ORDER OF THE FEDERAL SERVICE FOR FINANCIAL MARKETS

of August 21, 2007 No. 07-90/pz-n

About approval of Administrative regulations on execution of the state function by the Federal Service for Financial Markets on licensing of activities of professional participants of the security market

List of amending documents

According to Item 7 of the Procedure for development and approval of administrative regulations of execution of the state functions and administrative regulations of the provision of the state services approved by the order of the Government of the Russian Federation of November 11, 2005 N679 (The Russian Federation Code, 2005, N 47, to the Art. 4933), I order:

approve the enclosed Administrative regulations on execution of the state function by the Federal Service for Financial Markets on licensing of activities of professional participants of the security market.

 

Administrative regulations on execution of the state function by the Federal Service for Financial Markets on licensing of activities of professional participants of the security market

I. General provisions

1.1. The administrative regulations on licensing of activities of professional participants of the security market (daleeadministrativny regulations) determine terms and the sequence of actions (ministerial procedures) of the Federal Service for Financial Markets by execution of the state function by the Federal Service for Financial Markets (further - FFMS of Russia), its structural divisions, order of interaction between its structural divisions and workers.

1.2. Execution of the state function on licensing of activities of professional participants of the security market includes the following ministerial procedures:

a) licensing;

b) renewal of the form of the license;

c) issue of the duplicate of the form of the license;

d) issue of the statement from the register of professional participants of the security market (territorial authorities of FFMS of Russia);

e) cancellation of the license according to the statement of the licensee;

e) suspension and renewal of action of the license, and also cancellation of the license for numerous violation within one year of the legislation of the Russian Federation (during implementation of licensed control).

1.3. Execution of the state function on licensing of activities of professional participants of the security market is performed according to:

Federal Law of 22.04.96 N39-FZ "About the Security Market" (Russian Federation Code, 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, Art. 2711; N 31, of Art. 3225; 2005, N 11, Art. 900; N 25, of Art. 2426; 2006, N 1, Art. 5; N 2, of Art. 172; N 17, of Art. 1780; N 31, of Art. 3437; N 43, of Art. 4412; 2007, N 1, Art. 45; N 22, of Art. 2563; Art. N 18, 2117) (further - the Law);

The regulations on the Federal Service for Financial Markets approved by the order of the Government of the Russian Federation of 30.06.2004 of N317 (The Russian Federation Code, 2004, N 27, Art. 2780; 2005, N 33, Art. 3429; 2006, N 13, Art. 1400, N 52, Art. 5587; 2007, N 12, the Art. 1417) (further - Regulations on FFMS of Russia);

The procedure for licensing of types of professional activity in the security market approved by the order of FFMS of Russia from 06.03.2007 of N07-21/pz-N (registration N 9315) (further - the Procedure for licensing is registered by the Ministry of Justice of the Russian Federation 23.04.2007);

The regulations of the Federal Service for Financial Markets approved by the order of FFMS of Russia from 30.03.2006 of N06-34/pz-N (it is registered by the Ministry of Justice of the Russian Federation 06.05. 2006, registration N 7787) (further - Regulations of FFMS of Russia).

1.4. By preparation of set of documents for passing of the procedure of licensing it is also necessary to be guided by such regulatory legal acts as:

