Signing an application for opening a client account
- An application for opening a client account submitted by an individual shall be signed by this person or his/her legal or authorized representative.
- A client account for recording the joint ownership of securities shall be opened pursuant to an application signed by at least one of the joint owners of securities or its representative.
- An application on behalf of a legal entity shall be signed by a person who has the right to act on behalf of a legal entity without a power of attorney, or by an authorized representative of a legal entity.
Signing of a questionnaire of a registered person
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The signature sample of the person indicated in the questionnaire must be made in the presence of an employee of the Registrar authorized to certify signature samples in the questionnaire (transfer agent, issuer authorized to accept documents for opening client accounts), and certified by the specified employee. This requirement applies to the legal representative (parent(s), adoptive parent, guardian or tutor) of an individual under 14 years of age or an individual recognized as legally incapacitated.
The authenticity of the signature of the person indicated in the questionnaire may be attested in accordance with Article 35, part one of Article 38, articles 46 and 80 of the Fundamentals of the Legislation of the Russian Federation on Notariate dated February 11, 1993 N 4462-I.
The signing of other documents, including orders, requests, applications.
- An order to complete a transaction on behalf of a legal entity shall be signed by a person authorized to act on behalf of such legal entity without a power of attorney whose signature specimen is contained in a registered person's questionnaire or by a representative of a legal entity.
- An order to complete a transaction on behalf of the individual shall be signed by such individual or his/her representative.
- An order, which is the basis for performing transactions concerning the personal account of a registered individual under the age of 14, shall be signed by his/her parent, adoptive parent or guardian, whose signature sample is contained in the questionnaire of the registered person.
- An order, which is the basis for performing transactions concerning the personal account of a registered individual aged from 14 to 18 years (unless such person has not acquired full legal capacity or has not been declared as a fully legally capable), should be signed by this registered person, and contain a note of consent to the signing of the order signed by his/her parent, adoptive parent or a guardian whose signature sample is contained in the questionnaire of the registered person. Such order may not contain a note of consent to be signed by a registered person, if the Registrar has been provided with a written consent signed by his/her parent, adoptive parent or guardian to make a deal that is the basis for the transfer of securities.
- An order which is the basis for performing transactions concerning the personal account of a registered individual who is declared as legally incapacitated shall be signed by his/her guardian whose signature specimen is contained in a questionnaire of a registered person.
- An order which is the basis for performing transactions concerning the personal account of a registered individual whose legal capacity is limited shall be signed by such registered person and contain a note of consent to the signing of the order signed by his/her guardian whose signature sample is contained in the questionnaire of the registered person. Such order may not contain a note of consent of a guardian, if the Registrar has been provided with a written consent to make a deal signed by a guardian that is the basis for the transfer of securities.
- If an order is signed by a parent, adoptive parent or a guardian, or contains a note of consent signed by a parent, adoptive parent or a guardian, or the Registrar has been provided with a written consent of a parent, adoptive parent or a guardian to make a deal which is the basis for transfer of securities, the Registrar must also be provided with a written permission to the deal issued by the guardianship authority (consent to the deal).
- An order which is the basis for performing transactions concerning the personal account in relation to securities jointly owned by several persons must be signed by all co-owners.
- If pledged securities are transferred (except where they are transferred by the pledgor to the pledgee), unless the pledge conditions provides that the pledged securities are to be disposed without the pledgee's consent, an order must also be signed by a person whose signature specimen is contained in the pledgee's questionnaire.
- An order for a transaction may be signed by a representative of a legal entity, or a representative of an individual if:
- A representative's signature has been was made in the presence of an authorized person of the Registrar or its transfer agent, as well as the issuer receiving transactions documents; or
- The authenticity of a representative's signature is notarized;
- A representative of an individual acting on the basis of a power of attorney may sign an order for a transaction if a public notary certifies a respective power of attorney.
- A request (order) for providing information from the register on a personal account of an owner of securities jointly owned by several persons may be signed by one of co-owners.