
31, st. 4334).
5. The control company, if is provided by rules
trust management trust fund for
order, installed by Bank of Russia regulations,
rights and duties on of thetrust
payev investment of the fund of another managing company.
Federal Law of 23 July d N 251-FZ - Collection
Russian legislation, 2013, N 30, sect. 4084).
6. In addition to significant trust conditions
equity
Civil Code of the Russian Federation and Federal
law, trust { \cs6\f1\cf6\lang1024
}
{ \cs6\f1\cf6\lang1024
}
must contain one of the following conditions:
1) presence of owners of investment s in any
working day to require company to redeem all
belonging investment of and termination of
trust trust management investment fund
between himself and the controlling company or the settlement of part of the owned
investment pays;
2) presence of investment s in any
worker Day to require from the person's control
company (hereafter - Authorized Person), buying all or parts
his investment paev and the right to sell them on of the exchange,
specified in trust rules trusts
investment foundation,
conditions, in the owner's investment
person, rights in terms, rules
trust of the management of the mutual investment fund, to require
from the to all
investment trusts and discontinues of trust
management of the mutual investment fund between and control
or repayments of investment
s;
3) the owner of investment s in the current
, of the trust rule
investment fund, to require from the management company of the maturity
all investment pausing and termination of the
trust management of the investment fund
between himself and the controlling company or the settlement of part of the owned
investment pays;
4) missing the owner of investment (s) right to require
from control
trustmanagement of mutual investment by before
actions other than in cases provided by this Federal
law.
(Item 6 in . The Federal Act of 28 July 2012 N
145-FZ-Legislative Assembly of the Russian Federation Federation, 2012, N
31, article 4334)
6-1. For goals of the fes
investment funds,
trust rulesone specified in 6 of this
conditions, are called pagans
investment funds, stock exchange mutual funds,
interval mutual investment funds and closed paev
investment funds (hereafter-types of investment trusts
funds) (Paragraph 6-1 was introduced by Federal Law of 28 July 2012. N
145-FZ-Legislative Assembly of the Russian Federation Federation, 2012, N
31, st. 4334).
7. Can change the type of mutual investment fund with
closed paced investment folder
investment fund or open mutual fund investment fund,
interval investment equity fund
investment fund. These changes are implemented by
making changes and additions to trust management rules
mutual investment fund (para. 7 introduced by the Federal Act)
December 6, 2007 N 334-FZ-Legislative Assembly Russian
Federation, 2007, N 50, article 6247).
Article 12: Trust Contract Expiration
Management of the mutual investment fund
The trust
investment foundation, referenced in trust
management of mutual funds should not exceed 15 years
with the length of its formation (to the red. Federal Act of 6
December 2007 N 334-FZ- Collection of the Russian
Federation, 2007, N 50, article 6247).
The expiration of the interval
mutual fund expires at the end of the last term
redemption of investment of before has expired
rules of the control's pagev
rules
Theinvestment fund for the duration of the specified contract.
The }
control
mutual trust fund in trust rules
control of this fund cannot be less than three years from the beginning of the term
formation of this equity investment of the foundation.
Federal Law From 6 December 2007 N 334-FZ-Assembly
Laws of the Russian Federation, 2007, N 50, st. 6247).
If this is provided by rules of trust
open and interval by investment funds, duration
action of the Management
considered extended by the same term, if owners of investment
did not require that all owned investmentbe repaid
pits.
If this is provided by rules of trust
stock exchange of the investment investment, expiry
trust management is considered extended for the same period if
owners of investment payers, are authorized persons
did not demand repayment of all investment of this fund
(Part introduced by the Federal Act of 28 July 2012) N 145-FZ-
Russian legislation collection, 2012, N 31, st.
4334).
Article 13: Assets to be transferred to the mutual investment
foundation
1. In trust management of open and interval pans
investment can be only money
funds.
2. trusted to manage closed mutual investment
trust fund and ETF can be transferred
money tools, and Other property, provided
investment declaration contained in trust rules
corresponding fund management, if possible
property set by Bank of Russia (in
The Federal Act of 28 July 2012 N 145-FZ-Assembly
Russian Federation Federation, 2012, N 31, st. 4334;
Federal Law July 2013 N 251-FZ -Assembly
Russian legislation, 2013, N 30, sect. 4084).
3. Passing in Trust Investment Management
Theproperty that is on bail is not allowed.
(Article 13 in Ed. Federal Act of 6 December 2007 N
334-FZ-Collections of Russian Federation Federation, 2007,
50, Art. 6247)
Article 13-1. Inclusion of assets in the vei
investment fund after completion
(end) of its formation
1. Cash, transferred to payment of investment mutual funds
one mutual investment fund, must go to separate
bank account, fund manager
Theof the treaty, without for ,
company in trusted
(Next - the account). Requirement of this
is not used in the case of cash transfers
Unpaid part of investment payees.
2. The control company is required to
transit account of each person's
payment for investment payees.
3. The company has the right to give
enumeration for the transit account of your own money or
money that is otherwise based on it.
4. Money, in transit, not
may be directed at the company's company's management debt.
case if the management company is bankrupting the money,
In transit, the estate is not included in the estate.
5. to the right to dispose of money
funds, in transit account, for exceptions
next cases:
1) money transfer a separate bank account
specified in Article 15 (2) of this Federal Law, for
included in mutual investment fund;
2 estimated value
investment payers, if such a allowance is provided by
trust fund management of the mutual investment fund
3) return the person to pay for investment mutual funds in
case provided by this Federal Law;
4) cash compensation payments to investment owners
repayment of the investment of this mutual investment
fund, implementation of mandatory payments, related to the specified
payment, if option
payments from the transit account are provided by rules
trust management with the investment fund.
(payments) (payments) in order,
set by Bank of Russia regulations, within the amount,
to be included in the composition of the mutual investment fund.
Federal Law July 2013 N 251-FZ -Assembly
Russian legislation, 2013, N 30, sect. 4084).
6. Enable money in in payment
investment payev, in investment of the fund
ed ed
purchase investment s and documents required for
opening (nominal holder) of the account in
registry of investment payees.
7. s investment ofpayev investment
investment fund and stock exchange of the investment of the fund
after completion if rules
trust management trust
investment investment of non-cash funds
Transfer of Property to Payment of Investment Pies and Inclusion
matches
rules, of articles 13-2 of this Federal
law (reed. Federal Act of 28 July 2012 N 145-FZ-
Russian legislation collection, 2012, N 31, st.
4334).
(Article 13-1 was introduced by Federal Law of 6 December 2007 g.
N 334-FZ-Legislative Assembly of the Russian Federation, 2007, N
50, Art. 6247)
Article 13-2. Building a mutual fund of investment
1. The equity investment of the fund does not start
later than six months trusts
management of the mutual investment fund. At this time of formation
mutual investment fund cannot exceed three months and term
formation of a closed mutual investment fund six months
in cases stipulated by Bank of Russia regulations.
Federal Law of 23 July d N 251-FZ - Collection
Russian legislation, 2013, N 30, sect. 4084).
2. Cash, transferred to payment of investment mutual funds
investment
receive the transit account, open for for this
mutual investment fund, non-documentary securities-on
separate depot, public depot
this of the foundation (next-transit account), document valuable
paper is passed to in custom
depositary.
3. Treaty Establishing a Transit (Transit Billing
deco, Documentary
consists of a management company to form one
investment of the fund without indicating that the control company acts as a trustee. 4. Transit opening depository for the name of the managing company. Control company not is the owner of
is being implemented in a transit account.
5. Specialized Depositary on arrival of securities
per transit account must open the person
securities, subaccount for their rights to these securities
(remainder of the depot). The subaccount is opened
of the opinion
deposit agreement.
6. enlistment in on
blocking/(or) encumming operations valuable on this subaccount, except for committing { \cs6\f1\cf6\lang1024 }
{ \cs6\f1\cf6\lang1024} Securities{ \cs6\f1\cf6\lang1024
}
these securities on their owner's debts, conversion of emissions
valuable pieces of paper,
true article.
7. Writing off-of-value paper, intransit
depot, is made by a specialized depository by order
control company only if included in folder
or return }
investment payees.
8.
deco subaccount , all all rights,
securities.
9. Until (end) of the arable
investment and other security benefits,
transferred for investment pays, to transit
account, a after
included in of this foundation, for
valuable paper, given in payev investment
returned to the person who transferred them to the investment payees.
10. Accounting for Property, Transferred to Investment Fees
when forming a mutual investment fund, in
relation of every person who passed such property in
investment paev. The control company is required to
money money of each person's funds
transferred them to payment for investment payees.
11. Control company cannot transfer (transfer) to
transit account ( depot expense ) cash
(security) or money (securities),
is otherwise.
12. Property, transferred to payment of investment paev, in
volume-in-transit (transit account depot),
cannot be repaid by management company debt or
is the debt of a specialized depot.
13. of the company
specialized Depot Depository of Money (Valuable
paper) in transit (depot transit account), and
other property, passed in payev investment
mass does not include and to return
transferred them to payment for investment payees. 14. The control company is not entitled to dispose of the property, passed in investment pans, exception
include such a property in a mutual investment fund
or return to the property in
investment payees.
15. Property, Transferred in payev investment
included in equity investment
formation only if all of the following conditions are met:
1) if is accepted for purchase of investment paev and
documents, required for accounts in the registry
owners of investment payees
2) if property, passed in investment pev
according to the specified applications, came from the management company, and if
such property is non-monetary funds, also
consent of the depot to enabling
Property to the mutual investment fund;
3) if property, in
investment pits, has reached the size required to complete
(end) formation of a mutual investment fund.
16. The equity investment of the investment fund
investments must be made on the day of inclusion in
this foundation for the entire property, transferred in
payment for investment payees, or on the next business day.
17. Completion date (end) of the folder
hedge fund is the control date
company in of the Russian report
formation of the mutual investment fund, and for closed meetings
investment funds date of registration changes and
trust management trust
rules
part, for the number of investment ploys issued
this fund (rev. Federal Act of 23 July 2013 N 251-FZ
Russian Law Assembly, 2013, N 30, st.
4084).
18. Completion (End) Completion
investment of the fund is signed by persons
company and of the custom
at Bank of Russia
issuance of investment payees. At the same time the report
(end) forming a closed mutual investment fund in
Russia's changes in of thetrust
closed
investment investment of inrelated to the number of investment shares of this fund, for
their registration Federal Law of 23 July 2013 N
251-FZ-Legislative Assembly of the Russian Federation Federation, 2013,
30, article 4084).
19. Bank of Russia on account of completion (end)
investment fund
entry to the mutual fund register, , and also
registering changes and in in the private folder rule
fund in the number of
investment s of this mutual investment fund.
Federal Law of 23 July d N 251-FZ - Collection
Russian legislation, 2013, N 30, sect. 4084).
19-1. In case of Bank of Russia refusal to register changes
add-ons in trust
control trustinvestment in the part, of the number of
investments of this fund, based on paragraph 6, subparagraph 5
Article 19 of this Federal Law Property,
pay investment of of this foundation, and revenues, including
revenues and repayments on papers, to ,
supplied property in payment for investment shares
fund, within terms of trust management rules
closed by the investment fund. Investment Paps of this
mutual investment fund simultaneously with property
repaid regardless of whether the owner has declared such
investment requirements for repaying them (in the red. Federal
Law of 23 July 2013 N 251-FZ-Legislative Assembly
Russian Federation, 2013, N 30, est. 4084).
The management company is required to send in to the Bank of Russia
property return no later than three working days with
date to return all property and revenue, provided for
point Federal Law of 23 July 2013 N 251-FZ-
Russian legislation collection, 2013, N 30, st.
4084).
(Paragraph 19-1 was introduced by Federal Law of 28 July 2012 N
145-FZ -Collection of Russian legislation, 2012, N
31, article 4334)
20. In , if is defined by a trust rule
investment investment date
fund investment value of property
passed in investment pans, less
value property, required for completion (end)
formation, managing company is obliged:
1) send
next business day since the expiration date of the puzzle investment of the foundation. Federal Act of 23 July 2013
g. N251-FZ-Assembly of Russian legislation, 2013,
N 30, art. 4084); 2 return property, to the payment for investment
shares, as well as revenues, including and on
papers, persons who passed given property in
investment paev, in and dates,
rules of trust fund management of mutual funds.
21. and of the Depreation
operations on the specified account, ledger order
means, of the security and other property of each person who passed
specified property to pay investment paev, , and order
property transfers, with the exception of money, to include
it in the investment investment of the definition
the cost of property passed to investment pits
set by normative by the Bank of the Russian (in Ed.
Federal Law July 2013 N 251-FZ -Assembly
Russian legislation, 2013, N 30, sect. 4084).
(Article 13-2 was introduced by Federal Law of 6 December 2007 g.
N 334-FZ-Legislative Assembly of the Russian Federation, 2007, N
50, Art. 6247)
Article 14. Investment Pa.
1. The investment of is named of the same name,
's owner's title in
property portion of the mutual investment fund, right to require
from control of the control
investment fund,
Management
mutual fund with all investment owners
shares of this fund (termination of the mutual investment fund).
The investment investment investment of the fund
certifies
investment investment and payment in
relationship to this monetary compensation that is proportional to its
share in the ownership of property, , this
fund, any business day.
Investment fell of the stock of the investment of the fund
also authenticates the owner of this share in any working day
require the authorized person to purchase investment
price, proportionate to the share
property ownership of this fund and the right to sell
it is listed in the mutual trust management rules
investment foundation,
clauses. Investment of the stock exchange of the investment
certifies also the owner
person, in time, rules
trust management of this foundation, require control
to repay its investment payout and payout
related to this monetary compensation, proportionate to
his share in the right of common property to property, component
this foundation, or if provides trust rules
control of this fund, out of share in
common ownership of property, component of this foundation. If
rules of trust management by stock exchange investment
trust fund
assets that make up this fund, investment of this foundation
Thealso certifies the owner's right to receive such an income.
Investment Paew Investment Fund
certifies
investment investment and payment in
relationship to this monetary compensation that is proportional to its
share in the ownership of property, , this
fund, at least once in time-specific
rules of trust management of this foundation.
Investment fell of the investment of the fund
certifies
investment investment and payment in
relationship to this monetary compensation that is proportional to its
share in the ownership of property, , this
fund, in cases of this Federal Law
right to participate in the general meeting of investment owners
and, if of the trust
property, parts of this foundation,
revenue.
Each investment pap certifies the same share in law
shared property on property, shared
An investment fund.
Each investment pais certifies the same rights,
exception to cases specified by this Federal Law.
2. Investment pay is not an emissive securities.
Rights, authenticated investment
undocumented form.
Number of investment s
open, interval and shares
investment funds are not limited. Number of investment
shares, of controls
investment of the fund, listed in in of the trust
management of this fund.
3. Investment pay has no nominal value.
4. The number of investment investment
Theowner can be expressed as a decimal number.
The emergence and modification of fractional parts of the investment paev
owner is allowed in or to exchange
investment payees, redeem the unpaid part of the investment
fall matches with 8 Articles 17-1 Present
Federal Law, Partial Settlement of Investment
incompliance with 6
Federal or pans
matches with 1 1
14-1Federal Law, Other Cases
The Bank of Russia's normative acts (to the red of the Russian Federation). Federal Act of 23
July 2013 N 251-FZ - The legislature
Federation, 2013, N 30, st. 4084).
Conversion and repaying fractional of the investment
concurrent with whole investment . Maturity
fractional of investment Without an entire investment share
only in owner of the integer
investment of the fall. Fractional investment share
grants the owner of the rights granted by an investment share
volume corresponding to the entire investment share that
it is.
For control's trust rules
closed investment of quantities
investment of all fractional part of the investment shares
Thefoundation is summed up. If, in addition, adds up
fractional number, in
investment trusts are expressed as fractional numbers.
In the case, if one acquires investment shares with
two and more fractional parts pans, these these
whole investment (entire investment pa) and
(or) fractional part of an investment share equal to of these
fractional parts.
5. Investment pausing
(end) formation of a mutual investment fund. Constraints
can be set by
laws.
Accounting rights investment
accounts in the investment folder owner registry. This teaches rights
on investment shares of the holder
in if it is provided with rules
trust management of the mutual investment fund.
6. Specialized Depot, registrar, audit
organization and evaluator with which the management company
relevant mutual investment fund contracts,
cannot be the owner of this fund's investment shares.
(Article 14 to the red. Federal Act of 28 July 2012 N
145-FZ -Collection of Russian legislation, 2012, N
31, article 4334)
Article 14-1. Private and interval investment
investment funds for mutual funds
for qualified investors
1. Trusted management rules for trust and interval
investment funds can be
cases of regulatory Acts of the Bank of Russia,
be provides that investment
is intended for qualified investors. Federal
Act of 23 July 2013 N 251-FZ - The Law Collection
Russian Federation, 2013, N 30, est. 4084).
2. The investment of the investment of the investment of the foundation
intended for investors (remainder -
investment shares, limited in , can be issued
(alienate) only qualified investors, except
cases of this Federal by law. Recognize
qualified investors
law when issuing investment s, limited in
right only control company
investment shares. Effects of issuing such investment pans
person, -who is a qualified investor
Unqualified investor), provided for this article
(Ind. Federal Act of 28 July 2012 N 145-FZ-Assembly
Russian legislation, 2012, N 31, article 4334).
3. Transactions with Investment Pap, Limited in
access
with due to restrictions and rulesprovided by Federal Law "
securities for qualified investors. 4. The Father of the Pew investment paev investment fund limited in turnover, investing on control company of the following duties: 1) repay unqualified investors investment of the investment fund
whose investment shares are restricted in the nearest future
days for investment pans
unskilled investor time, in which matches
rules
investment of the right to require
company repayments, investment of closed mutual
investment fund, whose investment shares
turn, later Six months of the event of the fact
Issuance of Investment Pies to an Unqualified Investor;
2) pay for its amount of money, transferred
unskilled investor in payev investment
limited turnover (including markup, retention money
their output), , and for the amount, , and time
accruals of which is defined in accordance with the rules of the article
395 Russian Civil Code , for minus
money compensation, for repaying investment
ploys, restricted in turn of unqualified
Theinvestor.
5. Control company performs the function provided for
paragraph 4 of paragraph 4 of this article,
Whether the owner of the investment paev is restricted in turnover
to be repaid.
6. Consequences provided for in paragraph 4 of this article, not
qualified investor based on represented by this person
unreliable information. Control
qualified investor as a result of this face
false information is not invalid
deals on buying investment pans
restricted in turn, when they are issued.
7. The and Considerations for Transition to Investment Issues
limited in turnover,
registryowners of investment pans, in , , and
The banks are installed by the Bank of Russia (in . Federal
Law of 23 July 2013 N 251-FZ-Legislative Assembly
Russian Federation, 2013, N 30, est. 4084).
8. The control of the investment investment
fund, whose investment is limited in turnover, to the right,
if this is provided by rules of the trust
fund, buy specified investment
formation. The company can pass to
pay investment of only money only after
acquisition of investment paev is not entitled to deal with them,
for sales of parts, in in in general
number of issued investment ploys that can belong to
control company. Investment of the paev
investment fund does not provide management rights
votes in the general meeting of the owners of the investment payees.
Change type of the investment fund, investment
Theof which belongs to the managing company is not allowed.
and on
trust management closed investment by the fund
control company passed and
responsibilities, has the right to buy from owners ' investment
this fund is an investment fund of this fund.
(Item 8 was introduced by the Federal Act July 28, 2012). N
145-FZ-Legislative Assembly of the Russian Federation Federation, 2012, N
31, article 4334)
(Article 14-1 was introduced by the Federal Act of December 6, 2007).
N 334-FZ-Legislative Assembly of the Russian Federation, 2007, N
50, Art. 6247)
Article 14-2. Tolerance of investment paysev
Investment Fund for Organized Tendering
Exchanges
1. Tolerance investment of mutual stock stock
investment for organized trading, held by the exchange,
which is specified in of this
foundation, implemented by contract (s) of this exchange
with (or) Authorized
and
participant (participants) (next -
Stock Exchange Stock Exchange
price, of demand, suggestions and (or) of the
trading investment shares of the investment
of investmentfund. If the does not provide with Market Maker
stock exchange of the fund, the responsibility for prices, demand,
offers and (or) the investmentof investment
shares of stock of the investment of the fund
responsibility for market maker is terminated with of the attack
datereasons for termination of this fund.
2. Agreement (s) with Stock Exchange with and (or)
authorized by the person (
( 1 1 of this article,
before Control
stock exchange mutual fund or changes and add-ons in
trust management rules by this Bank of Russia
registration and should be included (in the red. Federal
Act of 23 July 2013 N 251-FZ - The Law Collection
Russian Federation, 2013, N 30, art. 4084:
1) order of the date of the
stock exchange may not be the end date (end) formation of exchange-traded fund; 2) related trust management rules mutual investment fund value of maximum price variance Buying (Sales) Investment Pies, in Public market-maker of stock exchange of trades organized stock exchange, from the estimated price of one investment pa. The ceiling can
is greater than 5 percent of the estimated price of one investment pap;
3 The
investment pap according to regulatory requirements
The Bank of Russia (to the red). The Federal Act of of July N
251-FZ -Collection of Russian legislation, 2013, N
30, art. 4084);
4) Order and timing of supply by the management company
stock of the investment investment and
specified information;
5) related trust management rules
mutual investment fund volume with investment shares
-organized trades
market-maker of stock exchange in the trading of day,
of which is the market-maker's
on this daywill terminate, if the trust rules of this foundation
specified;
6) related trust management rules
mutual investment performance period during trade
day-market-maker stock exchange of the duty of the market maker
if
trust management rulesspecified period.
3. Organized tendering rules, by exchange, must
to suspend organized trading investment
shares of the equity of the investment fund in the event of a change
(regulated) or changes
other market conditions, able
ability to market the stock market of the foundation to fulfill the obligation
mart maker.
4. Tolerance investment of mutual stock stock
fund organized
foreign exchange, is implemented according to personal law
Thespecified of the exchange. this of thecontrol's rule of trust
stock exchange mutual fund or changes and add-ons in
them, which provide for the tolerance of investment
stock stock exchange of the investment of the investment
trading, foreign exchange may be registered
not earlier acceptance by of the
specified investment paaps for organized trading.
5. stock market can also
authorized person.
(Article 14-2 was introduced by Federal Law of 28 July 2012. N
145-FZ -Collection of Russian legislation, 2012, N
31, article 4334)
Article 15. The separation of the property comprising the veum
investment fund
1. Property, part of the equity investment fund,
isolates from of this fund,
property of owners of investment payees, of assets that make up
other mutual investment funds in in trust
this company's control Other property,
in trust or other
Thespecified of the company's control . Property, a component
investment fund, accounted for by the managing company on a separate
balance and self-accounting.
2. For operations on operations, based on
management of the investment fund, separate
bank (accounts), for on security
component investment fund, separate (accounts)
depot. Such accounts, for exceptions cases
Russian
management company of the equity investment fund with an indication of
, that it acts as a trustee, , and c
Theinvestment of the investment of the fund. Names
(names) owners of investment s
is specified. With registration of rights to real include pagans
fund in Single State
rights to real property and transactions
name of the investment of the investment of in
includes property, and the following
' real estate Properties
provided by Federal Act of 21 July 1997 N 122-FZ
" state registration property and
deals with it ', are set based on the personal account data
owners of investment paev in the investment owners registry
and accounts of the property of the investment owners. Authority,
State Registration
property, after (end)
fund has the right to require the person who implements management of investment folder owners registry, list of owners
investment s containing data about
specified by the Federal Law. The person must submit
this list later five days for
requirements (reed. of the Federal Law of 6 Dec. 2007 N
334-FZ -Collection of Russian legislation, 2007, N
50, article 6247).
2-1. On State registration property
include in the Foundation's investment investment foundation
registered right must
owners of the specified property and their data are installed on
In
registry of owners of investment and of the account holder's accounts
investment sticks, with (individual
symbols) of the investment of the fund ( 2-1 )
Federal Law of July 2012 N 145-FZ -Collection
Russian legislation, 2012, N 31, article 4334).
3. Recreating on investment debts
ploys, in insolvency (bankruptcy),
property that is part of a mutual investment fund is not allowed.
By investment payers ' owners address
their investment shares. In the insolvency
(bankruptcies) investment s in the estate
Theincludes their investment shares.
4. of the spider company
investment of the fund (bankrupt) property,
equity investment foundation, in , not
Theis included.
