RESOLUTION OF THE FEDERAL COMMISSION FOR THE SECURITIES MARKET

of June 19, 1998 No. 24

About approval of the Regulations on licensing of activities for maintaining the register of owners of personalized securities

List of amending documents

According to articles 42 and 44 of the Federal Law of April 22, 1996 N 39-FZ "About the security market" the Federal Commission for the Securities Market decides:

1. Approve Regulations on licensing of activities for maintaining the register of owners of personalized securities.

2. Recognize invalid from the moment of publication of this provision:

The resolution of the Federal commission on securities and the stock market under the Government of the Russian Federation of August 30, 1995 N 6 "About licensing of activities for maintaining the register of owners of personalized securities";

The resolution of the Federal Commission for the Securities Market of September 17, 1996 N 18 "About changes and amendments of procedure for licensing of activities for maintaining the register of owners of personalized securities";

The resolution of the Federal Commission for the Securities Market of May 30, 1997 N 16 "About introduction of amendments to the resolution of the Federal Commission for the Securities Market of September 17, 1996 N 18 "About changes and amendments of procedure for licensing of activities for maintaining the register of owners of personalized securities";

The resolution of the Federal Commission for the Securities Market of November 27, 1997 N 41 "About modification and amendments in the resolution of the Federal Commission for the Securities Market of September 17, 1996 N 18 "About changes and amendments of procedure for licensing of activities for maintaining the register of owners of personalized securities".

 

Approved by the resolution of the Federal Commission for the Securities Market of July 19, 1998 No. 24

Regulations on licensing of activities for maintaining the register of owners of personalized securities

For the purpose of improvement of protection of the rights of investors and improvement of quality of their servicing, for ensuring control of activities of the members of the security market performing activities for maintaining the register of owners of personalized securities:

1. Determine that the licenses for activities on maintaining the register of owners of personalized securities granted by the Federal Commission for the Securities Market (further - the Federal commission), are valid in all territory of the Russian Federation.

2. Determine that compulsory provisions for receipt (prolongation) of license for activities on maintaining the register of owners of personalized securities are:

2.1. Availability in the charter of the legal entity who submitted the application for receipt (prolongation) of the license (further - the applicant), regulations on implementation of activities for maintaining the register of owners of personalized securities as exclusive (except as specified when the possibility of combination with other types of activity is established by the laws of the Russian Federation, regulations of the Federal commission).

2.2. The contribution of any shareholder (participant) to the authorized capital of the applicant shall not exceed 20 percent from the authorized capital of the applicant.

The requirement of this subitem is not applied till January 1, 2000 to the applicant performing maintaining the register of owners of personalized securities of the joint-stock companies which had for January 1, 1997 license for activities as investment funds, specialized investment funds of privatization accumulating privatization checks of citizens provided that the total quantity of owners of personalized securities constitutes 1,5 of one million and more.

2.3. Availability at the applicant performing maintaining registers during the entire period of its activities, since the moment of submission of the first request for license renewal, at least 25 registers of issuers with number of owners of personalized securities on each issuer more 500, and at applicants whose location are Moscow, the Moscow region, St. Petersburg, the Leningrad, Nizhny Novgorod, Samara and Sverdlovsk regions, - at least 50 registers of issuers with number of owners of personalized securities on each issuer more than 500.

The requirement of paragraph one of this subitem is not applied:

till January 1, 2000 to the applicant performing maintaining registers of owners of personalized securities of the joint-stock companies which had for January 1, 1997 license for activities as investment funds, specialized investment funds of privatization accumulating privatization checks of citizens provided that the total quantity of owners of personalized securities constitutes 1,5 of one million and more;

till July 1, 1999 to the applicant performing maintaining registers of owners of personalized securities of the issuers included in the list of issuers whose documents for state registration of issues of securities are submitted to the Federal Commission for the Securities Market (appendix to the order of the Federal Commission for the Securities Market of February 26, 1997 by N 60-p (with the amendments and changes made by orders of the Federal Commission for the Securities Market of June 17, 1998 N 539-p of August 31, 1998 N 944-p) provided that the total quantity of owners of personalized securities constitutes 1 million and more.

2.4. Availability at the applicant who is not performing maintaining registers at the time of application for receipt of the license at least 15 contracts for maintaining the registers signed with issuers with number of owners of personalized securities more than 500 at everyone, emergence of the rights and obligations on which it is put into dependence on receipt of the license by the applicant.

