Legislative base of the Russian Federation. Legislative framework of the Russian Federation Regulations for the Federal Service for Financial Markets

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	"Bulletin of normative acts federal bodies executive power", N 21, 24.05.2010
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 number, personal signature of the certified person and the date of writing the application.

<*>In the presence of.

31. The territorial body of the FFMS of Russia transfers the personal data of 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 specified 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 about the qualification certificates issued to the certified person, the title of the employee of the territorial body of the FFMS of Russia, the signature of this employee, the transcript of the signature, the seal certifying the signature, and hands it over to the applicant.

35. Each extract from the Register issued by the territorial body of the FFMS of Russia contains information on only one certified person.

36. Copies of documents submitted in accordance with the Regulations must be certified in in due course.

08.08.2006 Date of adoption: 08.08.2006

ON THE APPROVAL OF THE REGULATION

In accordance with paragraph 14 of Article 42 of the Federal Law of April 22, 1996 N 39-FZ "On the market valuable papers"(Collected Legislation of the Russian Federation, 1996, N 17, Art. 1918; 1998, N 48, Art. 5857; 1999, N 28, Art. 3472; 2001, N 33, Art. 3424; 2002, N 52, Art. 5141; 2004, N 27, 2711; N 31, item 3225; 2005, N 11, item 900; N 25, item 2426; 2006, N 1, item 5; N 2, item 172; N 17, item 1780), clause 2 of article 55 of the Federal Law of November 29, 2001 N 1 56-FZ "On Investment Funds" (Collected Legislation of the Russian Federation, 2001, N 49, Art. 4562; 2004, N 27, Art. 2711; 2006, N 17, Art. 1780) and clause 5.2.9 of the Regulations on the Federal Service for financial markets, approved by Decree of the Government of the Russian Federation of June 30, 2004 N 317 (Collected Legislation of the Russian Federation, 2004, N 27, Art. 2780; 2005, N 33, Art. 3429; 2006, N 13, Art. 1400), I order:

1. To approve the attached Regulations on the accreditation of organizations carrying out attestation of financial market specialists (hereinafter referred to as the Regulations).

2. Establish that the form of the certificate of accreditation of the organization that certifies financial market specialists is a protected printing product of the "B" security level.

(Clause 2 was introduced by Order of the Federal Financial Markets Service of the Russian Federation No. 10-26/pz-n dated March 30, 2010)

3. To impose control over the execution of this Order on the Deputy Head of the Federal Service for Financial Markets S.K. Kharlamov.

Supervisor

O.V. VYUGIN

Application

POSITION

ON ACCREDITATION OF ORGANIZATIONS IMPLEMENTING

CERTIFICATION OF FINANCIAL MARKET SPECIALISTS

(as amended by the Orders of the Federal Financial Markets Service of the Russian Federation of 24.06.2008 N 08-26/pz-n, of 30.03.2010 N 10-26/pz-n)

I. General provisions

1.1. This Regulation determines the conditions and procedure for accreditation of organizations that carry out certification of citizens in the field of professional activity in the securities market, in the field of activity of joint-stock companies investment funds, management companies of investment funds, mutual investment funds and non-state pension funds, specialized depositories of investment funds, mutual investment funds and non-state pension funds, in the field of activity of non-state pension funds on non-state pension provision, compulsory pension insurance and professional pension insurance (hereinafter referred to as certification of financial market specialists).

(Clause 1.1 as amended by the Order of the Federal Financial Markets Service of the Russian Federation of March 30, 2010 N 10-26/pz-n)

1.2. Certification of financial market specialists is entitled to be carried out by educational institutions of higher or additional professional education that provide training in the field of the securities market (hereinafter referred to as educational institutions), as well as self-regulatory organizations of professional participants in the securities market and management companies of investment funds, mutual investment funds and non-state pension funds (hereinafter referred to as self-regulatory organizations).

II. Terms of accreditation

The conditions for accreditation of an organization applying for attestation of financial market specialists (hereinafter referred to as the applicant), upon receipt of accreditation, are as follows:

2.1. applicant must be legal entity created in accordance with the legislation of the Russian Federation;

2.2. the applicant has an attestation commission formed of at least 5 members, and an appropriate document determining the procedure for the work of such a commission;

2.3. the applicant has software and hardware that allows the formation of examination tests (hereinafter referred to as tests) in accordance with the qualification examination programs for financial market specialists approved by the Federal Financial Markets Service (hereinafter referred to as federal Service);

2.4. the applicant has the relevant document regulating the admission of qualification exams for financial market specialists (hereinafter referred to as the Regulations);

2.5. To obtain accreditation, an applicant who is an educational institution, in addition to the conditions provided for in paragraphs 2.1 - 2.4 of these Regulations, must meet the following conditions:

a) the applicant has been carrying out educational activities for at least 5 years preceding the submission of documents for obtaining accreditation;

b) preparation (in the form of training) by the applicant of at least 500 graduates (bachelors, masters) in the specializations: "Securities", "Securities market", " stock markets" or "Financial Markets", related to the specialty of higher professional education "Finance and Credit", or within 3 years preceding the submission of documents for accreditation - at least 3,000 citizens to pass qualifying exams for the qualification "financial market specialist".

(clause "b" as amended by the Order of the Federal Financial Markets Service of the Russian Federation dated 30.03.2010 N 10-26 / pz-n)

III. Accreditation procedure

3.1. To obtain accreditation, the applicant submits the following documents to the Federal Service:

3.1.1. application form (Appendix No. 1 to this Regulation);

3.1.2. copies of constituent documents;

3.1.3. a copy of the license for the right to carry out educational activities (for educational institutions) or a copy of the permit to operate as a self-regulatory organization;

3.1.4. a list of members of the applicant's attestation commission and a copy of the document provided for in paragraph 2.2 of these Regulations;

3.1.5. Regulations in two copies;

3.1.6. payment document, confirming the fact that the applicant has paid the state fee for accreditation of organizations that certify individuals in the field of professional activity in the securities market in the form of taking qualification exams and issuing qualification certificates, charged in accordance with the legislation of the Russian Federation on taxes and fees.

