It is registered
Ministry of Justice
Russian Federation
On May 28, 2015 No. 37443
of April 23, 2015 No. 3627-U
About conditions and procedure for accreditation of the organizations performing certification of specialists of the financial market
This Instruction according to Item 14 of article 42 of the Federal Law of April 22, 1996 No. 39-FZ "About the security market" (The Russian Federation Code, 1996, No. 17, Art. 1918; 2001, No. 33, Art. 3424; 2002, No. 52, Art. 5141; 2004, No. 27, Art. 2711; No. 31, Art. 3225; 2005, No. 11, Art. 900; No. 25, Art. 2426; 2006, No. 1, Art. 5; No. 2, Art. 172; No. 17, Art. 1780; No. 31, Art. 3437; No. 43, Art. 4412; 2007, No. 1, Art. 45; No. 18, Art. 2117; No. 22, Art. 2563; No. 41, Art. 4845; No. 50, Art. 6247, Art. 6249; 2008, No. 52, Art. 6221; 2009, No. 1, Art. 28; No. 18, Art. 2154; No. 23, Art. 2770; No. 29, Art. 3642; No. 48, Art. 5731; No. 52, Art. 6428; 2010, No. 17, Art. 1988; No. 31, Art. 4193; No. 41, Art. 5193; 2011, No. 7, Art. 905; No. 23, Art. 3262; No. 27, Art. 3880; No. 29, Art. 4291; No. 48, Art. 6728; No. 49, Art. 7040; No. 50, Art. 7357; 2012, No. 25, Art. 3269; No. 31, Art. 4334; No. 53, Art. 7607; 2013, No. 26, Art. 3207; No. 30, Art. 4043, Art. 4082, Art. 4084; No. 51, Art. 6699; No. 52, Art. 6985; 2014, No. 30, Art. 4219; 2015, No. 14, the Art. 2022), the subitem 8 of Item 2 of article 55 of the Federal Law of November 29, 2001 No. 156-FZ "About investment funds" (The Russian Federation Code, 2001, No. 49, Art. 4562; 2004, No. 27, Art. 2711; 2006, No. 17, Art. 1780; 2007, No. 50, Art. 6247; 2008, No. 30, Art. 3616; 2009, No. 48, Art. 5731; 2010, No. 17, Art. 1988; No. 31, Art. 4193; 2011, No. 48, Art. 6728; No. 49, Art. 7040, Art. 7061; 2012, No. 31, Art. 4334; 2013, No. 26, Art. 3207; No. 27, Art. 3477; No. 30, Art. 4084; No. 51, Art. 6695, Art. 6699; 2014, No. 11, the Art. 1098), the subitem 13 of Item 3 of article 34 of the Federal Law of May 7, 1998 No. 75-FZ "About non-state pension funds" (The Russian Federation Code, 1998, No. 19, Art. 2071; 2001, No. 7, Art. 623; 2002, No. 12, Art. 1093; 2003, No. 2, Art. 166; 2004, No. 49, Art. 4854; 2005, No. 19, Art. 1755; 2006, No. 43, Art. 4412; 2007, No. 50, Art. 6247; 2008, No. 18, Art. 1942; No. 30, Art. 3616; 2009, No. 29, Art. 3619; No. 48, Art. 5731; No. 52, Art. 6450, Art. 6454; 2010, No. 17, Art. 1988; No. 31, Art. 4196; 2011, No. 29, Art. 4291; No. 48, Art. 6728; No. 49, Art. 7036, Art. 7037, Art. 7040, Art. 7061; 2012, No. 31, Art. 4322; No. 47, Art. 6391; No. 50, Art. 6965, Art. 6966; 2013, No. 19, Art. 2326; No. 30, Art. 4044, Art. 4084; No. 49, Art. 6352; No. 52, Art. 6975; 2014, No. 11, Art. 1098; No. 30, the Art. 4219), Item 18 of part 1 of article 25 of the Federal Law of February 7, 2011 No. 7-FZ "About clearing and clearing activities" (The Russian Federation Code, 2011, No. 7, Art. 904; No. 48, Art. 6728; No. 49, Art. 7040, Art. 7061; 2012, No. 53, Art. 7607; 2013, No. 30, Art. 4084; 2014, No. 11, the Art. 1098), Item 17 of part 1 of article 25 of the Federal Law of November 21, 2011 No. 325-FZ "About the organized biddings" (The Russian Federation Code, 2011, No. 48, Art. 6726; 2012, No. 53, Art. 7607; 2013, No. 30, Art. 4084; No. 51, the Art. 6699), the Federal Law of July 10, 2002 No. 86-FZ "About the Central bank the Russian Federation (Bank of Russia)" (The Russian Federation Code, 2002, No. 28, Art. 