II. Qualification requirements for financial market specialists
5.1. availability of a qualification certificate for specialization corresponding to the type of activity in the financial market carried out by the organization in which the specified person works;
5.2. the presence of a qualification certificate for specialization corresponding to the type of activity in the financial market carried out by the organization that is the main place of work of these persons - for the persons provided for in section II of Appendix No. 1 to these Regulations;
(as amended by the Order of the Federal Financial Markets Service of the Russian Federation of 08.08.2006 N 06-88 / pz-n)
5.3. the presence of higher education (with the exception of persons provided for in section III of Appendix No. 1 to this Regulation);
5.4. the absence of the fact of cancellation of the qualification certificate, if less than three years have passed since the date of cancellation.
6. The persons specified in Sections I and Appendix No. 1 to this Regulation, in addition to the requirements established by paragraph 5 of this Regulation, must meet the following requirements:
6.1. for persons provided for in clause 1.1 of Appendix No. 1 to these Regulations - experience of work as a head of a department or other structural unit of an organization operating in the financial market, a self-regulatory organization uniting organizations operating in the securities and collective investment market ( hereinafter - a self-regulatory organization), the Federal Commission for the Securities Market, the Federal Service, their territorial bodies, the Ministry of Finance of the Russian Federation, financial bodies of the constituent entities of the Russian Federation, the Central Bank of the Russian Federation, whose official duties included the adoption (preparation) of decisions on issues directly related to specialization in the financial market - at least one year;
6.2. for the persons provided for in Sections I and Appendix No. 1 to these Regulations - the absence of the fact of work in an organization that carried out activities in the financial market, for which the relevant license was revoked and in which the specified person was the person in charge of the current activities of this organization, or the controller during the period of the violation that resulted in the cancellation of the license (except for cases of cancellation of the license based on the application of the organization itself), if less than three years have passed since the date of cancellation of the license.
7. If an organization carries out several types of activities in the financial market or is going to carry out and this organization has sent a corresponding application to the Federal Service, then:
7.1. the persons specified in clauses 1.1 - 1.3 of Appendix No. 1 to these Regulations must have a qualification certificate for specialization in the field of the financial market, corresponding to one of the activities of the organization in the financial market;
7.2. the controller must have qualification certificates that ensure the compliance of the specified specializations in the field of the financial market with all types of activities of the organization in the financial market.
FEDERAL SERVICE FOR FINANCIAL MARKETS
ORDER
On approval of the Regulation on financial market specialists
Document with changes made:
(Russian newspaper, N 114, 05/30/2011);
(Russian newspaper, N 183, 08/19/2011);
(Russian newspaper, N 153, 06.07.2012);
(Bulletin of normative acts of federal executive bodies, N 32, 08/12/2013).
____________________________________________________________________
In accordance with clause 14 of article 42 and clause 10 of article 44 of the Federal Law of April 22, 1996 N 39-FZ "On the Securities Market" (Collected Legislation of the Russian Federation, 1996, N 17, Article 1918; 1998, N 48, Art. 5857; 1999, No. 28, article 3472; 2001, No. 33, article 3424; 2002, No. 52, article 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; No. 17, article 1780; No. 31, article 3437; No. 43, article 4412; 2007, 1, Art 45; N 18, Art. 2117; N 22, Art. 2563; N 41, Art. 4845; N 50, Art. 6247, 6249; 2008, N 44, Art. 4982; N 52 (part .I), Art. 6221; 2009, N 1, Art. 28; N 7, Art. 777; N 18 (part I), Art. 2154; N 23, Art. 2770; N 29, Art. 3618, 3642; N 48, Art. 5731; N 52 (part I), Art. 6428), subparagraphs 7, 8 and 17 of paragraph 2 of Article 55 of the Federal Law of 29.11.2001 N 156-FZ "On Investment Funds" (Collected Legislation Of the Russian Federation, 2001, No. 49, article 4562; 2004, No. 27, article 2711; 2006, No. 17, article 1780; 2007, No. 50, article 6247; 2008, No. 30 (part II), article .3616; 2009, N 48, Article 5731), paragraph 10 of Article 7, paragraph c the fifth subparagraph 1, subparagraphs 13 and 14 of paragraph 3 of Article 34 of the Federal Law of 07.05.98 N 75-FZ "On Non-State Pension Funds" (Collected Legislation of the Russian Federation, 1998, N 19, Article 2071; 2001, No. 7, article 623; 2002, No. 12, Article 1093; 2003, No. 2, article 166; 2004, No. 49, Article 4854; 2005, No. 19, art. 1755; 2007, No. 50, Art. 6247; 2008, No. 18, article 1942; No. 30 (Part II), Article 3616; 2009, No. 29, Art. 3619; 48, Article 5731; 52 (part I), Articles 6450, 6454), subparagraph 1 of paragraph 3 of the Decree of the Government of the Russian Federation of 04.11.2003 No. 669 "On the authorized federal executive body in charge of state regulation of the activities of non-state pension funds for non-state pension provision, mandatory pension insurance and professional pension insurance, supervision and control over these activities "(Collected Legislation of the Russian Federation, 2003, N 45, Art. 4388; 2006, N 2, Art. 226; 2007, N 12, Art. 1414; 2010, N 4, Article 407) and clauses 5.2.8.1, 5.2.9, 5.3.13.1 and 5.3.13.2 of the Regulations on the Federal Service for Financial Markets, approved by Decree of the Government of the Russian Federation of June 30, 2004 N 317 (Collected Legislation of the Russian Federation, 2004, 27, Art. 2780; 2005, N 33, Art. 3429; 2006, N 13, Art. 1400; N 52, Art. 5587; 2007, N 12, Art. 1417; 2008, N 19, Art. 2192; 46, Article 5337; 2009, No. 3, Article 378; No. 6, Article 738),
i order:
1. To approve the attached Regulation on financial market specialists (hereinafter - the Regulation).
2. Establish that:
2.1. The qualification certificates previously issued by the Federal Financial Markets Service of Russia and the Federal Commission for the Securities Market of Russia and which are valid for an indefinite period remain valid.
2.2. Requirements for the persons specified in clauses 1.1-1.3 of Appendix No. 1 to the Regulations do not apply to credit institutions.
2.3. The requirements of clauses 3.1.1 and 3.1.3 of the Regulations in relation to employees of non-state pension funds carrying out activities on non-state pension provision, compulsory pension insurance and professional pension insurance, come into force from 01.10.2010.
2.4. The requirements of paragraph 3 of the Regulations in relation to employees of non-state pension funds carrying out activities on non-state pension provision, compulsory pension insurance and professional pension insurance, apply only to the persons specified in paragraphs 1.1 and 2 of Appendix No. 1 to the Regulations.
2.5. The requirements of clauses 3 and 5 of the Regulations in relation to employees of a joint-stock investment fund apply only to the person specified in clause 1.1 of Appendix No. 1 to the Regulations.
Leader
V.D. Milovidov
Registered
at the Ministry of Justice
Russian Federation
May 6, 2010
registration N 17130
Financial Market Specialists Regulations
application
I. General provisions
1. This Regulation establishes:
1.1. qualification requirements for employees specified in Appendix No. 1 to the Regulations (hereinafter referred to as financial market specialists) working in an organization operating as a professional participant in the securities market; management activities of investment funds, mutual investment funds and non-state pension funds; activities of a specialized depository of investment funds, mutual investment funds and non-state pension funds; activities of a non-state pension fund for non-state pension provision, compulsory pension insurance and professional pension insurance; activities of a joint-stock investment fund, except for the case of transfer of powers of the sole executive body of a joint-stock investment fund to a management company (hereinafter - activities in the financial market);
1.2. requirements for the professional experience of persons performing the functions of the sole executive body of organizations operating in the financial market, with the exception of an organization operating a non-state pension fund, as well as for the head of a separate structural unit of an organization operating a specialized depository, for controllers (heads of the internal control service ) a management company and a specialized depository;
1.3. grounds and procedure for canceling qualification certificates;
1.4. the grounds and procedure for issuing a duplicate qualification certificate and issuing an extract from the minutes of the examination commission of the Federal Commission for the Securities Market of Russia or the Federal Financial Markets Service of Russia on the results of the basic qualification exam previously passed by the citizen;
1.5. terms for submitting information to the register of certified persons;
(Clause as amended, entered into force on 23 August 2013 by order of the FFMS of Russia dated 16 May 2013 N 13-41 / pz-n.
1.6. item excluded from 23 August 2013 -.
2. For the purposes of these Regulations, an employee specified in Appendix No. 1 to the Regulations means a managerial employee (paragraphs 1.1-1.4 of Appendix No. 1 to the Regulations), a controller (paragraph 2 of Appendix No. 1 to the Regulations) and a specialist (paragraph 3 of Appendix No. 1 to the Regulation).
II. Qualifications and professional experience requirements for financial market specialists
3. Financial market specialists must meet the following qualification requirements:
3.1. availability of a qualification certificate of a financial market specialist or a qualification certificate corresponding to him in accordance with Appendix No. 2 to the Regulations, while:
3.1.1. the persons specified in clauses 1.1, 1.2 and 1.3 of Appendix No. 1 to the Regulations must have a qualification certificate corresponding to one of the types of activities carried out by the organization in the financial market;
3.1.2. the persons specified in clause 1.4 of Appendix No. 1 to the Regulations must have qualification certificates for the type (types) of activity in relation to which (which) the structural division of the organization or its branch performs the functions of carrying out activities in the financial market;
3.1.3. the person specified in clause 2 of Appendix No. 1 to the Regulations must have qualification certificates that ensure the compliance of the types of activities in the field of the financial market indicated in them with all types of activities carried out by the organization in the financial market.