2.5. The equity of the applicant at the time of application for receipt (prolongation) of the license and during the entire period of its activities shall be at least amount, equivalent to 200 000 ECU (in rubles on the rate established by the Central bank of the Russian Federation for date of creation of calculation of the size of equity according to requirements of this provision), and for the applicants performing maintaining registers of owners of personalized securities of issuers which controlling stock is fixed in federal property - at least 400 000 ECU. (This paragraph is effective till September 30, 1998.)

The equity of the applicant at the time of application for receipt (prolongation) of the license and during the entire period of its activities shall be at least amount, equivalent to 200 000 ECU (in rubles on the rate established by the Central bank of the Russian Federation for date of creation of calculation of the size of equity according to requirements of this provision), and for the applicants performing maintaining registers of owners of personalized securities of issuers which more than 25 percent of shares are in federal property - at least 400 000 ECU. (This paragraph becomes effective since October 1, 1998.)

2.6. Not reduced balance in cash on accounts of the applicant, and also means in the government short-term non-coupon bonds (state treasury bills), the bonds of the state savings loan (BSSL), the federal loan bonds (FLB), bonds of the state currency bonded loan and government securities of the subject of the Russian Federation (in the location of the applicant) at the time of application and during all term of activities of the registrar shall constitute at least 20 percent from the size established in subitem 2.5 of this provision. If the applicant has the insurance contract of the responsibility on compensation of property harm to the third parties as a result of implementation of activities by it as the registrar registered by the self-regulatory organization having the license of the Federal commission and combining the professional participants of the security market performing activities for maintaining registers of owners of personalized securities shall constitute at least 10 percent from the size established in subitem 2.5 of this provision. This requirement is obligatory for the registrar during the entire period of its activities.

2.7. Availability at least two specialists in staff of the legal entity - the applicant, meeting qualification requirements by this type of professional activity in the security market according to regulations of the Federal commission (this requirement becomes effective since April 22, 1999).

Heads and controllers of the organization shall meet the qualification requirements established by the Federal commission.

The issuer performing maintaining the register of personalized securities independently if more 50, at least one specialist meeting qualification requirements by this type of professional activity in the security market according to regulations of the Federal commission shall have number of registered persons in the state (this requirement becomes effective since April 22, 1999).

Person cannot be the head of executive body of the organization, the chief accountant and the controller:

a) having the outstanding or not removed criminal record for crimes in the field of economy;

b) performing functions of sole executive body of the organization (the director, the CEO) or being part of collegiate executive body (directorates, boards), being the chief accountant or the controller in the organizatsiiprofessionalny member of the security market during making of the violation which entailed cancellation of the license within three years from the date of cancellation of the license of the professional participant of the security market.

Restriction) is not applied in case of cancellation of the license owing to the termination of activities of the legal entity as a result of reorganization, and also liquidation according to the decision of founders (participants) or the body authorized on that by constituent documents.

2.8. Membership of the applicant in the self-regulatory organization combining the professional participants of the security market performing activities for maintaining registers of owners of personalized securities.

2.9. Availability of the petition of self-regulatory organization on issue (prolongation) of the license in licensing authorities.

2.10. The authorized capital of the legal entity - the applicant cannot be paid with securities which issuers are its shareholders, founders, and also securities of issuers which maintaining registers performs or the applicant assumes to perform.

3. Determine that the license is granted for up to 6 months with the subsequent prolongation according to the decision of the Federal commission.

4. Determine that when calculating equity of the registrar are subtracted from the IV Section of the balance sheet (The capital and reserves):

target financing and receipts (are not subtracted by the registrars which are non-profit organizations);

intangible assets on residual cost (less the cost of the certified software used when maintaining the register and considered as a part of intangible assets);

construction in progress;

own shares (shares, shares) redeemed from shareholders (participants);

debt of participants (founders) on fees in the authorized capital;

investments into affiliated and dependent societies;

inventories;

receivables on which payments are expected more than in 12 months after reporting date;

bills of exchange to obtaining, including the bills of exchange considered on accounts of the financial investments;

uncovered losses of last years;

uncovered loss of accounting year.

In the presence on balance of the applicant of securities which issuers are members (founders) of this applicant and also investments in securities (shares, shares) issued by the organizations which at the time of application are liquidated or declared by bankrupt in the procedure established by the legislation of the Russian Federation equity of the applicant decreases by the size of book value of the specified securities (shares, shares).

The minimum size of equity of the professional participant having license for activities on maintaining the register of owners of personalized securities during the entire period of its activities shall meet the requirements of subitem 2.5 of this provision.

