II. Qualification requirements for financial market specialists
FEDERAL SERVICE FOR FINANCIAL MARKETS
ORDER
On approval of the Regulations on specialists financial market
Document as amended by:
(Russian newspaper, N 114, 05/30/2011);
(Rossiyskaya Gazeta, N 183, 08/19/2011);
(Rossiyskaya Gazeta, N 153, 07/06/2012);
(Bulletin of normative acts federal bodies executive branch, N 32, 12.08.2013).
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In accordance with paragraph 14 of Article 42 and paragraph 10 of Article 44 of Federal Law No. 39-FZ of April 22, 1996 "On the Securities Market" (Collection of Legislation Russian Federation, 1996, N 17, article 1918; 1998, N 48, article 5857; 1999, N 28, article 3472; 2001, N 33, art. 3424; 2002, N 52, art. 5141; 2004, N 27, article 2711; N 31, art. 3225; 2005, N 11, article 900; N 25, art. 2426; 2006, N 1, article 5; No. 2, art. 172; N 17, art. 1780; N 31, art. 3437; N 43, art. 4412; 2007, N 1, article 45; N 18, art. 2117; N 22, art. 2563; N 41, art. 4845; N 50, art. 6247, 6249; 2008, N 44, article 4982; N 52 (part I), art. 6221; 2009, N 1, article 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 November 29, 2001 N 156-FZ "On Investment Funds" (Collected Legislation of the Russian Federation, 2001, N 49, art 4562; 2004, N 27, article 2711; 2006, N 17, article 1780; 2007, N 50, article 6247; 2008, N 30 (part II), article 3616; 2009, N 48, article .5731), paragraph 10 of article 7, paragraph seven of 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, art 2071; 2001, N 7, article 623; 2002, N 12, article 1093; 2003, N 2, article 166; 2004, N 49, article 4854; 2005, N 19, article 1755; 2007, No. 50, article 6247; 2008, No. 18, article 1942; No. 30 (part II), article 3616; 2009, No. 29, article 3619; No. 48, article 5731; No. 52 (part I ), art. 6450, 6454), subparagraph 1 of paragraph 3 of Decree of the Government of the Russian Federation of November 4, 2003 N 669 "On the authorized federal executive body exercising state regulation of the activities of non-state pension funds for non-state pension provision, compulsory pension insurance and professional pension insurance, supervision and control over these activities" (Sobraniye Zakonodatelstva Rossiyskoy Federatsii, 2003, N 45, Art. 4388; 2006, N 2, Art. 226; 2007, N 12, Art. 1414; 2010 , N 4, art. 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 Financial Markets Service, approved by Decree of the Government of the Russian Federation of 06/30/2004 N 317 (Collection of Legislation of the Russian Federation, 2004, N 27, item 2780; 2005, N 33, item 3429; 2006, N 13, item 1400; N 52, item 5587; 2007, N 12, item 1417; 2008, N 19, item 2192; N 46, art. 5337; 2009, N 3, art. 378; N 6, art. 738),
I order:
1. Approve the attached Regulation on Financial Market Specialists (hereinafter referred to as the Regulation).
2. Determine that:
2.1. Qualification certificates previously issued by the FFMS of Russia and the Federal Securities Commission of Russia and having an unlimited validity remain valid.
2.2. The requirements for the persons specified in paragraphs 1.1-1.3 of Appendix No. 1 to the Regulations do not apply to credit organizations.
2.3. The requirements of paragraphs 3.1.1 and 3.1.3 of the Regulations regarding employees of non-state pension funds engaged in activities for non-state pension provision, compulsory pension insurance and professional pension insurance come into force on 01.10.2010.
2.4. The requirements of paragraph 3 of the Regulation in relation to employees of non-state pension funds engaged in non-state pension provision, compulsory pension insurance and professional pension insurance apply only to persons specified in paragraphs 1.1 and 2 of Appendix No. 1 to the Regulation.
2.5. The requirements of paragraphs 3 and 5 of the Regulations in relation to employees of the joint-stock company investment fund apply only to the person specified in clause 1.1 of Appendix No. 1 to the Regulations.
Supervisor
V.D.Milovidov
Registered
at the Ministry of Justice
Russian Federation
May 6, 2010
registration N 17130
Regulations on Financial Market Specialists
Application
I. General provisions
1. This Regulation establishes:
1.1. qualification requirements for employees specified in Appendix No. 1 to the Regulation (hereinafter referred to as financial market specialists) working in an organization operating as a professional participant in the market valuable papers; 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 non-state pension fund on 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 referred to as 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 cancellation of qualification certificates;
1.4. the grounds and procedure for issuing a duplicate of the 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. deadlines for submitting information to the register of certified persons;
(Paragraph as amended, put into effect on August 23, 2013 by order of the Federal Financial Markets Service of Russia dated May 16, 2013 N 13-41 / pz-n.
1.6. the item is excluded from August 23, 2013 - .
2. For the purposes of this Regulation, an employee specified in Appendix No. 1 to the Regulations means an executive employee (clauses 1.1-1.4 of Appendix No. 1 to the Regulations), a controller (clause 2 of Appendix No. 1 to the Regulations) and a specialist (clause 3 of Appendix No. 1 to the Regulation).
II. Qualification requirements and requirements for professional experience of 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 it in accordance with Appendix No. 2 to the Regulation, while:
3.1.1. the persons specified in paragraphs 1.1, 1.2 and 1.3 of Appendix No. 1 to the Regulation 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 paragraph 1.4 of Appendix No. 1 to the Regulations must have qualification certificates for the type (s) of activity in respect of which (which) the structural subdivision of the organization or its branch performs the functions of carrying out activities in the financial market;
3.1.3. the person specified in paragraph 2 of Appendix No. 1 to the Regulations must have qualification certificates that ensure that the types of activities in the financial market specified in them correspond to 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 that together ensure that the types of activities indicated in them in the field of the financial market correspond to 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 respect of which the functions (functions) are performed in the organization operating in the financial market;
3.1.5. persons specified in paragraphs 1.4 and 3 of Appendix No. 1 to the Regulation, who are employees of a structural unit providing services financial advisor, must have a qualification certificate of a financial market specialist of the first type or a qualification certificate corresponding to it in terms of brokerage, dealer activity in accordance with Appendix No. 2 to the Regulation;
3.1.6. the persons specified in paragraph 1.1 of Appendix No. 1 to the Regulations, who are employees of a joint-stock investment fund, must have a fifth type financial market specialist qualification certificate or a qualification certificate corresponding to it 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 qualification, if less than 3 years have passed from the date of cancellation;
3.3. the presence of higher professional education, confirmed by a document of the state standard of the Russian Federation or the USSR on higher professional education or a document of a foreign state on education and a certificate establishing the equivalence of a document of a foreign state on education to a state document of the Russian Federation on higher professional education issued by the Federal Service for Supervision in the Field 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 Recognizing and Establishing the Equivalence of Documents of Foreign States on Education in the Russian Federation" (in the absence of an appropriate international treaty governing 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.
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Registered by the Ministry of Justice of the Russian Federation on 06/09/2009, registration N 14043.
4. The persons referred to in paragraph 3 of the Regulations do not include employees of structural divisions of the organization and its branch operating in the financial market, whose exclusive function is to maintain accounting, information and technical support for the activities of the organization, implementation economic activity, ensuring the security of the organization, maintaining documentation related to personnel and their movement (HR employees). The requirements of this paragraph do not apply to employees of structural subdivisions of the organization and its branch operating in the financial market, whose exclusive function is to maintain accounting records of an organization engaged in the management of investment funds, mutual investment funds and non-state pension funds.
The exclusivity of the functions performed means the non-combination of the functions performed with other business processes of the organization.