If the implementation of internal control in relation to different types of professional activities in the securities market is entrusted to several controllers, then each controller must have qualification certificates for the type (types) of activity in respect of which (which) the controller performs internal control functions. At the same time, controllers must have qualification certificates, in the aggregate, ensuring the compliance of the types of activities in the field of the financial market indicated in them with all types of activities carried out by the organization in the financial market;
3.1.4. the persons specified in clause 3 of Appendix No. 1 to the Regulations must have a qualification certificate corresponding to the type of activity in the financial market in relation to which functions (duties) are performed in an organization operating in the financial market;
3.1.5. the persons specified in clauses 1.4 and 3 of Appendix No. 1 to the Regulations, who are employees of a structural unit providing financial advisor services, must have a qualification certificate of a financial market specialist of the first type or a qualification certificate corresponding to him in terms of brokerage, dealer activities in accordance with Appendix No. 2 to the Regulations ;
3.1.6. the persons specified in clause 1.1 of Appendix No. 1 to the Regulations who are employees of a joint-stock investment fund must have a qualification certificate of a type 5 financial market specialist or a corresponding qualification certificate in accordance with Appendix No. 2 to the Regulations;
3.2. the absence of the fact of cancellation of the qualification certificate for the relevant qualifications, if less than 3 years have passed since the date of cancellation;
3.3. the presence of higher professional education, confirmed by a state document of the Russian Federation or the USSR on higher vocational education or a document of a foreign state on education and a certificate of establishing the equivalence of a document of a foreign state on education to a state document of the Russian Federation on higher vocational education issued by the Federal Service for Supervision in the Sphere education and science in the manner determined by the order of the Ministry of Education and Science of the Russian Federation dated April 14, 2009 N 128 "On approval of the Procedure for the recognition and establishment of the equivalence of documents of foreign states on education in the Russian Federation" (in the absence of an appropriate international treaty regulating the mutual recognition and equivalence of documents on education), - for persons provided for in paragraphs 1 and 2 of Appendix No. 1 to the Regulation.
________________
Registered by the Ministry of Justice of the Russian Federation on 09.06.2009, registration N 14043.
4. The persons specified in clause 3 of the Regulations do not include employees of structural divisions of an organization and its branch operating in the financial market, whose exclusive function is accounting, information and technical support of the organization's activities, carrying out economic activities, ensuring the security of the organization, maintenance of documentation related to personnel and their movement (personnel department employees). The requirements of this clause do not apply to employees of structural divisions of an organization and its branch operating in the financial market, whose exclusive function is to maintain accounting records of an organization that manages investment funds, mutual funds and non-state pension funds.
The exclusivity of the functions performed means the incompatibility of the functions performed with other business processes of the organization.
by order of the FSFM of Russia dated June 9, 2011 N 11-27 / pz-n.
5. Financial market specialists must meet the following professional experience requirements:
5.1. the persons specified in clause 1.1 of Appendix No. 1 to the Regulations, with the exception of managers of a joint-stock investment fund, must have experience of working in organizations operating in the financial market in making (preparing) decisions on issues in the field of the financial market with a total duration of at least 2 years in a position not lower than the position of the head of a department or other structural unit of organizations that carry out professional activities in the securities market and / or activities for the management of investment funds, unit investment funds and non-state pension funds, or the activity of a specialized depository of investment funds, mutual funds and non-state pension funds funds, or self-regulatory organizations of professional participants in the securities market and / or management companies of investment funds, mutual funds and non-state pension funds, or a federal executive body the government on the securities market, or foreign organizations operating in the financial market in accordance with the legislation of this foreign state, taking into account the requirements of paragraph 4 of the Regulation;
the persons specified in clause 1.1 of Appendix No. 1 to the Regulations - managers of a joint-stock investment fund must have experience of working in organizations operating in the financial market in making (preparing) decisions on issues in the field of the financial market with a total duration of at least 2 years in a position not lower than the position of the head of a department or other structural subdivision of organizations that carry out professional activities in the securities market and / or activities for the management of investment funds, mutual investment funds and non-state pension funds, or the activity of a specialized depository of investment funds, mutual investment funds and non-state pension funds, or the activities of a joint-stock investment fund, or an organization carrying out activities for non-state pension provision, compulsory pension insurance and professional pension insurance, or self-regulatory organizations of professional participants in the securities market and / or management companies of investment funds, mutual investment funds and non-state pension funds, or the federal executive body for the securities market, or foreign organizations operating in the financial market in accordance with the legislation of this foreign state, with taking into account the requirements of clause 4 of the Regulations;
5.2. persons specified in clause 1.4 of Appendix No. 1 to the Regulations - employees of the credit institution - the head (s) of the structural unit (s), the exclusive functions of the employees of which include the implementation of brokerage and / or dealer activities and / or activities for the management of valuable papers must have at least 2 years of work experience in a position not lower than the position of a specialist of an organization or its branch, who, in accordance with his official duties, performed functions that provide for the availability of a qualification certificate corresponding to the type of activity in the financial market in relation to which the functions were performed (official responsibilities) in an organization operating in the financial market, or a specialist of self-regulatory organizations of professional participants in the securities market and / or management companies of investment funds, mutual funds and non-state pension funds, whose job responsibilities included training decisions on issues in the field of the financial market, or a specialist of the federal executive body for the securities market, whose duties included the preparation of decisions on issues in the field of the financial market;
5.3. the persons specified in clauses 1.2 and 1.4 of Appendix No. 1 to the Regulations - employees of an organization operating a specialized depository of investment funds, mutual investment funds and non-state pension funds, must have experience of work in organizations operating in the financial market, with a total duration of at least 1 year in a position not lower than the position of an employee of an organization operating in the financial market specified in paragraph 3 of Appendix No. 1 to the Regulations;
5.4. the persons specified in paragraph 2 of Appendix No. 1 to the Regulations - employees of an organization that manages investment funds, mutual funds and non-state pension funds, or the activities of a specialized depository of investment funds, mutual funds and non-state pension funds, must have experience in organizations operating in the financial market, with a total duration of at least 1 year in a position not lower than the position of an employee of an organization operating in the financial market specified in paragraph 3 of Appendix No. 1 to the Regulations;
5.5. for the persons provided for in clauses 1 and 2 of Appendix No. 1 to the Regulations - the absence of the fact of work in an organization operating in the financial market, for which the relevant license was revoked and in which the specified person was the person in charge of the current activities of this organization, or the controller during the period of committing any of the violations that entailed the cancellation of the license (except for cases of cancellation of the license based on the application of the organization itself), if less than 3 years have passed since the date of cancellation of the license.
(Clause 5 as amended, entered into force on August 30, 2011 by order of the FSFM of Russia dated June 9, 2011 N 11-27 / pz-n.
III. Grounds and procedure for cancellation of qualification certificates
6. The FFMS of Russia makes a decision to cancel the qualification certificate issued by the Federal Commission for the Securities Market of Russia, the FFMS of Russia or an organization accredited by the FFMS of Russia for the certification of financial market specialists (hereinafter referred to as an accredited organization), an attested person in the event of repeated or gross violation by the certified person of the legislation of the Russian Federation on securities, the legislation of the Russian Federation on investment funds or the legislation of the Russian Federation on non-state pension funds, as well as this Regulation, including if the performance or non-performance by the certified person of his duties entailed a violation by the organization (its branch) of the Legislation Provision specified in this clause.
7. Violations committed by financial market specialists specified in clauses 1.1 and 2 of Appendix No. 1 to the Regulations, in connection with which the license of an organization operating in the financial market was canceled for violation of the legislation of the Russian Federation, are the basis for the FFMS of Russia to make a decision to cancel qualification certificates of the specified persons.
8. In case of cancellation of the qualification certificate of a certified person, the FFMS of Russia within a period not exceeding 5 working days from the date of the said decision, notifies the person whose qualification certificate was canceled, with a copy of the corresponding order of the FFMS of Russia.
9. Information about canceled certificates is disclosed on the official website of the Federal Financial Markets Service of Russia on the Internet in the free access of all interested parties within a period not exceeding 10 working days from the date of the said decision.
10. The decision of the Federal Financial Markets Service of Russia to cancel the qualification certificate may be challenged in court.
IV. Grounds and procedure for issuing a duplicate qualification certificate
(title as amended on August 30, 2011
by order of the FFMS of Russia of June 9, 2011 N 11-27 / pz-n
11. In the event of loss or damage of a qualification certificate issued by the FFMS of Russia or the Federal Commission for the Securities Market of Russia, the certified person has the right to apply for a duplicate of it in the FFMS of Russia with a statement containing the surname, name, patronymic *, date of birth, postal address, contact phone number and personal signature of the certified person, the date of writing the application, the name of the territorial body of the FFMS of Russia, to which it is necessary to send a duplicate of the qualification certificate for handover, with a copy of the lost qualification certificate (if any) or an extract from the register of certified persons (if any) or information about the type of lost of a certificate or a damaged qualification certificate, explanations of the reasons for the loss or damage of a qualification certificate and a payment document confirming the fact of payment by the specified person of the state duty for the issuance of a duplicate of the certificate, levied in accordance with the legislation of the Russian Federation on taxes and fees (clause as amended by consequence from August 30, 2011 by order of the FFMS of Russia dated June 9, 2011 N 11-27 / pz-n.
________________
In the presence of.
12. If the applicant fails to submit a complete set of documents in accordance with clause 11 of the Regulations or submission of a set of documents not drawn up in accordance with the requirements of clause 11 of the Regulations, the FFMS of Russia within a period not exceeding 20 working days from the date of receipt of the application provided for in clause 11 of the Regulations , returns the documents to the applicant indicating the reasons for their return.
13. The FFMS of Russia, within a period not exceeding 30 working days from the date of receipt of the documents provided for in clause 11 of the Regulations, makes a decision to issue a duplicate of the qualification certificate.