Tax Code of the Russian Federation (part two) (Russian Federation Code, 2000, N 32, Art. 3340; Art. 3341; 2001, N 1, Art. 18; N 23, of Art. 2289; N 33, of Art. 3413; Art. 3421; Art. 3429; N 49, of Art. 4554; Art. 4564; N 53, of Art. 5015; Art. 5023; 2002, N 1, Art. 4; N 22, of Art. 2026; N 30, of Art. 3021; Art. 3027; Art. 3033; N 52, of Art. 5128; 2003, N 1, Art. 2; Art. 5; Art. 6; Art. 8; Art. 11; N 19, of Art. 1749; N 21, of Art. 1958; N 23, of Art. 2174; N 26, of Art. 2567; N 27, of Art. 2700; N 28, of Art. 2874; Art. 2879; Art. 2886; N 46, of Art. 4435; Art. 4443; Art. 4444; N 50, of Art. 4849; N 52, of Art. 5030; 2004, N 15, Art. 1342; N 27, of Art. 2711; Art. 2713; Art. 2715; N 30, of Art. 3083; Art. 3084; Art. 3088; N 31, of Art. 3219; Art. 3220; Art. 3222; Art. 3231; N 34, of Art. 3517; Art. 3518; Art. 3520; Art. 3522; Art. 3523; Art. 3524; Art. 3525; Art. 3527; N 35, of Art. 3607; N 41, of Art. 3994; N 45, of Art. 4377; N 49, of Art. 4840; 2005, N 1, Art. 9; Art. 29; Art. 30; Art. 34; Art. 38; N 21, of Art. 1918; N 23, of Art. 2201; N 24, of Art. 2312; N 25, of Art. 2427; Art. 2428; Art. 2429; N 27, of Art. 2707; Art. 2710; Art. 2717; N 30, of Art. 3101; Art. 3104; Art. 3112; Art. 3117; Art. 3118; Art. 3128; Art. 3129; Art. 3130; N 43, of Art. 4350; N 50, of Art. 5246; Art. 5249; N 52, of Art. 5581; 2006, N 1, Art. 12; Art. 16; N 3, of Art. 280; N 10, of Art. 1065; N 12, of Art. 1233; N 23, of Art. 2380; Art. 2382; N 27, of Art. 2881; N 30, of Art. 3295; N 31, of Art. 3433; N 31, of Art. 3436; Art. 3443; Art. 3450; Art. 3452; N 43, of Art. 4412; N 45, of Art. 4627; Art. 4628; Art. 4629; Art. 4630; N 47, of Art. 4819; N 50, of Art. 5279; Art. 5286; 2007, N 1, Art. 7; Art. 31; Art. 39; Art. N 21, 2461);

The Federal Law of 30.12.2008 N 307-FZ "About auditor activities" (The Russian Federation Code, 2009, N 1, the Art. 15);

The regulations on procedure of payments of own means of professional participants of the security market, managing companies of investment funds, mutual investment funds and non-state pension funds approved by the Order of FFMS of Russia of 23.10.2008 of N 08-41/pz-n (it is registered by the Ministry of Justice of the Russian Federation 04.02. 2009, registration number N 13265);

The regulations on specialists of the financial market approved by the order of FFMS of Russia from 20.04.2005 of N05-17/pz-N (25.05.2005, registration number N 6641) is registered by the Ministry of Justice of the Russian Federation;

The order of the Ministry of Internal Affairs of Russia of 01.11.2001 N965 "About Approval of the Instruction about Provision to Citizens of Certificates of Availability (Absence) of Criminal Record at Them" (it is registered by the Ministry of Justice of the Russian Federation 11.01. 2002, registration number N 3153);

The regulations on internal control of the professional participant of the security market approved by the order of FFMS of Russia from 21.03.2006 of N06-29/pz-N (it is registered by the Ministry of Justice of the Russian Federation 06.05. 2006, registration number N 7786);

Presidential decree of the Russian Federation of 06.03.97 N188 "About Approval of the List of Data of Confidential Nature" (Russian Federation Code, 1997, N 10, Art. 1127; 2005, N 39, Art. 3925);

Federal Law of 27.07.2006 N152-FZ "About Personal Data" (Russian Federation Code, 2006, N 31, Art. 3451);

Procedure for conducting internal accounting of transactions, including forward transactions, and transactions with securities the professional participants of the security market performing broker, dealer activities and activities for management of securities, N32 approved by the resolution of 11.12.2001 of Federal Commission on Securities of Russia and the Ministry of Finance of the Russian Federation of N108n (25.12.2001, registration number N 3124) is registered by the Ministry of Justice of the Russian Federation;

Federal Law of 07.08.2001 N115-FZ "About Counteraction of Legalization (Washing) of Income Gained in the Criminal Way and to Terrorism Financing" (Russian Federation Code, 2001, N 33, Art. 3418; 2002, N 30, Art. 3029; N 44, of Art. 4296; 2004, N 31, Art. 3224; 2005, N 47, Art. 4828; 2006, N 31, Art. 3446, Art. 3452; 2007, N 16, 1831);

order of the Government of the Russian Federation of 18.01.2003 N27 "About Approval of the Regulations on Procedure for Determination of the List of the Organizations and Physical Persons concerning Which There Are Data on Their Participation in Extremist Activities, and Bringing This List to Data of the Organizations Performing Transactions with Money or Other Property" (Russian Federation Code, 2003, N 4, Art. 329; 2005, N 44, Art. 4562; 2006, N 3, Art. 297);

order of the Government of the Russian Federation of 05.12.2005 N715 "About Qualification Requirements to the Special Officials Responsible for Observance of Rules of Internal Control and Programs of Its Implementation, and also Requirements to Preparation and Personnel Training, Identification of Clients, Beneficiaries for the purpose of Counteraction of Legalization (Washing) of Income Gained in the Criminal Way and to Terrorism Financing" (Russian Federation Code, 2005, N 50, Art. 5302);