by order of the Federal Financial Markets Service 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 paragraph 1.1 of Appendix No. 1 to the Regulation, with the exception of the heads of a joint-stock investment fund, must have experience in organizations operating in the financial market in making (preparing) decisions on issues in the field of the financial market for 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 carrying out professional activity in the securities market and/or management activities of investment funds, mutual investment funds and non-state pension funds, or the activities of a specialized depository of investment funds, mutual investment funds and non-state pension funds, or self-regulatory organizations of professional participants in the securities market and/or investment management companies 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, subject to the requirements of paragraph 4 of the Regulations;
the persons specified in paragraph 1.1 of Appendix No. 1 to the Regulations - the heads of the joint-stock investment fund must have experience 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 office not lower than the position of the head of a department or other structural subdivision of organizations engaged in professional activities in the securities market and / or activities in the management of investment funds, mutual investment funds and non-state pension funds, or the activities 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 federal the executive authority for the securities market, or foreign organizations operating in the financial market in accordance with the legislation of this foreign state, subject to the requirements of paragraph 4 of the Regulations;
5.2. persons specified in paragraph 1.4 of Appendix No. 1 to the Regulations - employees of a credit institution - the head (s) of the structural unit (s), the exclusive functions of whose employees 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 experience in a position not lower than the position of a specialist of an organization or its branch, which, in accordance with its official duties performed functions that require the availability of a qualification certificate corresponding to the type of activity in the financial market, in respect of which the functions (functions) were performed in an organization operating in the financial market, or a specialist in 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, whose official duties included the preparation of decisions on issues in the field of the financial market, or a specialist of the federal executive body in charge of 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 paragraphs 1.2 and 1.4 of Annex No. 1 to the Regulations - employees of an organization operating 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 clause 3 of Appendix No. 1 to the Regulation;
5.4. the persons specified in paragraph 2 of Annex No. 1 to the Regulations - employees of an organization engaged in the management of investment funds, mutual investment funds and non-state pension funds, or the activities of a specialized depository of investment funds, mutual investment funds and non-state pension funds, must have work experience in organizations operating in the financial market, for 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 clause 3 of Appendix No. 1 to the Regulation;
5.5. for the persons provided for in paragraphs 1 and 2 of Appendix No. 1 to the Regulation - the absence of the fact of working in an organization that operated in the financial market, whose license was canceled and in which the specified person was the person who managed the current activities of this organization, or controller during the period of any of the violations that led to the cancellation of the license (with the exception of 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, put into effect on August 30, 2011 by order of the Federal Financial Markets Service 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 takes a decision to cancel the qualification certificate issued by the FCSM of Russia, the FFMS of Russia or an organization accredited by the FFMS of Russia for attestation of financial market specialists (hereinafter referred to as the accredited organization), a certified person in case 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 these Regulations, including if the performance or non-performance by a certified person of his duties resulted in a violation by the organization (its branch) of the legislation specified in this clause of the Regulation.
7. Violations committed by the financial market specialists specified in paragraphs 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 take a decision to cancel qualification certificates of the said persons.
8. In the event of cancellation of the qualification certificate of a certified person, the FFMS of Russia, within a period not exceeding 5 business days from the date of the said decision, notifies the person whose qualification certificate was canceled, attaching a copy of the relevant order of the FFMS of Russia.
9. Information about canceled certificates is disclosed on the official website of the FFMS of Russia on the Internet in the free access mode for all interested parties within a period not exceeding 10 business days from the date of the said decision.
10. The decision of the FFMS of Russia to annul the qualification certificate may be challenged in court.
IV. Grounds and procedure for issuing a duplicate qualification certificate
(name as amended as of August 30, 2011
by order of the Federal Financial Markets Service of Russia dated June 9, 2011 N 11-27 / pz-n
11. In case of loss or damage to the qualification certificate issued by the FFMS of Russia or the FCSM of Russia, the certified person has the right to apply for a duplicate of it to the FFMS of Russia with an application containing the last name, first name, patronymic*, date of birth, postal address, contact number and the 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 handing over, with a copy of the lost qualification certificate (if any) or an extract from the register of certified persons (if any) or information on the type of the lost certificate or the spoiled qualification certificate, explanations of the reasons for the loss or damage of the qualification certificate and the payment document confirming the fact that the specified person paid the state fee for issuing a duplicate of the certificate, levied in accordance with the legislation of the Russian Federation on taxes and fees (paragraph as amended by effective from August 30, 2011 by order of the Federal Financial Markets Service of Russia dated June 9, 2011 N 11-27 / pz-n.
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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 submits a set of documents drawn up not in accordance with the requirements of clause 11 of the Regulations, the FFMS of Russia within a period not exceeding 20 business 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 paragraph 11 of the Regulations, decides 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 in due course recognizes the lost qualification certificate as invalid and makes appropriate changes to the register of certified persons.
15. The item was excluded from August 30, 2011 by order of the Federal Financial Markets Service of Russia dated June 9, 2011 N 11-27 / pz-n ..
16. The item was excluded from August 30, 2011 by order of the Federal Financial Markets Service of Russia dated June 9, 2011 N 11-27 / pz-n ..
17. The item was excluded from August 30, 2011 by order of the Federal Financial Markets Service of Russia dated June 9, 2011 N 11-27 / pz-n ..
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Clauses 18 and 19 of the previous edition from August 30, 2011 shall be considered as clauses 15 and 16 of this edition, respectively - .
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15. Upon receipt of a duplicate of the qualification certificate, the applicant must present a document confirming his identity and sign the corresponding statement for the document received pz-n.
16. A prerequisite for issuing a duplicate of the qualification certificate to the representative of the applicant is the presence of a power of attorney issued in the prescribed manner (paragraph as amended, put into effect on August 30, 2011 by order of the Federal Financial Markets Service of Russia dated June 9, 2011 N 11-27 / pz-n.
V. Deadlines for submitting information to the register of certified persons
(Name as amended, put into effect on August 23, 2013 by order of the Federal Financial Markets Service of Russia dated May 16, 2013 N 13-41 / pz-n.
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Items 20-36 of the previous edition from August 30, 2011 are considered respectively items 17-33 of this edition - order of the Federal Financial Markets Service of Russia dated June 9, 2011 N 11-27 / pz-n.
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17. The item was excluded from August 23, 2013 - order of the Federal Financial Markets Service of Russia dated May 16, 2013 N 13-41 / pz-n ..
18. The item was excluded from August 23, 2013 - order of the Federal Financial Markets Service of Russia dated May 16, 2013 N 13-41 / pz-n ..
19. The item was excluded from August 23, 2013 - order of the Federal Financial Markets Service of Russia dated May 16, 2013 N 13-41 / pz-n ..
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Clause 20 of the previous edition from August 23, 2013 is considered clause 17 of this edition - order of the FFMS of Russia dated May 16, 2013 N 13-41 / pz-n.
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17. Accredited organizations send to the FFMS of Russia in paper form information about certified persons no later than 5 working days from the date of registration of the qualification certificate and in the form electronic document with an electronic signature no later than 10 working days from the date of registration of the qualification certificate.
(Clause as amended, put into effect on August 30, 2011 by order of the FFMS of Russia dated June 9, 2011 N 11-27 / pz-n; as amended, put into effect 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 surname, name, patronymic, citizenship, place of residence or postal address of the certified person, changes the position, place of work of the certified person, the certified person is obliged, within 30 working days from the date of these changes, to send to the territorial body of the Federal Financial Markets Service of Russia an application to amend the register of certified persons.
(The paragraph was additionally included from August 23, 2013 by order of the Federal Financial Markets Service of Russia dated May 16, 2013 N 13-41/pz-n)
21. The item was excluded from August 23, 2013 - order of the Federal Financial Markets Service of Russia dated May 16, 2013 N 13-41 / pz-n ..
22. The item was excluded from August 23, 2013 - order of the Federal Financial Markets Service of Russia dated May 16, 2013 N 13-41 / pz-n ..
23. The item was excluded from August 23, 2013 - order of the Federal Financial Markets Service of Russia dated May 16, 2013 N 13-41 / pz-n ..
24. The item was excluded from August 23, 2013 - order of the Federal Financial Markets Service of Russia dated May 16, 2013 N 13-41 / pz-n ..
25. The item was excluded from August 23, 2013 - order of the Federal Financial Markets Service 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 Federal Financial Markets Service of Russia dated May 16, 2013 N 13-41 / pz-n ..
Appendix N 1. Financial market specialists who must meet the qualification requirements of the FFMS of Russia
Appendix No. 1
to the Regulation
1. Leading employee:
1.1. manager - an employee of an organization operating in the financial market, appointed to a position in accordance with the established procedure in accordance with the organization's constituent documents, performing the functions of 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, manages 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 appropriate position in the prescribed manner, whose job responsibilities include making decisions in the field of financial markets Russia dated June 9, 2011 N 11-27 / pz-n;
1.4. the head of a structural unit, as well as the 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 official duties, manages the structural unit of the organization or its branch, whose functions refers to carrying out activities in the financial market, including the maintenance of internal accounting of transactions and operations with securities and derivative financial instruments -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, responsible for maintaining internal control over the organization or its branch activities in the financial market ( deputy head for internal control, branch controller, controller).
3. Specialist - an employee of an organization or its branch, who, in accordance with his official duties, directly related to the implementation of activities in the financial market, performs, among other things, any of the functions listed below (paragraph as amended as of August 30, 2011 year by order of the Federal Financial Markets Service of Russia dated June 9, 2011 N 11-27 / pz-n:
3.1. in an organization that carries out brokerage, dealer activity 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 agreements that are derivative financial instruments, and / or the implementation of transactions with securities and / or in the conclusion of agreements that are derivative financial instruments: on behalf of the organization and for it check; on behalf of clients and at the expense of clients; on behalf of the organization and at the expense of customers (clause as amended, put into effect on August 30, 2011 by order of the Federal Financial Markets Service of Russia dated June 9, 2011 N 11-27 / pz-n;
3.1.2. participates in the consideration of documents related to the implementation of transactions with securities, funds intended for transactions with securities and / or the conclusion of agreements that are derivative financial instruments in the interests of the founder of the management, and the implementation of transactions with securities, funds intended for transactions with securities and/or conclusion of agreements that are derivative financial instruments in the interests of the founder of the management
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 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 issue-grade securities;
3.1.6. maintains internal accounting (the item was 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);
3.1.7. fills out reports for submission to the federal executive body for the securities market, trade organizers (the item was 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 evidence of clearing results;
3.2.2. fills in reports for submission to the federal executive body for the securities market;
(Clause 3.2 as amended, put into effect on August 30, 2011 by order of the Federal Financial Markets Service 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 (activities stock exchange):
3.3.1. participates in the disclosure of information 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, put into effect on August 30, 2011 by order of the Federal Financial Markets Service of Russia dated June 9, 2011 N 11-27 / pz-n.
