The legislative framework of the Russian Federation. Regulation on the Federal Service for Financial Markets
08.08.2006 Date of adoption: 08.08.2006
ON APPROVAL OF THE PROVISION
In accordance with paragraph 14 of Article 42 of the Federal Law of 22.04.96 N 39-ФЗ "On the Market valuable papers"(Collected Legislation of the Russian Federation, 1996, N 17, Art. 1918; 1998, N 48, Art. 5857; 1999, N 28, Art. 3472; 2001, N 33, Art. 3424; 2002, N 52, Art. 5141; 2004, N 27, Art. 2711; N 31, Art. 3225; 2005, N 11, Art. 900; N 25, Art. 2426; 2006, N 1, Art. 5; N 2, Art. 172; N 17, Art. 1780), clause 2 of Article 55 of the Federal Law of November 29, 2001 N 156-ФЗ "On Investment Funds" (Collected Legislation of the Russian Federation, 2001, N 49, Art. 4562; 2004, N 27, Art. 2711 ; 2006, N 17, Art. 1780) and clause 5.2.9 of the Regulations on the Federal Service for financial marketsapproved by Decree of the Government of the Russian Federation of June 30, 2004 N 317 (Meeting of the legislation of the Russian Federation, 2004, N 27, Art. 2780; 2005, N 33, Art. 3429; 2006, N 13, Art. 1400), I order:
1. To approve the attached Regulation on accreditation of organizations carrying out certification of financial market specialists (hereinafter - the Regulation).
2. To establish that the form of the certificate of accreditation of the organization performing certification of specialists of the financial market is protected printing products of protection level "B".
(Clause 2 was introduced by Order of the Federal Service for Financial Markets of the Russian Federation of March 30, 2010 No. 10-26 / pz-n)
3. The control over the execution of this Order shall be assigned to the deputy head of the Federal Service for Financial Markets S.K. Kharlamov.
Supervisor
O.V. VYUGIN
application
POSITION
ON ACCREDITATION OF ORGANIZATIONS IMPLEMENTING
ATTESTATION OF FINANCIAL MARKET SPECIALISTS
(as amended by Orders of the Federal Service for Financial Markets of the Russian Federation of 08.24.2008 N 08-26 / pz-n, dated 30.03.2010 N 10-26 / pz-n)
I. General Provisions
1.1. These Regulations determine the conditions and procedure for accreditation of organizations engaged in certification of citizens in the field of professional activity in the securities market, in the field of joint stock companies. investment funds, management companies of investment funds, mutual investment funds and non-state pension funds, specialized depositories of investment funds, mutual investment funds and non-state pension funds, in the field of activity of non-state pension funds for non-state pension provision, compulsory pension insurance and professional pension insurance (hereinafter - certification of specialists financial market).
(Clause 1.1 as amended by Order of the Federal Service for Financial Markets of the Russian Federation of March 30, 2010 N 10-26 / pz-n)
1.2. Qualification of financial market specialists is entitled to be carried out by educational institutions of higher or additional professional education providing training in the field of the securities market (hereinafter - educational institutions), as well as self-regulatory organizations of professional participants in the securities market and management companies of investment funds, mutual investment funds and non-state pension funds (hereinafter referred to as self-regulatory organizations).
II. Accreditation Terms
The conditions for accreditation of an organization applying for certification of financial market specialists (hereinafter referred to as the applicant) upon receipt of accreditation are as follows:
2.1. the applicant must be legal entitycreated in accordance with the legislation of the Russian Federation;
2.2. the applicant has an attestation commission formed of at least 5 members and an appropriate document defining the work procedure of such a commission;
2.3. the applicant’s availability of software and hardware that allows the formation of examination tests (hereinafter referred to as tests) in accordance with qualification examination programs for financial market specialists approved by the Federal Financial Markets Service (hereinafter referred to as the Federal Service);
2.4. the applicant has the appropriate document governing the acceptance of qualification exams for financial market specialists (hereinafter - the Regulations);
2.5. in order to obtain accreditation, an applicant who is an educational institution, in addition to the conditions provided for in paragraphs 2.1 - 2.4 of these Regulations, must satisfy the following conditions:
a) the applicant has carried out educational activities for at least 5 years prior to the submission of documents for accreditation;
b) training (in the form of training) by an applicant of at least 500 certified specialists (bachelors, masters) in the specializations: "Securities", "Securities Market", " Stock markets"or" Financial markets ", related to the specialty of higher professional education" Finance and Credit ", or during the 3 years preceding the submission of documents for accreditation, - at least 3,000 citizens to pass the qualification examinations for the qualification of" financial market specialist ".
(subparagraph "b" as amended by Order of the Federal Service for Financial Markets of the Russian Federation of March 30, 2010 N 10-26 / pz-n)
III. Accreditation Procedure
3.1. To obtain accreditation, the applicant shall submit the following documents to the Federal Service:
3.1.1. application form (Appendix N 1 to these Regulations);
3.1.2. copies of constituent documents;
3.1.3. copy of the license for the right to carry out educational activities (for educational institutions) or a copy of the permit to carry out activities as a self-regulatory organization;
3.1.4. a list of members of the certification committee of the applicant and a copy of the document provided for in paragraph 2.2 of these Regulations;
3.1.5. Regulation in duplicate;
3.1.6. payment document confirming the fact of payment by the applicant state duty for the accreditation of organizations engaged in certification of individuals in the field of professional activity in the securities market in the form of taking qualification exams and issuing qualification certificates levied in accordance with the legislation of the Russian Federation on taxes and fees.
(Clause 3.1.6 was introduced by Order of the Federal Service for Financial Markets of the Russian Federation of March 30, 2010 N 10-26 / pz-n)
3.2. The decision on accreditation or on refusal of accreditation is made by the Federal Service within 15 business days from the date of receipt of the full set of documents provided for in clause 3.1 of these Regulations.
3.3. In the case of the submission of an incomplete set of documents necessary for making a decision on accreditation, or the submission of documents not completed in the established manner, the Federal Service returns to the applicant documents submitted for accreditation without consideration within 10 business days from the date they were received by the Federal Service.