5. Issue of licenses for activities on maintaining the register of owners of personalized securities is performed by the Federal commission.

6. For consideration of the application on receipt (prolongation) of the license one-time collection - 100 minimum wages established by the legislation of the Russian Federation on payment date of collection by the applicant is levied.

In case of modification of the documents submitted for receipt (prolongation) of the license payment of one-time collection is not made.

In case of refusal in issue (prolongation) of the license or the termination of consideration of documents based on the written petition of the organization applicant one-time collection does not return. In case of repeated submission of documents for receipt of the license in case of refusal in its issue or the terminations of consideration of documents based on the written petition of the organization applicant one-time collection is levied repeatedly.

7. Control of activities of the registrar who obtained license for activities on maintaining the register of owners of personalized securities is performed by the Federal commission and self-regulatory organization.

8. Determine that the professional participants performing activities for maintaining the register of owners of personalized securities have the right independently, but in the amount of, not exceeding amounts provided in Item 10 of this provision to establish payment:

for entering of records into system of maintaining the register about transfer of securities;

for change and amendment of the data containing in system of maintaining the register about the registered person (including for introduction of records about encumbrance of personalized securities, about change of details of the registered person), except for information on transfer of securities;

for provision of the statement from system of maintaining the register.

Information on the size of collectable service fee, including on all its changes, joins in the Rules of maintaining the register developed by the registrar and is subject to obligatory disclosure to any interested person according to the procedure, established by the Federal commission.

9. Collection of payment from persons registered in system of maintaining the register for the notification on refusal of entering of record into system of maintaining the register and for issue of the statement which is drawn up in case of placement of securities is not allowed.

10. Determine that the amount of fee of the registrar excluding tax on value added cannot exceed:

10.1. For entering of records into system of maintaining the register about transfer of securities as a result of their purchase and sale or any other transition of the property rights to securities, including addressed to the nominee holder, for one order from each of the parties according to the transaction the registrar has the right to levy payment in the amount of 1 (one) ruble from each one thousand rubles of transaction price, according to the corresponding transfer order, at the same time the total maximum amount of payment shall not exceed 50 minimum wages, irrespective of transaction price. The last restriction does not extend to the amount of fee of the registrar only in case of availability at the registrar of the signed insurance contract of responsibility on compensation of property harm to the third parties as a result of implementation of activities by it as the registrar.

By the registrar the minimum amount of payment for entering of records into system of maintaining the register about transfer of securities as a result of their purchase and sale which shall not exceed in the amount of 0,2 of the minimum wage established by the legislation of the Russian Federation for date of submission of the transfer order can be established.

For carrying out in system of maintaining the register of the transactions with participation of the nominee holder or trustee which are not connected with transition of the property rights to securities, the registrar has the right to levy payment, in the amount of not exceeding 20 minimum wages established by the legislation of the Russian Federation for date of provision to the registrar (transfer agent) of the transfer order, according to the procedure, established by the self-regulatory organization having the license of the Federal commission and combining the professional participants of the security market performing activities for maintaining the register of owners of personalized securities.

All amount levied by the registrar for entering of records into system of maintaining the register about transfer of securities can be paid to one of the parties.

10.2. For opening of personal account in system of maintaining the register - 0, the minimum wage established by the legislation of the Russian Federation for date of provision to the registrar of all properly processed documents necessary for opening of personal account.

10.3. For modification of information of personal account on the registered person - 0,3 of the minimum wage established by the legislation of the Russian Federation for date of the direction of data or the address to the registrar.

10.4. For introduction of records about blocking (the blocking termination) of transactions on personal account: according to the order of the registered person - 0,5 of the minimum wage established by the legislation of the Russian Federation for date of provision to the registrar (transfer agent) of all properly processed documents necessary for blocking execution (the blocking termination) of transactions; and it is free in other cases.

10.5. For introduction of records about encumbrance (the encumbrance termination) of securities by obligations: in case of their transfer to pledge (the pledge termination) - 0, the minimum wage established by the legislation of the Russian Federation for date of provision to the registrar (transfer agent) of all properly processed documents necessary for encumbrance registration (the encumbrance termination); and it is free in other cases.

10.6. For introduction of records about converting concerning the securities belonging to the certain owner - 0,3 of the minimum wage established by the legislation of the Russian Federation for date of the direction of data or the address to the registrar (transfer agent).

10.7. The payment for introduction of records about converting concerning all issue of securities (it is paid by the issuer) cannot exceed costs for carrying out the specified transactions by the registrar.

