It is registered
Ministry of Justice
Russian Federation
On February 26, 2016 No. 41225
of January 18, 2016 No. 529-P
About procedure for suspension, renewal of action of the license for implementation of professional activity in the security market, about procedure for adoption by the Bank of Russia of the decision on cancellation of the license for implementation of professional activity in the security market, about establishment of terms of adoption of such decision in the cases established by subitems 2 - the 12th Item 1 and the subitem 3 of Item 2 of article 39.1 of the Federal Law of April 22, 1996 No. 39-FZ "About the security market", and also about establishment of the exhaustive list of the documents enclosed to the plea of nullity of the license
This Provision based on article 39.1 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; 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. 1, Art. 13; No. 14, Art. 2022; No. 27, Art. 4001; No. 29, the Art. 4348, the Art. 4349, "The official Internet portal of legal information" (www.pravo.gov.ru), on December 30, 2015) (further - the Federal Law "About the Security Market") and 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; №52, of 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. 40, Art. 5318; No. 45, Art. 6154; No. 52, Art. 7543; 2015, No. 1, Art. 4, Art. 37; No. 27, Art. 3958, Art. 4001; No. 29, Art. 4348; No. 41, of the Art. 5639, "The official Internet portal of legal information" (www.pravo.gov.ru), on December 29, 2015, on December 30, 2015) establishes:
procedure for suspension and renewal by the Bank of Russia of action of the license for implementation of professional activity in the security market (further - the license);
procedure for adoption by the Bank of Russia of decisions on cancellation of the license;
terms of adoption by the Bank of Russia of decisions on cancellation of the license in the cases established by subitems 2 - the 12th Item 1 and the subitem 3 of Item 2 of article 39.1 of the Federal law "About the Security Market";
the exhaustive list of the documents enclosed by the professional participant of the security market (further - the licensee) to the written application about cancellation of the license of the professional participant of the security market (further - the statement), and also procedure for their registration.
1.1. The decision on suspension of action of the license or cancellation of the license, except for decisions on cancellation (about refusal in cancellation) licenses according to the statement of the licensee, is accepted by the Bank of Russia in case of identification by the Bank of Russia of the bases, the stipulated in Article 39.1 Federal Laws "About the Security Market".
1.2. Action of the license can be resumed according to the decision of the Bank of Russia based on the documents provided in the Bank of Russia confirming elimination by the licensee before the expiration established in the instruction of the Bank of Russia, the revealed violations and (or) acceptance by it of the measures directed to non-admission of making of the revealed violations which were the basis for suspension of action of the license.
1.3. Consideration of the documents which are the basis for adoption by the Bank of Russia of the decision on suspension, renewal of action of the license and cancellation of the license, and preparation of drafts of the relevant orders of the Bank of Russia are performed by Department of the security market and goods market of the Bank of Russia (further - authorized structural division of central office of the Bank of Russia).
1.4. The decision on suspension, renewal of action of the license and cancellation of the license, except for decisions on cancellation (about refusal in cancellation) licenses in the case provided by the subitem 1 of Item 1 of article 39.1 of the Federal law "About the Security Market", and the decision on cancellation of the license in the cases provided by subitems 1 and 2 of Item 2 of article 39.1 of the Federal law "About the Security Market" is accepted by Committee of financial supervision (further - Committee).
The decision on cancellation (about refusal in cancellation) licenses in the case provided by the subitem 1 of Item 1 of article 39.1 of the Federal law "About the Security Market", and the decision on cancellation of the license in the cases provided by subitems 1 and 2 of Item 2 of article 39.1 of the Federal law "About the Security Market" are accepted by the Chairman of the Bank of Russia (the First Deputy Chairman of the Bank of Russia or the vice-chairman of the Bank of Russia who is directly coordinating and controlling work of authorized structural division of central office of the Bank of Russia).
1.5. The decision on suspension, renewal of action of the license and on cancellation of the license, and also on refusal in cancellation of the license according to the statement of the licensee is drawn up by the order of the Bank of Russia which is signed by the Chairman of the Bank of Russia (the First Deputy Chairman of the Bank of Russia or the vice-chairman of the Bank of Russia who is directly coordinating and controlling work of this structural division of the Bank of Russia).
In orders of the Bank of Russia on suspension, renewal of action of the license and cancellation of the license, including on refusal in cancellation of the license according to the statement of the licensee, the basis of adoption of the relevant decision is specified.
1.6. In case of obtaining by the Bank of Russia of the documents confirming elimination by the licensee of the revealed violations and (or) acceptance to them the measures directed to non-admission of making of the revealed violations which were the basis for suspension of action of the license within 15 working days by Committee the decision on renewal of action of the license which is drawn up by the order of the Bank of Russia according to Item 1.5 of this provision is made.
