It is registered
Ministry of Justice
Russian Federation
On October 20, 2017 No. 48629
of September 20, 2017 No. 601-P
About procedure for suspension, renewal of action of the license for implementation of professional activity in the security market, procedure for adoption by the Bank of Russia of the decision on cancellation of the license for implementation of professional activity in the security market, terms of adoption of such decision in the cases established by subitems 2-12 of Item 1 and the subitem 3 of Item 2 of article 39.1 of the Federal Law of April 22, 1996 No. 39-FZ "About the security market", about the exhaustive list enclosed to the plea of nullity of the license of documents and on procedure for their representation, and also on procedure for the direction by the Bank of Russia of the notification to the professional participant of the security market on which the decision on cancellation of the license for implementation of professional activity in the security market is made
This Provision based on Items 3, 6, 7, 10, the 14th article 39.1 of the Federal Law of April 22, 1996 No. 39-FZ "About the security market" (The Russian Federation Code, 1996, No. 17, Art. 1918; 2001, No. 33, Art. 3424; 2002, No. 52, Art. 5141; 2004, No. 27, Art. 2711; No. 31, Art. 3225; 2005, No. 11, Art. 900; No. 25, Art. 2426; 2006, No. 1, Art. 5; No. 2, Art. 172; No. 17, Art. 1780; No. 31, Art. 3437; No. 43, Art. 4412; 2007, No. 1, Art. 45; No. 18, Art. 2117; No. 22, Art. 2563; No. 41, Art. 4845; No. 50, Art. 6247; 2008, No. 52, Art. 6221; 2009, No. 1, Art. 28; No. 18, Art. 2154; No. 23, Art. 2770; No. 29, Art. 3642; No. 48, Art. 5731; No. 52, Art. 6428; 2010, No. 17, Art. 1988; No. 31, Art. 4193; No. 41, Art. 5193; 2011, No. 7, Art. 905; No. 23, Art. 3262; No. 29, Art. 4291; No. 48, Art. 6728; No. 49, Art. 7040; No. 50, Art. 7357; 2012, No. 25, Art. 3269; No. 31, Art. 4334; No. 53, Art. 7607; 2013, No. 26, Art. 3207; No. 30, Art. 4043, Art. 4082, Art. 4084; No. 51, Art. 6699; No. 52, Art. 6985; 2014, No. 30, Art. 4219; 2015, No. 1, Art. 13; No. 14, Art. 2022; No. 27, Art. 4001; No. 29, Art. 4348, Art. 4357; 2016, No. 1, Art. 50, Art. 81; No. 27, Art. 4225; 2017, No. 25, Art. 3592; No. 27, Art. 3925; No. 30, 4444) (further - the Federal Law "About the Security Market") establishes the Art.:
procedure for suspension and renewal by the Bank of Russia of action of the license for implementation of professional activity in the security market (further - the license);
procedure for adoption by the Bank of Russia of the decision on cancellation of the license;
terms of adoption by the Bank of Russia of the decision on cancellation of the license in the cases established by subitems 2-12 of Item 1 and the subitem 3 of Item 2 of article 39.1 of the Federal law "About the Security Market";
the exhaustive list of the documents enclosed by the professional participant of the security market (further - the licensee) to the plea of nullity of the license (further - the statement), and also procedure for their representation;
procedure for the direction the Bank of Russia of the notification to the licensee on which the decision on cancellation of the license is made.
1.1. The license is suspended according to the decision of the Bank of Russia made according to Item 1.2 of this provision in the cases provided by subitems 7-12 of Item 1 of article 39.1 of the Federal law "About the Security Market".
The license is suspended for the term which is not exceeding six months.
1.2. The decision on suspension of action of the license is made by Committee of financial supervision of the Bank of Russia and drawn up by the order of the Bank of Russia on suspension of action of the license signed by the Chairman of the Bank of Russia (the First Deputy Chairman of the Bank of Russia or the vice-chairman of the Bank of Russia who is directly coordinating and controlling work of Department of the security market and the goods market of the Bank of Russia (further - authorized structural division of the Bank of Russia) and containing the basis of adoption of the relevant decision.
