Legislative base of the Russian Federation. Regulations on the Federal Service for Financial Markets Pz n on Approval of Regulations
08.08.2006 Date of acceptance: 08.08.2006
ON APPROVAL OF THE REGULATIONS
In accordance with clause 14 of Article 42 of the Federal Law of 22.04.96 N 39-FZ "On the Market valuable papers"(Collected Legislation of the Russian Federation, 1996, N 17, Art. 1918; 1998, N 48, Art. 5857; 1999, N 28, Art. 3472; 2001, N 33, Art. 3424; 2002, N 52, Art. 5141; 2004, No. 27, Article 2711; No. 31, Article 3225; 2005, No. 11, Article 900; No. 25, Article 2426; 2006, No. 1, Article 5; No. 2, Article 172; 17, Art. 1780), paragraph 2 of Article 55 of the Federal Law of November 29, 2001 N 156-FZ "On Investment Funds" (Collected Legislation of the Russian Federation, 2001, N 49, Art. 4562; 2004, N 27, Art. 2711 ; 2006, N 17, Art. 1780) and paragraph 5.2.9 of the Regulations on the Federal Service for financial markets, approved by the Decree of the Government of the Russian Federation of June 30, 2004 N 317 (Collected Legislation of the Russian Federation, 2004, N 27, Art. 2780; 2005, N 33, Art. 3429; 2006, N 13, Art. 1400), I order:
1. To approve the attached Regulation on the accreditation of organizations that carry out certification of financial market specialists (hereinafter - the Regulation).
2. Establish that the form of the accreditation certificate of the organization that certifies the financial market specialists is a secured printed product of the "B" protection level.
(Clause 2 was introduced by Order of the Federal Financial Markets Service of the Russian Federation of March 30, 2010 N 10-26 / pz-n)
3. Control over the implementation of this Order shall be entrusted to the Deputy Head of the Federal Service for Financial Markets S.K. Kharlamov.
Leader
O. V. VYUGIN
application
POSITION
ON ACCREDITATION OF ORGANIZATIONS IMPLEMENTING
CERTIFICATION OF FINANCIAL MARKET SPECIALISTS
(as amended by the Orders of the Federal Financial Markets Service of the Russian Federation of June 24, 2008 N 08-26 / pz-n, of March 30, 2010 N 10-26 / pz-n)
I. General Provisions
1.1. This Regulation determines the conditions and procedure for accreditation of organizations that carry out certification of citizens in the field of professional activity in the securities market, in the field of activity of joint stock companies. investment funds, management companies of investment funds, mutual funds and non-state pension funds, specialized depositories of investment funds, mutual investment funds and non-state pension funds, in the field of activities of non-state pension funds for non-state pension provision, compulsory pension insurance and professional pension insurance (hereinafter - certification of specialists financial market).
(Clause 1.1 as amended by the Order of the Federal Financial Markets Service of the Russian Federation of March 30, 2010 N 10-26 / pz-n)
1.2. The certification of financial market specialists may be carried out by educational institutions of higher or additional professional education that provide training in the field of the securities market (hereinafter - educational institutions), as well as self-regulatory organizations of professional participants in the securities market and management companies of investment funds, mutual funds and non-state pension funds (hereinafter - self-regulatory organizations).
II. Accreditation conditions
The conditions for accreditation of an organization applying for certification of financial market specialists (hereinafter referred to as the applicant), upon receipt of accreditation, are as follows:
2.1. applicant must be legal entity created in accordance with the legislation of the Russian Federation;
2.2. the applicant has an attestation commission, formed of at least 5 members, and a corresponding document defining the procedure for the work of such a commission;
2.3. the applicant has software and hardware that makes it possible to form examination tests (hereinafter referred to as tests) in accordance with the programs of qualification exams for financial market specialists approved by the Federal Service for Financial Markets (hereinafter referred to as the Federal Service);
2.4. the applicant has an appropriate document regulating the admission of qualification exams for financial market specialists (hereinafter referred to as the Regulations);
2.5. to obtain accreditation, an applicant who is an educational institution, in addition to the conditions provided for in clauses 2.1 - 2.4 of these Regulations, must meet the following conditions:
a) the applicant has carried out educational activities for at least 5 years preceding the submission of documents for obtaining accreditation;
b) preparation (in the form of training) by an applicant of at least 500 graduated specialists (bachelors, masters) in specializations: "Securities", "Securities market", " Stock Markets"or" Financial Markets "related to the specialty of higher professional education" Finance and Credit ", or within 3 years preceding the submission of documents for obtaining accreditation - at least 3,000 citizens to pass the qualification exams for the qualification" Financial Market Specialist ".
(subparagraph "b" as amended by the Order of the Federal Financial Markets Service of the Russian Federation of March 30, 2010 N 10-26 / pz-n)
III. Accreditation procedure
3.1. To obtain accreditation, the applicant submits the following documents to the Federal Service:
3.1.1. application form (Appendix No. 1 to this Regulation);
3.1.2. copies of constituent documents;
3.1.3. a copy of the license for the right to carry out educational activities (for educational institutions) or a copy of a permit to carry out activities as a self-regulatory organization;
3.1.4. a list of members of the applicant's attestation commission and a copy of the document provided for in clause 2.2 of these Regulations;
3.1.5. Regulations in duplicate;
3.1.6. payment document confirming the fact of payment by the applicant state duty for accreditation of organizations that certify individuals in the field of professional activity on the securities market in the form of taking qualification exams and issuing qualification certificates, charged in accordance with the legislation of the Russian Federation on taxes and fees.
(Clause 3.1.6 was introduced by Order of the Federal Financial Markets Service of the Russian Federation of March 30, 2010 N 10-26 / pz-n)
3.2. The decision on accreditation or on refusal of accreditation is made by the Federal Service within 15 working days from the date of receipt of the full set of documents provided for in clause 3.1 of these Regulations.
3.3. In case of submission of an incomplete set of documents required for making a decision on accreditation, or submission of documents that have not been completed in accordance with the established procedure, the Federal Service returns the applicant the documents submitted for obtaining accreditation without consideration within 10 working days from the date of their receipt by the Federal Service.
(Clause 3.3 as amended by the Order of the Federal Financial Markets Service of the Russian Federation of June 24, 2008 N 08-26 / pz-n)
3.4. During the period of consideration of the documents submitted for obtaining accreditation, the Federal Service checks the accuracy of the information contained in the documents submitted for obtaining accreditation, and checks the software and hardware for the formation of tests and software and hardware for determining the results of examinations (if such software is available) -technical support). In the case of sending a request to the applicant for the provision of additional documents(information) the course of the period provided for in clause 3.2 of these Regulations is suspended for the duration of the inspection, but for no more than 60 days.