Article 16. Control company's responsibility
investment fund
1. The fund manager company of the investment of the
before owners of investment responsibilities in size
real damage in damages in
violation of this Federal Law, other federal laws
and trust fund management rules of trust, in
volume number for the wrong amount of to be displayed
investment fallen, , and for the amount of money to
payment in investment of the investment and in the event
requirements violations set by 14-1
federal law-in the amount specified by this article
(Ind. of the Federal Law of 6 Dec. 2007 N 334-FZ
The legislation of the Russian Federation, 2007, N 50, st.
6247).
2. Obligations incurred in connection with the trust
asset management, part of the investment investment
the of this property.
property, of the investment investment collection
may be only on its own control property
company.
Article 17. { \cs6\f1\cf6\lang1024
} { \cs6\f1\cf6\lang1024 }investment fund
1. The trusts trusts trusts rules
trust fund must contain:
1) full and short name of the mutual investment fund;
2) Type and category of the mutual investment fund;
3) the full company name of the management company;
4) full brand name specialized
depository;
5) the fully qualified name of the person conducting the
investment folder owners registry
6) the full brand name of the audit organization (in
Federal Act of 28 July 2012 N 145-FZ - To
Russian legislation, 2012, N 31, article 4334;
7 Investment Declaration;
8) the order and period for forming the fund's mutual investment foundation,
in number of property, in in payment
investment payev, required for Completion (s)
forming this foundation;
9) rights of owners of investment payees;
10) Rights and Responsibilities of the Managing Company;
11trust management contract duration;
12) order to apply for purchase, maturities
and requests for investment pits;
13) Order and timing for transfer of property to investment
pits, and its return, if investment pas cannot be
issued according to this Federal Law;
14) order and include property in on the paced
investment fund;
15) Order and terms of payment of compensation in
redemption of investment paev;
16) the order of the investment cost of the investment
fall, of the sum of to which you are given an investment pay, as well as amounts
money compensation, to pay for with redemption
investment pap;
17 reorder in owners
investment mutual acquisitions, exchange and repayments
investment ploys;
18) size of the control company and total
specialized depot, person
pans
owners}
audit organization, also of the evaluator, if investment
declaration of of the investment of the foundation
ability to invest property in
compliance with Federal is implemented
Theappraiser (in the Federal Act of 28 July 2012 N 145-FZ-
Russian legislation collection, 2012, N 31, st.
4334);
19) the person's compensation size
mutual investment fund
20) list of expenses, to be paid for Property,
component of mutual investment fund;
21 basic revenue tax
investors;
22 Discovering and (or) for
mutual investment fund
23) Other conditions and (or) information according to with
Federal law.
1-1. The trust { \cs6\f1\cf6\lang1024 } { \cs6\f1\cf6\lang1024 } { \cs6\f1\cf6\lang1024 }
investment for the fund, along with the specified in paragraph 1
this article should also contain the following information:
1) names of all authorized persons, from which owners
investment right }
Require that they buy their investment shares from this fund;
2) Russian stock exchanges, to organized trading
of which investment shares and on , which are the market makers
stock of fund must support prices, demand, clause
volume of traded trades for stock exchange
investment fund;
3) the value of the purchase price (sales)
investment payees, a publicly announced market-maker of stock exchange
foundation in organized trading, stock exchange, from Counter
price of one investment pay.
(Paragraph 1-1 was introduced by the Federal Act of 28 July 2012). N
145-FZ-Legislative Assembly of the Russian Federation Federation, 2012, N
31, article 4334)
2. The trusts trusts rules
investment for the fund, along with the specified in paragraph 1
this article should also contain information:
1)
redemption of investment payers, and if the specified rules
provided for investment pits, receive timeout information
requests for investment folder exchange
2 about an evaluator, if investment declaration of this fund
investing in property, in
compliance with Federal is implemented
Aevaluator.
3. The trusted trust rules
investment fund, along with the information specified in
this article must also contain:
1) Information about the number of investment patis
investment fund;
2) The order of and of the Meeting
owners of investment payees
3) information about the evaluator, if the investment declaration of this
includes property investment estimated in
compliance with Federal is implemented
Evaluator;
4) (Subparagraph 4 was lost on the basis of Federal
dated July 28, 2012 N 145-FZ-Legislative Assembly of Russian
Federation, 2012, N 31, article 4334)
5) lead times for acquisition and purchase requisitions to redeem
investment of in compliance with the Bank's normative acts
Russia Federal Law of 23 July 2013 N 251-FZ
The legislation of the Russian Federation, 2013, N 30, st.
4084);
6) Location of Ownership
investment shares, for company
foundation, buy investment shares of this fund issued after
Completion Order
to implement the specified right (ed. Federal Law
July 2012 N 145-FZ - Collection
Federation, 2012, N 31, article 4334). 4. Model of the trust-based trust rule
investment fund of each type is approved by the Bank of Russia. Bank
Russia has the right to install additional to the envisaged
Fed and (or) information
in mutual trust trusts
investment for the foundation. { \cs6\f1\cf6\lang1024 } { \cs6\f1\cf6\lang1024 } { \cs6\f1\cf6\lang1024
investment fund should comply with standard (in
The Federal Act of 23 July 2013 N 251-FZ-Assembly
Russian legislation, 2013, N 30, sect. 4084).
5. The trusts trusts trusts rules
fund can include control company to spend
crushing investment of the equity of the investment of the fund.
Conditions and Order Fragmt Investment of
The Bank of Russia's normative acts (to the red of the Russian Federation). Federal Act of 23
July 2013 N 251-FZ - The legislature
Federation, 2013, N 30, st. 4084).
6. The trusted trust rules
investment fund may include locations:
1) payev investment of the
investmenthas the right to issue after completion
mutual investment fund in addition to
investment trusts specified in trust management rules
this investment investment ( - additional
investment shares);
2) about the ability to pay investment paev, after
Completion (end) of the Closed
fund non-cash in cases
The Bank of Russia's legal acts are set by the Bank of Russia. FederalLaw of 23 July 2013 N 251-FZ-Legislative Assembly
Russian Federation, 2013, N 30, art. 4084);
3) about the possibility of partial redemption of investment paev without
statements by the owner of the investment payment requirements
in cases and order, installed by Bank Regulations
Russian (to the red. Federal Act of 28 July 2012 N 145-FZ-
Russian legislation collection, 2012, N 31, st.
4334; of the Federal Act of 23 July 2013 N 251-FZ-Assembly
Russian legislation, 2013, N 30, art. 4084);
4) controls
real estate that makes up a mutual investment fund;
5) different locations, Federal
law and model rules of trust
mutual fund investment fund.
6-1. The trust { \cs6\f1\cf6\lang1024 } { \cs6\f1\cf6\lang1024 } { \cs6\f1\cf6\lang1024 }
investment fund may include locations:
1) to pay the revenue from the trust management of property,
component of this foundation, in accordance with regulatory requirements
Acts of the Bank of Russia (ed.). Federal Act of 23 July 2013 N
251-FZ -Collection of Russian legislation, 2013, N
30, art. 4084);
2) allocation of shares in securities or other property
with repays investment matches
Federal Law;
3) about the volume of transactions with investment
stock exchange organized by market maker for stock exchange fund in of the
responsibility of the market maker on this day is discontinued;
4 of the trading
Market-stock market maker Market-Meker;
5) to allow investment shares of this fund to
trading, by Foreign Stock, with Name this exchange. (Paragraph 6-1 was introduced by Federal Law 28 July 2012 N 145-FZ -Collection of Russian legislation, 2012, N 31, article 4334) 7. The control company has the right to make changes and additions to rule for trust management of the mutual investment fund.
cases provided by this Federal Law, Changes and
add-ons in trust
control trustinvestment by the common meeting
investment shares of this fund.
8. The trust trusts rule
investment or exception to what
investment shares of this fund are designed for qualified
investors, is not allowed.
9. The control company is obliged to make changes and
in rules of trust for closed mutual investment part related to the number of investment ploys issued, in six months from maturity of the investment paev portion
this fund if, at the end of the specified period, the number ofs
investment matches in
rules.
(Article 17 in. Federal Act of 6 December 2007 N
334-FZ-Collections of Russian Federation Federation, 2007,
50, Art. 6247)
Article 17-1. { \cs6\f1\cf6\lang1024
} { \cs6\f1\cf6\lang1024 }investment fund, investment shares
limited in turnover
1. The trusted trust rules
investment fund, whose investment is limited to in
back, , along with with in Article 17 of this Federal
law may provide:
1) Incomplete payment for investment pans when they are issued;
2) the investment investment (all
or multiple owners of investment paev or assigned
individuals-of-property transactions, component
investment investment (or) actions, related
exercising rights of a member of a business society, shares, or
Thepercentage of which is the same. Federal Law
28 July 2012 N 145-FZ-Legislative Assembly of Russian
Federation, 2012, N 31, article 4334);
3 control company to deny any person
bids for acquiring investment paev and (or)
getting company's control's alienation investments of in
investment s of this investment investment for
elimination of investment investment results
generic successions, in reorg
redistributing legal legal
Cases established by the Bank of Russia (sub-item 3 introduced by the Federal)
28 July 2012 N 145-FZ-Legislation Collection
Russian Federation, 2012, N 31, st. 4334; in red. Federal
Law of 23 July 2013 N 251-FZ-Legislative Assembly
Russian Federation, 2013, N 30, art. 4084);
4) remuneration of the investment of the account
assets, part of a mutual fund, with
or the order of the specified award, a
also terms of payment (subparagraph 4 by Federal Law)
28 July 2012 N 145-FZ-Legislative Assembly of Russian
Federation, 2012, N 31, article 4334).
2. Investment paps of the closed investment fund,
trust management rules that provide incomplete
payments for investment paev when they are issued, can be paid only
money . The Management
fund should include the obligation of owners of investment
to pay the unpaid portion of each investment pay and term
performance of of this obligation, and if such a period is defined
request control requirement must
specified , in for which owners of the investment payers
must perform the request. With this
trust such can be
recovery for for obligation to pay
Unpaid part of investment payees.
3. of the non-default of the investment
responsibilities to pay outstanding investment paev parts in time
part of his investment pits is repaid without payment
money compensation regardless of whether the owner has declared such
investment of the requirement of the repayment. Quantity
investment payev, to be repaid, is determined by
amount of money recharting to pay
investment payev whose transfer is not performed in
period (including penalty), per investment pay.
At this value of one investment share is defined on the date
Theexpiry of of the of the of the job.
Running of the specified value is set by regulatory
Acts of the Bank of Russia. Federal Law of 23 July 2013
N 251-FZ-Legislative Assembly of the Russian Federation, 2013, N
30, article 4084).
4. Not fully paid paid investment can
to dispose of owners of investment owners of this folder
investment fund or other persons with all owners
investment s of this order
rules of trust this fund, or in
generic successions and
Thedissolved legal entity.
5. Full payment for all investment pour of the closed mutual
investment fund to issue investment shares of this fund after
Completion
cost, defined according to trust rules
management of this fund.
6. If the trust rules of trust are closed
investment approval requirement
investment committee for of property,
investment investment (or) actions, related
exercising the rights of a member of the business of the community, shares or
this fund, ,
shares
be defined:
1) transactions and (or) actions that require approval, , and
order of approval;
2 The investment investment order
to make decisions.
(Item 6 in . The Federal Act of 28 July 2012 N
145-FZ-Legislative Assembly of the Russian Federation Federation, 2012, N
31, article 4334)
6-1. In the investment committee can be control
company, its officials and employees or its appointee
(Paragraph 6-1 was introduced by Federal Law of 28 July 2012). N 145-FZ-
The legislation of the Russian Federation, 2012, N 31, st.
4334).
7. deals, in in violation of rules
trust investment
trust
paragraph 6 of this article, control company
has and only
property. The debts, generated by such obligations, may not
redeem with property, part investment
foundation.
8. The trusts's trusts management
pagevinvestment fund, whose investment is limited to in
turn, can maximum count
investments to be repaid at end of time
on acquisitions and applications for investment paev,
which cannot be less than 20 percent of the total number of
investment of this fund as of the start date of the lead time
to purchase and purchase investment investment . If
common number of investment payers to which applications are submitted
redemption, exceeds the number of investment payees that can
be repaid according to trust management rules
mutual investment fund, repays investment
Thepits are satisfied in proportion to the claimed requirements.
9. If the rules of trust are closed
mutual investment fund is available for purchase
company's investment shares
rules must provide the share
investment investment can
control company. investment pans
without the request, money
control company funds transferred to investment
bank account, opened in the name of the control company in
compliance with article 15, paragraph 2 of this Federal Law,
not credited to a transit account. Number of investment sticks,
belonging to a management company may not exceed 10 percent
the total number of issued investment shares of this fund (item 9
was introduced by Federal Act of 28 July 2012. N 145-FZ- Collection
Russian legislation, 2012, N 31, article 4334).
(Article 17-1 was introduced by Federal Law of 6 December 2007 g.
N 334-FZ-Legislative Assembly of the Russian Federation, 2007, N
50, Art. 6247)
Article 18. General Meeting of Owners of the Investment Shares
of a closed investment fund
1. The investment mutual
collectionmutual investment fund (hereafter referred to as general meeting)
company in
article, specialized by the owners
investment payees.
2. Convening of the general meeting by the management company is implemented
by your own initiative or owner's written request
investment payers, parts not 10 %
number of pans on the date of the request for convocation
general meeting. Convocation of the general meeting on owners
investment payev in time, is defined
mutual trust fund management rules and
not may exceed 40 days from the date of receipt of this requirement,
Exception when a general meeting was refused.
With this requirement
owners of investment s general meeting
matches Federal federal law or no question,
proposed for inclusion in
responsibilities for the general meeting. 3. The general meeting is convened by custom to resolve the issue of rights and obligations trust trust management investment foundation
other company on the owner's written request
investment payers, parts not 10 %
number of pans on the date of the request for convocation
general meeting, and if the ( action stops)
company's activity
management of investment funds, mutual funds
and non-State funds ( - license
management company) or
Thecompany's own initiative. General Cont
meetings on investment owners
implemented in time-specific trust
management of a mutual investment fund that cannot exceed
40 days from the date of receipt of this requirement, except
if the general meeting was refused. This
may be , if requires the owners of investment
Federal law (under the rule of law) Federal Act of 28 July 2012
N 145-FZ-Russian Federation Law Assembly, 2012, N
31, st. 4334).
4. of the cancellation
licensescompany and of a specialized depot
general meeting to make a decision about the transfer of rights and duties
by mutual trust fund management agreement
other company's can be convened by owners
investment payers, parts of 10 percent of the total
number of investment pits on the date the request was made
general of the collection (to the red. Federal Act of 28 July 2012 N
145-FZ-Legislative Assembly of the Russian Federation Federation, 2012, N
31, st. 4334).
5. Specialized Depository and owners of investment
ploys, have the general meeting
authority required to convene and hold a public meeting.
6. Costs, related with control
company of the general meeting, pay for Property,
closed equity investment
general meeting of the collection
owners of investment s -right
Thegeneral meeting is compensated for by the specified property.
7. Written requirement of investment owners
general meeting must contain general
meetings. The request for the general meeting should
be custom and custom
depositary of the closed mutual investment fund.
8. The general meeting request message must be resolved in
compliance with of this Federal Law,
case, if investment close investment investment
fund is limited in , all
Owners investment in and form
controls
{ investment fund } The general meeting should be
notified by a specialized custodian of this fund, as well as the Bank
Russian (to the red. Federal Law of 23 July 2013 N 251-FZ-
Russian legislation collection, 2013, N 30, st.
4084).
9. The general meeting makes decisions about:
1) approve changes and additions to trust rules
management of closed mutual funds:
with the investment declaration, exception
cases, if these changes are due to changes in regulatory
Acts of the Bank of which
and equity structures constraint
funds (rev. Federal Law of 23 July 2013 N 251-FZ-
Russian legislation collection, 2013, N 30, st.
4084);
with increased company
specialized of the depositary, of the person
registry of investment pans, of and an audit
;
with the list of the company
items to be paid from property, that make up a closed folder
investment fund, excluding costs associated with the payment and
(or) repaid by management company and
other mandatory payments from property, component of the veins
investment fund;
with the introduction of rebates
or increased size;
with a change in the type of the mutual investment fund;
with an introduction, or to modify about
need investment investment
property, component of the closed mutual investment foundation, and
(or) actions, related rights implementation
business society, shares or shares this
foundation and other investment committee provisions;
with the number of additional investment
closed mutual fund, that can be issued
After completion (ends) of its formation;
with the change in the total number of issued investment
shares that may belong to the management company;
with changes to other locations in the trust
regulatory
closed mutual fund
Acts of the Bank of Russia. Federal Law of 23 July 2013
N 251-FZ-Legislative Assembly of the Russian Federation, 2013, N
30, art. 4084);
(Subparagraph 1 ) Federal Act of 28 July 2012 N
145-FZ-Legislative Assembly of the Russian Federation Federation, 2012, N
31, article 4334)
2 responsibilities devolution to of the trust
managing a private equity fund for another control
;
3) early or expiry
trust control of this mutual investment
fund.
10. The general meeting can be passed by
to conduct absent-distance voting.
11. The decision of the general meeting is taken by with a majority of
from the count of votes, given to owners in
matches with the number of investment paev they belong to
meeting general of the meeting, if more
s trusts
investment investment this number
voices, given by to the investment of
voting, determined by
investment payees.
12. A copy of of the general meeting must be directed to
The Bank of Russia is no later than three working days from the day of its (in
The Federal Act of 23 July 2013 N 251-FZ-Assembly
Russian legislation, 2013, N 30, sect. 4084).
12-1. of the trust
closed trusts investment should
provided for registration in Bank of Russia not later than 15 workers
days from the adoption of the general meeting's
changes and additions (paragraph 12-1 introduced by Federal Law 28
July 2012 N 145-FZ - The Russianlegislature
Federation, 2012, N 31, st. 4334; in red. Federal Act of 23
July 2013 N 251-FZ - The legislature
Federation, 2013, N 30, st. 4084).
13.
add-ons in trust
control trustinvestment fund, , or decisions about transferring rights and duties
trusted mutual trust
other management company, , or
extension of the trust management contract
fund owners of investment payers, voting against acceptance
corresponding decisions, assume to claim repayment
all or parts of investment paev,
to list people who have the right to participate in the general meeting.
How in Cases
is determined by Bank of Russia regulations. Federal
Act of 28 July 2012 N 145-FZ - Legislation
Russian Federation, 2012, N 31, st. 4334; Federal Act of
23 July 2013 N 251-FZ- Assembly of the Russian
Federation, 2013, N 30, st. 4084).
14. Additional requirements for preparation, convening of
Thegeneral meeting of the meeting is set by the Bank of Russia.
Federal Law of 23 July d N 251-FZ - Collection
Russian legislation, 2013, N 30, sect. 4084).
(Article 18. Federal Act of 6 December 2007 N
334-FZ-Collections of Russian Federation Federation, 2007,
50, Art. 6247)
Article 19. Bank of Russia Registration of Rules of Trust
Management of the mutual investment fund and changes
and add-ons
(name in red. Federal Law of 23 July 2013 N
251-FZ -Collection of Russian legislation, 2013, N
30, Art. 4084)
1. Control to the right to suggest sign contract
trust management trust only
condition of registration of trust management rules by the Bank of Russia
this foundation (in the red one. Federal Act of 23 July 2013 N 251-FZ
Russian Law Assembly, 2013, N 30, st.
4084).
Changes and of the contribution of the trust rule
investment by
registration of by the Bank of of the Russian Federation. Federal Act of 23 July
2013 N 251-FZ-Assembly of Russian legislation,
2013, N 30, article 4084).
The { \cs6\f1\cf6\lang1024
}
{ \cs6\f1\cf6\lang1024
}
{ \cs6\f1\cf6\lang1024
}
{ \cs6\f1\cf6\lang1024
investment fund and registering changes and additions to them
including requirements for
registering documents, is set by the Bank of Russia (in .
Federal Law of 23 July d N 251-FZ - Collection
Russian legislation, 2013, N 30, sect. 4084).
2. Registration of the trust trusts
investment fund and registration of changes and in
on the management company's registration
changes and add-ons, related responsibilities
trusted mutual trust
investment fund in case of cancellation (termination)
company's company's control
declaration of specialized depository, and if cancelled
(termination of action) of the management company's license
company and of the custom
specialized declaration
administration.
3. Russia is responsible for compliance
registered trusts rule
investment fund and changes and additions requirements
true of the Federal of the law Federal Act of 23
July 2013 N 251-FZ - The legislature
Federation, 2013, N 30, st. 4084).
4. The Bank of Russia should adopt the rule
trust equity investment or
registering changes and for or
motivated registration
Federal Law of 23 July d N 251-FZ - Collection
Russian legislation, 2013, N 30, art. 4084:
1) not later than 25 working days from the document acceptance day, for
exception
item;
2) no later than 5 working days from the document acceptance day, if
these changes and relate exclusively to
locations:
Change the company's control name
specialized depot,
registry of investment sticks, evaluator, or audit
organization or other information about these individuals;
number of granted investment pagevs
investment fund;
{
}
{
}
{
}
{
specialized of the depositary, of the person
registry of investment pans, of and an audit
organization, as well as reducing the size and/or reduction of a list
charges to be charged to a property that is a component of a folder
investment fund;
to cancel or reduce discounts;
Change Name of the or Stock Exchange,
rules of trust management for stock exchanges
investment fund, or other information about delegate
or stock exchange;
included in trust management rules
investment new delegate
investment
new exchange;
other provisions, by the regulatory of the Bank
Russian (to the red. Federal Law of 23 July 2013 N 251-FZ-
Russian legislation collection, 2013, N 30, st.
4084).
5. The expiry of
Articles, Bank of the Russian performs checks of information contained in
trust management investment investment
changes to and in them and other documents submitted.
When performing a check, the Bank of Russia has the right to request from the person
submitting specified documents, in number
documents required for verification.
When discoverable in the trust
trusts
investment fund, changes, and contributions or others
represented inconsistencies Federal
law, generic trust controls
investment fund or Acts of the Bank of Russia
details, of validity of or
misunderstanding, Bank of Russia directs the person who submitted
documents, comments. In this case, the timeframe within
paragraph 4 of this article is suspended from of the day of the line
remarks to Bank of Russia
documents that take these comments into account, but not
for 25 working days.
(Item 5 in . The Federal Act of 23 July 2013 N
251-FZ-Legislative Assembly of the Russian Federation Federation, 2013,
30, Art. 4084)
6. 'trusts ' trusts registration
investment fund or registration of changes and additions to them
can be denied:
1 conformance
Federal Law, Model Management Trust
Pawed investment by the Bank of Russia
or equity
requirements of this Federal law, in 25
days from the Bank of Russia comments not received
fixed documents, in , take these comments into account (in
Federal Law of 23 July 2013 N 251-FZ - Collection
Russian legislation, 2013, N 30, art. 4084);
2) presence in information documents
relevant or misleading, if in
25 working days from the Bank of Russia's comments
not received fixed documents in of which
comments (in the red. Federal Act of 23 July 2013 N 251-FZ-
The legislation of the Russian Federation, 2013, N 30, st.
4084);
3) control control company
company, for the license depot
specialized depot or person performing maintenance
registry of investment s of this license, licenses
specialized of or license
registry activity or of the adjuster
audit of this Foundation requirements laws governing their activities 4 additional investment payev
closed mutual investment fund results
above investment pits, can be issued in
conforms to trust rules of this fund;
5) violation of mutual investment requirements
fund, given by this Federal Law or rules
trust management of this fund, detected during registration
changes and add-ons 19
true Federal Law;
6) failure to submit 25 working days at the request of the Bank
Russia of all documents, required for rules
trust investment investment or
registering changes and in for them. Federal
Act of 23 July 2013 N 251-FZ - The Law Collection
Russian Federation, 2013, N 30, est. 4084).
7. Notification of the Bank of Russia on the adoption of the registration
{ \cs6\f1\cf6\lang1024
}
{ \cs6\f1\cf6\lang1024
} trusts
{ \cs6\f1\cf6\lang1024
registering changes and add-ons in or in
registration is sent to the
registration, within three working days of the day following the day
to make the appropriate decision. Federal Act of 23
July 2013 N 251-FZ - The legislature
Federation, 2013, N 30, st. 4084).
8. Refusal to register trust management rules
investment fund or registration of changes and additions to them
or evasive action can
appeals to court.
9. The Bank of Russia maintains the equity register of the funds,
rules
rules
matches with to the Federal by law. Maintenance Order
registry of investment funds and receipts from
It is set by the Bank of Russia. Federal Law
23 July 2013 N 251-FZ-Legislative Assembly of the Russian Federation
Federation, 2013, N 30, st. 4084).
