INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of December 17, 2018 No. 5013-U

About modification of 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 about 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"

1. Based on Article 10, Items 6 and 15 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. 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, Art. 4444; No. 48, Art. 7052; No. 52, Art. 7920; 2018, No. 1, Art. 65, Art. 70; No. 17, Art. 2424; No. 18, Art. 2560; No. 32, Art. 5088; No. 49, of the Art. 7524) to bring in 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 about 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", registered by the Ministry of Justice of the Russian Federation on August 25, 2015 No. 38673, on July 29, 2016 No. 43030, on October 20, 2017 No. 48630 (further - the Provision of the Bank of Russia No. 481-P), the following changes.

1.1. To declare subitem 1.4.1 of Item 1.4 invalid.

1.2. In Item 2.1:

state subitems 2.1.2 and 2.1.3 in the following edition:

"2.1.2. Availability at the job seeker and the licensee of person performing functions of sole executive body.

Work of person performing functions of sole executive body in the licensee which is not credit institution shall be for it principle place of employment, since thirtieth day after day of decision making by the Bank of Russia about licensing to the job seeker.

2.1.3. Availability at the job seeker and the licensee of the head of internal control or at least one controller.

Work of the controller or head of internal control in the licensee shall be for it principle place of employment since thirtieth day after day of decision making by the Bank of Russia about licensing to the job seeker.";

in subitem 2.1.4 of the word" (including to requirements to working experience of person performing functions of sole executive body and qualification requirements)" to exclude;

state subitem 2.1.8 in the following edition:

"2.1.8. Availability at the license applicant of the business plan constituted for the next three calendar years.";

add with subitems 2.1.10 - 2.1.12 following of content:

"2.1.10. Determination by the licensee of the measure values established in the column 2 appendices to this Provision (further - activities indicators), with observance of the following requirements.

The licensee shall estimate himself quarterly, determining activities measure values as of the last calendar day of quarter.

The licensee performing broker activities shall determine measure values of activities, provided by lines 1 and 2 of appendix to this Provision.

The measure value of activities provided by line of 1 appendix to this Provision shall be determined by the licensee performing broker activities by summing of amounts of bargains of purchase and sale of the securities concluded for customer account when implementing broker activities (further - transactions for customer account), at the biddings of the Russian organizer of trade and in the curb market.

The amount of the transactions for customer account made at the biddings of the Russian organizer of trade shall be determined by the licensee performing broker activities by summing of amounts of the specified transactions.

Each of amounts of the transactions for customer account made at the biddings of the Russian organizer of trade shall be calculated as the work of the price of one security transferred according to the transaction for customer account and total quantity of the securities transferred according to the specified transaction.

The amount of the transactions for customer account made at the biddings of the Russian organizer of trade shall be determined by the licensee performing broker activities on the basis of information on conditions of the transactions for customer account made at the biddings of the Russian organizer of the trade containing in internal accounting according to Item 2.7 of the Provision of the Bank of Russia of January 31, 2017 No. 577-P "About rules of conducting internal accounting by the professional participants of the security market performing broker activities, dealer activities and activities for management of securities", No. 46772 registered by the Ministry of Justice of the Russian Federation on May 22, 2017 (further - the Provision of the Bank of Russia No. 577-P).

The amount of the transactions for customer account made in the curb market shall be determined by the licensee performing broker activities by summing of values of the following indicators reflected in the monthly reporting of the licensee performing broker activities:

for professional participants of the security market, not being credit institutions, - the indicator provided in the line 40 "The amount of transaction by the first part of the transaction, in transaction price units of currency" the reporting under the form 0420417 "The report on off-exchange transactions" provided by part I of appendix 1 to the Instruction of the Bank of Russia of November 27, 2017 No. 4621-U "About forms, terms and procedure for creation and submission of the reporting of professional participants of the security market, the organizers of trade, the clearing organizations and persons performing functions of the central partner, and also other information in the Central bank of the Russian Federation", to No. 49419 registered by the Ministry of Justice of the Russian Federation on December 25, 2017 (further respectively - the Instruction of the Bank of Russia No. 4621-U, the reporting under form 0420417), according to transactions for customer account, made in the curb market, on which on indicator "Type of the off-exchange transaction", provided by line of the 2nd reporting under form 0420417, the transaction "BR" code according to the paragraph is specified to the twelfth Item 5 of procedure for creation of the reporting under form 0420417, on the indicator "Agreement type" provided by line of the 4th reporting under form 0420417, the code of agreement type of "BS" according to the paragraph is specified to the seventeenth Item 5 of procedure for creation of the reporting under form 0420417, and on the indicator "Type of the information message about the transaction" provided by line of the 7th reporting under form 0420417, the code of type of the information message "NEW" according to the paragraph is specified to sixty third Item 5 of procedure for creation of the reporting under form 0420417;