10.8. For provision of statements from the register - 0,1 of the minimum wage established by the legislation of the Russian Federation for date of the address to the registrar (transfer agent).

For issue of certificates of availability on the account of the specified number of securities - 0,2 of the minimum wage established by the legislation of the Russian Federation for date of the address to the registrar (transfer agent).

For issue of certificates of transactions on personal account - 0,1 of the minimum wage established by the legislation of the Russian Federation for date of the address to the registrar (transfer agent) for each transaction specified in the reference.

For issue of the notification according to the order of the registered person off which account are charged or person into whose account securities are enlisted, - 1 minimum wage, established by the legislation of the Russian Federation on date of issue of the notification.

10.9. For provision to the owners and nominee holders of securities owning more registered in system of maintaining the register than one percent of voting shares of the issuer, data from the register on names (full names) of the owners, about quantity, category (type) and nominal value belonging to them securities the price registered in the register it is established by agreement of the parties.

10:10. Within the maximum sizes established in subitems 10.1-10.9 of this provision, the registrar has the right to establish the amount of collectable payment independently.

The services which are not listed in this Item are performed by the registrar according to the license for a fee, established by agreement of the parties.

At the same time the registrar has the right to establish the different amount of payment of the services in different issuers.

The registrar (branch of registrar) has the right to increase rates for services within the district coefficient established for the region in the territory of which there is registrar (branch of registrar).

10:11. The issuer performing maintaining the register of the personalized securities independently having no right to levy payment for rendering services in maintaining the register.

10:12. The agreement signed between the registrar and transfer agent shall be registered by the registrar in the self-regulatory organization having the license of the Federal commission and combining the professional participants of the security market performing activities for maintaining the register of owners of personalized securities agrees to the requirements established by it.

11. Determine that by reorganization of the registrar by joining to it of one or several registrars, the reorganized registrar is legal successor of the joined registrars under the contracts for maintaining registers signed by them.

12. Carrying out transactions in the register can be performed out of the location of the registrar by its separate division only if it meets the following requirements:

it is registered as branch of legal litsaregistrator;

has at least one specialist meeting qualification requirements of the Federal commission for the corresponding type of professional activity in the state;

provides accomplishment of transaction in all registers which are kept by the registrar within administrative-territorial education (except areas/districts of the city) in the location of this division of the registrar.

13. Licensing is performed by the Federal commission. The documents necessary for receipt (prolongation) of the license are represented to the Federal commission by self-regulatory organization which member is the applicant.

The federal commission keeps the register of the professional participants of the security market who obtained license for activities on maintaining the register of owners of personalized securities. The specified register joins also data on suspension or cancellation of licenses for activities on maintaining the register of owners of personalized securities.

14. For receipt (prolongation) of the license the applicant shall submit the following documents to self-regulatory organization:

the request for receipt (prolongation) of the license in the established form in writing and on the magnetic carrier in the file in the format approved by the order of the Federal commission. Before approval of the specified form the application is submitted in writing and on the electronic medium according to appendix 1 to the Regulations on licensing of activities for maintaining the register of owners of personalized securities;

notarially attested copies of constituent documents with all amendments and changes to them or, in case of submission of documents for license renewal, notarially attested copies of changes and amendments to them for date of submission of documents for registration in duplicate;

notarially attested copy of the certificate on state registration (only in case of submission of documents for receipt of the license);

the copy of the certificate of statement of the applicant on accounting in tax authorities (only in case of submission of documents for receipt of the license);

the balance sheet for the last accounting year with mark of tax authorities (it is not represented if the applicant is newly created legal entity);

the balance sheet and the report on financial results of activities on the last reporting date before application for receipt (prolongation) of the license (it is not represented if the applicant is newly created legal entity);

analytical sheets on accounts of financial accounting 06 "Long-term financial investments" and 58 "The short-term financial investments" with indication of the name of the financial investment and book value as of the last reporting date;

the certificate of calculation of equity on the last reporting date before application for receipt (prolongation) of the license signed by person performing functions of sole executive body of the applicant and the chief accountant of the applicant, the applicant assured by seal;

the applicant assured by seal the certificate of structure of the authorized capital at the time of application for receipt (prolongation) of the license signed by person, the acting as sole executive body of the applicant, and the chief accountant of the applicant with indication of quantity, categories and type of shares (share of participants), and also payment methods of shares (share of the participants) constituting the authorized capital of the applicant;

the documents (copies of payment orders and (or) delivery-acceptance certificates of property in case of payment of the authorized capital by non-cash means) confirming payment of the authorized capital by the applicant's founders (it is represented only the applicant who is the newly created legal entity);

