It is registered
Ministry of Justice
Russian Federation
On January 10, 2020 No. 57115
of December 2, 2019 No. 5337-U
About requirements to the internal document (documents) on conflict management of interests of the operator of investment platform
Based on part 8 of article 10 of the Federal Law of August 2, 2019 No. 259-FZ "About investment attraction with use of investment platforms and about modification of separate legal acts of the Russian Federation" (The Russian Federation Code, 2019, No. 31, of the Art. 4418) (further - the Federal Law of August 2, 2019 No. 259-FZ) this Instruction establishes requirements to the internal document (documents) on conflict management of interests of the operator of investment platform, including the requirement to its content.
1. The internal document (documents) on conflict management of interests of the operator of investment platform (further - the internal document) shall contain following provisions.
1.1. List of conflicts of interest of the operator of investment platform.
1.2. Data on availability of the officials responsible for observance of investment platform by the operator and his workers of requirements of the internal document to which duties rendering services in assistance in investment and services in investment attraction with use of investment platform shall not belong.
1.3. The list died on conflict management of the interests of the operator of investment platform, including on identification, control specified in paragraph one of this Item of conflicts of interest and to prevention of their effects including the following:
measures for conflict management of interests of employees of operator of investment platform to which duties rendering services in assistance in investment and services in investment attraction with use of investment platform belongs, including providing establishment of investment platform by the operator for the workers of the restrictions directed to decrease in probability of emergence of conflicts of interest of the operator of investment platform specified in this paragraph;
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