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The document ceased to be valid since September 7, 2014 according to the Instruction of the Central bank of the Russian Federation of July 28, 2014 No. 3350-U

It is registered

in Ministry of Justice

Russian Federation

On June 21, 2011 No. 21073

ORDER OF THE FEDERAL SERVICE FOR FINANCIAL MARKETS

of May 24, 2011 No. 11-23/pz-n

About approval of Standard rates of sufficiency of own means of professional participants of the security market, and also managing companies of investment funds, mutual investment funds and non-state pension funds

According to Item 6 of Article 42 and Item 3 of article 44 of the Federal Law of April 22, 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, Art. 3225; 2005, N 11, Art. 900, N 25, Art. 2426; 2006, N 1, Art. 5, N 2, Art. 172, N 17, Art. 1780, N 31, Art. 3437, N 43, Art. 4412; 2007, N 1, Art. 45, N 18, Art. 2117, N 22, Art. 2563, N 41, Art. 4845, N 50, Art. 6247, Art. 6249; 2008, N 44, Art. 4982, N 52, Art. 6221; 2009, N 1, Art. 28, N 7, Art. 777, N 18, Art. 2154, N 23, Art. 2770, N 29, Art. 3618, Art. 3642, N 48, Art. 5731, N 52, Art. 6428; 2010, N 17, Art. 1988, N 31, Art. 4193, N 41, Art. 5193; 2011, N 7, the Art. 905), Item 3 of article 38 of the Federal Law of November 29, 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, Art. 3616; 2009, N 48, Art. 5731; 2010, N 17, the Art. 1988, N 31, the Art. 4193, N 41, the Art. 5193) and 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, Art. 5587; 2007, N 12, Art. 1417; 2008, N 19, Art. 2192, N 46, Art. 5337; 2009, N 3, Art. 378, N 6, Art. 738; 2010, N 26, Art. 3350; 2011, N 7, to the Art. 976, N 14, of the Art. 1935, N 15, of the Art. 2137, N 18, of the Art. 2652), I order:

1. Approve the enclosed Standard rates of sufficiency of own means of professional participants of the security market, and also managing companies of investment funds, mutual investment funds and non-state pension funds (further - Standard rates).

2. Declare invalid:

the order of FFMS of Russia of 25.12.2007 N 07-112/pz-n "About modification of the Standard rates of sufficiency of own means of professional participants of the security market, and also managing companies of investment funds, mutual investment funds and non-state pension funds approved by the order of the Federal Service for Financial Markets of 24.04.2007 of N 07-50/pz-n" (it is registered in the Ministry of Justice of the Russian Federation 28.01.2008, registration N 11006);

the order of FFMS of Russia of 30.07.2009 N 09-29/pz-n "About modification of the standard rates of sufficiency of own means of professional participants of the security market, and also managing companies of investment funds, mutual investment funds and non-state pension funds approved by the order of the Federal Service for Financial Markets of 24.04.2007 of N 07-50/pz-n" (it is registered in the Ministry of Justice of the Russian Federation 17.09. 2009, registration N 14792).

3. Determine that:

1) operation of this order does not extend to credit institutions;

2) the subitem 2 of Item 1 of Standard rates is effective till 01.01.2012;

3) this order becomes effective from 01.07.2011.

 

Head D. Pankin

_____________________________

* With the changes made by orders of the Federal Service for Financial Markets of 25.12.2007 of N 07-112/pz-n "About modification of the Standard rates of sufficiency of own means of professional participants of the security market, and also managing companies of investment funds, mutual investment funds and non-state pension funds approved by the order of the Federal Service for Financial Markets of April 24, 2007 N 07-50/pz-n" (it is registered in the Ministry of Justice of the Russian Federation 28.01.2008, registration N 11006); of 23.10.2008 N 08-40/pz-n "About modification of the standard rates of sufficiency of own means of professional participants of the security market, and also managing companies of investment funds, mutual investment funds and non-state pension funds approved by the order of the Federal Service for Financial Markets of April 24, 2007 N 07-50/pz-n" (it is registered in the Ministry of Justice of the Russian Federation 30.01. 2009, registration N 13227); of 30.07.2009 N 09-29/pz-n "About modification of the standard rates of sufficiency of own means of professional participants of the security market, and also managing companies of investment funds, mutual investment funds and non-state pension funds approved by the order of the Federal Service for Financial Markets of April 24, 2007 N 07-50/pz-n" (it is registered in the Ministry of Justice of the Russian Federation 17.09. 2009, registration N 14792); of 11.02.2010 N 10-7/pz-n "About procedure and terms of disclosure by professional participants of the security market, and also managing companies of investment funds, mutual investment funds and non-state pension funds of information on calculation of own means on the Internet" (it is registered in the Ministry of Justice of the Russian Federation 13.04. 2010, N 16883).

Standard rates of sufficiency of own means of professional participants of the security market, and also managing companies of investment funds, mutual investment funds and non-state pension funds

1. Establish the following standard rates of sufficiency of own means of the professional participants of the security market performing:

1) dealer activities and (or) broker activities and (or) the securities management - 35 million rubles;

2) clearing activities - 80 million rubles;

3) the depository activity which is not connected with activities of settlement depositary or with activities of specialized depositary of investment funds, mutual investment funds and non-state pension funds - at least 60 million rubles. At the same time the standard rate of sufficiency of own means of the professional participant of the security market which is the issuer of the Russian depositary receipts - 200 million rubles;

4) activities of settlement depositary - 250 million rubles;

5) activities of specialized depositary of investment funds, mutual investment funds and non-state pension funds - 80 million rubles;

6) activities for maintaining the register of owners nominal valuable bumag100 million rubles;

7) activities for the organization of trade in the security market - 80 million rubles;

8) activities of stock exchange - 150 million rubles.

2. The standard rate of sufficiency of own means of the managing company performing activities for management of investment funds, mutual investment funds and non-state pension funds - 80 million rubles.

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