Recommendations about development by the organizations making transactions with money and other property, rules of internal control for the purpose of counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing, the Governments of the Russian Federation approved by the order of 17.07.2002 of N983-r (The Russian Federation Code, 2002, N 29, Art. 2995; 2003, N 2, Art. 197; 2005, N 50, Art. 5302);

The order of Rosfinmonitoring of 05.10.2009 N 245 "About approval of the Instruction about submission to Federal Service for Financial Monitoring of information provided by the Federal Law of August 7, 2001 N 115-FZ "About counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing"" (it is registered in the Ministry of Justice of the Russian Federation 09.02. 2010, registration N 16330);

The order KFM of Russia of 11.08.2003 N104 "About Approval of Recommendations about Separate Provisions of the Rules of Internal Control Developed by the Organizations Making Transactions with Money or Other Property for the purpose of Counteraction of Legalization (Washing) of Income Gained in the Criminal Way and to Terrorism Financing" (the order is acknowledged as the Ministry of Justice of the Russian Federation which is not needing state registration the letter of 28.08.2003 of N07/8796-YuD);

The regulations on activities for the organization of trade in the security market approved by the Order of FFMS of Russia of 09.10.2007 of N 07-102/pz-n (it is registered by the Ministry of Justice of the Russian Federation 14.11. 2007, registration number N 10489);

The regulations on clearing activities in the security market approved by the resolution of Federal Commission on Securities of Russia of 14.08.2002 of N32/ps (26.09.2002, registration number N 3816) is registered by the Ministry of Justice of the Russian Federation;

1.5. Execution of the state function on licensing of activities of professional participants of the security market (daleeispolneniye of the state function) is performed by FFMS of Russia, and issue of forms of the license for hands to licensees and statements from the register of professional participants of the security market - territorial authorities of FFMS of Russia in the location of licensees.

II. Requirements to procedure for execution of the state function

2.1. Procedure for informing on execution of the state function

2.1.1. FFMS of Russia creates open and public state information resources about the state function, by publication on the official site on the Internet to the address: www.fcsm.ru in time which is not exceeding 5 working days, the following documents:

a) from the date of official publication - the text of the Procedure for licensing of types of professional activity in the security market, and also texts of the Federal Laws and regulatory legal acts of FFMS of Russia establishing mandatory requirements to the related activity, forms of the statements and documents used by FFMS of Russia in the course of licensing;

b) from the date of entering of the corresponding records into the register of professional participants of the security market - the data, stipulated in Item 7.2 Procedures for licensing, namely:

information about the licensee (full name, location, postal address, numbers of contact telephone numbers, primary state registration number of the licensee, identification taxpayer number);

data on the granted license (number, decision date about issue and license effective period, date and term of suspension, date of renewal and date of cancellation of the license).

2.1.2. Information on the decisions made by FFMS of Russia also reveals on the official site of FFMS of Russia in the Section "News" within 1 working day from acceptance date of the relevant decision.

2.2. Procedure for preparation of replies to the requests and obtaining

consultations from employees of FFMS of Russia in the order of execution of the state function

2.2.1. Consultations according to the procedure of execution of the state function can be provided:

according to written addresses;

by phone.

Written requests should be sent to central office of FFMS of Russia.

The central office of FFMS of Russia is at the address:

119991, GSP-1, Moscow, Leninsky Prospekt, 9.

Operating time of expedition:

Monday - Thursday from 9-00 till 17-00;

Friday from 9-00 till 15-45.

Lunch break from 12-15 till 13-00.

Phone for reference: +7(495) 935-8790*264 or * 318;

Fax: +7(495) 935-87-91.

