For trust management companies acting for the benefit of the Russian organization

 

I. Trust companies managing accruals for the housing provision for servicemen shall provide:
- the copy of the management company’s license to manage investment funds, unit investment trusts and non-governmental pension funds (a copy must be certified by a notary);
- the certified copy of the trust agreement on accruals for servicemen housing provision executed in accordance with the standard agreement approved by Order No.09-11/pz-n of the Federal Financial Markets Service of Russia dated April 02, 2009;
- the original statement of the depository account opened by the management company at a specialized depository, as of the date when persons entitled to dividends are being determined in accordance with the resolution to pay dividends, containing the information regarding the ownership of the Issuer’s shares by the management company with indication of state registration numbers attributed to these shares, type and number of shares;
- the original report on accruals invested in provision of housing for servicemen (or extract from Table 2 of the report “Investment portfolio structure of the management company”) drawn up as of the date when persons entitled to dividends are being determined according to the resolution to pay dividends in compliance with the form approved by Order No.05-85/pz-n of the Federal Financial Markets Service of Russia dated December 20, 2005, and attached to each trust agreement.

If the documents are signed by a non-principal of the management company, the power of attorney confirming his authority thereto shall be submitted.

Documentation requirements:

1) copies submitted shall be legible and readable, bound and numbered. Accuracy of copies shall be certified by an authorized person including its position, personal signature, printed name and affixed with a stamp (if the stamp is available). When copies are verified by a non-principal, it is requested to submit the power of attorney confirming its authority to verify copies of these documents;
2) original documents shall include the position of the person responsible for transaction, its personal signature and printed name, seal impression of the organization prepared a document (if the seal is available);
3) all documents shall contain relevant and accurate information as of the dividend payment period;
4) in written documents the management company’s name shall be followed by the mark “TM” (trust management).

II. Trust companies managing pension accruals of the non-governmental pension fund shall submit:
- the copy of the management company’s license to manage non-governmental pension funds (a copy must be certified by a notary);
- certified copy of the service agreement of a specialized depository of a non-state pension fund maintaining compulsory pension insurance executed in accordance with the standard agreement approved by decree of Bank of Russia No. 4142-U dated 29.09.2016;
- certified copy of the service agreement of the management company’s specialized depository in relation to pension accruals executed in accordance with standard agreement approved by decree of Bank of Russia No. 4142-U dated 29.09.2016.

In case the aforesaid agreements were concluded before 01.12.2016, they must be executed in accordance with standard agreement approved by Order of the Federal Financial Markets Service No.10-44/pz-n dated 06.07.2010.

- the original report on invested pension accruals drawn up as of the date when persons entitled to dividends are being determined according to Appendix 6 to the Order of the Bank of Russia No.3901-U dated December 16, 2015, and attached to each trust agreement.

If the documents are signed by a non-principal of the management company, the power of attorney confirming his authority thereto shall be submitted.

Documentation requirements:

1) copies submitted shall be legible and readable, bound and numbered. Accuracy of copies shall be certified by an authorized person including its position, personal signature, printed name and affixed with a stamp (if the stamp is available). When copies are verified by a non-principal, it is requested to submit the power of attorney confirming its authority to verify copies of these documents;
2) original documents shall include position of the person responsible for transaction, its personal signature and printed name, seal impression of the organization prepared a document (if the seal is available);
3) all documents shall contain relevant and accurate information as of the dividend payment period;
4) in written documents the management company’s name shall be followed by the mark “Trust management of pension accruals for financing the funded component of the retirement pension”.

