It is registered
in the Ministry of Justice
Russian Federation
On May 28, 2012 No. 24335
of January 12, 2012 No. 12-1/pz-n
About approval of the Regulations on accreditation of the organizations performing certification of specialists of the financial market
According to Item 14 of article 42 of 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 Art. 6247; N 50, of Art. 6249; 2008, N 44, Art. 4982; N 52 (p. I), Art. 6221; 2009, N 1, Art. 28; N 7, of Art. 777; N 18 (p. I), Art. 2154; N 23, of Art. 2770; N 29, of Art. 3642; N 48, of Art. 5731; N 52 (p. I), Art. 6428; 2010, N 17, Art. 1988; N 31, of Art. 4193; N 41 (p. II), Art. 5193; 2011, N 7, Art. 905; N 27, of Art. 3880; N 29, of Art. 4291; N 48, of Art. 6728; N 49 (p. I), the Art. 7040), the subitem 8 of Item 2 of article 55 of the Federal Law 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 (p. II), Art. 3616; 2009, N 48, Art. 5731; 2010, N 17, Art. 1988; N 31, of Art. 4193; N 41 (p. II), Art. 5193; 2011, N 49 (p. I), Art. 7040; N 49 (p. V), the Art. 7061), the subitem 13 of Item 3 of article 34 of the Federal Law of 07.05.1998 N 75-FZ "About non-state pension funds" (The Russian Federation Code, 1998, N 19, Art. 2071; 2001, N 7, Art. 623; 2002, N 12, Art. 1093; 2003, N 2, Art. 166; 2004, N 49, Art. 4854; 2005, N 19, Art. 1755; 2006, N 43, Art. 4412; 2007, N 50, Art. 6247; 2008, N 18, Art. 1942; N 30 (p. II), Art. 3616; 2009, N 29, Art. 3619; N 48, of Art. 5731; N 52 (p. I), Art. 6450; N 52 (p. I), Art. 6454; 2010, N 17, Art. 1988; N 31, of Art. 4196; 2011, N 29, Art. 4291; N 48, of Art. 6728; N 49 (p. I), Art. 7036; N 49 (p. I), Art. 7040; N 49 (p. V), the Art. 7061) and the Regulations on the Federal Service for Financial Markets approved by the order of the Government of the Russian Federation of 29.08.2011 N 717 "About some questions of state regulation in the field of the financial market of the Russian Federation" (The Russian Federation Code, 2011, N 36, to the Art. 5148), I order:
1. Approve the enclosed Regulations on accreditation of the organizations performing certification of specialists of the financial market (further - the Provision).
2. Recognize to invalid:
the order of FFMS of Russia of 08.08.2006 N 06-87/pz-n "About approval of the Regulations on accreditation of the organizations performing certification of specialists of the financial market" (it is registered by the Ministry of Justice of the Russian Federation 15.09. 2006, registration N 8298),
the order of FFMS of Russia of 24.06.2008 N 08-26/pz-n "About modification and amendments in the Regulations on accreditation of the organizations performing certification of specialists of the financial market, approved by the order of FFMS of Russia of 08.08.2006 of N 06-87/pz-n" (it is registered by the Ministry of Justice of the Russian Federation 09.07. 2008, registration N 11941),
the order of FFMS of Russia of 30.03.2010 N 10-26/pz-n "About introduction of amendments to the order of FFMS of Russia of 08.08.2006 N 06-87/pz-n "About approval of the Regulations on accreditation of the organizations performing certification of specialists of the financial market" (it is registered by the Ministry of Justice of the Russian Federation 05.05. 2010, registration N 17107).
Head of D.V.PANKIN
Approved by the order of FFMS of Russia of January 12, 2012 No. 12-1/pz-n
1.1. This Provision determines conditions and procedure for accreditation of the organizations performing certification of citizens in the field of professional activity in the security market in the field of activities of joint-stock investment funds, managing companies of investment funds, mutual investment funds and non-state pension funds, specialized depositaries of investment funds, mutual investment funds and non-state pension funds, in the field of activities of non-state pension funds for non-state pension provision, mandatory pension insurance and professional pension insurance (further - certification of specialists of the financial market).
1.2. The educational institutions of the higher or additional professional education performing training in the field of the security market (further - educational institutions), and also self-regulatory organizations of professional participants of the security market, self-regulatory organizations of managing companies of investment funds, mutual investment funds and non-state pension funds have the right to perform certification of specialists of the financial market (further - self-regulatory organizations).
