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

of August 12, 2010 No. 10-55/pz-n

About approval of Regulations of the Federal Service for Financial Markets

According to the Regulations on the Federal Service for Financial Markets approved by the order of the Government of the Russian Federation of June 30, 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; N 6, of Art. 738; 2010, N 26, the Art. 3350), the Standard regulations of interaction of federal executive bodies approved by the order of the Government of the Russian Federation of January 19, 2005 N 30 (The Russian Federation Code, 2005, N 4, Art. 305; N 47, of Art. 4933; 2007, N 43, Art. 5202; 2008, N 9, Art. 852; N 14, of Art. 1413; 2009, N 12, Art. 1429; N 25, of Art. 3060; N 41, of Art. 4790; N 49 (2 h), Art. 5970; 2010, N 22, the Art. 2776), the Standard regulations of the internal organization of federal executive bodies approved by the order of the Government of the Russian Federation of July 28, 2005 N 452 (The Russian Federation Code, 2005, N 31, Art. 3233; 2007, N 43, Art. 5202; 2008, N 9, Art. 852; N 14, of Art. 1413; N 46, of Art. 5337; 2009, N 12, Art. 1443; N 19, of Art. 2346; N 25, of Art. 3060; N 47, of Art. 5675; N 49 (2 h), Art. 5970; 2010, N 9, to the Art. 964, N 22, of the Art. 2776), I order:

1. Approve the enclosed Regulations of the Federal Service for Financial Markets (further - Regulations).

2. To chiefs of structural divisions and heads of territorial authorities of the Federal Service for Financial Markets to organize studying of Regulations by the government civil servants and to provide its execution in the current work.

3. To management of development of regulation in the financial market (Sokolov D. I.) in time no later than one month from the effective date of this order to provide:

3.1 modification of the Standard regulations on territorial authority of the Federal Service for Financial Markets approved by the order of the Federal Service for Financial Markets of June 22, 2006 N 06-69/pz-n "About territorial authorities of the Federal Service for Financial Markets" (it is registered in the Ministry of Justice of the Russian Federation 14.07. 2006, registration N 8059), with the changes made by orders of the Federal Service for Financial Markets of December 12, 2006 N 06-145/pz-n (it is registered in the Ministry of Justice of the Russian Federation 19.01. 2007, registration N 8796), of April 23, 2007 N 07-49/pz-n (it is registered in the Ministry of Justice of the Russian Federation 22.05. 2007, registration N 9511), of March 25, 2008 N 08-15/pz-n (it is registered in the Ministry of Justice of the Russian Federation 14.04. 2008, registration N 11528), of November 02, 2009 N 09-44/pz-n (it is registered in the Ministry of Justice of the Russian Federation 16.12. 2009, registration N 15614);

3.2 modification of regulations on structural divisions of the Federal Service for Financial Markets.

4. To management of development of regulation in the financial market (Sokolov D. I.) in time no more than one month from the effective date of the changes specified in Item 3.1 of this order to provide modification of Regulations on territorial authorities of the Federal Service for Financial Markets.

5. Recognize invalid:

the order of the Federal Service for Financial Markets of March 30, 2006 N 06-34/pz-n "About Regulations of the Federal Service for Financial Markets" (it is registered in the Ministry of Justice of the Russian Federation 06.05. 2006, registration N 7787);

Item 1 of the order of the Federal Service for Financial Markets of November 02, 2009 N 09-44/pz-n "About introduction of amendments to some orders of the Federal Service for Financial Markets" (it is registered in the Ministry of Justice of the Russian Federation 16.12. 2009, registration N 15614).

6. I reserve control over the implementation of this order.

Approved by the order of the Federal Service for Financial Markets of August 12, 2010, No. 10-55/pz-n

Regulations of the Federal Service for Financial Markets

I. General provisions

1.1. These Regulations of the Federal Service for Financial Markets (further - Regulations) are developed in pursuance of the order of the Government of the Russian Federation of January 19, 2005 N 30 "About Standard regulations of interaction of federal executive bodies" * (1) (further - Standard regulations of interaction), according to the Standard regulations of the internal organization of federal executive bodies approved by the order of the Government of the Russian Federation of July 28, 2005 N 452 * (2), the Constitution of the Russian Federation * (3), the Federal constitutional Law of December 17, 1997 N 2-FKZ "About the Government of the Russian Federation" * (4), the Federal Laws, presidential decrees of the Russian Federation, the Regulations of the Government of the Russian Federation approved by the order of the Government of the Russian Federation of June 1, 2004 N 260 * (5), Regulations on the Federal Service for Financial Markets, the approved order of the Government of the Russian Federation of June 30, 2004 N 317 * (6) (further - Regulations on FFMS of Russia), also establishes rules of the organization of activities of the Federal Service for Financial Markets (further - FFMS of Russia) on realization of the functions and powers assigned to it.

1.2. FFMS of Russia is independent in implementation of the powers established by the Federal Laws, acts of the President of the Russian Federation and the Government of the Russian Federation (daleepravitelstvo).

When implementing the powers of FFMS of Russia directly interacts with other public authorities and local government bodies if other procedure is not established by the Federal Laws, acts of the President of the Russian Federation and the Government.

The order of interaction of FFMS of Russia with federal executive bodies when implementing of coordinated actions by it, including formation of coordinating and advisory bodies, is determined by realization of the state functions by the regulatory legal acts of the President of the Russian Federation, the Government and also approved or joint acts of FFMS of Russia and federal executive bodies which management of activities is performed by the President of the Russian Federation or the Government.