stitched and certified by the applicant's seal the rules of maintaining the register of owners of personalized securities approved by him conforming to requirements of the legislation of the Russian Federation about securities and regulatory legal acts of the Federal commission (or, in case of submission of documents for license renewal, the subsequent amendments and changes to them), the including lists and terms of making of transactions by the registrar, the list and document forms based on which the registrar carries out re-registration of securities and other transactions in the register, forms, content and terms of issue of statements and references from system of maintaining the register, form of agreements about transfer agents and the list transfer agents, rules of registration, processing and storage of the entering documentation, the amount of fee of the registrar, the requirement to officials and personnel of the registrar (job descriptions), requirements for implementation of internal control behind observance of requirements, shown to implementation of professional activity, and the requirement for the information security which is in the register;

the list of issuers whose maintaining registers of owners of personalized securities is performed by the applicant (and in case of receipt of the license - with which the applicant signs agreements) with application of copies of the agreements signed with them and delivery-acceptance certificates of registers of owners of personalized securities (if copies of agreements and delivery-acceptance certificates were not represented earlier), with indication of on each issuer of percent of shares, fixed in federal property (and since October 1, 1998 - being in federal property), the number of owners of personalized securities, industry accessory of the issuer and his core activity, the postal address, phone, sole executive body, identification taxpayer number;

data on insurance contracts of activities for maintaining the register of owners of personalized securities and participation in programs of guaranteeing the signature (in the presence of such agreements and documents);

the documents confirming membership of the applicant in self-regulatory organization;

the copy of the payment order about payment of one-time collection certified by seal of bank and the signature of the official.

15. The self-regulatory organization accepts and considers the request on condition of representation of complete set of documents and in time no later than 15 days sends to the licensing body the petition on receipt (prolongation) of the license of the established form according to appendix 2 to the Regulations on licensing of activities for maintaining the register of owners of personalized securities and complete set of documents. The self-regulatory organization has no right to start consideration of the request for receipt (prolongation) of the license before submission of all necessary documents, stipulated in Item the 14th this provision, at the same time date of acceptance of the request for receipt (prolongation) of the license is date of representation of complete set of the specified documents.

Consideration of the filed documents on licensing of activities for maintaining the register of owners of personalized securities, issue of licenses, the direction of the notification on refusal in issue or cancellation of the license are made within 60 days from the date of submission from self-regulatory organization of the corresponding petition, the request and complete set of documents to the Federal commission.

16. In case of submission to the Federal commission for receipt (prolongation) of the license of incomplete set of documents, stipulated in Item the 14th this provision, the Federal commission does not start consideration of documents and sends to the applicant within 15 days from the date of receipt of incomplete set of documents the notification on need to submit missing documents.

In the course of consideration of documents for receipt (prolongation) of the license the Federal commission has the right to send to the applicant the notification on need of modification and amendments to the submitted documents, and also to demand additional documents and information. In the cases specified in this Item, the term of consideration of documents in the Federal commission is estimated from the date of submission to the Federal commission of the corrected, added and completely completed documents. One-time collection at the same time is not levied.

17. The basis for refusal in issue (prolongation) of the license are:

discrepancy of the submitted documents and data containing in them to requirements of the legislation of the Russian Federation and regulations of the Federal commission;

availability in the submitted documents of false or false information;

the violation of requirements imposed to implementation of professional activity on maintaining the register of owners of personalized securities revealed as a result of checks by the Federal commission and its not elimination at the scheduled time.

18. The license is granted in the established form. At the same time on constituent documents of the applicant (or their copies) the corresponding mark becomes: the seal of the licensing body and stamp is set "Is registered". One copy of constituent documents returns to the applicant and is integral part of the obtained license. The second copy is stored in the licensing body during all effective period of the license.

If after receipt of the license changes or additions are made to constituent documents of the registrar, the specified changes and amendments no later than 20 days from the moment of data recording of changes shall be provided to the Federal commission.

In case of modification and amendments of rules of maintaining the register of owners of personalized securities the registrar shall within 15 days after approval of these changes and amendments to send them to the Federal commission. At the same time the registrar receives the letter with confirmation of the fact of registration or refusal in registration of changes or amendments. For registration of changes and amendments the payment is not levied.

19. The license is not subject to transfer to other legal entity.

20. Ceased to be valid

21. The registrar in case of the conclusion of the contract with the issuer for maintaining the register of owners of its personalized securities no later than 15 days after signing of the delivery-acceptance certificate of the register informs on it the Federal commission, with application of a copy of the signed agreement and copy of the delivery-acceptance certificate of the register.

