INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of June 21, 2016 No. 4047-U

About types and form of the competence certificates issued by the organizations accredited by the Bank of Russia 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; 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, Art. 4348, Art. 4349, Art. 4357; 2016, No. 1, the Art. 81), 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, Art. 1098; 2015, No. 27, Art. 4001; No. 29, Art. 4357; 2016, No. 1, Art. 47; No. 23, the Art. 3301), 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, Art. 4219; 2015, No. 27, Art. 3958, Art. 4001; No. 29, Art. 4357; 2016, No. 1, the Art. 41, the Art. 47), Item 18 of part 1 of article 25 of the Federal Law of February 7, 2011 No. 7-FZ "About clearing, clearing activities and the central partner" (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, Art. 1098; 2015, No. 27, Art. 4001; No. 29, Art. 4357; 2016, No. 1, the Art. 23, the Art. 47), 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, Art. 6699; 2015, No. 27, Art. 4001; No. 29, Art. 4357; 2016, No. 1, of the Art. 47, the Art. 48) determines types and form of the competence certificates issued by the organizations accredited by the Bank of Russia 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, specialized depositaries, in the field of activities for non-state pension provision and mandatory pension insurance, in the field of clearing activities, in the field of activities for carrying out the organized biddings (further respectively - the organizations accredited by the Bank of Russia, certification of specialists of the financial market).

1. The organizations accredited by the Bank of Russia performing certification of specialists of the financial market issue competence certificates of the following types.

1.1. The competence certificate of the first type about assignment of qualification of the specialist of the financial market in broker activities, dealer activities, activities for management of securities and activities Forex dealer (further - the competence certificate of the first type).

1.2. The competence certificate of the second type about assignment of qualification of the specialist of the financial market in clearing activities and activities for carrying out the organized biddings (further - the competence certificate of the second type).

1.3. The competence certificate of the third type about assignment of qualification of the specialist of the financial market in activities for maintaining the register of owners of securities (further - the competence certificate of the third type).

1.4. The competence certificate of the fourth type about assignment of qualification of the specialist of the financial market in depository activity (further - the competence certificate of the fourth type).

1.5. The competence certificate of the fifth type about assignment of qualification of the specialist of the financial market in activities for management of investment funds, mutual investment funds and non-state pension funds (further - the competence certificate of the fifth type).

1.6. The competence certificate of the sixth type about assignment of qualification of the specialist of the financial market in activities of specialized depositaries of investment funds, mutual investment funds and non-state pension funds (further - the competence certificate of the sixth type).

1.7. The competence certificate of the seventh type about assignment of qualification of the specialist of the financial market in activities of non-state pension funds for non-state pension provision and mandatory pension insurance (further - the competence certificate of the seventh type).

2. The organizations accredited by the Bank of Russia performing certification of specialists of the financial market issue the competence certificates specified in Item of 1 this Instruction in form according to appendix to this Instruction.

2.1. On the competence certificate the two-dimensional bar code (QR code of 20 x 20 mm in size) containing in the coded type hyperlink for direct access to the Section of the official site of the Bank of Russia on the Internet in which verification of the status of competence certificates of specialists of the financial market is performed is placed.

2.2. The form of the competence certificate is the protected printed material of level "B".

3. This Instruction according to the solution of the Board of directors of the Bank of Russia (the minutes of the Board of directors of the Bank of Russia of June 10, 2016 No. 15) become effective after 10 days after day of its official publication, except for subitem 2.1 of Item 2 presents of the Instruction.

Subitem 2.1 of Item 2 presents of the Instruction becomes effective since January 1, 2017.

4. From the date of entry into force of this Instruction not to apply:

the order of the Federal Service for Financial Markets of September 21, 2006 No. 06-102/pz-n "About types and form of competence certificates", No. 8426 registered by the Ministry of Justice of the Russian Federation on October 31, 2006 (The bulletin of regulations of federal executive bodies of November 13, 2006 No. 46);

the order of the Federal Service for Financial Markets of January 21, 2010 No. 10-1/pz-n "About entering of amendments into the order of FFMS of Russia of 21.09.2006 No. 06-102/pz-n "About types and form of competence certificates", No. 16474 registered by the Ministry of Justice of the Russian Federation on February 19, 2010 (The bulletin of regulations of federal executive bodies of March 29, 2010 No. 13);

the order of the Federal Service for Financial Markets of October 9, 2012 No. 12-86/pz-n "About modification of appendices No. 1 and 2 to the order of FFMS of Russia of 21.09.2006 No. 06-102/pz-n "About types and form of competence certificates", No. 25719 registered by the Ministry of Justice of the Russian Federation on October 24, 2012 (The bulletin of regulations of federal executive bodies of December 24, 2012 No. 52).

Appendix

to the Instruction of the Bank of Russia of June 21, 2016 No. 4047-U "About types and form of the competence certificates issued by the organizations accredited by the Bank of Russia performing certification of specialists of the financial market"

 

___________________________________________________________________________

     (full name of the organization accredited by the Bank of Russia

                         in the Nominative case)

 

___________________________________________________________________________

         (details of the certificate of the Bank of Russia on accreditation)

 

                                                  +--------+

                                                  ¦       ¦

                        COMPETENCE CERTIFICATE ¦ QR code ¦

                                                  ¦       ¦

                                                  +--------+

 

   The solution of certifying commission from ________________________ No. ___

   __________________________________________________________________

                  (surname, name, middle name (in the presence)

                           in dative case)

                          _____________________

                             (birth date)

 

   qualification of the specialist of the financial market is appropriated on

___________________________________________________________________________

__________________________________________________________________________.

(one of following is specified:

broker activities, dealer activities, activities for management

securities and activities Forex dealer;

clearing activities and activities for carrying out organized

biddings;

activities for maintaining the register of owners of securities;

depository activity;

activities for management of investment funds, share investment

funds and non-state pension funds;

activities of specialized depositaries of investment funds, share

investment funds and non-state pension funds;

activities of non-state pension funds for non-state

to provision of pensions and mandatory pension insurance)

 

Authorized person

certifying commission     of __________________________  _________________

                                 (personal signature)           (First name, middle initial, last name)

 

Series __-____

(series of the form of the competence certificate has the following appearance: XY-ZZZ, where X - the code corresponding to document type, Y - the code corresponding to type of the competence certificate, and ZZZ - the special code of the organization accredited by the Bank of Russia appropriated by the Bank of Russia.

For designation of document type (X) the following codes are used:

A - competence certificate;

D - duplicate of the competence certificate.

For designation like the competence certificate (Y) the following codes are used:

I - competence certificate of the first type;

II - the competence certificate of the second type;

III - the competence certificate of the third type;

IV - the competence certificate of the fourth type;

V - competence certificate of the fifth type;

VI - the competence certificate of the sixth type;

VII - the competence certificate of the seventh type)

 

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