1.7. In the cases established by subitems 2 - the 12th Item 1 and the subitem 3 of Item 2 of article 39.1 of the Federal law "About the Security Market", the decision on cancellation of the license is made by the Bank of Russia in time, not exceeding one year from the moment of establishment of the corresponding basis for cancellation of the license.
1.8. To the licensee on which the decision on suspension, renewal of action of the license or on cancellation of the license is made the notification on the made decision according to the procedure established by the Provision of the Bank of Russia of July 27, 2015 No. 481-P "About licensed requirements and conditions of implementation of professional activity in the security market, restrictions for combination of separate types of professional activity in the security market and also on procedure and terms of submission to the Bank of Russia of the reports on discharge connected with implementation of professional activity in the security market in case of cancellation of the license of the professional participant of the security market", the registered Ministry of Justice of the Russian Federation No. 38673 goes on August 25, 2015 ("the Bulletin of the Bank of Russia" of September 4, 2015 No. 75).
2.1. The decision on cancellation (in cancellation) licenses according to the statement of the licensee is made by the Bank of Russia based on the statement of the licensee on refusal.
2.2. The licensee in case of decision making about refusal of implementation of one of the types of professional activity in the security market specified in Articles 3 - 5, 7, 8 Federal Laws "About the Security Market", sends to the authorized structural division of central office of the Bank of Russia which is drawn up according to appendix 1 to this Provision and signed by person performing functions of sole executive body of the licensee, the statement on the form of the licensee and the documents attached to it provided by this Provision.
The statement and documents attached to it are presented separately on each type of professional activity at the security market on which the licensee makes the decision on refusal of its implementation.
2.2.1. To the application the licensee encloses the following documents:
the copy of the decision of authorized body of the licensee (with application of copies (statements from) the documents confirming its powers) about refusal of implementation of that type of professional activity in the security market concerning which the application is submitted;
the form of the license of the licensee for implementation of professional activity in the security market of that type concerning which the application is submitted;
the list of documents, sent to the Central bank of the Russian Federation, drawn up according to appendix 2 to this Provision.
2.2.2. For cancellation of the license for implementation of broker activities and (or) activities for management of securities in addition to the documents specified in subitem 2.2.1 of Item 2.2 of this provision, the licensee also submits the following documents:
the documents containing the information about the clients who were on servicing for date of representation according to the Instruction of the Bank of Russia of January 15, 2015 No. 3533-U "About terms and procedure for creation and submission of the reporting of professional participants of the security market to the Central bank of the Russian Federation", the registered Ministry of Justice of the Russian Federation on February 16, 2015 No. 36032, on October 9, 2015 No. 39270, on December 30, 2015 No. 40372 ("the Bulletin of the Bank of Russia" of March 27, 2015 No. 25-26, of October 14, 2015 No. 87, of December 31, 2015 No. 122), or the Instruction of the Bank of Russia of November 12, 2009 No. 2332-U "About the list, forms and procedure for creation and representation of forms of the reporting of credit institutions in the Central bank of the Russian Federation", the registered Ministry of Justice of the Russian Federation on December 16, 2009 No. 15615, on June 18, 2010 No. 17590, on December 22, 2010 No. 19313, on June 20, 2011 No. 21060, on December 16, 2011 No. 22650, on July 10, 2012 No. 24863, on September 20, 2012 No. 25499, on December 20, 2012 No. 26203, on March 29, 2013 No. 27926, on June 14, 2013 No. 28809, on December 11, 2013 No. 30579, on March 28, 2014 No. 31760, on June 18, 2014 No. 32765, on December 22, 2014 No. 35313, on February 20, 2015 No. 36169, on June 8, 2015 No. 37564, on July 16, 2015 No. 38037, on December 28, 2015 No. 40329 ("the Bulletin of the Bank of Russia" of December 25, 2009 No. 75-76, of June 25, 2010 No. 35, of December 28, 2010 No. 72, of June 28, 2011 No. 34, of December 23, 2011 No. 73, of July 19, 2012 No. 41, of September 26, 2012 No. 58, of December 27, 2012 No. 76, of March 30, 2013 No. 20, of June 25, 2013 No. 34, of December 28, 2013 No. 79-80, of March 31, 2014 No. 34, of June 27, 2014 No. 61, of December 30, 2014 No. 115-116, of March 10, 2015 No. 20, of June 25, 2015 No. 55, of July 24, 2015 No. 61, of December 31, 2015 No. 122), the last reporting in the Bank of Russia, with indication of clients to whom notifications on the decision on refusal of implementation of the corresponding type of professional activity made by the licensee in the security market and in whom are specified are sent: for the client of physical person - surname, name, middle name (in the presence), for the legal entity - full name of the organization, identification taxpayer number, with indication of method of the notification and the corresponding contact customer information provided by the agreement (contact telephone number, the e-mail address or other information);
copies of the documents confirming agreement cancelation with clients on broker activities or activities for management of securities and also the documents concluded (constituted) in the period from the date of submission of the last reporting to the Bank of Russia before date of filing of application and containing regulations on absence at clients of contractual claims on implementation of that type of professional activity in the security market concerning which the application is submitted;
the documents confirming the termination of the admission of participation in the organized biddings if the licensee for date of submission of the last reporting to the Bank of Russia was participant of the organized biddings. The specified documents are not submitted in cases when the licensee is participant of the organized biddings to which admission does not require availability of the license of the professional participant of the security market and when the licensee performs professional activity in the security market based on other licenses which are available for it;
the documents confirming discharge, being available for date of submission of the last reporting to the Bank of Russia, under the agreements signed with the clearing organization (in the presence of the relevant agreements).