(as amended by the Order of the Federal Financial Markets Service of the Russian Federation of March 30, 2010 N 10-26 / pz-n)
Verification of software and hardware for the formation of tests and software and hardware for determining the results of examinations is carried out by the Federal Service at the location of the applicant within the time frame agreed in advance with the applicant. Upon completion of the verification of the software and hardware, a conclusion is drawn up on the possibility of the applicant's use of software and hardware for the formation of tests and software and hardware to determine the results of examinations (if such software and hardware is available).
If the Federal Service receives an application from an accredited organization about the possibility of using software and hardware to determine the results of exams, the Federal Service checks such software and hardware within 15 working days from the date of receipt of the said application.
3.5. The grounds for refusing accreditation are:
3.5.1. non-compliance of the applicant with the requirements provided for in clauses 2.1 - 2.5 of these Regulations;
3.5.2. the presence of inaccurate or distorted information in the applicant's documents;
3.5.3. conclusion based on the results of the check provided for in clause 3.4 of these Regulations on the impossibility of using the software and hardware by the applicant for the formation of tests;
3.5.4. failure to submit, within 60 days, on the basis of a request provided for in clause 3.4 of these Regulations, all documents (information) necessary for making a decision on accreditation, or corrected and / or supplemented documents.
(Clause 3.5.4 was introduced by Order of the Federal Financial Markets Service of the Russian Federation of March 30, 2010 N 10-26 / pz-n)
3.6. The Federal Service notifies the applicant in writing of a decision on accreditation or refusal of accreditation within 5 working days from the date of the relevant decision; if a decision on accreditation is made, it also sends a copy of the agreed Regulations.
3.7. If a decision on accreditation is made, the Federal Service:
3.7.1. within a period not exceeding 10 working days from the date of the decision on accreditation, draws up a certificate confirming accreditation (Appendix No. 2 to these Regulations), and sends it to the territorial body of the Federal Service at the location of the accredited organization for handing over to an authorized representative of the accredited organization ;
(Clause 3.7.1 as amended by the Order of the Federal Financial Markets Service of the Russian Federation of 24.06.2008 N 08-26 / pz-n)
3.7.2. within 5 working days from the date of the decision on accreditation, provides the accredited organization with examination questions approved by the Federal Service, and in case of changes and additions to the examination questions, within 5 working days from the date of approval of such changes and additions, sends them to the accredited organization;
3.7.3. within 5 working days from the date of the decision on accreditation, sends to the accredited organization a list of authorized employees of the Federal Service, and subsequently - no later than 5 working days from the date of making changes and additions to the specified list, notifies the accredited organization of such changes and additions.
3.8. During the period of accreditation, the Federal Service has the right to check the accredited organization for compliance with the accreditation conditions and the requirements established by the documents specified in clauses 2.2 - 2.4 of these Regulations.
3.9. Accreditation is carried out for a period of 3 years, which can be extended.
3.10. The conditions for the extension of accreditation are:
3.10.1. compliance of the applicant with the conditions of accreditation and the requirements established by the documents specified in clauses 2.2 - 2.4 of these Regulations;
(Clause 3.10.1 as amended by the Order of the Federal Financial Markets Service of the Russian Federation of 24.06.2008 N 08-26 / pz-n)
3.10.2. issuance by the applicant of at least 500 certificates of financial market specialists within 3 years preceding the submission of documents for the extension of accreditation.
3.11. To extend the accreditation, the applicant, no earlier than 60 working days before the expiration of the accreditation period and not less than 20 working days before the expiration of the accreditation period, shall submit the following documents to the Federal Service:
(as amended by the Order of the Federal Financial Markets Service of the Russian Federation of March 30, 2010 N 10-26 / pz-n)
3.11.1. documents provided for in clause 3.1 of these Regulations;
3.11.2. certificate of accreditation.
3.12. In case of submission of an incomplete set of documents required for making a decision on the extension of accreditation, submission of documents that have not been completed in accordance with the established procedure, or submission of a set of documents outside the deadline established by clause 3.11 of these Regulations, the Federal Service shall return the documents submitted for the extension of accreditation to the applicant without consideration within 10 working days from the date of their receipt by the Federal Service.
(Clause 3.12 as amended by the Order of the Federal Financial Markets Service of the Russian Federation of March 30, 2010 N 10-26 / pz-n)
3.13. During the period for consideration of documents submitted for the extension of accreditation, the Federal Service has the right to verify the accuracy of the information contained in the documents submitted for the extension of accreditation, as well as to verify compliance with the requirements established by the documents specified in clauses 2.2 - 2.4 of these Regulations.
(as amended by the Order of the Federal Financial Markets Service of the Russian Federation of 24.06.2008 N 08-26 / pz-n)
3.14. The grounds for refusal to extend accreditation are:
3.14.1. non-compliance of the applicant with the requirements provided for in clause 3.10 of these Regulations;
3.14.2. presence in the documents submitted by the applicant, inaccurate or distorted information.
3.15. The Federal Service shall notify the applicant in writing of the decision to extend the accreditation or to refuse to extend the accreditation within 5 working days from the date of the relevant decision; if a decision is made to extend the accreditation, the Federal Service also sends a copy of the agreed Regulations.
(as amended by the Order of the Federal Financial Markets Service of the Russian Federation of March 30, 2010 N 10-26 / pz-n)
3.16. If a decision is made to extend accreditation, the Federal Service, within a period not exceeding 10 working days from the date of such a decision, draws up a certificate confirming accreditation (Appendix No. 2 to these Regulations) and sends it to the territorial body of the Federal Service at the location of the accredited organization to be handed over to an authorized representative of an accredited organization.
(Clause 3.16 as amended by the Order of the Federal Financial Markets Service of the Russian Federation of 24.06.2008 N 08-26 / pz-n)
3.17. The Federal Service makes a decision to revoke accreditation on the following grounds:
3.17.1. in connection with the termination of a license for an accredited organization for the right to carry out educational activities or a permit to carry out activities as a self-regulatory organization;
3.17.2. in connection with gross or repeated violation by the accredited organization of the conditions of accreditation and the requirements established by the documents specified in clauses 2.2 - 2.4 of these Regulations;
(Clause 3.17.2 as amended by the Order of the Federal Financial Markets Service of the Russian Federation of 24.06.2008 N 08-26 / pz-n)
3.17.3. at the initiative of an accredited organization.
