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

of January 25, 2011 No. 11-5/pz-n

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

According to the Federal Law of 07.07.2010 N 210-FZ "About the organization of provision of the state and municipal services" (The Russian Federation Code, 2010, N 31, the Art. 4179) and Item 9 of the Procedure for development and approval of administrative regulations of execution of the state functions (provision of the state services) approved by the Order of the Government of the Russian Federation of 11.11.2005 N 679 (The Russian Federation Code, 2005, N 47, Art. 4933; 2007, N 50, Art. 6285; 2008, N 18, Art. 2063; 2009, N 41, to the Art. 4765), I order:

1. Approve the enclosed Administrative regulations on provision by the Federal Service for Financial Markets of the state service in licensing of activities of professional participants of the security market.

2. Recognize to invalid:

The order of FFMS of Russia of 21.08.2007 N 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" (it is registered by the Ministry of Justice of the Russian Federation on October 3, 2007, registration N 10248);

The order of FFMS of Russia of 18.11.2008 N 08-53/pz-n "About modification of the 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 approved by the Order of FFMS of Russia of August 21, 2007 N 07-90/pz-n" (it is registered by the Ministry of Justice of the Russian Federation on February 16, 2009, registration N 13353);

The order of FFMS of Russia of 20.10.2009 N 09-42/pz-n "About modification of the 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 approved by the Order of FFMS of Russia of August 21, 2007 N 07-90/pz-n" (it is registered by the Ministry of Justice of the Russian Federation on March 4, 2010, registration N 16556);

The order of FFMS of Russia of 01.04.2010 N 10-27/pz-n "About modification of the 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 approved by the Order of FFMS of Russia of August 21, 2007 N 07-90/pz-n" (it is registered by the Ministry of Justice of the Russian Federation on May 13, 2010, registration N 17204).

No. 11-5/pz-n is approved by the Order of the Federal Service of the Russian Federation on the financial markets of January 25, 2011

Administrative regulations on provision by the Federal Service for Financial Markets of the state service in licensing of activities of professional participants of the security market

I. General provisions

1. These Administrative regulations on provision by the Federal Service for Financial Markets of the state service in licensing of activities of professional participants of the security market (further - Administrative regulations) establish terms and the sequence of ministerial procedures and administrative actions of the Federal Service for Financial Markets, its structural divisions, order of interaction between its structural divisions and workers.

The description of the applicants having the right in accordance with the legislation of the Russian Federation or owing to investment with their applicants according to the procedure, established by the legislation of the Russian Federation, powers to act from their name in case of interaction with relevant organs of the executive authority in case of execution of the state service

2. Any legal entity registered in accordance with the established procedure in the territory of the Russian Federation (further - the license applicant), and also the legal entity who already performs one of the types of activity licensed in accordance with the legislation of the Russian Federation and these Administrative regulations (further - the licensee), and also any interested persons who addressed for receipt of the statement from the register of professional participants of the security market (further - the register of licenses) can be the applicant.

II. Standard of provision of the state service

Name of the state service

3. Provision of the state service in licensing of activities of professional participants of the security market.

The name of the federal executive body providing the state service in licensing of activities of professional participants of the security market

4. Provision of the state service in licensing of activities of professional participants of the security market is performed by the Federal Service for Financial Markets.

Result of provision of the state service in licensing of activities of professional participants of the security market

5. Accomplishment of the following ministerial procedures is result of provision of the state service in licensing of activities of professional participants of the security market:

a) provision of licenses for implementation of broker activities, dealer activities, activities for management of securities, depository activity, clearing activities, activities for the organization of trade, activities for maintaining the register of owners of securities and activities for the organization of trade in the security market as stock exchange;

b) renewal of the document confirming license availability;

c) provision of the duplicate of the document confirming license availability;

d) 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);

e) issue of forms of licenses to licensees;

g) provision of statements from the register of professional participants of the security market.

The ministerial procedures specified in the Items "and" - "д", are performed by FFMS of Russia, and the ministerial procedures specified in the Items "e" and "zh", territorial authorities of FFMS of Russia in the location of licensees.

Terms of provision of the state service in licensing of activities of professional participants of the security market

6. In case of document registration in Administration and archive (further - UD) establish the following terms:

- on licensing - 60 working days from registration date for consideration of documents of FFMS of Russia and decision making on them about licensing or about refusal in licensing;

- on renewal of the license - 15 working days from registration date for consideration of documents of FFMS of Russia and decision making 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 decision making 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 decision making 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 decision making on them.

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 (further - Management, Department).