2.2.3. For cancellation of the license for implementation of dealer activities in addition to the documents specified in subitem 2.2.1 of Item 2.2 of this provision, the licensee submits the documents confirming the termination of the admission to the organized biddings if the licensee for date of submission of the last reporting to the Bank of Russia was participant of the organized biddings. The specified documents are not submitted in cases when the licensee is participant of the organized biddings to which admission does not require availability of the license of the professional participant of the security market and when the licensee performs professional activity in the security market based on other licenses which are available for it.
2.2.4. For cancellation of the license for implementation of depository activity in addition to the documents specified in subitem 2.2.1 of Item 2.2 of this provision, the licensee also submits the following documents:
the documents containing the information about the clients who were on servicing for date of submission of the last reporting to the Bank of Russia with indication of clients to whom notifications on the decision on refusal of implementation of depository activity made by the licensee and in whom are specified are sent: for the client of physical person - surname, name, middle name (in the presence), for the legal entity - full name of the organization, identification taxpayer number, with indication of method of the notification and the corresponding contact customer information provided by the agreement (contact telephone number, the e-mail address or other information);
copies of the documents confirming agreement cancelation with clients on depository activity and also other documents concluded (constituted) in the period from the date of submission of the last reporting to the Bank of Russia before date of filing of application and containing regulations on absence at clients of contractual claims on implementation of depository activity;
the documents confirming the termination of execution of functions of the nominee holder in case of implementation by the licensee of the specified functions during the period from the date of submission of the last reporting to the Bank of Russia before date of filing of application namely: closing of accounts of the nominee holder with depositaries (registrars) which were opened for the licensee; the notification the licensee of depositors about closing of custody accounts.
2.2.5. For cancellation of license for activities on maintaining the register of owners of securities in addition to the documents specified in subitem 2.2.1 of Item 2.2 of this provision, the licensee also submits the following documents:
the documents confirming transfer of registers of owners of the securities and documents connected with maintaining registers of owners of securities, maintaining (storage) which it was performed by the licensee during the period from the date of submission of the last reporting to the Bank of Russia before date of filing of application;
copies of the documents confirming agreement cancelation with issuers about maintaining the register of owners of the securities which were available for date of submission of the last reporting to the Bank of Russia;
the list of issuers (persons obliged on securities), maintaining (storage) registers of owners of securities of which it was performed by the licensee for date of submission of the last reporting to the Bank of Russia.
2.2.6. In case of absence for date of submission of the last reporting to the Bank of Russia of the current agreements with clients, partners concluded by the licensee when implementing that type of professional activity in the security market on which it makes the decision on refusal of implementation and lack of the corresponding obligations the licensee does not submit to the Bank of Russia the documents provided by subitems 2.2.2 - 2.2.5 Items 2.2 of this provision.
2.2.7. The documents (the copy of documents) provided by this Provision are submitted by the licensee on paper and signed certified) by person performing functions of sole executive body of the licensee.
In the documents submitted according to this Provision and consisting more than of one leaf, sheets shall be numbered, stitched and fastened the last leaf by zaveritelny text with indication of figures and the copy-book of number of the numbered sheets signed by person performing functions of sole executive body of the licensee on the back.
2.2.8. In case of violation by the licensee of requirements to document creation according to subitem 2.2.7 of this provision, and (or) non-presentation of the documents provided by subitems 2.2.1 - 2.2.5 this provision, the Bank of Russia returns the specified documents to the licensee within 10 working days from the date of receipt of the statement with appendix of the list of documents containing notes to set of documents.
