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

of August 8, 2006 No. 06-87/pz-n

About approval of the Regulations on accreditation of the organizations performing certification of specialists of the financial market

List of amending documents

According to Item 14 of article 42 of the Federal Law of 22.04.96 N39-FZ "About the Security Market" (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; Art. N 17, 1780), Item 2 of article 55 of the Federal Law of 29.11.2001 N156-FZ "About Investment Funds" (Russian Federation Code, 2001, N 49, Art. 4562; 2004, N 27, Art. 2711; 2006, N 17, the Art. 1780) and Item 5.2.9 of the Regulations on the Federal Service for Financial Markets approved by the order of the Government of the Russian Federation of 30.06.2004 of N317 (The Russian Federation Code, 2004, N 27, Art. 2780; 2005, N 33, Art. 3429; 2006, N 13, to the Art. 1400), I order:

1. Approve the enclosed Regulations on accreditation of the organizations performing certification of specialists of the financial market (daleepolozheniye).

2. Determine that the form of the certificate on accreditation of the organization performing certification of specialists of the financial market is the protected printed material of level of protection "In".

3. To impose control of execution of this order on the deputy manager of the Federal Service for Financial Markets S. K. Kharlamov.

 

Approved by the order of the Federal Service for Financial Markets of August 8, 2006 No. 06-87/pz-n

Regulations on accreditation of the organizations performing certification of specialists of the financial market

I. General provisions

1.1. This Provision determines conditions and procedure for accreditation of the organizations performing certification of citizens in the field of professional activity in the security market in the field of activities of joint-stock investment funds, managing companies of investment funds, mutual investment funds and non-state pension funds, specialized depositaries of investment funds, mutual investment funds and non-state pension funds, in the field of activities of non-state pension funds for non-state pension provision, mandatory pension insurance and professional pension insurance (further - certification of specialists of the financial market).

1.2. The educational institutions of the higher or additional professional education performing training in the field of the security market (further - educational institutions), and also self-regulatory organizations of professional participants of the security market and managing companies of investment funds, mutual investment funds and non-state pension funds (the daleesamoreguliruyemy organizations) have the right to perform certification of specialists of the financial market.

II. Accreditation conditions

Conditions of accreditation of the organization applying for implementation of certification of specialists of the financial market (further - the applicant), in case of receipt of accreditation is the following:

2.1. the applicant shall be the legal entity created in accordance with the legislation of the Russian Federation;

2.2 availability at the applicant of the certifying commission created at least from 5 members and the relevant document determining operating procedure of such commission;

2.3 availability at the applicant of the software and hardware allowing to create examination tests (further - tests) according to the programs of qualification examinations for specialists of the financial market approved by the Federal Service for Financial Markets (further - the Federal Service);

2.4 availability at the applicant of the relevant document regulating acceptance of qualification examinations for specialists of the financial market (further - Regulations);

2.5 for receipt of accreditation the applicant, being educational institution, in addition to the conditions provided in Items 2.1 - 2.4 this provision, shall meet the following conditions:

a) implementation by the applicant of educational activities within at least 5 years preceding submission of documents for receipt of accreditation;

b) preparation (in form of education) the applicant at least 500 certified specialists (bachelors, masters) on specializations: "Securities", "Security market", "Stock markets" or "Financial markets", belonging to specialty of higher education "Finance and the credit", or within 3 years preceding submission of documents for receipt of accreditation - at least 3000 citizens for passing qualification examinations on qualification assignment "the specialist of the financial market".

III. Procedure for accreditation

3.1. For receipt of accreditation the applicant submits the following documents to the Federal Service:

3.1.1 questionnaire statement (appendix N1 to this Provision);

3.1.2 copies of constituent documents;

3.1.3 the copy of the license for the right of implementation of educational activities (for educational institutions) or the copy of the operating authority as self-regulatory organization;

3.1.4 the list of members of certifying commission of the applicant and the copy of the document provided in Item 2.2 of this provision;

3.1.5 Regulations in duplicate;

3.1.6 the payment document confirming the fact of payment by the applicant of the state fee for accreditation of the organizations performing certification of physical persons in the field of professional activity in the security market in the form of acceptance of qualification examinations and the issue of competence certificates levied in accordance with the legislation of the Russian Federation about taxes and fees.