1.3. FFMS of Russia is the federal executive body performing functions on acceptance of regulatory legal acts, control and supervision in the field of the financial markets (except for insurance, banking and auditor activity). Management of FFMS of Russia is performed by the Government.

1.4. FFMS of Russia:

in the established sphere develops and submits in the Government drafts of the Federal Laws, decrees and orders of the President of the Russian Federation, resolutions and orders of the Government, and in the cases provided by international treaties, the Federal Laws and acts of the President of the Russian Federation - drafts of other acts, and also drafts of the conclusions and official responses on drafts of the Federal Laws and amendments to bills;

sends other documents requiring consideration of the Government to the Government.

1.5. Drafts of acts and documents for consideration in the Government can be submitted only by the head or the deputy manager of FFMS of Russia, the acting as the head of FFMS of Russia for its temporary absence.

1.6. FFMS of Russia is considered and according to powers decisions are made:

according to the drafts of acts and other documents which arrived in accordance with the established procedure from Administration of the President of the Russian Federation, Government office, federal executive bodies, chambers of Federal Assembly of the Russian Federation, public authorities of subjects of the Russian Federation, local government bodies and other organizations;

according to addresses of citizens;

according to appeals of state bodies and organizations of foreign states, and also the international organizations.

1.7. On the basis and in pursuance of the Constitution of the Russian Federation, the Federal constitutional Laws, the Federal Laws, acts of the President of the Russian Federation and the Government of FFMS of Russia:

independently adopts regulatory legal acts in the established field of activity, except for questions which legal regulation according to the Constitution of the Russian Federation, the Federal constitutional Laws, the Federal Laws, acts of the President of the Russian Federation and the Government is performed by exclusively Federal constitutional Laws, the Federal Laws, acts of the President of the Russian Federation and the Government;

within the competence publishes individual legal acts - orders.

1.8. Based on the Federal Laws, acts of the President of the Russian Federation and the Government performs powers on control and supervision in the established field of activity.

1.9. FFMS of Russia according to the procedure and the limits determined by the Federal Laws, acts of the President of the Russian Federation and the Government manages the property necessary for ensuring execution of functions of FFMS of Russia in the established field of activity.

1.10. FFMS of Russia provides protection of the data which are state or other secret protected by the Federal Law within the competence.

1.11. FFMS of Russia provides mobilization preparation and performs the organization and conducting civil defense.

1.12. FFMS of Russia establishes departmental awards according to Regulations on FFMS of Russia, and also approves regulations on these awards and the description of awards.

Structure and staff list of FFMS of Russia and its territorial authorities

1.13. The structure and the staff list of central office of FFMS of Russia affirm the head of FFMS of Russia within the salary fund and number (without personnel on protection and servicing of rooms) established by the Government taking into account the register of positions of Federal public civil service and acts determining the normative number of the relevant structural divisions of FFMS of Russia.

The structure and the staff list of territorial authority of FFMS of Russia affirm the head of territorial authority after their approval of central office of FFMS of Russia within the established salary fund and number (without personnel on protection and servicing of rooms) on the basis of the approved scheme of placement of territorial authorities of FFMS of Russia taking into account the register of positions of Federal public civil service and acts determining the normative number of the relevant structural divisions.

1.14. The structure of central office of FFMS of Russia includes management (the head and his deputies) of FFMS of Russia, assistant administrators, structural divisions on the main activities - managements and independent departments. In managements of FFMS of Russia departments are formed.

The staff list of structural divisions of FFMS of Russia joins positions of Federal public civil service, stipulated by the legislation the Russian Federation, and also the positions which are not positions of Federal public civil service can join.

1.15. Fields of activity and competence of structural division of FFMS of Russia are determined in regulations on structural division of FFMS of Russia. Fields of activity and competence of departments as a part of structural divisions of FFMS of Russia are determined in regulations on departments as a part of structural divisions of FFMS of Russia.

1.16. Structural divisions of territorial authority of FFMS of Russia are departments (territorial departments).

The staff list of departments (territorial departments) of territorial authorities of FFMS of Russia join positions of Federal public civil service, stipulated by the legislation the Russian Federation, and also the positions which are not positions of Federal public civil service can join.

1.17. Organizational support of activities of the head of FFMS of Russia is performed by assistant administrators of FFMS of Russia.

Assistant administrators of FFMS of Russia are appointed to position for execution by the head of FFMS of Russia of the powers.

Positions of category "assistants" are provided in the staff list of FFMS of Russia out of structural divisions of FFMS of Russia.

Powers of the head of FFMS of Russia, his deputies and chiefs of structural divisions of FFMS of Russia

1.18. FFMS of Russia is headed by the head appointed and dismissed by the Government.

The head of FFMS of Russia will organize its work and bears the personal responsibility for accomplishment of the functions assigned to FFMS of Russia, and also for realization of state policy in the established field of activity, represents FFMS of Russia in the relations with other public authorities, citizens and the organizations, signs agreements and other documents of civil nature on behalf of FFMS of Russia, and also performs other powers established by the legislation of the Russian Federation.

1.19. Head of FFMS of Russia:

a) distributes obligations between the deputies;

b) approves regulations on structural divisions of central office of FFMS of Russia, on territorial authorities of FFMS of Russia;

c) makes offers on position assignment and dismissal of deputy managers of FFMS of Russia in the Government;

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