2790; 2003, No. 2, Art. 157; No. 52, Art. 5032; 2004, No. 27, Art. 2711; No. 31, Art. 3233; 2005, No. 25, Art. 2426; No. 30, Art. 3101; 2006, No. 19, Art. 2061; No. 25, Art. 2648; 2007, No. 1, Art. 9, Art. 10; No. 10, Art. 1151; No. 18, Art. 2117; 2008, No. 42, Art. 4696, Art. 4699; No. 44, Art. 4982; No. 52, Art. 6229, Art. 6231; 2009, No. 1, Art. 25; No. 29, Art. 3629; No. 48, Art. 5731; 2010, No. 45, Art. 5756; 2011, No. 7, Art. 907; No. 27, Art. 3873; No. 43, Art. 5973; No. 48, Art. 6728; 2012, No. 50, Art. 6954; No. 53, Art. 7591, Art. 7607; 2013, No. 11, Art. 1076; No. 14, Art. 1649; No. 19, Art. 2329; No. 27, Art. 3438, Art. 3476, Art. 3477; No. 30, Art. 4084; No. 49, Art. 6336; No. 51, Art. 6695, Art. 6699; No. 52, Art. 6975; 2014, No. 19, Art. 2311, Art. 2317; No. 27, Art. 3634; No. 30, Art. 4219; No. 45, Art. 6154; No. 52, Art. 7543; 2015, No. 1, of the Art. 4, the Art. 37) determines conditions and procedure for accreditation of the organizations performing certification of physical persons 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 for non-state pension provision, mandatory pension insurance, in the field of clearing activities, in the field of activities for carrying out the organized biddings (further - certification of specialists of the financial market).
1.1. The educational organizations of the higher or additional professional education performing training in the field of the financial market (further - the educational organizations), 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).
1.2. Receipt of accreditation by the organization applying for implementation of certification of specialists of the financial market (further - the applicant), requires observance of the following conditions:
the applicant shall be the legal entity created in accordance with the legislation of the Russian Federation;
the applicant shall have the certifying commission consisting at least of five members;
the applicant shall have the software and hardware allowing to create examination tests according to programs of qualification examinations for specialists of the financial market;
the applicant shall approve the document regulating acceptance of qualification examinations for specialists of the financial market (further - Regulations), and the document determining operating procedure of certifying commission (further - the Procedure);
the applicant shall pay 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.
1.3. For receipt of accreditation the applicant, being the educational organization, in addition to conditions, the stipulated in Item 1.2 presents of the Instruction, shall meet the following conditions:
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;
passing by the applicant, being the educational organization of higher education, state accreditation of educational activities, confirmed with the certificate on the state accreditation;
preparation (in form of education) the applicant at least 1000 specialists (bachelors, masters) in specializations: "Securities", "Security market", "Stock markets" or "Financial markets", belonging to specialty of higher education "Finance and the credit", or at least 3000 citizens for passing qualification examinations on qualification assignment "the specialist of the financial market" within three years preceding submission of documents for receipt of accreditation.