3.4. in an organization engaged in maintaining the register of securities holders:
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 the performance of related operations on the personal accounts of registered persons by order of the Federal Financial Markets Service 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 notices of refusals;
3.4.3. signs extracts from the system for maintaining the register of securities holders;
3.4.4. signs certificates of operations for personal account registered person;
3.4.5. fills out reports for submission to the federal executive body for the securities market (the item was 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 customer depo accounts, and/or conducting operations on customer depo accounts 2011 N 11-27 / pz-n;
3.5.2. participates in the preparation of refusals to make entries on clients' securities accounts and/or signs refusal notices;
3.5.3. signs reports and statements on clients' depo accounts (clause as amended, put into effect on August 30, 2011 by order of the Federal Financial Markets Service of Russia dated June 9, 2011 N 11-27 / pz-n;
3.5.4. interacts with the registrar when the organization performs the functions of a nominal holder of securities (the item was 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 was 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 Federal Financial Markets Service of Russia dated April 5, 2011 N 11-9 / pz-n.
3.6. in an organization engaged in the management of investment funds, mutual investment funds and non-state pension funds:
3.6.1. participates in the preparation of outgoing documents of the organization regarding the implementation of operations related to the management of investment reserves of a joint-stock investment fund, property constituting a unit investment fund, pension reserves of a non-state pension fund or property in which funds are invested pension savings or savings for military housing, and / or their signing;
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 as part of the property constituting a mutual investment fund, or securities in which pension reserves of a non-state pension fund are placed or funds of pension funds are invested savings or savings for the housing of military personnel, and / or their signing;
3.6.3. participates in the preparation of outgoing documents of the organization relating to the implementation of operations 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 maintenance of military personnel are invested, including number of documents sent to the FFMS of Russia as part of the daily, monthly and quarterly reports established by the 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 of 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 transactions related to the storage and accounting of rights to securities belonging to a joint-stock investment fund, securities as part of the property constituting a mutual investment fund, or securities in which pension reserves of a non-state pension fund are placed or invested in pension savings, military housing savings or funds constituting mortgage coverage, and / or their signing;
3.7.2. participates in the preparation of outgoing documents of the organization relating to the implementation of operations related to the accounting 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, savings for housing for military personnel or funds are invested , constituting the mortgage coverage, and / or their signing;
3.7.3. participates in the preparation of documents containing the calculation of indicators in order to monitor compliance with management company the requirements of the legislation of the Russian Federation, as well as the charter and investment declaration of a joint-stock investment fund, the terms of an agreement with a joint-stock investment fund and the rules for trust management of a unit investment fund, compliance with the requirements for the structure investment portfolio 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 the specialized depository to debit Money 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 maintenance of military personnel are invested;
3.7.5. participates in the notification of the Federal Financial Markets Service of Russia and other federal executive authorities about violations identified in the exercise of control functions by the specialized depository, and about their elimination (non-elimination);
3.7.6. participates in the preparation of outgoing documents of the organization relating to the implementation of operations related to the transfer of ownership of the investment shares of a unit investment fund, and / or their signing;
3.7.7. participates in the preparation of documents confirming the ownership right of a registered person to investment units of a unit investment fund, and documents on transactions performed and / or their signing.
Annex N 2. Table of correspondence between old-style certificates and new-type certificates
Appendix No. 2
to the Regulation
Qualification certificate issued by the Federal Financial Markets Service/Federal Commission for the Securities Market (old-style certificate) | Qualification certificate of a financial market specialist issued by accredited organizations (new model certificate) | ||
certificate indicating qualifications corresponding to the position of the head or controller of an organization engaged in brokerage and (or) dealer activities and (or) trust management of securities | certificate of the first type | full compliance |
|
certificate indicating qualifications corresponding to the position of the head or controller of an organization engaged in brokerage and/or dealer activities and/or trust management of securities | certificate of the first type | full compliance |
|
certificate of the first type | full compliance |
||
certificate indicating qualifications corresponding to the position of the head or controller of an organization engaged in brokerage and / or dealer activities and / or securities management | certificate of the first type | full compliance |
|
certificate indicating the qualification "specialist of an organization engaged in brokerage and (or) dealer activities and (or) trust management of securities" | certificate of the first type | full compliance |
|
certificate indicating the qualification "specialist of an organization engaged in brokerage and/or dealer activities and/or trust management of securities" | certificate of the first type | full compliance |
|
certificate indicating the qualification "specialist of an organization engaged in brokerage and (or) dealer activities and (or) management of securities" | certificate of the first type | full compliance |
|
certificate indicating the qualification "specialist of an organization engaged in brokerage and / or dealer activities and / or securities management" | certificate of the first type | full compliance |
|
certificate indicating the qualification "SECURITIES MARKET SPECIALIST" in specialization in the field of the securities market: brokerage, dealer activities and securities management activities | certificate of the first type | full compliance |
|
certificate indicating the qualification "FINANCIAL MARKET SPECIALIST" in the field of financial market: brokerage, dealer activities and securities management activities | certificate of the first type | full compliance |
|
Brokerage and/or dealer activity | certificate of the first type | ||
certificate indicating the qualification "top, middle manager, controller and specialist of an organization engaged in brokerage, dealer activities" | certificate of the first type | compliance in terms of brokerage, dealer activities |
|
certificate indicating the qualifications corresponding to the position of the head, or controller, or specialist of the organization engaged in the activities of managing securities and / or management companies | certificate of the first type | ||
investment, mutual investment funds and other forms of collective investment | certificate of the fifth type | full compliance |
|
a certificate indicating qualifications corresponding to the position of the head, or controller, or specialist of organizations engaged in securities management activities, as well as activities for | certificate of the first type | compliance in terms of securities management activities |
|
management of investment funds, mutual investment funds and non-state pension funds | certificate of the fifth type | full compliance |
|
a certificate indicating qualifications corresponding to the position of the head, or controller, or specialist of an organization engaged in organizing trade (activities of the stock exchange) and clearing activities | certificate of the second type | full compliance |
|
certificate of the second type | full compliance |
||
certificate indicating the qualification "SPECIALIST OF THE SECURITIES MARKET" in specialization in the field of the securities market: organization of trade (activities of the stock exchange) and clearing activities | certificate of the second type | full compliance |
|
certificate indicating the qualification "FINANCIAL MARKET SPECIALIST" in the field of financial market: activity of the organizer of trade in the securities market (activities of the stock exchange) and clearing activities | certificate of the second type | full compliance |
|
a certificate indicating qualifications corresponding to the position of the head or controller of an organization engaged in organizing trade (stock exchange) | certificate of the second type | ||
a certificate indicating qualifications corresponding to the position of the head or controller of an organization carrying out activities for the organization of trade (activities of the stock exchange) | certificate of the second type | 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 engaged in organizing trade (stock exchange)" | certificate of the second type | 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 engaged in organizing trade (activities of the stock exchange)" | certificate of the second type | 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 the organization carrying out activities for the organization of trade (activities of the stock exchange) | certificate of the second type | compliance in terms of the activities of the organizer of trade in the securities market (activities of the stock exchange) |
|
a certificate indicating the qualifications corresponding to the position of the head or controller of the organization carrying out the clearing and (or) | certificate of the second type | ||
depository activities or maintaining registers of owners of registered securities | certificate of the third type | full compliance |
|
certificate of the fourth type | full compliance |
||
a certificate indicating qualifications corresponding to the position of the head or controller of the organization carrying out clearing and | certificate of the second type | compliance in terms of clearing activities |
|
(or) depository or registry activities | certificate of the third type | full compliance |
|
certificate of the fourth type | full compliance |
||
certificate of the second type | compliance in terms of clearing activities |
||
maintenance of registers of holders of registered securities | certificate of the third type | full compliance |
|
certificate of the fourth type | 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 | certificate of the second type | compliance in terms of clearing activities |
|
keeping registers of holders of registered securities | certificate of the third type | full compliance |
|
certificate of the fourth type | full compliance |
||
a certificate indicating qualifications corresponding to the position of the head, or controller, or specialist of the organization carrying out | certificate of the second type | compliance in terms of clearing activities |
|
clearing and (or) depository activities or keeping registers | certificate of the third type | full compliance |
|
holders of registered securities | certificate of the fourth type | full compliance |
|
a certificate indicating qualifications corresponding to the position of the head, or controller, or specialist of the organization carrying out | certificate of the second type | compliance in terms of clearing activities |
|
clearing and (or) depositary activities or activities for maintaining | certificate of the third type | full compliance |
|
registers of holders of registered securities | certificate of the fourth type | full compliance |
|