14. The FFMS of Russia, within a period not exceeding 30 working days from the date of the decision to issue a duplicate of the qualification certificate, draws up a duplicate of the qualification certificate and sends it to the territorial body of the FFMS of Russia specified in the application of the certified person for issuance to the certified person. At the same time, the FFMS of Russia, in accordance with the established procedure, recognizes the lost qualification certificate as invalid and makes the appropriate changes to the register of certified persons.
15. Clause is excluded from August 30, 2011 by order of the FFMS of Russia dated June 9, 2011 N 11-27 / pz-n.
16. The item is excluded from August 30, 2011 by order of the FFMS of Russia dated June 9, 2011 N 11-27 / pz-n.
17. Clause is excluded from August 30, 2011 by order of the FFMS of Russia dated June 9, 2011 N 11-27 / pz-n.
____________________________________________________________________
Clauses 18 and 19 of the previous edition from August 30, 2011 are considered clauses 15 and 16 of this edition respectively -.
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15. Upon receipt of a duplicate qualification certificate, the applicant must present a document confirming his identity and sign the corresponding statement for the received document (paragraph as amended from August 30, 2011 by order of the Federal Financial Markets Service of Russia dated June 9, 2011 N 11-27 / pz-n.
16. A prerequisite for issuing a duplicate qualification certificate to the applicant's representative is the presence of a power of attorney drawn up in the prescribed manner (paragraph as amended, entered into force on August 30, 2011 by order of the Federal Financial Markets Service of Russia of June 9, 2011 N 11-27 / pz-n.
V. Terms of submission of information to the register of certified persons
(Name as amended by the order of the Federal Financial Markets Service of Russia dated May 16, 2013 N 13-41 / pz-n, entered into force on August 23, 2013.
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Clauses 20-36 of the previous edition from August 30, 2011 are considered, respectively, clauses 17-33 of this edition - order of the FFMS of Russia dated June 9, 2011 N 11-27 / pz-n.
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17. Clause is excluded from August 23, 2013 - order of the FFMS of Russia dated May 16, 2013 N 13-41 / pz-n ..
18. Clause excluded from August 23, 2013 - order of the FFMS of Russia dated May 16, 2013 N 13-41 / pz-n ..
19. Clause excluded from August 23, 2013 - order of the FFMS of Russia dated May 16, 2013 N 13-41 / pz-n ..
____________________________________________________________________
Clause 20 of the previous edition from August 23, 2013 is considered clause 17 of this edition - order of the Federal Financial Markets Service of Russia dated May 16, 2013 N 13-41 / pz-n.
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17. Accredited organizations send information on certified persons to the FFMS of Russia in paper form no later than 5 working days from the date of issuance of a qualification certificate and in the form of an electronic document with an electronic signature no later than 10 business days from the date of issuance of a qualification certificate.
(Clause as amended by the order of the FFMS of Russia dated June 9, 2011 N 11-27 / pz-n; as amended on July 17, 2012 by order of the FFMS of Russia dated April 24, 2012 N 12 -27 / pz-n.
18. In the event that the certified person receives the first higher education, changes the last name, first name, patronymic, citizenship, place of residence or postal address of the certified person, changes in the position, place of work of the certified person, the certified person must within 30 working days from the date of these changes send to the territorial body of the Federal Financial Markets Service of Russia application for amendments to the register of certified persons
(The item is additionally included from August 23, 2013 by order of the FFMS of Russia dated May 16, 2013 N 13-41 / pz-n)
21. Clause excluded from August 23, 2013 - order of the FFMS of Russia dated May 16, 2013 N 13-41 / pz-n ..
22. Item excluded from August 23, 2013 - order of the FFMS of Russia dated May 16, 2013 N 13-41 / pz-n ..
23. Item excluded from August 23, 2013 - order of the FFMS of Russia dated May 16, 2013 N 13-41 / pz-n ..
24. Clause is excluded from August 23, 2013 - order of the FFMS of Russia dated May 16, 2013 N 13-41 / pz-n ..
25. Clause is excluded from August 23, 2013 - order of the FFMS of Russia dated May 16, 2013 N 13-41 / pz-n ..
Vi. The procedure for providing information contained in the Register
(The section is excluded from August 23, 2013 - order of the FFMS of Russia dated May 16, 2013 N 13-41 / pz-n ..
Appendix No. 1. Financial market specialists who must meet the qualification requirements of the FFMS of Russia
Appendix N 1
to Regulation
1. Leading employee:
1.1. head - an employee of an organization operating in the financial market, appointed to a position in accordance with the established procedure in accordance with the constituent documents of the organization, acting as its sole executive body;
1.2. branch manager - an employee of an organization operating in the financial market, appointed to a position in accordance with the established procedure, who, in accordance with his official duties, performs the management of a branch of an organization operating in the financial market;
1.3. deputy head of an organization or its branch - an employee of an organization operating in the financial market, appointed to the relevant position in the prescribed manner, whose job responsibilities include making decisions in the field of financial markets (clause as amended on August 30, 2011 by order of the FFMS Russia of June 9, 2011 N 11-27 / pz-n;
1.4. head of a structural unit, as well as a deputy head of a structural unit of an organization or its branch - an employee of an organization operating in the financial market, appointed to a position in accordance with the established procedure, who, in accordance with his job responsibilities, manages the structural unit of an organization or its branch, whose functions includes the implementation of activities in the financial market, including the maintenance of internal records of transactions and operations with securities and derivative financial instruments (paragraph as amended, entered into force on August 30, 2011 by order of the Federal Financial Markets Service of Russia dated June 9, 2011 N 11-27 / pz -n.
2. Controller - an employee of an organization operating in the financial market, appointed to a position in accordance with the established procedure, which is the main place of work of the specified person, in accordance with his official duties, is responsible for maintaining internal control over the implementation of the organization or its branch in the financial market ( Deputy Head for Internal Control, Branch Controller, Controller).
3. A specialist is an employee of an organization or its branch who, in accordance with his job responsibilities directly related to the implementation of activities in the financial market, performs, among other things, any of the functions listed below (paragraph as amended on August 30, 2011 year by order of the FSFM of Russia dated June 9, 2011 N 11-27 / pz-n:
3.1. in an organization engaged in brokerage, dealer or securities management activities:
3.1.1. participates in the consideration of documents related to the implementation of transactions with securities and / or with the conclusion of contracts that are derivative financial instruments and / or the implementation of transactions with securities and / or in the conclusion of contracts that are derivative financial instruments: on behalf of the organization and for it score; on behalf of clients and at the expense of clients; on behalf of the organization and at the expense of clients (clause as amended by the order of the Federal Financial Markets Service of Russia dated June 9, 2011 N 11-27 / pz-n);
3.1.2. participates in the consideration of documents related to the implementation of transactions with securities, funds intended for the execution of transactions with securities and / or the conclusion of contracts that are derivative financial instruments in the interests of the founder of the management, and the implementation of transactions with securities, funds intended for making transactions with securities and / or concluding agreements that are derivative financial instruments in the interests of the founder of the department (clause as amended, entered into force on August 30, 2011 by order of the Federal Financial Markets Service of Russia dated June 9, 2011 N 11-27 / pz-n;
3.1.3. participates in signing reports to clients;
3.1.4. participates in the provision of services for the preparation of a securities prospectus (clause as amended, entered into force on August 30, 2011 by order of the Federal Financial Markets Service of Russia dated June 9, 2011 N 11-27 / pz-n;
3.1.5. participates in the placement and organization of the placement of equity securities;
3.1.6. maintains internal accounting (the item has been additionally included from August 30, 2011 by order of the FFMS of Russia dated June 9, 2011 N 11-27 / pz-n);
3.1.7. fills out reports for submission to the federal executive body for the securities market, trade organizers (the item has been additionally included from August 30, 2011 by order of the Federal Financial Markets Service of Russia dated June 9, 2011 N 11-27 / pz-n);
3.2. in an organization carrying out clearing activities:
3.2.1. participates in documentary confirmation of the clearing results;
3.2.2. fills in reports for submission to the federal executive body for the securities market;
(Clause 3.2 as amended, entered into force on August 30, 2011 by order of the FSFM of Russia dated June 9, 2011 N 11-27 / pz-n.
3.3. in an organization operating as a trade organizer on the securities market (stock exchange activity):
3.3.1. participates in the disclosure of information based on the results of trading;
3.3.2. fills in reports for submission to the federal executive body for the securities market;
(Clause 3.3 as amended, entered into force on August 30, 2011 by order of the FSFM of Russia dated June 9, 2011 N 11-27 / pz-n.
3.4. in an organization that maintains a register of securities owners:
3.4.1. participates in the consideration and / or preparation of documents related to the transfer of ownership of securities on the personal accounts of registered persons, pledge, blocking, and conducting related transactions on the personal accounts of registered persons (clause as amended from August 30, 2011 year by order of the FSFM of Russia dated June 9, 2011 N 11-27 / pz-n;
3.4.2. participates in the preparation of refusals to make an entry in the register and / or signs notifications of refusals;
3.4.3. signs extracts from the system for maintaining the register of securities owners;
3.4.4. signs certificates of transactions on the personal account of a registered person;
3.4.5. fills out reports for submission to the federal executive body for the securities market (the item is additionally included from August 30, 2011 by order of the Federal Financial Markets Service of Russia dated June 9, 2011 N 11-27 / pz-n);
(Clause 3.4 as amended, entered into force on June 10, 2011 by order of the Federal Financial Markets Service of Russia dated April 5, 2011 N 11-9 / pz-n.