(Article 19 in. Federal Act of 28 July 2012 N
145-FZ -Collection of Russian legislation, 2012, N
31, article 4334)
Article 20. Entry into force of changes and additions,
trusted management rules
investment fund
1. Message for registration of changes and additions, made in
the trust management of the investment fund
expands to comply with the requirements of this Federal
law, and if investment limits are restricted in turn,
message is provided to all owners of such investment payers
in order and form, that are provided by the rules of trust
management of the mutual investment fund.
2. Changes in and additions to the rules of trust
mutual fund management
disclosure about their registration, except for changes and
contributions, provided by paragraphs 4 and 5 of this
also related changes and completions:
1) with the investment declaration;
1-1) with a change in the type of mutual investment fund (sub-item
1-introduced by Federal Law from 28 July 2012 N 145-FZ
The legislation of the Russian Federation, 2012, N 31, st.
4334);
2) with increasing the compensation of the management company,
specialized of the depositary, of the person
registry of investment pans, of and an audit
organizations (to the red. Federal Act of 28 July 2012 N 145-FZ
-Russian Law Assembly, 2012, N 31, est.
4334);
3) with increasing and (or) for the list
charges to be charged to a property that is a component of a folder
investment fund;
4) with discount investment discounts
or increased size;
4-1) increase of the price variance
Buying (Sales) Investment Pies, in Public
market-maker of stock exchange of trades organized
stock exchange, from estimated price of one investment pay
(Subparagraph 4-1 by Federal Law from 28 July 2012 N
145-FZ -Collection of Russian legislation, 2012, N
31, article 4334);
4-2) with reduced transactions with investment payers on
trades organized ( )
market-maker of stock exchange in the trading of day,
reaching it the market maker in this
stopped (Sub-paragraph 4-2 was introduced by the Federal Act of July 28
2012 N 145-FZ-Assembly of Russian Legislation,
2012, N 31, article 4334);
5) with different changes,
The Bank of Russia's normative acts (to the red of the Russian Federation). Federal Act of 23
July 2013 N 251-FZ - Collection of the Law of the Russian
Federation, 2013, N 30, st. 4084).
3. Changes and additions, to the trust rule
management of mutual funds, provided for in paragraph 2
this article takes effect:
1) for open, stock and closed mutual investment
One month from the Disclosure of a Message
registering these changes and (in . Federal
Law of 28 July 2012 N 145-FZ-Legislation Collection
Russian Federation, 2012, N 31, article 4334);
2) for the interval investment fund- from
next at the bottom of the nearest post-drill-down
receive age messages, but not before months
to expand the specified message.
4. Changes and additions, to the trust rule
management of the mutual investment fund referred to in sub-paragraph
Article 19, paragraph 4 of the Federal Law, in
strength from the day of their registration.
5. Changes and additions, to the trust rule
management investment investment investment
which is limited in , in
registration, if is no longer at the specified time
rules.
(Article 20 in the Federal Act of 6 December 2007 N
334-FZ-Collections of Russian Federation Federation, 2007,
50, Art. 6247)
CHAPTER IV. EXTRADITION AND EXCHANGE OF INVESTMENT PALS
Article 21. Issuance of investment pans
1. The investment of the investment is based on
Bid-by-Write Requests by
{ \cs6\f1\cf6\lang1024
Thefront account in the inventory of the owners of the investment payees. Requisitions
The acquisition of investment payees are irrevocable.
2. In the receipt of requests for the purchase of investment payees should
should be denied:
1) orders
mutual trust
investment fund;
2) missing documents required
for opening in the registry of investment paev owners
accounts,
investment paaps, if not open;
3) buying investment by the person in
compliance with The Federal may not
investment of investment or may not buy
investment paas when they are issued (ed.) Federal Act of 28
July 2012 N 145-FZ - Collection
Federation, 2012, N 31, article 4334); 3-1) compliance of trust rules
equity
investment of sticks (sub-paragraph 3-1 introduced by Federal Law 28
July 2012 N 145-FZ - The Russianlegislature
Federation, 2012, N 31, article 4334);
4) suspension of investment paev;
5) in other cases Federal
Law (subpara. 5 of the Federal Act of 28 July 2012). N
145-FZ -Collection of Russian legislation, 2012, N
31, st. 4334).
3. The issuance of investment paev should be in
include in the equity investment of theinvestment
include property, transferred for payment of investment mutual funds, or
in next it
Article 13-2 of this Federal Law.
4. Property, Transferred in payev investment
to be returned if such property is included in a folder
hedge fund is contrary to requirements
Federal Law, adopted in matches it
legal acts and (or) of the trust management rules
fund.
5. Issue investment payev of the Interval or
mutual investment after
(end)formation takes one day at the end of the receive period
bids for investment pagevs
investment or investment payev
closed mutual fund investment fund.
6. The results of the additional investment payers
closed investment company control
reports on additional investment
pam, which is sent to The Bank of Russia is no later than three workers
days from the issuance of additional investment payees. Concurrently
The report is sent for registration
Add-ons trusted trusts rule
investment locations for quantity
issued investment shares of this quantity
investment pits that can control
company further after (end)
formation (in The Federal Act of 23 July 2013 N
251-FZ-Legislative Assembly of the Russian Federation Federation, 2013,
30, article 4084).
7. The investment of the stock mutual fund investment fund
can only be purchased by authorized persons (para. 7
has been introduced by the Federal Law of July 28, 2012. N 145-FZ-Assembly
Russian legislation, 2012, N 31, article 4334).
(Article 21 in red. Federal Act of 6 December 2007 N
334-FZ -Collection of Russian legislation, 2007, N
50, Art. 6247)
Article 22: Investment mutual funds exchange
1. Management's trust rules
interval can be a mutual fund investment fund
owner's owner's owner
with investment of other open or interval folder
investment fund, in trust management
the same management company.
2. The exchange of investment ploys is carried out by means of conversion
investment of one investment of the fund
(Convertible Investment Paps) in Investment Pi Other
investment investment (investment s, in
conversion without payment of compensation
owners. This property, , corresponds to
estimated value of convertible investment paev, is passed
from investment of the fund, investment of which
converted, in equity of the investment of the fund, in
investment of which is converted.
3. One mutual investmentof the investment paev
investment of of the fund can be produced
only in , if payev's investment
to be exchanged, the same as the date when the investment pans were issued, on
Thethat is being exchanged.
4. The investment exchange request is submitted in the form
requests for the exchange of investment payees. Investment Interchange Applications
pans are irrevocable.
5. Application for swap of investment pans by owner,
a If , investment rights on investment pauses
account nominal of the holder, of the corresponding nominal
Theholder. The nominal reholder bids
investment
investment payees.
6. In receipt of investment requests, should be
denied:
1) orders
mutual trust
Installed
investment fund;
2 of the decision about the simultaneous suspension of extradition
repayments and investment investment of investment
foundation;
3 in if in the result of the exchange
will become a person who is consistent with this
Federal law cannot be their owner;
4) the decision to suspend investment
Thepayev, the request for which is contained in the application.
(Article 22 in red. Federal Act of 6 December 2007 N
334-FZ-Collections of Russian Federation Federation, 2007,
50, Art. 6247)
Article 22-1. Investment Pin Exchange by Solution
control company
1. The control company has the right to make a decision about the exchange of all
investment of one open mutual investment fund
(hereinafter - of the attached fund) investment no more
open of the mutual fund (hereafter referred to as the fund )
accession is
following conditions:
1) these mutual investment funds are trusts
managing one control company;
2 of these collections of
such an exchange;
3 in the trust management rules
one and
investment sticks, and one custom depositary. 2. Exchange Investment of Without Applications
owners of investment requests
converting investment of Foundation in
investment shares of the fund to which accession is made.
Share investment without owners
investment requests can be exchanged
only if control
take the decision referred to in paragraph 1 of this article.
3. Foundation Trust
ends after converting investment payev
fund in investment of the fund, to
join.
4. After 30 days from Disclosure of Control Company
decision information of paragraph 1 of this
Articles, purchase, repays and
attached mutual fund, and exchange requests
investment equity
investment of the foundation of the foundation is suspended.
pasuspends acquisition,
repaying and for the investment of the fund,
join, before investment
attached fund to the fund's investment shares
joins.
5. The management company is obliged not later than three working days
from the day, for the day
acquiring, repaying, and exchanging investment epiaps
fund, implement property merge,
attachable foundation and property, foundation
Thejoin. Conversion investment pans
appended fund investment equity
joins, not later than working day,
next after the day of the specified asset consolidation.
6. After merging equity funds
responsibilities, generated in the trust
fund's
attached
Theproperty of the fund to which the attachment is implemented.
7. The control represents of the union
property of mutual investment funds in the Bank of Russia. Requirements
specified report,
are set by the Bank of Russia. Bank of Russia excludes attachable
foundation from the register of mutual investment funds (in Ed. Federal
Law of 23 July 2013 N 251-FZ-Legislative Assembly Russian Federation, 2013, N 30, est. 4084).
(Article 22-1 was introduced by Federal Law of 28 July 2012. N
145-FZ-Legislative Assembly of the Russian Federation Federation, 2012, N
31, article 4334)
Article 23. Exemptation of investment ploys
1. Claims for repayments of investment payees are submitted in the form
The investment of the investment . Requests to repays
investment payees are irrevocable. RequiredRequests
investment mutual owners of investment payers, if
other is not provided by this Federal Law,
if in investment
investment ines in face-face account
holder, -the corresponding nominal holder. Nominal
holds for repaying
corresponding investmentorder owner
(in Federal Act of 28 July 2012 N 145-FZ-
Russian legislation collection, 2012, N 31, st.
4334).
2. Requisitions for investment paev are satisfied in
bounds for investment of investment
appropriate personal account.
3. repayments of investment pits should
should be denied:
1) orders
mutual trust
Installed
investment fund;
1-1) Stock Application for Stock Exchange
investment of the fund, of the person
is an authorized person ( 1-1 ) Federal
28 July 2012 N 145-FZ-Legislation Collection
Russian Federation, 2012, N 31, article 4334);
2) the simultaneous suspension of
repaying and investment investment mutual investment
fund.
4. Receiving one working of the request (s)
redemption or exchange 75 and more investment pans
public investment of the foundation
termination of this fund.
5. Receiving current for rules
trust management of stock, interval or
mutual investment fund for receiving repayments or
exchange investment paev, repayments (bids) or exchange
75% and more% of the investment epiev of the interval
or closed mutual investment fund is reason for
termination of the respective fund (ed.) Federal Law
28 July 2012 N 145-FZ-Legislative Assembly of Russian
Federation, 2012, N 31, article 4334).
6. Receive application (s) for payment or exchange of investment
iev in cases in paragraphs 4 and 5 of this article
is the basis for termination of a mutual investment of the foundation
if there is no reason to issue investment pays
this fund or the exchange of investment mutual mutual
investment funds.
7. In the cases of the Federal Act,
repaying investment s without declarations
Theowner of the investment payment requests.
(Article 23. Federal Act of 6 December 2007 N
334-FZ-Collections of Russian Federation Federation, 2007,
50, Art. 6247)
Article 24. Order of Receive Requests,
redeem and exchange investment projects
1. acquisition, repaying and
investment of the open mutual investment fund should
to run every weekday.
Call for purchase, purchase, and exchange of investment
Stock of the Investment Fund
must be implemented in the period of rules
trust control of the mutual investment
Foundation according to Bank of the Russian Federation (in Ed.
Federal Law of July 2012 N 145-FZ -Collection
Russian Federation Federation, 2012, N 31, st. 4334;
Federal Law July 2013 N 251-FZ -Assembly
Russian legislation, 2013, N 30, sect. 4084).
repaid
investorsmutual fund in cases, of this
Federal Law, must run in duration
pagev
investment Foundation compliance with Bank Regulations
Russia Federal Law of 23 July 2013 N 251-FZ
The legislation of the Russian Federation, 2013, N 30, st.
4084).
2. Requests for Purchasing, Reps and Investment
iev in with the trust rules
(or)
issuance, repaying , and an investment share of this
mutual investment fund.
Persons who with trusts
management of a mutual investment fund can be applied to
acquisition of investment payees also have to accept applications for
redemption and exchange of these mutual investment funds
fund.
3. The trusts trusts trusts rules
fund can provide the request for
acquisition, repaying and exchange investment
mail, online or otherwise
set the person to submit the request. Federal Act of the Russian Federation
6 December 2007 N 334-FZ-Legislative Assembly of Russian
Federation, 2007, N 50, article 6247).
Article 25. Payment of monetary compensation in connection with
redeem investment projects
1. Payment of money compensation in with redemption
investment of the money account
components of the mutual investment fund.
2. Payment of money compensation in with redemption
open or exchange-traded investment share
fund should be implemented in the time-specific
rules of trust of public or stock-exchange controls
investment fund, but days
to pay for the investment.
3. Payment of money compensation in with redemption
investment of of the investment fund
must be implemented in the time-of-the-time rule
confidence control of the pagev investment
foundation, but no later than 10 working days from the end of the receive timeout
Repayation of investment sticks, during which
has been filed.
4. Payment of money compensation in with redemption
investment of the investment of the fund in
cases, of by law, must
run in the period of a particular rule
trust management of closed mutual fund, but
no later than one month from the end of receiving requests
redemption of investment paev, and in the case of paragraph
4 of Article 14-1 of this Federal Law, -no later than
months from the maturity of the investment payees.
5. Payment of monetary compensation due to partial payment
investment of the investment fund of the investment fund without
statements by the owner of the investment payment requirement
must be implemented in the time-of-the-time rule
trust management of closed mutual fund, but
is no later than five working days from the date of the investment.
In this case, investment paaps are blocked on the front account
in s owners of s Depo
Deposits from the list of investment
dates
owners investment of and links
The payment of these investment payees.
6. money
mutual investment for cash compensation in
relationship to the payment of an investment management company to the right
use your own money.
(Article 25 in . Federal Act of 28 July 2012 N
145-FZ-Legislative Assembly of the Russian Federation Federation, 2012, N
31, article 4334)
Article 25-1. Select the property that makes up the stock exchange deck
investment fund, due to maturity
investment shares of this fund
1. If is provided with trust rules
stock management investment trusted
to require to allocate property, part of the specified
fund, if the investment payees are repaid. In this case, repays
investment of and passing to an authorized person
property due to repaying investment paev in
one day.
2. In relations with the redemption of the investment payees of the stock exchange
investment fund delegate can be passed
valuable paper, and (or) money, , and (or) approved
traded products that make up this fund.
3. The Stock Rules of the Stock Exchange
investment fund, in repays pans
stock exchange of the investment investment and
property authorized by is set by rules trust management of stock investment in
matches with normative by the Bank of Russia (in Ed.
Federal Law of 23 July d N 251-FZ - Collection
Russian legislation, 2013, N 30, sect. 4084).
(Article 25-1 was introduced by Federal Law of 28 July 2012. N
145-FZ-Legislative Assembly of the Russian Federation Federation, 2012, N
31, article 4334)
Article 26. Determination of the amount of cash (value)
property to be returned to investment
and cash compensation amount to be
an investment payment repayment
1. The amount of money (value of property),
produces investment paius
investment of the fund, is defined by trusts
mutual fund management and must be for
all purchers.
2. The amount of money ( property), to
investment end
formation of mutual fund, is determined based on
estimated investment cost except in cases
paragraph 3 of this article.
3. The amount of money (value of property),
investment end
formation of the Foundation's Foundation's investment
investment shares that are limited in turnover, also
money ( property) to
}
investment fall to full of all investment
specified in with trust rules
such a foundation.
4. Amount of compensation, to be paid in relation to
redemption of investment
in matches1 of article 14, paragraph 4, of this Federal Law,
is determined based on the estimated investment cost,
exception to the case provided for in paragraph 5 of this Article.
5. Amount of money compensation, to be paid in with
repayment of investment of closed mutual investment
fund, investment
specified in with trust rules
such a foundation.
6. The estimated investment of the investment is determined by in
compliance with normative by of the Russian division path
cost net equity of the investment of the fund
calculated per day requests for syndication
repayments or investment-swap requests,
number of investment of the specified in the registry of the owners
investment s of this mutual investment fund on the same
day. (in red. Federal Law of 23 July 2013 N 251-FZ
The legislation of the Russian Federation, 2013, N 30, st.
4084).
7. Management of the mutual investmenttrust
fund can be for estimated cost
investment on their issuance and rebates from the calculated cost
investment pans when they are repaid. Maximum Markup Size
can 1.5 percent of the cost
investment pap. The maximum discount size cannot be
More than 3% of the estimated value of an investment share.
(Article 26. Federal Act of 6 December 2007 N
334-FZ -Collection of Russian legislation, 2007, N
50, Art. 6247)
Article 27. Agents on extraditing, clearing and swaps
investment paev
1. by agents of extraditing, redemption and exchange of investment mutual funds
can only be specialized depots and professional
members of the security market, licenses
broker activity or on registry
owners of securities (to the red. Federal Act of 6 December
2007 N 334-FZ-Assembly of Russian legislation,
2007, N 50, article 6247).
2. Agent on Issue, redemption and Investment Exchanges
from for the control company account
contract of or of the contract, of the
Themanaging company, as well as the power of attorney issued by it.
Issue
repaying and investment paev is required to indicate that it
from the company
corresponding mutual investment fund and charge
all stakeholders ' power of attorney issued by this control
.
3. By Issue, redeem and exchange investment pits
purchase, requests on
repaying and requests to exchange investment mutual funds from the bottom of the disclosure
control company information about these agents in matches
true Federal by law, on and repaying
investment sticks, limited in - -
mutual trust
Aninvestment fund (under the name of the investment fund). Federal Act of 6 December 2007
g. N 334-FZ-Assembly of Russian legislation, 2007,
N 50, article 6247).
Article 28. Rights and duties of an agent on extradition, repaying
and investment mutual exchange
1. An extraditing agent, redemption and exchange of investment paev in
compliance with this Federal Law, regulations
Bank of Russia and Contract, from the company
owed (to the red. Federal Law of 23 July 2013 N 251-FZ-
Russian legislation collection, 2013, N 30, st.
4084):
accept requests for purchase, repaying and
investment ploys;
take the necessary identities of persons
purchase, repaying, and swap bids;
take into account the purchase requisition, repays, and exchange
investment paev and other accompanying documents
for each mutual investment fund;
disclose information of chapter XII of the present
Federal Law;
to provide access to your documentation on demand
administration company, Depot,
Russia (in Ed. The Federal Act of 23 July 2013 N
251-FZ-Legislative Assembly of the Russian Federation Federation, 2013,
30, art. 4084);
Comply with the confidentiality of information received in connection with
activities on repaying and
investment ploys;
comply with other requirements, installed by regulations
The Bank of Russia (to the red). The Federal Act of of July N
251-FZ -Collection of Russian legislation, 2013, N
30, article 4084).
(Item 1. Federal Act of 6 December 2007 N
334-FZ -Collection of Russian legislation, 2007, N
50, Art. 6247)
2. Issue, redeem and swap the investment mutual funds
is entitled to render services as an agent by issuing, repaying
exchange investment at the same control
companies.
3. An agent on issue, redemption and exchange of investment payees
right:
buy your investment
investment fund, agent on extraditing, repaying and
investment of the it is (reed. Federal
Act of December 6, 2007 N 334-FZ- Legislative Assembly Russian Federation, 2007, N 50, Art. 6247; stop acquisition of acquisition, redemption and
Pies control company; use information received in relation to implementation agent functions for extraditing, paying, and exchanging investment mutual funds in self-interest or third person; reoverlay the request for syndication redemption and exchange of investment payees. Article 29. Suspension, repaying and exchange investment paev 1. Open, stock and interval controls investment funds right to suspend
investment sticks, if is provided by rules trust management of these funds. Federal Law
dated July 28, 2012 N 145-FZ-Legislative Assembly of Russian
Federation, 2012, N 31, article 4334). 2. The swap exchange can
Paused of the control company of the mutual investment fund
only simultaneously with suspension of investment
this mutual investment fund.
Issue, repayment , and exchange investment can
at the same paused exclusively in cases
Controls
investment fund according to regulatory Bank s
Russia, When this requires the interests of the founders of the trust
control, for the duration of circumstances,
causesuch suspension (in the red. Federal Act of 23 July 2013
g. N251-FZ-Assembly of Russian legislation, 2013,
N 30, article 4084).
In the case of concurrent suspension , repaying
exchange investment shares the control company is required to do the same
day in writing to notify the Bank of Russia with
of this suspension, also
suspension, repaying and exchange of investment in
compliance with by Federal Law, if
specified investment shares are limited in turnover, -
such information investment owners (in .
Federal Act of 6 December 2007 N 334-FZ - Collection
Russian Federation Federation, 2007, N 50, st. 6247;
Federal Law of 23 July d N 251-FZ - Collection
Russian legislation, 2013, N 30, sect. 4084).
3. The control company is required to stop
maturity and exchange of mutual investment mutual funds Later of the day, next day, when she recognized or should was aware of the following circumstances: 1 o or of the
corresponding license for the person of the registry
owners of investment pans, or
specified person;
2 about ( licenses
administration company company, licenses
specialized depot for a specialized depot
of this mutual investment fund (ed.) Federal Act of
28 July 2012 N 145-FZ-Legislative Assembly of Russian
Federation, 2012, N 31, article 4334);
3) that the value of the asset's assets cannot be determined
fund for is not control-dependent
;
4) in other cases Federal
law.
(Item 3 in . Federal Act of 6 December 2007 N
334-FZ-Collections of Russian Federation Federation, 2007,
50, Art. 6247)
CHAPTER V. ADAPTATION OF THE PALESTINIAN INVESTMENT FUND
Article 30. Foundation for the termination of the mutual investment
fund
The investment of the investment in
cases where:
1) accepted (accepted) (Applications) repays all
investment ploys;
2) (stop action) control license
company at of the company's Stock Company or
interval of the equity of the investment fund (ed.) Federal
Act of 28 July 2012 N 145-FZ - Legislation
Russian Federation, 2012, N 31, article 4334);
3) (stop action) control license
company at of the control company of the closed mutual investment
fund and rights and responsibilities of this management company by contract
trust management of this foundation within three months of
revocation (termination) of specified license not passed
other control company (under Ed.) Federal Act of 28 July
2012 N 145-FZ-Assembly of Russian Legislation,
2012, N 31, article 4334);
4) revoked ( action) license
specialized depot for a specialized depot and
three months from the invalidation day ( activity)
specified
passing to another specialized
folderinvestment fund for accounting and storage, and on transfer
documents, required for activity
specialized of the depot (ed. Federal Act of 28
July 2012 N 145-FZ - The Russianlegislature
Federation, 2012, N 31, article 4334);
5) Expired {
}
{
}
{
}
{
}
closed investment fund;
6) The company's took the appropriate decision in
condition, that the right to make this decision is provided by rules
trust fund management of the mutual investment fund
6-1) The management of the Stock Exchange Investment
15 duty
Paragraph 6 of Article 39 of this Federal Law
(Subparagraph 6-1 by Federal Law from 28 July 2012 N
145-FZ -Collection of Russian legislation, 2012, N
31, article 4334);
6-2 investment equity of investment
hedge funds excluded from organized
tendering for all of the Russian exchanges listed in the rules
trust this ( 6-2 )
Fed by Law 28 July 2012 N 145-FZ -Collection
Russian legislation, 2012, N 31, article 4334;
6-3) Number investment of mutual
investment fund of this
fund, in months >
20 %number of investment of investment (subpara. 6-4 )
Fed by Law 28 July 2012 N 145-FZ -Collection Russian legislation, 2012, N 31, article 4334; 7 Other base
Federal law.
(Article 30. Federal Act of 6 December 2007 N
334-FZ -Collection of Russian legislation, 2007, N
50, Art. 6247)
Article 31. Order of termination of the mutual investment fund
1. Discontinuation of the equity of the investment of the fund, in number
implementation of property, equity component investment fund
creditors ' requirements
for Property, part of the paced
investment fund, , and distribution money between
owners of investment pans, in control
Thecompany, except as provided in this article.
2. of the cancellation
licensescontrol company from control company of mutual investment
fund termination fund
specialized of the fund's trust fund
true federal law (under the rule of law). Federal
July 2012 N 145-FZ - Collection
Federation, 2012, N 31, article 4334). 3. of the cancellation
control company from control company of mutual investment
hedge fund and of the custom depot
specialized depositary of this mutual investment fund
termination of the specified mutual investment fund
interim administration, assigned in
Federal law (under the rule of law). Federal Act of 28 July 2012
N 145-FZ-Russian Federation Law Assembly, 2012, N
31, st. 4334).
4. The person's compensation for
investment investment for exceptions
}
rulestrust fund management and may not
exceed 3 % of the sum of the money that makes up the { \cs6\f1\cf6\lang1024
}
investment implementations
component of his property, excluding:
1 owe to creditors whose requirements should
for Property, part of the paced
investment fund;
2 of the company's
specialized of the depositary, of the person
registry of investment pans, audit
organizations and exchangesspecified in trust management rules
pans, accrued on the day of occurrence
Theinvestment of the investment (in .