for professional participants of the security market, being credit institutions, - indicators of columns 7 and 8 on lines 1 and 2 of subsection 1.1 of Section 1 of the reporting under the form 0409706 "Data on amounts of off-exchange transactions" provided by appendix 1 to the Instruction of the Bank of Russia of October 8, 2018 No. 4927-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", to No. 52992 registered by the Ministry of Justice of the Russian Federation on December 13, 2018 (further respectively - the Instruction of the Bank of Russia No. 4927-U, the reporting under form 0409706).

As measure values of activities, provided in the line 2 appendices to this Provision, values of the following indicators shall be determined by the licensee performing broker activities:

for professional participants of the security market, not being credit institutions, - the indicator "The number of clients under contracts for broker servicing" provided by line 1 of subsection 1.1 of Section 1 of the reporting under form 0420418 "Data on implementation by the professional participant of the security market of the broker, depository activity and activities for management of securities" provided by part I of appendix 1 to the Instruction of the Bank of Russia No. 4621-U (further - the reporting under form 0420418);

for professional participants of the security market, being credit institutions, - column 2 indicator in the lines "resident Clients:" and "nonresident Clients:" Section 1 of the reporting under form 0409707 "Of data on implementation of broker, depository activity and activities for management of securities", provided by appendix 1 to the Instruction of the Bank of Russia No. 4927-U (further - the reporting under form 0409707).

The licensee performing dealer activities shall determine the measure value of activities provided in the line 3 appendices to this Provision by summing of amounts of bargains of purchase and sale of the securities concluded at own expense at the biddings of the Russian organizer of trade based on unaddressed requests.

Each of amounts of bargains of purchase and sale of the securities concluded at own expense at the biddings of the Russian organizer of trade based on unaddressed requests shall be calculated as the work of the price of one security transferred according to the transaction of purchase and sale, and total quantity of the securities transferred according to the specified transaction.

The amount of bargains of purchase and sale of the securities concluded at own expense at the biddings of the Russian organizer of trade based on unaddressed requests shall be determined by the licensee performing dealer activities on the basis of information on conditions of transactions of the purchase and sale of securities containing in internal accounting according to Item 2.7 of the Provision of the Bank of Russia No. 577-P.

The licensee performing activities for management of securities shall determine measure values of activities, provided by lines 4 and 5 of appendix to this Provision.

The measure value of activities provided in the line 4 appendices to this Provision shall be determined by the licensee performing activities for management of securities, way of summing of amounts of bargains of purchase and sale of the securities concluded when implementing activities for management of securities at the biddings of the Russian organizer of trade and in the curb market.

The amount of transactions of purchase and sale of the securities made when implementing activities for management of securities at the biddings of the Russian organizer of trade shall be determined by the licensee performing activities for management of securities, way of summing of amounts of the specified transactions.

Each of amounts of transactions of purchase and sale of the securities made when implementing activities for management of securities at the biddings of the Russian organizer of trade shall be calculated as the work of the price of one security transferred according to the transaction of purchase and sale, and total quantity of the securities transferred according to the specified transaction.

The amount of transactions of purchase and sale of the securities made when implementing activities for management of securities at the biddings of the Russian organizer of trade shall be determined by the licensee performing activities for management of securities on the basis of information on conditions of transactions of purchase and sale of the securities made when implementing activities for management of securities at the biddings of the Russian organizer of the trade containing in internal accounting according to Item 2.7 of the Provision of the Bank of Russia No. 577-P.