22. Ceased to be valid

23. Ceased to be valid

24. Within three working days from the date of expiration of the license or from the date of decision making about suspension of action of the license or its cancellation the Federal commission in writing informs on it the registrar, issuers of securities which registers are kept by the specified registrar.

25. Renewal of action of the suspended license is made after submission by the registrar to the Federal commission of the report on elimination of the violations revealed in its activities in the terms established by the Federal commission.

The federal commission has the right to perform (with involvement of independent auditors and other structures) the reliability containing in the specified report of information.

26. In three-day time from the date of decision making about renewal of the license the Federal commission in writing notifies on it the registrar.

27. During the transforming, change of the name, the location or the postal address of the legal entity who is the registrar and also when losing of the form of the license by it the last in fifteen-day time from the date of the happened changes or loss of the form of the license shall report about it in the Federal commission with appendix of the relevant documents confirming the specified data. Renewal (receipt of the duplicate) of the license is made in three-day time from the moment of receipt of the message of the registrar.

28. Control of implementation of professional activity by registrars on maintaining the register of owners of personalized securities is exercised by the Federal commission. The registrar shall provide to the Federal commission documents and data, necessary for control.

29. Actions of the Federal commission can be appealed in judicial authorities in the procedure established by the legislation of the Russian Federation.

Appendix 1

to Regulations on licensing of activities for maintaining the register of owners of personalized securities

Request for obtaining/licence renewal for implementation of activities for maintaining the register of owners of personalized securities

          
                        1. Данные о заявителе
          
1.1. Наименование заявителя __________________________________________
Место нахождения (юридический адрес) заявителя _______________________
Идентификационный номер налогоплательщика ____________________________
1.2. Адрес  для  корреспонденции,  касающейся  данной  заявки,  и  для
вручения извещений ___________________________________________________
______________________________________________________________________
1.3. Номер телефона _________________ Номер факса ____________________
1.4. Имя  и  должность  лица,  с которым можно связаться для получения
справок ______________________________________________________________
______________________________________________________________________
          
        2. Структура и организационно-правовая форма заявителя
          
2.1. Дата выдачи и номер свидетельства о государственной регистрации _
______________________________________________________________________
Орган, осуществивший государственную регистрацию _____________________
______________________________________________________________________
2.2. Владеете ли вы долями в уставных капиталах других обществ?
                                                               ДА  НЕТ
Если ДА,  то  укажите наименование общества и размер принадлежащей вам
доли в его уставном капитале (в процентах),  основной вид деятельности
каждого общества.
2.3. Укажите лиц, владеющих более 5% акций (долей) в уставном капитале
заявителя:
_____________________________________________________________________%
_____________________________________________________________________%
          
            3. Директора, ответственное должностное лицо и
                       администрация заявителя
          
3.1. Директора:
     Фамилия     Должность   Профессия   Дата               Номер
     Имя                                 назначения         телефона
     Отчество                                               и факса
_______________  __________  __________  _____________  ______________
_______________  __________  __________  _____________  ______________
_______________  __________  __________  _____________  ______________
3.2. Главный  бухгалтер   и   должностное   лицо,   ответственное   за
взаимодействие с Федеральной комиссией (лицензирующим органом).
          
      Фамилия     Должность   Профессия   Дата               Номер
      Имя                                 назначения         телефона
      Отчество                                               и факса
_______________  __________  __________  _____________  ______________
_______________  __________  __________  _____________  ______________
_______________  __________  __________  _____________  ______________

Главный бухгалтер:
_______________  __________  __________  _____________  ______________
Ответственное должностное лицо:
_______________  __________  __________  _____________  ______________