(Clause 3.3 as amended by Order of the Federal Service for Financial Markets of the Russian Federation of June 24, 2008 N 08-26 / pz-n)
3.4. During the period of consideration of documents submitted for accreditation, the Federal Service checks the accuracy of the information contained in the documents submitted for accreditation and checks the software and hardware for generating tests and software and hardware for determining the results of exams (if there is such software -technical support). In case of sending a request for grant to the applicant additional documents (information) the period specified in clause 3.2 of this Regulation is suspended for the duration of the audit, but no more than 60 days.
(as amended by Order of the Federal Service for Financial Markets of the Russian Federation of March 30, 2010 N 10-26 / pz-n)
Verification of software and hardware for the formation of tests and software and hardware for determining the results of exams is carried out by the Federal Service at the location of the applicant in the time agreed in advance with the applicant. Upon completion of the verification of software and hardware, a conclusion is drawn up on the possibility of the applicant using software and hardware to generate tests and software and hardware to determine the results of exams (if such software and hardware are available).
In case of receipt by the Federal Service of the application of the accredited organization about the possibility of using software and hardware to determine the results of exams, the Federal Service will check such software and hardware on time no later than 15 business days from the date of receipt of the said application.
3.5. The grounds for refusal of accreditation are:
3.5.1. non-compliance of the applicant with the requirements provided for in paragraphs 2.1 - 2.5 of these Regulations;
3.5.2. the presence in the documents of the applicant of false or distorted information;
3.5.3. a conclusion on the results of the verification provided for in clause 3.4 of these Regulations that it is impossible for the applicant to use software and hardware for generating tests;
3.5.4. failure to submit within 60 days on the basis of the request provided for in paragraph 3.4 of this Regulation, all documents (information) necessary for making a decision on accreditation, or amended and / or supplemented documents.
(Clause 3.5.4 was introduced by Order of the Federal Service for Financial Markets of the Russian Federation dated 30.03.2010 No. 10-26 / pz-n)
3.6. The Federal Service shall notify the applicant in writing of a decision on accreditation or refusal of accreditation within 5 business days from the date of the adoption of the relevant decision; in the event of a decision on accreditation, it also sends a copy of the agreed Regulation.
3.7. In the event of a decision on accreditation, the Federal Service:
3.7.1. within a period not exceeding 10 working days from the date of the decision on accreditation, draws up a certificate confirming accreditation (Appendix No. 2 to these Regulations), and sends it to the territorial body of the Federal Service at the location of the accredited organization for handing over to the authorized representative of the accredited organization ;
(Subclause 3.7.1 as amended by the Order of the Federal Service for Financial Markets of the Russian Federation of 24.06.2008 N 08-26 / pz-n)
3.7.2. within 5 business days from the date of the decision on accreditation, provides the accredited organization with examination questions approved by the Federal Service, and in case of making changes and additions to the examination questions - within 5 business days from the date of approval of such changes and additions, sends them to the accredited organization;
3.7.3. within 5 working days from the date of the decision on accreditation, sends to the accredited organization a list of authorized employees of the Federal Service, and subsequently - not later than 5 working days from the date of changes and additions to the specified list, notifies the accredited organization of such changes and additions.
3.8. During the period of accreditation, the Federal Service has the right to check the accredited organization for compliance with the accreditation conditions and requirements established by the documents specified in clauses 2.2 - 2.4 of these Regulations.
3.9. Accreditation is carried out for a period of 3 years, which can be extended.
3.10. The conditions for the extension of accreditation are:
3.10.1. Compliance of the applicant with the conditions of accreditation and the requirements established by the documents specified in paragraphs 2.2 - 2.4 of these Regulations;
(subparagraph 3.10.1 as amended by Order of the Federal Service for Financial Markets of the Russian Federation of 24.06.2008 N 08-26 / pz-n)
3.10.2. Issuance by the applicant of at least 500 certificates of financial market specialists within 3 years prior to the submission of documents for the extension of accreditation.
3.11. To extend the accreditation, the applicant shall submit to the Federal Service the following documents not later than 60 working days before the expiration of the accreditation period and not less than 20 working days before the expiration of the accreditation period:
(as amended by Order of the Federal Service for Financial Markets of the Russian Federation of March 30, 2010 N 10-26 / pz-n)
3.11.1. documents provided for in paragraph 3.1 of these Regulations;
3.11.2. certificate of accreditation.
3.12. In the case of the submission of an incomplete set of documents necessary for making a decision on the extension of accreditation, the submission of documents not completed in the prescribed manner, or the submission of a set of documents not within the time period established by clause 3.11 of these Regulations, the Federal Service shall return to the applicant documents submitted for extension of accreditation without consideration within 10 business days from the day they are received by the Federal Service.
(Clause 3.12 as amended by Order of the Federal Service for Financial Markets of the Russian Federation of March 30, 2010 N 10-26 / pz-n)
3.13. During the period of consideration of documents submitted for extension of accreditation, the Federal Service has the right to verify the accuracy of the information contained in documents submitted for extension of accreditation, as well as to verify compliance with the requirements established by the documents specified in clauses 2.2 - 2.4 of these Regulations.
(as amended by Order of the Federal Service for Financial Markets of the Russian Federation of 08.24.2008 N 08-26 / pz-n)
3.14. The grounds for refusal to renew accreditation are:
3.14.1. non-compliance of the applicant with the requirements provided for in paragraph 3.10 of these Regulations;
3.14.2. the presence in the documents submitted by the applicant of inaccurate or distorted information.
3.15. The Federal Service shall notify the applicant in writing of the decision to extend the accreditation or the refusal to renew the accreditation within 5 working days from the date of the relevant decision, in the case of a decision to extend the accreditation, the Federal Service also sends a copy of the agreed Regulation.
(as amended by Order of the Federal Service for Financial Markets of the Russian Federation of March 30, 2010 N 10-26 / pz-n)
3.16. If a decision is made to extend accreditation, the Federal Service within a period not exceeding 10 working days from the date of such a decision draws up a certificate confirming accreditation (Appendix No. 2 to this Regulation) and sends it to the territorial body of the Federal Service at the location of the accredited organization for handing over to an authorized representative of an accredited organization.