3.5. in an organization carrying out depository activities:
3.5.1. participates in the consideration and / or preparation of documents related to the transfer of ownership of securities on clients 'depo accounts, and / or carrying out transactions on clients' depo accounts (clause as amended on August 30, 2011 by order of the Federal Financial Markets Service of Russia dated June 9 2011 N 11-27 / pz-n;
3.5.2. participates in the preparation of refusals to make entries on clients' depo accounts and / or signs notifications of refusals;
3.5.3. signs reports and statements of clients' depo accounts (clause as amended by the order of the Federal Financial Markets Service of Russia dated June 9, 2011 N 11-27 / pz-n);
3.5.4. interacts with the registrar when the organization performs the functions of a nominal holder of securities (the item is additionally included from August 30, 2011 by order of the Federal Financial Markets Service of Russia dated June 9, 2011 N 11-27 / pz-n);
3.5.5. fills out reports for submission to the federal executive body for the securities market (the item has been additionally included from August 30, 2011 by order of the Federal Financial Markets Service of Russia dated June 9, 2011 N 11-27 / pz-n);
(Clause 3.5 as amended, entered into force on June 10, 2011 by order of the FFMS of Russia dated April 5, 2011 N 11-9 / pz-n.
3.6. in an organization that manages investment funds, unit investment funds and non-state pension funds:
3.6.1. participates in the preparation of the organization's outgoing documents concerning the implementation of operations related to the management of investment reserves of a joint-stock investment fund, property constituting a mutual investment fund, pension reserves of a non-state pension fund or property in which pension savings or savings for housing of military personnel are invested, and / or signing them;
3.6.2. participates in the preparation of outgoing documents of the organization relating to the implementation of operations related to the management of securities belonging to a joint-stock investment fund, securities in the property of a mutual investment fund, or securities in which the funds of pension reserves of a non-state pension fund are placed or pension funds are invested savings or savings for housing for military personnel, and / or signing them;
3.6.3. participates in the preparation of outgoing documents of the organization concerning the implementation of transactions related to the management of mortgage coverage and / or their signing;
3.6.4. participates in the preparation of documents containing the calculation of indicators in order to control the management of investment reserves of a joint-stock investment fund, property constituting a mutual investment fund, pension reserves of a non-state pension fund or property in which pension savings or savings for housing of military personnel are invested, including the number of documents sent to the FFMS of Russia as part of daily, monthly and quarterly reporting established by regulatory legal acts of the federal executive body for the securities market, and / or their signing;
3.7. in an organization operating as a specialized depository for investment funds, mutual investment funds and non-state pension funds:
3.7.1. participates in the preparation of outgoing documents of the organization relating to the implementation of operations related to the storage and accounting of rights to securities belonging to a joint-stock investment fund, securities as part of the property that constitutes a mutual investment fund, or securities in which the funds of pension reserves of a non-state pension fund are placed or funds from pension savings, savings for housing for military personnel or funds constituting a mortgage cover were invested and / or signed;
3.7.2. participates in the preparation of outgoing documents of the organization regarding the implementation of operations related to accounting for the investment reserves of a joint-stock investment fund, property constituting a mutual investment fund, pension reserves of a non-state pension fund or property in which pension savings, savings for housing for military personnel or funds are invested constituting the mortgage cover, and / or signing them;
3.7.3. participates in the preparation of documents containing the calculation of indicators in order to monitor compliance by the management company with the requirements of the legislation of the Russian Federation, as well as the charter and investment declaration of the joint-stock investment fund, the terms of the agreement with the joint-stock investment fund and the rules of trust management of the mutual investment fund, compliance with the requirements for the structure of the investment portfolio of a non-state pension fund, as well as other control functions, including documents sent to the FFMS of Russia as part of daily, monthly and quarterly reporting established by regulatory legal acts of the federal executive body for the securities market, and / or their signing;
3.7.4. participates in confirming the consent of a specialized depository to write off funds from a bank account, to make transactions with investment reserves of a joint-stock investment fund, property constituting a mutual investment fund, or property in which pension savings or savings for housing for military personnel are invested;
3.7.5. participates in notifying the Federal Financial Markets Service of Russia and other federal executive bodies of violations revealed during the implementation of control functions by a specialized depository, and of their elimination (non-elimination);
3.7.6. participates in the preparation of outgoing documents of the organization concerning the implementation of transactions related to the transfer of ownership of investment units of a mutual investment fund and / or their signing;
3.7.7. participates in the preparation of documents confirming the ownership of a registered person to investment shares of a mutual investment fund, and documents on the operations performed and / or their signing.
Appendix N 2. Table of correspondence of old-type certificates to new-type certificates
Appendix N 2
to Regulation
Qualification certificate issued by the Federal Service for Financial Markets / Federal Commission for the Securities Market (old-style certificate) | Qualification certificate of a financial market specialist issued by accredited organizations (new type certificate) | ||
certificate indicating qualifications corresponding to the position of the head or controller of an organization that carries out brokerage and (or) dealer activities and (or) trust management of securities | first type certificate | full compliance |
|
certificate indicating the qualifications corresponding to the position of the head or controller of an organization carrying out broker and / or dealer activities and / or trust management of securities | first type certificate | full compliance |
|
first type certificate | full compliance |
||
certificate indicating the qualifications corresponding to the position of the head or controller of an organization carrying out brokerage and / or dealer activities and / or securities management | first type certificate | full compliance |
|
certificate indicating the qualification "specialist of an organization carrying out brokerage and (or) dealer activities and (or) trust management of securities" | first type certificate | full compliance |
|
certificate indicating the qualification "specialist of an organization carrying out brokerage and / or dealer activities and / or trust management of securities" | first type certificate | full compliance |
|
certificate indicating the qualification "specialist of an organization engaged in brokerage and (or) dealer activity and (or) securities management" | first type certificate | full compliance |
|
certificate indicating the qualification "specialist of an organization carrying out broker and / or dealer activities and / or securities management" | first type certificate | full compliance |
|
certificate indicating the qualification "SPECIALIST OF THE SECURITIES MARKET" specializing in the securities market: brokerage, dealer and securities management activities | first type certificate | full compliance |
|
certificate indicating the qualification "SPECIALIST OF THE FINANCIAL MARKET" specializing in the financial market: broker, dealer and securities management | first type certificate | full compliance |
|
Brokerage and / or dealer activities | first type certificate | ||
certificate indicating the qualification "senior, middle-level manager, controller and specialist of an organization carrying out brokerage, dealer activities" | first type certificate | compliance in terms of brokerage, dealer activities |
|
a certificate indicating the qualifications corresponding to the position of a manager, or controller, or a specialist of an organization carrying out activities in the management of securities and / or management companies | first type certificate | ||
investment, mutual funds and other forms of collective investment | fifth type certificate | full compliance |
|
a certificate indicating the qualifications corresponding to the position of a manager, or controller, or a specialist of organizations carrying out activities in the management of securities, as well as activities in | first type certificate | compliance in terms of securities management activities |
|
management of investment funds, unit investment funds and non-state pension funds | fifth type certificate | full compliance |
|
certificate indicating the qualifications corresponding to the position of the head, or controller, or specialist of an organization that organizes trade (stock exchange activity) and clearing activities | second type certificate | full compliance |
|
second type certificate | full compliance |
||
certificate indicating the qualification "SPECIALIST OF THE SECURITIES MARKET" specializing in the securities market: organization of trade (stock exchange activities) and clearing activities | second type certificate | full compliance |
|
certificate indicating the qualification "SPECIALIST OF THE FINANCIAL MARKET" specializing in the financial market: activities of a trade organizer in the securities market (stock exchange activities) and clearing activities | second type certificate | full compliance |
|
a certificate indicating the qualifications corresponding to the position of the head or controller of an organization that organizes trade (stock exchange) | second type certificate | ||
certificate indicating the qualifications corresponding to the position of the head or controller of an organization carrying out activities for organizing trade (stock exchange activities) | second type certificate | compliance in terms of the activities of the organizer of trade in the securities market (activities of the stock exchange) |
|
certificate indicating the qualification "specialist of an organization carrying out activities for organizing trade (stock exchange)" | second type certificate | compliance in terms of the activities of the organizer of trade in the securities market (activities of the stock exchange) |
|
certificate indicating the qualification "specialist of an organization carrying out activities for the organization of trade (activities of a stock exchange)" | second type certificate | compliance in terms of the activities of the organizer of trade in the securities market (activities of the stock exchange) |
|
certificate indicating the qualifications corresponding to the position of the head, or controller, or specialist of an organization that organizes trade (stock exchange activity) | second type certificate | compliance in terms of the activities of the organizer of trade in the securities market (activities of the stock exchange) |
|
certificate indicating qualifications corresponding to the position of the head or controller of the organization that carries out the clearing and (or) | second type certificate | ||
depository activities or keeping registers of owners of registered securities | third type certificate | full compliance |
|
fourth type certificate | full compliance |
||
a certificate indicating the qualifications corresponding to the position of the head or controller of the organization carrying out the clearing and | second type certificate | compliance in terms of clearing activities |
|
(or) custody or register-keeping activities | third type certificate | full compliance |
|
fourth type certificate | full compliance |
||
second type certificate | compliance in terms of clearing activities |
||
keeping registers of registered securities holders | third type certificate | full compliance |
|
fourth type certificate | full compliance |
||
a certificate indicating the qualifications corresponding to the position of a specialist of an organization carrying out clearing and (or) depository activities, or | second type certificate | compliance in terms of clearing activities |
|
activity on maintaining registers of registered securities owners | third type certificate | full compliance |
|
fourth type certificate | full compliance |
||
a certificate indicating the qualifications corresponding to the position of the head, or controller, or specialist of the organization carrying out | second type certificate | compliance in terms of clearing activities |
|
clearing and (or) custody activities or keeping of registers | third type certificate | full compliance |
|
