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Ministry of Justice

Russian Federation

On September 11, 2012 No. 25424

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

of May 24, 2012 No. 12-32/pz-n

About approval of the Regulations on internal control of the professional participant of the security market

(The last edition from 30-07-2013)

According to Item 3 of article 42 of the Federal Law of April 22, 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, of Art. 6428; 2010, N 17, Art. 1988; N 31, of Art. 4193; N 41, of Art. 5193; 2011, N 7, Art. 905; N 23, of Art. 3262; N 27, of Art. 3880; N 29, of Art. 4291; N 48, of Art. 6728; N 49, of the Art. 7040), the Federal Law of July 27, 2010 N 224-FZ "About counteraction to unauthorized use of insider information and to market manipulation and about modification of separate legal acts of the Russian Federation" (The Russian Federation Code, 2010, N 31, Art. 4193; 2011, N 29, Art. 4291; N 48, of the Art. 6728), the Regulations on the Federal Service for Financial Markets approved by the order of the Government of the Russian Federation of August 29, 2011 N 717 "About some questions of state regulation in the sphere of the financial market of the Russian Federation" (The Russian Federation Code, 2011, N 36, to the Art. 5148), I order:

1. Approve Regulations on internal control of the professional participant of the security market (further - the Provision).

2. Determine that requirements of the paragraph of third Item 2.2 of the Provision and the paragraph of the fifth Item 8.3 of the Provision do not extend to credit institutions.

3. The order of FFMS of Russia of 21.03.2006 N 06-29/pz-n "About approval of the Regulations on internal control of the professional participant of the security market" (it is registered by the Ministry of Justice of the Russian Federation on May 6, 2006, registration N 7786) voids from the effective date this order.

4. To professional participants of the security market to bring the Instruction about internal control into accord with requirements of the Provision within 2 months from the effective date of this order.

 

Head

D.V.Pankin

Approved by the Order of the Federal Service for Financial Markets of the Russian Federation of May 24, 2012, No. 12-32/pz-n

Regulations on internal control of the professional participant of the security market

I. General provisions

1.1. This Provision determines procedure for the organization and implementation by the professional participant of the security market (further - the professional participant) control of compliance of activities of the professional participant to requirements of the legislation of the Russian Federation on the security market, including regulatory legal acts of federal executive body by the security market, legislations of the Russian Federation on protection of the rights and legitimate interests of investors in the security market, legislations of the Russian Federation on advertizing, and also observance of the internal documents of the professional participant connected with its activities in the security market (further - internal control).

1.2. For the purpose of counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing the professional participant exercises control in accordance with the legislation of the Russian Federation about counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing (further - special internal control for the purpose of POD/FT).

1.3. For the purpose of counteraction to unauthorized use of insider information and to market manipulation the professional participant exercises internal control according to requirements of the Federal Law of 27.07.2010 N 224-FZ "About counteraction to unauthorized use of insider information and to market manipulation and about modification of separate legal acts of the Russian Federation" (The Russian Federation Code, 2010, N 31, Art. 4193; 2011, N 29, Art. 4291; N 48, of the Art. 6728) and the regulatory legal acts adopted according to it (further - internal control for the purpose of PNIII/MR).

II. Organization of internal control of the professional participant of the security market

2.1. Implementation of internal control is assigned to the controller of the professional participant (further - the controller).

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