For receipt of accreditation by the organization applying for implementation of certification of specialists of the financial market (further - the applicant), the following conditions are:
2.1. the applicant shall be the legal entity created in accordance with the legislation of the Russian Federation;
2.2. availability at the applicant of the certifying commission created at least from 5 members and the relevant document determining operating procedure of such commission;
2.3. availability at the applicant of the software and hardware allowing to create examination tests (further - tests) according to the programs of qualification examinations for specialists of the financial market approved by FFMS of Russia;
2.4. availability at the applicant of the relevant document regulating acceptance of qualification examinations for specialists of the financial market (further - Regulations);
2.5. for receipt of accreditation the applicant, being educational institution, in addition to the conditions provided in Items 2.1 - 2.4 Provisions, shall meet the following conditions:
a) implementation by the applicant of educational activities based on the license for the right of implementation of educational activities within at least 5 years preceding submission of documents for receipt of accreditation;
b) preparation (in form of education) the applicant at least 500 certified specialists (bachelors, masters) on specializations: "Securities", "Security market", "Stock markets" or "Financial markets", belonging to specialty of higher education "Finance and the credit", or within 3 years preceding submission of documents for receipt of accreditation - at least 3000 citizens for passing qualification examinations on qualification assignment "the specialist of the financial market";
2.6. for receipt of accreditation the applicant, being self-regulatory organization, in addition to the conditions provided in Items 2.1 - 2.4 Provisions, shall meet the following conditions:
a) implementation by the applicant of activities of self-regulatory organization based on the solution of federal executive body on the security market about issue of permission to acquisition of the status of self-regulatory organization within at least 5 years preceding submission of documents for receipt of accreditation;
b) availability in self-regulatory organization at least 50 members;
2.7. payment by the applicant of the state fee for accreditation of the organizations performing certification of physical persons in the field of professional activity in the security market in the form of acceptance of qualification examinations and the issue of competence certificates levied in accordance with the legislation of the Russian Federation about taxes and fees.
3.1. For receipt of accreditation the applicant submits the following documents to FFMS of Russia:
3.1.1. questionnaire statement (appendix N 1 to the Provision);
3.1.2. copies of constituent documents;
3.1.3. the list of members of certifying commission of the applicant and the copy of the document provided in Provision Item 2.2;
3.1.4. Regulations in duplicate.
3.2. The decision on accreditation or on refusal in accreditation is accepted by FFMS of Russia within 30 working days from receipt date of complete set of the documents provided in Provision Item 3.1.
3.3. In case of idea of incomplete set of the documents necessary for decision making of accreditation, or submission of the documents which are not drawn up in accordance with the established procedure FFMS of Russia returns to the applicant the documents submitted for receipt of accreditation without consideration within 15 working days from the date of their obtaining FFMS of Russia.
3.4. During the term of consideration of the documents submitted for receipt of accreditation, FFMS of Russia performs check of reliability of the data containing in the documents submitted for receipt of accreditation and check of the software and hardware for forming of tests and the software and hardware for determination of results of examinations (in the presence of such software and hardware). In case of the direction to the applicant of request about provision of additional documents (data) the current of term, stipulated in Item 3.2 Provisions, stops for the period of conducting check, but no more than for 60 days.
Check of the software and hardware for forming of tests and the software and hardware for determination of results of examinations is carried out by FFMS of Russia in the location of the applicant to the terms which are in advance stipulated with the applicant. Upon completion of check of the software and hardware the conclusion about possibility of use by the applicant of the software and hardware for forming of tests and the software and hardware for determination of results of examinations is constituted (in the presence of such software and hardware).
In case of receipt in FFMS of Russia of the statement of the accredited organization for possibility of use of the software and hardware for determination of results of examinations of FFMS of Russia performs check of such software and hardware no later than 15 working days from receipt date of the specified statement in time.
3.5. The bases for refusal in accreditation are:
3.5.1. discrepancy of the applicant to the requirements provided in Items 2.1 - 2.5 Provisions;
3.5.2. availability in documents of the applicant of the doubtful or distorted information;
3.5.3. the conclusion by results of the check provided in Provision Item 3.4 about impossibility of use by the applicant of the software and hardware for forming of tests;
3.5.4. non-presentation within 60 days based on request, stipulated in Item 3.4 Provisions, all documents (data) necessary for decision making on accreditation, or the corrected and/or added documents.
3.6. FFMS of Russia in writing notifies the applicant on decision making about accreditation or about refusal in accreditation within 5 working days from acceptance date of the relevant decision, in case of decision making about accreditation also directs copy of the approved Regulations.
3.7. In case of decision making about accreditation of FFMS of Russia:
3.7.1. in time, not exceeding 10 working days from decision date about accreditation, draws up the certificate confirming accreditation, containing information on full name of the organization, the organization location, term to which the accredited organization has the right to perform certification of specialists of the financial market and sends it to territorial authority of FFMS of Russia in the location of the accredited organization for issue on hands to the authorized representative of the accredited organization;
3.7.2. within 5 working days from decision date about accreditation provides to the accredited organization the examination questions approved by FFMS of Russia, and in case of modification and amendments of examination questions - within 5 working days from approval date of such changes and amendments sends them to the accredited organization;
3.7.3. within 5 working days from decision date about accreditation sends the list of authorized employees of FFMS of Russia to the accredited organization, and in subsequent - in time no later than 5 working days from the date of modification and amendments of the specified list notifies the accredited organization on such changes and amendments.
3.8. During the term of implementation of accreditation of FFMS of Russia has the right to check the accredited organization regarding observance of conditions of accreditation by it and the requirements established by the documents specified in Items 2.2 - 2.4 Provisions.