1.4. For receipt of accreditation the applicant, being self-regulatory organization, in addition to conditions, the stipulated in Item 1.2 presents of the Instruction, shall meet the following conditions:
implementation by the applicant of activities of self-regulatory organization within at least five years preceding submission of documents for receipt of accreditation;
availability in self-regulatory organization at least 50 members.
2.1. For receipt of accreditation the applicant represents to the Bank of Russia (structural division of the Bank of Russia to which powers implementation of accreditation of the organizations performing certification of specialists of the financial market is referred (further - authorized department), the following documents:
questionnaire statement (appendix 1 to this Instruction);
copies of constituent documents;
the list of members of certifying commission of the applicant containing data on qualification, academic degree and (or) ranks (in the presence), work experience, posts of members of certifying commission;
originals of the Regulations and Procedure;
the documents confirming data, the stipulated in Item 1.3 presents of the Instruction for the applicant, being the educational organization;
the documents confirming data, the stipulated in Item 1.4 presents of the Instruction for the applicant, being self-regulatory organization.
2.2. For confirmation of data, the stipulated in Item 1.3 presents of the Instruction, the applicant represents the list to those theses with indication of specialty (according to the diploma), specializations (according to the diploma), years of protection of the thesis or the list of names of qualification examinations on qualification assignment "the specialist of the financial market" for which delivery preparation, the period of training, details of documents based on which training was performed was performed.
During the term of consideration of the documents submitted for receipt of accreditation, the Bank of Russia performs check of reliability of the data containing in the documents submitted for receipt of accreditation.
2.3. The decision on accreditation or on refusal in accreditation is accepted by the Bank of Russia within 30 working days from receipt date in the Bank of Russia (authorized department) of complete set of documents, the stipulated in Item 2.1 presents of the Instruction.
2.4. In case of submission to the Bank of Russia (authorized department) of incomplete set of documents, the stipulated in Item 2.1 presents of the Instruction, discrepancy of the data containing in the specified documents, to requirements of the legislation of the Russian Federation, including requirements of this Instruction, the Bank of Russia (authorized department) sends to the applicant the adequate notice with indication of the revealed violations, need of submission of the corrected and (or) additional documents and term for their representation, but no more than 60 working days. In this case the current of term, the stipulated in Item 2.3 presents of the Instruction, stops and renews from the date of, the receipt by the Bank of Russia (authorized department) of the requested documents following behind day and if such documents are not submitted by the applicant - from the date of, the termination of the Bank of Russia of term specified in the notification following behind day for submission of the requested documents.
2.5. The decision on refusal in accreditation is made by the Bank of Russia on the following bases:
discrepancy of the submitted documents specified by Item 2.1 of this Instruction and (or) containing in them the data to requirements of the legislation of the Russian Federation, including requirements of this Instruction;
detection in the provided questionnaire statement and (or) other documents of data, untrue (false information) represented for receipt of accreditation according to this Instruction;
non-presentation during the term established in the notification, the stipulated in Item 2.4 presents of the Instruction corrected and (or) additional documents.
2.6. The Bank of Russia (authorized department) in writing notifies the applicant on decision making about accreditation or about refusal in accreditation within five working days from acceptance date of the relevant decision.
2.7. In case of decision making about accreditation the Bank of Russia (authorized department):
in time, not exceeding 10 working days from decision date about accreditation, draws up the certificate confirming accreditation of the organization performing certification of specialists of the financial market (further - the accredited organization), containing information on full name of the accredited organization, the location and the address of the accredited organization, term to which the accredited organization has the right to perform certification of specialists of the financial market, and sends it to territorial office of the Bank of Russia in the location of the accredited organization for issue on hands to the authorized representative of the accredited organization;
within five working days from decision date about accreditation represents to the accredited organization the approximate list of the examination questions recommended by coordination council on certification of specialists of the financial market (further - the approximate list of examination questions).
2.8. The Bank of Russia recommends to the accredited organizations to use the approximate list of examination questions when holding qualification examinations for certification of specialists of the financial market.