(Clause 3.1.6 was introduced by Order of the Federal Financial Markets Service of the Russian Federation No. 10-26/pz-n dated March 30, 2010)

3.2. The decision on accreditation or refusal of accreditation is made by the Federal Service within 15 working days from the date of receipt of the complete set of documents provided for in clause 3.1 of these Regulations.

3.3. In case of submission of an incomplete set of documents required for making a decision on accreditation, or submission of documents that are not executed in the prescribed manner, the Federal Service shall return to the applicant the documents submitted for obtaining accreditation without consideration within 10 working days from the date of their receipt by the Federal Service.

(clause 3.3 as amended by the Order of the Federal Financial Markets Service of the Russian Federation dated 06/24/2008 N 08-26/pz-n)

3.4. During the period of consideration of documents submitted for accreditation, the Federal Service checks the accuracy of the information contained in the documents submitted for accreditation, and checks software and hardware for the formation of tests and software and hardware for determining the results of exams (if such software and hardware is available). In the event that a request is sent to the applicant for the provision additional documents(information) the period specified in paragraph 3.2 of this Regulation is suspended for the duration of the audit, but not more than 60 days.

(As amended by the Order of the Federal Financial Markets Service of the Russian Federation dated March 30, 2010 N 10-26/pz-n)

Verification of software and hardware for the formation of tests and software and hardware for determining the results of exams is carried out by the Federal Service at the location of the applicant within the time period agreed in advance with the applicant. Upon completion of the verification of the software and hardware, a conclusion is drawn up on the possibility of using the software and hardware for the applicant to generate tests and software and hardware to determine the results of exams (if such software and hardware is available).

If the Federal Service receives an application from an accredited organization on the possibility of using software and hardware to determine the results of exams, the Federal Service checks such software and hardware no later than 15 working days from the date of receipt of the said application.

3.5. The grounds for refusal of accreditation are:

3.5.1. non-compliance of the applicant with the requirements provided for in paragraphs 2.1 - 2.5 of these Regulations;

3.5.2. the presence of false or distorted information in the documents of the applicant;

3.5.3. conclusion based on the results of the check provided for in clause 3.4 of these Regulations, on the impossibility of using the software and hardware by the applicant to generate tests;

3.5.4. failure to submit, within 60 days, on the basis of a request provided for in clause 3.4 of these Regulations, all documents (information) necessary for making a decision on accreditation, or corrected and / or supplemented documents.

(Clause 3.5.4 was introduced by Order of the Federal Financial Markets Service of the Russian Federation No. 10-26/pz-n dated March 30, 2010)

3.6. The Federal Service notifies the applicant in writing of a decision on accreditation or refusal of accreditation within 5 working days from the date of the adoption of the relevant decision, if a decision on accreditation is made, it also sends a copy of the agreed Regulations.

3.7. If a decision on accreditation is made, the Federal Service:

3.7.1. within a period not exceeding 10 working days from the date of the decision on accreditation, draw up a certificate confirming accreditation (Appendix No. 2 to this Regulation), and send it to the territorial body of the Federal Service at the location of the accredited organization for handing over to an authorized representative of the accredited organization;

(clause 3.7.1 as amended by the Order of the Federal Financial Markets Service of the Russian Federation dated 06/24/2008 N 08-26/pz-n)

3.7.2. within 5 working days from the date of the decision on accreditation, provides the accredited organization with examination questions approved by the Federal Service, and in case of changes and additions to the examination questions - within 5 working days from the date of approval of such changes and additions, sends them to the accredited organization;

3.7.3. within 5 working days from the date of the decision on accreditation, sends to the accredited organization a list of authorized employees of the Federal Service, and subsequently, no later than 5 working days from the date of making changes and additions to the specified list, notifies the accredited organization of such changes and additions.

3.8. During the period of accreditation, the Federal Service has the right to check the accredited organization for compliance with the terms of accreditation and the requirements established by the documents specified in paragraphs 2.2 - 2.4 of these Regulations.

3.9. Accreditation is carried out for a period of 3 years, which can be extended.

3.10. Conditions for renewal of accreditation are:

3.10.1. the applicant's compliance with the conditions of accreditation and the requirements established by the documents specified in paragraphs 2.2 - 2.4 of these Regulations;

(clause 3.10.1 as amended by the Order of the Federal Financial Markets Service of the Russian Federation dated 06/24/2008 N 08-26/pz-n)

3.10.2. issuance by the applicant of at least 500 certificates of financial market specialists within 3 years preceding the submission of documents for the extension of accreditation.

3.11. To renew accreditation, the applicant, no earlier than 60 business days before the expiration of the accreditation period and at least 20 business days before the expiration of the accreditation period, submits the following documents to the Federal Service:

(As amended by the Order of the Federal Financial Markets Service of the Russian Federation dated March 30, 2010 N 10-26/pz-n)

3.11.1. documents provided for in paragraph 3.1 of these Regulations;

3.11.2. certificate of accreditation.

3.12. In case of submission of an incomplete set of documents necessary for making a decision on the renewal of accreditation, submission of documents not executed in the prescribed manner, or submission of a set of documents not within the time period established by clause 3.11 of these Regulations, the Federal Service shall return to the applicant the documents submitted for the renewal of accreditation without consideration within 10 working days from the date of their receipt by the Federal Service.