holders of registered securities | fourth type certificate | full compliance |
|
a certificate indicating the qualifications corresponding to the position of the head, or controller, or specialist of the organization carrying out | second type certificate | compliance in terms of clearing activities |
|
clearing and (or) custody activities or activities for maintaining | third type certificate | full compliance |
|
registers of registered securities holders | fourth type certificate | full compliance |
|
a certificate indicating the qualifications corresponding to the position of the head, or controller, or specialist of an organization that maintains registers of registered securities holders | third type certificate | full compliance |
|
certificate indicating the qualifications "senior, middle management, controller and specialist of an organization that organizes trade (stock exchange activities) and clearing activities" | third type certificate | full compliance |
|
certificate indicating the qualification "SPECIALIST OF THE SECURITIES MARKET" specializing in the securities market: keeping registers of holders of registered securities | third type certificate | full compliance |
|
certificate indicating the qualification "SPECIALIST OF THE FINANCIAL MARKET" specializing in the financial market: keeping the register of securities holders | third type certificate | full compliance |
|
certificate indicating the qualifications corresponding to the position of the head, or controller, or specialist of an organization carrying out depository activities | fourth type certificate | full compliance |
|
certificate indicating the qualification "top, middle management, controller and specialist of an organization carrying out depository activities" | fourth type certificate | full compliance |
|
certificate indicating the qualification "SPECIALIST OF THE SECURITIES MARKET" specializing in the securities market: depository activities | fourth type certificate | full compliance |
|
certificate indicating the qualification "SPECIALIST OF THE FINANCIAL MARKET" specializing in the financial market: depository activities | fourth type certificate | full compliance |
|
certificate indicating the qualification "specialist of the management company" | fifth type certificate | full compliance |
|
certificate indicating the qualification "specialist of the management company of a mutual investment fund" | fifth type certificate | full compliance |
|
certificate indicating the qualifications corresponding to the position of a manager, or controller, or a specialist of an organization carrying out activities in the management of securities and / or management companies of investment, mutual investment funds and other forms of collective investment | fifth type certificate | full compliance |
|
certificate indicating the qualifications corresponding to the position of the head, or controller, or specialist of organizations carrying out activities in the management of securities, as well as activities in the management of investment funds, mutual funds and non-state pension funds | fifth type certificate | full compliance |
|
certificate indicating qualifications "senior, middle-level manager, controller and specialist of an organization carrying out activities in the management of securities, as well as activities in the management of investment funds, mutual funds and non-state pension funds" | fifth type certificate | full compliance |
|
certificate indicating the qualification "SPECIALIST OF THE SECURITIES MARKET" specializing in the securities market: management of investment funds, mutual funds and non-state pension funds | fifth type certificate | full compliance |
|
certificate indicating the qualification "SPECIALIST OF THE FINANCIAL MARKET" specializing in the financial market: activities in the management of investment funds, mutual funds and non-state pension funds | fifth type certificate | full compliance |
|
certificate indicating the qualification "specialist of a specialized depository" | sixth type certificate | full compliance |
|
certificate indicating the qualification "specialist of a specialized depository of a mutual investment fund" | sixth type certificate | full compliance |
|
certificate indicating the qualification "specialist of a specialized depository of an investment fund and a mutual investment fund" | sixth type certificate | full compliance |
|
certificate indicating the qualifications corresponding to the position of the head or specialist of the specialized depository of investment funds, mutual investment funds and non-state pension funds | sixth type certificate | full compliance |
|
a certificate indicating the qualifications corresponding to the position of the head or specialist of organizations operating as a specialized depository for investment funds, mutual investment funds and non-state pension funds | sixth type certificate | full compliance |
|
certificate indicating the qualification "top, middle management and specialist of an organization operating as a specialized depository of investment funds, mutual investment funds and non-state pension funds" | sixth type certificate | full compliance |
|
certificate indicating the qualification "SPECIALIST OF THE SECURITIES MARKET" specializing in the securities market: activities of specialized depositories of investment funds, mutual funds and non-state pension funds | sixth type certificate | full compliance |
|
certificate indicating the qualification "SPECIALIST OF THE FINANCIAL MARKET" specializing in the financial market: activities of specialized depositories of investment funds, mutual funds and non-state pension funds | sixth type certificate | full compliance |
Document revision taking into account
changes and additions prepared
JSC "Codex"
Active Edition from 01.01.1970
Name document | ORDER of the Federal Financial Markets Service of the Russian Federation of 28.01.2010 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 |
Revision date | 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 |
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 bodies 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 qualification certificates issued to him, 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, postal 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 in writing of 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 surname, 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 drawn up 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, the 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 the prescribed manner.
Registration N 6641
In accordance with paragraph 14 of Article 42 and paragraph 10 of Article 44 of the Federal Law of 22.04.96 N 39-FZ "On the Securities Market" (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, N 27, Art. 2711; N 31, Art. 3225; 2005, N 11, Art. 900), 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) and paragraph 5.2.9 of the Regulations on the Federal Service for Financial Markets, approved by 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), i order:
1. To approve the attached Regulation on financial market specialists (hereinafter referred to as the Regulation) *.
2. Establish that:
2.1. The qualification requirements for the persons specified in clauses 1.1 - 1.2 of Appendix No. 1 to the Regulations do not apply to credit institutions.
2.2. The inclusion in the register of certified persons (hereinafter referred to as the Register), persons previously excluded from the Register, is carried out by the Federal Service for Financial Markets after three years from the date of cancellation of licenses of organizations operating in the financial market in which these persons worked, provided that they send to the Federal Service for Financial Markets, a corresponding application with a copy of the qualification certificate attached or on the basis of a judicial act.
2.3. Qualification certificates issued by the Federal Commission for the Securities Market and the Federal Service for Financial Markets prior to the entry into force of this order and having an indefinite character of validity remain valid.
2.4. The owners of the qualification certificates of a specialist in the securities market for corporate finance have the right, within one year from the date of entry into force of this order, to exchange the specified certificate for a qualification certificate of a financial market specialist in one of the specializations in the financial market in the manner specified in clauses 33 and 34 of the Regulation.
3. Decree of the Federal Commission for the Securities Market of 24.12.2003 N 03-47 / ps "On specialists of the securities market" (registered by the Ministry of Justice of the Russian Federation on 04.02.2004, registration N 5525) does not apply from the date of entry into force of this order.
4. This order shall enter into force upon the expiration of 10 days from the date of its official publication, with the exception of provisions for which other terms of entry into force are established in this order.
The qualification requirements for financial market specialists who are employees of credit institutions come into force after one year from the date of entry into force of this order.
Clause 6.1 of the Regulations comes into force after one year from the date of entry into force of this order.
5. Control over the execution of this order shall be entrusted to the Deputy Head of the Federal Service for Financial Markets V.Yu. Streltsov.
Leader
O. Vyugin
* Published according to the "Bulletin of Normative Acts of Federal Executive Bodies" No. 23 dated June 6, 2005.
Financial Market Specialists Regulations
I. General provisions
1. This Regulation establishes:
1.1. qualification requirements for financial market specialists - employees, the list of positions of which is given in Appendix No. 1 to these Regulations, working in an organization - a professional participant in the securities market, an organization that manages investment funds, mutual funds and non-state pension funds, or an organization operating a specialized depository of investment funds, mutual funds and non-state pension funds (hereinafter referred to as an organization operating in the financial market), or an organization intending to operate in the financial market if this organization has sent a corresponding application to the Federal Financial Service markets (hereinafter - the Federal Service);
1.2. the procedure for conducting certification;
1.3. the procedure for maintaining the register of certified persons (hereinafter - the Register);
1.4. the procedure and grounds for canceling qualification certificates;
1.5. the procedure for disclosing information contained in the Register.
2. Financial market specialists have the right to obtain the qualification "financial market specialist" in the following specializations in the field of the financial market, indicated in the qualification certificate:
2.1. brokerage, dealer and securities management activities;
2.2. activities of a trade organizer on the securities market (stock exchange activities) and clearing activities;
2.3. activity on maintaining the register of owners of securities;
2.4. depository activities;
2.5. management activities of investment funds, mutual investment funds and non-state pension funds;
2.6. activities of specialized depositories of investment funds, mutual funds and non-state pension funds.
3. Certification of applicants is carried out by the Federal Service in the form of taking qualification exams and issuing a qualification certificate, as well as checking the compliance of the qualifications of financial market specialists with the requirements established by this Regulation.
4. The Federal Service makes the following decisions in the field of certification:
4.1. on the assignment of qualifications to the applicant and the issuance of a qualification certificate;
4.2. on refusal to assign qualification to the applicant;
4.3. on the revision of the result of the qualifying examination in relation to the applicant;
4.4. on the refusal to the applicant to revise the result of the qualifying exam;
4.5. on the inclusion in the register of certified persons of a person previously excluded from the specified register;
4.6. on the issuance of a duplicate qualification certificate to the certified person;
4.7. on amendments to the qualification certificate of the certified person;
4.8. on the cancellation of the qualification certificate of the certified person.
II. Qualification requirements for financial market specialists
5. Financial market specialists must meet the following qualification requirements:
5.1. availability of a qualification certificate of the Federal Service or the Federal Commission for the Securities Market for specialization corresponding to the type of activity in the financial market carried out by the organization in which the specified person works;
5.2. availability of a qualification certificate of the Federal Service or the Federal Commission for the Securities Market for specialization corresponding to the type of activity in the financial market carried out by the organization that is the main place of work of these persons - for the persons provided for in Section II of Appendix No. 1 to these Regulations;
5.3. the presence of higher education (with the exception of persons provided for in section III of Appendix No. 1 to this Regulation);
5.4. the absence of the fact of cancellation of the qualification certificate, if less than three years have passed since the date of cancellation.