2.9. Accreditation is performed for a period of three years which can be prolonged.
2.10. Conditions of prolongation of accreditation are:
the applicant's compliance to accreditation conditions, except for the condition established by the paragraph the sixth Item 1.2 of this Instruction;
issue by the applicant at least 300 certificates of specialists of the financial market within three years preceding submission of documents on accreditation prolongation.
2.11. For accreditation prolongation the applicant not earlier than before 60 working days before the expiration of accreditation and not later than 20 working days before the expiration of accreditation represents the following documents to the Bank of Russia (authorized department):
documents, stipulated in Item 2.1 presents of the Instruction;
the original certificate about accreditation.
2.12. The decision on prolongation of accreditation or on refusal in prolongation of accreditation is accepted by the Bank of Russia within 30 working days from receipt date in the Bank of Russia (authorized department) of complete set of documents, the stipulated in Item 2.1 presents of the Instruction, and the original certificate about accreditation.
2.13. In case of submission to the Bank of Russia (authorized department) of incomplete set of documents, the stipulated in Item 2.1 presents of the Instruction, and (or) non-presentation of the original certificate about accreditation, discrepancies of the data containing in the specified documents, to requirements of the legislation of the Russian Federation, including requirements of this Instruction, the Bank of Russia (authorized department) sends to the accredited organization the adequate notice with indication of the revealed violations, need of submission of the corrected and (or) additional documents and term for their representation, but no more than 60 working days. In this case the current of term, stipulated in Item 2.12 these Instructions, stops and renews from the date of, the receipt by the Bank of Russia (authorized department) of the requested documents following behind day and if such documents are not submitted by the applicant - from the date of, the termination of the Bank of Russia of term specified in the notification following behind day for submission of the requested documents.
2.14. The decision on refusal in prolongation of accreditation is made by the Bank of Russia on the following bases:
discrepancy of the documents submitted according to Item 2.1 of this Instruction, and (or) the original certificate on accreditation and (or) containing in them the data to requirements of the legislation of the Russian Federation, including requirements of this Instruction;
detection in the provided questionnaire statement and (or) other documents of data, untrue (false information) represented for prolongation of accreditation according to this Instruction;
non-presentation during the term established in the notification, stipulated in Item 2.13 these Instructions, all documents (data) necessary for decision making on accreditation prolongation or corrected and (or) additional documents;
non-compliance with procedure for carrying out certification of specialists of the financial market established by the documents specified in paragraph five of Item 1.2 of this Instruction.
2.15. The Bank of Russia (authorized department) in writing notifies the applicant on decision making about prolongation of accreditation or about refusal in prolongation of accreditation within five working days from acceptance date of the relevant decision.
2.16. In case of decision making about accreditation prolongation the Bank of Russia (authorized department) in time which is not exceeding 10 working days from acceptance date of such decision draws up the certificate confirming accreditation, containing information on full name of the accredited organization, the location and the address of the accredited organization, term to which the accredited organization has the right to perform certification of specialists of the financial market and sends it to territorial office of the Bank of Russia in the location of the accredited organization for issue on hands to the authorized representative of the accredited organization.
2.17. The Bank of Russia makes the decision on withdrawal of accreditation on the following bases:
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;
in connection with the termination of compliance of the accredited organization to conditions of accreditation, the stipulated in Item 1.2 presents of the Instruction, and (or) violation by the accredited organization of procedure for carrying out certification of the specialists of the financial market established by the documents specified in paragraph five of Item 1.2 of this Instruction;
at the initiative of the accredited organization.
2.18. In case of adoption by the Bank of Russia of the decision on response at the accredited organization of accreditation the notification on such decision with indication of the bases for response shall be sent to the accredited organization within five working days from acceptance date of such decision.
2.19. Information on the accredited organizations performing certification of specialists of the financial market is open and public and is posted on the official site of the Bank of Russia on the Internet.