certificate indicating the qualifications corresponding to the position of the head, or controller, or specialist of the organization engaged in maintaining registers of registered securities holders | certificate of the third type | full compliance |
|
certificate indicating the qualification "top, middle manager, controller and specialist of an organization engaged in organizing trade (activities of the stock exchange) and clearing activities" | certificate of the third type | full compliance |
|
certificate indicating the qualification "SPECIALIST OF THE SECURITIES MARKET" on specialization in the field of the securities market: maintaining registers of registered securities holders | certificate of the third type | full compliance |
|
certificate indicating the qualification "FINANCIAL MARKET SPECIALIST" in specialization in the field of the financial market: activities for maintaining the register of securities holders | certificate of the third type | full compliance |
|
certificate indicating the qualifications corresponding to the position of the head, or controller, or specialist of the organization carrying out depositary activities | certificate of the fourth type | full compliance |
|
certificate indicating the qualification "top, middle manager, controller and specialist of the organization carrying out depositary activities" | certificate of the fourth type | full compliance |
|
certificate indicating the qualification "SPECIALIST OF THE SECURITIES MARKET" on specialization in the field of the securities market: depository activity | certificate of the fourth type | full compliance |
|
certificate indicating the qualification "FINANCIAL MARKET SPECIALIST" in the field of financial market: depository activity | certificate of the fourth type | full compliance |
|
certificate indicating the qualification "specialist of the management company" | certificate of the fifth type | full compliance |
|
certificate indicating the qualification "specialist of the management company of a mutual investment fund" | certificate of the fifth type | full compliance |
|
certificate indicating qualifications corresponding to the position of the head, or controller, or specialist of an organization engaged in securities management and / or management companies of investment, mutual investment funds and other forms of collective investment | certificate of the fifth type | full compliance |
|
a certificate indicating the qualifications corresponding to the position of the head, or controller, or specialist of organizations engaged in the management of securities, as well as the management of investment funds, mutual investment funds and non-state pension funds | certificate of the fifth type | full compliance |
|
a certificate indicating the qualification "top, middle manager, controller and specialist of an organization engaged in the management of securities, as well as the management of investment funds, mutual investment funds and non-state pension funds" | certificate of the fifth type | full compliance |
|
certificate indicating the qualification "SPECIALIST OF THE SECURITIES MARKET" in specialization in the field of the securities market: management of investment funds, mutual investment funds and non-state pension funds | certificate of the fifth type | full compliance |
|
certificate indicating the qualification "FINANCIAL MARKET SPECIALIST" in the field of financial market: management of investment funds, mutual investment funds and non-state pension funds | certificate of the fifth type | full compliance |
|
certificate indicating the qualification "specialist of a specialized depository" | certificate of the sixth type | full compliance |
|
certificate indicating the qualification "specialist of a specialized depository of a unit investment fund" | certificate of the sixth type | full compliance |
|
certificate indicating the qualification "specialist of a specialized depository of an investment fund and unit investment fund" | certificate of the sixth type | full compliance |
|
certificate indicating qualifications corresponding to the position of the head or specialist of a specialized depository of investment funds, mutual investment funds and non-state pension funds | certificate of the sixth type | full compliance |
|
certificate indicating the qualifications corresponding to the position of the head or specialist of organizations operating as a specialized depository of investment funds, mutual investment funds and non-state pension funds | certificate of the sixth type | full compliance |
|
certificate indicating the qualification "top, middle manager and specialist of an organization operating as a specialized depository of investment funds, mutual investment funds and non-state pension funds" | certificate of the sixth type | full compliance |
|
certificate indicating the qualification "SPECIALIST OF THE SECURITIES MARKET" on specialization in the field of the securities market: the activities of specialized depositories of investment funds, mutual investment funds and non-state pension funds | certificate of the sixth type | full compliance |
|
certificate indicating the qualification "FINANCIAL MARKET SPECIALIST" in specialization in the field of the financial market: the activities of specialized depositories of investment funds, mutual investment funds and non-state pension funds | certificate of the sixth type | full compliance |
Revision of the document, taking into account
changes and additions prepared
JSC "Kodeks"
5.1. availability of a qualification certificate in a 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 in the specialization corresponding to the type of activity in the financial market carried out by the organization, which is the main place of work of the said persons, - for the persons provided for in Section II of Appendix No. 1 to this Regulation;
(as amended by the Order of the Federal Financial Markets Service of the Russian Federation dated 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 from the date of cancellation.
6. The persons specified in sections I and Appendix N 1 to this Regulation, in addition to the requirements established by paragraph 5 of this Regulation, must meet the following requirements:
6.1. for the persons provided for in paragraph 1.1 of Appendix No. 1 to this Regulation - having experience as the 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 market and collective investments ( Further - self-regulatory organization), the Federal Commission on the Securities Market, Federal Service, their territorial bodies, the Ministry of Finance of the Russian Federation, financial bodies of the constituent entities of the Russian Federation, Central Bank the Russian Federation, whose official duties included the adoption (preparation) of decisions on issues directly related to specialization in the field of the financial market - at least one year;
6.2. for the persons provided for in sections I and Appendix No. 1 to this Regulation - the absence of the fact of working in an organization that operated in the financial market, whose license was canceled and in which the specified person was the person who managed the current activities of this organization, or by the controller during the period of the violation that led to 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 from the date of cancellation of the license.
7. If an organization carries out several types of activities in the financial market or intends to do so, and this organization sends an appropriate application to the Federal Service, then:
7.1. the persons specified in paragraphs 1.1 - 1.3 of Appendix No. 1 to this Regulation must have a qualification certificate for specialization in the field of the financial market, corresponding to one of the types of activity of the organization in the financial market;
7.2. the controller must have qualification certificates that ensure that the specializations indicated in them in the field of the financial market correspond to all types of activities of the organization in the financial market.
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 this Regulation, working in an organization - professional participant the securities market, an organization engaged in the management of investment funds, mutual investment funds and non-state pension funds, or an organization operating a specialized depository of investment funds, mutual investment funds and non-state pension funds (hereinafter referred to as the organization operating in the financial market), or an organization intending to operate in the financial market if this organization sends a corresponding application to the Federal Service for Financial Markets (hereinafter referred to as the Federal Service);
1.2. procedure for certification;
1.3. the procedure for maintaining the register of certified persons (hereinafter referred to as the Register);
1.4. procedure and grounds for cancellation of 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 in the securities market (activity of a stock exchange) and clearing activities;
2.3. activity on maintenance of the register of holders of securities;
2.4. depository activity;
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 investment funds and non-state pension funds.
3. Certification of applicants is carried out by the Federal Service in the form of qualifying examinations and the issuance of 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 accepts following solutions in the field of certification:
4.1. on the assignment of a qualification to the applicant and the issuance of a qualification certificate to him;
4.2. on the refusal of the applicant in the assignment of qualifications;
4.3. on reviewing the result of the qualification exam in relation to the applicant;
4.4. on the refusal of the applicant to revise the result of the qualifying exam;
4.5. on inclusion in the register of certified persons of a person previously excluded from the specified register;
4.6. on issuance of a duplicate qualification certificate to a certified person;
4.7. on making changes to the qualification certificate of a certified person;
4.8. on the annulment of the qualification certificate of a certified person.
II. Qualifying requirements
to financial market specialists
5. Financial market specialists must meet the following qualification requirements:
5.1. possession of a qualification certificate of the Federal Service or the Federal Commission for the Securities Market in a 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 with a specialization corresponding to the type of activity in the financial market carried out by the organization that is the main place of work of the said persons - for the persons provided for in Section II of Annex No. 1 to these Regulations;
5.3. the presence of higher education (with the exception of persons provided for in section III Annex 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 from the date of cancellation.
6. The persons specified in sections I and II of Annex 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 the persons provided for in paragraph 1.1 of Appendix No. 1 to this Regulation - work experience as the 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 market and collective investments ( hereinafter referred to as 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, the financial bodies of the constituent entities of the Russian Federation, the Central Bank of the Russian Federation, whose official duties included making (preparing) decisions on issues directly related to specialization in the field of the financial market - at least one year;
6.2. for the persons provided for in sections I and II of Annex No. 1 to this Regulation - the absence of the fact of working in an organization that operated in the financial market, whose license was canceled and in which the specified person was the person who managed the current activities of this organization, or by the controller during the period of the violation that led to 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 from the date of cancellation of the license.
7. If an organization carries out several types of activities in the financial market or intends to do so, and this organization sends an appropriate 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 types of activity of the organization in the financial market;
7.2. the controller must have qualification certificates that ensure that the specializations indicated in them in the field of the financial market correspond to all types of activities of the organization in the financial market.