Preparation of the draft of the order of the Bank of Russia on suspension of action of the license is performed by authorized structural division of the Bank of Russia.
1.3. To the licensee on which the decision on suspension of action of the license is made authorized structural division of the Bank of Russia no later than the working day following behind day of adoption of the specified decision the notification on the made decision containing specifying on the revealed violations which were the basis for adoption by the Bank of Russia of the decision on suspension of action of the license, in electronic form, No. 3906-U signed by the strengthened qualified digital signature according to requirements of the Instruction of the Bank of Russia of December 21, 2015 "About order of interaction of the Bank of Russia with not credit financial credit institutions and other participants of information exchange when using by them of information resources of the Bank of Russia, including personal account, and also procedure and terms of the direction other participants of information exchange of the notification on use or notifications on refusal of use of personal account" goes No. 41289 registered by the Ministry of Justice of the Russian Federation on March 1, 2016 (further - the Instruction of the Bank of Russia No. 3906-U).
1.4. In case of submission by the licensee to the Bank of Russia of the documents confirming execution of the action of the license of the instruction of the Bank of Russia directed to it in connection with suspension in the time established by such instruction, action of the license renews according to the decision of the Bank of Russia on renewal of action of the license, stipulated in Item 1.5 this provision.
If by results of consideration of the documents submitted according to the paragraph one of this Item authorized by structural division of the Bank of Russia it is revealed that the specified documents do not confirm execution of the action of the license of the instruction of the Bank of Russia directed to the licensee in connection with suspension, the decision on renewal of action of the license by the Bank of Russia is not made, at the same time the authorized structural division of the Bank of Russia within 10 working days from the date of receipt of the specified documents informs the licensee on the reasons of rejection of such decision according to the procedure, stipulated in Item 1.3 this provision for the notification on decision making on suspension of action of the license.
1.5. The decision on renewal of action of the license is made by Committee of financial supervision of the Bank of Russia within 15 working days from the date of receipt of the documents specified in Item 1.4 of this provision and drawn up by the order of the Bank of Russia on renewal of action of the license signed by the Chairman of the Bank of Russia (the First Deputy Chairman of the Bank of Russia or the vice-chairman of the Bank of Russia who is directly coordinating and controlling work of authorized structural division of the Bank of Russia) and containing the basis of adoption of the relevant decision.
Preparation of the draft of the order of the Bank of Russia on renewal of action of the license is performed by authorized structural division of the Bank of Russia.
1.6. To the licensee on which the decision on renewal of action of the license is made authorized structural division of the Bank of Russia no later than the working day following behind day of adoption of the specified decision the notification on the made decision in electronic form, signed by the strengthened qualified digital signature according to requirements of the Instruction of the Bank of Russia No. 3906-U goes.
2.1. In case of identification of the bases by the Bank of Russia, stipulated in Item 4 Articles 39 and subitems 2-13 of Item 1 and Item 2 of article 39.1 of the Federal law "About the Security Market", the decision on cancellation of the license is made by the Bank of Russia according to Items 2.2-2.7 of this provision.
2.2. The decision on cancellation of the license in the cases provided by subitems 2-13 of Item 1 and the subitem 3 of Item 2 of article 39.1 of the Federal law "About the Security Market" is accepted by Committee of financial supervision of the Bank of Russia.
The decision on cancellation of the license in cases, stipulated in Item 4 Articles 39 (regarding cancellation of the license for banking operations), the subitem 1 of Item 2 of article 39.1 of the Federal law "About the Security Market", is accepted by the Chairman of the Bank of Russia (the First Deputy Chairman of the Bank of Russia or the vice-chairman of the Bank of Russia who is directly coordinating and controlling work of authorized structural division of the Bank of Russia).
The decision on cancellation of the license in case, stipulated in Item 4 Articles 39 (regarding revocation of license on banking operations) and the subitem 2 of Item 2 of article 39.1 of the Federal law "About the Security Market", is accepted by the Chairman of the Bank of Russia or Committee of banking supervision of the Bank of Russia.