Federal Law of 28 July 2012 N 145-FZ -Collection
Russian legislation, 2012, N 31, article 4334;
3) amounts that for money compensation
owners of investment s repayments
investment apes were received before
to terminate a mutual investment fund.
5. Russia has the right to send for
responsibilities of the paced
investment of the fund by the person
investment fund (in the investment fund) Federal Act of 23 July 2013
g. N251-FZ-Assembly of Russian legislation, 2013,
N 30, article 4084).
6. d of the paced
investment disposition of property
equity investment
implementation and distribution according to Federal
law.
7. Person Who Termination of the Investment
foundation:
1) within five business days since of the base
termination of this fund to notify this Bank of [ [ Russia]]
Federal Law of 23 July d N 251-FZ - Collection
Russian legislation, 2013, N 30, art. 4084);
2) expose in with to this Federal Law
report termination of mutual investment fund;
3) accept measures to identify creditors whose requirements
must be satisfied for of the property account
investment fund and collection of receivables.
7-1. Specialized depot,
termination of the investment of the fund, operates from
name as trustee of this with
restrictions, of Federal by law. On
stopping of the investment of the investment
Depot the last all and responsibilities
managing company, related to the termination of this fund. In this
specialized is responsible,
Article 16, paragraph 1, of this Federal Act.In this case, debts on obligations that have arisen due to termination
mutual investment fund, in case of insufficiency of property,
this fund, is repaid out of the property of the control
{ { see also | Federal Law of July 28, 2012 } } N
145-FZ -Collection of Russian legislation, 2012, N
31, st. 4334).
8. Time limit for creditors to make requirements
for Property, part of the paced
investment fund, cannot be less than months
to disclose the termination of the mutual trust fund.
9. At the end of the deadline for the requirements,
must be satisfied by property, of the constituent
mutual investment fund, and before Calculers face
stopping of the investment of the fund,
is and directs
part of the investment fund, to contain Property information, component of the mutual fund,
creditors requirements
considerations. If End of the investment of the fund
implementing company, specified must be
has been agreed with the specialized depot (to the red. Federal
Law of 23 July 2013 N 251-FZ-Legislative Assembly
Russian Federation, 2013, N 30, est. 4084).
10. Person, End of the mutual investment
fund, implement property, component
investment foundation, and to implement creditors
compliance with article 32 of this Federal Law in
not greater than of the day's
terminate the mutual investment of the fund. Specified time can
be extended on Russia's decision, if a stop is
hedge fund The
( action) of the company's control license. For
to prevent property operations, components
mutual investment foundation,
termination current
suspended for (in )
Federal Law of July 2012 N 145-FZ -Collection
Russian Federation Federation, 2012, N 31, st. 4334;
Federal Law July 2013 N 251-FZ -Assembly
Russian legislation, 2013, N 30, sect. 4084).
11. Dedicated depot with implementation
termination of mutual investment fund acting on its own name
and performs
mutual investment fund, in performs
name on the implementation of the property, of the paced component
investment fund, including real estate property,
money in and in banks and other
credit organizations, also perform operations with valuable
papers, parts of a mutual investment fund, without an instruction
(orders) for the management of the company. State Registration
transactions and (or) the transfer of ownership to immovable property,
part of the investment foundation
providing a specialized with the Bank of
Russian copy of the management company's license revocation
(Ind. Federal Law of 23 July 2013 N 251-FZ-Assembly
Russian legislation, 2013, N 30, sect. 4084).
12. Depot
stopping of the investment of the investment
funds, in transit or bank account
open of the control company in accordance with Article 15, paragraph 2
Federal of the law, by order
specialized depot. The specified operations
bank or other credit in provisioning
specialized bank statement certified by the Bank of Russia
registry of control companies licenses to support invalidation
(termination of action) of the company (in .
Federal Law of 28 July 2012 N 145-FZ -Collection
Russian Federation Federation, 2012, N 31, st. 4334;
Federal Law of 23 July d N 251-FZ - Collection
Russian legislation, 2013, N 30, sect. 4084).
13. The administration's termination
investment investment in the control name
without power of attorney and performs control
company to terminate a mutual fund, including
makes from company implementation
property, part of the investment investment, including
immovable property, manage money in accounts
and in deposits in banks and other credit organizations, control
valuable pieces of paper, parts of the equity investment foundation.
Remuneration,
Theinterim administration is not paid.
(Article 31. Federal Act of 6 December 2007 N
334-FZ -Collection of Russian legislation, 2007, N
50, Art. 6247)
Article 32. Distribution of assets of the papayas
investment fund, when the folder is terminated
investment fund
1. of the fund's investment of the foundation
property, part of the investment investment to
implementation.
Money, components of the mutual investment fund and
post-paraphered possessions
Theinvestment fund is distributed in the following order:
in the first queue - requires requirements
for Property, part of the paced
investment fund (excluding fees provided by
)paragraphs fourth and of the number in
specialized Depot,
registry of investment pans, an audit
organization and for the [ [ compensation exchange]],
Reason for termination of a mutual investment fund
as well as individuals whose applications were for the payment of investment payees
passed before fade
investment fund, of pecs (in
The Federal Act of 28 July 2012 N 145-FZ-Assembly
Russian legislation, 2012, N 31, article 4334;
in the second queue is the person who stopped the spider
investment of fund, corresponding for
exception, when according to this Federal The
law does not make pay. Federal
Act of December 6, 2007 N 334-FZ- Legislative Assembly
Russian Federation, 2007, N 50, Art. 6247;
in the third queue - of the company
accrued after the base termination date
investment of the fund, also a specialized depositary,
person s
s investment registerploys, and for the award organization
accrued after
investment of the fund Federal Act of 28
July 2012 N 145-FZ - The Russianlegislature
Federation, 2012, N 31, article 4334);
fourth-queue owners of investment payers
compensation by allocation of remaining properties
proroproportionally the number of owned investment paev (in
Federal Act of 6 December 2007 N 334-FZ-Assembly
Laws of the Russian Federation, 2007, N 50, st. 6247).
The person who is ending of the investmentinvestment
fund, can get due for
performance of duties for investmentinvestment
fund only after all calculations in matches
{ } { queued } 2. After Calculations in matches with real Article of the person stopping of the pacer investment of the fund, } {
}
investment fund and represents it in Russia's (in Ed.
Federal Law July 2013 N 251-FZ -Assembly
Russian legislation, 2013, N 30, sect. 4084).
Requirements for of the
investment Thefoundation and order of its presentation are set by the Bank of Russia (in
The Federal Act of 23 July 2013 N 251-FZ-Assembly
Russian legislation, 2013, N 30, sect. 4084).
The Bank of Russia approves the {
} report
investment fund and accepts mutual exclusion
hedge fund of the mutual investment fund registry (in
Federal Law of 23 July 2013 N 251-FZ - Collection
Russian legislation, 2013, N 30, sect. 4084).
3. Investment funds of the investment fund's investment fund
termination to be repaid with payment
compensations regardless of from ,
investment pap requirement repayment ( 3 )
Fed by Law 6 December 2007 N 334-FZ-Assembly
Laws of the Russian Federation, 2007, N 50, st. 6247).
CHAPTER VI. REQUIREMENTS FOR COMPOSITION AND RESTRUCTURING OF THE ASSET
EUTIONAL INVESTMENT FUNDS AND
ASSETS INVESTMENT FUNDS
Article 33. Stock of equity investment assets
equity funds and assets
1. equity investment funds
equity funds can cash
funds, including foreign currency, and related
requirements set by Bank of Russia regulations.
Federal Law of 23 July d N 251-FZ - Collection
Russian legislation, 2013, N 30, art. 4084:
1) public Russian Federation
State securities of subjects of the Russian Federation;
2) municipal securities;
3) shares and bonds of Russian economic societies;
4) Securities of Foreign States;
5) Stock and Bonds
foreign business organizations;
6) investment trusts of mutual funds;
7) Mortgage Securities s matches
Russian Federation Mortgage Securities Law;
8) Russian depositary receipts;
9 other pieces of paper, mandated by
The Bank of Russia (to the red). The Federal Act of of July N
251-FZ -Collection of Russian legislation, 2013, N
30, article 4084).
(Item 1. Federal Act of 6 December 2007 N
334-FZ -Collection of Russian legislation, 2007, N
50, Art. 6247)
2. equity investment funds
stock, of interval and closed mutual investment
funds together with property, specified in paragraph 1 of this Article,
may include other compliance
Acts of the Bank of Russia. Federal Act of 28 July 2012
N 145-FZ-Russian Federation Law Assembly, 2012, N
31, st. 4334; of the Federal Act of 23 July 2013. N 251-FZ
The legislation of the Russian Federation, 2013, N 30, st.
4084).
Missing property and property
can be only Shareholdings investment funds and net investment investment funds. requirements for monetary commitments in
rights that will arise in the future from existing commitments or
from future commitments, can include only in assets
closed investment funds (paragraph entered by Fed
The law of December 21, 2013. N 379-FZ-Law Assembly
Russian Federation, 2013, N 51, est. 6699).
3. Stock requirements of the investment
fund is defined in its investment declaration, requirements
{ \cs6\f1\cf6\lang1024 } equity{ \cs6\f1\cf6\lang1024 }
{ \cs6\f1\cf6\lang1024
}
{ \cs6\f1\cf6\lang1024
} investment
declaration, in trust management rules
investment investment The Federal of the Law of 6
December 2007 N 334-FZ- Collection of the Russian
Federation, 2007, N 50, article 6247).
4. Shareholdings of the investment funds or
hedge funds bonds, issued
microfinance organizations, may not
percentage of the cost of assets, of the Shareholdings
investment funds and mutual funds, securities
which are intended for qualified investors ( 4
introduced by Federal by Law December 2013 N 375-FZ-
Russian legislation meeting, 2013, N 51, st.
6695).
Article 34. Shareholdings Asset Structure
equity funds and assets
investment funds
Requirements for Shareholdings investment
hedge funds and equity funds
The Bank of Russia's normative acts (to the red of the Russian Federation). Federal Act of 23
July 2013 N 251-FZ - The legislature
Federation, 2013, N 30, st. 4084).
Investment Declaration of the Shareholdings Investment Fund and
investment investment
set higher structure of assets to
Requirements, By the Bank of Russia's regulatory s
Federal Law of 23 July 2013 N 251-FZ - Collection Russian legislation, 2013, N 30, sect. 4084). Article 35. Investment Declaration
Investment Declaration of the Shareholdings Investment Fund and investment investment investment
must contain:
Shareholdings of the Shareholdingsinvestment
hedge fund and of the
company
investment fund;
list of investment objects;
risk description, investing in
investment objects;
requirements for of the Shareholdings Investment
fund and assets of the mutual fund.
CHAPTER VII. DETERMINATION OF THE VALUES OF THE NET ASSETS
EUTIONAL INVESTMENT FUNDS AND
NET ASSETS INVESTMENT FUNDS.
EVALUATION OF ACTIVE INVESTMENT
FUNDS AND ASSETS INVESTMENT FUNDS
Article 36. Determination of the value of net assets
Shareholdings and Clean
equity investment funds assets
Value of Net Assets of Shareholdings Investment
net assets of mutual investment funds are defined in the order
and deadlines, are envisaged by the Bank of Russia's normative acts (to the red of the Russian Federation).
Federal Law of 23 July d N 251-FZ - Collection
Russian legislation, 2013, N 30, sect. 4084).
Article 37. Equity investment valuation
Foundation Trust Fund and Assets
1. Equity assets and assets valuation
investment of the fund in order,
envisaged by the normative of the Bank of the Russian (in .
Federal Law July 2013 N 251-FZ -Assembly
Russian legislation, 2013, N 30, sect. 4084).
2. Real estate appraisal, real estate rights,
other regulatory Acts of the Bank of Russia Property,
owned or shareholding
mutual investment fund, is implemented by an evaluator defined by
Stock
directors
hedge fund or in in trust
management of the mutual investment fund Federal Law
dated July 23, 2013 N 251-FZ-Legislative Assembly of the Russian Federation
Federation, 2013, N 30, st. 4084).
3. Management of the mutual investmenttrust
a fund may provide an estimate of the property to be passed to
include in the composition of the mutual fund when forming
such fund, an evaluator specified in rules
trust management of the mutual investment fund.
4. Estimated Property, 2
articles, must be purchased, and at least
one time in if different is notinstalled
The Bank of Russia's normative acts (to the red of the Russian Federation). Federal Act of 23
July 2013 N 251-FZ - Collection of the Law of the Russian
Federation, 2013, N 30, st. 4084).
5. Shareholdings investment and of the equity
hedge fund affiliates
equity investment of the company
specialized of the Shareholdings Investment Fund
and the investment investment of the organization
equity investment and of the organization
investment equity (in
Federal Law of July 2012 N 145-FZ -Collection
Russian legislation, 2012, N 31, article 4334).
6. Appraiser is responsible in front of
investment or owners of investment
losses in
equity investment fund or company manager
hedge fund Other
object of report in signed
Evaluator:
1) equity equity equity
equity investment fund and assets;
2 of the shareholding property
investment and property, equity
An investment fund.
7. The management company of the mutual investment fund is carrying
default responsibility
true article. Managing company that has incurred loss has
right of request (regress) to the assessor in the sum of the amount,
paid by it to the owners of the investment payees.
8. Property evaluation, given in this article, if it
belongs to equity investment or is
investment investment (investment shares)
limited in rotations, may not run, for exceptions
cases by the Bank of the Russian Federation
equity investment or
mutual trust fund management rules (in
)Federal Law of 23 July 2013 N 251-FZ - Collection
Russian legislation, 2013, N 30, sect. 4084).
(Article 37. Federal Act of 6 December 2007 N
334-FZ-Collections of Russian Federation Federation, 2007,
50, Art. 6247)
CHAPTER VIII. ACTIVITIES OF THE OFFICE OF THE
Article 38. Control Company Requirements 1. The company can be only created in
compliance with Russian Federation Shareholdings
company or Society limited (additional)
responsibility.
2. The control can use in
"investment " " Shareholdings
investment fund " or" mutual investment fund " in combination
with the word "managing company".
3. Management (trust management) of stock assets
investment and trust trusts
investment can only
licenses for the management of the company. The of the license
may also be trusted to manage other assets
in cases provided for by federal laws.
4. Activity, provided by of paragraph 3 of this Article,
can be combined only with to manage valuable
papers and (or) with activities in company
specialized of the community in matches
Russian legislation on the securities market (ed.)
Federal Law of December 2013 N 379-FZ-Assembly
Russian legislation, 2013, N 51, article 6699).
5. The control has the right to implement investment
own funds, to make deals on in
usage, as well as advisory services
investments in compliance with Bank of Russia regulations
to prevent conflicts of interest (in the red. Federal Law
dated July 23, 2013 N 251-FZ-Legislative Assembly of the Russian Federation
Federation, 2013, N 30, st. 4084).
6. The company's
to comply with Bank of Russia regulations requirements (in Ed.
Federal Law July 2013 N 251-FZ -Assembly
Russian legislation, 2013, N 30, sect. 4084).
7. Manager must provide constant
management of your activity. Credentials alone
executive body of management company cannot be passed
legal entity.
8. If you decide to suspend or premater
termination of the authority's
control company must be at the same time to accept
decision to accept on education, respectively, temporary single of the or of the new Single executive
executive body can only be executed by
consists of in
(tip board
{ collegieras the executive body. The person who performs the functions
interim executive
controlcompany, must respond to 9 and 10 of this
articles.
9. Person Implementing Single Executive
company's company, must have higher education and
match with Russian
and professional requirements (in .
Federal Law July 2013 N 185-FZ -Collection
Russian Federation Federation, 2013, N 27, st. 3477;
Federal Law of 23 July d N 251-FZ - Collection
Russian legislation, 2013, N 30, sect. 4084).
10. Member of the board of directors (supervisory board), member
collegiboard executive body, sole
and the branch manager cannot
be:
1) persons who have the function alone
financial organization's executive body in committing
these violations for which they have revoked
(revoked)
activity, or violations, has been suspended
the specified licenses and the specified licenses were revoked
(withdrawn) due to non-elimination of these violations, from days
Thesuch invalidation has been less than three years. Under Financial
organization for the purpose of this Federal is understood
professional market participant securities, clearing
organization, management company of the investment of the mutual fund
investment fund fund
specialized investment fund, folder
investment fund fund
stock investment fund, credit organization, insurance
organization, non-state pension fund, organizer
trading;
2) persons who have not expired during
they are considered to be punished by
disqualification;
3) persons who have or uncollected
crimes in the Economic Activity
or of the crimeAgainst State authority.
(Paragraph 10 in red The Federal Act of 28 June N
134-FZ- Collection of Russian legislation, 2013, N
26, art. 3207)
10-1. board member (observatory
tip) when circumstances specified in 1-3
point 10 of this article, is considered to be emitted from the day of joining
strength of the corresponding of the authority
(Paragraph 10-1 was introduced by Federal Law of June 28, 2013). N 134-FZ
-Russian Law Assembly, 2013, N 26, st.
3207).
11. Russian Russian Federation
municipal to the right
control company.
12. (Paragraph 12 is no more effective under the Federal Act.
28 June 2013 N 134-FZ-Legislative Assembly of the Russian Federation
Federation, 2013, N 1, st. )
13. (Paragraph 13 is no more effective under the Federal Act.
June 28, 2013 N 134-FZ- Meeting Russian
Federation, 2013, N 26, art. 3207)
14. (Paragraph 14 is no more effective under the Federal Act.
28 June 2013 N 134-FZ-Legislative Assembly of the Russian Federation
Federation, 2013, N 26, art. 3207)
15. The control company is required to organize Internal
monitoring compliance with activities based on
company management licenses , requirements of federal laws, and
Russian Federation regulatory legal acts,
Acts of the Bank of the Russian mutual trust
investment fund, other contracts, control prisoners
company
constitutive and internal control documents
company (hereinafter referred to as internal control) Federal Law
dated July 23, 2013 N 251-FZ-Legislative Assembly of the Russian Federation
Federation, 2013, N 30, st. 4084).
16. Internal control must be
(hereinafter the controller) or individual organizational unit
company ( - Internal control).
Controller (Internal Audit Manager) is assigned to
post and dismissed from the tip
directors (supervisory board), and when it is not a solution
Thecommon of the company's company's company's control.
Controller ( Internal Control
) accountableBoard of Directors ( tip) or
shareholders (members) of the managing company.
17. Controller ( Internal control
must have a higher education and compliant
Bank of Russia Qualification requirements. by the Controller
Internal Control
and theinternal control internal controls cannot
to be (in the red. Federal Act of 2 July 2013 N 185-FZ-
Russian legislation meeting, 2013, N 27, st.
3477; Federal Act of 23 July 2013 N 251-FZ-Assembly
Russian legislation, 2013, N 30, art. 4084:
1) the person of the Single Executive Function
organ;
2) the persons referred to in paragraph 10 of this article.
18. Rules for organization and internal control in
company ( - Internal Control
(observable advice), no public meeting shareholders (members) of the managing company (in Ed. Federal
Law of 23 July 2013 N 251-FZ-Legislative Assembly Russian Federation, 2013, N 30, st. 4084; Federal Act of
29 June 2015 n 210-fZ-Assembly of Russian legislation Federation, 2015, N 27, st. 4001). (Article 38 in the Federal Act of 6 December 2007 N 334-FZ-Collections of Russian Federation Federation, 2007, 50, Art. 6247) Article 38-1. Requirements for founders (participants) control company 1. Physical person who has or uncollected
{ \field }
economic activityor
crime against state authority, to the right or
indirectly (
with others
trust control, , (or) of the simple
partnerships, and (or) assignments, and (or) stock agreement, and
(or) other convention whose object is implementation
rights, certified (shares) of the company
to receive permission and more percent
voting shares (shares), parts of the charter
the capital of the managing company.
2. A person who is directly or indirectly (through the control of
person) or others associated with
property trusts, and (or) simple
partnerships, and (or) assignments, and (or) stock agreement, and
(or) other convention whose object is implementation
rights, certified (shares) of the company
received permission and more than %
voting shares (shares), parts of the charter
capital of company company, must send notification
control company and federal executive branch
market in order and time frames
{ regulatory legal acts of the federal executive
authority for the security market.
3. The Federal Executive of the market
{ \cs6\f1\cf6\lang1024}s{ \cs6\f1\cf6\lang1024
persons who are directly or indirectly ( ( )
alone or together with others
property trusts, and (or) simple
partnerships, and (or) assignments, and (or) stock agreement, and
(or) other convention whose object is implementation
rights verified by shares (shares) of the company's control
permission for 10 percent and more votes, for
voting shares (shares) that make control capital
company.
4. If notification,
Articles, or from
notification should be that a person who is directly or indirectly (through
s or together with
faces bound
property, and (or) simple partnerships, and (or) assignments, , and
(or) shareagreement, and (or) other agreement, subject
which is implementation of rights, -certified shares
(shares) of the managing company has the right to dispose of 10 or more
percentage votes, coming voting voting (shares),
compositions of the company's control,
matches requirements,
1article, person given the right to dispose of the number of votes, not
greater than 10 percent of voting shares
(shares) that make up the company's management capital . On
this other stock (shares), to the specified person,
Shareholders Meeting
(s) are not accounted for.
(Article 38-1 was introduced by Federal Law of June 28, 2013). N
134-FZ-Legislative Assembly of the Russian Federation Federation, 2013,
26, art. 3207)
Article 39. Managing Company Responsibilities
1. The control company is required to act wise and
good
responsibilities.
2. Control company is obliged:
1) transfer property, of the shareholding
investment foundation, and Property, component
investment fund, to account for and (or) storage specialized
Depot, if individual pieces
legal acts of the Russian Federation, in normative
acts of the Bank of Russia, Federal
Act of 28 July 2012 N 145-FZ - Legislation
Russian Federation, 2012, N 31, st. 4334; Federal Act of
23 July 2013 N 251-FZ- Assembly of the Russian
Federation, 2013, N 30, art. 4084);
2) transmit to a specialized depositary immediately
or of all of all primary
documents in of the property, of the shareholding
investment foundation, , and of the property, of the paced component
investment foundation, instances
real property rights;
3) represent in the Central Bank of the Russian Federation in the installed name
order (Ind. Federal Law of 23 July 2013 N 251-FZ-
The legislation of the Russian Federation, 2013, N 30, st.
4084);
3-1) provide the option in Russia
electronic documents, The
option to get from the BankRussian documents in order, by the Bank
Russian Federation (Subparagraph 3-1 was introduced by the Federal Law of July 13, 2015).
N 231-FZ-Collection of Russian legislation, 2015, N
29, article 4357, effective from February 9, 2016);
4) disclose information about the equity investment fund and
o of the equity investment in the
Fed by law, for exceptions
true Federal Law;
5) have in the Internet e-mail address
includes domain name, to this
control company (hereafter referred to as the management company's site)
6 implement operations with property
Shareholdings of the fund and/or assets of the mutual
investment fund, and other property, trust
management
control company, in the manner prescribed by the regulations
Russia (in Ed. The Federal Act of 23 July 2013 N
251-FZ-Legislative Assembly of the Russian Federation Federation, 2013,
30, art. 4084);
7) send notification to the Bank of Russia about composition change
Board of Directors (Supervisory Board) and Executive Bodies
control company within five working days from the date of the attack
specified events (in Federal Law of 23 July 2013 N
251-FZ-Legislative Assembly of the Russian Federation Federation, 2013,
30, art. 4084);
8) use with a person
maintenance owners of investment portfolios (Recorder
Shareholdings investment of the fund
Depot, with Issue, and redemption
investment paev, also with people, trust management
The
company, for with the exception of purchers and owners
investment payers, documents in of the form, signed
Anelectronic signature. Type of electronic signature and its verification procedure
set by the agreement members
interoperability (to the red. Federal Act of 12 March 2014. N
33-FZ-Russian Federation Law Assembly, 2014, N 11,
1098);
8-1) expand or, if no investment s in
turn, provide information to owners of investment payev
list of investment owners for
s of the Partial Repreation
investment payev without requiring them to pay not
later three working days before the specified list
(Subparagraph 8-1 by Federal Law from 28 July 2012 N
145-FZ -Collection of Russian legislation, 2012, N
31, article 4334);
9) comply with other requirements, provided by
The Bank of Russia'sFederal and are the normative of the Bank of Russia.
Federal Law of 23 July d N 251-FZ - Collection
Russian legislation, 2013, N 30, sect. 4084).
