ORDER OF THE FEDERAL SERVICE FOR FINANCIAL MARKETS OF THE RUSSIAN FEDERATION

of September 20, 2007 No. 07-99/pz-n

About approval of Administrative regulations on execution of the state function by the Federal Service for Financial Markets under approval of codes of professional ethics of brokers, managing companies, specialized depositaries and non-state pension funds

According to Item 7 of the Procedure for development and approval of administrative regulations of execution state function 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, the Art. 4933), Items 5.2.9 and 5.3.12.2 of the Regulations on the Federal Service for Financial Markets approved by the Order of the Government of the Russian Federation of June 30, 2004 N317 (The Russian Federation Code, 2004, N 27, Art. 2780; 2005, N 33, Art. 3429; 2006, N 13, Art. 1400; 2006, N 52, Art. 5587; 2007, N 12, 1417) I order to the Art.:

1. Approve the enclosed Administrative regulations on execution of the state function by the Federal Service for Financial Markets under approval of codes of professional ethics of brokers, managing companies, specialized depositaries and non-state pension funds.

2. To impose control of execution of this order on the deputy manager of the Federal Service for Financial Markets S. K. Kharlamov.

Approved by the Order of the Federal Service for Financial Markets of September 20, 2007, No. 07-99/pz-n

Administrative regulations on execution of the state function by the Federal Service for Financial Markets under approval of codes of professional ethics of brokers, managing companies, specialized depositaries and non-state pension funds

I. General provisions

1. The administrative regulations under approval of codes of professional ethics of brokers, managing companies, specialized depositaries and non-state pension funds (further - Administrative 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), order of interaction between its structural divisions and officials.

2. Execution of the state function under approval of codes of professional ethics of brokers, managing companies, specialized depositaries and non-state pension funds includes the following ministerial procedures:

a) approval of codes of professional ethics of the brokers, managing companies and specialized depositaries performing the activities connected with forming and investment of means of pension accruals;

b) approval of changes in codes of professional ethics of the brokers, managing companies and specialized depositaries performing the activities connected with forming and investment of means of pension accruals;

c) approval of codes of professional ethics of the non-state pension funds performing activities as the insurer for mandatory pension insurance;

d) approval of changes in codes of professional ethics of the non-state pension funds performing activities as the insurer for mandatory pension insurance;

e) approval of codes of professional ethics of managing companies, specialized depositary, the brokers performing the activities connected with forming and investment of accumulatings for housing providing the military personnel;

e) approval of changes in codes of professional ethics of managing companies, specialized depositary, the brokers performing the activities connected with forming and investment of accumulatings for housing providing the military personnel.

3. Execution of the state function under approval of codes of professional ethics of brokers, managing companies, specialized depositaries and non-state pension funds is performed according to:

The Federal Law of May 07, 1998 N75-FZ "About Non-state Pension Funds" * (1) (further - the Law on the pension funds);

The Federal Law of July 24, 2002 N111-FZ "About Investment of Means for Financing of Funded Portion of Work Pension in the Russian Federation" * (2);

The Federal Law of August 20, 2004 N117-FZ "About Accumulative and Mortgage System of Housing Providing the Military Personnel" * (3);

the order of the Government of the Russian Federation of December 12, 2004 N770 "About Approval of the Model Code of Professional Ethics of Managing Companies, Specialized Depositary, the Brokers Performing the Activities Connected with Forming and Investment of Means of Pension Accruals, and Rules of Approval of Codes of Professional Ethics of Managing Companies, Specialized Depositary, the Brokers Performing the Activities Connected with Forming and Investment of Means of Pension Accruals with the Federal Service for Financial Markets" * (4);

the order of the Government of the Russian Federation of June 17, 2005 N383 "About Approval of the Model Code of Professional Ethics of Managing Companies, Specialized Depositary, the Brokers Performing the Activities Connected with Forming and Investment of Accumulatings for Housing Providing the Military Personnel, and Rules of Approval of Codes of Professional Ethics of Managing Companies, Specialized Depositary, the Brokers Performing the Activities Connected with Forming and Investment of Accumulatings for Housing Providing the Military Personnel with the Federal Service for Financial Markets" * (5);

the order of the Government of the Russian Federation of July 29, 2005 N465 "About Approval of the Model Code of Professional Ethics of the Non-state Pension Funds Performing Activities as the Insurer for Mandatory Pension Insurance and Rules of Approval of Codes of Professional Ethics of the Non-state Pension Funds Performing Activities as the Insurer for Mandatory Pension Insurance with the Federal Service for Financial Markets" * (6) (further - Rules);

the order of the Government of the Russian Federation of June 30, 2004 N317 "About Approval of the Regulations on the Federal Service for Financial Markets" * (7).