(clause 3.12 as amended by the Order of the Federal Service for Financial Markets of the Russian Federation dated March 30, 2010 N 10-26/pz-n)

3.13. During the period of consideration of documents submitted for the renewal of accreditation, the Federal Service has the right to verify the accuracy of the information contained in the documents submitted for the renewal of accreditation, as well as verification of compliance with the requirements established by the documents specified in clauses 2.2 - 2.4 of these Regulations.

(As amended by the Order of the Federal Financial Markets Service of the Russian Federation dated June 24, 2008 N 08-26/pz-n)

3.14. The grounds for refusal to renew accreditation are:

3.14.1. non-compliance of the applicant with the requirements provided for in clause 3.10 of these Regulations;

3.14.2. the presence in the documents submitted by the applicant of inaccurate or distorted information.

3.15. The Federal Service notifies the applicant in writing of a decision to renew accreditation or to refuse to renew accreditation within 5 working days from the date of the relevant decision; if a decision is made to renew accreditation, the Federal Service also sends a copy of the agreed Regulations.

(As amended by the Order of the Federal Financial Markets Service of the Russian Federation dated March 30, 2010 N 10-26/pz-n)

3.16. If a decision is made to extend accreditation, the Federal Service, within a period not exceeding 10 working days from the date of such a decision, draws up a certificate confirming accreditation (Appendix No. 2 to these Regulations) and sends it to the territorial body of the Federal Service at the location of the accredited organization for handing over to an authorized representative of the accredited organization.

(clause 3.16 as amended by the Order of the Federal Financial Markets Service of the Russian Federation dated 24.06.2008 N 08-26/pz-n)

3.17. The Federal Service makes a decision to revoke accreditation on the following grounds:

3.17.1. in connection with the termination of an accredited organization's license for the right to carry out educational activities or a permit to carry out activities as a self-regulatory organization;

3.17.2. in connection with a gross or repeated violation by the accredited organization of the terms of accreditation and the requirements established by the documents specified in paragraphs 2.2 - 2.4 of these Regulations;

(clause 3.17.2 as amended by the Order of the Federal Financial Markets Service of the Russian Federation dated 06/24/2008 N 08-26/pz-n)

3.17.3. initiated by an accredited organization.

3.18. If the Federal Service makes a decision to revoke an accreditation organization, a notice of such a decision indicating the grounds for the revocation must be sent to said organization within 5 working days from the date of such decision.

3.19. Information about accredited organizations is open to the public on the official website of the Federal Service on the Internet (www.fcsm.ru; www.fsfm.gov.ru).

3.20. In the event of a change in the full name of the organization and / or location of the organization, the accredited organization, in order to reissue the certificate of accreditation, within a period not exceeding 30 working days from the date of registration of all changes in the manner established by the legislation of the Russian Federation, sends the following documents to the Federal Service:

3.20.1. an application for reissuing an accreditation certificate, drawn up on the letterhead of an accredited organization in the form in accordance with Appendix No. 3 to these Regulations;

3.20.2. copies of the documents specified in paragraph 3.1.2 of this Regulation, with the amendments made to them, certified in the prescribed manner, as well as a document confirming the entry in the Unified State Register legal entities on amendments to the constituent documents of a legal entity;

3.20.3. certificate of accreditation.

(Clause 3.20 was introduced by Order of the Federal Financial Markets Service of the Russian Federation No. 08-26/pz-n dated June 24, 2008)

3.21. In case of submission of an incomplete set of documents necessary for making a decision on reissuing an accreditation certificate, or submission of documents that are not executed in the prescribed manner, the Federal Service returns the documents submitted for reissuing an accreditation certificate without consideration within 10 working days from the date of their receipt by the Federal Service.

(Clause 3.21 was introduced by Order of the Federal Financial Markets Service of the Russian Federation No. 08-26/pz-n dated June 24, 2008)

3.22. The decision to reissue an accreditation certificate is made by the Federal Service within 15 working days from the date of receipt by the Federal Service of an application for reissuing an accreditation certificate with the documents specified in subparagraphs 3.20.2 and 3.20.3 of these Regulations attached.

(Clause 3.22 was introduced by Order of the Federal Financial Markets Service of the Russian Federation No. 08-26/pz-n dated June 24, 2008)

3.23. The Federal Service, within a period not exceeding 10 working days from the date of the decision to reissue the accreditation certificate, reissues the accreditation certificate and sends it to the territorial body of the Federal Service at the location of the accredited organization for handing over to an authorized representative of the accredited organization.

(Clause 3.23 was introduced by Order of the Federal Financial Markets Service of the Russian Federation No. 08-26/pz-n dated June 24, 2008)

3.24. Within 5 working days from the date of the decision to reissue the accreditation certificate, the Federal Service shall make appropriate changes to the information about accredited organizations on the website of the Federal Service on the Internet.

(Clause 3.24 was introduced by Order of the Federal Financial Markets Service of the Russian Federation No. 08-26/pz-n dated June 24, 2008)

3.25. Copies of documents submitted in accordance with these Regulations must be certified in the prescribed manner. In documents containing more than 1 sheet, the sheets must be bound, numbered, sealed and signed by an authorized person.