3.18. If the Federal Service makes a decision to revoke an accreditation organization, a notification of such a decision, indicating the grounds for revocation, must be sent to the said organization within 5 working days from the date of such a decision.
3.19. Information about accredited organizations is open for public inspection on the official website of the Federal Service on the Internet (www.fcsm.ru; www.fsfm.gov.ru).
3.20. In the event of a change in the full name of the organization and / or the location of the organization, the accredited organization for renewal of the accreditation certificate within a period not exceeding 30 working days from the date of registration of all changes in accordance with the procedure established by the legislation of the Russian Federation, sends the following documents to the Federal Service:
3.20.1. an application for renewal of the accreditation certificate, drawn up on the letterhead of an accredited organization in the form in accordance with Appendix No. 3 to these Regulations;
3.20.2. copies of the documents specified in clause 3.1.2 of these Regulations, as amended, certified in accordance with the established procedure, as well as a document confirming the entry into the Unified State Register legal entities on amendments to the constituent documents of a legal entity;
3.20.3. certificate of accreditation.
(Clause 3.20 was introduced by Order of the Federal Financial Markets Service of the Russian Federation of June 24, 2008 N 08-26 / pz-n)
3.21. In case of submission of an incomplete set of documents required for making a decision to reissue the accreditation certificate, or submitting documents that are not completed in the prescribed manner, the Federal Service returns the documents submitted for reissuing the accreditation certificate without consideration within 10 working days from the date of their receipt Federal Service.
(Clause 3.21 was introduced by Order of the Federal Financial Markets Service of the Russian Federation of June 24, 2008 N 08-26 / pz-n)
3.22. The decision to reissue the accreditation certificate is made by the Federal Service within 15 working days from the date the Federal Service receives an application for reissuing the accreditation certificate with the attachment of the documents specified in subparagraphs 3.20.2 and 3.20.3 of these Regulations.
(Clause 3.22 was introduced by Order of the Federal Financial Markets Service of the Russian Federation of June 24, 2008 N 08-26 / pz-n)
3.23. The Federal Service, within a period not exceeding 10 working days from the date of the decision to reissue the accreditation certificate, re-issues the accreditation certificate and sends it to the territorial body of the Federal Service at the location of the accredited organization for handing over to an authorized representative of the accredited organization.
(Clause 3.23 was introduced by Order of the Federal Financial Markets Service of the Russian Federation of June 24, 2008 N 08-26 / pz-n)
3.24. Within 5 working days from the date of the decision to renew the accreditation certificate, the Federal Service makes the appropriate changes to the information about accredited organizations on the Federal Service's website on the Internet.
(Clause 3.24 was introduced by Order of the Federal Financial Markets Service of the Russian Federation of June 24, 2008 N 08-26 / pz-n)
3.25. Copies of documents submitted in accordance with this Regulation must be certified in accordance with the established procedure. In documents containing more than 1 sheet, the sheets must be bound, numbered, sealed and signed by an authorized person.
(as amended by the Order of the Federal Financial Markets Service of the Russian Federation of 24.06.2008 N 08-26 / pz-n)
Appendix N 1
to the Regulation on accreditation
organizations carrying out
certification of specialists
financial market
ref. N ________________
FFMS of Russia
Leninsky prospect, 9
Moscow, B-49, GSP-1
Organization application form
to obtain accreditation (extension of accreditation)
1. Full name:
2. Location (address):
____________________________
3. Contact phone number:
__________________________________________________________________
4. Fax number:
__________________________________________________________________
5. Address of the official website on the Internet:
__________________________________________________________________
6. Email address:
__________________________________________________________________
7. Surname, name, patronymic of the head:
__________________________________________________________________
8. Contact persons:
__________________________________________________________________
9. Short description software and hardware for
formation of tests and software and hardware for
determining the results of examinations (if any
software and hardware):
__________________________________________________________________
10. Duration (experience) of educational
activities, in years (to be completed by the educational institution):
__________________________________________________________________
11. Duration (experience) of preparing citizens for exams
Federal Financial Markets Service of Russia (exams of the Federal Commission for the Securities Market of Russia), in years
educational institution):
__________________________________________________________________
12. Duration (experience) of training graduates
specialists (bachelors, masters) in the specializations "Valuable
securities "," Securities market "," Stock markets "or" Financial
markets "related to the specialty of higher professional
education "Finance and Credit", in years (to be filled in
educational institution):
__________________________________________________________________
13. The number of prepared citizens for passing the FFMS exams
Russia or the exams of the Federal Commission for the Securities Market of Russia
institution):
__________________________________________________________________
14. Number of trained graduates
(bachelors, masters) in the specializations "Securities", "Market
securities "," Stock Markets "or" Financial Markets ",
related to the specialty of higher professional education
"Finance and Credit" (to be completed by an educational institution):
__________________________________________________________________
15. The number of issued certificates of financial specialists
market within 3 years preceding the submission of documents for
extension of accreditation (to be completed for extension purposes)
accreditation):
__________________________________________________________________
Please consider the issue of accreditation / renewal
accreditation
Underline whatever applicable
__________________________________________________________________
M.P. _____________ /AND ABOUT. Surname/
/ job title / signature /
head of the organization /
Appendix N 2
to the Regulation on accreditation
organizations carrying out
certification of specialists
financial market
FEDERAL FINANCIAL MARKETS SERVICE
CERTIFICATE
on the accreditation of an organization performing
certification of financial market specialists
N _____________
______________________________________
(full name of the organization)
______________________________________
has the right to carry out certification of financial market specialists
before _____________
Manager _________________ __________________________________
(signature) (first name last name)
Appendix N 3
to the Regulation on accreditation
organizations carrying out
certification of specialists
financial market
ref. N ________________
FFMS of Russia
Leninsky prospect, 9
Moscow, B-49, GSP-1
Statement
on renewal of the accreditation certificate
__________________________________________________________________
(full name of the organization)
__________________________________________________________________
(location of the organization)
asks to reissue the accreditation certificate in connection with
change of the name / location of the organization.