2.2.2. By provision of consultations according to the procedure of execution of the state function, fulfillment of duties in case of the response to phone calls, oral and written appeals of the organizations and citizens, in case of interaction of employees of FFMS of Russia with receivers of result from execution of the state function, the government civil servants shall be guided by the requirements to office behavior of the civil servant established by requirements of the Federal Law of 27.07.2004 of N79-FZ "About the Public Civil Service of the Russian Federation" (The Russian Federation Code, 2004, N 31, Art. 3215; 2006, N 6, Art. 636; 2007, N 10, Art. 1151; N 16, of the Art. 1828) and the General principles of office behavior of government employees approved by the Presidential decree of the Russian Federation of 12.08.2002 of N885 (The Russian Federation Code, 2002, N 33, Art. 3196; 2007, N 13, Art. 1531).

2.2.3. In case of consultation on written addresses the answer to the address goes by mail to the applicant in time, not exceeding 30 days from the moment of receipt of the written appeal to FFMS of Russia.

2.2.4. When implementing consultation by phone employees of FFMS of Russia shall, according to the arrived request, to provide information on the following questions:

information on the entering numbers at which are registered in system of clerical work of FFMS of Russia of the statement concerning licensing;

information on decision making on the specific statement concerning licensing;

data on regulations concerning licensing (the name, number, acceptance date of regulatory legal act);

the list of necessary documents for receipt of the license;

requirements to assurance of the documents enclosed to the application for receipt of result from execution of the state function;

the location on the official site of FFMS of Russia of information from registers of professional participants of the security market, and also reference materials concerning licensing.

Other questions are considered by FFMS of Russia only based on the corresponding written address.

2.3. Conditions and completion dates of the state function

2.3.1. For execution of the state function the documents which arrived on receipt of result from execution of the state function from applicants are subject to registration according to requirements of these Administrative regulations.

2.3.2. Consideration of documents is performed by department of licensing of members of the financial market of Management of regulation of activities of members of the FFMS of Russia financial market (daleeupravleniye, Department).

2.3.3. Documents, on receipt of result from execution of the state function from applicants, are registered within one working day from the moment of receipt in FFMS of Russia Administration and archive (further - UD) which sends them within one working day from registration date to the head of department.

2.3.4. In case of document registration in UD the following control terms are established:

- on licensing - 30 working days from registration date for consideration of documents of FFMS of Russia and adoption of the decision by it on them about licensing or about refusal in licensing;

- on licensing to the applicant having the current license for a period of three years - 15 working days from registration date for consideration of documents of FFMS of Russia and adoption of the decision by it on them;

- on renewal of the license - 10 working days from registration date for consideration of documents of FFMS of Russia and adoption of the decision by it on them;

- on issue of the duplicate of the form of the license - 10 working days from registration date for consideration of documents of FFMS of Russia and adoption of the decision by it on them;

- on cancellation of the license according to the statement of the licensee - 30 working days from registration date for consideration of documents of FFMS of Russia and adoption of the decision by it on them;

- on cancellation of the license in connection with cancellation or revocation of license for banking operations - for credit institutions - 7 working days from registration date for consideration of documents of FFMS of Russia and adoption of the decision by it on them.

2.4. Other conditions of execution of the state function

2.4.1. The documents which arrived in FFMS of Russia on licensing are considered according to the procedure of priority of their receipt.

2.4.2. Decisions on issue, renewal, cancellation of the license, and also on issue of the duplicate of the form of the license, on suspension and renewal actions of the license are taken by the head of FFMS of Russia according to Regulations on FFMS of Russia and Regulations of FFMS of Russia.

2.4.3. In case of renewal of the license number, date of issue and effective period of earlier granted license remain.

2.4.4. Licensed control is exercised by FFMS of Russia according to Regulations on FFMS of Russia, the Law, Procedure for licensing and Regulations of FFMS of Russia.

2.5. The list of the bases for refusal in licensing of the professional participant of the security market

2.5.1. The bases for refusal in licensing of the professional participant of the security market are:

a) availability in the documents submitted by the applicant, the doubtful or distorted information (including in constituent documents and documents of accounting records and own means of the applicant confirming availability);

b) discrepancy of the applicant to licensed requirements and conditions, established procedure of licensing;

c) discrepancy of the documents submitted by the applicant to requirements of the legislation of the Russian Federation about securities, including regulatory legal acts of federal executive body for the security market including the Procedure for licensing;

d) cancellation or revocation of license on banking operations, the Russian Federation issued by the Central bank (for credit institutions).

Disclaimer! This text was translated by AI translator and is not a valid juridical document. No warranty. No claim. More info