4. Execution of the state function under approval of codes of professional ethics of brokers, managing companies, specialized depositaries and non-state pension funds (further - execution of the state function) is performed by FFMS of Russia.

 

Procedure for informing on execution of the state function

5. FFMS of Russia for the purpose of informing brokers, managing companies, specialized depositaries and non-state pension funds (further - the applicant, applicants), creates open and public state information resources about execution of the state function, by publication on the official site on the Internet (www.fsfm.gov.ru) of the text of Administrative regulations, the regulatory legal acts specified in Item 3 presents of Administrative regulations.

6. Except information specified in Item 5 of these Administrative regulations, FFMS of Russia publishes on the official site on the Internet (www.fsfm.gov.ru) in time, not exceeding the next day from acceptance date of decisions, the message on the decision made by FFMS of Russia concerning each of applicants:

about approval of codes of professional ethics of the brokers, managing companies and specialized depositaries performing the activities connected with forming and investment of means of pension accruals;

about approval of changes in codes of professional ethics of the brokers, managing companies and specialized depositaries performing the activities connected with forming and investment of means of pension accruals;

about approval of codes of professional ethics of the non-state pension funds performing activities as the insurer for mandatory pension insurance;

about approval of changes in codes of professional ethics of the non-state pension funds performing activities as the insurer for mandatory pension insurance;

about approval of codes of professional ethics of managing companies, specialized depositary, the brokers performing the activities connected with forming and investment of accumulatings for housing providing the military personnel;

about approval of changes in codes of professional ethics of managing companies, specialized depositary, the brokers performing the activities connected with forming and investment of accumulatings for housing providing the military personnel;

about refusal in approval of codes of professional ethics of the brokers, managing companies and specialized depositaries performing the activities connected with forming and investment of means of pension accruals, the codes of professional ethics of the non-state pension funds performing activities as the insurer for mandatory pension insurance, codes of professional ethics of managing companies, specialized depositary, brokers, performing the activities connected with forming and investment of accumulatings for housing providing the military personnel (changes in them).

7. In case of receipt from the applicant of the written request on receipt of forms of the statements and other documents necessary for execution of the state function, FFMS of Russia submits these forms and documents mail service or in the way of transfer on hands to person having the power of attorney which is drawn up in accordance with the established procedure, under list in time, not exceeding 3 working days from registration date in Administration and FFMS of Russia archive (further - UD) the corresponding request.

Requests for receipt of the above-stated documents or explanations should be sent to central office of FFMS of Russia by mail or in the way of transfer to expedition of central office of FFMS of Russia.

The central office of FFMS of Russia and its expedition are at the address: 119991, GSP-1, Moscow, Leninsky Prospekt, 9.

Phone: 935-87-90;

Fax: 935-87-91.

Working hours of expedition:

Monday 09.00-17.00

Tuesday 09.00-17.00

Circle 09.00-17.00

Thursday 09.00-17.00

Friday 09.00-15.45

Saturday the Day off

Sunday the Day off.

8. Explanations according to the procedure of execution of the state function can be provided:

according to written addresses;

by phone.

9. By provision of oral explanations according to the procedure of execution of the state function in case of the response to phone calls, employees of FFMS of Russia shall be guided by the requirements to office behavior of the civil servant established by the Federal Law of July 27, 2004 N79-FZ "About the Public Civil Service of the Russian Federation" * (8) and the General principles of office behavior of government employees approved by the Presidential decree of the Russian Federation of August 12, 2002 N885 * (9).

10. Answers to written addresses concerning execution of the state function go by mail to the applicant in time, not exceeding 30 days from registration date of the written appeal to FFMS of Russia.

11. By provision of reference information by phone employees of FFMS of Russia shall, according to the arrived request, to provide information on the following questions:

about the entering numbers at which are registered in system of clerical work of FFMS of Russia of the statement for approval of codes of professional ethics of brokers, managing companies, non-state pension funds and specialized depositaries (changes in them);

about decision making according to the specific statement concerning approval of codes of professional ethics of brokers, managing companies, non-state pension funds and specialized depositaries (changes in them);

about regulatory legal acts concerning approval of codes of professional ethics of brokers, managing companies, non-state pension funds and specialized depositaries (changes in them) (the name, number, acceptance date of regulatory legal act);

about the list of necessary documents for review codes of professional ethics of brokers, managing companies, non-state pension funds and specialized depositaries (changes in them);

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