3. Manager company investment of the fund
right in cases provided by federal laws, no
from of their
Federal Law and with investment
fund.
3-1. The control has the right to delegate to another
from for stock
investment or equity fund of the paced component
investment fund, actions, required for
corresponding property, unless otherwise specified by the contract
trust asset management of the equity investment
payev trust fund or agreement
fund.
Control company has the right to assign another person to commit from
name of this person, but with equity investment
or property, equity component investment fund
transactions, if does not provide the trust
stock investment equity or
trust fund management agreement.
(Paragraph 3-1 was introduced by the Federal Act of 28 July 2012). N
145-FZ-Legislative Assembly of the Russian Federation Federation, 2012, N
31, article 4334)
4. s
paragraph 3 of this article, control company
equity investment fund is required:
1) at least 60 days before the execution date
responsibilities in writing to notify the board of directors
(supervisory board) of the investment of the fund and the Bank
Russia Federal Law of 23 July 2013 N 251-FZ
The legislation of the Russian Federation, 2013, N 30, st.
4084);
2) within five working days since
their
property (including money), owned by )
investment fund, newly appointed manager of the company. 5. The decision to voluntarily eliminate the management company can be before all paev
funds that it trusts, and (or)
before rights and responsibilities for all trust contracts
control company based on a management company license
another managing company (other management companies).
6. Management company stock exchange of the investment
foundation is required before the termination of this fund
compliance with trust trust
:
1) purchase (sales) by the person (s)
faces) of exchange-traded mutual fund investment fund
price, that cannot differ from the estimated cost of one
investment pap greater than, set by rules
trust management of trust fund;
2) buy (sell) market maker in organized trades,
Russian stock exchanges, investment pits at a price that
can be different from the estimated price of one investment pa
more of the
trustmanagement of such a foundation.
(Item 6 was introduced by the Federal Act July 28, 2012). N
145-FZ-Legislative Assembly of the Russian Federation Federation, 2012, N
31, article 4334)
(Article 39. Federal Act of 6 December 2007 N
334-FZ-Collections of Russian Federation Federation, 2007,
50, Art. 6247)
Article 40. Control Company Activities Restrictions
1. Control Company acting in trusted
manager of the stock investment of the fund or
assets of the equity investment of of the function
Single Executive of an equity investment
foundation, may not make the following transactions or assignments on
committing the following transactions:
1) acquisition of
Federal Law, Acts of the Bank of the Russian Federation
equity investment or
investment of the fund Federal Act of 23
July 2013 N 251-FZ - The legislature
Federation, 2013, N 30, art. 4084);
2) Free Non-Free Stock alienation
investment or equity fund of the paced component
investment fund;
3 The company
responsibility for devolution, at the time of adoption
responsibility does not form assets of equity investment fund
or a mutual investment fund, excluding transactions committed
in organized trading, if of the clearance
such transactions (to the red. Federal Act of 21 November 2011 N
327-FZ-Legislative Assembly of the Russian Federation Federation, 2011, N
48, art. 6728);
4 for purchase of collateral or
other security
equity investment or of the composition investment for the fund includes property, , which is the item collateral or other security; 5) loan contracts, and contracts repo. This rule does not spread to
money to swap or redeem investment payees
insufficiency of money of the component
investment foundation, and contracts in in
The Bank of Russia regulations. Cumulative
debt, repayable for Property,
part of the mutual fund, all loan contracts, and
credit contracts greater than 20 percent
net assets of the equity of the investment of the fund. Date
leveraged loans from each loan contract and credit
contract (including extension period) may not exceed six months
(Ind. The Federal Act of Nov. 25 2009 N 281-FZ
Legislation of the Russian Federation, 2009, N 48, st.
5731; of the Federal Act of 23 July 2013 N 251-FZ- Collection
Russian legislation, 2013, N 30, art. 4084);
6) acquisition of
trust other , , and properties,
part of the stock investment fund, in which
control company performs functions of single executive
authority, except as provided in this article;
7) on alienation of property, that is an equity asset
investment or equity fund investment fund
property, in her trust management
othercontracts, or in assets, assets
equity investmentin which the management company
executes single
elimination of cases covered by this article;
8) acquisition of securities (issued)
members, basic and primored by societies
participant, its children, and dependent societies, specialized
depositary, auditing organization of an equity investment
or equity
registrar investment investment
management of investment payees, or
shares in the authorized capital of any of these persons, exception
cases, of this Federal
Act of 28 July 2012 N 145-FZ - Legislation
Russian Federation, 2012, N 31, article 4334);
9 for property, owned by this control
company, its participants, basic and dominant economic
contributor societies, its children and dependent societies,
estranged property given for for exceptions
covered by this article;
10) acquisition of custom
depository, of the audit of the organization
managing company contracts for real
Federal Law, s
owners of sinvestment fund, trust
implements this control company or disposition of property
listed individuals, except for investment paev extraditions
specified and other cases
article (under Ed.) Federal Act of 28 July 2012 N 145-FZ-
Russian legislation collection, 2012, N 31, st.
4334);
11) purchase of security, released (issued)
control company, and equity investment foundation
or Single Managers
organ of which this managing company is implementing.
2. Control Company acting in trusted
manager of the stock investment of the fund or
mutual investment fund or single-person functionality
executive body of the equity investment fund, to the right
Acts
of the BankRussian requirements, aimed at limiting risks, to conclude
treaties that are derived from financial instruments (under the law).
Federal Law of Nov. 25 2009 N 281-FZ-Assembly
Russian Federation Federation, 2009, N 48, st. 5731;
Federal Law July 2013 N 251-FZ -Assembly
Russian legislation, 2013, N 30, sect. 4084).
2-1. The company has no right to conclude contracts
services, to pay for
equity investment or of investment
fund, in cases of the Bank of the Russian Federation
(Paragraph 2-1 was introduced by Federal Law of July 28, 2012). N 145-FZ-
Russian legislation collection, 2012, N 31, st.
4334; in red. The Federal Act of 23 July 2013 N 251-FZ-
Russian legislation collection, 2013, N 30, st.
4084).
3. Control company cannot:
1) buy shares of the investment of the fund
assets of which are in its trust or function
Theindividual executive organ of which it executes, and
investment shares of the mutual investment fund in its
trust management, for exceptions
true Federal by law Federal Act of 28 July 2012 N 145-FZ - The Russianlegislature Federation, 2012, N 31, article 4334); 2) dispose of of the Shareholdings Investment Fund or property, equity investment fund, without
pre-concord of the custom of the
exclude transactions, on tenders organized by
Russian or Foreign exchange Other
{ y trade organizer} Federal Act of 28 July 2012
g. N 145-FZ-Assembly of Russian legislation, 2012,
N 31, article 4334); 3) control money (valuable papers)
in transit (deco-transit account),
other property, in pans and not
included in equity of the investment of the fund, without
pre-specialized depositary consent;
4) use property, Shareholdings
investment for fund, for of native
obligations or third property
part of the mutual fund for execution
self-obligations, not associated with trust
investment investment for enforcement
Commitments third faces. requirements of this
items of property
equity investment or equity fund
investment fund, for individual clearing or
to the property pool Federal Law of 23 July 2013
N 251-FZ-Legislative Assembly of the Russian Federation, 2013, N
30, st. 4084; of the Federal Act of June 29, 2015. N 210-FZ-
The legislation of the Russian Federation, 2015, N 27, st.
4001);
5) charge percent for money
company's payments for money
compensations owners of investment or for
exchange of investment pans, in cases provided by Article 25
true Federal Law.
4. Limitations on transactions set out in subparagraphs
6, 7, 9 and 10 of paragraph 1 of this article do not apply if:
1) deals with securities are made on organized
bids based on bids for (sale) by from
that bids are addressed to all
and information, to enable to identify
bidders are not exposed during trading
other participants Federal Act of 21 November 2011
N 327-FZ-Legislative Assembly of the Russian Federation, 2011, N
48, art. 6728);
2) deals are made with securities, members
mutual investment fund, investment opies can
be investment of another of the fund, in
Theof which the specified security is purchased.
5. Limitations on transactions,
8 point 1 of this article does not apply if the transactions are: 1) is made with securities that are included in the quoted lists of Russian stock exchanges (ed.). The federal law of Nov. 21 2011 N 327-FZ-Assembly of Russian Legislation,
2011, N 48, art. 6728); 2) is committed additional joint-stock company in the administration company of law shareholder preemption of and emission securities converted into shares of this joint-stock company; 3) are acquisition of shares (shares)
business societies
were dependent (child) societies
control company due to acquisition of the last specified shares
(shares) in property, part of Shareholdings
investment fund or mutual fund.
6. Limitation on transactions, as set out in subparagraph
3 paragraph 1 of this article does not apply to alienation transactions
property, by the company of
Single Executive of the Shareholdings
investment or as trust
manager of the stock investment of the fund or
mutual investment fund, shares (investment shares)
limited in turnover.
7. Limitations on transactions set out in subparagraphs
5 and 8 1 of this do not apply to transactions,
perpetrated by the company's company
single executive of the equity investment
or in the trust
equity investment or equity
investment fund, shares (investment s)
limited in turnover, in cases of the Russian Bank (in
The Federal Act of 23 July 2013 N 251-FZ-Assembly
Russian legislation, 2013, N 30, sect. 4084).
8. Limitations on committing with owners
investment equity
1
to deals, by the company
Single of the Organ
equity investment or in quality
trustee of the Shareholdings Investment
fund or mutual fund, equity (investment shares)
which is limited by in in cases where is set by the Bank
Russia Federal Law of 23 July 2013 N 251-FZ
The legislation of the Russian Federation, 2013, N 30, st.
4084).
9. On transactions, committed in violation of requirements of this
Articles, the company is bound by before third parties
is personal and responsible only for the property belonging to it.
(Article 40. Federal Act of 6 December 2007 N
334-FZ-Collections of Russian Federation Federation, 2007,
50, Art. 6247)
Article 41. Management Rewards and Costs
Shareholdings and Trust
Management of the mutual investment fund
1. Company Control
depository, of the user registry
investment paev, evaluator, of the organization and the exchange
paid out of stock property's equity fund
and property, component of the mutual fund, and their sum
should not exceed 10 percent average annual cost
assets of equity investment fund and net assets of mutual funds
investment of the foundation. Cost { \cs6\f1\cf6\lang1024 } { \cs6\f1\cf6\lang1024 }
net asset equity and net assets
Theinvestment of the fund is determined by the Bank of Russia.
Federal Law of 28 July 2012 N 145-FZ -Collection
Russian Federation Federation, 2012, N 31, st. 4334;
Federal Law of 23 July d N 251-FZ - Collection
Russian legislation, 2013, N 30, sect. 4084).
2. The size of the compensation of the management company and (or) order
its definitions, and costs, related
Trusted Management of the equity investment
fund or mutual fund, provided by contract
company company investment investment or
rules of trust fund management of mutual funds.
3. Control Company Compensation can be set
in the fixed sum or the proportion of the average annual value of pure
assets of equity investment fund (mutual investment fund)
fund) and/or share of revenue from management of equity investment
fund (share of revenue from trust Management closed
investment fund). Control Company Remuneration,
specified share of equity
investment ( share of from trust
closed investment by may not exceed
percent of specified revenue, order of
set by normative by the Bank of the Russian (in red.
Federal Law of July 2012 N 145-FZ -Collection
Russian Federation Federation, 2012, N 31, st. 4334;
Federal Law July 2013 N 251-FZ -Assembly
Russian legislation, 2013, N 30, sect. 4084).
4. if the company
termination of a mutual investment fund, size of its pay
specified in matches with
Federal d
mutual investment fund. 5. In the case of shares in the equity investment fund or investment limits on turnover, rules, provided paragraphs 1 and 3 of this article do not apply. In this order company's }
set by an investment equity declaration
investment or Managementtrust
mutual investment matches with
The Bank of Russia'snormative acts Federal Act of 23
July 2013 N 251-FZ - The legislature
Federation, 2013, N 30, st. 4084).
6. Expenses, Related to Property Trust,
assets of the investment of the fund, or
property, component of the mutual investment fund, in the number
mandatory payments, related to the trust management
property, as well as taxes, of which are property,
equity investment fund, paid
, respectively, assets that make up an equity asset
investment of the fund, or of the property, component
An investment fund. List of expenditures set by regulatory
Acts of the Bank of of Russia. The control company is not allowed to recover from
assets that make up an Shareholdings Investment Fund
or property, component of the mutual fund, expenses
for refunds
specified in of this tax and mandatory payments,
also
Federal law (under the rule of law). Federal Act of 28 July 2012
N 145-FZ-Russian Federation Law Assembly, 2012, N
31, st. 4334; of the Federal Act of 23 July 2013. N 251-FZ-
Russian legislation collection, 2013, N 30, st.
4084).
7. and damages for
failure to perform on contracts, prisoners
control company as trust manager
investment fund or of the equity investment
fund, implemented for own control property account
company.
(Article 41 in the Federal Act of 6 December 2007 N
334-FZ -Collection of Russian legislation, 2007, N
50, Art. 6247)
CHAPTER IX. MONITORING OF THE DISPUTE PROPERTY,
ACCEPTED ASSETS INVESTMENT FUND, AND
PROPERTY MAPPING THE INVESTMENT FUND
Article 42. Accounting and storage of property belonging to
equity investment fund, and
Property-Dimensions
investment fund
1. Property, owned by investment
foundation, and assets that make up a mutual fund, should
counted in a specialized depot.
Property owned by the equity investment fund, and
property, part of equity investment fund, must
store in specialized if for individual
Types of Property of Russian Federation Regulations,
including regulatory acts of the Bank of Russia, there is no other
(Ind. Federal Act of 28 July 2012 N 145-FZ-Assembly
Russian Federation Federation, 2012, N 31, st. 4334;
Federal Law July 2013 N 251-FZ -Assembly
Russian legislation, 2013, N 30, sect. 4084).
2. Accounting and Store Property, Shareholdings
investment foundation, , and of the property, of the paced component
investment fund, can be executed only
one specialized depot.
The Specialized Depositary does not have the right to use
dispose of property, shareholding
investment for fund, and property, component
An investment fund.
3. Securities Shareholdings
investment fund, or security rights, components
property of the investment of the fund, must be considered
depot in a specialized depot, except rights
government securities.
4. (Paragraph 4 is no more effective on the basis of the Federal of the law
28 July 2012 N 145-FZ-Legislative Assembly of Russian
Federation, 2012, N 31, article 4334)
Article 43. Property Control,
owned equity investment
foundation, and assets that make up a folder
investment fund
1. Dedicated The control
compliance:
1) Shareholdings investment of the fund
true Federal law, matches with it
Bank of Russia regulations, investment declaration provisions
stock investment of the fund, of the trust
Shareholdings investment of the investment fund
company (to the red. Federal Act of 23 July 2013 N 251-FZ-
The legislation of the Russian Federation, 2013, N 30, st.
4084);
2) Shareholdings of this FederalFoundation
law, adopted in accordance with Bank's s
Russia, and also investment declaration provisions
hedge fund company
powers Single of the Shareholdings
investment fund (in the investment fund) Federal Act of 23 July 2013
g. N251-FZ-Assembly of Russian legislation, 2013,
N 30, art. 4084);
3) of the company investment of the fund
true Federal law, matches with it
{ \cs37\b Bank Bank
} and the trust management rules
mutual investment fund Federal Act of 23 July
2013 N 251-FZ-Assembly of Russian legislation,
2013, N 30, article 4084).
2. Specialist The control company
consent to investment investment
(investment investment fund) or money
stocks, in transit (transit
account , if does not contradict this
Federal Law, Bank of Russia Regulations, Investment
Intent investment investment
Shareholdings of the investment
rules of trust management of the mutual investment fund (in
Federal Law of 23 July 2013 N 251-FZ - Collection
Russian legislation, 2013, N 30, sect. 4084).
3. The paragraph of this article
order in money is given by signing
specialized for the payment of the document, in
with that or other of the organization
company gives an order for money transfers
funds. If the specialized depot is ,
organization that has transit accounts and accounts specified
Federal
specialized Depot to execute
money transfer, if corresponds to 2
real of the article. this signing is so specialized
is not required by the
depositary of the payment document.
4. Rules for implementation by the specialized depositaries of accounts
and property storage
Federal Law, Control
covered by this article, as well as rules requirements
specialized depot installed
Russia (in Ed. The Federal Act of 23 July 2013 N
251-FZ-Legislative Assembly of the Russian Federation Federation, 2013,
30, article 4084).
5. of the failure to perform
specialized
for accounting and storageproperty, of the equity investment
( equity investment fund),
implementing control,
specialized depot shared responsibility with
control company before stock investment of fund or
before investors investment of investment
fund.
(Article 43. Federal Act of 6 December 2007 N
334-FZ -Collection of Russian legislation, 2007, N
50, Art. 6247)
Article 44. Requirements for a specialized depositary
1. Property accounting and storage activities,
stock investment fund, or of property, component mutual investment investment and { \cs6\f1\cf6\lang1024 }
stock investment of the fund or
company equity investment or
(continued - specialized
depot) can only be executed based on a license to
Depot activity
investment funds, investment funds and
non-State pension ( - license
specialized of the depot). Licenses
specialized cases
federal laws, can be accounted for and
Storage of other property (s), control of disposition of this
property (assets), and other control according to
specified federal laws.
2. Dedicated as a depositary of
investment fund and mutual fund can
only the depositary, is a joint-stock company or society
with limited (additional) responsibility, created in
with Russian Federation
a specialized depot license.
3. Only the specialized depot can be used in
brand name "investment "
"equity investment fund" or "mutual investment fund"
in with with "specialized depot"
"depot".
4. Activities of the specialized depositary implemented
by Contract:
1 of the investment investment if
single of this
control company;
2) with the company managing if is the last
trusted Shareholdings investment
fund or assets of mutual investment fund;
3 with faces in cases Federal
laws.
5. Depot contract for with
mutual investment fund
may be less than the lifetime of the management trust
is a mutual investment fund.
6. allows treaties
paragraph 4 of this article if:
1 Company Manager and Specialized
main and children or dominant and dependent on
relationships among societies;
2) Specialized is the owner of the shares
stock investment fund with which control
contract for contract;
3) specialized owner
investment trusts of the investment of the fund, in relation
which concludes the contract with the managing company.
7. custom can
matches only:
1) with Credit Organization Activity;
2) with professional activity in the security market,
exception owners
paper, as well as depositary activity, if the latter is related to
hosted with trade organizer
(or) Clearing Organization on Treaties with
securities, concluded in trading (in Ed.
Federal Law Nov. 21 2011 N 327-FZ-Assembly
Russian legislation, 2011, N 48, article 6728);
3) with production, production,
proliferation of cryptographic (cryptographic) tools
information systems and telecom systems, protected with
cryptography (cryptographic) tools, run
works, providing encryption services, technical
cryptographic cryptographic
information systems and telecom systems, protected with
crypto (cryptographic) usage (sub-paragraph 3
has been introduced by the Federal Law of July 28, 2012. N 145-FZ-Assembly
Russian legislation, 2012, N 31, article 4334).
8. Organizations
professional Activities
specialized of the depositary the last should
Aindividual organizational unit.
9. Activities
specialized depot to the right:
1) to provide the with the contract,
which records, stores assets (assets) and (or)
control Counselling
information services, and books
accounting;
2) maintain the registry of the owners of the investment payees;
3 is the information system operator
persons who have a contract with a specialized depositary;
4) implement of the Certifying Center
used by individuals who have the contract with custom
;
5) perform other activities, provided by
Federal law.
(Paragraph 9 in red The Federal Act of 28 July 2012 N
145-FZ -Collection of Russian legislation, 2012, N
31, article 4334)
10. Specialised Depot to implement
investment of your own money, make transactions on
transferring property to usage,
activity, provided by 9 of this
{ \cs6\f1\cf6\lang1024 } { \cs6\f1\cf6\lang1024
}
{ \cs6\f1\cf6\lang1024
}
conflict of interest Federal Act of
23 July 2013 N 251-FZ- Assembly of the Russian
Federation, 2013, N 30, st. 4084).
11. Single Executive Function
body of a specialized depositary, member of the board of directors
(supervisory tip), member of theexecutive
organ, by the branch of the branch of the
(head of individual structural organizational unit
Depot activity
may be faces specified in paragraph 10 38
Federal law.
12. Person Implementing Single Executive
organ, head of branch of the depot
(head of individual organizational unit ,
Depot
must have a higher education and
Russia's requirements and
professional experience (ed.) Federal Act of 2 July 2013
g. N 185-FZ-Assembly of Russian legislation, 2013,
N27, st. 3477; Federal Act of 23 July 2013 N 251-FZ-
The legislation of the Russian Federation, 2013, N 30, st.
4084).
13. Owning (Trust Management)
5 and more percent of common shares (shares)
depository, cannot be:
1) a legal person who committed a violation
view
financial organization activity;
2) a legal person, main or societies
Theviolation of was revoked the license to
implementing of the activity
;
3) a natural person referred to in Article 38, paragraph 10
Federal law.
14. Person, owning (trusted management)
5 and more percent of common shares (shares)
depot, is required to notify a specialized depot and
Bank of Russia in the order and dates, of which are set by
Acts of the Bank of Russia. Federal Law of 23 July 2013
N 251-FZ-Legislative Assembly of the Russian Federation, 2013, N
30, st. 4084):
1) to purchase or in property composition
in trust, common shares
(percentage) of specialized depository;
2) about its compliance (nonconformance) to the requirements of paragraph 13
true article.
15. Person, specialized
depositary according to paragraph 14 of this or
conforming to the requirements of paragraph 13 of this article is right
votes voting (shares) shares
depository, not greater than 5% of common
shares (shares) of specialized depositary. Other
shares (shares) owned by this person when determining the quorum for
General Meeting Members
Depot is not counted.
16. Requirements, for items 13 - 15 of this
Articles, Credit Organizations
The activities of a specialized depot.
17. Specialist The must organize
internal control for Activities
specialized
depository, requirements of federal laws and Other
legal acts of the Federation, of the Bank's acts
Russia, treaties concluded by a specialized depository of
given activity to the
documents and internal documents of a custom depot
(further - internal control of a specialized depot) (in
Federal Law of 23 July 2013 N 251-FZ - Collection
Russian legislation, 2013, N 30, sect. 4084).
18. Internal control of a specialized depository should
run by by the person ( - control
specialized of or separate
subdivision of of the ( - service
internal control of the depot. Controller
specialized depot or head of internal service
control of a specialized depot is assigned to a position and
releases from positions based on a decision of the Board of Directors
(supervisory board), no common
(participants) of the specialized depositary.
Specialist Depot Supervisor or Service Manager
internal control of the depot of is accountable
(tip advice or
common shareholders meeting (participants)
depository. 19. The Controller of the specialized depositary or the Head of State
internal control services of a specialized depositary
have the highest education and to match installed
Bank of Russia qualification requirements. by the Controller
specialized depot, byand
internal Depot control
Internal control specialized
depository, cannot be (under Ed.) Federal Law from 2
July 2013 N 185-FZ - Collection of legislation
Federation, 2013, N 27, st. 3477; Federal Act of 23 July
2013 N 251-FZ-Assembly of Russian legislation,
2013, N 30, art. 4084:
1) the person of the Single Executive Function
specialized depot, leader
Depot Depot (Head of Individual
structural organization unit of the
organizationspecialized depot activity);
2) faces
Federal law.
20. The organization's organization and internal control
specialized ( - Internal
audit of
andchanges approved by the board of directors (supervisory board)
a no shared Shareholders Meeting (participants)
specialized depot (in The Federal Law of
June 2015 N 210-FZ - Collection
Federation, 2015, N 27, st. 4001). 21. Specialist
depot and service provision, related forms
applicable documents and workflow order in progress
specified activity set
specialized depot that is required
specialized by the depot. Federal
Act of 28 July 2012 N 145-FZ - Legislation
Russian Federation, 2012, N 31, est. 4334).
22. (Paragraph 22 is no more effective under the Federal Act.
June 29, 2015 N 210-FZ- Assembly of the Russian Law
Federation, 2015, N 27, art. 4001)
(Article 44. Federal Act of 6 December 2007 N
334-FZ-Collections of Russian Federation Federation, 2007,
50, Art. 6247)
Article 45. Duties of a specialized depository
1. Dedicated depot should operate
exclusively in Shareholders ' interests
fund and owners of investment investment of investment
fund.