(As amended by the Order of the Federal Financial Markets Service of the Russian Federation dated June 24, 2008 N 08-26/pz-n)

Appendix No. 1

to the Regulations on accreditation

organizations implementing

certification of specialists

financial market

ref. N ________________

FFMS of Russia

Leninsky prospect, 9

Moscow, V-49, GSP-1

Questionnaire-statement of the organization

to obtain accreditation (extension of accreditation)

1. Full name:

2. Location (address):

____________________________

3. Contact phone number:

__________________________________________________________________

4. Fax number:

__________________________________________________________________

5. Address of the official page on the Internet:

__________________________________________________________________

6. Email address:

__________________________________________________________________

7. Surname, name, patronymic of the head:

__________________________________________________________________

8. Contact persons:

__________________________________________________________________

9. Short description software and hardware for

test generation and software and hardware for

determining the results of exams (if there is such

software and hardware):

__________________________________________________________________

10. Duration (experience) of the implementation of educational

activities, in years (to be completed by the educational institution):

__________________________________________________________________

11. Duration (experience) of preparing citizens for exams

FFMS of Russia (examinations of the FCSM of Russia), in years (to be completed

educational institution):

__________________________________________________________________

12. Duration (experience) of training diplomas

specialists (bachelors, masters) in the specializations "Valuable

securities", "Securities Market", "Stock Markets" or "Financial

markets", related to the specialty of higher professional

education "Finance and credit", in years (to be filled in

educational institution):

__________________________________________________________________

13. Number of trained citizens for the FFMS exams

Russia or exams of the Federal Commission for the Securities of Russia (to be completed by the educational

institution):

__________________________________________________________________

14. Number of trained graduates

(bachelors, masters) in the specializations "Securities", "Market

securities", "Stock Markets" or "Financial Markets",

related to the specialty of higher professional education

"Finance and Credit" (to be completed by the educational institution):

__________________________________________________________________

15. The number of issued certificates of financial specialists

market within 3 years prior to filing documents for

renewal of accreditation (to be completed in order to renew

accreditation):

__________________________________________________________________

Please consider accreditation/renewal

accreditation

Underline whatever applicable

__________________________________________________________________

M.P. _____________ /AND ABOUT. Surname/

/job title /signature/

head of the organization /

Appendix No. 2

to the Regulations on accreditation

organizations implementing

certification of specialists

financial market

FEDERAL SERVICE FOR FINANCIAL MARKETS

CERTIFICATE

on the accreditation of an organization carrying out

certification of financial market specialists

N _____________

______________________________________

(full name of organization)

______________________________________

has the right to certify financial market specialists

before _____________

Supervisor _________________ __________________________________

(signature) (I.O. Surname)

Appendix No. 3

to the Regulations on accreditation

organizations implementing

certification of specialists

financial market

ref. N ________________

FFMS of Russia

Leninsky prospect, 9

Moscow, V-49, GSP-1

Statement

on renewal of the certificate of accreditation

__________________________________________________________________

(full name of organization)

__________________________________________________________________

(location of organization)

asks to reissue the certificate of accreditation in connection with

change of the name/location of the organization.

(Underline whatever applicable)

New name/location of organization: _____________

The following documents are attached to this application:

Document N

Title of the document

Number of sheets
document

Order of the Federal Financial Markets Service of Russia dated September 21, 2006 No. 06-102 / pz-n "On the types and form of qualification certificates"

Order of the Federal Financial Markets Service of Russia dated August 8, 2006 No. 06-87/pz-n "On Approval of the Regulations on Accreditation of Organizations Carrying out Certification of Financial Market Specialists"

REGULATIONS on the Federal Financial Markets Service

I. General provisions

1. The Federal Service for Financial Markets is a federal executive body that performs the functions of adopting regulatory legal acts, control and supervision in the field of financial markets (with the exception of insurance, banking and auditing activities).

2. The Federal Financial Markets Service is managed by the Government of the Russian Federation.

3. The Federal Service for Financial Markets is guided in its activities by the Constitution of the Russian Federation, federal constitutional laws, federal laws, acts of the President of the Russian Federation and the Government of the Russian Federation, international treaties Russian Federation, as well as these Regulations.

4. The Federal Service for Financial Markets carries out its activities directly and through its territorial bodies in cooperation with other federal executive authorities, executive authorities of the constituent entities of the Russian Federation, local governments, public associations and other organizations.

II. Powers

5. The Federal Service for Financial Markets exercises the following powers in the established field of activity:

5.1. submits projects to the Government of the Russian Federation federal laws, regulatory legal acts of the President of the Russian Federation and the Government of the Russian Federation and other documents that require a decision of the Government of the Russian Federation, on issues of the scope of the Service, established by paragraph 1 of these Regulations, as well as a draft work plan and forecast performance indicators of the Service;

5.2. on the basis of and in pursuance of the Constitution of the Russian Federation, federal constitutional laws, federal laws, acts of the President of the Russian Federation and the Government of the Russian Federation independently adopts regulatory legal acts:

5.2.1. on approval of standards for the issue of securities, prospectuses of securities of issuers, including foreign issuers that issue securities on the territory of the Russian Federation. and order state registration issue (additional issue) of emissive securities, state registration of reports on the results of the issue (additional issue) of emissive securities and registration of prospectuses of securities (with the exception of state and municipal securities, as well as bonds of the Bank of Russia);

5.2.2. on the approval of uniform requirements for the rules for the implementation of professional activities with securities;

5.2.3. on approval of mandatory requirements for the procedure for maintaining the register of registered securities holders;

5.2.4. on the approval of securities mandatory for professional participants in the securities market, with the exception of credit institutions, sufficiency standards own funds and other requirements aimed at reducing the risks of professional activity in the securities market, as well as at eliminating conflicts of interest, including when a broker is financial advisor, services for the placement of issue-grade securities;

5.2.5. on approval of the norms for admission of securities to their public placement, circulation, quotation and listing, settlement and depository activities;

5.2.6. to determine the procedure for admission to primary placement and circulation outside the territory of the Russian Federation of securities issued by issuers registered in the Russian Federation;

5.2.7. on approval of requirements for the structure of assets of joint-stock investment funds and assets of unit investment funds;