III. Order certification
8. Certification of applicants is carried out by conducting (taking) two qualification exams (basic and specialized), awarding qualifications and issuing a qualification certificate.
9. Qualification exams are held in accordance with the Regulations for conducting qualification exams in accordance with Appendix No. 2 to this Regulation.
10. Exam questions for qualifying exams are generated in the form of a test by random sampling from the database of exam questions for qualifying exams.
The database of examination questions is maintained in the manner approved by the order of the Federal Service.
11. Exam questions for qualification exams are formed in accordance with the lists of topics of examination questions, the standard of tests of examination 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 exam questions for knowledge theoretical foundations financial market and applied industry scientific disciplines, the qualification minimum should include a list of recommended literature to prepare for the qualifying exam.
14. Successful passing of the basic qualification exam is the basis for the applicant's admission to the specialized qualification exam.
15. Successful passing of a specialized qualification exam is the basis for awarding the applicant the qualification "specialist of the financial market".
16. The Federal Service conducts (administers) the basic qualification exam and the following specialized qualification exams:
16.1. a specialized qualification exam for financial market specialists in brokerage, dealer activities and securities management activities (hereinafter referred to as the exam of the first series);
16.2. a specialized qualification exam for financial market specialists on the organization of trading in the securities market (activities of stock exchanges) and clearing activities (hereinafter referred to as the exam of the second series);
16.3. a specialized qualification exam for financial market specialists in maintaining a register of securities holders (hereinafter referred to as the exam of the third series);
16.4. a specialized qualification exam for financial market specialists in depository activities (hereinafter referred to as the exam of the fourth series);
16.5. a specialized qualification exam for financial market specialists in managing investment funds, mutual investment funds and non-state pension funds (hereinafter referred to as the exam of the fifth series);
16.6. a specialized qualification exam for financial market specialists on the activities of specialized depositories of investment funds, mutual funds and non-state pension funds (hereinafter referred to as the sixth series exam).
17. All qualifying exams are held in one stage. The duration of the basic qualification exam and the exam of the fifth series cannot exceed one hundred and twenty minutes. The duration of the examinations of the first - fourth and sixth series cannot exceed sixty minutes.
18. The basic qualification exam is a test of examination questions for general knowledge of the regulatory legal acts regulating financial markets and the ability to make simple calculations using the tools of such branch scientific disciplines as mathematical economics, economic statistics, economic and financial analysis.
19. A specialized qualification exam is a test of examination questions for in-depth knowledge of the regulatory legal acts regulating the relevant specialization in the field of the financial market.
20. Ensuring the organizational and technical conditions for taking qualification exams, reviewing the results of qualification exams (hereinafter referred to as the appeal), acceptance of 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 qualifying examinations are approved by order of the Federal Service.
21. Technical support admission of qualification examinations is carried out by examination centers.
The requirements for examination centers, as well as the list of examination centers, are determined by orders of the Federal Service.
22. In order to organize preparatory work and take qualifying examinations, the Federal Service, on the proposals of its territorial bodies, approves the composition of examination commissions. The order of work of the examination commissions is approved by the order of the Federal Service.
23. Applicants who have sent the following documents to one of the territorial bodies are allowed to take the qualification exam:
23.1. an application form for an applicant for a qualification certificate in the form in accordance with Appendix No. 3 (Pril_3.doc 27KB) to this Regulation;
23.2. an extract from the protocol 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 passing a specialized qualification exam;
23.3. a copy of a state document on higher professional education, and for applicants who have 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 with a diploma of higher professional education of the Russian Federation, issued by the federal executive body in the field of education (hereinafter - the document on higher education), - if the applicant has a higher education.
24. The grounds for refusing admission to qualifying examinations are:
24.1. the presence of inaccurate information in the application form submitted by the applicant;
24.2. non-submission by the applicant of the documents provided for in paragraph 23 of these Regulations;
24.3. the failure of the applicant to pass the basic qualification exam or the absence of the documents provided for in paragraph 23.2 of these Regulations - for admission to the specialized qualification exam;
24.4. cancellation of the qualification certificate of the applicant, if less than three years have passed from the date of such cancellation;
24.5. the job of an applicant in an organization that carried out activities in the financial market and whose license was canceled, as a person who managed the current activities of such an organization, or as a controller during the period of the violation that led to the cancellation of the license (except for cases of cancellation of a license on the basis of an application said organization) if less than three years have elapsed from the date of such cancellation.
25. An applicant who has scored from 80 to 100 points in passing the qualifying exam is considered to have passed the qualifying exam.
26. The results of the qualification exam are approved by the minutes of the examination committee and are 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 has successfully passed the basic qualification exam, the provision of organizational and technical conditions for the admission of which was carried out by the territorial body, and intends to submit documents to another territorial body for passing a specialized qualification exam, 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 taking the basic exam provides an extract from the protocol of the examination committee on the results of passing the basic qualification exam.
28. An applicant who has not passed the qualifying exam has the right to appeal.
29. The applicant's application for appeal is sent to any territorial authority 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 regarding him.
30. The Federal Service, within a period not exceeding 20 working days from the date of successful passing by the applicant (appeal) of the specialized qualification exam, decides on the assignment of qualifications to the applicant and the issuance of a qualification certificate to him.
(Pril_4.doc 21 KB) to this Regulation and sends it to the territorial body that provided the organizational and technical conditions for the qualification exam, for issuance to a certified person.
31. In case of loss or damage to the qualification certificate of a certified person, upon his application, drawn up in the form in accordance with Appendix No. 5 (Pril_5.doc 21KB) to this Regulation (with the qualification certificate attached) and sent to any territorial body, the Federal Service on time, not exceeding 20 working days from the date of receipt of the said application by the Federal Service, makes a decision to issue a duplicate of the 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 a territorial body for issuance to a 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 (Pril_6.doc 21KB) to this Regulation (with the qualification certificate and a copy of the document confirming such a change) and sent to any territorial body, the Federal Service, within a period not exceeding 20 working days from the date of receipt of the said 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 a certified person, makes appropriate changes to the qualification certificate by reissuing it and sends it to the territorial body for issuance to a certified person.
33. In order to exchange a qualification certificate of a securities market specialist in corporate finance for a qualification certificate of a financial market specialist 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 (Pril_7.doc 21KB) to this Regulations with the application of the qualification certificate of a securities market specialist in 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 paragraph 33 of these Regulations, makes a decision on the assignment of qualifications to the applicant and the issuance of a qualification certificate to him.
The Federal Service, within a period not exceeding 20 working days from the date of the decision to award qualifications to the applicant and issue him a qualification certificate, draws up a qualification certificate in the form in accordance with Appendix No. 4 (Pril_4.doc 21 KB) to this Regulation and sends it to the territorial authority for issuance to a certified person.
35. Upon receipt of a qualification certificate (a duplicate of a qualification certificate), a certified person must present an identity document, submit payment order with a note from the bank on its execution (in case of payment of the state fee without cash) or a receipt of the established form issued to the payer by the bank (when paying the state fee in cash), which (which) confirms the fact that the specified person has paid the state fee levied in accordance with the legislation of the Russian Federation on taxes and fees for issuing a certificate (duplicate certificate; making changes in the certificate), and sign the statement for the qualification certificate he received (duplicate of the qualification certificate).
A prerequisite for issuing a qualification certificate (a duplicate of a qualification certificate) to a representative of a certified person is the presence of a power of attorney drawn up in the prescribed manner.
IV. Order of conduct register of certified persons
36. To record and control the issued qualification certificates, the Federal Service maintains a Register.
37. The register contains the following data about each certified person:
37.1. Full Name; passport data (identity document data): name, series, number and date of issue and 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. date and number of the order of the Federal Service on the assignment of qualifications to the applicant and the issuance of a qualification certificate to him 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 on the assignment of qualifications to the applicant and the issuance of a qualification certificate to him;
37.3. name of specialization in the field of financial market;
37.4. series and number of the form of the qualification certificate;
37.5. date and number of the order of the Federal Service to cancel the qualification certificate of a certified person or the order of the Federal Service (order of the Federal Commission for the Securities Market) to approve the decision of the Certification Commission to cancel the qualification certificate of a certified person (for persons in respect of whom a decision was made to cancel the qualification certificate );
37.6. date and number of the order of the Federal Service (order of the Federal Commission for the Securities Market) on approval of the decision of the Attestation Commission to exclude the certified person from the Register (for persons in respect of whom the decision was made to exclude from the Register);
37.7. date and number of the order of the Federal Service on inclusion in Register of persons a, previously excluded from the Register, or an order of the Federal Service (order of the Federal Commission for the Securities Market) on approval of 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 on inclusion 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 persons specified in sections I and II of Annex No. 1 to this Regulation);
37.9. the position held by a certified person in an organization operating in the financial market (for persons specified in Sections I and II of Appendix No. 1 to this Regulation).
38. Data on certified persons and issued qualification certificates(duplicates of qualification certificates) are entered into the Register by the Federal Service at the time of issuance of the qualification certificate (duplicate of the qualification certificate).