Legal basis for provision of the state service in licensing of activities of professional participants of the security market

7. Provision of the state service in licensing of activities of professional participants of the security market is performed according to:

Tax Code of the Russian Federation (Chapter 25. 3) (Russian Federation Code, 2000, N 32, Art. 3340; 2004, N 45, Art. 4377; 2005, N 1, Art. 29, 30; N 30, of Art. 3117; N 50, of Art. 5246; N 52, of Art. 5581; 2006, N 1, Art. 12; N 27, of Art. 2881; N 31, of Art. 3436; N 43, of Art. 4412; 2007, N 1, Art. 7; N 31, of Art. 4013; N 46, of Art. 5553; N 49, of Art. 6071; 2008, N 52, Art. 6218, 6219, 6227; 2009, N 1, Art. 19; N 29, of the Art. 3582, 3625; N 30, of Art. 3735; 2010, N 15, Art. 1737; N 18, of Art. 2145; N 19, of Art. 2291; N 28, of Art. 3553; N 31, of Art. 4198; N 32, of Art. 4298; N 40, of Art. 4969; N 46, of Art. 5918; N 48, of the Art. 6247);

The Federal Law of 22.04.1996 N 39-FZ "About the security market" (The 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 18, of Art. 2117; N 22, of Art. 2563; N 41, of Art. 4845; N 50, of the Art. 6247, Art. 6249; 2008, N 44, Art. 4982; N 52, of Art. 6221; 2009, N 1, Art. 28; N 7, of Art. 777; N 18, of Art. 2154; N 23, of Art. 2770; N 29, of Art. 3642; N 48, N 5731; N 52, of Art. 6428; 2010, N 17, Art. 1988; N 41, of the Art. 5193) (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 N 317 (The Russian Federation Code, 2004, N 27, Art. 2780; 2005, N 33, Art. 3429; 2006, N 13, Art. 1400; N 52, of Art. 5587; 2007, N 12, Art. 1417; 2008, N 19, Art. 2192; N 46, of Art. 5337; 2009, N 3, Art. 378; N 6, of Art. 738; 2010, N 26, the Art. 3350) (further - Regulations on FFMS of Russia);

The regulations on licensed requirements and conditions of implementation of professional activity in the security market approved by the Order of FFMS of Russia of 20.07.2010 of N 10-49/pz-n (it is registered by the Ministry of Justice of the Russian Federation 30.08.2010, registration N 18288) (further - Regulations on licensed requirements);

The regulations of the Federal Service for Financial Markets approved by the Order of FFMS of Russia of 12.08.2010 of N 10-55/pz-n (it is registered by the Ministry of Justice of the Russian Federation 29.09.2010, registration N 18583) (further - Regulations of FFMS of Russia).

8. By preparation of set of documents for passing of the procedure of licensing it is necessary to be guided by the following regulatory legal acts:

The Federal Law of 30.12.2008 N 307-FZ "About auditor activities" (The Russian Federation Code, 2009, N 1, Art. 15; 2010, N 27, Art. 3420; 2011, N 1, Art. 12);

The regulations on procedure of payments of own means of professional participants of the security market, managing companies of the investment funds, mutual investment funds and non-state pension funds, commodity exchanges and exchange intermediaries signing the agreements which are derivative financial instruments which basic asset are the exchange goods in exchange trade, 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) <*>;

<*> With the made changes by the Order of FFMS of Russia of 06.05.2010 N 10-31/pz-n "About introduction of amendments to the Order of FFMS of Russia of 23.10.2008 N 08-41/pz-n "About approval of 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" (it is registered in Ministry of Justice of the Russian Federation 09.06. 2010, registration N 17537), the Order of FFMS of Russia of 22.06.2010 N 10-43/pzn "About approval of changes which are made to the Regulations on procedure of payments of own means of professional participants of the security market, managing companies of the investment funds, mutual investment funds and non-state pension funds, commodity exchanges and exchange intermediaries signing the agreements which are derivative financial instruments which basic asset are the exchange goods in exchange trade, approved by the Order of the Federal Service for Financial Markets of 23.10.2008 of N 08-41/pz-n" (it is registered in Ministry of Justice of the Russian Federation from 26.07.2010, registration N 17972).

The regulations on specialists of the financial market approved by the Order of FFMS of Russia of 28.01.2010 of N 10-4/pz-n (it is registered by the Ministry of Justice of the Russian Federation 06.05. 2010, registration number 17130);

The order of the Ministry of Internal Affairs of Russia of 01.11.2001 N 965 "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 3153) <*>;

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