INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of August 9, 2019 No. 5229-U

About the list obligatory for development by the self-regulatory organizations in the field of the financial market combining investment advisers, basic standards and requirements to their content and also about the list of transactions (content of types of activity) of investment advisers in the financial market, standardization subjects

Based on part 2 of article 5 of the Federal Law of July 13, 2015 No. 223-FZ "About self-regulatory organizations in the field of the financial market" (The Russian Federation Code, 2015, No. 29, Art. 4349; 2016, No. 27, Art. 4225; 2017, No. 52, Art. 7920; 2018, No. 1, Art. 10; No. 49, of the Art. 7524) this Instruction establishes the list obligatory for development by the self-regulatory organizations in the field of the financial market combining investment advisers, basic standards and the requirement to their content and also the list of transactions (content of types of activity) of investment advisers in the financial market, standardization subjects.

1. The self-regulatory organizations in the field of the financial market combining investment advisers (further - self-regulatory organizations), shall develop the following basic standards:

protection of the rights and interests of physical persons and legal entities - receivers of the financial services rendered by members of self-regulatory organizations (further - the basic standard of protection of the rights and interests of receivers of services of investment advisers);

making of transactions in the financial market.

2. The basic standard of protection of the rights and interests of receivers of services of investment advisers shall contain:

2.1. the minimum amount provided to physical persons and legal entities - to receivers of financial services, and also potential receivers of financial services (further - receivers of financial services) the investment adviser of information:

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