(Underline whatever applicable)
New name / location of the organization: _____________
The following documents are attached to this application:
N document |
Title of the document |
Number of sheets |
REGULATIONS on the Federal Service for Financial Markets
I. General Provisions
1. The Federal Service for Financial Markets is the federal executive body responsible for the adoption of regulatory legal acts, control and supervision in the field of financial markets (with the exception of insurance, banking and audit activities).
2. The Federal Financial Market Service is managed by the Government of the Russian Federation.
3. The Federal Service for Financial Markets is guided in its activities by the Constitution of the Russian Federation, federal constitutional laws, federal laws, acts of the President of the Russian Federation and the Government of the Russian Federation, international treaties of the Russian Federation, as well as this Regulation.
4. The Federal Service for Financial Markets carries out its activities directly and through its territorial bodies in interaction with other federal executive bodies, executive bodies of the constituent entities of the Russian Federation, bodies local government, public associations and other organizations.
II. Credentials
5. The Federal Service for Financial Markets exercises the following powers in the established area of activity:
5.1. submits projects to the Government of the Russian Federation federal laws, regulatory legal acts of the President of the Russian Federation and the Government of the Russian Federation and other documents, which require a decision of the Government of the Russian Federation, on issues of the scope of the Service, established by paragraph 1 of these Regulations, as well as a draft work plan and forecast indicators of the service;
5.2. on the basis of and in pursuance of the Constitution of the Russian Federation, federal constitutional laws, federal laws, acts of the President of the Russian Federation and the Government of the Russian Federation independently adopts regulatory legal acts:
5.2.1. on approval of standards for the issue of securities, prospectuses of securities of issuers, including foreign issuers, who issue securities on the territory of the Russian Federation. and order state registration issue (additional issue) of equity securities, state registration of reports on the results of the issue (additional issue) of equity securities and registration of securities prospectuses (with the exception of government and municipal securities, as well as bonds of the Bank of Russia);
5.2.2. according to uniform requirements to the rules for the implementation of professional activities with securities;
5.2.3. on the approval of mandatory requirements for the procedure for maintaining the register of holders of registered securities;
5.2.4. on the approval of mandatory for professional participants in the securities market, with the exception of credit institutions, sufficiency standards own funds and other requirements aimed at reducing the risks of professional activities in the securities market, as well as eliminating conflicts of interest, including when a broker who is a financial consultant provides services for the placement of equity securities;
5.2.5. on the approval of the norms for the admission of securities to their public offering, circulation, quotation and listing, settlement and depository activities;
5.2.6. to determine the procedure for admission to the initial placement and circulation outside the territory of the Russian Federation of securities issued by issuers registered in the Russian Federation;
5.2.7. on the approval of requirements for the structure of assets of joint-stock investment funds and assets of mutual investment funds;
5.2.8. on the approval of the procedure for registering the rules of non-state pension funds and changes in them, standards for disclosing information and reporting forms for non-state pension funds;
5.2.9. other regulatory legal acts, the adoption of which is attributed to federal laws and regulatory legal acts The President of the Russian Federation and the Government of the Russian Federation to the competence of the federal executive body in the field of financial markets, the federal executive body for the securities market, as well as the authorized federal executive body for government regulation activities of non-state pension funds for non-state pension provision, compulsory pension insurance and professional pension insurance in terms of supervision and control;
5.3. on the basis of federal laws, acts of the President of the Russian Federation and the Government of the Russian Federation, the Service exercises the following powers of control and supervision in the established area of activity:
5.3.1. registers:
5.3.1.1. issues (additional issues) of equity securities and reports on the results of the issue of securities, as well as prospectuses (except for state and municipal securities);
5.3.1.2. the rules for the trust management of mutual investment funds, the rules for the trust management of mortgage coverage, as well as changes in them;
5.3.1.3. rules of non-state pension funds, as well as changes in them;
5.3.1.4. documents of professional participants in the securities market, their self-regulatory organizations, as well as specialized depositaries of investment funds, mutual investment funds and non-state pension funds, which are subject to registration in accordance with the legislation of the Russian Federation;
5.3.2. carries out notification registration of non-state pension funds that have submitted an application for the implementation of activities on compulsory non-state pension insurance as an insurer;
5.3.3. carries out licensing of professional activities in the securities market, activities of non-state pension funds, joint-stock investment funds, management of investment funds, mutual investment funds and non-state pension funds, as well as the activities of specialized depositories of investment funds, mutual funds and non-state pension funds;
5.5.4. controls the procedure for conducting transactions with monetary funds or other property, performed by professional participants in the securities market, in order to counter the legalization (laundering) of proceeds from crime;
5.3.4. suspends the issue of securities;
5.3.5. conducts checks:
5.3.6.1. issuers, joint-stock investment funds, subjects of relations for the formation and investment of pension savings, subjects of relations for non-state pension provision, compulsory pension insurance and professional pension insurance, mortgage agents, managers of mortgage coverage and specialized depositories for mortgage coverage;
5.3.6.2. professional participants in the securities market, management companies of joint-stock investment funds, mutual investment funds and non-state pension funds, as well as their self-regulatory organizations;
5.3.7. issues instructions to issuers, professional participants in the securities market, joint-stock investment funds, management companies of joint-stock investment funds, mutual investment funds and non-state pension funds, specialized depositories of joint-stock investment funds, mutual investment funds and non-state pension funds, subjects of relations on the formation and investment of funds pension savings, subjects of relations on non-state pension provision, compulsory pension insurance and professional pension insurance, mortgage agents, mortgage coverage managers and specialized depositories of mortgage coverage, as well as self-regulatory organizations;
5.3.8. prohibits or restricts for up to six months professional participant individual transactions in the securities market;
5.3.9. goes to court ( court of Arbitration) with claims (statements), including claims (statements), the presentation of which, in accordance with the legislation of the Russian Federation, may be carried out by the authorized federal executive body for regulation, control and supervision in the field of formation and investment of pension savings;
5.3.10. considers the facts of violation of the legislation of the Russian Federation on commodity exchanges and makes appropriate decisions in accordance with the legislation of the Russian Federation;
5.3.1 1. considers cases of administrative offenses attributed, in accordance with the Code of the Russian Federation on Administrative Offenses, to the competence of the federal executive body authorized in the field of the securities market, and also applies the measures of responsibility established by administrative legislation;
5.3.12. agrees:
5.3.12.1. decisions of the council of a non-state pension fund on its reorganization and the composition of the liquidation commission of a non-state pension fund;
5.3.12.2. the code of professional ethics of a specialized depository that has concluded an agreement on the provision of services to the Pension Fund of the Russian Federation, management companies that have concluded with By the Pension Fund Of the Russian Federation, agreements on trust management of pension savings funds, as well as brokers through which transactions related to the investment of pension savings funds in securities are made;