39. In the event of a change in the last name, first name, patronymic, passport data, registration data (stay data) and the Register data specified in clauses 37.8 and 37.9 of this Regulation (for persons specified in sections I and II of Appendix No. 1 to this Regulation), as well as receiving the first higher professional education, a certified person, within a period not exceeding one month from the date of occurrence of these changes (events), is obliged to send an application to any territorial body in the form in accordance with Appendix No. 8 (Pril_8.doc 22KB) to this Regulation with a copy attached qualification certificate and documents confirming these changes (copy of passport, copy of marriage certificate, copy of work book, copy of diploma of higher professional education).
The territorial authority, within a period not exceeding 20 working days from the date of receipt of the said application, shall make the submitted changes to the Register or send a reasoned refusal to the certified person to make the said changes in case of revealing incomplete or inaccurate information or failure to submit the said documents.
V. Grounds and cancellation policy
qualification certificates
40. The Federal Service makes a decision to annul the qualification certificate of a qualified 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 paragraph 40 of this Regulation, 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 a certified person.
42. In case of cancellation of the qualification certificate, the Federal Service, within a period not exceeding 10 working days from the date of the adoption of the said decision, notifies the person whose qualification certificate was canceled.
VI. Disclosure procedure information contained
in the register of certified persons
43. In order to provide interested persons with access to information about persons meeting 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. the data specified in paragraphs 37.2 - 37.7 of this Regulation.
44. To obtain an extract from the Register on the composition of the disclosed information about a certified person in the form in accordance with Appendix No. 9 (Pril_9.doc 22KB) to this Regulation, an interested person has the right to apply in writing to any territorial body for the issuance of the said extract.
An obligatory condition for the interested person to receive this extract is the submission to the territorial body of a payment order with a bank note on its execution (upon payment of the state fee levied in non-cash form) or a receipt of the established form issued to the payer by the bank (when paying the state fee in cash), which (which) confirms the fact of payment by the specified person of the state fee levied in accordance with the legislation of the Russian Federation on taxes and fees for the collection of documents.
45. Copies of documents submitted in accordance with these 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 federal law No. 39-FZ of April 22, 1996 "On the Securities Market" (Sobranie Zakonodatelstva Rossiyskoy Federatsii, 1996, No. 17, Art. 1918; 1998, No. 48, Art. 5857; 1999, No. 28, Art. 3472; 2001, N 33, item 3424; 2002, N 52, item 5141; 2004, N 27, item 2711; N 31, item 3225; 2005, N 11, item 900), paragraph 2 of article 55 of the Federal Law of 29.11. 2001 N 156-FZ "On Investment Funds" (Sobranie Zakonodatelstva Rossiyskoy Federatsii, 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 Government Decree of the Russian Federation dated June 30, 2004 N 317 (Collected Legislation of the Russian Federation, 2004, N 27, Art. 2780), order:
1. Approve the attached Regulation on Financial Market Specialists (hereinafter referred to as the Regulation)*.
2. Determine that:
2.1. Qualifications imposed on the persons specified in paragraphs 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 Financial Markets Service after three years from the date of cancellation of the licenses of organizations operating in the financial market in which these persons worked, provided that they send to the Federal Financial Markets Service of the corresponding application with a copy of the qualification certificate or on the basis of a judicial act.
2.3. Qualification certificates issued by the Federal Commission for the Securities Market and the Federal Financial Markets Service prior to the entry into force of this order and having an indefinite nature of validity shall remain valid.
2.4. Holders of qualification certificates of a securities market specialist in 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 field of the financial market in the manner specified in clauses 33 and 34 of the Regulations.
3. Decree of the Federal Commission for the Securities Market of December 24, 2003 N 03-47/ps "On Specialists of the Securities Market" (registered by the Ministry of Justice of the Russian Federation on February 4, 2004, registration N 5525) is not applied from the effective date 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 effective dates are established in this Order.
Qualification requirements for financial market specialists who are employees of credit institutions shall enter into force one year after the effective date 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. To impose control over the execution of this order on the Deputy Head of the Federal Service for Financial Markets V.Yu. Streltsov.
Supervisor
O. Vyugin
* Published according to the "Bulletin of normative acts of federal executive bodies" N 23 of June 6, 2005
Regulations on Financial Market Specialists
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 this Regulation, working in an organization - a professional participant in the securities market, an organization engaged in the management of investment funds, mutual investment funds and non-state pension funds, or an organization acting as a specialized depository of investment funds, unit investment funds and non-state pension funds (hereinafter referred to as the organization operating in the financial market), or an organization intending to operate in the financial market if this organization sends a corresponding application to the Federal Service for Financial markets (hereinafter referred to as the Federal Service);
1.2. procedure for certification;
1.3. the procedure for maintaining the register of certified persons (hereinafter referred to as the Register);
1.4. procedure and grounds for cancellation of 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 in the securities market (activity of a stock exchange) and clearing activities;
2.3. activity on maintenance of the register of holders of securities;
2.4. depository activity;
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 investment funds and non-state pension funds.
3. Certification of applicants is carried out by the Federal Service in the form of qualifying examinations and the issuance of 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 attestation:
4.1. on the assignment of a qualification to the applicant and the issuance of a qualification certificate to him;
4.2. on the refusal of the applicant in the assignment of qualifications;
4.3. on reviewing the result of the qualification exam in relation to the applicant;
4.4. on the refusal of the applicant to revise the result of the qualifying exam;
4.5. on inclusion in the register of certified persons of a person previously excluded from the specified register;
4.6. on issuance of a duplicate qualification certificate to a certified person;
4.7. on making changes to the qualification certificate of a certified person;
4.8. on the annulment of the qualification certificate of a certified person.
II. Qualification requirements for financial market specialists
5. Financial market specialists must meet the following qualification requirements:
5.1. possession of a qualification certificate of the Federal Service or the Federal Commission for the Securities Market in a 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 with a specialization corresponding to the type of activity in the financial market carried out by the organization that is the main place of work of the said persons - for the persons provided for in Section II of Annex 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 from 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 the persons provided for in paragraph 1.1 of Appendix No. 1 to this Regulation - having experience as the 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 market and collective investments ( hereinafter referred to as 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, the financial bodies of the constituent entities of the Russian Federation, the Central Bank of the Russian Federation, whose official duties included making (preparing) decisions on issues directly related to specialization in the field of the financial market - at least one year;
6.2. for the persons provided for in Sections I and II of Appendix No. 1 to this Regulation - the absence of the fact of working in an organization that operated in the financial market, whose license was canceled and in which the specified person was the person who managed the current activities of this organization, or by the controller during the period of the violation that led to 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 from the date of cancellation of the license.
7. If an organization carries out several types of activities in the financial market or intends to do so, and this organization sends an appropriate application to the Federal Service, then:
7.1. the persons specified in paragraphs 1.1 - 1.3 of Appendix No. 1 to this Regulation must have a qualification certificate for specialization in the field of the financial market, corresponding to one of the types of activity of the organization in the financial market;
7.2. the controller must have qualification certificates that ensure that the specializations indicated in them in the field of the financial market correspond to all types of activities of the organization in the financial market.
III. The procedure for certification
8. Certification of applicants is carried out by conducting (taking) two qualification exams (basic and specialized), awarding qualifications and issuing a qualification certificate.
9. Qualification exams are held in accordance with the Regulations for conducting qualification exams in accordance with Appendix No. 2 to this Regulation.
10. Exam questions for qualifying exams are generated in the form of a test by random sampling from the database of exam questions for qualifying exams.
The database of examination questions is maintained in the manner approved by the order of the Federal Service.
11. Exam questions for qualification exams are formed in accordance with the lists of topics of examination questions, the standard of tests of examination 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 must include a list of recommended literature to prepare for the qualification exam.
14. Successful passing of the basic qualification exam is the basis for the applicant's admission to the specialized qualification exam.
15. Successful passing of a specialized qualification exam is the basis for awarding the applicant the qualification "specialist of the financial market".
16. The Federal Service conducts (administers) the basic qualification exam and the following specialized qualification exams:
16.1. a specialized qualification exam for financial market specialists in brokerage, dealer activities and securities management activities (hereinafter referred to as the exam of the first series);
16.2. a specialized qualification exam for financial market specialists on the organization of trading in the securities market (activities of stock exchanges) and clearing activities (hereinafter referred to as the exam of the second series);
16.3. a specialized qualification exam for financial market specialists in maintaining a register of securities holders (hereinafter referred to as the exam of the third series);
16.4. a specialized qualification exam for financial market specialists in depository activities (hereinafter referred to as the exam of the fourth series);
16.5. a specialized qualification exam for financial market specialists in managing investment funds, mutual investment funds and non-state pension funds (hereinafter referred to as the exam of the fifth series);
16.6. a specialized qualification exam for financial market specialists on the activities of specialized depositories of investment funds, mutual funds and non-state pension funds (hereinafter referred to as the sixth series exam).