III. Trust companies managing target capital of a nonprofit organization shall submit:
1) a certified copy of the management company’s (the trustee’s) license to manage securities or investment funds, unit investment trusts and non-governmental pension funds;
2) a certified copy of the constituent documents of a nonprofit organization (articles of association, etc.) with a corporate name, a form of legal organization, address, the period of existence of a nonprofit organization (in case it was established for a definite period), possibility to form target capital and the purpose of it;
3) a certified copy of the trust property management contract between the trustee and a nonprofit organization (the owner of the target capital) on the property that makes target capital. The contract shall include the following: individual notation of target capital that shall identify it among other target capitals; mention of the owner of the target capital property and the beneficiary under contract (a nonprofit organization that has established management); the term of the trust management treaty; a period for which the target capital shall be formed;
4) the original statement of the depository account, as of the date when persons entitled to dividends are being determined in accordance with the resolution to pay dividends, that, in particular, shall contain the mark “TM” (trust management) and the mention of the individual notation of target capital;
5) a document from the management company confirming that Issuer’s shares make a part of the target capital property of a nonprofit organization as of the date when persons entitled to dividends are being determined in accordance with the resolution to pay dividends, for the corresponding period. In particular, it can be an extract from the account on asset management as of the mentioned date where the asset composition of target capital is depicted;
6) the certified copy of the service agreement of a specialized depository between the management company and the specialized depository.

If the documents are signed by a non-principal of the management company, the power of attorney confirming his authority thereto shall be submitted.

Documentation requirements:

1) copies submitted shall be legible and readable, bound and numbered. Accuracy of copies shall be certified by an authorized person including its position, personal signature, printed name and affixed with a stamp (if the stamp is available). When copies are verified by a non-principal, it is requested to submit the power of attorney confirming its authority to verify copies of these documents;
2) original documents shall include the position of the person responsible for transaction, its personal signature and printed name, seal impression of the organization prepared a document (if the seal is available);
3) all documents shall contain relevant and accurate information as of the dividend payment period;
4) in written documents the management company’s name shall be followed by the mark “TM” (trust management).

IV. Management Companies of Unit Investment Trusts shall submit:
- certified abstracts from Trust Management Rules for the Unit Investment Trust (hereinafter referred to as “UIT”) shall include a note of registration in the federal executive authority for the securities market, UIT’s name, UIT’s type, a full corporate name and address of the location of the management company, information on the management company’s license, a full corporate name and address of the location of a specialized depository, the term of the UIT’s trust management treaty, CEO’s signature;
- certified copies of amendments and supplements to the Trust Management Rules for the UIT registered by the federal executive authority for the securities market and related to the information above;
- the copy of the management company’s license to manage non-governmental pension funds (a copy must be certified by a notary);
- the original statement of the depository account opened by the management company at a specialized depository, as of the date when persons entitled to dividends are being determined in accordance with the resolution to pay dividends, containing the information regarding the ownership of the Issuer’s shares by the management company, which are proprietary of a particular UIT, with indication of state registration numbers attributed to these shares, type and number of shares;
- the original certificate of UIT’s asset value (or the original abstract from the certificate) issued by the management company in accordance with Appendix 2 to the Order of the Bank of Russia No.3901-U dated December 16, 2015; it shall include information on the Issuer’s shares, or the original full list of UIT’s property issued in accordance with the requirements of Order No. 04-5/ps of the Russian Federal Commission for the Securities Market dated February 18, 2004, as of the date when persons entitled to dividends are being determined in accordance with the resolution to pay dividends.

If the certificate is countersigned by the head of the management company instead of the person responsible for accounting in the management company, it is requested to submit documents confirming its corresponding authority.

If the documents are signed by a non-principal of the management company, the power of attorney confirming his authority thereto shall be submitted.

Documentation requirements:

1) copies submitted shall be legible and readable, bound and numbered. Accuracy of copies shall be certified by an authorized person including its position, personal signature, printed name and affixed with a stamp (if the stamp is available). When copies are verified by a non-principal, it is requested to submit the power of attorney confirming its authority to verify copies of these documents;
2) original documents shall include the position of the person responsible for transaction, its personal signature and printed name, seal impression of the organization prepared a document (if the seal is available);
3) all documents shall contain relevant and accurate information as of the dividend payment period;
4) in written documents the management company’s name shall be followed by the mark “TM” (trust management).