The amount of transactions of purchase and sale of the securities made when implementing activities for management of securities in the curb market shall be determined by the licensee performing activities for management of securities, way of summing of values of the following indicators reflected in the monthly reporting of the licensee performing activities for management of securities:

for professional participants of the security market, not being credit institutions, - the indicator provided in the line 40 "The amount of transaction by the first part of the transaction in transaction price units of currency" the reporting under form 0420417, according to the transactions of purchase and sale of securities made when implementing activities for management of securities in the curb market on which on the indicator "Type of the off-exchange transaction" provided by line of the 2nd reporting under form 0420417, the transaction "AM" code is specified according to the paragraph the fourteenth Item 5 of procedure for creation of the reporting under form 0420417, on the indicator "Agreement type" provided by line of the 4th reporting under form 0420417, the code of agreement type of "BS" according to the paragraph is specified to the seventeenth Item 5 of procedure for creation of the reporting under form 0420417, and on indicator "Type of the information message about the transaction", provided by line of the 7th reporting under form 0420417, the code of type of the information message "NEW" according to the paragraph is specified to sixty third Item 5 of procedure for creation of the reporting under form 0420417;

for professional participants of the security market, being credit institutions, - indicators of columns 9 and 10 on lines 1 and 2 of subsection 1.1 of Section 1 of the reporting under form 0409706.

As measure values of activities, the appendix to this Provision provided in the line 5, values of the following indicators shall be determined by the licensee performing activities for management of securities:

for professional participants of the security market, not being credit institutions, - the indicator "The number of clients according to trust management agreements" provided by line 4 of subsection 2.1 of Section 2 of the reporting under form 0420418;

for professional participants of the security market, being credit institutions, - column 2 indicator in the lines "resident Clients:" and "nonresident Clients:" subsection 2.1 of Section 2 of the reporting under form 0409707.

The licensee performing depository activity shall determine the measure value of activities provided by line 6 of appendix to this Provision, according to the procedure, provided for calculation of the size Pi; j the paragraph the eleventh Item 2 of the Instruction of the Bank of Russia of May 11, 2017 No. 4373-U "About requirements to own means of professional participants of the security market", No. registered by the Ministry of Justice of the Russian Federation on June 5, 2017 46943, on April 23, 2018 No. 50864, without application of correction coefficient.

As the measure value of activities provided by line 7 of appendix to this Provision, the licensee performing activities for maintaining the register of owners of securities shall be determined the measure value provided in the line 8 "The number of registered persons" of Section 1 of the reporting the under form 0420420 "The report of registrar" provided by part I of appendix 1 to the Instruction of the Bank of Russia No. 4621-U (further - the reporting under form 0420420), within analytical sign "On accounts of which securities of" group of analytical signs "Of category of persons registered in registers are considered", provided in the line 2.3 tables "The reporting under form 0420420 "The report of registrar": Section 1. "Information on the serviced registers" of the Section 1 of part III of appendix 1 to the Instruction of the Bank of Russia No. 4621-U.

The licensees performing broker, dealer activities, activities for management of securities in case of determination of the measure values of activities provided in the lines 1, 3 and 4 appendices to this Provision shall consider transactions of purchase and sale of securities which prices are expressed in foreign currency, in rubles on the official rate of foreign currency in relation to the ruble established by the Bank of Russia according to Item 15 of article 4 of 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, to 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. 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, Art. 4357; No. 41, Art. 5639; No. 48, Art. 6699; 2016, No. 1, Art. 23, Art. 46, Art. 50; No. 26, Art. 3891; No. 27, Art. 4225, Art. 4273, Art. 4295; 2017, No. 1, Art. 46; No. 14, Art. 1997; No. 18, Art. 2661, Art. 2669; No. 27, Art. 3950; No. 30, Art. 4456; No. 31, Art. 4830; No. 50, Art. 7562; 2018, No. 1, Art. 66; No. 9, Art. 1286; No. 11, Art. 1584, Art. 1588; No. 18, Art. 2557; No. 24, Art. 3400; No. 27, Art. 3950; No. 31, Art. 4852; No. 32, Art. 5115; No. 49, the Art. 7524), for date of their making. If the official rate of foreign currency in relation to ruble is not established by the Bank of Russia - on the rate calculated according to foreign currency quotations in the international foreign exchange markets or on the established Central (national) Bank performing issue of this foreign currency, to rate to any third currency which official rate in relation to ruble is established by the Central bank of the Russian Federation.