2. The Specialized Depositary must:
1 store property, belonging to
equity investment fund, , and Property,
mutual investment fund, if for individual property Russian Federation regulations, including normative acts
Acts of of the Bank of of Russia, is not intended to be otherwise. Federal
Act of 28 July 2012 N 145-FZ - Legislation
Russian Federation, 2012, N 31, st. 4334; Federal Act of
23 July 2013 N 251-FZ- Assembly of the Russian
Federation, 2013, N 30, art. 4084);
2) accept and keep the copies of all documents in
property, owned by equity investment
Fund, , and Property, part of a mutual investment fund,
true instances of documents
properties;
3) to report to the audit board (auditor)
hedge fund documents required for
Activity;
4 register as the nominal value holder
papers, of the equity investment of the fund, or
valuable papers, components of the mutual investment fund, if otherwise
Russian legislation;
5) implement control,
true Federal control control
identifying the value of net assets of investment
and net equity of investment funds, and
estimated cost of investment
investment and dimensions
redemption of investment paev;
6) to notify the Bank of Russia of the notifications they have detected during
control violations no later than 3 working days
days to detect specified violations (ed.) Federal Act of 23
July 2013 N 251-FZ - The legislature
Federation, 2013, N 30, art. 4084);
6-1) provide the option in Russia
electronic documents, The
option to get from the BankRussian documents in order, by the Bank
Russian Federation (Subsection 6-1 was introduced by the Federal Law of July 13, 2015).
N 231-FZ-Collection of Russian legislation, 2015, N
29, article 4357, effective from February 9, 2016);
7) send notification of composition to the Bank of Russia
Board of Directors (Supervisory Board) and Executive Bodies
specialized depot, branch manager
( individual organizational unit
Depot
5 working days from the occurrence of the specified events (in
Federal Law of 23 July 2013 N 251-FZ - Collection
Russian legislation, 2013, N 30, art. 4084);
8) use with the control company
registrar investment investment
payev owners of owners
agent for issuance, exchange and redemption of investment payees, as well
with other persons in license implementation
specialized of documents in in
signed electronic signature. Type of electronic signature and order
electronic interaction (in Federal Act of 12 March
2014 N 33-FZ-Assembly of Russian Federation Legislation
2014, N 11, article 1098);
9) comply with other requirements, provided by
Federal Law and Normative by the Bank of Russia
Federal Law July 2013 N 251-FZ -Assembly
Russian legislation, 2013, N 30, sect. 4084).
(Paragraph 2 to red Federal Act of 6 December 2007 N
334-FZ -Collection of Russian legislation, 2007, N
50, Art. 6247)
3. Specialized depositary of the equity investment
fund (mutual fund) cannot buy shares
(investment s) of this fund. Federal Act of 6
December 2007 N 334-FZ- Collection of the Russian
Federation, 2007, N 50, article 6247).
Article 46. Termination with Specialized
with the
1. Agreement terminated with specialized Depositary:
1) by agreement of the parties
convention;
2) in the case of liquidating the equity investment of the fund
completion point;
3) of the equity investment
termination time;
4 licenses
specialized depot for a specialized depot with
times in cancellation
(from end of of the specified license) (in
Federal Act of 28 July 2012 N 145-FZ - To
Russian legislation, 2012, N 31, article 4334;
5) Depot
when deciding to do this;
6) one of the contract from from the moment
contract;
7) when the contract expires.
(Item 1 in Ed. Federal Act of 6 December 2007 N
334-FZ-Collections of Russian Federation Federation, 2007,
50, Art. 6247)
2. Treaty Termination Information
depository of immediately Shareholdings
investment or mutual fund
Investment of the Fund to the Bank of Russia, with reasons for termination
contract Federal Law of 23 July 2013 N 251-FZ-
The legislation of the Russian Federation, 2013, N 30, st.
4084).
3. of the termination with custom
Depot the last must pass all
documents, related with execution of the specified contract,
specialized Depot, with shareable
investment or the managing company entered into a contract (in
Federal Act of 6 December 2007 N 334-FZ-Assembly
Laws of the Russian Federation, 2007, N 50, st. 6247).
4. If one of the contract,
para. 4 of Article 44 of this Federal Law, Other Side
must be notified of this less for three months before
stopping of this contract, if is different
federal laws (item 4 Federal
December 2007 N 334-FZ-Legislative Assembly of Russian
Federation, 2007, N 50, article 6247).
CHAPTER X. RECORD OF THE REGISTER OF INVESTMENT LANGUAGE
Article 47. Investment directory owners ' registry
1. The Owners ' Registry of Investment Entries
investment investment foundation,
andinvestment s of this fund, owners
investment paev and of investment
pits, nominal holders, other registered persons, and
number of investment pellings, shredding
investment payers, acquisition, exchange, transfer
or repaying investment sticks.
2. Maintaining Investment Vents Right
implement only the legal person
activity on maintenance of the registry owner's name
securities, or specialized of this folder
investment fund.
3. The Contracts Management Treaty of the payev investment
can be entered only with one legal entity.
4. Vipes VentsVents
is determined by Bank of Russia regulations. Federal
Act of 23 July 2013 N 251-FZ - The Law Collection
Russian Federation, 2013, N 30, est. 4084).
5. The owner's registry owner
investment payev, to develop registry rules
owners of investment s for
specified registry, form documents used and order
Workflow (item 5 introduced by Federal Law from 6 December
2007 N 334-FZ-Assembly of Russian legislation,
2007, N 50, article 6247; in red. Federal Law of June 29, 2015.
N 210-FZ-Assembly of Russian legislation, 2015, N
27, Text 4001).
6. of the contract of assignment or agency contract with
person s
investment, Issue, and
is entitled to collect documents required for
operations, related from to ownership of
investment paps, identify the persons specified
documents, also to certify and pass statements and information from
registry of owners of investment payers, received from the person
pans
owners(para. 6 of the Federal Act of 6 December 2007) N 334-FZ-
Russian Law Assembly, 2007, N 50, st.
6247).
7. The owner's registry owner
investment payev, is required to use interaction with
company, with specialized with
agent on , and repayments pans
nominal investment of
in Theelectronic form, signed by , of the signature. View
electronic signature and
agreement between members of an electronic interaction (para. 7
was introduced by the Federal Act of December 6, 2007. N 334-FZ-Assembly
Laws of the Russian Federation, 2007, N 50, st. 6247; in red.
Federal Law of March 2014 N 33-FZ
ToRussian legislation, 2014, N 11, st. 1098).
Article 48. Responsibility of the person conducting the maintenance
investment folder owners registry
1. The owner's registry owner
investment payers, reimburse persons whose rights are recognized
facial accounts in given Registry ( count
investment pans, trust and other
registered faces), and investors
i and other faces for opening of the front account,
damages caused by:
1) With the ability to realize investment rights, in
volume as a result of improper write-offs of investment
from the front account of the registered person;
2) with unable to to implement rights,
investment paps;
3)
specified registry.
2. The owner's registry owner
investment shares, is responsible for item
1 of this article, if fails to prove that proper execution
the specified registry could not be
due to insurmountable power or the mind of the owner of investment
pans or other persons referred to in paragraph 1 of this article.
3. The control company bears the default with
payev owners of owners responsibility, 1 of this article. Control company, , has the right to the opposite request (regression) to registry
owners of investment pans, in of the amount it paid
owners of investment or other people
paragraph 1 of this article.
4. Manager reimbursed
investment or owners of losses, in
result of default or improper performance
extraditing (repaying) pans, if will prove,
proper
cannot be caused by force or intent of purchaser
or owner of investment payees.
5. Control company, Loss in Cases
covered by paragraph 4 of this article, has the right
request (regression) to registry
owners of investment payers, in the amount paid by
bought or the owner of the investment if if
caused by an action (omission) of the person
registry of the owners of the investment payees.
6. Agreement on the maintenance of the register of owners of investment payees not
may limit the right of a postback (regress).
7. The court has the right to reduce reparations, provided
true article, if the purchaser or owner of the investment
fall or contributed
Decrement.
(Article 48 in Federal Act of 6 December 2007 N
334-FZ-Collections of Russian Federation Federation, 2007,
50, Art. 6247)
CHAPTER XI. ASSET DRIVER INVESTMENT
OF THE HOUSE OF THE PALESTINIAN COMPANY
INVESTMENT FUND
Article 49. Audit organization requirements
equity investment fund and
of the control company of the mutual investment
fund
Stock Investment Fund and Board of Directors
Theinvestment fund is required to conclude the audit contracts. Not
allowed to conclude referenced contracts with
if:
1) equity investment fund manager
mutual investment fund, specialized depot
person, in the registry of investment
pits, is related to this audit organization Basic
or child or dominant or dependent;
2) an audit organization is the owner of shares
equity investment of the fund, with or with the control
contract for contract;
3) audit organization is the owner of the investment
investment of the fund, with company
which is the contract.
(Article 49) Federal Act of 28 July 2012 N
145-FZ -Collection of Russian legislation, 2012, N
31, article 4334)
Article 50. Annual Audit
1. Audit organization in with prisoners
Thecontract is required to perform an annual audit.
2. Annual audit:
1) Accounting (Financial) Shareholdings
investment foundation, (financial) reporting
control company of mutual fund, accounting, and
compiling for items of property, belonging to
equity investment fund, property that is a component of a mutual
investment fund and operations with these assets;
2) composition of the structure's equity investment
Fund and Property comprising a Pew Investment Fund;
3) Calculations of the net of the Shareholdings
investment of the fund, estimate of the cost
investment payout, stock prices, and stock or price buyback prices
for which one investment of money
compensation, to pay in with redemption
investment pap;
4) compliance requirements for storage order
property, of the equity investment of the fund
property, of the component of the mutual fund and documents,
rights on property, belonging to the shareholding
investment foundation, and Property, component
investment fund;
5 deals with equity assets
fund and assets of the mutual fund.
3. Audit annual audit results
is required by the accounting (financial)
reporting of the investment of the fund, of accounting
(Financial) In Controls
investment fund.
(Article 50. Federal Act of 28 July 2012 N
145-FZ -Collection of Russian legislation, 2012, N
31, article 4334)
CHAPTER XII. RAGE OF INFORMATION ON THE ACTIVITIES OF THE ACTIVE
INVESTMENT AND DRIVING COMPANY
OF AN INVESTMENT FUND
Article 51. Requirements for the content of the redistributable,
of information to provide or expose
1. Distributing Shareholdings investment
or investment fund, about the management company
or specialized Depot- actions, targeting to
receipt of information by an unspecified number of persons or a transfer
such information to unspecified people, and providing such
information - actions to get it defined
Thecircle of persons or its transfer to a certain circle of persons.
2. In cases where are prescribed by Bank of Russia regulations,
in the redistribuable, provided or exposed information
equity investment fund or equity investment fund
must be contained in Federal Act of 23 July 2013 N
251-FZ -Collection of Russian legislation, 2013, N
30, st. 4084):
1) Full or Abbreviation Name of the Shareholdings
investment of fund, full or branding
fund's fund, number
registering equity issues on equity investment fund, license number of the share investment of the fund, number the management company of this fund and the title mutual investment fund, full or branding fund's fund, number
registering trust management rules with investment foundation, license number of this fund's management company; 2) location or location information (with address of the room, addresses of the stock investment of the fund or control para-investment company and phone numbers, in can get information to
provisioning under this Federal Law;
3) Incrediation or Decrement Provisions
shares and costs of investment shares, and stating that
investing in
future, that the state does not guarantee investment returns in
investment funds, , and about
careful reading of the equity charter
of the investmentfund, its investment declaration, Prospekt of shares and
trust management investment foundation
before buying stocks or investment payees.
3. Shareholdingsnot allowed to propagate
investment of the fund or equity investment fund, shares or
investment paps of which limited in , for
disclosure under this Federal Law
and other federal laws.
Information about the equity investment fund or on
investment fund, shares or investment
limited in can can
compliance with Federal About the Securities Market can
provide information about valuable papers, for
knowledgeable investors.
Any information about the Shareholdings investment or
mutual investment fund, shares or investment shares
limited in , must contain
circumstance.
(Item 3 in . The Federal Act of 28 July 2012 N
145-FZ-Legislative Assembly of the Russian Federation Federation, 2012, N
31, article 4334)
4. Stock investment and company
investment of the fund is responsible for the violation
requirements for order, time and content redistributable
exposed or expandable information
true Federal Law and Bank of Russia Regulations (in
Federal Law of 23 July 2013 N 251-FZ - Collection
Russian legislation, 2013, N 30, sect. 4084).
5. The Russian or self-regulated organization from
members of have the right equity investment and
management company equity of the fund is required
represent documents confidence
redistribued, provided or exposed (in
The Federal Act of 23 July 2013 N 251-FZ-Assembly
Russian legislation, 2013, N 30, sect. 4084).
6. Information, contained in the redistributive provided
or of information exposed to conform to
stock investment of the fund, investment declaration and
shares, trust rules trusts
investment fund registered in
order.
7. Any propagandable or exposed
equity investment investment
investment fund, about mutual
investment fund should not contain:
1) untrusted, unethical, knowingly
false, hidden, misleading information
2) any guarantee and promise of the future
equity investment returns
fund or management company of mutual fund, in
number
activitiespast;
3) information that is not documented;
4) information
equity investment fund or company manager
investment fund or mutual fund;
5) references or for approval by state
Shareholdings
investment or of the company control company
investment fund;
6) false or misspelled or
factors, Results
investment of an equity investment fund or
control company of the mutual fund of the fund, in number
Documentary Confirmation, Other
Otherperiod or event;
7) Statements or Change Approvals or Other Comparations
Stock
investmentinvestment or of the company control company
investment fund in current and in (description
changes in size, size, or asset growth, not
yields based on yields
requirements of Bank of Russia regulations Federal
Law of 23 July 2013 N 251-FZ-Legislative Assembly
Russian Federation, 2013, N 30, art. 4084);
8) future investments
investment security and the stability of possible revenues
or the costs associated with the specified investment;
9) assertions or statements about possible benefits, related to
services or working methods of an equity investment fund or
control company of the mutual investment fund;
10) exaggerated or unconfirmed skills declarations
management or characteristics of the stock investment
of the fundor control company of mutual funds, and
public connections local
self-government;
11 statements that the results of the shareholding
investment or of the company control company
investment fund achieved in the past may be repeated
in the future.
8. The The
Disseminate information about your future activities as
control company of equity fund and mutual
investment fund.
9. Stock investment and company
investment investment before distribution, provisioning
or Disclosures are required to submit to the Bank of Russia or in
in cases and
order, installed by Bank of the Russian Federation (in
The Federal Act of 23 July 2013 N 251-FZ-Assembly
Russian legislation, 2013, N 30, sect. 4084).
10. The Bank of Russia has the right to do so. Federal Act of 23 July
2013 N 251-FZ-Assembly of Russian legislation,
2013, N 30, art. 4084:
1) demand a retraction of the propagated, provided
or disclosed information not satisfying the requirements of this
Federal Law or Regulatory Acts The Bank of Russia
proliferation, provisioning or of the revised
information (reed) Federal Law of 23 July 2013 N 251-FZ
Russian Law Assembly, 2013, N 30, st.
4084);
2) prohibit propagation, granting or expanding
information submitted in accordance with
9Articles, if does not conform to requirements
true Federal Law or Regulatory Acts Bank of Russia
(Ind. Federal Law of 23 July 2013 N 251-FZ-Assembly
Russian legislation, 2013, N 30, sect. 4084);.
(Article 51 in red. Federal Act of 6 December 2007 N
334-FZ-Collections of Russian Federation Federation, 2007,
50, Art. 6247)
Article 52. Information provided on demand
stakeholders
1. Stock investment fund, company
mutual investment fund, as well as agents for extraditing, repaying
and swap investment in
acquisition, repaying and investment is required
provide for all to the requirement
:
1) equity investment of the fund,
or
Managementinvestment declaration
mutual investment and full
registered changes and additions to them;
2) rules for the registry of the owners of the investment payev;
3) { \field
}
{ \field
}
{
}
{ \cs6\f1\cf6\lang1024
}
stock or property, component of mutual investment
Foundation and its related applications;
4) equity cost of stock
hedge fund or net equity equity
investment of fund and estimated value of one investment
pas on last estimate;
5) accounting (financial) equity reporting
investment fund, equity balance of the paced component
investment foundation, (financial) reporting
control company of mutual investment foundation, accounting
(Financial) Depot Depot
audit (financial) accounting
equity investment of the fund, audit
accounting (financial) accounting of management company of the folder
investment of fund, on the last reporting date (in
Federal Act of 28 July 2012 N 145-FZ - To
Russian legislation, 2012, N 31, article 4334;
6 ( decrease) property costs
owned equity investment asset,
component of mutual fund, compensation information
company and expenses, paid with property,
owned investment foundation, , and Property,
component of the mutual fund, as of the last
reporting date;
7) Other The matches
Federal law.
2.
investment fallen, , and for the amount of money to payment in investment of investment on the method definition of estimated one investment pay
value Net equity investment of the fund
net asset value of the equity investment in calculation
one or one investment
last reporting date, start and end times
on acquisition, repays repays on
investment in timing
specified requests for interval investment funds,
suspension or Shares
stock investment of fund, repaying and exchange
investment paev or concurrency
repaying and investment pai, on reissuing, redemption and exchange investment payev, s by redemption and investment of shouldbe granted
stock investment fund, , or company
mutual investment fund, or an issue agent, redemption, and
exchange of investment payers to stakeholders by phone, a
may also be provided in a different way. The specified requirement is not
applies, if stock investment of the fund or
investment investment of the investment
turnover.
3. ( 3 was null and invalid under the Federal Act)
July 28, 2012 N 145-FZ- Meeting of the Russian
Federation, 2012, N 31, article 4334)
(Article 52. Federal Act of 6 December 2007 N
334-FZ-Collections of Russian Federation Federation, 2007,
50, Art. 6247)
Article 53. Information to be disclosed
(name in red. Federal Act of 6 December 2007
N 334-FZ-Legislative Assembly of the Russian Federation, 2007, N
50, Art. 6247)
1. Disclosure of the investment of the investment
managing company, specialized
accessibility circle to
conforms to the procedure to ensure that it is located and retrieved.
Information to be disclosed, , and order, , and time
is set by the Bank of Russia's normative acts (in
Federal Act of 6 December 2007 N 334-FZ-Assembly
Russian Federation Federation, 2007, N 50, st. 6247;
Federal Law of 23 July d N 251-FZ - Collection
Russian legislation, 2013, N 30, sect. 4084).
1-1. Joint-stock Investment Fund and Company Manager
investment of the fund, in Shareholdings
investment fund and management company investment
fund, shares or whose investment shares are limited in turnover,
must expose reports, requirements to
Bank of Russia (paragraph 1-1 introduced by Federal Law of July 28, 2012
g. N 145-FZ-Assembly of Russian legislation, 2012,
N 31, st. 4334; to the red. Federal Law of 23 July 2013 N
251-FZ-Legislative Assembly of the Russian Federation Federation, 2013,
30, article 4084).
2. (Paragraph 2 is no more effective under the Federal Act of 6
.December 2007 N 334-FZ-Legislative Assembly of Russian
Federations, 2007, N 50, art. 6247)
2-1. The Bank of of the Russian Federation provides disclosure and creation
public
Shareholdings investment and of the { \cs6\f1\cf6\lang1024
}control companies
investment funds, specialized depositaries, agents
extradition, repaying and investment pans,
regulation of specified activities ( 2-1 )
Fed by Law 6 December 2007 N 334-FZ-Assembly
Laws of the Russian Federation, 2007, N 50, st. 6247; in red.
Federal Law July 2013 N 251-FZ -Assembly
Russian legislation, 2013, N 30, sect. 4084).
3. (Paragraph 3 is no more effective under the Federal Act of 6
.December 2007 N 334-FZ- Collection of the Russian
Federations, 2007, N 50, art. 6247)
4. (Paragraph 4 is no more effective under the Federal Act of 6
.December 2007 N 334-FZ- Collection of the Russian
Federations, 2007, N 50, art. 6247)
5. (Paragraph 5 is no more effective under the Federal Act of 6
.December 2007 N 334-FZ- Collection of the Russian
Federations, 2007, N 50, art. 6247)
6. (Paragraph 6 is no more effective under the Federal Act of 6
.December 2007 N 334-FZ- Collection of the Russian
Federations, 2007, N 50, art. 6247)
Article 54. Reporting to the Bank of Russia
(name in red. Federal Law of 23 July 2013 N
251-FZ -Collection of Russian legislation, 2013, N
30, Art. 4084)
1. Stock investment fund, company
investment fund, specialized
must submit reports and send notifications to the Bank of Russia
in order, set by Bank of Russia regulations (in Ed.
Federal Law July 2013 N 251-FZ -Assembly
Russian legislation, 2013, N 30, sect. 4084).
2. Volume, deadlines and reporting form are installed
The Bank of Russia. Federal Act of 6 December 2007 N
334-FZ -Collection of Russian legislation, 2007, N
50, article 6247; of the Federal Act of 23 July 2013. N 251-FZ
The legislation of the Russian Federation, 2013, N 30, st.
4084).
3. Reports in this article, and notifications
documents submitted for registration according to this
Fed by law, should be in Russia
Theelectronic form and sign the electronic signature. View
electronic signature and its checks Bank
Russian Federation (Paragraph 3 was introduced by the Federal Act of December 6, 2007). N
334-FZ-Collections of Russian Federation Federation, 2007,
50, st. 6247; to the red. Federal Act of 12 March 2014. N
33-FZ-Russian Federation Law Assembly, 2014, N 11,
1098).
CHAPTER XIII. BANK OF THE BANK.
SELF-RELEASED ORGANIZATION
(name in red. The Federal Law of July 23, 2013. N
251-FZ-Legislative Assembly of the Russian Federation Federation, 2013,
30, Art. 4084)
Article 55. Bank of Russia powers
(name in red. Federal Law of 23 July 2013 N
251-FZ -Collection of Russian legislation, 2013, N
30, Art. 4084)
1. { \field } Shareholdings }
Funds, Managers, Depot Depot,
on extraditing, repaying and exchanging investment epikeys, faces
management of investment folder owners, , and
state control for activities
is implemented by the Bank of Russia. Federal Act of 23 July
2013 N 251-FZ-Assembly of Russian legislation,
2013, N 30, article 4084).
2. The Bank of Russia (to TASS). Federal Law of 23 July 2013
N 251-FZ-Legislative Assembly of the Russian Federation, 2013, N
30, st. 4084):
1) accepts acts in cases
true Federal by law Federal Act of 23
July 2013 N 251-FZ - The legislature
Federation, 2013, N 30, art. 4084);
1-1) sets activities to (conducting
operations) of the control company and the specialized depot, and
also activity requirements ( operations)
(s) Allowed
federal laws only of the
company or licence of specialized depository (subparagraph 1-1
was introduced by Federal Act of 28 July 2012. N 145-FZ- Collection
Russian legislation, 2012, N 31, article 4334;
2 sets requirements, targeting on
conflict of companies, specialized
depositories and of the Shareholdings of funds
(investment mutual owners)
3) sets requirements for registry
owners of investment pans, internal controls
control company and specialized depot;
4) set time documents
registrations Federal
law;
5) sets the order, , and of the form in
Russian Bank and Shareholdings Investment
funds, managers, specialized
Deposits, and also people who own
trust management) 5% or more shares
(shares) of managing companies or specialized depositories (in
Federal Law of 23 July 2013 N 251-FZ - Collection
Russian legislation, 2013, N 30, art. 4084);
6) (Sub-paragraph 6 has become invalid under Federal Law
from 30 November 2011 N 362 - Law Collection
Russian Federation, 2011, N 49, art. 7040)
7) sets requirements and requirements
professional experience Single
Theexecutive of the investment of the fund
administration of theDepot
( individual organizational unit
Depot
Controllers (Internal Control Managers) Managers
company and of a specialized of
Qualification requests to of the management company
specialized depot;
8) approves of the qualifying examinations for
{ \cs6\f1\cf6\lang1024} equity{ \cs6\f1\cf6\lang1024
} investment performance evaluations
funds, management of companies and specialized depositories and
defines and order for organizations
performing specified validation in the form of a qualification
exams and qualifying qualifications
conducts accreditation s specifies types
forms of qualification certificates and maintains a register of certified persons;
9) (Subsection 9 is no effect on the basis of Federal
from 30 November 2011 N 362 - Law Collection
Russian Federation, 2011, N 49, art. 7040)
10 performs control
activityequity investment funds, companies
specialized Depot, s on extraditing, redemption, and
investment shares, shareholding
investment funds, registries
owners of investment payees
11) considers complaints (statements, appeals)
legal entities, -related requirements
Federal Law, of the Bank of the Russian Federation (in Ed.