5.3.13. approves action plans of a specialized depository and management companies, which are subjects of relations for the formation and investment of pension savings, to bring the amount of own funds in line with the adequacy of own funds;
5.3.14. performs other functions of control and supervision attributed by federal laws and other regulatory legal acts of the President of the Russian Federation and the Government of the Russian Federation to the competence of the federal executive body in the field of financial markets, the federal executive body for the securities market, the authorized federal executive body for regulation, control and supervision in the field of formation and investment of pension savings, as well as the authorized federal executive body for state regulation of the activities of non-state pension funds for non-state pension provision, compulsory pension insurance and professional pension insurance;
5.4. summarizes the practice of applying legislation in the established field of activity;
5.6. performs the functions of the main manager and recipient of funds federal budget provided for the maintenance of the Service and the implementation of the functions assigned to it;
5.7. organizes tenders in the prescribed manner and concludes state contracts for placing orders for the supply of goods, performing work, rendering services for the needs of the Service, as well as conducting research work for other state needs in the established field of activity, including conducting tenders in the manner determined by the Government of the Russian Federation on the selection of a specialized depository and management companies for the conclusion of contracts with them by the Pension Fund of the Russian Federation;
5.8. organizes the reception of citizens, ensures the timely and complete consideration of oral and written applications of citizens, the adoption of decisions on them and the direction of responses to the applicants within the time period established by the legislation of the Russian Federation;
5.9. ensures, within the limits of its competence, the protection of information constituting a state secret;
5.10. provides mobilization training of the Service, as well as control and coordination of the activities of mobilization training organizations under its jurisdiction;
5.11. organizes professional training of the Service employees, their retraining, advanced training and internship;
5.12. interacts in accordance with the established procedure with public authorities of foreign states and international organizations in the established field of activity;
5.13. carries out, in accordance with the legislation of the Russian Federation, work on the acquisition, storage, accounting and use of archival documents generated in the course of the Service's activities;
5.14. ensures the disclosure of information in accordance with the legislation of the Russian Federation;
6. The Federal Service for Financial Markets, in order to exercise its powers in the established area of activity, has the right to:
6.1. to request and receive, in the prescribed manner, information necessary for making decisions on issues within the competence of the Service;
6.2. organize the necessary investigations, tests, examinations, analyzes and evaluations, and scientific research on issues of supervision in the established area of activity;
6.3. give legal and individuals clarification of issues within the competence of the Service;
6.4. exercise control over the activities of the territorial bodies of the Service;
6.5. involve, in the prescribed manner, for the study of issues related to the established scope of the Service, scientific and other organizations, scientists and specialists;
6.6. suppress violation of the legislation of the Russian Federation in the established field of activity, as well as apply restrictive, preventive and prophylactic measures aimed at preventing and (or) eliminating the consequences caused by violation of mandatory requirements by legal entities and citizens on issues within the competence of the Service;
6.7. create coordination, advisory and expert bodies (councils, commissions, groups, boards), including interdepartmental bodies, in the established field of activity.
7. The Federal Service for Financial Markets is not entitled to carry out management functions in the established area of activity. state property and providing paid services, except for the cases established by decrees of the President of the Russian Federation or decrees of the Government of the Russian Federation.
The restrictions on the powers of the Federal Service for Financial Markets established by the first paragraph of this clause do not apply to the powers of the head of the Property Management Service of the Service, assigned to it on the basis of the right of operational management, resolving personnel issues and issues of organizing the activities of the Service.
When implementing legal regulation in the established sphere of activity, the Federal Service for Financial Markets is also not entitled to establish functions and powers not provided for by federal constitutional laws, federal laws, acts of the President of the Russian Federation and the Government of the Russian Federation federal bodies state power, state power bodies of the constituent entities of the Russian Federation, local self-government bodies, as well as restrictions on the exercise of the rights and freedoms of citizens, the rights of non-state commercial and non-profit organizations, except for cases when the possibility of introducing such restrictions by acts of authorized federal executive bodies is provided for by the Constitution of the Russian Federation , federal constitutional laws, federal laws and issued on the basis of and pursuant to the Constitution of the Russian Federation, federal constitutional laws, federal laws by acts of the President of the Russian Federation and the Government of the Russian Federation.
III. Organization of activities
8. The Federal Service for Financial Markets is headed by a head appointed and dismissed by the Government of the Russian Federation.
The head of the Federal Service for Financial Markets is personally responsible for the fulfillment of the powers assigned to the Service in the established field of activity.
The head of the Federal Service for Financial Markets has deputies appointed and dismissed by the Government of the Russian Federation on the proposal of the head of the Service.
The number of deputy heads of the Federal Service for Financial Markets is established by the Government of the Russian Federation.
9. Head of the Federal Service for Financial Markets:
9.1. distributes responsibilities between his deputies:
9.2. submits to the Government of the Russian Federation:
9.2.1. draft regulations on the Federal Service for Financial Markets;
9.2.2. proposals on the maximum number and payroll of employees of the central office and territorial bodies Services;
9.2.5. proposals for the appointment and dismissal of the deputy heads of the Service;
9.2.4. the annual plan and forecast indicators of the Service's activities, as well as a report on their implementation;
9.3. approves regulations on structural divisions of the Service and its territorial bodies;
9.4. appoints and dismisses employees of the central office of the Service, heads and deputy heads of territorial bodies of the Service;
9.5. resolves, in accordance with the legislation of the Russian Federation on civil service, issues related to the passage of the federal civil service in the Service;
9.6. approves the structure and staffing table the central office of the Service within the limits of the wage fund and the number of employees established by the Government of the Russian Federation, the cost estimate for the maintenance of the central office of the Service within the limits approved by corresponding period appropriations provided for in the federal budget;
9.7. approves the number and payroll of employees of the territorial bodies of the Service within the limits of indicators established by the Government of the Russian Federation, as well as an estimate of expenses for their maintenance within the limits approved for the corresponding period of the allocations provided in the federal budget;
9.8. submits to the Ministry of Finance of the Russian Federation proposals on the formation of the draft federal budget in part financial security the activities of the Service;
9.9. submits to the Government of the Russian Federation in accordance with the established procedure proposals for the creation, reorganization or liquidation of federal government organizations and institutions administered by the Service;
9.10. on the basis of and in pursuance of the Constitution of the Russian Federation, federal constitutional laws, federal laws, acts of the President of the Russian Federation, the Government of the Russian Federation issues orders on issues within the competence of the Service, as well as on the internal organization of the work of the Service;
9.11. submits, in the prescribed manner, the employees of the Service, its territorial bodies and other persons carrying out activities in the established area for the assignment of honorary titles and the awarding of state awards of the Russian Federation.