3.2. The decision on accreditation or on refusal in accreditation is accepted by the Federal Service within 15 working days from receipt date of complete set of the documents provided in Item 3.1 of this provision.

3.3. In case of idea of incomplete set of the documents necessary for decision making of accreditation, or submission of the documents which are not drawn up in accordance with the established procedure the Federal Service returns to the applicant the documents submitted for receipt of accreditation without consideration within 10 working days from the date of their obtaining by the Federal Service.

3.4. During the term of consideration of the documents submitted for receipt of accreditation, the Federal Service performs check of reliability of the data containing in the documents submitted for receipt of accreditation and check of the software and hardware for forming of tests and the software and hardware for determination of results of examinations (in the presence of such software and hardware). In case of the direction to the applicant of request about provision of additional documents (data) the current of term, stipulated in Item 3.2 this provision, stops for the period of conducting check, but no more than for 60 days.

Check of the software and hardware for forming of tests and the software and hardware for determination of results of examinations is carried out by the Federal Service in the location of the applicant to the terms which are in advance stipulated with the applicant. Upon completion of check of the software and hardware the conclusion about possibility of use by the applicant of the software and hardware for forming of tests and the software and hardware for determination of results of examinations is constituted (in the presence of such software and hardware).

In case of receipt in the Federal Service of the statement of the accredited organization for possibility of use of the software and hardware for determination of results of examinations, the Federal Service performs check such program and technical providing in time, no later than 15 working days from receipt date of the specified statement.

3.5. The bases for refusal in accreditation are:

3.5.1 discrepancy of the applicant to the requirements provided in Items 2.1 - 2.5 of this provision;

3.5.2 availability in documents of the applicant of the doubtful or distorted information;

3.5.3 the conclusion by results of the check provided in Item 3.4 of this provision about impossibility of use by the applicant of the software and hardware for forming of tests;

3.5.4 non-presentation within 60 days based on request, stipulated in Item 3.4 this provision, all documents (data) necessary for decision making on accreditation, or the corrected and/or added documents.

3.6. The Federal Service in writing notifies the applicant on decision making about accreditation or about refusal in accreditation within 5 working days from acceptance date of the relevant decision, in case of decision making about accreditation also directs copy of the approved Regulations.

3.7. In case of decision making about accreditation the Federal Service:

3.7.1 in time, not exceeding 10 working days from decision date about accreditation, draws up the certificate confirming accreditation (the appendix N 2 to this Provision) and sends it to territorial authority of the Federal Service in the location of the accredited organization for issue on hands to the authorized representative of the accredited organization;

3.7.2 within 5 working days from decision date about accreditation provides to the accredited organization the examination questions approved by the Federal Service, and in case of modification and amendments of examination questions - within 5 working days from approval date of such changes and amendments sends them to the accredited organization;

3.7.3 within 5 working days from decision date about accreditation sends to the accredited organization the list of authorized employees of the Federal Service, and in subsequent - in time, no later than 5 working days from the date of modification and amendments of the specified list, notifies the accredited organization on such changes and amendments.

3.8. During accreditation implementation term the Federal Service has the right to check the accredited organization regarding observance of conditions of accreditation by it and the requirements established by the documents specified in Items 2.2 - 2.4 of this provision.

3.9. Accreditation is performed for the term of 3 years which can be prolonged.

3.10. Conditions of prolongation of accreditation are:

3.10.1 the applicant's compliance to conditions to accreditation and the requirements established by the documents specified in Items 2.2 - 2.4 of this provision;

3.10.2 issue by the applicant at least 500 certificates of specialists of the financial market within 3 years preceding submission of documents on accreditation prolongation.

3.11. For accreditation prolongation the applicant in time, not earlier than before 60 working days before the accreditation expiration at least in 20 working days prior to the accreditation expiration, submits the following documents to the Federal Service:

3.11.1 the documents provided in Item 3.1 of this provision;

3.11.2 certificate on accreditation.

3.12. In case of idea of incomplete set of the documents necessary for decision making of prolongation of accreditation, submission of the documents which are not drawn up in accordance with the established procedure or representation of set of documents not in time, stipulated in Item

3.11 this provision, the Federal Service returns to the applicant the documents submitted for accreditation prolongation without consideration within 10 working days from the date of their obtaining by the Federal Service.

