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Ministry of Justice

Russian Federation

On October 20, 2017 No. 48629

PROVISION OF THE BANK OF RUSSIA

of September 20, 2017 No. 601-P

About procedure for suspension, renewal of action of the license for implementation of professional activity in the security market, 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, terms of adoption of such decision in the cases established by subitems 2-12 of 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", about the exhaustive list enclosed to the plea of nullity of the license of documents and on procedure for their representation, and also on procedure for the direction by the Bank of Russia of the notification to the professional participant of the security market on which the decision on cancellation of the license for implementation of professional activity in the security market is made

This Provision based on Items 3, 6, 7, 10, the 14th 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. 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. 4357; 2016, No. 1, Art. 50, Art. 81; No. 27, Art. 4225; 2017, No. 25, Art. 3592; No. 27, Art. 3925; No. 30, 4444) (further - the Federal Law "About the Security Market") establishes the Art.:

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 the decision on cancellation of the license;

terms of adoption by the Bank of Russia of the decision on cancellation of the license in the cases established by subitems 2-12 of 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 plea of nullity of the license (further - the statement), and also procedure for their representation;

procedure for the direction the Bank of Russia of the notification to the licensee on which the decision on cancellation of the license is made.

Chapter 1. Procedure for suspension and renewal of action of the license

1.1. The license is suspended according to the decision of the Bank of Russia made according to Item 1.2 of this provision in the cases provided by subitems 7-12 of Item 1 of article 39.1 of the Federal law "About the Security Market".

The license is suspended for the term which is not exceeding six months.

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