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Ministry of Justice

Russian Federation

On May 6, 2010 No. 17130

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

of January 28, 2010 No. 10-4/pz-n

About approval of the Regulations on specialists of the financial market

(as amended on 16-05-2013)

According to Item 14 of Article 42 and Item 10 of article 44 of the Federal Law of 22.04.1996 N 39-FZ "About the security market" (The 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; N 17, of Art. 1780; N 31, of Art. 3437; N 43, of Art. 4412; 2007, N 1, Art. 45; N 18, of Art. 2117; N 22, of Art. 2563; N 41, of Art. 4845; N 50, of Art. 6247; N 50, of Art. 6249; 2008, N 44, Art. 4982; N 52 (p. I), Art. 6221; 2009, N 1, Art. 28; N 7, of Art. 777; N 18 (1 h), Art. 2154; N 23, of Art. 2770; N 29, of Art. 3642; N 48, of Art. 5731; N 29, of Art. 3618; N 52 (1 h), the Art. 6428), subitems 7, the 8 and 17 Item 2 of article 55 of the Federal Law of 29.11.2001 N 156-FZ "About investment funds" (The Russian Federation Code, 2001, N 49, Art. 4562; 2004, N 27, Art. 2711; 2006, N 17, Art. 1780; 2007, N 50, Art. 6247; 2008, N 30 (h 2), Art. 3616; 2009, N 48, the Art. 5731), Item 10 of Article 7, the paragraph the seventh the subitem 1, subitems 13 and 14 of Item 3 of article 34 of the Federal Law of 07.05.1998 N 75-FZ "About non-state pension funds" (The Russian Federation Code, 1998, N 19, Art. 2071; 2001, N 7, Art. 623; 2002, N 12, Art. 1093; 2003, N 2, Art. 166; 2004, N 49, Art. 4854; 2005, N 19, Art. 1755; 2007, N 50, Art. 6247; 2008, N 18, Art. 1942; N 30 (h 2), Art. 3616; 2009, N 29, Art. 3619; N 48, of Art. 5731; N 52 (1 h), Art. 6450; N 52 (1 h) the Art. 6454), the subitem 1 of Item 3 of the order of the Government of the Russian Federation of 04.11.2003 N 669 "About the authorized federal executive body performing state regulation of activities of non-state pension funds for non-state pension provision, mandatory pension insurance and professional pension insurance, supervision and control of the specified activities" (The Russian Federation Code, 2003, N 45, Art. 4388; 2006, N 2, Art. 226; 2007, N 12, Art. 1414; 2010, N 4, Art. 407), and Items 5.2.8. 1, 5.2.9, 5.3.13.1 and 5.3.13.2 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 N 317 (The Russian Federation Code, 2004, N 27, Art. 2780; 2005, N 33, Art. 3429; 2006, N 13, Art. 1400; N 52, of Art. 5587; 2007, N 12, Art. 1417; 2008, N 19, Art. 2192; N 46, of Art. 5337; 2009, N 3, Art. 378; To N 6, of the Art. 738), I order:

1. Approve the enclosed Regulations on specialists of the financial market (further - the Provision).

2. Determine that:

2.1. The competence certificates which are earlier issued to FFMS of Russia and Federal Commission on Securities of Russia and having termless nature of action keep the action.

2.2. Requirements imposed to persons specified in Items 1.1 1.3 of the appendix N 1 to the Provision do not extend to credit institutions.

2.3. Requirements of Items 3.1.1 and 3.1.3 of the Provision for employees of the non-state pension funds performing activities for non-state pension provision, mandatory pension insurance and professional pension insurance become effective from 01.10.2010.

2.4. Requirements of Item 3 of the Provision for employees of the non-state pension funds performing activities for non-state pension provision, mandatory pension insurance and professional pension insurance extend only to persons specified in Items 1.1 and 2 of the appendix N 1 to the Provision.

2.5. Requirements of Items 3 and 5 of the Provision for employees of joint-stock investment fund, extend only to person specified in Item 1.1 of the appendix N 1 to the Provision.

Head

V.D.Milovidov

Approved by the Order of the Federal Service for Financial Markets of the Russian Federation of January 28, 2010 No. 10-4/pz-n

Regulations on specialists of the financial market

I. General provisions

1. This Provision establishes:

1.1 qualification requirements to the workers specified in the appendix N 1 to the Provision (further - specialists of the financial market), working in the organization performing activities of the professional participant in the security market; activities for management of investment funds, mutual investment funds and non-state pension funds; activities of specialized depositary of investment funds, mutual investment funds and non-state pension funds; activities of non-state pension fund for non-state pension provision, mandatory pension insurance and professional pension insurance; activities of joint-stock investment fund, except for case of delegation of power of sole executive body of joint-stock investment fund of managing company (further - activities in the financial market);

1.2 requirements to working experience of persons performing functions of sole executive body of the organizations performing activities in the financial market, except for the organization performing activities of non-state pension fund and also to the head of separate structural division of the organization performing activities of specialized depositary to controllers (heads of internal control) of managing company and specialized depositary;

1.3 bases and procedure for cancellation of competence certificates;

1.4 the bases and procedure for issue of the duplicate of the competence certificate and issue of minutes abstract of Federal Commission on Securities examination committee of Russia or FFMS of Russia about results of the basic qualification examination which is earlier passed by the citizen;

1.5 terms of submission of data in the register of the certified persons;

1.6 No. of 13-41/pz-N is excluded according to the Order of the Federal Service for Financial Markets of the Russian Federation of 16.05.2013.

2. For the purposes of this provision are understood as the worker specified in the appendix N 1 to the Provision the leading employee (Items 1.1 - 1.4 appendices N 1 to the Provision), the controller (Item 2 of the appendix N 1 to the Provision) and the specialist (Item 3 of the appendix N 1 to the Provision).

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