2.2.9. The decision on cancellation of the license based on the statement of the licensee or the decision on refusal in its cancellation is made within 30 working days from registration date in the Bank of Russia of the statement established by this Provision and documents provided by this Provision.
2.3. The bases for decision making about refusal in cancellation of the license based on the statement are:
availability at the licensee of the obligations which arose under the agreements signed when implementing professional activity in the security market of that type concerning which the application is submitted;
factual determination of submission by the licensee to authorized structural division of central office of the Bank of Russia in the statement and (or) documents of false information attached to it;
suspension by the Bank of Russia of action of the license for that type of professional activity in the security market concerning which the application is submitted;
conducting check of activities of the licensee by the Bank of Russia;
establishment as a result of conducting by the Bank of Russia check of activities of the licensee of the cases provided by subitems 2 - the 12th Item 1 and Item 2 of article 39.1 of the Federal law "About the Security Market".
2.4. The decision on cancellation (about refusal in cancellation) according to the statement of the licensee is drawn up according to requirements of Item 1.5 of this provision.
2.5. To the licensee on which the decision on refusal in cancellation of the license is made no later than the working day following behind the day of adoption of the relevant decision authorized by structural division of central office of the Bank of Russia the notification on the made decision with indication of the basis (bases) of refusal in cancellation of the license with use of the means of communication providing delivery of the adequate notice to the address of the licensee specified in the Unified State Register of Legal Entities goes.
3.1. This Provision becomes effective after 10 days after day of its official publication.
3.2. From the date of entry into force of this provision not to apply the order of FFMS of Russia 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", No. 20397 registered by the Ministry of Justice of the Russian Federation on April 4, 2011 (The bulletin of regulations of federal executive bodies of May 16, 2011 No. 20).
Chairman of the Central bank of the Russian Federation
E. S. Nabiullina
to the Provision of the Bank of Russia of January 18, 2016 No. 529-P "About procedure for suspension, renewal of action of the license for implementation of professional activity in the security market, about procedure for adoption by the Bank of Russia of the decision on cancellation of the license for implementation of professional activity in the security market, about establishment of terms of adoption of such decision in the cases established by subitems 2 - the 12th Item 1 and the subitem 3 of Item 2 of article 39.1 of the Federal Law of April 22, 1996 No. 39-FZ "About the security market", and also about establishment of the exhaustive list of the documents enclosed to the plea of nullity of the license"
(recommended sample)
Ref. No. ______________
from "__" ________ 20 __
Central Bank of the Russian Federation
Plea of nullity of the license of the professional participant of the security market
___________________________________________________________________________
(full name of the licensee in Russian)
___________________________________________________________________________
(date of state registration, the body which performed state
registration of the licensee, identification taxpayer number,
reason code of registration)
___________________________________________________________________________
(primary state registration number)
___________________________________________________________________________
(the address specified in the Unified State Register of Legal Entities)
asks to cancel the license ____________________________________ present
(specify the corresponding type
activities)
on own initiative.
At the same time I confirm that at ___________________________________________
(full name of the licensee in Russian
language)
for date of the direction of this statement there are no obligations on
to the agreements signed in case of ________________________________________________
(specify the corresponding type of activity)
and the licensee stops implementation of the specified type of activity.
Appendix: on ___ sheets.
Person performing functions
sole executive body: ______________________________________
___________ ____________
(signature) (First name, middle initial, last name)
to the Provision of the Bank of Russia of January 18, 2016 No. 529-P "About procedure for suspension, renewal of action of the license for implementation of professional activity in the security market, about procedure for adoption by the Bank of Russia of the decision on cancellation of the license for implementation of professional activity in the security market, about establishment of terms of adoption of such decision in the cases established by subitems 2 - the 12th Item 1 and the subitem 3 of Item 2 of article 39.1 of the Federal Law of April 22, 1996 No. 39-FZ "About the security market", and also about establishment of the exhaustive list of the documents enclosed to the plea of nullity of the license"
(recommended sample)
Appendix to Ref. No. ______
from "__" _____________ 20 __
The list of documents, sent to the Central bank of the Russian Federation
___________________________________________________________________________
(full name of the licensee in Russian)
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№ of payment order |
document No. |
Name of the document |
Quantity of document sheets |
Number of copies |
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2 |
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4 |
5 |
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In total it is provided documents on ____ sheets.
Person performing functions
sole executive body: ______________________________________
___________ ____________
(signature) (First name, middle initial, last name)
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The document ceased to be valid since November 4, 2017 according to Item 4.1 of the Provision of the Bank of Russia of September 20, 2017 No. 601-P