In the cases provided by subitems 1 and 2 of Item 2 of article 39.1 of the Federal law "About the Security Market", the decision on cancellation of the license is made in terms, stipulated in Item 3 articles 39.1 of the Federal law "About the Security Market".
2.3. In the cases established by subitems 2-12 of Item 1 and the subitem 3 of Item 2 of article 39.1 of the Federal law "About the Security Market", the decision on cancellation of the license is made by the Bank of Russia in time, not exceeding one year from the moment of identification of the corresponding basis for cancellation of the license.
2.4. The decision on cancellation of the license in cases, stipulated in Item 4 Articles 39, subitems 2-13 of Item 1 and Item 2 of article 39.1 of the Federal law "About the Security Market", according to Item 12 of article 39.1 of the Federal law "About the Security Market" becomes effective from the date of its acceptance.
2.5. The decision on cancellation of the license is drawn up by the order of the Bank of Russia on cancellation of the license signed by the Chairman of the Bank of Russia (the First Deputy Chairman of the Bank of Russia or the vice-chairman of the Bank of Russia who is directly coordinating and controlling work of authorized structural division of the Bank of Russia - in cases, stipulated in Item 4 Articles 39 (regarding cancellation of the license for banking operations), subitems 2-13 of Item 1, subitems 1 and 3 of Item 2 of article 39.1 of the Federal law "About the Security Market"; the chairman of Committee of banking supervision of the Bank of Russia - in the case established by subitem 4 of Article 39 (regarding revocation of license on banking operations) and the subitem 2 of Item 2 of article 39.1 of the Federal law "About the Security Market").
In orders of the Bank of Russia on cancellation of the license in cases, stipulated in Item 4 Articles 39, subitems 2-13 of Item 1 and Item 2 of article 39.1 of the Federal law "About the Security Market", according to Item 3 of article 39.1 of the Federal law "About the Security Market" the basis of adoption of the relevant decision is specified.
Preparation of the draft of the order of the Bank of Russia on cancellation of the license in cases, stipulated in Item 4 Articles 39 (regarding cancellation of the license for banking operations), subitems 2-13 of Item 1 and subitems 1 and 3 of Item 2 of article 39.1 of the Federal law "About the Security Market", is performed by authorized structural division of the Bank of Russia. Preparation of the draft of the order of the Bank of Russia on cancellation of the license in the case established by subitem 4 of Article 39 (regarding revocation of license on banking operations) and the subitem 2 of Item 2 of article 39.1 of the Federal law "About the Security Market", is performed by Department of banking supervision of the Bank of Russia.
2.6. In the presence at the licensee of the obligations connected with implementation of the corresponding type of professional activity in the security market according to Item 1 of article 39.2 of the Federal law "About the Security Market" the decision on cancellation of the license establishes term for the termination by the licensee of the obligations connected with implementation of the related professional activity by it in the security market (including on return of property to clients), except as specified, when the specified obligations are subject to the termination within the procedures provided by paragraphs 4 and 4.1 of Chapter IX of the Federal Law of October 26, 2002 No. 127-FZ "About insolvency (bankruptcy)" (The Russian Federation Code, 2002, No. 43, of Art. 4190; 2004, No. 35, Art. 3607; 2005, No. 1, Art. 18, Art. 46; No. 44, Art. 4471; 2006, No. 30, Art. 3292; No. 52, Art. 5497; 2007, No. 7, Art. 834; No. 18, Art. 2117; No. 30, Art. 3754; No. 41, Art. 4845; No. 49, Art. 6079; 2008, No. 30, Art. 3616; No. 49, Art. 5748; 2009, No. 1, Art. 4, Art. 14; No. 18, Art. 2153; No. 29, Art. 3632; No. 51, Art. 6160; No. 52, Art. 6450; 2010, No. 17, Art. 1988; No. 31, Art. 4188, Art. 4196; 2011, No. 1, Art. 41; No. 7, Art. 