2.20. In case of change of full name of the accredited organization and (or) the location and the address of the accredited 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 the Bank of Russia (authorized department):
the statement for renewal of the certificate on accreditation constituted on the form of the accredited organization performing certification of specialists of the financial market (appendix 2 to this Instruction);
copies of the documents specified in paragraph three of Item 2.1 of this Instruction with the changes made to them, 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;
the original certificate about accreditation.
2.21. The decision on renewal of the certificate on accreditation is made by the Bank of Russia within 15 working days from the date of receipt by the Bank of Russia (authorized department) of the statement for renewal of the certificate on accreditation and the documents specified by Item 2.20 of this Instruction.
2.22. In case of submission to the Bank of Russia (authorized department) of incomplete set of documents, stipulated in Item 2.20 these Instructions, discrepancy of the data containing in the specified documents, to requirements of the legislation of the Russian Federation, including requirements of this Instruction, the Bank of Russia (authorized department) sends to the accredited organization the adequate notice with indication of the revealed violations, need of submission of the corrected and (or) additional documents and term for their representation, but no more than 60 working days. In this case the current of term, stipulated in Item 2.21 these Instructions, stops and renews from the date of, the receipt by the Bank of Russia (authorized department) of the requested documents following behind day and if such documents are not submitted by the applicant - from the date of, the termination of the Bank of Russia of term specified in the notification following behind day for submission of the requested documents.
2.23. The decision on refusal in renewal of the certificate on accreditation is made by the Bank of Russia (authorized department) on the following bases:
discrepancy of the statement for renewal of the certificate on accreditation and (or) the documents specified by Item 2.20 of this Instruction, structure of the submitted documents, other submitted documents and (or) data containing in them to requirements of the legislation of the Russian Federation, including requirements of this Instruction;
detection in the submitted application and (or) other documents of data, untrue (false information) represented for renewal of the certificate on accreditation according to this Instruction;
non-presentation during the term established in the notification, stipulated in Item 2.22 these Instructions, all documents (data) necessary for decision making on accreditation prolongation or corrected and (or) additional documents.
2.24. In case of adoption by the Bank of Russia of the decision on refusal in renewal of the certificate on accreditation the notification on such decision with indication of the bases for refusal shall be sent to the accredited organization within five working days from acceptance date of such decision.
2.25. The Bank of Russia (authorized department) in time which is 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 office of the Bank of Russia in the location of the accredited organization for issue on hands to the authorized representative of the accredited organization.
2.26. Within five working days from decision date about renewal of the certificate on accreditation by the Bank of Russia makes corresponding changes to data on the accredited organizations on the official site of the Bank of Russia on the Internet.
2.27. Copies of the documents submitted according to this Instruction shall be certified notarially. In the documents containing more than one leaf, sheets shall be stitched, numbered, under seal the organizations and the authorized signature.
2.28. All changes and amendments in the documents specified in paragraphs four and the fifth Item 2.1 of this Instruction are represented to the Bank of Russia (authorized department) in time which is not exceeding five working days from the date of introduction of such changes and amendments.
3.1. This Instruction becomes effective after 10 days after day of its official publication in "the Bulletin of the Bank of Russia".
3.2. From the date of entry into force of this Instruction not to apply the order of FFMS of Russia 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", No. 24335 registered by the Ministry of Justice of the Russian Federation on May 28, 2012 (The Russian newspaper of June 27, 2012).
Chairman of the Central bank of the Russian Federation
E. S. Nabiullina
to the Instruction of the Bank of Russia of April 23, 2015 No. 3627-U "About conditions and procedure for accreditation of the organizations performing certification of specialists of the financial market"
Recommended sample
________________ 20 __
Ref. No. ______________
Bank of Russia
(authorized department)
Neglinnaya, 12,
Moscow,
107016
Questionnaire statement of the organization
for receipt of accreditation (accreditation prolongation)
on implementation of certification of specialists of the financial market
According to the Instruction of the Bank of Russia of April 23, 2015 No. 3627-U
"About conditions and procedure for accreditation of the organizations performing certification
specialists of the financial market" I direct the questionnaire statement for obtaining
accreditations ( accreditation prolongation) on certification implementation
specialists of the financial market.