3.9. Accreditation is performed for the term of 3 years which can be prolonged.
3.10. Conditions of prolongation of accreditation are:
3.10.1. the applicant's compliance to conditions to accreditation and the requirements established by the documents specified in Items 2.2 - 2.4 Provisions;
3.10.2. issue by the applicant at least 500 certificates of specialists of the financial market within 3 years preceding submission of documents on accreditation prolongation.
3.11. For accreditation prolongation the applicant in time not earlier than before 60 working days before the accreditation expiration at least in 20 working days prior to the expiration of accreditation submits the following documents to FFMS of Russia:
3.11.1. the documents provided in Provision Item 3.1;
3.11.2. certificate on accreditation.
3.12. In case of idea of incomplete set of the documents necessary for decision making of prolongation of accreditation, submission of the documents which are not drawn up in accordance with the established procedure or representation of set of documents not in time, stipulated in Item 3.11 Provisions, FFMS of Russia FFMS of Russia returns to the applicant the documents submitted for accreditation prolongation without consideration within 10 working days from the date of their obtaining.
3.13. During the term of consideration of the documents submitted for prolongation of accreditation, FFMS of Russia has the right to perform check of reliability of the data containing in the documents submitted for accreditation prolongation, and also check of observance of requirements, established by the documents specified in Items 2.2 - 2.4 Provisions.
3.14. The bases for refusal in prolongation of accreditation are:
3.14.1. discrepancy of the applicant to the requirements provided in Provision Item 3.10;
3.14.2. availability in the documents submitted by the applicant, the doubtful or distorted information.
3.15. FFMS of Russia in writing notifies the applicant on decision making about prolongation of accreditation or about refusal in prolongation of accreditation within 5 working days from acceptance date of the relevant decision, in case of decision making about prolongation of accreditation of FFMS of Russia also directs copy of the approved Regulations.
3.16. In case of decision making about prolongation of accreditation of FFMS of Russia in time, not exceeding 10 working days from acceptance date of such decision, draws up the certificate confirming accreditation, containing information on full name of the organization, the organization location, term to which the accredited organization has the right to perform certification of specialists of the financial market and sends it to territorial authority of FFMS of Russia in the location of the accredited organization for issue on hands to the authorized representative of the accredited organization.
3.17. FFMS of Russia makes the decision on withdrawal of accreditation on the following bases:
3.17.1. in connection with cancellation at the accredited organization of the license for the right of implementation of educational activities or the operating authority as self-regulatory organization;
3.17.2. in connection with gross or numerous violation of conditions of accreditation by the accredited organization and the requirements established by the documents specified in Items 2.2 - 2.4 Provisions;
3.17.3. at the initiative of the accredited organization.
3.18. In case of acceptance of FFMS of Russia of the decision on response at the organization of accreditation the notification on such decision with indication of the bases for response shall be sent to the specified organization within 5 working days from acceptance date of such decision.
3.19. Information on the accredited organizations is open for general acquaintance on the official page of FFMS of Russia on the Internet (www.ffms.ru).
3.20. In case of change of full name of the organization and/or the location of the organization the accredited organization for renewal of the certificate on accreditation in time, not exceeding 30 working days from registration date of all changes in the procedure established by the legislation of the Russian Federation, sends the following documents to FFMS of Russia:
3.20.1. the statement for renewal of the certificate on accreditation constituted on the form of the accredited organization according to the appendix N 2 to the Provision;
3.20.2. copies of the documents specified in Provision Item 3.1.2 with the changes made to them, assured in accordance with the established procedure, and also the document confirming entering of record into the Unified State Register of Legal Entities about modification of constituent documents of the legal entity;
3.20.3. certificate on accreditation.
3.21. In case of idea of incomplete set of the documents necessary for decision making of renewal of the certificate on accreditation, or submission of the documents which are not drawn up in accordance with the established procedure FFMS of Russia returns the documents submitted for renewal of the certificate on accreditation without consideration within 10 working days from the date of their obtaining to FFMS of Russia.
3.22. The decision on renewal of the certificate on accreditation is made by FFMS of Russia within 15 working days from the date of receipt of FFMS of Russia of the statement for renewal of the certificate on accreditation with application of documents specified in subitems 3.20.2 and 3.20.3 of the Provision.
3.23. FFMS of Russia in time, not exceeding 10 working days from decision date about renewal of the certificate on accreditation, renews the certificate on accreditation and sends it to territorial authority of FFMS of Russia in the location of the accredited organization for issue on hands to the authorized representative of the accredited organization.
3.24. Within 5 working days from decision date about renewal of the certificate on accreditation of FFMS of Russia makes corresponding changes to data on the accredited organizations on the website of FFMS of Russia on the Internet.
3.25. Copies of the documents submitted according to the Provision shall be certified in accordance with the established procedure. In the documents containing more than 1 leaf, sheets shall be stitched, numbered, under seal also the authorized signature.
to Regulations on accreditation of the organizations performing certification of specialists of the financial market
See Appendices 1-2 (6Kb In original language)
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