905; No. 19, Art. 2708; No. 27, Art. 3880; No. 29, Art. 4301; No. 30, Art. 4576; No. 48, Art. 6728; No. 49, Art. 7015, Art. 7024, Art. 7040, Art. 7061, Art. 7068; No. 50, Art. 7351, Art. 7357; 2012, No. 31, Art. 4333; No. 53, Art. 7607, Art. 7619; 2013, No. 23, Art. 2871; No. 26, Art. 3207; No. 27, Art. 3477, Art. 3481; No. 30, Art. 4084; No. 51, Art. 6699; No. 52, Art. 6975, Art. 6984; 2014, No. 11, Art. 1095, Art. 1098; No. 30, Art. 4217; No. 49, Art. 6914; No. 52, Art. 7543; 2015, No. 1, Art. 10, Art. 11, Art. 29, Art. 35; No. 27, Art. 3945, Art. 3958, Art. 3967, Art. 3977; No. 29, Art. 4350, Art. 4355, Art. 4362; 2016, No. 1, Art. 11, Art. 27, Art. 29; No. 23, Art. 3296; No. 26, Art. 3891; No. 27, Art. 4225, Art. 4237, Art. 4293, Art. 4305; 2017, No. 1, Art. 29; No. 18, Art. 2661; No. 25, Art. 3596; No. 31, Art. 4815).
Determination of the term specified in paragraph one of this Item is performed by the Bank of Russia according to requirements of Item 1 of article 39.2 of the Federal law "About the Security Market" proceeding from the number of clients of the licensee and amount of obligations of the licensee before them by the corresponding type of professional activity in the security market.
Modification of the decision on cancellation of the license regarding prolongation of the term established according to paragraph one of this Item is performed within term, stipulated in Item 1 article 39.2 of the Federal law "About the Security Market", according to the procedure, established by paragraph one of Item 2.2 and Item 2.5 of this provision for decision making about cancellation of the license.
2.7. To the licensee on which the decision on cancellation of the license in cases is made stipulated in Item 4 Articles 39, subitems 2-13 of Item 1 and Item 2 of article 39.1 of the Federal law "About the Security Market", structural division of the Bank of Russia performing preparation of the draft of the relevant order of the Bank of Russia according to Item 2.5 of this provision, in time, stipulated in Item the 10th article 39.1 of the Federal law "About the Security Market", the notification on the made decision containing specifying on violations which were the basis for adoption by the Bank of Russia of the decision on cancellation of the license in electronic form, signed by the strengthened qualified digital signature according to requirements of the Instruction of the Bank of Russia No. 3906-U goes.
3.1. In case of decision making about refusal of implementation of one of the types of professional activity in the security market specified in Articles 3-5, 7, 8 Federal Laws "About the Security Market", the licensee sends to authorized structural division of the Bank of Russia on the form of the licensee (in the presence) the statement (appendix 1 to this Provision) and documents (the copy of documents) provided by Items 3.3-3.7 of this provision attached to it (further - the enclosed documents).
In case of adoption by the licensee of the decision on refusal of implementation of several types of professional activity in the security market specified in Articles 3-5, 7, 8 Federal Laws "About the Security Market", the statement and the enclosed documents are presented separately on each type of professional activity at the security market on which the licensee makes the decision on refusal of its implementation.
3.2. The statement and the enclosed documents are submitted by the licensee on paper by the direction of the registered mail or by transfer to expedition of the Bank of Russia and signed certified) by person performing functions of sole executive body of the licensee.
Day of receipt of the statement and the enclosed documents is day of registration of a statement in the Bank of Russia.
The enclosed documents consisting more than of one leaf shall be numbered, stitched and fastened on the back the last leaf by zaveritelny text with indication of figures and the copy-book of number of sheets signed by person performing functions of sole executive body of the licensee with indication of its position, surname, name, middle name (in the presence of the last) and dates of assurance.