3.13. During the term of consideration of the documents submitted for accreditation prolongation, the Federal Service has the right to perform check of reliability of the data containing in the documents submitted for accreditation prolongation, and also check of observance of requirements, established by the documents specified in Items 2.2 - 2.4 of this provision.

3.14. The bases for refusal in prolongation of accreditation are:

3.14.1 discrepancy of the applicant to the requirements provided in Item 3.10 of this provision;

3.14.2 availability in the documents submitted by the applicant, the doubtful or distorted information.

3.15. The Federal Service in writing notifies the applicant on decision making about prolongation of accreditation or about refusal in prolongation of accreditation within 5 working days from acceptance date of the relevant decision, in case of decision making about accreditation prolongation the Federal Service also directs copy of the approved Regulations.

3.16. In case of decision making about accreditation prolongation the Federal Service in time, not exceeding 10 working days from acceptance date of such decision, draws up the certificate confirming accreditation (the appendix N 2 to this Provision) and sends it to territorial authority of the Federal Service in the location of the accredited organization for issue on hands to the authorized representative of the accredited organization.

3.17 The Federal Service makes the decision on withdrawal of accreditation on the following bases:

3.17.1 in connection with cancellation at the accredited organization of the license for the right of implementation of educational activities or the operating authority as self-regulatory organization;

3.17.2. in connection with gross or numerous violation of conditions of accreditation by the accredited organization and the requirements established by the documents specified in Items 2.2 - 2.4 of this provision;

3.17.3. at the initiative of the accredited organization.

3.18. In case of adoption by the Federal Service of the decision on response at the organization of accreditation, the notification on such decision with indication of the bases for response shall be sent to the specified organization within 5 working days from acceptance date of such decision.

3.19. Information on the accredited organizations is open for general acquaintance on the official page of the Federal Service on the Internet (www.fcsm.ru; www.fsfm.gov.ru).

3.20. In case of change of full name of the organization and/or the location of the organization the accredited organization for renewal of the certificate on accreditation in time, not exceeding 30 working days from registration date of all changes in the procedure established by the legislation of the Russian Federation, sends the following documents to the Federal Service:

3.20.1 the statement for renewal of the certificate on accreditation constituted on the form of the accredited organization for form according to the appendix N 3 to this Provision;

3.20.2 copies of the documents specified in Item 3.1.2 of this provision with the changes made to them, assured in accordance with the established procedure, and also the document confirming entering of record into the Unified State Register of Legal Entities about modification of constituent documents of the legal entity;

3.20.3 certificate on accreditation.

3.21. In case of idea of incomplete set of the documents necessary for decision making of renewal of the certificate on accreditation, or submission of the documents which are not drawn up in accordance with the established procedure the Federal Service returns the documents submitted for renewal of the certificate on accreditation without consideration within 10 working days from the date of their obtaining by the Federal Service.

3.22. The decision on renewal of the certificate on accreditation is made by the Federal Service within 15 working days from the date of receipt by the Federal Service of the statement for renewal of the certificate on accreditation with application of documents specified in subitems 3.20.2 and 3.20.3 of this provision.

3.23. The Federal Service in time, not exceeding 10 working days from decision date about renewal of the certificate on accreditation, renews the certificate on accreditation and sends it to territorial authority of the Federal Service in the location of the accredited organization for issue on hands to the authorized representative of the accredited organization.

3.24. Within 5 working days from decision date about renewal of the certificate on accreditation the Federal Service makes corresponding changes to data on the accredited organizations on the website of the Federal Service on the Internet.

3.25. Copies of the documents submitted according to this Provision shall be certified in accordance with the established procedure. In the documents containing more than 1 leaf, sheets shall be stitched, numbered, under seal also the authorized signature.

Appendix №1

to Regulations on accreditation of the organizations performing certification of specialists of the financial market

 
                                ОБРАЗЕЦ
 
     ________________200_                         исх. N _____________
 
     ФСФР России
     Ленинский проспект, д. 9
     г. Москва, В-49, ГСП-1
     119991
 
                     Анкета-заявление организации
         для получения аккредитации (продления аккредитации)
 
