Document from CIS Legislation database © 2003-2024 SojuzPravoInform LLC

The document ceased to be valid since April 1, 2023 according to Item 5.3 of the Provision of the Central bank of the Russian Federation of June 29, 2022 No. 798-P

It is registered

Ministry of Justice

Russian Federation

On February 1, 2019 No. 53651

INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of October 17, 2018 No. 192-I

About procedure for licensing of the types of professional activity by the Bank of Russia in the security market specified in Articles 3 - 5, 7 and 8 Federal Laws of April 22, 1996 No. 39-FZ "About the security market", and procedure for maintaining the register of professional participants of the security market

(as amended of the Instruction of the Central bank of the Russian Federation of 06.07.2020 No. 5497-U)

This Instruction based on Items 3, the 6 and 18 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; 2018, No. 1, Art. 65, Art. 70; No. 17, Art. 2424; No. 18, Art. 2560; No. 32, of the Art. 5088) (further - the Federal Law of April 22, 1996 No. 39-FZ) establishes procedure for licensing of the types of professional activity by the Bank of Russia in the security market specified in Articles 3 - 5, 7 and 8 Federal Laws of April 22, 1996 No. 39-FZ, and determines procedure for maintaining the register of the legal entities performing the types of professional activity in the security market specified in Articles 3 - 5, 7 and 8 Federal Laws of April 22, 1996 No. 39-FZ.

Chapter 1. Procedure for licensing of the types of professional activity by the Bank of Russia in the security market specified in Articles 3 - 5, 7 and 8 Federal Laws of April 22, 1996 No. 39-FZ

1.1. For receipt of special permissions to implementation of the types of professional activity in the security market specified in Articles 3 - 5, 7 and 8 Federal Laws of April 22, 1996 No. 39-FZ (further - professional activity in the security market), - the licenses granted by the Bank of Russia (further - licenses), the legal entity created in accordance with the legislation of the Russian Federation and intending to obtain licenses (further - the job seeker), shall send the following documents to the Bank of Russia.

1.1.1. The statement for licensing separately for each type of professional activity in the security market containing the following information about the job seeker:

the complete and reduced (in the presence) trade name in Russian;

primary state registration number;

identification taxpayer number;

the address specified in the Unified State Register of Legal Entities;

license request for extradition with indication of on its type, stipulated in Item the 6th article 39 of the Federal Law of April 22, 1996 No. 39-FZ, and type of the planned professional activity in the security market. If the job seeker plans to perform professional activity in the security market in the form of broker activities, one of the licenses provided by subitems 1.3.1 - 1.3.3 Items 1.3 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" shall be specified in the statement for licensing, No. registered by the Ministry of Justice of the Russian Federation on August 25, 2015 38673, on July 29, 2016 No. 43030, on October 20, 2017 No. 48630 (further - the Provision of the Bank of Russia of July 27, 2015 No. 481-P);

number and document date about payment of the state fee collected according to the paragraph the fourth the subitem 58 of Item 1 of article 333.33 of the Tax Code of the Russian Federation (The Russian Federation Code, 2000, No. 32, the Art. 3340) (further - the state fee for provision of the license), and also the name of the payer and his bank details (the bank name of the payer, bank identification code of payer bank and the name of payment) (further - details of the document on payment of the state fee for provision of the license);

assurance about intention to acquire the status of the member of self-regulatory organization in the sphere of the financial market by the planned type of professional activity in the security market (further - self-regulatory organization) according to part 3 of article 10 of the Federal Law of July 13, 2015 No. 223-FZ "About self-regulatory organizations in the sphere of the financial market" (The Russian Federation Code, 2015, No. 29, Art. 4349; 2016, No. 27, Art. 4225; 2018, No. 1, the Art. 10) (if the job seeker for date of filing of application about licensing is not alternate member of self-regulatory organization) or data that the job seeker is alternate member of self-regulatory organization (with indication of the name of self-regulatory organization of date and number of the petition of self-regulatory organization for issue to this license applicant (in the presence the job seeker has information on the petition);

the list of documents, represented for receipt of the license, the including information on the name and the number of sheets of each document, the number of sheets of set of documents in general.

1.1.2. The questionnaire of the job seeker, not being credit institution or the legal entity performing professional activity in the security market (further - the professional participant of the security market), or managing company of investment fund, mutual investment fund and non-state pension fund (further - managing company) (for the job seeker, not being credit institution, the professional participant of the security market or managing company), containing the following data.

1.1.2.1. The complete and reduced (in the presence) trade name of the job seeker in Russian.

1.1.2.2. Primary state registration number of the job seeker.

1.1.2.3. Identification taxpayer number of the job seeker.

1.1.2.4. The address of the job seeker specified in the Unified State Register of Legal Entities.

1.1.2.5. Reason code and date of statement of the job seeker on accounting in tax authority.

1.1.2.6. The name of the body which performed state registration of the job seeker.

1.1.2.7. Names and addresses of branches (representations) of the job seeker (in the presence).

1.1.2.8. Contact information of the job seeker (phone number, number of the fax (in the presence), e-mail address).

1.1.2.9. The address of the official site (the address of the official sites) of the job seeker on the Internet (further - Internet network).

1.1.2.10. The information about person (persons) which (which) directly or indirectly (through under control to it (it) persons) independently or together with other persons, the related property trust management agreements (them), and (or) particular partnership, and (or) the order, and (or) the shareholders' agreement, and (or) other agreement which subject is implementation of the rights certified by shares (shares) of the job seeker has (have) the order right in 10 and more percent of votes, falling on voting shares (shares) of the authorized capital of the job seeker (for the job seeker who is not the investment adviser) (further - persons having the right directly or indirectly to dispose of shares (shares) of the job seeker):

Warning!!!

This is not a full text of document! Document shown in Demo mode!

If you have active License, please Login, or get License for Full Access.

With Full access you can get: full text of document, original text of document in Russian, attachments (if exist) and see History and Statistics of your work.

Get License for Full Access Now

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

Effectively work with search system

Database include more 50000 documents. You can find needed documents using search system. For effective work you can mix any on documents parameters: country, documents type, date range, teams or tags.
More about search system

Get help

If you cannot find the required document, or you do not know where to begin, go to Help section.

In this section, we’ve tried to describe in detail the features and capabilities of the system, as well as the most effective techniques for working with the database.

You also may open the section Frequently asked questions. This section provides answers to questions set by users.

Search engine created by SoyuzPravoInform LLC.