10. Structural divisions Of the Federal Service for Financial Markets are the departments for the main areas of activity of the Service. The departments include departments.
11. Financing of expenses for the maintenance of the central office of the Federal Service for Financial Markets and its territorial bodies is carried out at the expense of the funds provided in the federal budget.
12. The Federal Service for Financial Markets is a legal entity, has a seal with the image of the State Emblem of the Russian Federation and with its name, other seals, stamps and letterheads of the established sample, as well as accounts opened in accordance with the legislation of the Russian Federation.
13. Location of the Federal Service for Financial Markets - Moscow.
Active Edition from 01.01.1970
Name document | ORDER of the Federal Financial Markets Service of the Russian Federation of January 28, 2010 N 10-4 / pz-n "ON APPROVAL OF THE REGULATIONS ON SPECIALISTS OF THE FINANCIAL MARKET" |
Document type | order, position |
Host body | fsfr rf |
Document Number | 10-4 / PZ-N |
Date of adoption | 01.10.2010 |
Date of revision | 01.01.1970 |
Registration number in the Ministry of Justice | 17130 |
Date of registration with the Ministry of Justice | 06.05.2010 |
Status | acts |
Publication |
|
Navigator | Notes (edit) |
ORDER of the Federal Financial Markets Service of the Russian Federation of January 28, 2010 N 10-4 / pz-n "ON APPROVAL OF THE REGULATIONS ON SPECIALISTS OF THE FINANCIAL MARKET"
FINANCIAL MARKET SPECIALISTS REGULATIONS
29. The information contained in the Register is displayed in the territorial offices of the FFMS of Russia, and is also disclosed in the form of extracts from the Register.
30. To obtain information about the certified person and the issued qualification certificates the certified person can apply to any territorial body of the FFMS of Russia with a statement containing the last name, first name, patronymic<*>, date of birth, mailing address, contact phone number, personal signature of the certified person and the date of writing the application.
<*>In the presence of.
31. The territorial body of the FFMS of Russia transfers the personal data of the certified person in the form of an extract from the Register to interested persons who are not subjects of personal data, only with the consent of writing the subject of personal data or if there is another legal basis.
32. Written consent must be certified in accordance with the procedure established by the legislation of the Russian Federation, and must include the following information:
32.1. Full Name<*>, the address of the certified person, the number of the main document proving his identity, information about the date of issue of the specified document and the issuing authority;
32.2. name and address (location) of the territorial body of the Federal Financial Markets Service of Russia, receiving the consent of the certified person;
32.3. the purpose of transferring the personal data of the certified person;
32.4. a list of personal data for the transfer of which the certified person agrees;
32.5. a list of actions with personal data, for the performance of which consent is given, namely: transfer to an interested person (indicate the last name, first name, patronymic<*>citizen or organization name);
32.6. the period during which the consent is valid, as well as the procedure for its withdrawal.
<*>In the presence of.
33. If the applicant fails to submit the documents stipulated in clauses 30 - 32 of the Regulations or submission of a set of documents incorrectly executed in accordance with the requirements of clauses 30 - 32 of the Regulations, the territorial body of the FFMS of Russia within a period not exceeding 10 working days from the date of receipt of the application provided for in clause 30 - 32 of the Regulations, sends to the applicant a reasoned refusal to issue an extract from the Register.
34. The territorial body of the FFMS of Russia, within a period not exceeding 10 working days from the date of receipt of the documents provided for in clauses 30 - 32 of the Regulations, draws up an extract from the Register containing information about the qualification certificates issued to the certified person, the title of the employee of the territorial body of the FFMS of Russia, signature of this employee, a decryption of the signature, certifying the signature with a seal, and hands it over to the applicant.
35. Each extract from the Register issued by the territorial body of the FFMS of Russia contains information regarding only one certified person.
36. Copies of documents submitted in accordance with the Regulations must be certified in accordance with the established procedure.
Government of the Russian Federation decides:
1. To approve the attached Regulation on the Federal Service for Financial Markets.
2. Federal Service for Financial Markets:
a) submit by October 1, 2004 to the Government of the Russian Federation proposals on amendments to the legislation of the Russian Federation, providing for:
transfer of functions of the Commission for Commodity Exchanges to the Federal Service for Financial Markets;
elimination of redundant and duplicate functions in the established area of activity of the Federal Service for Financial Markets;
b) before January 1, 2005, to submit to the Government of the Russian Federation proposals providing for the formation of a collegial body for regulation and supervision of the financial market.
3. Prior to amendments to the legislation of the Russian Federation, providing for the transfer of functions of the Commission for Commodity Exchanges to the Federal Service for Financial Markets,
The Federal Service for Financial Markets exercises the functions and powers for the management and support of the work of the Commission on Commodity Exchanges.
Prime Minister
Russian Federation
M. Fradkov
Regulations on the Federal Service for Financial Markets
I. General Provisions
1. The Federal Service for Financial Markets is the federal executive body responsible for the adoption of regulatory legal acts, control and supervision in the field of financial markets (with the exception of insurance, banking and audit activities).
2. The Federal Service for Financial Markets is managed by the Government of the Russian Federation.
3. The Federal Service for Financial Markets is guided in its activities by the Constitution of the Russian Federation, federal constitutional laws, federal laws, acts of the President of the Russian Federation and the Government of the Russian Federation, international treaties of the Russian Federation, as well as this Regulation.
4. The Federal Service for Financial Markets carries out its activities directly and through its territorial bodies in cooperation with other federal executive bodies, executive bodies of the constituent entities of the Russian Federation, local self-government bodies, public associations and other organizations.