     1. Полное наименование: _________________________________________
     2. Место нахождения (адрес): ____________________________________
     3. Номер контактного телефона: __________________________________
     4. Номер факса: _________________________________________________
     5. Адрес официальной страницы в сети Интернет: __________________
     6. Адрес электронной почты:______________________________________
     7. Фамилия, имя, отчество руководителя: _________________________
     8. Контактные лица: _____________________________________________
     9. Краткое  описание  программно-технического   обеспечения   для
формирования   тестов   и   программно-технического   обеспечения  для
определения    результатов    экзаменов    (при     наличии     такого
программно-технического обеспечения): ________________________________
______________________________________________________________________
     10. Длительность     (опыт)     осуществления     образовательной
деятельности, в годах (заполняется образовательным учреждением): _____
______________________________________________________________________
     11. Длительность (опыт) подготовки граждан  для  сдачи  экзаменов
ФСФР   России   (экзаменов   ФКЦБ   России),   в   годах  (заполняется
образовательным учреждением): ________________________________________
     12. Длительность  (опыт)  подготовки дипломированных специалистов
(бакалавров,  магистров) по  специализациям  "Ценные  бумаги",  "Рынок
ценных бумаг",  "Фондовые рынки" или "Финансовые рынки", относящимся к
специальности  высшего  профессионального   образования   "Финансы   и
кредит", в годах (заполняется образовательным учреждением): __________
______________________________________________________________________
     13. Число  подготовленных граждан для сдачи экзаменов ФСФР России
или экзаменов ФКЦБ России (заполняется образовательным учреждением): _
______________________________________________________________________
     14. Число     подготовленных     дипломированных     специалистов
(бакалавров,  магистров)  по  специализациям  "Ценные бумаги",  "Рынок
ценных бумаг",  "Фондовые рынки" или "Финансовые рынки", относящимся к
специальности высшего профессионального образования "Финансы и кредит"
(заполняется образовательным учреждением): ___________________________
______________________________________________________________________
     15. Количество выданных аттестатов специалистов финансового рынка
в  течение  3  лет,  предшествующих  подаче  документов  на  продление
аккредитации (заполняется в целях продления аккредитации): ___________
______________________________________________________________________
Прошу рассмотреть вопрос об аккредитации / о продлении аккредитации
                          нужное подчеркнуть
______________________________________________________________________
                  (полное наименование организации)
 
                           М.П.                            И.О.Фамилия
     ___________________________                       _______________
     наименование должности                                подпись
     руководителя организации/

Appendix № 2

to Regulations on accreditation of the organizations performing certification of specialists of the financial market

 
                             ОБРАЗЕЦ 
 

               ФЕДЕРАЛЬНАЯ СЛУЖБА ПО ФИНАНСОВЫМ РЫНКАМ

                            СВИДЕТЕЛЬСТВО
             ОБ АККРЕДИТАЦИИ ОРГАНИЗАЦИИ, ОСУЩЕСТВЛЯЮЩЕЙ
              АТТЕСТАЦИЮ СПЕЦИАЛИСТОВ ФИНАНСОВОГО РЫНКА

     ______________                                        N _________
         (дата)

           ________________________________________________
                  (полное наименование организации)
             ____________________________________________
                    (место нахождения организации)

                 имеет право осуществлять аттестацию
                    специалистов финансового рынка
                         до__________________

     Руководитель      М.П.         подпись             /И.О. Фамилия/

Appendix №. 3

to Regulations on accreditation of the organizations performing certification of specialists of the financial market

 
                               ОБРАЗЕЦ
 
     ________________200_                         исх. N _____________
 
     ФСФР России
     Ленинский проспект, д. 9
     г. Москва, В-49, ГСП-1
     119991
 
                              Заявление
            о переоформлении свидетельства об аккредитации
 
______________________________________________________________________
                  (полное наименование организации)
______________________________________________________________________
                    (место нахождения организации)
просит переоформить свидетельство об аккредитации в связи с изменением
наименования/ места нахождения организации.
     (нужное подчеркнуть)
 
     Новое наименование/ место нахождения организации: _______________
                                                      (нужное указать)
 
       К настоящему заявлению прилагаются следующие документы:
 
/--------------------------------------------------------------------\
/N документа /Наименование документа /Количество листов/Количество   /
/            /                       /документа        /экземпляров  /
/------------+-----------------------+-----------------+-------------/
/            /                       /                 /             /
\--------------------------------------------------------------------/
 
                                 М.П.                      И.О.Фамилия
     ___________________________                       _______________
     наименование должности                               подпись
     руководителя организации/
 

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