17. All qualifying exams are held in one stage. The duration of the basic qualification exam and the exam of the fifth series cannot exceed one hundred and twenty minutes. The duration of the examinations of the first - fourth and sixth series cannot exceed sixty minutes.
18. The basic qualification exam is a test of examination questions for general knowledge of the regulatory legal acts regulating financial markets and the ability to make simple calculations using the tools of such branch scientific disciplines as mathematical economics, economic statistics, economic and financial analysis.
19. A specialized qualification exam is a test of examination questions for in-depth knowledge of the regulatory legal acts regulating the relevant specialization in the field of the financial market.
20. Ensuring the organizational and technical conditions for taking qualification exams, reviewing the results of qualification exams (hereinafter referred to as the appeal), acceptance of 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 qualifying examinations are approved by order of the Federal Service.
21. Technical support for the admission of qualification exams is carried out by examination centers.
The requirements for examination centers, as well as the list of examination centers, are determined by orders of the Federal Service.
22. In order to organize preparatory work and take qualifying examinations, the Federal Service, on the proposals of its territorial bodies, approves the composition of examination commissions. The order of work of the examination commissions is approved by the order of the Federal Service.
23. Applicants who have sent the following documents to one of the territorial bodies are allowed to take the qualification exam:
23.1. the application form of the applicant for the qualification certificate in the form in accordance with Appendix No. 3 to this Regulation;
23.2. an extract from the protocol 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 passing a specialized qualification exam;
23.3. a copy of a state document on higher professional education, and for applicants who have 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 with a diploma of higher professional education of the Russian Federation, issued by the federal executive body in the field of education (hereinafter - the document on higher education), - if the applicant has a higher education.
24. The grounds for refusing admission to qualifying examinations are:
24.1. the presence of inaccurate information in the application form submitted by the applicant;
24.2. non-submission by the applicant of the documents provided for in paragraph 23 of these Regulations;
24.3. the failure of the applicant to pass the basic qualification exam or the absence of the documents provided for in paragraph 23.2 of these Regulations - for admission to the specialized qualification exam;
24.4. cancellation of the qualification certificate of the applicant, if less than three years have passed from the date of such cancellation;
24.5. the job of an applicant in an organization that operated in the financial market and whose license was revoked, as a person who managed the current activities of such an organization, or as a controller during the period of the violation that led to the revocation of the license (except for cases of revocation of the license based on the application of the specified organization) if less than three years have elapsed from the date of such cancellation.
25. An applicant who has scored from 80 to 100 points in passing the qualifying exam is considered to have passed the qualifying exam.
26. The results of the qualification exam are approved by the minutes of the examination committee and are 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 has successfully passed the basic qualification exam, the provision of organizational and technical conditions for the admission of which was carried out by the territorial body, and intends to submit documents to another territorial body for passing a specialized qualification exam, 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 taking the basic exam provides an extract from the protocol of the examination committee on the results of passing the basic qualification exam.
28. An applicant who has not passed the qualifying exam has the right to appeal.
29. The applicant's application for appeal is sent to any territorial authority 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 regarding him.
30. The Federal Service, within a period not exceeding 20 working days from the date of successful passing by the applicant (appeal) of the specialized qualification exam, decides on the assignment of qualifications to the applicant and the issuance of a qualification certificate to him.
The Federal Service, within a period not exceeding 20 working days from the date of the decision to award the qualification to the applicant and issue him a qualification certificate, draws up a qualification certificate in the form in accordance with Appendix No. 4 to this Regulation and sends it to the territorial body that provided the organizational and technical conditions for the qualification examination, for issuance to a certified person.
31. In case of loss or damage to the qualification certificate of a certified person, upon his application, drawn up in the form in accordance with Appendix No. 5 to these Regulations (with the qualification certificate attached) and sent to any territorial body, the Federal Service within a period not exceeding 20 working days from the date receipt by the Federal Service of the said application, makes a decision on issuing a certified person a duplicate of the qualification certificate.
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 a territorial body for issuance to a certified person.
32. In the event of a change in the surname, 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 qualification certificate and a copy of the document confirming such a change) and sent to any territorial body, the Federal Service on time , not exceeding 20 business days from the date of receipt of the said 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 a certified person, makes appropriate changes to the qualification certificate by reissuing it and sends it to the territorial body for issuance to a certified person.
33. In order to exchange a qualification certificate of a securities market specialist in corporate finance for a qualification certificate of a financial market specialist 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 qualification certificate of a specialist attached 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 paragraph 33 of these Regulations, makes a decision on the assignment of qualifications to the applicant and the issuance of a qualification certificate to him.
The Federal Service, within a period not exceeding 20 working days from the date of the decision to award qualifications to the applicant and issue him a qualification certificate, 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 a certified person.
35. Upon receipt of a qualification certificate (a duplicate of a qualification certificate), a certified person must present an identity document, submit a payment order with a bank mark on its execution (when paying the state fee in a non-cash form) or a receipt of the established form issued to the payer by the bank (when paying the state fee in cash), which (which) confirms the fact of payment by the specified person of the state fee levied in accordance with the legislation of the Russian Federation on taxes and fees for the issuance of a certificate (duplicate certificate; making changes to the certificate), and sign the statement for the qualification certificate he received certificate (duplicate of the qualification certificate).
A prerequisite for issuing a qualification certificate (a duplicate of a qualification certificate) to a representative of a certified person is the presence of a power of attorney drawn up in the prescribed manner.
IV. The procedure for maintaining the register of certified persons
36. To record and control the issued qualification certificates, the Federal Service maintains a Register.
37. The register contains the following data about each certified person:
37.1. surname, name, patronymic; passport data (identity document data): name, series, number and date of issue and 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 the assignment of qualifications to the applicant and the issuance of a qualification certificate to him 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 on the assignment of qualifications to the applicant and the issuance of a qualification certificate to him;
37.3. name of specialization in the field of financial market;
37.4. series and number of the form of the qualification certificate;
37.5. date and number of the order of the Federal Service to cancel the qualification certificate of a certified person or the order of the Federal Service (order of the Federal Commission for the Securities Market) to approve the decision of the Certification Commission to cancel the qualification certificate of a certified person (for persons in respect of whom a decision was made to cancel the qualification certificate );
37.6. the date and number of 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 exclude the certified person from the Register (for persons in respect of whom the decision was made to exclude from the Register);
37.7. date and number of the order of the Federal Service on inclusion in the Register of a person previously excluded from the Register, or the order of the Federal Service (order of the Federal Commission for the Securities Market) on approval of 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) excluded from the Register, in respect of which a decision was made to include them 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 persons specified in sections I and II of Appendix No. 1 to this Regulation);
37.9. position held by a certified person in an organization operating in the financial market (for persons specified in Sections I and II of Appendix No. 1 to this Regulation).
38. Data on certified persons and issued qualification certificates (duplicate qualification certificates) are entered into the Register by the Federal Service at the time the qualification certificate (duplicate qualification certificate) is issued.
39. In the event of a change in the last name, first name, patronymic, passport data, registration data (stay data) and the Register data specified in clauses 37.8 and 37.9 of this Regulation (for persons specified in sections I and II of Appendix No. 1 to this Regulation), 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 an application to any territorial body in the form in accordance with Appendix No. 8 to this Regulation, attaching a copy of the qualification certificate and documents confirming these changes (copy of passport, copy of marriage certificate, copy of work book, copy of diploma of higher professional education).
The territorial authority, within a period not exceeding 20 working days from the date of receipt of the said application, shall make the submitted changes to the Register or send a reasoned refusal to the certified person to make the said changes in case of revealing incomplete or inaccurate information or failure to submit the said documents.
V. Grounds and procedure for cancellation of qualification certificates
40. The Federal Service makes a decision to annul the qualification certificate of a qualified 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 paragraph 40 of this Regulation, 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 a certified person.
42. In case of cancellation of the qualification certificate, the Federal Service, within a period not exceeding 10 working days from the date of the adoption of the said decision, notifies the person whose qualification certificate was canceled.
VI. The procedure for disclosing information contained in the register of certified persons
43. In order to provide interested persons with access to information about persons meeting 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. the data specified in paragraphs 37.2 - 37.7 of this Regulation.
44. In order to obtain an extract from the Register on the composition of the disclosed information about a certified person in the form in accordance with Appendix No. 9 to this Regulation, an interested person has the right to apply in writing to any territorial body for the issuance of this extract.
An obligatory condition for the interested person to receive this statement is the submission to the territorial body of a payment order with a bank mark on its execution (in case of payment of the state fee collected in non-cash form) or a receipt of the established form issued to the payer by the bank (in case of payment of the state fee 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 recovery of documents.
45. Copies of documents submitted in accordance with these Regulations must be certified in the prescribed manner.
Appendix No. 1
List of financial market specialists
I. Persons managing the current activities of an organization operating in the financial market
The qualification requirements for persons specified in paragraphs 1.1 - 1.2 of this Appendix do not apply to credit institutions (paragraph 2.1 of the Order).