(Clause 3.16 as amended by Order of the Federal Service for Financial Markets of the Russian Federation of June 24, 2008 N 08-26 / pz-n)
3.17. The Federal Service decides to revoke accreditation on the following grounds:
3.17.1. in connection with the termination of the license of the accredited organization for the right to carry out educational activities or permission to carry out activities as a self-regulatory organization;
3.17.2. in connection with a gross or repeated violation by the accredited organization of the conditions of accreditation and the requirements established by the documents specified in clauses 2.2 - 2.4 of these Regulations;
(Subclause 3.17.2 as amended by Order of the Federal Service for Financial Markets of the Russian Federation of 24.06.2008 N 08-26 / pz-n)
3.17.3. at the initiative of an accredited organization.
3.18. If the Federal Service makes a decision to revoke the accreditation organization, a notification of such a decision indicating the grounds for the revocation must be sent to the specified organization within 5 business days from the date of such a decision.
3.19. Information on accredited organizations is open for public viewing on the official page of the Federal Service on the Internet (www.fcsm.ru; www.fsfm.gov.ru).
3.20. In case of changing the full name of the organization and / or the location of the organization, the accredited organization for renewal of the certificate of accreditation within a period not exceeding 30 working days from the date of registration of all changes in the manner established by the legislation of the Russian Federation, sends the following documents to the Federal Service:
3.20.1. an application for renewal of the certificate of accreditation, drawn up on the letterhead of an accredited organization in the form in accordance with Appendix No. 3 to this Regulation;
3.20.2. copies of the documents specified in clause 3.1.2 of these Regulations, as amended, certified in the prescribed manner, as well as a document confirming the entry in the Unified State Register of Legal Entities on amendments to the constituent documents of a legal entity;
3.20.3. certificate of accreditation.
(Clause 3.20 was introduced by Order of the Federal Service for Financial Markets of the Russian Federation of June 24, 2008 N 08-26 / pz-n)
3.21. In the case of the submission of an incomplete set of documents required to make a decision on renewal of the certificate of accreditation, or the submission of documents not completed in the established manner, the Federal Service returns the documents submitted for renewal of the certificate of accreditation without consideration within 10 business days from the date of receipt Federal Service.
(Clause 3.21 was introduced by Order of the Federal Service for Financial Markets of the Russian Federation of 08.24.2008 N 08-26 / pz-n)
3.22. The decision to renew the accreditation certificate is made by the Federal Service within 15 business days from the date of receipt by the Federal Service of the application for renewal of the accreditation certificate with the documents specified in subparagraphs 3.20.2 and 3.20.3 of these Regulations.
(Clause 3.22 was introduced by Order of the Federal Service for Financial Markets of the Russian Federation of June 24, 2008 N 08-26 / pz-n)
3.23. The Federal Service shall, within a period not exceeding 10 working days from the date of the decision on renewal of the certificate of accreditation, reissue the certificate of accreditation and send it to the territorial body of the Federal Service at the location of the accredited organization for handing over to the authorized representative of the accredited organization.
(Clause 3.23 was introduced by Order of the Federal Service for Financial Markets of the Russian Federation of June 24, 2008 N 08-26 / pz-n)
3.24. Within 5 working days from the date of the decision to reissue the certificate of accreditation, the Federal Service makes the appropriate changes to the information on accredited organizations on the website of the Federal Service on the Internet.
(Clause 3.24 was introduced by Order of the Federal Service for Financial Markets of the Russian Federation of 08.24.2008 N 08-26 / pz-n)
3.25. Copies of documents submitted in accordance with this Regulation must be certified in the prescribed manner. In documents containing more than 1 sheet, the sheets must be stitched, numbered, sealed and signed by an authorized person.
(as amended by Order of the Federal Service for Financial Markets of the Russian Federation of 08.24.2008 N 08-26 / pz-n)
Appendix N 1
to the Regulation on accreditation
organizations implementing
certification of specialists
financial market
ref. N ________________
FFMS of Russia
Leninsky Prospekt, 9
moscow, V-49, GSP-1
Organization application form
for accreditation (extension of accreditation)
1. Full name:
2. Location (address):
____________________________
3. Contact phone number:
__________________________________________________________________
4. Fax number:
__________________________________________________________________
5. Address of the official page on the Internet:
__________________________________________________________________
6. Email Address:
__________________________________________________________________
7. Surname, name, patronymic of the head:
__________________________________________________________________
8. Contact persons:
__________________________________________________________________
9. Short description software and hardware for
the formation of tests and software for
determination of exam results (if any
software and hardware):
__________________________________________________________________
10. Duration (experience) of educational
activities, in years (filled by an educational institution):
__________________________________________________________________
11. Duration (experience) of preparing citizens for exams
FFMS of Russia (exams of the FCSM of Russia), in years (filled
educational institution):
__________________________________________________________________
12. Duration (experience) of the preparation of graduates
specialists (bachelors, masters) in the specializations "Valuable
securities "," Securities Market "," Stock Markets "or" Financial
markets "related to the specialty of higher professional
education "Finance and Credit", in years (filled
educational institution):
__________________________________________________________________
13. The number of trained citizens for passing the FSFM exams
Russia or exams of the Federal Commission for the Securities of Russia (filled with educational
institution):
__________________________________________________________________
14. Number of trained graduates
(bachelors, masters) in the specialties "Securities", "Market
securities "," Stock Markets "or" Financial Markets ",
related to the specialty of higher professional education
"Finance and credit" (filled out by an educational institution):
__________________________________________________________________
15. The number of issued certificates of financial specialists
market for 3 years prior to filing documents for
renewal of accreditation (to be completed for renewal purposes
accreditation):
__________________________________________________________________
Please consider accreditation / extension
accreditation
underline whatever applicable
__________________________________________________________________
M.P. _____________ /AND ABOUT. Surname/
/ job title / signature /
head of organization /
Appendix N 2
to the Regulation on accreditation
organizations implementing
certification of specialists
financial market
FEDERAL SERVICE FOR FINANCIAL MARKETS
CERTIFICATE
on accreditation of an organization implementing
certification of financial market specialists
N _____________
______________________________________
(full name of organization)
______________________________________
has the right to certify financial market specialists
before _____________
Head _________________ __________________________________
(signature) (I.O.Surname)
Appendix N 3
to the Regulation on accreditation
organizations implementing
certification of specialists
financial market
ref. N ________________
FFMS of Russia
Leninsky Prospekt, 9
moscow, V-49, GSP-1
Statement
on renewal of accreditation certificate
__________________________________________________________________
(full name of organization)
__________________________________________________________________
(location of organization)
requests to renew the accreditation certificate in connection with
a change in the name / location of the organization.