3.3. The licensee encloses the following documents (the copy of documents) to the application:
the copy of the decision of authorized body of the licensee or the copy of the protocol (minutes abstract) of meeting (meeting) of authorized body of management of the licensee on refusal of implementation of that type of professional activity in the security market concerning which the application (with application of copies is submitted (statements from) the documents confirming powers on adoption of such decision);
the license granted to the licensee on implementation of professional activity in the security market of that type concerning which the application is submitted;
written assurance that the documents (the copy of documents) submitted to the Bank of Russia contain authentic data, and also that concerning that type of professional activity in the security market concerning which the application of the licensee is submitted there is no fact of suspension of action of the license;
the list of documents, sent to the Bank of Russia (appendix 2 to this Provision).
3.4. For cancellation of the license for implementation of broker activities and (or) activities for management of securities in addition to the documents specified in Item 3.3 of this provision, the licensee submits the following documents (the copy of documents):
documents which contain the information about the clients who were on servicing for date of submission of the last reporting to the Bank of Russia according to the Instruction of the Bank of Russia of January 15, 2015 No. 3533-U "About terms and procedure for creation and submission of the reporting of professional participants of the security market to the Central bank of the Russian Federation", the registered Ministry of Justice of the Russian Federation on February 16, 2015 No. 36032, on October 9, 2015 No. 39270, on December 30, 2015 No. 40372, on August 23, 2016 No. 43345, on July 11, 2017 No. 47366, or the Instruction of the Bank of Russia of November 24, 2016 No. 4212-U "About the list, forms and procedure for creation and representation of forms of the reporting of credit institutions in the Central bank of the Russian Federation", the registered Ministry of Justice of the Russian Federation on December 14, 2016 No. 44718, on March 29, 2017 No. 46155 (further - the last reporting in the Bank of Russia), with indication of clients to whom notifications on the decision on refusal of implementation of the corresponding type of professional activity made by the licensee in the security market, method of the direction of such notification and in which are specified, are sent: for the client - physical person - surname, name, middle name (in the presence), for the client - the legal entity - full name of the organization, identification taxpayer number, and also the contact customer information provided by the contract for implementation of that type of professional activity in the security market concerning which the application (contact telephone number, the e-mail address or other information) is submitted;
copies of the documents confirming termination with clients of contracts for broker servicing or trust management agreements, and (or) other documents constituted during the period from the date of submission of the last reporting to the Bank of Russia before date of filing of application and containing regulations on absence at clients of contractual claims on implementation of that type of professional activity in the security market concerning which the application is submitted;
the documents confirming the termination of the admission to participation in the organized biddings if the licensee for date of submission of the last reporting to the Bank of Russia was participant of the organized biddings, except as specified, when the licensee is participant of the organized biddings, the admission to participation in which does not require license availability and when the licensee performs professional activity in the security market based on other licenses which are available for it;
the documents confirming discharge, being available for date of submission of the last reporting to the Bank of Russia, under the agreements signed with the clearing organization (in the presence of the relevant agreements).
3.5. For cancellation of the license for implementation of dealer activities in addition to the documents specified in Item 3.3 of this provision, the licensee submits the documents confirming the termination of the admission to participation in the organized biddings if the licensee for date of submission of the last reporting to the Bank of Russia was participant of the organized biddings, except as specified, when the licensee is participant of the organized biddings, the admission to participation in which does not require license availability and when the licensee performs professional activity in the security market based on other licenses which are available for it.
3.6. For cancellation of the license for implementation of depository activity in addition to the documents specified in Item 3.3 of this provision, the licensee submits the following documents (the copy of documents):
documents which contain data on the depositors which were on servicing for date of submission of the last reporting to the Bank of Russia with indication of depositors to which notifications on the decision on refusal of implementation of depository activity, method of the direction of such notification made by the licensee are sent and in which are specified: for the depositor - physical person - surname, name, middle name (in the presence), for the depositor - the legal entity - full name of the organization, identification taxpayer number, and also the contact information on the depositor provided by the depositary agreement (contact telephone number, the e-mail address or other information);
copies of the documents confirming termination with depositors of depositary agreements the, and (or) other documents constituted during the period from the date of submission of the last reporting to the Bank of Russia before date of filing of application and containing regulations on absence at depositors of claims under depositary agreements;
the documents confirming the termination of execution of functions of the nominee holder in case of implementation by the licensee of the specified functions during the period from the date of submission of the last reporting to the Bank of Russia before date of filing of application, namely: closing of accounts of the nominee holder with depositaries (registrars) which were opened for the licensee, the notification by the licensee of depositors about closing of custody accounts.