Federal Law July 2013 N 251-FZ -Assembly
Russian legislation, 2013, N 30, art. 4084);
12) performs in the compliance check order
equity investment funds, companies managers
specialized
Federal Law, Other Federal Laws, By
activity based on the appropriate license,
and compliance s s
Russian Federation, including Bank of Russia Regulations, a
also verification of compliance agents, repaying and
investment of shares and for equity investment
funds, owners
investment sticks, requirements of this Federal Law and
Russian regulatory legal acts
Federation, in of the Bank of Russia's acts
Federal Law of 23 July d N 251-FZ - Collection
Russian legislation, 2013, N 30, art. 4084);
13 submits mandatory requirements
equity investment funds, companies,
specialized depositaries, s on extraditing, redemption, and
Exchange Investment and Shareholdings
investment funds, individuals registry
owners of investment pays, about reporting, in
number of information,
with federal law, and
necessary it
eliminating requirements of of the Federal Act
Bank of Russia regulations, ban on operations (in
The Federal Act of 23 July 2013 N 251-FZ-Assembly
Russian legislation, 2013, N 30, art. 4084);
13-1) renders mandatory for orders
companies or specialized
real damage caused to founders
when implementing trust management companies
in the or Terminationlicense
specialized hedge funds
if such is caused by to
management company or specialized depot not displayed
due to the interest of the founder of the control (subparagraph
13-1 was introduced by Federal Law of 28 July 2012 N 145-FZ
The legislation of the Russian Federation, 2012, N 31, st.
4334);
14 takes the decision to suspend the issuance, repays, and
swap of investment mutual funds according to Federal
law;
15) accesses the court with the legal requirement
faces, Activities,
provided byFed by law, without licenses, and in
cases provided by federal laws;
16) addresses the lawsuit against shareholders
equity investment funds and investment payees
if their rights are violated and legitimate
true Federal Law;
17 invalidates qualifications
repeated or <> <}
requirements of this Federal Law, as well as legislation
Russian Federation Securities;
18) (Paragraph 18 has been superseded by Federal Act
23 July 2013 N 251-FZ-Legislative Assembly of the Russian Federation
Federation, 2013, N 30, art. 4084)
18-1 appoints the temporary administration in cases
federal laws ( 18-1
Federal Act of 22 2010 d N 65-FP - Collection
Laws of the Russian Federation, 2010, N 17, art. 1988;
19 performs other authority, provided for
Federal by law and other federal laws
Federal Law July 2013 N 251-FZ -Assembly
Russian legislation, 2013, N 30, sect. 4084).
3. control of
paragraph 2 of paragraph 2 of this article, The Bank of Russia has the right.
Federal Law July 2013 N 251-FZ -Assembly
Russian legislation, 2013, N 30, art. 4084:
1) perform scheduled inspections no more than once a year;
2) perform out-of-plan checks for detection
matching violations, in based
reports, notifications of a specialized depositary
violations, complaints (applications, appeals) of citizens and legal entities information from the media; 3) get from and employees required documents and information, including information, access to or denied with federal laws explanations in writing or orally; 4) address in
Federations of order in bodies that implement investigative activity, with request for the search operations activities. 4. Controls of the Russia control in compliance with the authority of the presentation service and based on the tests, adopted by the Chairman of the Central Bank of Russia, Russian Committee
matches with normative Acts Russia, have
unfettered access in of the organizations listed in
point 10 paragraph 2 of this article, permission to access documents
and information (including information that is restricted
or not allowed in matches with laws)
required for control, and also
software-to-commit software, processing
and store the specified information (in the red. Federal Act of 30
December 2015 N 427-FZ- Assembly of the Russian
Federation, 2015, N, st. ).
5. If is not otherwise provided by this Federal Law,
Bank Russia's route
communications (registered mail notification about )
or by fax (e-mail) (item 5 of the Federal Act of 28 July 2012. N 145-FZ-Assembly Russian legislation, 2012, N 31, article 4334; in red.
Federal Law of 23 July d N 251-FZ - Collection
Russian legislation, 2013, N 30, sect. 4084).
6. Stock investment fund manager company
specialized depot, agent on extraditing, repaying and exchanging
investment payers, equity investment registrars,
person, in the registry of investment
pans, are deemed to have received the Bank of Russia's prescription if (to the red.
Federal Law July 2013 N 251-FZ -Assembly
Russian legislation, 2013, N 30, art. 4084:
1 Russia's
Federal Law of 23 July d N 251-FZ - Collection
Russian legislation, 2013, N 30, art. 4084);
2 refused orders and this failure
registered mail organization or field courier association;
3) is not awarded due to no addressees
specified address, about how the mail organization notified the Bank
Russian with the information source (in .
Federal Law July 2013 N 251-FZ -Assembly
Russian legislation, 2013, N 30, art. 4084);
4)
receipt of an order, about how the postal service notified
The Bank of Russia (to the red). Federal Act of 23 July 2013 N 251-FZ
Russian Law Assembly, 2013, N 30, st.
4084).
(Item 6 was introduced by the Federal Act July 28, 2012). N
145-FZ-Legislative Assembly of the Russian Federation Federation, 2012, N
31, article 4334)
(Article 55 to the red. Federal Act of 6 December 2007 N
334-FZ -Collection of Russian legislation, 2007, N
50, Art. 6247)
Article 56. Responsibility of the Bank of Russia
commercial confidentiality
(name in red. Federal Law of 23 July 2013 N
251-FZ -Collection of Russian legislation, 2013, N
30, Art. 4084)
Information that make up a trade secret received by the Bank
Russia, cannot be divuled. Federal Act of 23
July 2013 N 251-FZ - Collection of the Law of the Russian
Federation, 2013, N 30, st. 4084).
The Russian
comités commercial secret, responsible
Russian legislation, in order,
Russian Federation { \cs6\f1\cf6\lang1024
} Losses,
caused by such disclosure, to be compensated in
compliance with the Civil Law of the Russian Federation
(Ind. Federal Law of 23 July 2013 N 251-FZ-Assembly
Russian legislation, 2013, N 30, sect. 4084).
Article 57. Self-regulated management organization
companies
1. Self-regulated management company organization (hereinafter referred to as)
self-regulated organization) is a nonprofit organization,
corresponding permission of the Bank of Russia, based on
membership of managing companies (in Federal Law of
July 2013 N 251-FZ - Collection of the Law of the Russian
Federation, 2013, N 30, st. 4084).
2. The organization's self-regulated revenue
exclusively for the performance of the and tasks is not
among its members.
Self-controlled installs for
their members and implementation standards
equity investment and trust
investment funds ( - rules and
standards for self-regulating organization).
Article 58: Rights of self-regulating organizations
Self-regulating organization is right:
to obtain information from the results of its activity audits
members, implemented in order, by the Bank of Russia (in
The Federal Act of 23 July 2013 N 251-FZ-Assembly
Russian legislation, 2013, N 30, art. 4084);
control compliance by its members with rules
and of the self-regulating organization's standards, including implementation
their activities;
train citizens in the sphere of management
companies and specialized depositories, and if
self-regulating organization is an Accredited Bank
Russia, to accept the and exams
qualification certificate (s) Federal Act of 15 April
2006 N 51-FZ-Assembly of Russian legislation,
2006, N 17, st. 1780; of the Federal Act of 23 July 2013. N
251-FZ -Collection of Russian legislation, 2013, N
30, art. 4084);
accept matches with and standards
self-regulated organization members of this self-regulating
organization disciplinary and impose penalties in
and Self-ManagedRule breaches
;
to apply to the Bank of Russia for a license to members
self-regulating organization (in the red. Federal Act of 23 July
2013 N 251-FZ-Assembly of Russian legislation,
2013, N 30, article 4084).
Article 59. Requirements for self-regulating
organizations
1. For getting self-regulated organization
organization created by managing companies represents the Bank
Russia statement and other documents in with requirements
The Bank of Russia'snormative acts Federal Act of 23
July 2013 N 251-FZ - The legislature
Federation, 2013, N 30, st. 4084).
2. The and standards of the self-regulating
organization and required for by all members
self-regulating organization, must contain:
requirements for professional qualifications of personnel;
rules and standards of the professional
activity, criteria investment
Activity;
ethics standards;
advertising rules, requirements for
content of information to open
Members
Members Members
self-regulated organization;
Members of members
self-regulated organization with implementation
Activity;
company rules in self-controlled
organization and exit or exceptions;
Procedures for determining the representation of in
self-managed organization in
Manage Self-regulating organization;
how costs are distributed, payments and fees between members
self-regulated organization;
Self-ManagedMembers
organization, including how to handle their claims and complaints, a
also order execution
review;
order for a self-regulating claim organization and
complaints by members of the organization;
Procedures for Members
self-regulated organization of self-regulating
organization of the and standards, including and
activities of the body of the self-governable organization
results of reviews performed by
members of self-regulating organization;
order of and other
self-regulating organization, their officials, and (or) personnel;
requirements for for tests
, initiated by a self-regulating organization;
control Other control measures
self-regulated organization, , and order
accounting;
other requirements provided by regulatory legal acts
The Bank of Russia (to the red). The Federal Act of of July N
251-FZ -Collection of Russian legislation, 2013, N
30, article 4084).
Article 60. (Uspent force on the basis of the Federal Act
6 December 2007 N 334-FZ-Legislative Assembly of Russian
Federations, 2007, N 50, art. 6247)
Article 60-1. Company Licensing
Investment Funds, Managing Companies and
specialized depositories
1. License of the fund's investment investment license
company and specialized depot license
(further - license) is granted by the Bank of Russia without
constraint expiration of licenses for the licenses. License
provided to the person that will get corresponding
license (further - license crawler),
license terms (rev. Federal Act of 23 July 2013
N 251-FZ-Legislative Assembly of the Russian Federation, 2013, N
30, article 4084).
2. Licensed Provisioning Licensed
equity investment fund requirements
Federal Law:
1) to organizational-legal form;
2) to the size of your own funds;
3) to the charter;
4) and Order of Investment
declarations;
5) the Single
executive body, members of the board (observatory
advice) and members of a collegiie-executive body.
3. Licensed Provisioning Licensed
company requirements of this Federal
law
1) to organizational-legal form;
2) to the founders (participants);
3) to own funds;
4) Single
executive body, members of the board of directors (observatory
council), members of the collegiiifiers and controller
(Internal Control Service Manager and People)
5) to organize internal controls.
4. Licensed Provisioning Licensed
specialized of the requirement is of this
Federal Law:
1) to organizational-legal form;
2) to the founders (participants);
3 a separate organizational unit
Depot activity
Balancing Other
Activity;
4) Single
body ( organizational unit
organization or of its branch of the branch
specialized
(supervisory board), executivemembers
body and overseer (manager and internal
auditing);
5) to the rules of a specialized depository;
6) to organize internal controls.
5. For , the license crawler license represents in
The Bank of Russia has the following documents. Federal Law of 23
July 2013 N 251-FZ - Collection of the Law of the Russian
Federation, 2013, N 30, art. 4084:
1) the license license applicant
form, set by the Bank of Russia. Federal Act of
23 July 2013 N 251-FZ-Legislative Assembly of the Russian Federation
Federation, 2013, N 30, art. 4084);
2) notarial of the copy of the constituent documents
license crawler;
3) (Subparagraph 3 is no more effective under the Federal
from 3 December 2011 N 383-FZ - Law Collection
Russian Federation, 2011, N 49, Art. 7061)
4) (Subparagraph 4 has ceased to be valid under the Federal Law
from 3 December 2011 N 383-FZ - Law Collection
Russian Federation, 2011, N 49, Art. 7061)
5) notarized copies of documents confirming
choosing (destination) of the person who performs the sole function
executive body, of persons who are members of the board of directors
(supervisory board), , and peer members
license applicant's executive body;
6 proof of payment of state fee for
review license application;
7 Single
executive body, members of the board (observatory
advice), members of the applicant's executive body
licenses, and copies of confirations
requirements, for matches
true Federal Law;
8) Calculating the native of the licenses
produced in the order, set by the Bank's regulations
Russia Federal Law of 23 July 2013 N 251-FZ
The legislation of the Russian Federation, 2013, N 30, st.
4084);
9) Other Licensed
documents, a list of which is defined by the Bank of (in .
Federal Law July 2013 N 251-FZ -Assembly
Russian legislation, 2013, N 30, sect. 4084).
5-1. The license to the right to your own initiative
to submit the following documents to the Bank of Russia Federal
Act of 23 July 2013 N 251-FZ - The Law Collection
Russian Federation, 2013, N 30, art. 4084:
1) Document, Actuation
crawler licenses unified public registry of legal
or his notarized copy of the;
2) a notarized copy of the document confirming
The registration of a license applicant in a tax authority.
If if specified in this paragraph,
represented by applicant, on the Bank of Russia's interdepartmental request
federal executive authority
state registration of legal individuals
Quality of of individual entrepreneurs and Peasers
farms, provides evidence that
contributing to the license applicant in a single state
registry of legal entities, a federal executive body
control of in tax and
fee, provides
the license applicant will be accounting in the tax authority. Federal
Act of 23 July 2013 N 251-FZ - The Law Collection
Russian Federation, 2013, N 30, est. 4084).
(Paragraph 5-1 was introduced by Federal Law of 3 December 2011 d. N
383-FZ- Collection of Russian legislation, 2011, N
49, art. 7061)
6. For the administration or license
specialized Depot Russia
appears (in . Federal Law of 23 July 2013 N
251-FZ-Legislative Assembly of the Russian Federation Federation, 2013,
30, st. 4084):
1) owners
trust managers 5 or more than
shares (shares) of the license crawler, and about the persons
primary and subdominant or dominant and dependent
to each other that are jointly owned (trusted
control) 5 or more % (shares)
license crawler;
2) Information about the Controller ( and Services
internal control) of the license applicant
3) Internal controls approved according to
true Federal Law.
7. For to get the license of the management company to the Bank of Russia
additional
internal controlLegalizing (laundering)
revenues, received by crime, and financing of terrorism
(in two instances) in with Federal Law 7
August 2001 N 115-FZ Legalization
(Laundering) Proceeds of Crime and Financing
terrorism " Federal Act of 23 July 2013 N 251-FZ
Russian Law Assembly, 2013, N 30, st.
4084).
8. For receiving the specialized depot license in
TheBank of Russia is an additional (in . Federal
Law of 23 July 2013 N 251-FZ-Legislative Assembly
Russian Federation, 2013, N 30, art. 4084:
1) Depot regulation of the depot, approved
authorized body for license applicant;
2) Copy of internal about the organizational unit,
Depot activity
case, if the license crawler combines activities
specialized depot with other activities;
3) organizational units
organization and (or) branches that intend to
Depot activity
documents, of compliance requirements
specified persons according to this Federal Law, in
case, if the license crawler combines activities
specialized depot with different activities.
9. License entitlement must be signed
person who is the sole executive body,
or the chairman of the peer executive of the applicant
licenses, confirming reliability
contained in the documents submitted for the license.
10. of the owners or
trust managers 5 or more than
shares (shares) of a license applicant, and a person
function of the executive members
(tip board members), members members
executive body, supervisor (head of internal service
control) of the view of the view
is set by the Bank of Russia. Federal Law of
July 2013 N 251-FZ - Collection of the Law of the Russian
Federation, 2013, N 30, st. 4084).
11. Russia's performs compliance check
requirements Other
Regulatory Legal Acts of of the Federation in number
Regulatory Acts of the Bank of Russia
stock investment funds, companies managers and
specialized depositaries,
asks for information confirming compliance self-funded, professional experience requirements faces of the executive body
equity investment of the company
specialized of the (head
activity in an organization unit of activity
specialized depot), to supervisors
Internal control control
specialized depot,
qualifying requirements (ed.) Federal Act of 23 July
2013 N 251-FZ-Assembly of Russian legislation,
2013, N 30, article 4084).
12. The Bank of Russia takes the decision to grant a license
or not to grant it during months of from dates
getting all the required documents from the applicant, except
documents specified in paragraph 5-1 of this article. If
Russian requested additional and (or) information
applicant, within specified period of time pending receipt
specified documents and/or information. Federal Law
dated July 23, 2013 N 251-FZ-Legislative Assembly of the Russian Federation
Federation, 2013, N 30, st. 4084).
13. in in in
license available in number
naming authority, full and abbreviation
licensee name, location location, identification
taxpayer number, licensed
andand
an indication of the duration of the action of the license. Document,
confirming the existence of a license is issued on the Bank of Russia form
in form, approved by the Bank of Russia, in two instances, one of
is sent (awarded) to the license crawler,
is stored in the licensee's license (under the license). Federal Law
dated July 23, 2008 N 160-FZ-Legislative Assembly of Russian
Federation, 2008, N 30, st. 3616; Federal Act of 23 July
2013 N 251-FZ-Assembly of Russian legislation,
2013, N 30, article 4084).
14. Russia's Bank within five working days from the date of adoption
corresponding solution directs (hands out) a license applicant
notification of granting license to with the document application
proof of license, or notification of failure in
provided, with the reason for to do so (ed.
Federal Law of 23 July d N 251-FZ - Collection
Russian legislation, 2013, N 30, sect. 4084).
15. The grounds for refusing a license are:
1) presence of in documentsfor
license, incomplete, or inaccurate information
2) nonconformance of license applicant with license terms;
3 nonconformance documents for
licenses, requirements of this article.
16. The license crawler has the right to challenge in
orderinstalled by the Russian Federation, Bank Failure
Russia in giving the license (
Federal Law July 2013 N 251-FZ -Assembly
Russian legislation, 2013, N 30, sect. 4084).
17. Document, License to be licensed, to
redecorating in case of branding and (or)
where of the Shareholdings Investment Fund
company or specialized Depot,
or Conversion
depot under condition, that the organizational-legal form of again
created legal meets the requirements of this
Federal law.
18. Realizing document, confirmation
licenses, executed based on the licensee's statement or its
successor, in which specifies new information about the licensee
or its successor and to which documents
proof of incorporation into a single state register of legal entities
faces to change its brand name and (or)
result of the company's
specialized of the depositary, also payment of state
fees for redecorating document, presence
licenses. reformatting of the document, confirmation
existence of a license, filed by a licensee in the Bank of Russia not later than 10
workdays days to make the appropriate changes to a single
State register of legal entities (in the list of legal entities) Federal Law
dated July 23, 2013 N 251-FZ-Legislative Assembly of the Russian Federation
Federation, 2013, N 30, st. 4084).
19. Realizing document, confirmation
licenses, implemented within 10 working days from the date of receipt
all of the required documents. Reorder of the document
confirming existence license, not allowed in absence
reasons of paragraph 17 of this Article, and
to represent incomplete or inaccurate information.
20. Russia's Bank within five working days from the date of adoption
corresponding directs (awarded) a licensee
legal created
or Depot's specialized
notification about redecorating of the confirmation
license, for which the new document, confirmation
existence of a license, or notification of failure to redesign it
Thecontaining the reason for this failure (to the red. Federal Law
dated July 23, 2013 N 251-FZ-Legislative Assembly of the Russian Federation
Federation, 2013, N 30, st. 4084).
21. License entitlement, document redesign,
supporting presence of license, view of and views
documents for retrieval of and redecorating
proof of license, set by statute
Russia (in Ed. The Federal Act of 23 July 2013 N
251-FZ-Legislative Assembly of the Russian Federation Federation, 2013,
30, article 4084).
22. Russia's maintains Shareholdings
investment funds, companies, and specialized
depository (hereinafter referred to as the license registers). Registry Order
licenses, including information included in them, , and order
The Bank of Russia (the Bank of Russia) is set up to provide excerpts.
Federal Law July 2013 N 251-FZ -Assembly
Russian legislation, 2013, N 30, sect. 4084).
23. Information, Included in licenses, must be
posted on the Internet on the official of the Bank of the Russian Federation.
specified information, in particular, Federal
Act of 23 July 2013 N 251-FZ - The Law Collection
Russian Federation, 2013, N 30, art. 4084:
1) Full and abbreviated trade name of the licensee;
2) license number;
3) the license decision date;
4) licensed activity;
5) where the licensee is located;
6) the taxpayer's identification number is a licensee.
24. The Bank of Russia provides extracts from the register of licenses
Thestatement of any of the person. (in . Federal
Act of 23 July 2013 N 251-FZ - The Law Collection
Russian Federation, 2013, N 30, est. 4084).
25. licenses licenses
five working days from the date of receipt of the relevant statement
.
(Article 60-1 was introduced by Federal Law of 6 December 2007 g.
N 334-FZ-Legislative Assembly of the Russian Federation, 2007, N
50, Art. 6247)
Article 61. Measures applied by the Bank of Russia
(name in red. Federal Law of 23 July 2013 N
251-FZ -Collection of Russian legislation, 2013, N
30, Art. 4084)
1. Bank of Russia in detecting a breach by a licensee of requirements
true Federal s
s byRegulatory Legal Acts of of the Federation in number
Normative of the Bank of Russia, if is a licensee based on
performs matches with Federal
trust other or provides services
specialized for other assets,
Federal laws
Normative legal acts of the Russian Federation, in number
Bank of Russia regulations may prohibit
licensee of all or part of operations, to apply other measures
responsibility, set by federal laws, and
Federal By Law
reverse license and assign temporary
administration (to the red. The Federal Act of 23 July N
251-FZ -Collection of Russian legislation, 2013, N
30, article 4084).
2. Ban on the conduct of all
or parts of operations can also be introduced in of the agent's
extradition, repaying and people's swap and
inventory owners of investment s, in
requirements of this Federal Law and
Russian regulatory legal acts
Federation, in of the Bank of Russia's acts
Federal Law of 23 July d N 251-FZ - Collection
Russian legislation, 2013, N 30, sect. 4084).
3. Disabling all or parts of operations can also
be typed in
true Federal Law.
4. In the Federal Law of 26 October 2002
year N 127-FZ " insolvency (bankruptcy)"
(bankruptcy) Cases Bank of Russia decides to use in warning bankruptcy of the investment of the fund,
company, company, specialized ( 4 )
Fed by Law April 22 2010 N 65-FZ-Collection
Laws of the Russian Federation, 2010, No. 1988; to the red.
Federal Law July 2013 N 251-FZ -Assembly
Russian legislation, 2013, N 30, sect. 4084).
(Article 61. Federal Act of 6 December 2007 N
334-FZ-Collections of Russian Federation Federation, 2007,
50, Art. 6247)
Article 61-1. Banning all or part of operations
1. The Bank of of Russia has the right to prohibit the holding of the.
next operations (to the red. Federal Act of 23 July 2013 N
251-FZ -Collection of Russian legislation, 2013, N
30, st. 4084):
1) stock equity placement;
2) Transfer of the stock investment of the fund in
trust control control or Transfer
control company of sole executive authority
equity fund;
3) Dividend dividend payment
foundation; 4) equity capital stock buyback;
5 reissuing or at the same time, exchange and redemption
mutual investment fund mutual funds;
6) acquisition of or simultaneous requests
acquisition, applications for exchange and purchase orders
s;
7) Other
trust control that can
the management company's license base
8) Inclusion of assets in the equity investment fund,
including when issuing and exchanging investment ploys;
9) Transmit company of the Shareholdings
investment of fund,
management, of the investment investment fund -founder
trust management
10) order of assets of the equity investment fund,
property, parts of the equity investment,
money funds in transit, or otherwise
property, trust
managing company based on management company license, in
volume of rewards, , and (or) performance of commitments
{ \cs6\f1\cf6\lang1024
}
{ \cs6\f1\cf6\lang1024
}
{ \cs6\f1\cf6\lang1024
11) Property Management
{ \cs6\f1\cf6\lang1024
}
Property Managementequity investment fund, or other property,
confidence
controlcompany based on the management company's license;
12) write entries to the investment folder owners,
Records Related Related to Rights Result
generic successions and
dissolved legal entity;
13) provide statements, and from
investment folder owners registry
14) implementation by a specialized monitoring depot
one or more contracts, prisoners in the execution of
activity based on a specialized depot license.
2. all parts of operations
covered by paragraph 1 of this article may be in
{ \cs6\f1\cf6\lang1024
}
1) Failure or improper execution of Bank Rule
Russian about or Information Presentation
explanations, documents that are required for implementation
functions of the specified of the body. Federal Act of 23 July
2013 N 251-FZ-Assembly of Russian legislation,
2013, N 30, art. 4084);
2 suspend
depositary of the custom activity
registry
securities or revocation of specified licenses;
3 Russian Receipt Specialized
Depot companies
base for control
company (under Ed.) Federal Law of 23 July 2013 N 251-FZ-
Russian legislation collection, 2013, N 30, st.