6. The persons specified in Sections I and II of Appendix No. 1 to this Regulation, in addition to the requirements established by paragraph 5 of this Regulation, must meet the following requirements:
6.1. for persons provided for in clause 1.1 of Appendix No. 1 to these Regulations - experience of work as a head of a department or other structural unit of an organization operating in the financial market, a self-regulatory organization uniting organizations operating in the securities and collective investment market ( hereinafter - a self-regulatory organization), the Federal Commission for the Securities Market, the Federal Service, their territorial bodies, the Ministry of Finance of the Russian Federation, financial bodies of the constituent entities of the Russian Federation, the Central Bank of the Russian Federation, whose official duties included the adoption (preparation) of decisions on issues directly related to specialization in the financial market - at least one year;
6.2. for the persons provided for in Sections I and II of Appendix No. 1 to these Regulations - the absence of the fact of work in an organization operating in the financial market, for which the relevant license was revoked and in which the specified person was the person in charge of the current activities of this organization, or by the controller during the period of the violation that entailed the cancellation of the license (except for cases of cancellation of the license based on the application of the organization itself), if less than three years have passed since the date of cancellation of the license.
7. If an organization carries out several types of activities in the financial market or is going to carry out and this organization has sent a corresponding application to the Federal Service, then:
7.1. the persons specified in clauses 1.1 - 1.3 of Appendix No. 1 to these Regulations must have a qualification certificate for specialization in the field of the financial market, corresponding to one of the activities of the organization in the financial market;
7.2. the controller must have qualification certificates that ensure the compliance of the specified specializations in the field of the financial market with all types of activities of the organization in the financial market.
III. Certification procedure
8. Attestation of applicants is carried out by conducting (receiving) two qualifying exams (basic and specialized), assigning qualifications and issuing a qualification certificate.
9. Qualification exams are held in accordance with the Regulations for the conduct of qualification exams in accordance with Appendix No. 2 to these Regulations.
10. Exam questions for qualification exams are generated as a test by random sampling from a database of exam questions for qualification exams.
The database of examination questions is maintained in the manner approved by the order of the Federal Service.
11. Exam questions for qualifying exams are formed in accordance with the lists of exam questions, the standard of tests of exam questions and the list of regulatory legal acts, knowledge of which is mandatory for the qualified performance of the functions of financial market specialists (hereinafter referred to as qualification minimums).
12. Qualification minimums are approved by orders of the Federal Service.
13. If the qualification exam includes examination questions on knowledge of the theoretical foundations of the financial market and applied industry scientific disciplines, the qualification minimum should include a list of recommended literature to prepare for the qualification exam.
14. Successful passing of the basic qualification exam is the basis for admitting the applicant to the specialized qualification exam.
15. Successful passing of the specialized qualification exam is the basis for assigning the qualification "financial market specialist" to the applicant.
16. The Federal Service conducts (receives) the basic qualification exam and the following specialized qualification exams:
16.1. specialized qualification exam for financial market specialists in brokerage, dealer activities and securities management (hereinafter - the first series exam);
16.2. a specialized qualification exam for financial market specialists on the organization of trading in the securities market (stock exchange activities) and clearing activities (hereinafter - the second series exam);
16.3. specialized qualification exam for financial market specialists on maintaining the register of securities holders (hereinafter - the third series exam);
16.4. specialized qualification exam for financial market specialists in depository activities (hereinafter - exam of the fourth series);
16.5. a specialized qualification exam for financial market specialists in managing investment funds, mutual funds and non-state pension funds (hereinafter - the fifth series exam);
16.6. specialized qualification exam for financial market specialists on the activities of specialized depositories of investment funds, mutual investment funds and non-state pension funds (hereinafter - the sixth series exam).
17. All qualification exams are held in one step. The duration of the basic qualification exam and the fifth series exam may not exceed one hundred and twenty minutes. The duration of examinations in the first - fourth and sixth series cannot exceed sixty minutes.
18. The basic qualifying exam is a test of exam questions for general knowledge of the regulations governing financial markets and the ability to perform simple calculations using tools from such industry scientific disciplines as mathematical economics, economic statistics, economic and financial analysis.
19. The specialized qualification exam is a test of examination questions for in-depth knowledge of the regulations governing the relevant specialization in the financial market.
20. Ensuring the organizational and technical conditions for taking qualifying exams, revising the results of qualifying exams (hereinafter referred to as the appeal), accepting documents for checking persons for compliance with the qualification requirements established by this Regulation is carried out by the territorial bodies of the Federal Service (hereinafter referred to as the territorial bodies).
The organizational and technical conditions for taking qualification exams are approved by the order of the Federal Service.
21. Technical support for the admission of qualifying exams is carried out by examination centers.
Requirements for examination centers, as well as the list of examination centers are determined by orders of the Federal Service.
22. For the organization of preparatory work and the reception of qualification exams, the Federal Service, on the proposals of its territorial bodies, approves the composition of the examination commissions. The order of the examination commissions is approved by the order of the Federal Service.
23. Applicants who have submitted the following documents to one of the territorial bodies are allowed to take the qualification exam:
23.1. application form of the applicant for a qualification certificate in the form in accordance with Appendix No. 3 to these Regulations;
23.2. an extract from the minutes of the examination committee on passing the basic qualification exam if, when the applicant passed the basic qualification exam, the specified territorial body did not provide the organizational and technical conditions for taking this exam, or a copy of the qualification certificate - if the applicant has a qualification certificate for admission to the specialized qualification exam;
23.3. a copy of a state-recognized document on higher professional education, and for applicants who received education abroad - a document of a foreign state on higher education and a certificate of equivalence of a document of a foreign state on education to a diploma of higher professional education of the Russian Federation issued by the federal executive authority in the field of education (hereinafter - a document on higher education), - if the applicant has higher education.
24. The grounds for refusal of admission to qualifying exams are:
24.1. the presence of false information in the application form submitted by the applicant;
24.2. failure of the applicant to submit the documents provided for in clause 23 of these Regulations;
24.3. failure by the applicant to pass the basic qualification exam or lack of documents provided for in clause 23.2 of these Regulations - for admission to the specialized qualification exam;
24.4. cancellation of the applicant's qualification certificate, if less than three years have passed since the date of such cancellation;
24.5. work of the applicant in an organization that operated in the financial market and whose license was revoked, as a person who was in charge of the current activities of such an organization, or as a controller during the period of the violation that entailed the cancellation of the license (except for cases of revocation of the license based on the application of the said organization), if less than three years have passed since the date of such cancellation.
25. The applicant is considered to have passed the qualification exam if he / she scored from 80 to 100 points when passing the qualification exam.
26. The results of the qualification exam are approved by the minutes of the examination committee and provided to applicants for review no later than 10 working days from the date of the qualification exam.
27. An applicant who does not have a qualification certificate, but who successfully passed the basic qualification exam, the organizational and technical conditions for admission of which were ensured by the territorial body, and intending to pass the specialized qualification exam to submit documents to another territorial body, on the basis of a written application within 10 working days from the date of the basic qualification exam, the territorial body that provided the organizational and technical conditions for the basic exam, provides an extract from the minutes of the examination committee on the results of the basic qualification exam.
28. An applicant who fails the qualifying exam has the right to appeal.
29. The applicant's application for appeal is sent to any territorial body and is considered by the Federal Service in the prescribed manner.
The territorial authority, within a period not exceeding 30 working days from the date of receipt of the said application, notifies the applicant of the decision of the Federal Service made in relation to him.
30. The Federal Service, within a period not exceeding 20 working days from the date of successful completion of the specialized qualification exam by the applicant (appeal), makes a decision on the assignment of a qualification to the applicant and the issuance of a qualification certificate.
The Federal Service, within a period not exceeding 20 working days from the date of the decision on the assignment of qualifications to the applicant and the issuance of a qualification certificate, draws up a qualification certificate in the form in accordance with Appendix No. exam to be issued to a certified person.
31. In the event of loss or damage to the qualification certificate of an attested person upon his application, drawn up in the form in accordance with Appendix No. 5 to this Regulation (with the attachment of a qualification certificate) and sent to any territorial body, the Federal Service, within a period not exceeding 20 working days from the date receipt of the specified application by the Federal Service, makes a decision to issue a duplicate qualification certificate to the certified person.
The Federal Service, within a period not exceeding 20 working days from the date of the decision to issue a duplicate qualification certificate to a certified person, draws up and sends a duplicate qualification certificate to the territorial authority for issuance to the certified person.
32. In the event of a change in the last name, first name, patronymic of the certified person upon his application, drawn up in the form in accordance with Appendix No. 6 to this Regulation (with the attachment of a qualification certificate and a copy of the document confirming such a change) and sent to any territorial body, the Federal Service in time , not exceeding 20 working days from the date of receipt of the specified application by the Federal Service, makes a decision to amend the qualification certificate of the certified person.
The Federal Service, within a period not exceeding 20 working days from the date of the decision to amend the qualification certificate of the certified person, makes the appropriate changes to the qualification certificate by reissuing it and sends it to the territorial authority for issuance to the certified person.
33. In order to exchange the qualification certificate of a specialist in the securities market in corporate finance for a qualification certificate of a specialist in the financial market in one of the specializations in the field of the financial market, its owner must send an application to any territorial body in the form in accordance with Appendix No. 7 to this Regulation with the attachment of a qualification certificate of a specialist the securities market for corporate finance.
34. The Federal Service, within a period not exceeding 20 working days from the date of receipt by the Federal Service of the documents specified in clause 33 of these Regulations, makes a decision on awarding a qualification to the applicant and issuing him a qualification certificate.
The Federal Service, within a period not exceeding 20 working days from the date of the decision on the assignment of qualifications to the applicant and the issuance of a qualification certificate to him, draws up a qualification certificate in the form in accordance with Appendix No. 4 to this Regulation and sends it to the territorial body for issuance to the certified person.
35. An attested person upon receipt of a qualification certificate (duplicate of a qualification certificate) must present an identity document, submit a payment order with a bank mark on its execution (upon payment of the state duty in non-cash form) or a receipt in the established form issued to the payer by the bank (upon payment of the state duties in cash), which (which) confirms the fact of payment by the specified person of the state duty levied in accordance with the legislation of the Russian Federation on taxes and fees for the issuance of a certificate (a duplicate of the certificate; amendments to the certificate), and sign the statement for the qualification certificate (duplicate of the qualification certificate).