3.7. For cancellation of license for activities on maintaining the register of owners of securities in addition to the documents specified in Item 3.3 of this provision, the licensee submits the following documents (the copy of documents):
the documents confirming transfer of registers of owners of the securities and documents connected with maintaining registers of owners of securities, maintaining (storage) which it was performed by the licensee during the period from the date of submission of the last reporting to the Bank of Russia before date of filing of application;
copies of the documents confirming agreement cancelation with issuers on maintaining the register of owners of the securities which were available for date of submission of the last reporting to the Bank of Russia;
the list of issuers (persons obliged on securities), maintaining (storage) registers of owners of securities of which it was performed by the licensee for date of submission of the last reporting to the Bank of Russia.
3.8. In case of absence for date of submission of the last reporting by the licensee to the Bank of Russia of the current agreements with clients, partners concluded by the licensee when implementing that type of professional activity in the security market on which it makes the decision on refusal of implementation and lack of the corresponding obligations the licensee does not submit documents (the copy of documents) provided by Items 3.4-3.7 of this provision to the Bank of Russia.
3.9. The authorized structural division of the Bank of Russia after receipt of the statement and the enclosed documents performs check of their compliance to requirements to registration, stipulated in Item 3.2 this provision, and to the requirements to completeness established by Items 3.3-3.7 of this provision and also check of their reliability.
3.10. In cases of violation by the licensee of requirements to document creation, stipulated in Item 3.2 this provision, and (or) non-presentations of all or parts of the documents provided by Items 3.3-3.7 of this provision, authorized structural division of the Bank of Russia according to Item 7 of article 39.1 of the Federal law "About the Security Market" returns the specified documents to the licensee with appendix of the list of documents and list of the missing documents and (or) documents processed with violation of requirements of Item 3.2 of this provision with indication of on such violations according to each document.
In case of identification in the statement and (or) the enclosed documents submitted to the Bank of Russia of false information the specified documents are considered as uncollected.
3.11. The decision on cancellation of the license based on the statement of the licensee is made by the Chairman of the Bank of Russia (the First Deputy Chairman of the Bank of Russia or the vice-chairman of the Bank of Russia who is directly coordinating and controlling work of authorized structural division of the Bank of Russia) and drawn up by the order of the Bank of Russia.
In the order of the Bank of Russia on cancellation of the license based on the statement of the licensee according to Item 3 of article 39.1 of the Federal law "About the Security Market" the basis of adoption of the relevant decision is specified.
Preparation of the draft of the order of the Bank of Russia on cancellation of the license based on the statement of the licensee is performed by authorized structural division of the Bank of Russia.
3.12. The decision on cancellation of the license based on the statement of the licensee according to Item 12 of article 39.1 of the Federal law "About the Security Market" becomes effective from the date of its acceptance.
3.13. The decision on cancellation of the license based on the statement of the licensee according to items 4 and the 8th article 39.1 of the Federal law "About the Security Market" is not accepted by the Bank of Russia in the following cases:
availability at the licensee of the obligations which arose under the agreements signed when implementing professional activity in the security market of that type concerning which the application is submitted;
conducting check of activities of the licensee by the Bank of Russia.
3.14. To the licensee on which the decision on cancellation of the license based on the statement of the licensee is made authorized structural division of the Bank of Russia in time, stipulated in Item the 10th article 39.1 of the Federal law "About the Security Market", the notification on the made decision containing specifying on the basis for adoption by the Bank of Russia of the decision on cancellation of the license, in electronic form, signed by the strengthened qualified digital signature according to requirements of the Instruction of the Bank of Russia No. 3906-U goes.