5.2.8. on approval of the registration procedure for the rules of non-state pension funds and amendments to them, standards for information disclosure and reporting forms for non-state pension funds;

5.2.9. other regulatory legal acts, the adoption of which is attributed by federal laws and regulatory legal acts of the President of the Russian Federation and the Government of the Russian Federation to the competence of the federal executive body in the field of financial markets, the federal executive body in charge of the securities market, as well as the authorized federal executive body for state regulation of the activities of non-state pension funds for non-state pension provision, compulsory pension insurance and professional pension insurance in terms of supervision and control;

5.3. On the basis of federal laws, acts of the President of the Russian Federation and the Government of the Russian Federation, the Service exercises the following powers of control and supervision in the established field of activity:

5.3.1. registers:

5.3.1.1. issues (additional issues) of emissive securities and reports on the results of the issue of securities, as well as prospectuses of securities (except for state and municipal securities);

5.3.1.2. rules for trust management of unit investment funds, rules for trust management of mortgage coverage, as well as amendments thereto;

5.3.1.3. rules of non-state pension funds, as well as changes in them;

5.3.1.4. documents of professional participants in the securities market, their self-regulatory organizations, as well as specialized depositories of investment funds, mutual investment funds and non-state pension funds, which are subject to registration in accordance with the legislation of the Russian Federation;

5.3.2. carries out notification registration of non-state pension funds that have submitted an application for the implementation of activities on compulsory non-state pension insurance as an insurer;

5.3.3. carries out licensing of professional activities in the securities market, the activities of non-state pension funds, joint-stock investment funds, the management of investment funds, mutual investment funds and non-state pension funds, as well as the activities of specialized depositories of investment funds, mutual investment funds and non-state pension funds;

5.5.4. controls the procedure for carrying out transactions with funds or other property performed by professional participants in the securities market in order to counteract the legalization (laundering) of proceeds from crime;

5.3.4. suspends the issue of securities;

5.3.5. checks:

5.3.6.1. issuers, joint-stock investment funds, subjects of relations on the formation and investment of pension savings, subjects of relations on non-state pension provision, compulsory pension insurance and professional pension insurance, mortgage agents, managers of mortgage coverage and specialized depositories of mortgage coverage;

5.3.6.2. professional participants in the securities market, management companies of joint-stock investment funds, mutual investment funds and non-state pension funds, as well as their self-regulatory organizations;

5.3.7. issues instructions to issuers, professional participants in the securities market, joint-stock investment funds, management companies of joint-stock investment funds, mutual investment funds and non-state pension funds, specialized depositories of joint-stock investment funds, mutual investment funds and non-state pension funds, subjects of relations for the formation and investment of funds pension savings, subjects of relations on non-state pension provision, compulsory pension insurance and professional pension insurance, mortgage agents, managers of mortgage coverage and specialized depositories of mortgage coverage, as well as self-regulatory organizations;

5.3.8. prohibits or restricts for up to six months the conduct of professional participant individual transactions in the securities market;

5.3.9. applies to the court (arbitration court) with claims (applications), including claims (applications), the presentation of which, in accordance with the legislation of the Russian Federation, can be carried out by the authorized federal executive body for regulation, control and supervision in the field of formation and investment of pension savings;

5.3.10. considers the facts of violation of the legislation of the Russian Federation on commodity exchanges and makes appropriate decisions in accordance with the legislation of the Russian Federation;

5.3.1 1 . considers cases of administrative offenses referred in accordance with the Code of the Russian Federation on Administrative Offenses to the competence of the federal executive body authorized in the field of the securities market, and also applies the measures of responsibility established by administrative legislation;

5.3.12. agrees:

5.3.12.1. decisions of the council of the non-state pension fund on its reorganization and the composition of the liquidation commission of the non-state pension fund;

5.3.12.2. code of professional ethics of a specialized depository that has entered into an agreement on the provision of services to the Pension Fund of the Russian Federation, management companies that have concluded with pension fund the Russian Federation, contracts for the trust management of pension savings, as well as brokers through which transactions are made related to investing pension savings in securities;

5.3.13. approves the action plans of the specialized depository and the management companies that are the subjects of relations on the formation and investment of pension savings funds, to bring the amount of own funds in line with the own funds adequacy standard;

5.3.14. performs other functions of control and supervision referred by federal laws and other regulatory legal acts of the President of the Russian Federation and the Government of the Russian Federation to the competence of the federal executive body in the field of financial markets, the federal executive body in charge of the securities market, the authorized federal executive body for regulation, control and supervision in the field of formation and investment of pension savings, as well as the authorized federal executive body for state regulation of the activities of non-state pension funds for non-state pension provision, compulsory pension insurance and professional pension insurance;

5.4. summarizes the practice of applying legislation in the established field of activity;

5.6. performs the functions of the main manager and recipient of funds federal budget provided for the maintenance of the Service and the implementation of the functions assigned to it;

5.7. organizes competitions in accordance with the established procedure and the conclusion of state contracts for the placement of orders for the supply of goods, performance of work, provision of services for the needs of the Service, as well as for the conduct of scientific research for other state needs in the established field of activity, including, in the manner determined by the Government of the Russian Federation, competitions for the selection of a specialized depository and management companies for concluding agreements with them by the Pension Fund of the Russian Federation;

5.8. organizes the reception of citizens, ensures the timely and complete consideration of oral and written appeals of citizens, the adoption of decisions on them and the sending of answers to applicants within the period established by the legislation of the Russian Federation;

5.9. ensures, within its competence, the protection of information constituting a state secret;

5.10. ensures the mobilization training of the Service, as well as control and coordination of the activities of organizations under its jurisdiction for mobilization training;