II. Credentials
5. The Federal Service for Financial Markets exercises the following powers in the established area of activity:
5.1. submits to the Government of the Russian Federation drafts of federal laws, normative legal acts of the President of the Russian Federation and the Government of the Russian Federation and other documents requiring a decision of the Government of the Russian Federation on issues of the scope of activities of the Service established by paragraph 1 of these Regulations, as well as a draft work plan and forecast performance indicators of the Service;
5.2. on the basis of and in pursuance of the Constitution of the Russian Federation, federal constitutional laws, federal laws, acts of the President of the Russian Federation and the Government of the Russian Federation independently adopts regulatory legal acts:
5.2.1. on approval of standards for the issue of securities, prospectuses of securities of issuers, including foreign issuers who issue securities on the territory of the Russian Federation, and the procedure for state registration of an issue (additional issue) of emissive securities, state registration of reports on the results of an issue (additional issue) equity securities and registration of securities prospectuses (with the exception of government and municipal securities, as well as bonds of the Bank of Russia);
5.2.2. on the approval of uniform requirements for the rules for carrying out professional activities with securities;
5.2.3. on the approval of mandatory requirements for the procedure for maintaining the register of holders of registered securities;
5.2.4. on the approval of mandatory for professional participants in the securities market, with the exception of credit institutions, standards for the adequacy of their own funds and other requirements aimed at reducing the risks of professional activities in the securities market, as well as eliminating conflicts of interest, including when providing a broker who is a financial consultant, services for the placement of equity securities;
5.2.5. on the approval of the norms for the admission of securities to their public offering, circulation, quotation and listing, settlement and depository activities;
5.2.6. to determine the procedure for admission to the initial placement and circulation outside the territory of the Russian Federation of securities issued by issuers registered in the Russian Federation;
5.2.7 on the approval of requirements for the structure of assets of joint-stock investment funds and assets of mutual investment funds;
5.2.8. on the approval of the procedure for registering the rules of non-state pension funds and changes in them, standards for disclosing information and reporting forms for non-state pension funds;
5.2.9. other regulatory legal acts, the adoption of which is attributed by federal laws and regulatory legal acts of the President of the Russian Federation and the Government of the Russian Federation to the competence of the federal executive body in the field of financial markets, the federal executive body for the securities market, as well as the authorized federal executive body for state regulation of the activities of non-state pension funds for non-state pension provision, compulsory pension insurance and professional pension insurance in terms of supervision and control;
5.3. on the basis of federal laws, acts of the President of the Russian Federation and the Government of the Russian Federation, the Service exercises the following powers of control and supervision in the established area of activity:
5.3.1. registers:
5.3.1.1. issues (additional issues) of equity securities and reports on the results of the issue of securities, as well as prospectuses of securities (except for state and municipal securities);
5.3.1.2. rules for trust management of mutual investment funds, rules for trust management of mortgage coverage, as well as changes in them;
5.3.1.3. rules of non-state pension funds, as well as changes in them;
5.3.1.4. documents of professional participants in the securities market, their self-regulatory organizations, as well as specialized depositories of investment funds, mutual funds and non-state pension funds, which are subject to registration in accordance with the legislation of the Russian Federation;
5.3.2. carries out notification registration of non-state pension funds that have submitted an application for the implementation of activities on compulsory non-state pension insurance as an insurer;
5.3.3. carries out licensing of professional activities in the securities market, activities of non-state pension funds, joint-stock investment funds, management of investment funds, mutual investment funds and non-state pension funds, as well as the activities of specialized depositories of investment funds, mutual funds and non-state pension funds;
5.3.4. controls the procedure for conducting transactions with in cash or other property committed by professional participants in the securities market in order to counter the legalization (laundering) of proceeds from crime;
5.3.5. suspends the issue of securities;
5.3.6. conducts checks:
5.3.6.1. issuers, joint-stock investment funds, subjects of relations for the formation and investment of pension savings, subjects of relations for non-state pension provision, compulsory pension insurance and professional pension insurance, mortgage agents, managers of mortgage coverage and specialized depositories for mortgage coverage;
5.3.6.2. professional participants in the securities market, management companies of joint-stock investment funds, mutual investment funds and non-state pension funds, as well as their self-regulatory organizations;
5.3.7. issues instructions to issuers, professional participants in the securities market, joint-stock investment funds, management companies of joint-stock investment funds, mutual investment funds and non-state pension funds, specialized depositories of joint-stock investment funds, mutual investment funds and non-state pension funds, subjects of relations on the formation and investment of pension funds savings, subjects of relations on non-state pension provision, compulsory pension insurance and professional pension insurance, mortgage agents, managers of mortgage coverage and specialized depositories of mortgage coverage, as well as self-regulatory organizations;
5.3.8. prohibits or restricts for a period of up to six months the performance of certain transactions by a professional participant in the securities market;
5.3.9. applies to the court (arbitration court) with claims (statements), including claims (statements), the presentation of which, in accordance with the legislation of the Russian Federation, can be carried out by the authorized federal executive body for regulation, control and supervision in the field of formation and investment of pension funds savings;
5.3.10. considers the facts of violation of the legislation of the Russian Federation on commodity exchanges and makes appropriate decisions in accordance with the legislation of the Russian Federation;
5.3.11. considers cases of administrative offenses attributed, in accordance with the Code of the Russian Federation on Administrative Offenses, to the competence of the federal executive body authorized in the field of the securities market, and also applies the measures of responsibility established by administrative legislation;
5.3.12. agrees:
5.3.12.1. decisions of the council of a non-state pension fund on its reorganization and the composition of the liquidation commission of a non-state pension fund;
5.3.12.2. the code of professional ethics of a specialized depository that has entered into an agreement on the provision of services to the Pension Fund of the Russian Federation, management companies that have concluded agreements on trust management of pension savings with the Pension Fund of the Russian Federation, as well as brokers through which transactions related to the investment of pension savings in securities are made ;
5.3.13. approves action plans for a specialized depository and management companies that are subjects of relations for the formation and investment of pension savings, for bringing the amount of its own funds in line with the adequacy of own funds;
5.3.14. performs other functions of control and supervision assigned by federal laws and other regulatory legal acts of the President of the Russian Federation and the Government of the Russian Federation to the competence of the federal executive body in the field of financial markets, the federal executive body for the securities market, the authorized federal executive body for regulation , control and supervision in the field of formation and investment of pension savings, as well as the authorized federal executive body for state regulation of the activities of non-state pension funds for non-state pension provision, compulsory pension insurance and professional pension insurance;
5.4. summarizes the practice of applying legislation in the established field of activity;
5.6. performs the functions of the main manager and recipient of federal budget funds provided for the maintenance of the Service and the implementation of the functions assigned to it;
5.7. organizes the holding of tenders in the prescribed manner and the conclusion of state contracts for the placement of orders for the supply of goods, the performance of work, the provision of services for the needs of the Service, as well as for the conduct of research work for other state needs in the established field of activity, including conducting in the manner, determined by the Government of the Russian Federation, tenders for the selection of a specialized depository and management companies to conclude agreements with the Pension Fund of the Russian Federation;
5.8. organizes the reception of citizens, ensures the timely and full consideration of oral and written applications of citizens, the adoption of decisions on them and the direction of responses to the applicants within the period established by the legislation of the Russian Federation;
5.9. ensures, within the limits of its competence, the protection of information constituting a state secret;
5.10. provides mobilization training of the Service, as well as control and coordination of the activities of organizations under its jurisdiction for mobilization training;
5.11. organizes professional training of the Service employees, their retraining, advanced training and internship;
5.12. interacts in accordance with the established procedure with public authorities of foreign states and international organizations in the established field of activity;
5.13. carries out, in accordance with the legislation of the Russian Federation, work on the acquisition, storage, accounting and use of archival documents generated in the course of the Service's activities;
5.14. ensures the disclosure of information in accordance with the legislation of the Russian Federation.