     3.3. Члены  исполнительного  органа  заявителя  (в  случае,  если
исполнительный  орган  заявителя является коллегиальным),  единоличный
исполнительный орган (президент, директор), его заместители.
     По каждому лицу необходимо указать следующую информацию:
     а) фамилия, имя, отчество;
     б) дата и место рождения;
     в) гражданство;
     г) паспортные   данные  (серия  и  номер  паспорта,  дата  выдачи
паспорта и орган, выдавший паспорт, место жительства);
     д) образование,   когда   и   какие  учебные  заведения  окончил,
квалификация, специальность;
     е) места работы с указанием наименования и  занимаемой  должности
за  последние пять лет (кроме сведений,  указываемых ниже в подпунктах
"ж"  и   "з".   Указать   случаи   аннулирования   у   организаций   -
профессиональных участников рынка ценных бумаг лицензий);
     ж) должность,  занимаемая в настоящее время в данной организации,
когда назначен;
     з) занимаемые  в  настоящее  время должности в органах управления
других лиц,  включая нерезидентов,  с указанием наименования  и  места
нахождения;
     и) наличие квалификационных  аттестатов  (серия,  срок  действия,
дата   выдачи,   наименование   органа,   выдавшего   квалификационный
аттестат);
     к) наличие  непогашенной  или  неснятой  судимости  с приложением
копии приговора суда.
     3.4. Руководители   подразделений   и    служб,    обеспечивающие
осуществление заявителем профессиональной деятельности на рынке ценных
бумаг, главный бухгалтер.
     По каждому лицу необходимо указать следующую информацию:
     а) фамилия, имя, отчество;
     б) дата и место рождения;
     в) гражданство;
     г) паспортные   данные  (серия  и  номер  паспорта,  дата  выдачи
паспорта и орган, выдавший паспорт, место жительства);
     д) образование,  когда  и  какие   учебные   заведения   окончил,
квалификация, специальность;
     е) места  работы  с указанием наименования и занимаемой должности
за последние пять лет (кроме сведений,  указываемых ниже в  подпунктах
"ж"   и   "з".   Указать   случаи   аннулирования   у   организаций  -
профессиональных участников рынка ценных бумаг лицензий);
     ж) должность,  занимаемая в настоящее время в данной организации,
когда назначен;
     з) занимаемые в настоящее время должности  в  органах  управления
других  лиц,  включая  нерезидентов,  с указанием наименования и места
нахождения;
     и) наличие  квалификационных  аттестатов  (серия,  срок действия,
дата   выдачи,   наименование   органа,   выдавшего   квалификационный
аттестат);
     к) наличие непогашенной  или  неснятой  судимости  с  приложением
копии приговора суда.
     3.5. Общее количество сотрудников  организации  _______,  из  них
количество сотрудников, имеющих квалификационные аттестаты _____.
     Перечислить сотрудников  организации,  имеющих   квалификационные
аттестаты  и не перечисленных в пунктах 3.3 и 3.4 настоящей заявки,  с
указанием их фамилии,  имени,  отчества,  серии,  срока действия, даты
выдачи и наименования органа, выдавшего квалификационные аттестаты.
          
             4. Общая информация о деятельности заявителя
          
4.1. Дата начала деятельности ________________________________________
4.2. Являетесь ли вы членом саморегулируемой организации?
                                                                ДА НЕТ
Если ДА, то укажите ее наименование, место нахождения ________________
______________________________________________________________________
4.3. Основное  место  (регион)  деятельности  заявителя  в  Российской
Федерации ____________________________________________________________
4.4. Осуществляется ли вами деятельность в других местах?
                                                                ДА НЕТ
Если ДА,  то составьте их список с именами  главных  должностных  лиц,
проживающих в каждом из них.

 Адреса    Должностные лица   Телефон и факс
 ______    ________________   ______________
          
                  5. Банковские учреждения, аудитор
          
5.1. Сообщите наименование и адрес банковского учреждения заявителя:
Название ________________________ Номер(а) счета _____________________
                (счетов)
Адрес ________________________________________________________________
Лицо, с которым можно связаться для справок   Номер телефона
___________________________________________   ________________________
5.2. Имеете ли вы  счета  в  каком-либо  ином  банковском  (кредитном)
учреждении в России или за ее пределами?
 Название ________________________   Номер(а) счета (счетов)
 Адрес ___________________________   ________________________
 Телефон, факс ___________________   ________________________
5.3. Сообщите название (имя) и адрес аудитора
 Название __________________________  Номер телефона
 Адрес _____________________________  _________________________
 Лицо, с которым можно связаться для справок
 ______________________________________________________________
5.4. Подвергалась     ли     финансовая     деятельность     заявителя
квалифицированной аудиторской проверке за последние 3 года?     ДА НЕТ
Если ДА, сообщите, когда и кем, приложите копии заключения аудитора: _
______________________________________________________________________
5.5. Укажите адрес, где хранится документация.
          
                       6. Характер деятельности
          
Будете ли вы  сочетать  деятельность  по  ведению  реестра  владельцев
именных ценных бумаг с другими видами деятельности?
Укажите вид деятельности _____________________________________________
          
                        7. Финансовые ресурсы
          
Приложите результаты последней аудиторской проверки годовой отчетности
вашей организации и каждого из дочерних или зависимых обществ.
          