5.11. organizes professional training of the employees of the Service, their retraining, advanced training and internships;

5.12. interacts in accordance with the established procedure with state authorities of foreign states and international organizations in the established field of activity;

5.13. carries out, in accordance with the legislation of the Russian Federation, work on the acquisition, storage, accounting and use of archival documents formed in the course of the Service's activities;

5.14. ensures the disclosure of information in accordance with the legislation of the Russian Federation;

6. The Federal Service for Financial Markets, in order to exercise its powers in the established field of activity, has the right to:

6.1. to request and receive, in accordance with the established procedure, the information necessary for making decisions on issues within the competence of the Service;

6.2. organize the necessary investigations, tests, examinations, analyzes and evaluations, as well as scientific research on issues of supervision in the established field of activity;

6.3. give legal and individuals clarifications on issues within the competence of the Service;

6.4. exercise control over the activities of the territorial bodies of the Service;

6.5. involve in the prescribed manner for the study of issues related to the established field of activity of the Service, scientific and other organizations, scientists and specialists;

6.6. stop violations of the legislation of the Russian Federation in the established field of activity, as well as apply restrictive, preventive and preventive measures aimed at preventing and (or) eliminating the consequences caused by the violation by legal entities and citizens of mandatory requirements on issues within the competence of the Service;

6.7. create coordinating, advisory and expert bodies (councils, commissions, groups, colleges), including interdepartmental ones, in the established field of activity.

7. The Federal Service for Financial Markets is not entitled to carry out in the established area of activity the functions of managing state property and providing paid services, except for cases established by decrees of the President of the Russian Federation or decrees of the Government of the Russian Federation.

The restrictions on the powers of the Federal Financial Markets Service established by the first paragraph of this clause do not apply to the powers of the head of the Service for managing the property of the Service assigned to it on the basis of the right of operational management, resolving personnel issues and organizing the activities of the Service.

When implementing legal regulation in the established area of activity, the Federal Financial Markets Service is also not entitled to establish the functions and powers of federal state authorities, state authorities of constituent entities of the Russian Federation, local governments, as well as restrictions on the exercise of the rights and freedoms of citizens, the rights of non-state commercial and non-profit organizations, except for cases when the possibility of introducing such restrictions by acts of authorized federal executive bodies is provided for by the Constitution of the Russian Federation, federal constitutional laws, federal laws and acts of the President of the Russian Federation and the Government of the Russian Federation issued on the basis of and in pursuance of the Constitution of the Russian Federation, federal constitutional laws, federal laws.

III. Organization of activities

8. The Federal Service for Financial Markets is headed by a head appointed to and dismissed by the Government of the Russian Federation.

The head of the Federal Service for Financial Markets is personally responsible for the fulfillment of the powers assigned to the Service in the established area of activity.

The head of the Federal Service for Financial Markets has deputies who are appointed to and dismissed by the Government of the Russian Federation on the proposal of the head of the Service.

The number of deputy heads of the Federal Service for Financial Markets is established by the Government of the Russian Federation.

9. Head of the Federal Service for Financial Markets:

9.1. distributes duties among his deputies:

9.2. submits to the Government of the Russian Federation:

9.2.1. draft regulation on the Federal Financial Markets Service;

9.2.2. proposals on the maximum number and wage fund of employees of the central office and territorial bodies of the Service;

9.2.5. proposals for the appointment and dismissal of the Deputy Head of the Service;

9.2.4. annual plan and forecast performance indicators of the Service, as well as a report on their implementation;

9.3. approves regulations on structural subdivisions of the Service and its territorial bodies;

9.4. appoints and dismisses employees of the central office of the Service, heads and deputy heads of the territorial bodies of the Service;

9.5. decides, in accordance with the legislation of the Russian Federation on public service, issues related to the passage of the Federal Public Service in the Service;

9.6. approves the structure and staffing of the central office of the Service within the limits of the payroll fund and the number of employees established by the Government of the Russian Federation, the cost estimate for the maintenance of the central office of the Service within the limits approved for the corresponding period of appropriations provided for in the federal budget;

9.7. approves the number and wage fund of employees of the territorial bodies of the Service within the limits of the indicators established by the Government of the Russian Federation, as well as the cost estimate for their maintenance within the limits approved for the corresponding period of appropriations provided for in the federal budget;

9.8. makes proposals to the Ministry of Finance of the Russian Federation on the formation of a draft federal budget in terms of financial support for the activities of the Service;

9.9. submits to the Government of the Russian Federation, in accordance with the established procedure, proposals for the creation, reorganization and liquidation of federal state organizations and institutions under the jurisdiction of the Service;

9.10. on the basis of and in pursuance of the constitution of the Russian Federation, federal constitutional laws, federal laws, acts of the President of the Russian Federation, the Government of the Russian Federation issues orders on issues within the competence of the Service, as well as on issues of the internal organization of the work of the Service;

9.11. submits, in accordance with the established procedure, employees of the Service, its territorial bodies and other persons carrying out activities in the established field, for the assignment of honorary titles and state awards of the Russian Federation.

10. Structural subdivisions of the Federal Service for Financial Markets are departments for the main areas of activity of the Service. Departments are included in the structure of departments.

11. Financing of expenses for the maintenance of the central office of the Federal Service for Financial Markets and its territorial bodies is carried out at the expense of funds provided for in the federal budget.

12. The Federal Service for Financial Markets is a legal entity, has a seal with the image of the State Emblem of the Russian Federation and with its name, other seals, stamps and standard forms, as well as accounts opened in accordance with the legislation of the Russian Federation.