6. The Federal Service for Financial Markets, in order to exercise its powers in the established area of activity, has the right to:
6.1. to request and receive, in the prescribed manner, information necessary for making decisions on issues within the competence of the Service;
6.2. organize the conduct of the necessary investigations, tests, examinations, analyzes and assessments, as well as scientific research on the issues of supervision in the established field of activity;
6.3. give explanations to legal entities and individuals on issues within the competence of the Service;
6.4. exercise control over the activities of the territorial bodies of the Service;
6.5. involve, in the prescribed manner, for the study of issues related to the established scope of the Service, scientific and other organizations, scientists and specialists;
6.6. suppress violation of the legislation of the Russian Federation in the established field of activity, as well as apply restrictive, preventive and preventive measures aimed at preventing and (or) eliminating the consequences caused by violation of mandatory requirements by legal entities and citizens on issues within the competence of the Service;
6.7. create coordination, advisory and expert bodies (councils, commissions, groups, collegia), including interdepartmental bodies, in the established field of activity.
7. The Federal Service for Financial Markets is not entitled to carry out the functions of managing state property and providing paid services in the established area of activity, except as otherwise established by decrees of the President of the Russian Federation or decrees of the Government of the Russian Federation.
The restrictions on the powers of the Federal Service for Financial Markets established by the first paragraph of this clause do not apply to the powers of the head of the Property Management Service of the Service, assigned to it on the basis of the right of operational management, resolving personnel issues and issues of organizing the activities of the Service.
When implementing legal regulation in the established area of activity, the Federal Service for Financial Markets also has no right to establish functions and powers of federal bodies of state power, bodies of state power of constituent entities of the Russian Federation, bodies that are not provided for by federal constitutional laws, federal laws, acts of the President of the Russian Federation and the Government of the Russian Federation. local self-government, as well as restrictions on the exercise of the rights and freedoms of citizens, the rights of non-state commercial and non-commercial organizations, except for cases when the possibility of introducing such restrictions by acts of authorized federal executive bodies is provided for by the Constitution of the Russian Federation, federal constitutional laws, federal laws and issued on the basis of and in pursuance of the Constitution of the Russian Federation, federal constitutional laws, federal laws by acts of the President of the Russian Federation Federation and the Government of the Russian Federation.
III. Organization of activities
8. The Federal Service for Financial Markets is headed by a head appointed and dismissed by the Government of the Russian Federation.
The head of the Federal Service for Financial Markets is personally responsible for the fulfillment of the powers assigned to the Service in the established field of activity.
The head of the Federal Service for Financial Markets has deputies appointed and dismissed by the Government of the Russian Federation on the proposal of the head of the Service.
The number of deputy heads of the Federal Service for Financial Markets is established by the Government of the Russian Federation.
9. Head of the Federal Service for Financial Markets:
9.1. distributes duties between his deputies;
9.2. submits to the Government of the Russian Federation:
9.2.1. draft regulations on the Federal Service for Financial Markets;
9.2.2. proposals on the maximum number and payroll of employees of the central office and territorial bodies of the Service;
9.2.3. proposals for the appointment and dismissal of the deputy heads of the Service;
9.2.4. the annual plan and forecast indicators of the Service's activities, as well as a report on their implementation;
9.3. approves regulations on structural divisions of the Service and its territorial bodies;
9.4. appoints and dismisses employees of the central office of the Service, heads and deputy heads of territorial bodies of the Service;
9.5. resolves, in accordance with the legislation of the Russian Federation on civil service, issues related to the passage in the Federal Civil Service;
9.6. approves the structure and staffing of the central office of the Service within the limits of the wage fund and the number of employees established by the Government of the Russian Federation, the cost estimate for the maintenance of the central office of the Service within the appropriations approved for the corresponding period provided for in the federal budget;
9.7. approves the number and payroll of employees of the territorial bodies of the Service within the limits of the indicators established by the Government of the Russian Federation, as well as the estimate of expenses for their maintenance within the limits of the appropriations approved for the corresponding period provided in the federal budget;
9.8. submits to the Ministry of Finance of the Russian Federation proposals on the formation of the draft federal budget in terms of financial support for the activities of the Service;
9.9. submits to the Government of the Russian Federation in accordance with the established procedure proposals on the creation, reorganization and liquidation of federal state organizations and institutions under the jurisdiction of the Service;
9.10. on the basis of and in pursuance of the Constitution of the Russian Federation, federal constitutional laws, federal laws, acts of the President of the Russian Federation, the Government of the Russian Federation issues orders on issues within the competence of the Service, as well as on the internal organization of the work of the Service;
9.11. submits, in the prescribed manner, the employees of the Service, its territorial bodies and other persons carrying out activities in the established area for the assignment of honorary titles and the awarding of state awards of the Russian Federation.
10. The structural divisions of the Federal Service for Financial Markets are departments for the main areas of the Service. The departments include departments.
11. Financing of expenses for the maintenance of the central office of the Federal Service for Financial Markets and its territorial bodies is carried out at the expense of funds provided in the federal budget.
12. The Federal Service for Financial Markets is a legal entity, has a seal with the State Emblem of the Russian Federation and with its name, other seals, stamps and letterheads of the established sample, as well as accounts opened in accordance with the legislation of the Russian Federation.
13. The location of the Federal Service for Financial Markets is Moscow.