(Underline whatever applicable)
New name / location of organization: _____________
The following documents are attached to this application:
N documents |
Title of the document |
Number of sheets |
REGULATIONS on the Federal Service for Financial Markets
I. General Provisions
1. The Federal Service for Financial Markets is a federal executive body performing functions related to the adoption of regulatory legal acts, control and supervision in the field of financial markets (with the exception of insurance, banking and auditing).
2. The leadership of the Federal Service for Financial Markets is carried out by the Government of the Russian Federation.
3. The Federal Service for Financial Markets is guided by all activities of the Constitution of the Russian Federation, federal constitutional laws, federal laws, acts of the President of the Russian Federation and the Government of the Russian Federation, international treaties of the Russian Federation, as well as these Regulations.
4. The Federal Service for Financial Markets carries out its activities directly and through its territorial bodies in cooperation with other federal executive bodies, executive bodies of the constituent entities of the Russian Federation, bodies local government, public associations and other organizations.
II. Credentials
5. The Federal Service for Financial Markets exercises the following powers in the established field of activity:
5.1. submits projects to the Government of the Russian Federation federal laws, normative legal acts of the President of the Russian Federation and the Government of the Russian Federation and other documents on which a decision of the Government of the Russian Federation is required on questions of the scope of the Service established by paragraph 1 of these Regulations, as well as a draft work plan and forecast indicators of the service;
5.2. on the basis of and pursuant to the Constitution of the Russian Federation, federal constitutional laws, federal laws, acts of the President of the Russian Federation and the Government of the Russian Federation, independently adopts regulatory legal acts:
5.2.1. according to the approval of standards for the issue of securities, prospectuses of securities of issuers, including foreign issuers, issuing securities on the territory of the Russian Federation. and order state registration issue (additional issue) of equity securities, state registration of reports on the results of the issue (additional issue) of equity securities and registration of prospectuses of securities (with the exception of state and municipal securities, as well as bonds of the Bank of Russia);
5.2.2. according to uniform requirements to the rules for professional activities with securities;
5.2.3. on approval of mandatory requirements for the procedure for maintaining the register of holders of registered securities;
5.2.4. according to the approval of mandatory for professional participants in the securities market, with the exception of credit organizations, the adequacy standards equity and other requirements aimed at reducing the risks of professional activities in the securities market, as well as the elimination of conflicts of interest, including the provision of services for the placement of equity securities by a broker who is a financial consultant;
5.2.5. on approval of the rules for admission of securities to their public placement, circulation, quotation and listing, settlement and depository activities;
5.2.6. to determine the procedure for admission to the initial placement and circulation outside the territory of the Russian Federation of securities issued by issuers registered in the Russian Federation;
5.2.7. on approval of requirements for the structure of assets of joint-stock investment funds and assets of mutual investment funds;
5.2.8. on approval of the registration procedure for the rules of non-state pension funds and amendments to them, disclosure standards and reporting forms of non-state pension funds;
5.2.9. other regulatory legal acts, the adoption of which is referred by federal laws and regulatory legal acts of the President of the Russian Federation and the Government of the Russian Federation to the competence of the federal executive body in the field of financial markets, the federal executive body for the securities market, and the authorized federal executive body for government regulation activities of non-state pension funds for non-state pension provision, compulsory pension insurance and professional pension insurance in the part of supervision and control;
5.3. on the basis of federal laws, acts of the President of the Russian Federation and the Government of the Russian Federation, the Service exercises the following powers of control and supervision in the established field of activity:
5.3.1. registers:
5.3.1.1. issues (additional issues) of issue-grade securities and reports on the results of the issue of securities, as well as prospectuses of securities (with the exception of state and municipal securities);
5.3.1.2. rules of trust management of mutual investment funds, rules of trust management of mortgage coverage, as well as changes in them;
5.3.1.3. rules of non-state pension funds, as well as changes in them;
5.3.1.4. documents of professional securities market participants, their self-regulatory organizationsas well as specialized depositories of investment funds, mutual investment funds and non-state pension funds, which are subject to registration in accordance with the legislation of the Russian Federation;
5.3.2. carries out notification registration of non-state pension funds that have submitted an application for the implementation of compulsory non-state pension insurance as an insurer;
5.3.3. carries out licensing of professional activities in the securities market, the activities of private pension funds, joint-stock investment funds, the management of investment funds, mutual funds and private pension funds, as well as the activities of specialized depositories of investment funds, mutual investment funds and private pension funds;
5.5.4. controls the procedure for conducting operations with cash or other property committed by professional participants in the securities market in order to counter the legalization (laundering) of proceeds from crime;
5.3.4. suspends the issue of securities;
5.3.5. carries out checks:
5.3.6.1. issuers, joint-stock investment funds, subjects of relations on the formation and investment of pension savings funds, subjects of relations on non-state pension provision, compulsory pension insurance and professional pension insurance, mortgage agents managing mortgage coverage and specialized depositories of mortgage coverage;
5.3.6.2. professional participants of the securities market, management companies of joint-stock investment funds, mutual investment funds and non-state pension funds, as well as their self-regulatory organizations;
5.3.7. issues instructions to issuers, professional participants of the securities market, joint-stock investment funds, management companies of joint-stock investment funds, mutual investment funds and non-state pension funds, specialized depositories of joint-stock investment funds, mutual investment funds and private pension funds, subjects of relations for the formation and investment of funds retirement savings, subjects of relations on non-state pension provision, compulsory pension insurance and professional pension insurance, mortgage agents managing mortgage coverage and specialized depositories of mortgage coverage, as well as self-regulatory organizations;
5.3.8. prohibits or restricts for a period of up to six months the professional participant from conducting certain operations on the securities market;
5.3.9. goes to court ( court of Arbitration) with claims (statements), including with claims (statements), the presentation of which in accordance with the legislation of the Russian Federation can be carried out by the authorized federal executive body for regulation, control and supervision in the field of formation and investment of pension savings funds;
5.3.10. considers facts of violation of the legislation of the Russian Federation on commodity exchanges and takes appropriate decisions in accordance with the legislation of the Russian Federation;
5.3.1 1. considers cases of administrative offenses, referred in accordance with the Code of the Russian Federation on administrative offenses to the competence of the federal executive body authorized in the field of the securities market, and also applies the measures of responsibility established by administrative law;
5.3.12. agrees:
5.3.12.1. decisions of the non-state pension fund council on its reorganization and the composition of the liquidation commission of the non-state pension fund;
5.3.12.2. code of professional ethics of a specialized depository that has concluded an agreement on the provision of services to the Pension Fund of the Russian Federation, management companies that have concluded with Pension Fund Russian Federation trust management agreements for pension savings funds, as well as brokers through which transactions related to the investment of pension savings funds in securities are made;