13. Location of the Federal Service for Financial Markets - Moscow.

Government of the Russian Federation decides:

1. Approve the attached Regulations on the Federal Financial Markets Service.

2. Federal Financial Markets Service:

a) before October 1, 2004, submit proposals to the Government of the Russian Federation on amendments to the legislation of the Russian Federation, providing for:

transfer of functions of the Commodity Exchange Commission to the Federal Financial Markets Service;

exclusion of redundant and duplicating functions in the established area of activity of the Federal Service for Financial Markets;

b) before January 1, 2005, submit to the Government of the Russian Federation proposals providing for the formation of a collegial body for regulation and supervision in the financial market.

3. Until amendments are made to the legislation of the Russian Federation, which provide for the transfer of the functions of the Commodity Exchange Commission to the Federal Financial Markets Service,

The Federal Service for Financial Markets exercises the functions and powers to manage and ensure the work of the Commission on Commodity Exchanges.

Prime Minister

Russian Federation

M. Fradkov

Regulations on the Federal Financial Markets Service

I. General provisions

1. The Federal Service for Financial Markets is a federal executive body that exercises the functions of adopting regulatory legal acts, control and supervision in the field of financial markets (with the exception of insurance, banking and audit activities).

2. The Federal Financial Markets Service is managed by the Government of the Russian Federation.

4. The Federal Service for Financial Markets carries out its activities directly and through its territorial bodies in cooperation with other federal executive bodies, executive bodies of the constituent entities of the Russian Federation, local governments, public associations and other organizations.

II. Powers

5. The Federal Service for Financial Markets exercises the following powers in the established area of activity:

5.1. submits to the Government of the Russian Federation draft federal laws, regulatory legal acts of the President of the Russian Federation and the Government of the Russian Federation and other documents that require a decision of the Government of the Russian Federation, on the issues of the scope of the Service, established by clause 1 of these Regulations, as well as a draft work plan and forecast performance indicators of the Service;

5.2.1. on approval of securities emission standards, securities prospectuses of issuers, including foreign issuers, issuing securities in the territory of the Russian Federation, and the procedure for state registration of an issue (additional issue) of equity securities, state registration of reports on the results of an issue (additional issue) of equity securities and registration of securities prospectuses (with the exception of government and municipal securities, as well as bonds of the Bank of Russia);

5.2.2. on the approval of uniform requirements for the rules for the implementation of professional activities with securities;

5.2.3. on approval of mandatory requirements for the procedure for maintaining the register of registered securities holders;

5.2.4. on the approval of the equity capital adequacy ratios and other requirements binding on professional participants in the securities market, with the exception of credit institutions, aimed at reducing the risks of professional activity in the securities market, as well as eliminating conflicts of interest, including when a broker who is a financial consultant provides services for the placement of issue-grade securities;

5.2.5. on approval of the norms for admission of securities to their public offering, circulation, quotation and listing, settlement and depository activities;

5.2.7 on approval of requirements for the structure of assets of joint-stock investment funds and assets of unit investment funds;

5.2.8. on approval of the registration procedure for the rules of non-state pension funds and amendments to them, standards for information disclosure and reporting forms for non-state pension funds;

5.3.1. registers:

5.3.1.1. issues (additional issues) of emissive securities and reports on the results of the issue of securities, as well as prospectuses of securities (except for state and municipal securities);

5.3.1.2. rules for trust management of unit investment funds, rules for trust management of mortgage coverage, as well as amendments thereto;

5.3.1.3. rules of non-state pension funds, as well as changes in them;

5.3.1.4. documents of professional participants in the securities market, their self-regulating organizations, as well as specialized depositories of investment funds, mutual funds and non-state pension funds, which are subject to registration in accordance with the legislation of the Russian Federation;

5.3.2. carries out notification registration of non-state pension funds that have submitted an application for the implementation of activities for compulsory non-state pension insurance as an insurer;

5.3.3. carries out licensing of professional activities in the securities market, activities of non-state pension funds, joint-stock investment funds, management of investment funds, mutual investment funds and non-state pension funds, as well as the activities of specialized depositories of investment funds, mutual investment funds and non-state pension funds;

5.3.4. supervises the procedure for conducting transactions with in cash or other property committed by professional participants in the securities market in order to counteract the legalization (laundering) of proceeds from crime;

5.3.5. suspends the issue of securities;

5.3.6. checks:

5.3.7. issues instructions to issuers, professional participants in the securities market, joint-stock investment funds, management companies of joint-stock investment funds, mutual investment funds and non-state pension funds, specialized depositories of joint-stock investment funds, mutual funds and non-state pension funds, subjects of relations for the formation and investment of pension savings, subjects of relations for non-state pension provision, compulsory pension insurance and professional pension insurance, mortgage agents , managers of mortgage coverage and specialized depositories of mortgage coverage, as well as self-regulatory organizations;

5.3.8. prohibits or restricts, for a period of up to six months, the conduct by a professional participant of certain transactions in the securities market;

5.3.11. considers cases of administrative offenses referred in accordance with the Code of the Russian Federation on Administrative Offenses to the competence of the federal executive body authorized in the field of the securities market, and also applies the measures of responsibility established by administrative legislation;

5.3.12. agrees:

5.3.12.1. decisions of the council of the non-state pension fund on its reorganization and the composition of the liquidation commission of the non-state pension fund;

5.3.12.2. the code of professional ethics of a specialized depository that has concluded an agreement on the provision of services to the Pension Fund of the Russian Federation, management companies that have concluded trust management agreements for pension savings with the Pension Fund of the Russian Federation, as well as brokers through which transactions are made related to investing pension savings in securities;

5.3.13. approves the action plans of the specialized depository and management companies that are the subjects of relations for the formation and investment of pension savings, to bring the amount of own funds in line with the own funds adequacy ratio;

