INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of March 22, 2019 No. 5099-U

About requirements to calculation of the size of own means when implementing professional activity in the security market, and also in case of receipt of the license (licenses) for implementation of professional activity in the security market

This Instruction based on Items 3 and 6 of Article 42, Item 3 of article 44 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, Art. 7524; No. 53, of the Art. 8440) (further - the Federal Law "About the Security Market") establishes requirements to calculation of the size of own means when implementing professional activity in the security market, and also in case of receipt of the license (licenses) for implementation of professional activity in the security market.

Chapter 1. General provisions

1.1. The legal entity performing the type (types) of professional activity in the security market specified (specified) in Articles 3 - 5, 7 and 8 Federal Laws "About the Security Market" (further - the professional participant) shall calculate the size of own means as difference between:

asset cost of the professional participant, 2 presents of the Instruction provided by Chapter (further - assets);

the size of the obligations of the professional participant provided in lines 23 - the 36th forms of the reporting 0420002 "The balance sheet of the not credit financial credit institution" established by appendix 1.1 to the Provision of the Bank of Russia of February 3, 2016 No. 532-P "Industry standard of the financial accounting "Procedure for Creation of Accounting (Financial) Records of Professional Participants of the Security Market, Joint-stock Investment Funds, Organizers of Trade, Central Partners, Clearing Organizations, Specialized Depositaries of Investment Fund, Mutual Investment Fund and Non-state Pension Fund, Managing Companies of Investment Fund, Mutual Investment Fund and Non-state Pension Fund, Bureau of Credit Histories, Credit Rating Agencies, Insurance Brokers" to No. registered by the Ministry of Justice of the Russian Federation on March 2, 2016 41299, on December 15, 2016 No. 44749, on September 28, 2017 No. 48350 (further - obligations).

1.2. The professional participant shall calculate the size of own means monthly as of the last calendar date of month, and in case of the direction of the requirement of the Bank of Russia according to Item 7 of article 44 of the Federal law "About the Security Market" - as of the date specified in such requirement (further - settlement date the professional participant of the size of own means).

1.3. The professional participant shall accept to calculation of the size of own means assets (except for the assets specified in the paragraph the second this Item) on their book value for settlement date the professional participant of the size of own means based on accounting data with observance of the conditions provided by Chapter 3 presents of the Instruction.

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