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

of August 2, 2011 No. 11-36/pz-n

About modification of the Procedure for the organization of electronic document management in case of submission of electronic documents with the digital signature in the Federal Service for Financial Markets approved by the order of FFMS of Russia of March 25, 2010 No. 10-21/pz-n

According to the Federal Law from 10.01.2002 N 1-FZ "About the digital signature" (The Russian Federation Code, 2002, N 2, Art. 127; 2007, N 46, the Art. 5554), with Articles 54, 55 Federal Laws of 29.11.2001 N 156-FZ "About investment funds" (The Russian Federation Code, 2001, N 49, Art. 4562; 2004, N 27, Art. 2711; 2006, N 17, Art. 1780; 2007, N 50, Art. 6247; 2008, N 30, Art. 3616; 2009, N 48, Art. 5731; 2010, N 17, Art. 1988; 2010, N 31, Art. 4193; 2010, N 41 (2 h), the Art. 5193), the order of FFMS of Russia of 19.11.2009 N 09-49/pz-n "About procedure and terms of submission of the reporting by professional participants of the security market" (it is registered in the Ministry of Justice of the Russian Federation 31.12. 2009, registration N 15934) and 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, Art. 3350; 2011, N 7, Art. 976; N 14, of Art. 1935; To N 15, of the Art. 2137), I order:

1. Approve the enclosed Changes in the Procedure for the organization of electronic document management in case of submission of electronic documents with the digital signature in the Federal Service for Financial Markets approved by the order of FFMS of Russia of 25.03.2010 of N 10-21/pz-n (it is registered in the Ministry of Justice of the Russian Federation 25.05.2010, registration N 17347) * (The bulletin of regulations of federal executive bodies, 2010, N 34).

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

Changes in the Procedure for the organization of electronic document management in case of submission of electronic documents with the digital signature in the Federal Service for Financial Markets approved by the Order of FFMS of Russia of March 25, 2010 No. 10-21/pz-n

1. The paragraph one of Item 2.1 of the Procedure for the organization of the electronic document management in case of submission of electronic documents with the digital signature in the Federal Service for Financial Markets approved by the order of FFMS of Russia of 25.03.2010 of N 1021/pz-N * (further - the Procedure) to state in the following edition:

"2.1. The participant of information exchange prepares electronic documents or by means of current version of the program questionnaire posted by FFMS of Russia in open entry on the official site to the address: www.ffms.ru (further - the website of FFMS of Russia) in the Section "Participants of the Financial Market / Electronic Document Management" (daleeprogramma-questionnaire), or by means of own software according to the XML schemes posted on the website by FFMS of Russia in the specified Section and which are part of distribution kit of the program questionnaire (XSD folder).".

2. To state Item 2.2 of the Procedure in the following edition:

"2.2. The participant of information exchange when forming the electronic document appropriates it reference number, unique for such participant and year of submission of the electronic document, with indication of date of assignment of reference number. Uniqueness of reference number remains within one calendar year.".

3. To exclude Item 2.4.3 of the Procedure.

4. To state Item 2.5 of the Procedure in the following edition:

"2.5. The prepared file with the electronic document shall be saved in the format offered by the program questionnaire. The received file of the electronic document is signed by means of the cryptographic program.

Further the participant of information exchange creates the archive file in the ZIP format including the file with the electronic document and the file (files) of the EDS of the authorized person (persons) (further - Archive). Forming of content of Archive in the following options is allowed:

1) .zip (.xtdd + [ETsP]1 +... + [EDS] of n),

2) .zip (.zip(.xtdd) + [ETsP]1 +... + [EDS] of n),

where n - the number of the EDS which depends on form of an electronic document.

The Archive received thus shall not comprise other files and folders.".

5. Add the Procedure with Item 2.10 in the following edition:

"2.10. In case of technical failure on the party of FFMS of Russia in case of representation by participants of information exchange of electronic documents of FFMS of Russia, (daleesby) on the website, information with indication of date and time of the termination of acceptance of electronic documents is posted in the section "Participants of the Financial Market / Personal Account". After elimination of failure information with indication of date and time of renewal of acceptance of electronic documents is posted on the website of FFMS of Russia.

In case of the planned temporary termination of acceptance of electronic documents on the website of FFMS of Russia in the Section "Participants of the Financial Market / Personal Account" information with indication of date and time of the termination and renewal of acceptance of electronic documents is placed.

Information on the happened failure and/or the temporary termination of acceptance of electronic documents shall be available on the website of FFMS of Russia in the Section "Participants of the Financial Market / Personal Account" within one year.

If as a result of the failure taking place and/or the temporary termination of acceptance of electronic documents the participant of information exchange had no opportunity to submit the electronic document in time established for its submission to FFMS of Russia, such event cannot be considered as violation by the participant of information exchange of the legislation of the Russian Federation.".

6. Items 3.8 - 3.10 About to state in the following edition:

"3.8. If by results of check to the participant of information exchange the notification containing information on mistake arrived, the participant of information exchange needs to correct the corresponding error and to repeat all procedure of departure of the electronic document.

3.9. The electronic document which underwent incoming inspection is registered in electronic document management system in FFMS of Russia. In case of registration the entering number is assigned to the electronic document that is confirmed by the notification "The Entering Number Is Assigned to the Document" sent to FFMS of Russia. The specified notification contains the following significant information:

the reference number of the notification assigned to FFMS of Russia;

permanent identifier of the electronic document;

the name of the electronic document appropriated by the participant of information exchange;

the reference number and date of the electronic document appropriated by the participant of information exchange;

INN of the participant of information exchange;

PSRN of the participant of information exchange;

status of verification of the electronic document;

date and time (Moscow time) changes of the status of the electronic document;

the entering number of the electronic document assigned to FFMS of Russia;

registration date of the electronic document in FFMS of Russia.

If the participant of information exchange did not appropriate to the electronic document reference number, unique for such participant and year of submission of the electronic document, to the participant of information exchange the notification on refusal goes to registration of the electronic document in The Document Is Not Registered electronic document management system. The description and disaggregation of the notification on refusal in registration of the electronic document in The Document Is Not Registered electronic document management system is posted on the website of FFMS of Russia in the Section "Participants of the Financial Market / Electronic Document Management".

3.10. The notification "The Document Is Accepted to Processing" created and sent to the participant of information exchange upon completion of the II stage of check as well as the notification "The Entering Number Is Assigned to the Document", confirms submission by the participant of information exchange of the electronic document to FFMS of Russia.

Date and time of receipt of the electronic document of FFMS of Russia the date and time (Moscow time) specified in the notification "The EDS Is Correct" created and sent to the participant of information exchange upon completion of the I stage of check on condition of obtaining to them according to the same electronic document of the notification "The Document Is Accepted to Processing" or the notification "The Entering Number Is Assigned to the Document." are.

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