5.3.13. approves action plans of a specialized depository and management companies that are subjects of relations for the formation and investment of pension savings funds, to bring the amount of own funds in line with the standard of sufficiency of own funds;
5.3.14. performs other control and supervision functions attributed by federal laws and other regulatory legal acts of the President of the Russian Federation and the Government of the Russian Federation to the competence of the federal executive body in the field of financial markets, the federal executive body for the securities market, the authorized federal executive body for regulation, control and supervision in the field of formation and investment of pension savings funds, as well as the authorized federal executive body for state regulation of the activities of non-state pension funds for non-state pension provision, compulsory pension insurance and professional pension insurance;
5.4. summarizes the practice of applying legislation in the established field of activity;
5.6. performs the functions of the main manager and recipient of funds federal budgetprovided for the content of the Service and the implementation of the functions assigned to it;
5.7. organizes tenders in accordance with the established procedure and the conclusion of state contracts for placing orders for the delivery of goods, performance of work, provision of services for the needs of the Service, as well as research work for other state needs in the established field of activity, including tenders in the manner determined by the Government of the Russian Federation on the selection of a specialized depository and management companies for concluding agreements with them by the Pension Fund of the Russian Federation;
5.8. organizes the reception of citizens, ensures timely and complete consideration of oral and written appeals of citizens, the adoption of decisions by it and the sending of answers to the applicants within the time period established by the legislation of the Russian Federation;
5.9. ensures, within its competence, the protection of information constituting a state secret;
5.10. provides mobilization training for the Service, as well as monitoring and coordinating the activities of organizations involved in mobilization training;
5.11. organizes vocational training for employees of the Service, their retraining, advanced training and internships;
5.12. interacts in accordance with the established procedure with state authorities of foreign states and international organizations in the established field of activity;
5.13. carries out, in accordance with the legislation of the Russian Federation, the acquisition, storage, recording and use of archival documents generated in the course of the Service;
5.14. provides information disclosure in accordance with the legislation of the Russian Federation;
6. The Federal Service for Financial Markets, with the aim of exercising powers in the established field of activity, has the right:
6.1. request and receive in the prescribed manner the information necessary for making decisions on issues related to the competence of the Service;
6.2. organize the necessary investigations, tests, examinations, analyzes and evaluations, as well as scientific researchon issues of supervision in the established field of activity;
6.3. give legal and to individuals clarification on issues within the competence of the Service;
6.4. monitor the activities of the territorial bodies of the Service;
6.5. involve in the established order for the study of issues related to the established field of activity of the Service, scientific and other organizations, scientists and specialists;
6.6. stop violation of the legislation of the Russian Federation in the established field of activity, as well as apply measures of a restrictive, preventive and preventive nature. aimed at preventing and (or) eliminating the consequences caused by violation by legal entities and citizens of mandatory requirements on issues within the competence of the Service;
6.7. create coordination, consultative and expert bodies (councils, commissions, groups, colleges), including inter-agency ones, in the established field of activity.
7. The Federal Service for Financial Markets is not entitled to carry out management functions in the established field of activity. state property and rendering paid services, except in cases established by decrees of the President of the Russian Federation or resolutions of the Government of the Russian Federation.
The restrictions on the powers of the Federal Service for Financial Markets, established by the first paragraph of this clause, do not extend to the powers of the head of the Service’s property management service assigned to it by the right of operational management, personnel matters and organization of the Service.
When implementing legal regulation in the established field of activity, the Federal Service for Financial Markets is also not entitled to establish the functions and powers of federal government bodies, government bodies of the constituent entities of the Russian Federation, bodies not provided for by federal constitutional laws, federal laws, acts of the President of the Russian Federation and the Government of the Russian Federation local government, as well as restrictions on the exercise of the rights and freedoms of citizens, the rights of non-governmental commercial and non-profit organizations, with the exception of cases where the possibility of introducing such restrictions by acts of authorized federal executive bodies is provided for by the Constitution of the Russian Federation, federal constitutional laws, federal laws and issued on the basis of and pursuant to the Constitution of the Russian Federation, federal constitutional laws, federal laws by acts of the President of the Russian Federation Federation and the Government of the Russian Federation.
III. Organization of Activities
8. The Federal Service for Financial Markets is headed by a head appointed and dismissed by the Government of the Russian Federation.
The head of the Federal Service for Financial Markets is personally responsible for fulfilling the powers assigned to the Service in the established field of activity.
The head of the Federal Service for Financial Markets has deputies appointed and dismissed by the Government of the Russian Federation on the proposal of the head of the Service.
The number of deputy heads of the Federal Service for Financial Markets is set by the Government of the Russian Federation.
9. Head of the Federal Service for Financial Markets:
9.1. distributes duties between his deputies:
9.2. Submits to the Government of the Russian Federation:
9.2.1. draft regulations on the Federal Service for Financial Markets;
9.2.2. proposals on the maximum number and payroll of employees of the central apparatus and territorial bodies Services
9.2.5. proposals for the appointment and dismissal of deputy heads of the Service;
9.2.4. annual plan and forecast indicators of the Service, as well as a report on their implementation;
9.3. approves the provisions on structural units of the Service and its territorial bodies;
9.4. appoints and dismisses employees of the central apparatus of the Service, heads and deputy heads of territorial bodies of the Service;
9.5. decides in accordance with the laws of the Russian Federation on public service issues related to passing in the Federal State Service;
9.6. approves the structure and staffing table the central apparatus of the Service within the limits of the wage fund and the number of employees established by the Government of the Russian Federation, the estimate for the maintenance of the central apparatus of the Service within the limits approved corresponding period appropriations provided for in the federal budget;
9.7. approves the number and payroll of employees of the territorial bodies of the Service within the limits established by the Government of the Russian Federation, as well as the estimated costs of their maintenance within the limits of the appropriations approved for the corresponding period provided for in the federal budget;
9.8. makes proposals to the Ministry of Finance of the Russian Federation on the formation of a draft federal budget in terms of financial support for the activities of the Service;
9.9. submits to the Government of the Russian Federation in the prescribed manner proposals for the creation, reorganization or liquidation of federal government organizations and institutions administered by the Service;
9.10. on the basis of and pursuant to the Constitution of the Russian Federation, federal constitutional laws, federal laws, acts of the President of the Russian Federation, the Government of the Russian Federation issues orders on issues within the competence of the Service, as well as on the internal organization of the Service;
9.11. represents in the prescribed manner the employees of the Service, its territorial bodies and other persons engaged in activities in the established field, for the awarding of honorary titles and the award of state awards of the Russian Federation.