2.1.11. Comparison by the licensee of the measure values of activities determined according to subitem 2.1.10 of this Item to the ranges of measure values of activities of the licensee established in columns 3 - the 5th appendices to this Provision (further - the quarter ranges), during the fourth quarter of the current year, but no later than December 31, and determination of the annual range of measure values of activities for each of the types of professional activity performed by the licensee in the security market (further - the annual range) with observance of the following requirements:

if the licensee determines one quarter range at least in three of four quarters preceding the fourth quarter of the current calendar year, the specified quarter range is for it the annual range;

in the absence of condition for determination of the annual range specified in the paragraph the second this subitem, the annual range is the quarter range which was determined by the licensee in two quarters preceding the fourth quarter of the current calendar year;

in the absence of the conditions for determination of the annual range specified in paragraphs the second - third this subitem, the annual range is the quarter range which was determined by the licensee in two of three quarters preceding the fourth quarter of the current calendar year;

in the absence of the conditions for determination of the annual range specified in paragraphs the second - the fourth this subitem, the annual range is the quarter range which was determined by the licensee in the quarter preceding date of determination of measure values.

The licensee shall fix and store documentary at least five years the documents containing activities measure values, and also documents and information on the basis of which they were determined.

Requirements of this subitem and subitem 2.1.10 of this Item do not extend to the following licensees:

on all licensees - within calendar year in which they obtain the license of the professional participant of the security market (except for the licensees which determined the annual ranges based on earlier obtained license of the professional participant of the security market);

on the licensees performing activities Forex dealer;

on licensees who regardless of the actual measure values of activities on permanent basis comply with the licensed requirements and conditions established by subitems 2.1.1 - 2.1.9, 2.1.12 of this Item, Items 2.2 - 2.7 this provision concerning the licensees which determined the annual range corresponding to the column 5 of appendix to this Provision.

2.1.12. The organization and implementation of internal audit by the licensees which determined at least by one of activities indicators as the annual range the quarter range specified in the column 5 of appendix to this Provision from January 1 to December 31 the year following after calendar year in which the licensee determines as the annual range the quarter range specified in the column 5 of appendix to this Provision if within calendar year before the specified determination the licensee organized and performed internal audit.

If within calendar year before determination as the annual range of the quarter range specified in the column 5 of appendix to this Provision, the licensee did not organize and did not perform internal audit as the licensed requirements and conditions established concerning the licensee by paragraph one of this subitem were not applicable to it, the licensee shall organize and perform internal audit from April 1 to December 31 the year following after calendar year in which the licensee determines as the annual range the quarter range specified in the column 5 of appendix to this Provision.".

1.3. In subitems 2.2.1 and 2.2.2 of Item 2.2 of the word", meeting the qualification requirements established according to Item 14 of article 42 of the Federal law "About the Security Market" to exclude;

1.4. In Item 2.3:

state subitem 2.3.1 in the following edition:

"2.3.1. Availability of at least one worker to which functions implementation of depository activity in the security market, for the following persons belongs:

for the license applicant;

for all licensees - within calendar year in which they obtain the license of the professional participant of the security market (except for the licensees which determined the annual ranges based on earlier obtained license of the professional participant of the security market);

for the licensees which determined the quarter range specified in the column 3 appendices to this Provision as the annual range - from January 1 to December 31 the year following after calendar year in which the licensee determines as the annual range the quarter range specified in the column 3 appendices to this Provision.

Availability of at least two workers (the leading employee and the specialist) to whose functions implementation of depository activity in the security market, for the licensees which determined as the annual range the quarter range specified in column 4 or 5 of appendix to this Provision, from January 1 to December 31 the year following after calendar year in which the licensee determines as the annual range the quarter range specified in column 4 or 5 of appendix to this Provision belongs.