A prerequisite for the issuance of a qualification certificate (a duplicate of a qualification certificate) to a representative of the certified person is the presence of a power of attorney, drawn up in the prescribed manner.
IV. Procedure for maintaining the register of certified persons
36. For accounting and control of the issued qualification certificates, the Federal Service maintains the Register.
37. The register contains the following information about each certified person:
37.1. surname, name, patronymic; passport data (data of the identity document): name, series, number and date of issue and the name of the authority that issued the document; data on the place of registration (place of stay); Contact phone numbers; data on higher education (if available);
37.2. the date and number of the order of the Federal Service on assigning a qualification to an applicant and issuing him a qualification certificate or an order of the Federal Service (order of the Federal Commission for the Securities Market) on approving the decision of the Attestation Commission on awarding a qualification to the applicant and issuing him a qualification certificate;
37.3. the name of the specialization in the field of the financial market;
37.4. the series and number of the qualification certificate form;
37.5. the date and number of the order of the Federal Service on the cancellation of the qualification certificate of the certified person or the order of the Federal Service (order of the Federal Commission for the Securities Market) on the approval of the decision of the Attestation Commission to cancel the qualification certificate of the certified person (for persons in respect of whom the decision to cancel the qualification certificate was made );
37.6. the date and number of the order of the Federal Service (orders of the Federal Commission for the Securities Market) approving the decision of the Attestation Commission to exclude the certified person from the Register (for persons in respect of whom the decision to exclude from the Register was made);
37.7. the date and number of the order of the Federal Service on the inclusion in the Register of a person previously excluded from the Register, or an order of the Federal Service (order of the Federal Commission for the Securities Market) approving the decision of the Attestation Commission on the inclusion in the Register of a person previously excluded from the Register (for persons previously excluded from the Register, in respect of which a decision was made to be included in the Register);
37.8. data on the organization operating in the financial market and being the place of work of the certified person: name; mailing address; data on the relevant license (for the persons specified in sections I and II of Appendix No. 1 to this Regulation);
37.9. the position held by the certified person in an organization operating in the financial market (for persons specified in sections I and II of Appendix No. 1 to these Regulations).
38. Data on certified persons and issued qualification certificates (duplicate qualification certificates) are entered into the Register by the Federal Service at the time of issuance of a qualification certificate (duplicate qualification certificate).
39. In the event of a change in the last name, first name, patronymic, passport data, registration data (stay data) and the data of the Register specified in clauses 37.8 and 37.9 of these Regulations (for persons specified in sections I and II of Appendix No. 1 to these Regulations), as well as receiving the first higher professional education, the certified person, within a period not exceeding one month from the date of occurrence of these changes (events), is obliged to send to any territorial authority an application in the form in accordance with Appendix No. 8 to this Regulation with the attachment of a copy of the qualification certificate and documents confirming the specified changes (copy of the passport, copy of the marriage certificate, copy of the work record book, copy of the diploma of higher professional education).
The territorial body, within a period not exceeding 20 working days from the date of receipt of the specified application, makes the submitted changes to the Register or sends a reasoned refusal to make these changes to the certified person in case of incomplete or inaccurate information or failure to submit the specified documents.
V. Grounds and procedure for cancellation of qualification certificates
40. The Federal Service makes a decision to revoke the qualification certificate of the certified person in the event of repeated or gross violation of the legislation of the Russian Federation on securities.
41. If there are grounds specified in clause 40 of these Regulations, an organization operating in the financial market or a territorial body may send a petition to the Federal Service to cancel the qualification certificate of the certified person.
42. In case of cancellation of the qualification certificate, the Federal Service shall notify the person whose qualification certificate was canceled within a period not exceeding 10 working days from the date of the said decision.
Vi. The procedure for disclosing information contained in the register of certified persons
43. To ensure access of interested parties to information about persons who meet the qualification requirements established by this Regulation, the following information about certified persons is disclosed on the official website of the Federal Service on the Internet:
43.1. Full Name;
43.2. data specified in clauses 37.2 - 37.7 of these Regulations.
44. To receive an extract from the Register on the composition of the disclosed information about the certified person in the form in accordance with Appendix No. 9 to this Regulation, the interested person has the right to apply with a written application to any territorial body for the issuance of the specified extract.
A prerequisite for the receipt by the interested person of the specified extract is the submission to the territorial authority of a payment order with a bank mark on its execution (upon payment of the state duty levied in non-cash form) or a receipt of the established form issued to the payer by the bank (upon payment of the state duty in cash) which (which) confirms the fact of payment by the specified person of the state duty levied in accordance with the legislation of the Russian Federation on taxes and fees for requesting documents.
45. Copies of documents submitted in accordance with these Regulations must be certified in the prescribed manner.
Appendix N 1
List of financial market specialists
I. Persons in charge of the current activities of an organization operating in the financial market
Qualification requirements for the persons specified in clauses 1.1 - 1.2 of this Appendix do not apply to credit institutions (clause 2.1 of the Order).
1.1. A person who, in accordance with the law or the constituent documents of an organization, performs the functions of the sole executive body of an organization operating in the financial market.
1.2. The deputy of the sole executive body of an organization operating in the financial market, who, in accordance with his official duties, manages a sector, department, management, department or other independent structural unit, the exclusive function of which is to carry out one or several types of activities in the financial market (hereinafter - structural subdivision).
1.3. The head (deputy head) of a structural unit of an organization, whose job responsibilities include the direct implementation of activities in the financial market, including a structural unit of the organization that performs the functions of internal accounting in this organization.
II. Controller
2.1. An employee of an organization operating in the financial market who is responsible for the internal control of such an organization.
III. Specialist
3.1. An employee of a structural unit of an organization operating in the financial market, who, in accordance with his job responsibilities, performs the following functions:
3.1.1. in an organization engaged in brokerage, dealer or securities management activities:
Execution of transactions with securities: on behalf of the organization and at its expense; on behalf of clients and at the expense of clients; on behalf of the organization and at the expense of clients in trading with the organizer of trading on the securities market;
Carrying out transactions and / or operations with funds and / or securities in the interests of the founder of the management;
Signing reports to clients;
3.1.2. in an organization carrying out clearing activities - documentary confirmation of the clearing results;
3.1.3. in an organization operating as a trade organizer on the securities market (stock exchange activity) - disclosure of information based on the results of trading;
3.1.4. in an organization that maintains a register of securities owners:
Carrying out operations related to the transfer of ownership of securities on the personal accounts of registered persons;
Signing of documents confirming the ownership of registered persons to securities, and documents on transactions performed;
3.1.5. in an organization carrying out depository activities:
Carrying out operations related to the transfer of ownership of securities on clients' securities accounts;
Signing of documents confirming the client's ownership of securities, and documents on transactions performed;
3.1.6. in an organization that manages investment funds, unit investment funds and non-state pension funds:
Signing of the organization's outgoing documents concerning the implementation of operations related to the management of the property of a joint-stock investment fund, unit investment fund, pension reserves of a non-state pension fund, or property in which pension savings are invested;
Signing outgoing documents of the organization concerning the implementation of operations related to the management of securities owned by a joint-stock investment fund, securities constituting a mutual investment fund, or securities in which the funds of pension reserves of a non-state pension fund are placed or funds of pension savings are invested;
Signing outgoing documents of the organization concerning the implementation of transactions related to the management of mortgage coverage;
Signing documents containing the calculation of indicators in order to control the management of investment reserves of a joint-stock investment fund, the property of a mutual investment fund, pension reserves of a non-state pension fund or property in which pension savings are invested;
3.1.7. in an organization operating as a specialized depository for investment funds, mutual investment funds and non-state pension funds:
Signing outgoing documents of the organization concerning the implementation of operations related to the storage and accounting of rights to securities belonging to a joint-stock investment fund, securities constituting a mutual investment fund, or securities in which the funds of the pension reserves of a non-state pension fund, or securities are placed, in which the funds of pension savings or the funds that make up the mortgage coverage are invested;
Signing of the organization's outgoing documents concerning the implementation of transactions related to the accounting of the property of a joint-stock investment fund, unit investment fund, pension reserves of a non-state pension fund, property in which pension savings are invested and constituting a mortgage cover;
Signing documents containing the calculation of indicators in order to monitor compliance by the management company with the requirements of the legislation of the Russian Federation, as well as the charter and investment declaration of the joint-stock investment fund, the terms of the agreement with the joint-stock investment fund and the rules of trust management of the mutual investment fund, compliance with the requirements for the structure of the investment portfolio of the non-state pension fund (and other control functions);
Confirmation of the consent of a specialized depository to write off funds from a bank account, to make transactions with the property of a joint-stock investment fund, property constituting a mutual investment fund, or property in which pension savings are invested;
Notification of the Federal Service and other federal executive bodies of violations revealed during the implementation of control functions by a specialized depository, and of their elimination (non-elimination);
Signing outgoing documents of the organization concerning the implementation of transactions related to the transfer of ownership of investment units of a mutual investment fund;
Signing of documents confirming the registered person's ownership of investment units of a mutual investment fund, and documents on the transactions performed.
Appendix N 2
to the Regulation on financial market specialists
Regulations for conducting qualification exams
1. The qualification exam is conducted in written or computer form.
2. The written qualification examination is conducted in the following order:
2.1. On the day of the examinations, the regional department sends to the examination center:
List of applicants (examination sheet);
- identification cards containing the last name, first name, patronymic, passport data, identification number, number of the individual workplace of applicants;
- Sheets for entering correct answers selected by the applicants (answer sheets);
- instructions for completing answer sheets.
2.2. During the entire period of the qualification exam, the presence of at least one member of the examination committee is mandatory. If the exam is held in two or more classrooms, at least three members of the examination committee must be present during the exam.