10. Structural units Federal Service for Financial Markets are the department for the main areas of activity of the Service. The composition of the departments includes departments.
11. Financing of the costs of maintaining the central apparatus of the Federal Service for Financial Markets and its territorial bodies is carried out at the expense of the funds provided for in the federal budget.
12. The Federal Service for Financial Markets is a legal entity, has a seal with the image of the State Emblem of the Russian Federation and with its name, other seals, stamps and letterhead of the established form, as well as accounts opened in accordance with the legislation of the Russian Federation.
13. The location of the Federal Service for Financial, Markets is Moscow.
Is acting Edition from 01.01.1970
Title document | ORDER of the Federal Service for Financial Markets of the Russian Federation of January 28, 2010 N 10-4 / pz-n "ON APPROVAL OF THE REGULATION ON SPECIALISTS OF THE FINANCIAL MARKET" |
Type of document | order position |
Host body | fsfr rf |
Document Number | 10-4 / PZ-N |
Date of adoption | 01.10.2010 |
Revision Date | 01.01.1970 |
Ministry of Justice Registration Number | 17130 |
Date of registration in the Ministry of Justice | 06.05.2010 |
Status | acts |
Publication |
|
Navigator | Notes |
ORDER of the Federal Service for Financial Markets of the Russian Federation of January 28, 2010 N 10-4 / pz-n "ON APPROVAL OF THE REGULATION ON SPECIALISTS OF THE FINANCIAL MARKET"
REGULATIONS ON FINANCIAL MARKET SPECIALISTS
29. 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 qualification certificates issued to him, the certified person may apply to any territorial body of the FSFM of Russia with a statement containing the surname, name, patronymic<*>, date of birth, mailing address, contact phone number, personal signature of the certified person and 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 written consent of the subject of personal data or if there is another legal basis.
32. The written consent must be certified in the manner prescribed 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 on the date of issue of the specified document and the issuing authority;
32.2. the name and address (location) of the territorial body of the FFMS of Russia, receiving the consent of the certified person;
32.3. the purpose of the transfer of personal data of the certified person;
32.4. a list of personal data for the transfer of which the consent of the certified person is given;
32.5. a list of actions with personal data for the fulfillment of which consent is given, namely: transfer to an interested person (surname, name, patronymic are indicated<*> citizen or organization name);
32.6. the period during which the consent is valid, as well as the procedure for its revocation.
<*> In the presence of.
33. If the applicant fails to submit the documents specified in paragraphs 30 to 32 of the Regulation or to submit a set of documents incorrectly executed in accordance with the requirements of paragraphs 30 to 32 of the Regulation, the territorial body of the Federal Service for Financial Markets within a period not exceeding 10 working days from the date of receipt of the application provided in paragraph 30 - 32 of the Regulation, sends to the applicant a reasoned refusal to issue an extract from the Register.
34. The Territorial Authority of the Federal Service for Financial Markets of Russia shall, within a period not exceeding 10 business days from the date of receipt of the documents specified in Clauses 30 to 32 of the Regulation, draw up an extract from the Register containing information on qualification certificates issued to the certified person, the name of the position of the employee of the territorial authority of the Federal Service for Financial Markets, signature of this employee, a transcript of the signature, a seal certifying the signature, and hands it to the applicant.
35. Each extract from the Register issued by the territorial body of the Federal Service for Financial Markets of Russia contains information regarding only one certified person.
36. Copies of documents submitted in accordance with the Regulation should be certified in the prescribed manner.
Government of the Russian Federation decides:
1. To approve the attached Regulation on the Federal Service for Financial Markets.
2. Federal Service for Financial Markets:
a) make proposals before October 1, 2004 to the Government of the Russian Federation on amendments to the legislation of the Russian Federation, providing for:
the transfer of the functions of the Commodity Exchange Commission to the Federal Service for Financial Markets;
the exclusion of redundant and duplicate functions in the established field of activity of the Federal Service for Financial Markets;
b) submit proposals to the Government of the Russian Federation by January 1, 2005, providing for the formation of a collegial body for regulation and supervision in the financial market.
3. Prior to amendments to the legislation of the Russian Federation providing for the transfer of the functions of the Commodity Exchange Commission to the Federal Service for Financial Markets,
The Federal Service for Financial Markets exercises the functions and powers to manage and support the work of the Commodity Exchange Commission.
Prime Minister
Russian Federation
M. Fradkov
Regulation on the Federal Service for Financial Markets
I. General Provisions
1. The Federal Service for Financial Markets is a federal executive body that carries out the functions of adopting regulatory legal acts, controlling and supervising financial markets (excluding insurance, banking, and auditing).
2. The Federal Financial Markets Service is managed by the Government of the Russian Federation.
3. The Federal Service for Financial Markets is guided in its activities by the Constitution of the Russian Federation, federal constitutional laws, federal laws, acts of the President of the Russian Federation and the Government of the Russian Federation, international treaties of the Russian Federation, as well as these Regulations.
4. The Federal Service for Financial Markets carries out its activities directly and through its territorial bodies in cooperation with other federal executive bodies, executive bodies of the constituent entities of the Russian Federation, local authorities, public associations and other organizations.