1. Full name: __________________________________________________
2. Location and address: _____________________________________________
3. Contact phone number: ___________________________________________
4. Number of the fax: __________________________________________________________
5. The address of the official site in information and telecommunication network
"Internet": _______________________________________________________________
6. E-mail address: ______________________________________________
7. Surname, name, middle name <1> of the head: ______________________________
8. Contact persons: ______________________________________________________
9. The short description of the software and hardware allowing
create examination tests according to programs
qualification examinations for specialists of the financial market: ____________
10. Duration (experience) of implementation of educational activities, in
years (it is filled with the educational organization): _________________________
11. Number, date, effective period of the license for the right of maintaining educational
activities, appendix to which is contained by the name of educational,
the Finance and Credit programs (it is filled with the educational organization):
___________________________________________________________________________
12. Duration (experience) of training of citizens for delivery of qualification
examinations on qualification assignment "the specialist of the financial market", in
years (it is filled with the educational organization): _________________________
13. Duration (experience) of training of specialists (bachelors,
masters) on specializations "Securities", "Security market",
"Stock markets" or "Financial markets", belonging to specialty
higher education "Finance and credit", advanced in years
(it is filled with the educational organization): _______________________________
14. Number of the prepared citizens for passing qualification examinations on
qualification assignment "the specialist of the financial market" (it is filled
educational organization): ____________________________________________
15. Number of the trained staff (bachelors, masters) on
to specializations "Securities", "Security market", "Stock markets" or
"Financial markets", belonging to specialty of the highest professional
educations "Finance and the credit" (it is filled with the educational organization):
___________________________________________________________________________
16. Duration (experience) of implementation of activities in quality
self-regulatory organization, advanced in years, number of members of self-regulating
the organizations (it is filled with self-regulatory organization): __________________
17. Number, date of the operating authority in quality
self-regulatory organization (it is filled with self-regulatory organization)
___________________________________________________________________________
18. The number of the issued certificates of specialists of the financial market during
three years preceding submission of documents on accreditation prolongation
(it is filled for the purpose of accreditation prolongation): _____________________________
I ask to consider question of accreditation (about accreditation prolongation)
(necessary to emphasize)
___________________________________________________________________________
(full name of the organization)
___________________________ M.P. ______________ (initials, surname)
(name of position (signature)
head of the organization)
--------------------------------
<1> In the presence.
to the Instruction of the Bank of Russia of April 23, 2015 No. 3627-U "About conditions and procedure for accreditation of the organizations performing certification of specialists of the financial market"
Recommended sample
________________ 20 __
ref. No. ______________
Bank of Russia
(authorized department)
Neglinnaya, 12,
Moscow,
107016
Statement
about renewal of the certificate on accreditation of the organization,
performing certification of specialists of the financial market
According to the Instruction of the Bank of Russia of April 23, 2015 No. 3627-U
"About conditions and procedure for accreditation of the organizations performing certification
specialists of the financial market" I direct the application for renewal
certificates on accreditation of the organization performing certification
certifications of specialists of the financial market.
___________________________________________________________________________
(full name of the organization)
___________________________________________________________________________
(location and address of the organization)
asks to renew the certificate on accreditation in connection with change
names and (or) locations and addresses of the organization.
(necessary to emphasize)
New name and (or) location and address of the organization: ______
________________________
(necessary to specify)
The following documents are enclosed to this application:
|
document No. |
Name of the document |
Quantity of document sheets |
Number of copies |
|
|
|
|
|
___________________________ M.P. ______________ (initials, surname)
(name of position (signature)
head of the organization)
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