4.1. This Provision becomes effective after 10 days after day of its official publication.
4.2. From the date of entry into force of this provision to declare invalid the Provision of the Bank of Russia of January 18, 2016 No. 529-P "About procedure for suspension, renewal of action of the license for implementation of professional activity in the security market, about procedure for adoption by the Bank of Russia of the decision on cancellation of the license for implementation of professional activity in the security market, about establishment of terms of adoption of such decision in the cases established by subitems 2-12 of Item 1 and the subitem 3 of Item 2 of article 39.1 of the Federal Law of April 22, 1996 No. 39-FZ "About the security market", and also about establishment of the exhaustive list enclosed to the plea of nullity of the license of documents", registered by the Ministry of Justice of the Russian Federation on February 26, 2016 No. 41225.
Chairman of the Central bank of the Russian Federation
E. S. Nabiullina
to the Provision of the Bank of Russia of September 20, 2017 No. 601-P "About procedure for suspension, renewal of action of the license for implementation of professional activity in the security market, procedure for adoption by the Bank of Russia of the decision on cancellation of the license for implementation of professional activity in the security market, terms of adoption of such decision in the cases established by subitems 2-12 of Item 1 and the subitem 3 of Item 2 of article 39.1 of the Federal Law of April 22, 1996 No. 39-FZ "About the security market", about the exhaustive list enclosed to the plea of nullity of the license of documents and on procedure for their representation, and also on procedure for the direction by the Bank of Russia of the notification to the professional participant of the security market on which the decision on cancellation of the license for implementation of professional activity in the security market is made"
(recommended sample)
Ref. N __________________
from "___" ___________ 20 __
Central Bank of the Russian Federation
PLEA OF NULLITY OF THE LICENSE
ON IMPLEMENTATION OF PROFESSIONAL ACTIVITY
IN THE SECURITY MARKET
_________________________________________________________________________
(full name of the licensee in Russian)
_________________________________________________________________________
(date of state registration, the body which performed state
registration of the licensee, identification taxpayer number,
reason code of registration)
_________________________________________________________________________
(primary state registration number)
_________________________________________________________________________
(the address specified in the Unified State Register of Legal Entities)
asks to cancel the license ____________________________________________
(specify the corresponding type of activity)
on own initiative.
At the same time we report that at _______________________________________
(full name of the licensee
in Russian)
for date of the direction of this statement there are no obligations on
to the agreements signed in case of _____________________________________________
(specify the corresponding type of activity)
and the licensee stops implementation of the specified type of activity.
Reliability of the provided data and lack of the fact
I confirm suspensions of action of the license __________________________.
(specify corresponding
type of activity)
Appendix: on _____ sheets.
________________________________________ _________ _____________
(position of person performing functions (signature) (First name, middle initial, last name)
sole executive body)
to the Provision of the Bank of Russia of September 20, 2017 No. 601-P "About procedure for suspension, renewal of action of the license for implementation of professional activity in the security market, procedure for adoption by the Bank of Russia of the decision on cancellation of the license for implementation of professional activity in the security market, terms of adoption of such decision in the cases established by subitems 2-12 of Item 1 and the subitem 3 of Item 2 of article 39.1 of the Federal Law of April 22, 1996 No. 39-FZ "About the security market", about the exhaustive list enclosed to the plea of nullity of the license of documents and on procedure for their representation, and also on procedure for the direction by the Bank of Russia of the notification to the professional participant of the security market on which the decision on cancellation of the license for implementation of professional activity in the security market is made"
(recommended sample)
Appendix to Ref. N ___________
from "___" ________________ 20 __
The list of documents, sent to the Bank of Russia
____________________________________________________________
(full name of the licensee in Russian)
|
Date and document number |
Name of the document |
Quantity of document sheets |
Number of copies | |
|
1 |
2 |
3 |
4 |
5 |
|
1 |
||||
|
2 |
||||
|
3 |
||||
|
.. |
In total it is provided documents on _______ sheets.
|
(position of person performing functions of sole executive body) |
(signature) |
(Surname, name, patronymic) |
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