Russian Federation
In this article, the features of the regulatory legal regulation of the activities of management companies of mutual investment funds are identifi ed, the content of the requirements imposed by state bodies on management companies is considered in detail, measures for further development and improvement of risk-oriented control in relation to management companies of mutual investment funds are proposed.
management company of mutual investment funds, legal regulation, risk-based control, risks
1. Federal'nyy zakon ot 29.11.2001 N 156-FZ (red. ot 02.07.2021) «Ob investicionnyh fondah» (s izm. i dop., vstup. v silu s 01.02.2022).
2. Ukazanie Banka Rossii ot 19.07.2016 N 4075-U (red. ot 16.09.2019) «O trebovaniyah k sobstvennym sredstvam upravlyayuschih kompaniy investicionnyh fondov, paevyh investicionnyh fondov i negosudarstvennyh pensionnyh fondov i soiskateley licenzii upravlyayuschey kompanii» (Zaregistrirovano v Minyuste Rossii 15.08.2016 N 43234) (s izm. i dop., vstup. v silu s 21.06.2020).
3. Ukazanie Banka Rossii ot 02.11.2020 N 5609-U «O raskrytii, rasprostranenii i predostavlenii informacii akcionernymi investicionnymi fondami i upravlyayuschimi kompaniyami investicionnyh fondov, paevyh investicionnyh fondov i negosudarstvennyh pensionnyh fondov, a takzhe o trebovaniyah k raschetu dohodnosti investicionnoy deyatel'nosti akcionernogo investicionnogo fonda i upravlyayuschey kompanii paevogo investicionnogo fonda» (vmeste s «Informaciey, podlezhaschey raskrytiyu, poryadkom i srokami ee raskrytiya», «Informaciey, podlezhaschey raskrytiyu v vide klyuchevogo informacionnogo dokumenta, a takzhe poryadkom i srokami ee raskrytiya») (Zaregistrirovano v Minyuste Rossii 04.12.2020 N 61277).
4. Instrukciya Banka Rossii ot 27.07.2018 N 190-I «O perechne dokumentov, podtverzhdayuschih soblyudenie licenzionnyh usloviy i predstavlyaemyh dlya polucheniya licenzii na osuschestvlenie deyatel'nosti investicionnogo fonda, licenzii upravlyayuschey kompanii na osuschestvlenie deyatel'nosti po upravleniyu investicionnymi fondami, paevymi investicionnymi fondami i negosudarstvennymi pensionnymi fondami, licenzii na osuschestvlenie deyatel'nosti specializirovannogo depozitariya investicionnyh fondov, paevyh investicionnyh fondov i negosudarstvennyh pensionnyh fondov, poryadke predostavleniya licenzii, pereoformleniya dokumenta, podtverzhdayuschego nalichie licenzii, oformleniya i predstavleniya dokumentov dlya polucheniya licenzii i pereoformleniya dokumenta, podtverzhdayuschego nalichie licenzii, forme zayavleniya o predostavlenii licenzii, forme dokumenta, podtverzhdayuschego nalichie licenzii, poryadke vedeniya reestrov licenziy i poryadke predostavleniya vypisok iz nih» (Zaregistrirovano v Minyuste Rossii 05.12.2018 N 52893).
5. Informacionnoe pis'mo Banka Rossii ot 24.12.2020 N IN-06-14/180 «O rekomendaciyah rukovoditelyam sluzhby vnutrennego kontrolya, sluzhby vnutrennego audita, sluzhby upravleniya riskami finansovyh organizaciy».
6. Standarty deyatel'nosti upravlyayuschih kompaniy paevyh investicionnyh fondov (utv. Sovetom direktorov NAUFOR ot 04.12.2019). – Tekst : elektronnyy. – https://naufor.ru/tree.asp?n=18317 (data obrascheniya 01.05.2022).