II. Credentials
5. The Federal Service for Financial Markets exercises the following powers in the established field of activity:
5.1. submits to the Government of the Russian Federation draft federal laws, regulatory legal acts of the President of the Russian Federation and the Government of the Russian Federation and other documents requiring a decision of the Government of the Russian Federation on issues related to the scope of the Service established by clause 1 of these Regulations, as well as a draft work plan and forecast Service performance indicators;
5.2. on the basis of and pursuant to the Constitution of the Russian Federation, federal constitutional laws, federal laws, acts of the President of the Russian Federation and the Government of the Russian Federation, independently adopts regulatory legal acts:
5.2.1. according to the approval of standards for the issue of securities, prospectuses of securities of issuers, including foreign issuers issuing securities on the territory of the Russian Federation, and the procedure for state registration of the issue (additional issue) of issued securities, state registration of reports on the results of the issue (additional issue) equity securities and registration of prospectuses of securities (with the exception of state and municipal securities, as well as bonds of the Bank of Russia);
5.2.2. on approval of uniform requirements for the rules for professional activities with securities;
5.2.3. on approval of mandatory requirements for the procedure for maintaining the register of holders of registered securities;
5.2.4. according to the statement of mandatory for professional participants in the securities market, with the exception of credit organizations, standards of sufficiency of own funds and other requirements aimed at reducing the risks of professional activity in the securities market, as well as to eliminate conflicts of interest, including when provided by a financial broker consultant, services for the placement of equity securities;
5.2.5. on approval of the rules for admission of securities to their public offering, circulation, quotation and listing, settlement and depository activities;
5.2.6. to determine the procedure for admission to the initial placement and circulation outside the territory of the Russian Federation of securities issued by issuers registered in the Russian Federation;
5.2.7 on approval of requirements for the structure of assets of joint-stock investment funds and assets of mutual investment funds;
5.2.8. on approval of the registration procedure for the rules of non-state pension funds and amendments to them, disclosure standards and reporting forms of non-state pension funds;
5.2.9. other regulatory legal acts, the adoption of which is attributed by federal laws and regulatory legal acts of the President of the Russian Federation and the Government of the Russian Federation to the competence of the federal executive body in the field of financial markets, the federal executive body for the securities market, and the authorized federal executive body for state regulation of non-state pension funds for non-state pension provision, compulsory pension insurance and professional pension insurance in the part of supervision and control;
5.3. on the basis of federal laws, acts of the President of the Russian Federation and the Government of the Russian Federation, the Service exercises the following powers of control and supervision in the established field of activity:
5.3.1. registers:
5.3.1.1. issues (additional issues) of issue-grade securities and reports on the results of the issue of securities, as well as prospectuses of securities (with the exception of state and municipal securities);
5.3.1.2. rules of trust management of mutual investment funds, rules of trust management of mortgage coverage, as well as changes in them;
5.3.1.3. rules of non-state pension funds, as well as changes in them;
5.3.1.4. documents of professional participants in the securities market, their self-regulatory organizations, as well as specialized depositories of investment funds, mutual funds and non-state pension funds, which are subject to registration in accordance with the legislation of the Russian Federation;
5.3.2. carries out notification registration of non-state pension funds that have submitted an application for the implementation of compulsory non-state pension insurance activities as an insurer;
5.3.3. carries out licensing of professional activities in the securities market, the activities of non-state pension funds, joint-stock investment funds, the management of investment funds, mutual funds and non-state pension funds, as well as the activities of specialized depositories of investment funds, mutual investment funds and non-state pension funds;
5.3.4. controls the order of operations with in cash or other property committed by professional participants in the securities market in order to counter the legalization (laundering) of proceeds from crime;
5.3.5. suspends the issue of securities;
5.3.6. carries out checks:
5.3.6.1. issuers, joint-stock investment funds, subjects of relations on the formation and investment of pension savings funds, subjects of relations on non-state pension provision, compulsory pension insurance and professional pension insurance, mortgage agents, managers of mortgage coverage and specialized mortgage coverage depositories;
5.3.6.2. professional participants in the securities market, management companies of joint-stock investment funds, mutual investment funds and non-state pension funds, as well as their self-regulatory organizations;
5.3.7. issues instructions to issuers, professional participants of the securities market, joint-stock investment funds, management companies of joint-stock investment funds, mutual investment funds and non-state pension funds, specialized depositories of joint-stock investment funds, mutual investment funds and non-state pension funds, subjects of relations on the formation and investment of pension funds savings, to subjects of relations on non-state pension provision, compulsory pension insurance and professional pension insurance, mortgage agents, managers of mortgage coverage and specialized depositories of mortgage coverage, as well as self-regulatory organizations;
5.3.8. prohibits or limits for a period of up to six months the professional participant conducting certain operations on the securities market;
5.3.9. appeals to the court (arbitration court) with claims (statements), including claims (statements), the presentation of which in accordance with the legislation of the Russian Federation can be carried out by the authorized federal executive body for regulation, control and supervision in the field of formation and investment of pension funds accumulations;
5.3.10. considers facts of violation of the legislation of the Russian Federation on commodity exchanges and takes appropriate decisions in accordance with the legislation of the Russian Federation;
5.3.11. considers cases of administrative offenses, referred in accordance with the Code of the Russian Federation on administrative offenses to the competence of the federal executive body authorized in the field of the securities market, and also applies the measures of responsibility established by administrative law;
5.3.12. agrees:
5.3.12.1. decisions of the non-state pension fund council on its reorganization and the composition of the liquidation commission of the non-state pension fund;
5.3.12.2. the code of professional ethics of a specialized depository that has concluded an agreement on the provision of services to the Pension Fund of the Russian Federation, management companies that have concluded trust management agreements with pension funds of the Russian Federation, as well as brokers through whom transactions related to the investment of pension savings funds in securities are made ;
5.3.13. approves the action plans of the specialized depository and management companies that are subjects of relations for the formation and investment of pension savings funds, to bring the size of own funds in accordance with the standard of sufficiency of own funds;
5.3.14. performs other functions of control and supervision assigned by federal laws and other regulatory legal acts of the President of the Russian Federation and the Government of the Russian Federation to the competence of the federal executive body in the field of financial markets, the federal executive body for the securities market, the authorized federal executive body for regulation , control and supervision in the field of formation and investment of pension savings funds, as well as the authorized federal executive body for state regulation of non-state pension funds for non-state pension provision, compulsory pension insurance and professional pension insurance;
5.4. summarizes the practice of applying legislation in the established field of activity;
5.6. performs the functions of the main manager and recipient of the federal budget funds provided for the maintenance of the Service and the implementation of the functions assigned to it;
5.7. organizes tenders in accordance with the established procedure and conclusion of state contracts for placing orders for the supply of goods, performing work, rendering services for the needs of the Service, as well as conducting research work for other state needs in the established field of activity, including conducting in the manner determined by the Government of the Russian Federation, tenders for the selection of a specialized depository and management companies for concluding agreements with them by the Pension Fund of the Russian Federation;
5.8. organizes the reception of citizens, ensures timely and complete consideration of oral and written requests of citizens, the adoption of decisions on them and the sending of answers to the applicants within the time period established by the legislation of the Russian Federation;
5.9. ensures, within its competence, the protection of information constituting a state secret;
5.10. provides mobilization training for the Service, as well as monitoring and coordinating the activities of mobilization training organizations under its jurisdiction;
5.11. organizes vocational training for employees of the Service, their retraining, advanced training and internships;
5.12. interacts in the established manner with state authorities of foreign states and international organizations in the established field of activity;
5.13. carries out, in accordance with the legislation of the Russian Federation, the acquisition, storage, recording and use of archival documents generated during the activities of the Service;
5.14. provides information disclosure in accordance with the legislation of the Russian Federation.