For the licensee which determined as the annual range the quarter range specified in column 4 or 5 of the appendix to this Provision combining depository activity with broker activities and (or) dealer activities, and (or) activities for management of securities, and (or) activities of credit institution obligatory also availability the year following after calendar year in which the licensee determines as the annual range the quarter range specified in column 4 or 5 of appendix to this Provision, structural division to which functions of workers implementation of depository activity in the security market belongs is from January 1 to December 31.

In case of assignment on employees of the specified structural division of obligation on implementation of the functions which are not connected with depository activity, the licensee shall provide development and implementation of measures for exception of conflict of interest when implementing of the specified functions by them, and also to include the specified measures in internal documents of the licensee according to subitem 2.1.9 of Item 2.1 of this provision.";

in subitem 2.3.3 of the word", by provision in cases, stipulated by the legislation the Russian Federation, depositary to the registrar of information on owners of securities, accounting of the rights to which performs depositary", to exclude.

1.5. In Item 2.4:

state subitem 2.4.1 in the following edition:

"2.4.1. Availability in parent organization and each branch in which maintaining the register of owners of securities, at least one worker (specialist) is performed.";

state subitems 2.4.5 and 2.4.6 in the following edition:

"2.4.5. Availability at the licensees which determined as the annual range the quarter range specified in the column 5 of appendix to this Provision, the board of directors (supervisory board) from January 1 to December 31 the year following after calendar year in which the licensee determines as the annual range the quarter range specified in the column 5 of appendix to this Provision if within calendar year before the specified determination at the licensee the board of directors (supervisory board) was created.

If within calendar year before determination as the annual range of the quarter range specified in the column 5 of appendix to this Provision, the licensee did not create the board of directors (supervisory board) as the licensed requirements and conditions established concerning the licensee by paragraph one of this subitem were not applicable to it, the licensee shall create the board of directors (supervisory board) and provide its functioning from April 1 to December 31 the year following after calendar year in which the licensee determines as the annual range the quarter range specified in the column 5 of appendix to this Provision.

2.4.6. Providing with the licensee performing maintaining registers of owners of securities of public joint stock companies, documents acceptance from registered persons through the branches and (or) transfer agents from January 1 to December 31 the year following after calendar year in which the licensee as the annual range determines the quarter range specified in the column 4 appendices to this Provision, or following after calendar year in which the licensee as the annual range determines the quarter range specified in the column 5 of appendix to this Provision if within calendar year before determination as the annual range of the quarter range specified in the column 5 of appendix to this Provision, the licensee performed documents acceptance from registered persons through the branches and (or) transfer agents:

at least in fifty subjects of the Russian Federation (since July 1, 2019 - at least in sixty subjects of the Russian Federation) - for the licensee which determined as the annual range the quarter range specified in the column 5 of appendix to this Provision which electronic document management system in each of registers of owners of securities of public joint stock companies which maintaining performs the licensee less than fifteen percent of registered persons joined (since July 1, 2019 - less than twenty percent of registered persons);

at least in forty subjects of the Russian Federation - for the licensee which determined as the annual range the quarter range specified in the column 4 appendices to this Provision which electronic document management system in each of registers of owners of securities of public joint stock companies which maintaining performs the licensee less than fifteen percent of registered persons joined (since July 1, 2019 - less than twenty percent of registered persons);

at least in twenty five subjects of the Russian Federation (since July 1, 2019 - at least in thirty subjects of the Russian Federation) - for the licensee which determined as the annual range the quarter range specified in the column 5 of appendix to this Provision which electronic document management system in each of registers of owners of securities of public joint stock companies which maintaining performs the licensee at least fifteen percent of registered persons joined (since July 1, 2019 - at least twenty percent of registered persons);

at least in twenty subjects of the Russian Federation - for the licensee which determined as the annual range the quarter range specified in the column 4 appendices to this Provision which electronic document management system in each of registers of owners of securities of public joint stock companies which maintaining performs the licensee at least fifteen percent of registered persons joined (since July 1, 2019 - at least twenty percent of registered persons).