5.3.14. performs other functions of control and supervision, assigned by federal laws and other regulatory legal acts of the President of the Russian Federation and the Government of the Russian Federation to the competence of the federal executive body in the field of financial markets, the federal executive body in charge of the securities market, the authorized federal executive body for regulation, control and supervision in the field of formation and investment of pension savings, as well as the authorized federal executive body for state regulation of the activities of non-state pension funds for non-state pension provision, compulsory pension insurance and professional pension insurance;

5.4. summarizes the practice of applying legislation in the established field of activity;

5.6. performs the functions of the main manager and recipient of federal budget funds provided for the maintenance of the Service and the implementation of the functions assigned to it;

5.7. organizes tenders in accordance with the established procedure and the conclusion of state contracts for placing orders for the supply of goods, performance of work, provision of services for the needs of the Service, as well as for the conduct of research work for other state needs in the established field of activity, including holding, in the manner determined by the Government of the Russian Federation, tenders for the selection of a specialized depository and management companies for concluding agreements with them by the Pension Fund of the Russian Federation;

5.9. ensures, within its competence, the protection of information constituting a state secret;

5.10. ensures the mobilization training of the Service, as well as control and coordination of the activities of organizations under its jurisdiction for mobilization training;

5.11. organizes professional training of the employees of the Service, their retraining, advanced training and internships;

5.12. interacts in accordance with the established procedure with public authorities of foreign states and international organizations in the established field of activity;

5.14. ensures the disclosure of information in accordance with the legislation of the Russian Federation.

6. The Federal Service for Financial Markets, in order to exercise its powers in the established field of activity, has the right to:

6.1. to request and receive, in accordance with the established procedure, the information necessary for making decisions on issues within the competence of the Service;

6.2. organize the conduct of the necessary investigations, tests, examinations, analyzes and evaluations, as well as scientific research on the implementation of supervision in the established field of activity;

6.3. provide legal entities and individuals with clarifications on issues within the competence of the Service;

6.4. exercise control over the activities of the territorial bodies of the Service;

6.5. involve, in the prescribed manner, for the study of issues related to the established field of activity of the Service, scientific and other organizations, scientists and specialists;

6.6. stop violation of the legislation of the Russian Federation in the established area of activity, as well as apply restrictive, preventive and preventive measures aimed at preventing and (or) eliminating the consequences caused by violation by legal entities and citizens of mandatory requirements on issues within the competence of the Service;

6.7. create coordinating, advisory and expert bodies (councils, commissions, groups, colleges), including interdepartmental ones, in the established field of activity.

7. The Federal Service for Financial Markets is not entitled to carry out in the established area of activity the functions of managing state property and providing paid services, except in cases established by decrees of the President of the Russian Federation or resolutions of the Government of the Russian Federation.

When exercising legal regulation in the established area of activity, the Federal Financial Markets Service is also not entitled to establish the functions and powers of federal state authorities, state authorities of constituent entities of the Russian Federation, local governments, as well as restrictions on the exercise of the rights and freedoms of citizens, the rights of non-state commercial and non-profit organizations, except for cases when the possibility of introducing such restrictions by acts of authorized federal executive bodies is provided for by the Constitution of the Russian Federation, federal constitutional laws ami, federal laws and issued on the basis of and in pursuance of the Constitution of the Russian Federation, federal constitutional laws, federal laws acts of the President of the Russian Federation and the Government of the Russian Federation.

III. Organization of activities

8. The Federal Service for Financial Markets is headed by a head appointed to and dismissed by the Government of the Russian Federation.

The head of the Federal Service for Financial Markets is personally responsible for the fulfillment of the powers assigned to the Service in the established area of activity.

The head of the Federal Service for Financial Markets has deputies who are appointed to and dismissed by the Government of the Russian Federation on the proposal of the head of the Service.

The number of deputy heads of the Federal Service for Financial Markets is established by the Government of the Russian Federation.

9. Head of the Federal Service for Financial Markets:

9.1. distributes duties among his deputies;

9.2. submits to the Government of the Russian Federation:

9.2.1. draft regulation on the Federal Financial Markets Service;

9.2.2. proposals on the maximum number and wage fund of employees of the central office and territorial bodies of the Service;

9.2.3. proposals for the appointment and dismissal of the Deputy Head of the Service;

9.2.4. annual plan and forecast performance indicators of the Service, as well as a report on their implementation;

9.3. approves regulations on the structural subdivisions of the Service and its territorial bodies;

9.4. appoints and dismisses employees of the central office of the Service, heads and deputy heads of the territorial bodies of the Service;

9.5. decides, in accordance with the legislation of the Russian Federation on the public service, issues related to the passage of the federal public service in the Service;

9.8. submits proposals to the Ministry of Finance of the Russian Federation on the formation of a draft federal budget in terms of financial support for the activities of the Service;

9.9. submits to the Government of the Russian Federation in accordance with the established procedure proposals for the creation, reorganization and liquidation of federal state organizations and institutions under the jurisdiction of the Service;

9.10. on the basis of and in pursuance of the Constitution of the Russian Federation, federal constitutional laws, federal laws, acts of the President of the Russian Federation, the Government of the Russian Federation issues orders on issues within the competence of the Service, as well as on issues of the internal organization of the work of the Service;

10. Structural subdivisions of the Federal Service for Financial Markets are departments for the main activities of the Service. Departments are included in the structure of departments.

12. The Federal Service for Financial Markets is a legal entity, has a seal depicting the State Emblem of the Russian Federation and with its name, other seals, stamps and forms of the established form, as well as accounts opened in accordance with the legislation of the Russian Federation.

13. Location of the Federal Service for Financial Markets - Moscow.