6. The Federal Service for Financial Markets with the aim of exercising powers in the established field of activity has the right:
6.1. request and receive in the prescribed manner the information necessary for making decisions on issues related to the competence of the Service;
6.2. organize the conduct of necessary investigations, tests, examinations, analyzes and evaluations, as well as scientific research on the implementation of supervision in the established field of activity;
6.3. provide legal and physical persons with clarifications on issues within the competence of the Service;
6.4. exercise control over the activities of the territorial bodies of the Service;
6.5. to attract in the established manner for the study of issues related to the established field of activity of the Service, scientific and other organizations, scientists and specialists;
6.6. stop violation of the legislation of the Russian Federation in the established field of activity, as well as apply restrictive, preventive and preventive measures aimed at preventing and (or) eliminating the consequences caused by the violation by legal entities and citizens of mandatory requirements on issues within the competence of the Service;
6.7. create coordination, advisory and expert bodies (councils, commissions, groups, colleges), including interdepartmental ones, in the established field of activity.
7. The Federal Service for Financial Markets is not entitled to perform the functions of managing state property and rendering paid services in the established field of activity, except for cases established by decrees of the President of the Russian Federation or resolutions of the Government of the Russian Federation.
The restrictions on the powers of the Federal Service for Financial Markets, established by the first paragraph of this clause, do not extend to the powers of the head of the Service’s property management service assigned to it by the right of operational management, personnel matters and organization of the Service.
When implementing legal regulation in the established field of activity, the Federal Service for Financial Markets is also not entitled to establish the functions and powers of federal government bodies, government bodies of the constituent entities of the Russian Federation, bodies not provided for by federal constitutional laws, federal laws, acts of the President of the Russian Federation and the Government of the Russian Federation local government, as well as restrictions on the exercise of the rights and freedoms of citizens, the rights of non-governmental commercial and non-profit organizations, with the exception of cases where the possibility of introducing such restrictions by acts of authorized federal executive bodies is provided for by the Constitution of the Russian Federation, federal constitutional laws, federal laws and issued on the basis of and pursuant to the Constitution of the Russian Federation, federal constitutional laws, federal laws by acts of the President of the Russian Federation Federation and the Government of the Russian Federation.
III. Organization of Activities
8. The Federal Service for Financial Markets is headed by a head appointed and dismissed by the Government of the Russian Federation.
The head of the Federal Service for Financial Markets is personally responsible for fulfilling the powers assigned to the Service in the established field of activity.
The head of the Federal Service for Financial Markets has deputies appointed and dismissed by the Government of the Russian Federation on the proposal of the head of the Service.
The number of deputy heads of the Federal Service for Financial Markets is set by the Government of the Russian Federation.
9. Head of the Federal Service for Financial Markets:
9.1. distributes duties between his deputies;
9.2. Submits to the Government of the Russian Federation:
9.2.1. draft regulations on the Federal Service for Financial Markets;
9.2.2. proposals on the maximum number and payroll of employees of the central apparatus and territorial bodies of the Service;
9.2.3. proposals for the appointment and dismissal of deputy heads of the Service;
9.2.4. annual plan and forecast indicators of the Service, as well as a report on their implementation;
9.3. approves the provisions on structural units of the Service and its territorial bodies;
9.4. appoints and dismisses employees of the central office of the Service, heads and deputy heads of territorial bodies of the Service;
9.5. decides in accordance with the legislation of the Russian Federation on public service issues related to the passage in the Federal public service;
9.6. approves the structure and staffing of the central office of the Service within the framework of the payroll fund and the number of employees established by the Government of the Russian Federation, the estimated cost of maintaining the central office of the Service within the limits of the appropriations for the federal budget approved for the corresponding period;
9.7. approves the number and payroll of employees of the territorial bodies of the Service within the limits established by the Government of the Russian Federation, as well as the estimated costs of their maintenance within the limits of the appropriations approved for the relevant period provided for in the federal budget;
9.8. makes proposals to the Ministry of Finance of the Russian Federation on the formation of a draft federal budget in terms of financial support of the Service;
9.9. submits to the Government of the Russian Federation in the prescribed manner proposals for the creation, reorganization and liquidation of federal state organizations and institutions under the authority of the Service;
9.10. on the basis of and pursuant to the Constitution of the Russian Federation, federal constitutional laws, federal laws, acts of the President of the Russian Federation, the Government of the Russian Federation issues orders on issues within the competence of the Service, as well as on the internal organization of the Service;
9.11. represents in the prescribed manner the employees of the Service, its territorial bodies and other persons engaged in activities in the established field, for the awarding of honorary titles and the award of state awards of the Russian Federation.
10. The structural divisions of the Federal Service for Financial Markets are management in the main areas of the Service. The composition of the departments includes departments.
11. Financing of the costs of maintaining the central office of the Federal Service for Financial Markets and its territorial bodies is carried out at the expense of the funds provided for in the federal budget.
12. The Federal Service for Financial Markets is a legal entity, has a seal with the State Emblem of the Russian Federation and with its name, other seals, stamps and letterheads of the established form, as well as accounts opened in accordance with the legislation of the Russian Federation.
13. The location of the Federal Service for Financial Markets is Moscow.