If within calendar year before determination as the annual range of the quarter range specified in the column 5 of appendix to this Provision, the licensee performing maintaining registers of owners of securities of public joint stock companies did not perform documents acceptance from registered persons through the branches and (or) transfer agents as the requirements and conditions established by this subitem were not applicable to it, the specified licensee shall provide documents acceptance from registered persons through the branches and (or) transfer agents from April 1 to December 31 the year following after calendar year in which the licensee determines as the annual range the quarter range specified in the column 5 of appendix to this Provision.

Requirements of this subitem are not applied if registered persons on whose personal accounts than sixty percent of securities from total number of the placed securities of public joint stock company are considered more joined electronic document management system of the licensee in each of registers of owners of securities of public joint stock companies which maintaining is performed by the licensee.".

1.6. To state subitem 2.5.2 of Item 2.5 in the following edition:

"2.5.2. Availability at the job seeker and the licensee of the head of the structural unit specified in subitem 2.5.1 of this Item.

Work of the head of the structural unit specified in subitem 2.5.1 of this Item in the licensee shall be for it principle place of employment since thirtieth day after day of adoption by the Bank of Russia of the decision on licensing to the job seeker.".

1.7. In subitem 2.6.2 of Item 2.6 of the word", conforming to the qualification requirements established according to Item 7 of Article 39, Item 14 of article 42 of the Federal law "About the Security Market" to exclude.

1.8. To declare subitem 3.8.5 of Item 3.8 invalid.

1.9. Add with appendix in edition of appendix to this Instruction.

2. This Instruction is subject to official publication and 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 November 30, 2018 No. 36) become effective after 10 days after day of its official publication, except for paragraphs of the fifty first and fifty second subitem 1.2 and the paragraph of the tenth subitem 1.4 of Item of 1 this Instruction.

Paragraphs of the fifty first and fifty second of subitem 1.2 and the paragraph the tenth subitem 1.4 of Item of 1 this Instruction become effective since October 1, 2020.

Provisions of the paragraph of the tenth subitem 2.1.11 of Item 2.1 of the Provision of the Bank of Russia No. 481-P (in edition of this Instruction) regarding subitem 2.1.12 of Item 2.1 of the Provision of the Bank of Russia No. 481-P are applied since October 1, 2020.

Appendix

to the Instruction of the Bank of Russia of December 17, 2018 No. 5013-U "About modification of 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 about 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"

"Appendix

to 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 about 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"

Indicators of activities and quarter ranges of their values

1	2	3	4	5
1	Amount of bargains of purchase and sale of the securities concluded within quarter for customer account when implementing broker activities	no more than 10 000 million rubles.	more the 10th 000, but no more than 100 000 million rubles.	more than 100 000 million rubles.
2	The number of clients under contracts for broker servicing as of the last calendar day of quarter	no more than 1000 persons	more 1000, but no more than 100 000 persons	more than 100 000 persons
3	Amount of bargains of purchase and sale of the securities concluded at own expense at the organized biddings within quarter when implementing dealer activities	no more than 20 000 million rubles.	more the 20th 000, but no more than 200 000 million rubles.	more than 200 000 million rubles.
4	Amount of bargains of purchase and sale of the securities concluded within quarter when implementing activities for management of securities	no more than 2 000 million rubles.	more the 2nd 000, but no more than 20 000 million rubles.	more than 20 000 million rubles.
5	The number of clients according to trust management agreements as of the last calendar day of quarter	no more than 200 persons	more 200, but no more than 2000 persons	more than 2000 persons
6	The cost of the securities considered on accounts, stipulated in Item 2.1 and paragraphs the second - the fifth Item 2.2 of the Provision of the Bank of Russia of November 13, 2015 No. 503-P "About procedure for opening and maintaining by depositaries custody accounts and other accounts", No. registered by the Ministry of Justice of the Russian Federation on December 16, 2015 40137, opened in depositary, as of the last calendar day of quarter	no more than 50 000 million rubles.	more the 50th 000, but no more than 500 000 million rubles.	more than 500 000 million rubles.
7	The number of persons for which personal accounts in registers of owners of issued securities, investment shares of mutual investment funds, hypothecation certificates of participation on which securities, as of the last calendar day of quarter are considered are opened	-	no more than 1 000 000 persons	more than 1 000 000 persons

 

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