4084);
4) Moscow Russia's checks
Shareholdings investment of fund
company, persons, owner of the registry owner
investment pausing, of a specialized depot or agent by
to issue, pay, and exchange investment mutual funds. Federal
Law of 23 July 2013 N 251-FZ-Legislative Assembly
Russian Federation, 2013, N 30, art. 4084);
5) violations of and pure cost
equity investment investment (or)
investment and value of one investment pausing and (or) value of net shareholdings investment fund per share; 6)
or
extradition, exchange and of mutual investment payev investment
investment fund;
7 no company
specialized and (or) with a person
maintenance of the owners of investment payees;
8) issuing the control company for additional investment
investment of the investment of the investment
payev investment can
issued according to control of
foundation;
9) committing an action company that creates a threat
rights of and legal owners of pans
(sub-paragraph 9 was introduced by Federal Law of 28 July 2012). N 145-FZ
-Russian Law Assembly, 2012, N 31, est.
4334).
3. Disabling all or parts of control operations
company, a specialized depot, by
repaying and investment pans, of
investment folder owner registry can be entered
before they are eliminated or terminate the circumstances,
for Requirements
appropriate to disable. The specified ban can be
, not greater than six months. In the case of , if
operations that are prohibited are required
condition for other operations, for the latter also
is enforced.
4. Prohibition of all or part of operations
Bank of Normative
acts of the Bank of Russia, and are forwarded to a person in
introduces operations, by custom
mails with and by
fax (e-mail messages). Information
such a requirement expands to on the official site
Russia no later than the working day after the day
delivery (to the red. Federal Act of 23 July 2013 N 251-FZ-
The legislation of the Russian Federation, 2013, N 30, st.
4084).
(Article 61-1 was introduced by Federal Law of December 6, 2007).
N 334-FZ-Legislative Assembly of the Russian Federation, 2007, N
50, Art. 6247)
Article 61-2. Revoking License
1. For of the Shareholdings
investment fund, company administration, specialized
depot is the following:
1) Failure on the Bank of the Order to execute
or
compliance with Russian law
Federation, in Banks Acts
implementing activities on of the Shareholdings
investment fund, company administration, specialized
depository, if such violation raised to the ban
of all or part of the operations. Federal Act of
23 July 2013 N 251-FZ- Assembly of the Russian
Federation, 2013, N 30, art. 4084);
2) repeated in
Central Bank of Russia on license implementation Shareholdings of the investment of the company specialized Depot, for Requirements
a ban on all or part of operations. Federal
Law of 23 July 2013 N 251-FZ-Legislative Assembly
Russian Federation, 2013, N 30, art. 4084);
3) Single failure to comply with the Bank of Russia's order to ban
to perform all or part of the operations. Federal Law
dated July 23, 2013 N 251-FZ-Legislative Assembly of the Russian Federation
Federation, 2013, N 30, art. 4084);
4) repeated in violation of by more than 15
workdays days of reports
federal laws and accepted in with
Regulatory Legal Acts of the Russian Federation Regulatory
Acts of of the Bank of Russia, in the implementation of activities on the basis of
stock license, managing company,
specialized of the depot (ed. Federal Act of 23
July 2013 N 251-FZ - The legislature
Federation, 2013, N 30, art. 4084);
5) a single violation of more than 15 work days
notifications in Russia, Federal
executive and Pension Russian Federation
responsibility for federal
laws and their regulatory
Acts of the Russian Federation, including Bank Regulations
Russian,
stock investment of the fund, of the company,
specialized depot, and repeated default
of the specified job during the year (under red) Federal Act of the Russian Federation
23 July 2013 N 251-FZ- Assembly of the Russian
Federation, 2013, N 30, art. 4084);
6 repeated in Requirements violation
proliferation, granting or information about
federal laws
and legalActs of the Russian Federation, including Bank Regulations
Russian,
Shareholdings of the investment of the company
specialized depot (in Federal Law of 23
July 2013 N 251-FZ - Collection of the Law of the Russian
Federation, 2013, N 30, art. 4084);
7) Termination of of the current of the licensee
(Acceptance of the or Termination of Termination
Single Executive Body without at the same time
Single
executive or of the new Single
organ, , or lack of a single person
of the month without
other person
for the sole executive body), for
exception to the activity's activity
specialized depot, if activity last
is implemented by a separate organizational unit;
8) repeated in execution
specialized by the control's
specialized depot;
9) repeated in a year's breach by custom
investment
Depot of investment
pits, also single
transactions with investment pay limited in turnover;
10) invalidation of a specialized license depot
for depositary activity;
11) Stock of the investment investment
paragraph 1, article 2, paragraph 1, of article 4 and
true Federal Law;
12) a one-time failure by the management company to perform
on transferring trust
company company
specialized to account for and (or) storage, if
such transfers are provided by federal laws;
13 violation of requirements of 1 and 3 of Article 40 of the present
Federal Law;
14 inclusion of in stock exchange or on the paced
hedge fund property, in
investment paev and not for Requirements
equity investment of the fund,
Federal Law and promulgated by
Acts of the Bank of Russia, as well as extradition by a specialized depositary
consent to to include the specified property in the foundation.
Federal Law of 28 July 2012 N 145-FZ -Collection
Russian Federation Federation, 2012, N 31, st. 4334;
Federal Law of 23 July d N 251-FZ - Collection
Russian legislation, 2013, N 30, art. 4084);
15) committing a deal, in the result was
asset composition requirements established by federal laws
s s legal s
Russian Federation, including Bank of Russia Regulations
in an activity based on Shareholdings
investment fund, company administration, specialized
depository, custom depot
consent to commit such a transaction. Federal Act of
23 July 2013 N 251-FZ- Assembly of the Russian
Federation, 2013, N 30, art. 4084);
16 repeated extraditing
investment paev, limited in turnover, unqualified
investors;
17 repeated in one year
Federal Act on Countering the Misuse of Misuse
insider and -market
changes to selected legislative acts of the Russian Federation
s s
legal sBank of Russia regulations. In this
decision about annulmentcorresponding licenses received
specified by Federal Law ( 17 )
Fed by Law 27 July 2010 N 224-FZ -Assembly
Laws of the Russian Federation, 2010, N 31, article 4193; ed.
Federal Law July 2013 N 251-FZ -Assembly
Russian legislation, 2013, N 30, art. 4084);
18) Absence of a licensee at its location (subparagraph 18
was introduced by Federal Act of 28 July 2012. N 145-FZ- Collection
Russian legislation, 2012, N 31, article 4334;
19) repeated control violation by or
specialized for one year of requirements
( Operations), Implementation
allowed in to federal requirements
laws only on or
Depot license (19 19
Federal Law of July 2012 N 145-FZ -Collection
Russian legislation, 2012, N 31, article 4334;
20) Specialized
Depot for the Bank of Russia Reparation
real damage control if the specified requirement is not challenged
in court (Subparagraph is introduced by Federal Act No. 28
July 2012 N 145-FZ - The Russianlegislature
Federation, 2012, N 31, st. 4334; in red. Federal Act of 23
July 2013 N 251-FZ - The legislature
Federation, 2013, N 30, st. 4084).
2. For of the license revocation
also does not implement to be licensed
activities in for more than one and a half years, written statement
or license recognition
bankrupt and opening of the competitive process (to the red. Federal
Act of 28 July 2012 N 145-FZ - Legislation
Russian Federation, 2012, N 31, est. 4334).
3. The decision to revoke the license is taken by the Bank of Russia
in order, established by the Bank of Russia regulations. In Solution
licenses
invalidation (to the red. The Federal Act of 23 July N
251-FZ -Collection of Russian legislation, 2013, N
30, article 4084).
4. Solution of to revoke a management company license or
Depot license declaration
or specialized
depot can only
condition for the of the licensees
prisoners
corresponding license.
license does not terminate Bank of Russia license revoke licenses
other grounds of this Federal Law (in
Federal Law of 23 July 2013 N 251-FZ - Collection
Russian legislation, 2013, N 30, sect. 4084).
5. To Denial of the Management Company's License
custom depot
licenses
documents, conditions,
4 of this article, and a disclaimer
Shareholdings investment - documents,
conditions of paragraph 5 of Article 7 of the present
Federal law. Exhaustive list of the documents
is established by Bank of Russia regulation. Denial Statement
from licenses are signed by the person
single executive body of a licensee, of approval
information for in documents
represented to reject the license. Federal Law
dated July 23, 2013 N 251-FZ-Legislative Assembly of the Russian Federation
Federation, 2013, N 30, st. 4084; Federal Act of 29 June
2015 N 210-FZ-Assembly of Russian Legislation,
2015, N 27, st. 4001).
6. Russia has the right to carry out the confidence check
details, of the documents contained in the document that were submitted for rejection
licenses (to the red. Federal Law of 23 July 2013 N 251-FZ-
The legislation of the Russian Federation, 2013, N 30, st.
4084).
7. The decision to revoke the license on the licensee's application
or no cancellation is accepted for 30 workers
days from the date of receipt of the specified statement.
8. Bank of Russia notifies licensee about revocation of license
not later than the working day, next in the day of the decision about it
invalidation, by the custom
notification of and by by the link
(e-mail messages).
invalidations licenses on official
Russia no later than the next working day after its adoption (in
The Federal Act of 23 July 2013 N 251-FZ-Assembly
Russian legislation, 2013, N 30, sect. 4084).
9. The company
Bank of Russia in order and times,
true article, notifies people, trust management
the property of the specified control company,
exception of investment mutual investment
funds, on the company's control license
specialized depositaries, control
given property,
Depot license specified notification is routed to all those of this
Depositary licenses
specialized depot (in Federal Law of 23
July 2013 N 251-FZ - Collection of the Law of the Russian
Federation, 2013, N 30, st. 4084).
10. of the company's control
trust-based investment investment
Fund, Bank of Russia in order and time of set by paragraph
8 Articles, directs to a specialized depot
this equity investment certified copy of the foundation
the license revocation (in the red. Federal Act of 23 July 2013
g. N251-FZ-Assembly of Russian legislation, 2013,
N 30, article 4084).
11. The license action is discontinued from the day to Unified
state Registry
legal licenseth or termination of in
resulting reorganization, reorg
transformations, or days Russia's Bank Solutions
the license revocation (in the red. Federal Act of 23 July 2013
g. N251-FZ-Assembly of Russian legislation, 2013,
N 30, article 4084).
12. The time, when the managing company recognized or should
was to know (
management company, this control company is not allowed
implement control (trust management) assets,
executed on based on the specified license, except
performing the steps in paragraph 15 of this article (in
The Federal Act of 28 July 2012 N 145-FZ-Assembly
Russian legislation, 2012, N 31, article 4334).
13. Stock investment and management companies
investment funds that
specialized depot that has been invalidated (terminated
action) depot specialized must
three months of the license revocation
take action to submit to another specialized depot
for and how to store them, , and document transfers,
necessary for activity
specialized depositary: Federal Act of 28
July 2012 N 145-FZ - The Russianlegislature
Federation, 2012, N 31, article 4334).
14. Since, when the specialized depositary has found out or
must was aware of the cancellation (termination)
specialized depot licenses, this specialized
Depository not authorized to dispose of assets,
controls (in .
Federal Law of July 2012 N 145-FZ -Collection
Russian legislation, 2012, N 31, article 4334).
15. Organization whose has been invalidated (terminated)
company's license( specialized
depot), must:
1) transfer property, to it matches
contract, for activity based on
licenses, in accordance with of the trust
in case of revocation (termination of license)
company (trust control
annulment ( action) of a specializedlicense
depository), if different does not provide Federal
law;
2) exclude in the months from invalidation
(end actions) of the license from the name of the word
"specialized depot", "equity investment fund"
("investment fund") and of the investment investment in any
and Russia's Documents
confirming state registration of of these changes in
constituent documents. In case of a violation by the organization specified
responsibilities Bank of Russia has the right to go to court with a requirement
liquidation of this organization (to the red. Federal Law of
July 2013 N 251-FZ - Collection of the Law of the Russian
Federation, 2013, N 30, st. 4084).
(Item 15 in . Federal Act of 28 July 2012 N
145-FZ-Legislative Assembly of the Russian Federation Federation, 2012, N
31, article 4334)
16. Equity Investment Fund, Managing Company or
specialized depositary has the right to appeal to arbitration
The Bank of Russia's decision to revoke the license, about
cancellations of the licensee's license, and evasion
from annulment
a licensee (to the right. Federal Law of 23 July 2013 N 251-FZ
Russian Law Assembly, 2013, N 30, st.
4084).
(Article 61-2 was introduced by the Federal Act of December 6, 2007).
N 334-FZ-Legislative Assembly of the Russian Federation, 2007, N
50, Art. 6247)
Article 61-3. Disposition of equity investment fund in
to revoke license
1. Revoking of the Shareholdings Investment Fund
gives elimination, for exceptions
true article (in this article). Federal Law of June 29, 2015. N
210-FZ-Russian Federation Law Collection, 2015,
27, Text 4001).
2. days the date of the decision about
cancellations of the investment investment
case of appeal from the effective date of the decision
arbitration tribunal to refuse a claim
Bank of Russia appeals to arbitration with demand for liquidation requirement
equity investment fund or, if on cancellation date
specified equity fund of the fund
signs of insolvency (bankruptcy), with a declaration of recognition
Theequity of the investment fund is bankrupt. Federal
Act of 23 July 2013 N 251-FZ - The Law Collection
Russian Federation, 2013, N 30, est. 4084).
3. The Arbitral Tribunal shall decide on the liquidation of the equity.
and } Shareholdings of Shareholdings
investment fund, if no symptom is installed
insolvency (bankruptcy) of the equity investment fund.
Shareholdings of the investment of the
Bank Russia's Number of Controls
relevant requirements, installed by
Russian Federation for insolvency (bankruptcy), for participation
in the bankruptcy of a professional securities market participant
(Ind. Federal Law of 23 July 2013 N 251-FZ-Assembly
Russian legislation, 2013, N 30, sect. 4084).
4. The stock investment of the fund cannot
be assigned to the single
executive organ, , as part of the peer
executive body of this fund at the time of the commission of
investment for the violation, of this fund has been revoked. 5. s
cancellations of Shareholdings of the investment fund
disclaimer, due to its elimination, and
due to its joining another equity investment
fund or if it is declared bankrupt and open
production (in Federal Act of June 29, 2015. N 210-FZ-Russian Federation Law Collection, 2015,
27, Text 4001).
(Article 61-3 was introduced by the Federal Act of December 6, 2007).
N 334-FZ-Legislative Assembly of the Russian Federation, 2007, N
50, Art. 6247)
Article 61-4. Temporary Administration Assignment
1. (action) licenses
company or of the license
specialized depot with specialized depot,
for exceptions 2 2
true Federal Law, The Bank of Russia appoints in
temporary administration, if (in the red. Federal
Act of 23 July 2013 N 251-FZ - The Law Collection Russian Federation, 2013, N 30, art. 4084: 1) at the same time (stop action) license company and the license specialized depot with specialized depot, with which this management company has a contract; 2 in the management company or of the
The annulment
licenses stopped managing their current activity;
3) Organization whose has been invalidated (terminated)
corresponding license, does not fulfill the obligation
1 61-2 of the
Federallaw.
(Item 1. The Federal Act of 28 July 2012 N
145-FZ -Collection of Russian legislation, 2012, N
31, article 4334)
2. By the Decision on Assignment of the Temporary Administration Bank of Russia
approves the composition of the interim administration. During activity
interim executive authorities
control company or specialized depot can be
limited or suspended by the destination's destination
interim administration Federal Act of 23 July 2013
g. N251-FZ-Assembly of Russian legislation, 2013,
N 30, article 4084).
3. The administration
is the headtemporal administration, (if necessary) and
members of the administration's interim . Manager (Alternate)
temporary administration is assigned to Bank of Russia official
(Ind. Federal Law of 23 July 2013 N 251-FZ-Assembly
Russian legislation, 2013, N 30, sect. 4084).
4. The interim administration cannot be appointed:
1) The person who performs the single function
organ, (alternates), persons, to the board
directors (supervisory board) and executive
organ, master accountant (accountant), head of auditing
commission and members of an audit commission (auditors),
internal organization control
license revoked, and also specified primarys
or subsidiaries of this organization;
2) faces, creditors and debtors
whose license has been revoked (terminated) license
including owners of investment payers, as well as officials
and employees of specified creditors and (or) debtors, except
and Depot Employees
contract with to which the company is assigned
interim administration Federal Act of 28 July 2012
g. N 145-FZ-Assembly of Russian legislation, 2012,
N 31, article 4334);
3) of the organization that has been invalidated (terminated
activity) the license, as well as their officials and employees.
Federal Law of July 2012 N 145-FZ -Collection
Russian legislation, 2012, N 31, article 4334).
5. The Administration of is acting on behalf
company without for of any
legal and actual actions required to stop
mutual ( and retransmissions
treaty of trust of managing closed mutual investment
fund) and (or) for duties of
subpara. 1 of Article 61-2 of this Federal Law,
including:
1 performs money
(security) from transit accounts ( invoices depot), a
also from bank accounts, open for calculation based on trust
management of the stock investment of the fund,
trust investment investment
trust management of other property
control company;
2 aborts bank deposits (deposits)
the company's quality control
control assets of the investment of the fund, in
investment Foundation or other property on the basis of a license
control company;
3) makes transactions with securities in
mutual investment fund and otherwise, if according to
with federal law or different legal acts
Russian Federation <> Russia's Russia Contract
trust provides to founder
trust or other given only
money tools, also perform
executing the specified transactions (to the red. Federal Act of 23 July
2013 N 251-FZ-Assembly of Russian legislation,
2013, N 30, art. 4084);
4) provides a registry of the owners of the investment payees
in if if
custom depot,
specified registry.
6. The Administration's Administration
suspension
specialized of the from
organization without proxy of at commission of any legal and
actual actions, required for and
documents that were in storage and (or) accounting for
performance, of paragraph 1
61-2 of this Federal Law,
keeping the owners of the investment owners in if
specialized
registry. Administration time
powers of the executive of the specialized depository right: 1) get and to pass on document valuable paper, true copies of real property documents
property, and copies of all primary asset documents,
control over which this organization
in Depot of the Depot
compliance with the person with whom the contract is signed, another
specialized depositary;
2 control security operations,
organization
specialized of the depositary, in
specialized of the license
carry out the specified operations.
7. The Interim Administration receives from the employees of the organization,
whose license has been revoked (terminated), and others
required information and in in property relations
trust management or control
performed The organization, takes
security and others
in to ensure the interests of the founders of the trust
. The administration gets
software-to-commit software, processing
and storage of information for given in
property, including securities accounting,
investment payees (to the right. Federal Act of 28 July 2012
N 145-FZ-Russian Federation Law Assembly, 2012, N
31, st. 4334).
8. In the case, if the provisional administration under
functions, of Federal
signs of insolvency of (bankruptcy) of the organization,
which has been revoked (terminated) license, Bank of Russia
refers to the arbitration court with
organization is bankrupt. Federal Act of 28 July 2012
g. N 145-FZ-Assembly of Russian legislation, 2012,
N 31, st. 4334; Federal Act of 23 July 2013 N 251-FZ-
Russian legislation collection, 2013, N 30, st.
4084).
9. Transitional administration is not assigned in specialized
depositories, of the credit of the organization. In this
credit institution with invalidated (terminated)
specialized depot, required
interim company administration to pass this
control company property and documents that are
Credit in Activities
specialized of the depositary,
investment paev and documents, related
registry if credit institution administered the specified
registry (in Federal Act of 28 July 2012 N 145-FZ-
Russian legislation collection, 2012, N 31, st.
4334).
10.
reasons for Warning
bankruptcy of management company interim administration appeals
to the Bank of Russia with a request for the specified control
company Federal
Law "On insolvency (bankruptcy)". At the same time
Administration time in accordance with Federal
bankruptcy (bankruptcy) Bank of Russia takes
Administration
Assigned by other Federal
(para. 10 was introduced by Federal Law of April 22, 2010
g. N 65-FZ-Assembly of Laws of the Russian Federation, 2010,
N 17, st. 1988; to the red. Federal Law of 23 July 2013 N
251-FZ-Legislative Assembly of the Russian Federation Federation, 2013,
30, article 4084).
(Article 61-4 was introduced by the Federal Act of December 6, 2007).
N 334-FZ-Legislative Assembly of the Russian Federation, 2007, N
50, Art. 6247)
CHAPTER XIV. FINAL PROVISIONS
Article 62. Entry into force of this Federal Law
This Federal Law
official publication.
Article 63. Protection of Shareholders ' Interests
investment funds and owners
investment paev
1. Pre- for in of the Federal law
creating conditions and order of compensation for citizens
caused damage as a result of default or improper
fulfillment shareholdings investment funds
companies, specialized depositaries,
pansowners
registries
responsibilities assigned to them by law or contract,
property rightsset by this article
.
2. Losses of real damage, to citizens -
Shareholdings funds, citizens
owners of investment payev, are compensated for
Federal Compensation Fund (hereinafter-Compensation Fund)
creating of which Russian
Protection of The rights and legitimate interests of investors in the market
securities.
Reparations are paid to citizens who
damage caused by equity investment funds, managers
companies, specialized shareholdings
investment and investment funds, persons
s
owners of investment payerswith appropriate licenses (further debtors), resulting
default or of improper fulfillment by them
responsibilities, if the debtor has the license revoked and is missing
property, sufficient to compensate for actual damage, in cases
paragraph 3 of this article.
Compensatory Foundation does not pay compensation to owners
stock investment and investment shares
mutual investment funds, restricted (paragraph entered
Federal Act of 6 December 2007 N 334-FZ - Collection
Laws of the Russian Federation, 2007, N 50, st. 6247).
3. Compensation is paid in cases:
if citizens cannot get reimbursement by
in with the failure to set the address of the debtor,
place or property of the property
and Other values
in accounts and deposits or in storage in
other credit organizations, , or because of the debtor's absence
assets or revenues that can be targeted by
if all
law
inconclusive;
if the debtor did not fulfill the Bank of Russia requirement in time
for damages, for citizens in relation to
order of estimated value of investment payees.
Federal Law of 23 July d N 251-FZ - Collection
Russian legislation, 2013, N 30, art. 4084);
if the damage was caused by the actions of the debtor's employees, in which
contains evidence of a criminal act;
(Paragraph is lost due to Federal
July 2013 N 251-FZ - Collection of the Law of the Russian
Federation, 2013, N 30, art. 4084)
4. Sources of compensation of the fund, Consumable
compensation in in accordance with paragraph 2 of this article
defined by by the Foundation's compliance fund
Russian legislation.
5. Until compensation is required
publish compensation payment
submission to compensation fund by citizens,
have the right to receive compensation, , and time to produce such
requirements that may not can be less than months
to publish this message.
Max size and compensation order
is set by the Bank of Russia. Federal Law of
July 2013 N 251-FZ - Collection of the Law of the Russian
Federation, 2013, N 30, st. 4084).
6. Compensation acquires the requirement
The fullof the person who received the compensation.
Compensatory Foundation can represent and
property interests of the applicant in court and in the course of
executive production, to sue for
legitimate interests of the circle of investors-physical
faces.
The Compensation Fund is required to notify the Bank of Russia of each
case of related in in relation
"Investor-citizens" (in the red. Federal Act of 23 July 2013 N
251-FZ -Collection of Russian legislation, 2013, N
30, article 4084).
Compensating Fund has the right to petition the Bank
Russia licenses given
suspension of Issue, repays , and swap investment mutual funds
take other measures provided by this Federal Law (in
Federal Act of 6 December 2007 N 334-FZ-Assembly
Russian Federation Federation, 2007, N 50, st. 6247;
Federal Law July 2013 N 251-FZ -Assembly
Russian legislation, 2013, N 30, sect. 4084).
Article 63-1. Appeal against deviant acts, decisions and
Actions (Inactivity) of the Bank of Russia
(name in red. Federal Law of 23 July 2013 N
251-FZ -Collection of Russian legislation, 2013, N
30, Art. 4084)
Stock investment funds, companies
specialized depositaries have the right to appeal in order,
Russian Federation
Arbitration Acts, Actions
(Idle) Bank Russia, Related to By State
s and public
to control their activity (in the red. Federal Law of
July 2013 N 251-FZ - Collection of the Law of the Russian
Federation, 2013, N 30, st. 4084).
Individuals who revoked
specialized depositaries, right to appeal to arbitration
court in order, Russian
Federation that corresponds to Russia's decision ( Ed.
Federal Law of 23 July d N 251-FZ - Collection
Russian legislation, 2013, N 30, sect. 4084).
(Article 63-1 was introduced by Federal Law of April 15, 2006 ).
N 51-FZ-Russian Federation Law Assembly, 2006, N
17, Art. 1780)
Article 64. (Uspent force on the basis of the Federal Act
23 July 2013 N 251-FZ-Legislative Assembly of the Russian Federation
Federation, 2013, N 30, art. 4084)
Moscow, Kremlin
November 29, 2001
N 156-FZ