        8. Сведения об использовании программного обеспечения
          
8.1. Укажите   название,   номер   версии,  разработчика  программного
обеспечения,  которое вы используете при осуществлении деятельности по
ведению реестра. _____________________________________________________
Если программное  обеспечение,  используемое  вами,   сертифицировано,
укажите наименование и место нахождения организации, которая произвела
сертифицирование. ____________________________________________________
          
            9. Обеспечение соблюдения правил и требований
          
Заявитель должен приложить к бланку заявки  письменную  информацию  по
нижеследующим вопросам:
- какие меры вы  применяете  или  можете  применять  для  того,  чтобы
обеспечить  соблюдение  имеющихся  правил  и  стандартов  в  отношении
деятельности по ведению реестра владельцев именных ценных бумаг;
- какие  меры  вы  применяете  или можете применять для проверки жалоб
клиентов.
          
                       10. Прошлая деятельность
          
10.1. Были ли ранее случаи, когда ваша компания или ее директора:
- принимали  участие  в любом судебном процессе по гражданскому делу в
качестве ответчика в связи с операциями с ценными бумагами?     ДА НЕТ
- не выполнили какое-либо судебное решение?                     ДА НЕТ
10.2. Был  ли  кто-либо из директоров заявителя осужден российским или
иным судом за какое-либо уголовное правонарушение?              ДА НЕТ
10.3. Подвергался ли заявитель административным  взысканиям,  а  также
направлялись  ли  в  ваш  адрес  письма уполномоченных государственных
органов по фактам нарушений законодательства о ценных бумагах?  ДА НЕТ
10.4. Было ли ранее заявителю отказано в выдаче лицензии на  работу  с
ценными бумагами, в членстве в саморегулируемой организации?    ДА НЕТ
10.5. Сообщите   количество   письменных   жалоб,   поданных  на  вашу
организацию или ее сотрудников  и  полученных  вашей  организацией  за
последние  12  месяцев  или  с момента начала деятельности,  если этот
период меньше. _______________________________________________________
10.6. Сообщите количество жалоб,  остающихся не разобранными к моменту
подачи данной заявки. ________________________________________________
10.7. Проводилась  ли  проверка деятельности заявителя контролирующими
органами, саморегулируемыми организациями?                      ДА НЕТ
Если ДА, сообщите, когда и кем, приложите копии актов проверок.
          
                            11. Заявитель
          
11.1. Ходатайствует о получении лицензии на осуществление деятельности
по ведению реестров владельцев именных ценных бумаг.
11.2. Обязуется информировать организацию,  выдавшую ему  лицензию,  а
также  саморегулируемую  организацию,  если  он является ее членом,  о
любых изменениях в предоставленной им ранее информации и предоставлять
всю  соответствующую  информацию,  которая  может  появиться  в период
рассмотрения заявки и, в случае ее удовлетворения, впоследствии.
          
Дата    _______________
Подпись _______________  Должность ___________________________________
Подпись _______________  Должность ___________________________________
______________________________________________________________________
                  (наименование и печать заявителя)

Appendix 2

to Regulations on licensing of activities for maintaining the register of owners of personalized securities

 
     Председателю Федеральной комиссии
     по рынку ценных бумаг
          
                             Ходатайство
           на получение/продление лицензии на осуществление
   деятельности по ведению реестра владельцев именных ценных бумаг
          
Наименование заявителя _______________________________________________
Дата поступления документов _______________ 199_ г.
Комплектность:
______________________________________________________________________
______________________________________________________________________
Ответственный за прием документов ____________________________________
                                               (Ф.И.О.)
Ответственный за проверку документов _________________________________
                                               (Ф.И.О.)
Документы  заявителя прошли экспертизу _______________________________
______________________________________________________________________
             (наименование саморегулируемой организации)
и полностью  соответствуют  требованиям  законодательства   Российской
Федерации  и  нормативных  актов  ФКЦБ  России  на получение/продление
лицензии на осуществление деятельности по ведению  реестра  владельцев
именных ценных бумаг.
______________________________________________________________________
           (наименование саморегулируемой организации)
ходатайствует перед ФКЦБ России о выдаче/продлении заявителю  лицензии
на  осуществление  деятельности  по ведению реестра владельцев именных
ценных бумаг.
          
Подпись ответственного за проверку документов ________________________
Подпись руководителя саморегулируемой организации ____________________
Дата ____________________                                 М.П.

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