1.1. A person who, in accordance with the law or the constituent documents of the organization, performs the functions of the sole executive body of an organization operating in the financial market.
1.2. Deputy sole executive body of an organization operating in the financial market, who, in accordance with his official duties, manages a sector, department, department, department or other independent structural unit, the exclusive function of which is the implementation of one or more types of activities in the financial market (hereinafter - structural subdivision).
1.3. The head (deputy head) of a structural subdivision of the organization, whose duties include the direct implementation of activities in the financial market, including the structural subdivision 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, responsible for the implementation of internal control by such an organization.
III. Specialist
3.1. An employee of a structural subdivision of an organization operating in the financial market, who, in accordance with his official duties, performs the following functions:
3.1.1. in an organization engaged in brokerage, dealer or securities management activities:
Carrying out 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 at auctions with the organizer of trading on the securities market;
Carrying out transactions and / or operations with cash 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 results of clearing;
3.1.3. in an organization operating as a trade organizer on the securities market (activity of a stock exchange), - disclosure of information based on the results of trades;
3.1.4. in an organization engaged in maintaining the register of securities holders:
Carrying out operations related to the transfer of ownership of securities on personal accounts of registered persons;
Signing of documents confirming the right of ownership of registered persons to securities, and documents on transactions performed;
3.1.5. in an organization carrying out depository activities:
Carrying out transactions related to the transfer of ownership of securities on customer depo accounts;
Signing documents confirming the client's ownership of securities, and documents on transactions;
3.1.6. in an organization engaged in the management of investment funds, mutual investment funds and non-state pension funds:
Signing outgoing documents of the organization relating to the implementation of operations related to the management of the property of a joint-stock investment fund, mutual 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 belonging to a joint-stock investment fund, securities constituting a mutual investment fund, or securities in which pension reserves of a non-state pension fund are placed or pension savings are invested;
Signing outgoing documents of the organization regarding the implementation of operations 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, 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 of 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 unit investment fund, or securities in which pension reserves of a non-state pension fund are placed, or securities, in which pension savings funds or funds constituting mortgage coverage are invested;
Signing outgoing documents of the organization concerning the implementation of operations related to the accounting of property of a joint-stock investment fund, mutual investment fund, pension reserves of a non-state pension fund, property in which pension savings are invested and constituting mortgage coverage;
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 a joint-stock investment fund, the terms of an agreement with a joint-stock investment fund and the rules for trust management of a unit investment fund, compliance with the requirements for the structure of the investment portfolio of a 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 unit investment fund, or property in which pension savings are invested;
Notification of the Federal Service and other federal executive bodies of violations identified in the exercise of control functions by the specialized depository, and of their elimination (non-elimination);
Signing outgoing documents of the organization relating to the implementation of operations related to the transfer of ownership of the investment shares of the mutual investment fund;
Signing documents confirming the registered person's ownership of the investment units of the mutual investment fund, and documents on the transactions performed.
Appendix No. 2
to the Regulations on Financial Market Specialists
Regulations for qualifying examinations
1. The qualification exam is conducted in written or computerized form.
2. The qualification examination in writing is conducted in the following order:
2.1. On the day of the examinations, the regional office sends to the examination center:
List of applicants (examination sheet);
- identification cards containing surname, name, patronymic, passport data, an identification number, number of an individual workplace of applicants;
- sheets for entering the correct answers chosen by the applicants (answer sheets);
- instructions for filling out the answer sheets.
2.2. During the whole period of the qualification examination, the presence of at least one member of the examination committee is obligatory. In the case of an examination in two or more classrooms, the presence of at least three members of the examination committee during the examination is mandatory.
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 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 a qualifying exam, is considered to have failed to appear.
2.5. Only applicants included in the examination list and who have passed the registration procedure are allowed to the qualifying exam.
2.6. Before the start of the exam at the workplace of the applicant must be:
Identification card of the applicant;
- answer sheet;
- a non-programmable calculator with a minimum set of arithmetic operations, including raising to a power and extracting a root from a power;
- Writing utensils (pen, pencil, eraser);
- instructions for filling out the answer sheet.
2.7. Applicants occupy the jobs indicated in the examination sheet.
2.8. If necessary, the examination center provides applicants with writing instruments and calculators.
2.9. Before the start of the exam and the distribution of the test, applicants are given time to familiarize themselves with the instructions for filling out the answer sheet. Next, applicants fill in the upper part of the answer sheet with personal data.
2.10. Members of the examination committee must inform applicants about the duration of the exam, the number of test questions, warn them about the grounds for canceling exam results, about the need to stay at their workplaces until the end of the exam.
2.11. During the qualifying examinations, applicants are prohibited from:
leave the classroom where the exam is 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 time allotted for the examination;
take out answer sheets and examination tests from the audience where the exam is being held.
Applicants who violate these requirements are removed from the audience, and the results of the examination of these applicants are canceled.
2.12. In the event that the applicant passes through someone else's identity document (this fact is reported to law enforcement agencies), the examination committee decides to annul the results of the qualification exams.
2.13. If there are grounds for annulment of the results of qualifying examinations, the examination committee draws up an act on the violations found. The act is signed by the present members of the examination committee, observers, as well as by the applicant who violated the requirements of these paragraphs.
2.14. Observers must be present during the entire examination. The beginning of the exam is considered to be the moment announced by the observer after the applicants have been given the exam tests.
2.15. At the end of the exam, members of the examination committee and observers collect examination tests, answer sheets, identification cards. Applicants remain in their jobs.
2.16. Members of the examination committee must inform applicants of the date and method of getting acquainted with the results of the exam.
3. Qualification exam in computer form is conducted in the following order:
3.1. At the examination place, the applicant can only have writing materials (pen, pencil and eraser) and a non-programmable calculator with a minimum set of arithmetic operations, including raising to a power and extracting a root from a power, as well as instructions for working with a computer program.
3.2. During the entire period of the qualification examination in the classroom (computer class), the presence of at least one member of the examination committee in each classroom is mandatory.
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 the examination sheet, after which he is given instructions for filling out the answer sheets (instructions for working with a computer program) and is informed of the number of his examination place and his identification number to start the examination program.
3.4. An applicant who does not have an identity document with him, or who is late for a qualifying exam, is considered to have failed to appear.
3.5. Applicants included in the examination list and who have passed the registration procedure are allowed to take the qualification exam.
3.6. Observers are present during the qualifying examination. If the exam is held in more than one classroom (computer class), it is mandatory to have at least one observer per 20 applicants in each classroom (computer class).
3.7. During the qualifying examination, applicants are prohibited from:
Use legislative and instructive material, reference and special literature, as well as mobile communications;
negotiate with other applicants;
leave the audience (computer class) where the exam is held before it is completed;
enjoy electronic media information;
run other programs in parallel with the examination program.
Applicants who violate the above requirements are removed from the audience (computer class), and the results of their qualifying exam are cancelled.
3.8. In the event that the applicant passes through someone else's identity document (this fact is reported to law enforcement agencies), the examination committee decides to annul the results of the qualification exams.
3.9. If there are grounds for annulment of the results of qualifying examinations, the examination committee draws up an act on the violations found. The act is signed by the present members of the examination committee, observers, as well as by the applicant who violated the requirements of these paragraphs.
3.10. The applicant may complete the qualifying examination ahead of schedule. After the time allotted for the qualifying exam, 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 in their examination places and leave the room.
3.12. If technical failures of a technical nature occurred during the technical maintenance of the admission of the qualification exam, all the facts of the failures that occurred must be recorded in the act of the examination committee.
Active Edition from 01.01.1970
| Document name | 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 FINANCIAL MARKET SPECIALISTS" |
| Document type | command, position |
| Host body | FSFR RF |
| Document Number | 10-4/PZ-N |
| Acceptance date | 01.10.2010 |
| Revision date | 01.01.1970 |
| Registration number in the Ministry of Justice | 17130 |
| Date of registration in the Ministry of Justice | 06.05.2010 |
| Status | valid |
| 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 FINANCIAL MARKET SPECIALISTS"
REGULATIONS ON FINANCIAL MARKET SPECIALISTS
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 a certified person and the qualification certificates issued to him, a certified person can apply to any territorial body of the FFMS of Russia with an application containing a surname, name, patronymic<*>, date of birth, postal 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 a certified person in the form of an extract from the Register to interested parties 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 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 about the date of issue of the specified document and the body that issued it;
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 a 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 which consent is given, namely: transfer to the person concerned (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 withdrawal.
<*>In the presence of.
33. If the applicant fails to submit the documents provided for in paragraphs 30 - 32 of the Regulations or submits a set of documents incorrectly executed in accordance with the requirements of paragraphs 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 paragraphs 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 paragraphs 30 - 32 of the Regulations, draws up an extract from the Register containing information on 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, deciphering the signature, certifying the signature with a seal, and handing it over to the applicant.
35. Each extract from the Register issued by the territorial body of the FFMS of Russia contains information on only one certified person.
36. Copies of documents submitted in accordance with the Regulations must be certified in the prescribed manner.