2.3. Registration of applicants is carried out by members of the examination committee and observers, begins no later than 15 minutes before the start of the qualification exam and ends by the time the members of the examination committee announce the start of the qualification exam. Each applicant presents an identity document and signs on the examination sheet, after which he is given instructions for filling out the answer sheets.
2.4. An applicant who does not have an identity document, or who is late for the qualification exam, is considered absent.
2.5. Only applicants who are included in the examination sheet and who have passed the registration procedure are allowed to the qualifying exam.
2.6. Before the start of the exam, the applicant must have:
Applicant ID card;
- answer sheet;
- non-programmable calculator with a minimum set of arithmetic operations, including raising to a power and extracting a root from a power;
- writing materials (pen, pencil, eraser);
- instructions for filling out the answer sheet.
2.7. Applicants occupy the jobs indicated on the examination sheet.
2.8. If necessary, the examination center provides applicants with writing materials and calculators.
2.9. Before starting the exam and distributing the test, applicants are given time to familiarize themselves with the instructions for completing the answer sheet. Next, applicants fill out the top of the answer sheet with personal data.
2.10. The members of the examination committee must inform applicants about the duration of the exam, the number of test questions, warn about the grounds for canceling the exam results, about the need to stay at work until the end of the exam.
2.11. When conducting qualifying exams, applicants are prohibited from:
leave the classroom where the exam is being held before it ends;
write off and transmit information about the content of examination questions;
delay the delivery of examination tests, answer sheets, identification cards after the expiration of the time allotted for the examination;
take out answer sheets and exam tests from the classroom where the exam is being held.
Applicants who violate these requirements will be removed from the classroom, and the exam results of the specified applicants will be canceled.
2.12. If the applicant passes on someone else's identity document (this fact is reported to the law enforcement agencies), the examination committee decides to annul the results of qualifying exams.
2.13. If there are grounds for canceling the results of qualifying exams, the examination committee draws up an act on the revealed violations. The act is signed by the members of the examination committee present, observers, as well as by an applicant who has violated the requirements of these points.
2.14. Observers must be present throughout the exam. The start of the exam is the moment announced by the observer after the examination tests have been handed out to the applicants.
2.15. At the end of the exam, members of the examination committee and observers collect examination tests, answer sheets, identification cards. At the same time, job seekers remain at their jobs.
2.16. The members of the examination committee must inform the applicants of the date and method of familiarization with the exam results.
3. The computer-based qualification examination is conducted in the following order:
3.1. At the examination site, the applicant may only have writing utensils (pen, pencil and eraser) and a non-programmable calculator with a minimum set of arithmetic operations, including exponentiation and extraction of a root from a degree, as well as instructions for working with a computer program.
3.2. During the entire time of the qualification exam in the classroom (computer class), at least one member of the examination committee must be present in each classroom.
3.3. Registration of applicants is carried out by members of the examination committee and observers, begins no later than 15 minutes before the start of the qualification exam and ends by the time the members of the examination committee announce the start of the qualification exam. Each applicant presents an identity document and signs on the examination sheet, after which he is given instructions for filling out the answer sheets (instructions for working with a computer program) and the number of his examination place and his identification number for starting the examination program.
3.4. An applicant who does not have an identity document with him, or who is late for the qualification exam, is considered absent.
3.5. Applicants included in the examination sheet and who have passed the registration procedure are admitted to the qualification exam.
3.6. Observers are present during the qualification exam. If the exam is held in more than one classroom (computer class), it is mandatory that each classroom (computer class) has at least one observer for 20 applicants.
3.7. During the qualifying exam, applicants are prohibited from:
Use legislative and instructive material, reference and special literature, as well as mobile communications;
negotiate with other applicants;
leave the classroom (computer class) where the exam is held before its completion;
use electronic data carriers;
run other programs in parallel with the examination program.
Applicants who violate the above requirements are removed from the classroom (computer class), and the results of their qualifying exam are canceled.
3.8. If the applicant passes on someone else's identity document (this fact is reported to law enforcement agencies), the examination committee decides to annul the results of qualifying exams.
3.9. If there are grounds for canceling the results of qualifying exams, the examination committee draws up an act on the revealed violations. The act is signed by the members of the examination committee present, observers, as well as by an applicant who has violated the requirements of these points.
3.10. The applicant can complete the qualification exam ahead of schedule. When the time allotted for the qualifying exam expires, the testing program ends automatically. At the end of the program, a message appears on the applicant's workstation containing information about the results of the qualifying exam.
3.11. After receiving permission from the members of the examination committee to leave the classroom (computer class), applicants must leave calculators, pencils and drafts at their examination sites and leave the premises.
3.12. If during the maintenance of the qualification exam there were technical failures, all the facts of the failures that occurred must be recorded in the act of the examination committee.
08.02.2018
Events. The Central Bank adjusted the dictionary. New concepts have appeared in the policy document of the Bank of Russia. Yesterday the Bank of Russia issued a policy document describing plans for the development and application of new technologies in the financial market in the coming years. The main ideas, concepts and projects have already been announced by the regulator in one way or another. At the same time, the Central Bank introduces and discloses new terms, in particular, RegTech, SupTech and “pass-through identifier”. Experts note that these areas have been successfully developing in Europe for a long time.
08.02.2018
Events. The State Duma issued a pass to Russia for capital. It was decided to repeat the one-time business amnesty. The State Duma of Russia adopted on Wednesday in the first, and a few hours later - in the second reading, initiated by Vladimir Putin, a package of bills to renew the capital amnesty. The new act of "forgiveness" was announced as the second phase of the 2016 campaign, which was then filed as a one-off and was virtually ignored by the business. Since the attractiveness of the Russian jurisdiction and the trust in its law enforcement officers have not increased over the past two years, now the stake is placed on the thesis that capital should be returned to the country because it is worse for them abroad than in Russia.
07.02.2018
Events. Control and supervision are adjusted according to the figure. Business and authorities have compared approaches to reform. The results and prospects of the reform of control and supervisory activities were discussed yesterday by representatives of the business community and regulators as part of the Russian Business Week under the auspices of the RUIE. Despite the decrease in the number of scheduled inspections by 30%, business complains about the administrative burden and calls on the authorities to respond more quickly to proposals from entrepreneurs. The government, in turn, plans to engage in the revision of mandatory requirements, reform of the Administrative Code, digitalization and acceptance of reporting in the "one window" mode.
07.02.2018
Events. Transparency will be added to issuers. But investors are waiting for additions on shareholders' meetings. The Moscow Exchange is preparing amendments to the listing rules for issuers whose shares are on the top quotation lists. In particular, companies will be obliged to create on their websites special sections for shareholders and investors, the maintenance of which will be controlled by the exchange. Large issuers already meet these requirements, but investors consider it important to set these obligations in the document. In addition, in their opinion, the exchange should pay attention to the disclosure of information for shareholders' meetings, which is the most sensitive issue in the relationship between issuers and investors.
07.02.2018
Events. The Central Bank of Russia will get a grasp of advertising. The financial regulator has found a new field of supervision. The conscientiousness of financial advertising will soon begin to be assessed not only by the Federal Antimonopoly Service, but also by the Central Bank. Starting this year, within the framework of behavioral supervision, the Bank of Russia will identify advertisements of financial companies and banks that contain signs of violations and report this to the FAS. If banks receive not only fines from the FAS, but also recommendations from the Central Bank, this could change the situation with advertising in the financial market, experts say, but the procedure for applying the Central Bank's supervisory measures in the new area has not yet been described.
06.02.2018
Events. Not by accent, but by passport. Foreign investments under the control of Russians will be left without international protection in the spring. The government bill, depriving the investments of foreign companies controlled by Russians and persons with dual citizenship of the protection of the law on foreign investments, in particular, guarantees of freedom to withdraw profits, will be adopted by the State Duma of Russia in early March. The document does not recognize foreign investments either through trusts and other trust institutions. The Russian-controlled structures that invest in strategic assets in the Russian Federation, the White House is still ready to consider foreign investors - but for them, as before, this only means the need to coordinate transactions with the foreign investment commission.
06.02.2018
Events. Banks are not given to government agencies. FAS Russia intends to limit the expansion of the public sector in the financial market. The Federal Antimonopoly Service has developed proposals to restrict government purchases of banks. FAS plans to amend the law "On banks and banking activities" and is now working on them with the Central Bank (CB). An exception may be the reorganization of banks, ensuring the availability of banking services in areas in need of this, as well as issues of the country's security. The head of the Central Bank Elvira Nabiullina has already supported this initiative.
06.02.2018
Events. Online audit was given a chance. IIDF is ready to support remote checks. Online audit, which until now was a sideline of this business, which was mainly engaged in unscrupulous companies, received support at the state level. The Internet Initiatives Development Fund invested 2.5 million rubles in AuditOnline, thus recognizing the prospects of this area. However, market participants are confident that online audit does not have a legitimate future - remote audits are contrary to international auditing standards.
05.02.2018
Events. It is recommended to refrain from legal transactions. The Central Bank of Russia found "hidden trust management" unethical. The Bank of Russia warns professional participants against using some popular, but not entirely ethical practices in relation to clients in the stock market. The schemes described in the letter of the regulator lie in the legal plane, so the Central Bank limited itself to recommendations. But in fact, the regulator is testing the application of reasoned judgment, the right to use which has not yet been legally approved.
05.02.2018
Events. Absorption will be less entertaining. The Central Bank of Russia encourages banks to reduce lending to M&A transactions. The idea of \u200b\u200bthe Central Bank to stimulate banks to lend not to M&A deals, but to the development of production takes on specific features. The first step may be to instruct banks to create increased loan provisions for M&A transactions. According to experts, this will reduce such lending, but in order for bank resources to go to the development of production, additional stimulating measures will be required.