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It is registered

in Ministry of Justice

Russian Federation

On February 14, 2012 No. 23212

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

of December 1, 2011 No. 11-64/pz-n

About approval of Regulations of the Federal Service for Financial Markets

(as amended on 24-04-2012)

In connection with the Presidential decree of the Russian Federation of 04.03.2011 N 270 "About measures for enhancement of state regulation in the sphere of the financial market of the Russian Federation" (The Russian Federation Code, 2011, N 10, the Art. 1341) and according to the Regulations on the Federal Service for Financial Markets approved by the order of the Government of the Russian Federation of 29.08.2011 N 717 (The Russian Federation Code, 2011, N 36, the Art. 5148), the Standard regulations of interaction of federal executive bodies approved by the order of the Government of the Russian Federation of 19.01.2005 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 (p. II), Art. 5970; 2010, N 22, Art. 2776; N 40, of Art. 5072; 2011, N 34, Art. 4986; N 35, of the Art. 5092), the Standard regulations of the internal organization of federal executive bodies approved by the order of the Government of the Russian Federation of 28.07.2005 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 (p. II), Art. 5970; 2010, N 9, Art. 964, N 22, Art. 2776; 2011, N 34, Art. 4986; N 35, of Art. 5092; N 15, of the Art. 2131), the Regulations of the Government of the Russian Federation approved by the order of the Government of the Russian Federation of 01.06.2004 N 260 (The Russian Federation Code, 2004, N 23, Art. 2313; 2006, N 23, Art. 2514; N 29, of Art. 3251; 2007, N 32, Art. 4150; 2008, N 14, Art. 1413; N 21, of Art. 2459; N 49, of Art. 5833; 2009, N 11, Art. 1302; N 12, of Art. 1443; N 19, of Art. 2346; N 36, of Art. 4358; N 49 (p. II), Art. 5970; N 49 (p. II), Art. 5971; N 52 (p. II), Art. 6609; 2010, N 9, Art. 964; N 21, of Art. 2602; 2011, N 9, Art. 1251; N 28, of Art. 4219; To N 41 (p. II), the Art. 5743), I order:

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

2. To deputy managers and chiefs of structural divisions and heads of territorial authorities of the Federal Service for Financial Markets:

2.1. organize studying of Regulations by the government civil servants and provide its execution in the current work;

2.2. provide entering of corresponding changes into legal acts of the Federal Service for Financial Markets.

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

 

Head of D.V.PANKIN

Approved by the order of the Federal Service for Financial Markets of December 1, 2011, No. 11-64/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 connection with the Presidential decree of the Russian Federation of 04.03.2011 N 270 "About measures for enhancement of state regulation in the sphere of the financial market of the Russian Federation" <1> and according to the Constitution of the Russian Federation <2>, the Federal constitutional Law from 17.12.1997 N 2-FKZ "About the Government of the Russian Federation" <3>, other 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 01.06.2004 N 260 <4>, the Regulations on the Federal Service for Financial Markets approved by the order of the Government of the Russian Federation of 29.08.2011 N 717 <5>, the Standard regulations of interaction of federal executive bodies approved by the order of the Government of the Russian Federation of 19.01.2005 N 30 <6> The standard regulations of the internal organization of federal executive bodies approved by the order of the Government of the Russian Federation of 28.07.2005 N 452 <7> also establishes rules of the organization of activities of the Federal Service for Financial Markets for realization of the powers assigned to it.

--------------------------------

<1> Russian Federation Code, 2011, N 10, Art. 1341.

<2> Russian Federation Code, 2009, N 1, Art. 1, Art. 2; N 4, of Art. 445.

<3> Russian Federation Code, 1997, N 51, Art. 5712; 1998, N 1, Art. 1; 2004, N 25, Art. 2478; N 45, of Art. 4376; 2005, N 23, Art. 2197; 2007, N 6, Art. 680; N 10, of Art. 1147; 2008, N 52 (p. I), Art. 6206; 2009, N 1, Art. 3; 2010, N 5, Art. 458; N 30, of Art. 3984; 2011, N 1, Art. 1.

<4> Russian Federation Code, 2004, N 23, Art. 2313; 2006, N 23, Art. 2514; N 29, of Art. 3251; 2007, N 32, Art. 4150; 2008, N 14, Art. 1413; N 21, of Art. 2459; N 49, of Art. 5833; 2009, N 11, Art. 1302; N 12, of Art. 1443; N 19, of Art. 2346; N 36, of Art. 4358; N 49 (p. II), Art. 5970; N 49 (p. II), Art. 5971; N 52 (p. II), Art. 6609; 2010, N 9, Art. 964; N 21, of Art. 2602; 2011, N 9, Art. 1251; N 28, of Art. 4219; N 41 (p. II), Art. 5743.

<5> Russian Federation Code, 2011, N 36, Art. 5148.

<6> 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 (p. II), Art. 5970; 2010, N 22, Art. 2776; N 40, of Art. 5072; 2011, N 34, Art. 4986; N 35, of Art. 5092.

<7> 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 (p. II), Art. 5970; 2010, N 9, Art. 964; N 22, of Art. 2776; 2011, N 34, Art. 4986; N 35, of Art. 5092; N 15, of Art. 2131.

1.2. The Federal Service for Financial Markets (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.

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 of the Russian Federation.

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 of the Russian Federation 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 of the Russian Federation.

1.3. FFMS of Russia is the federal executive body performing functions on normative legal regulation, control and supervision in the sphere of the financial markets (except for banking and auditor activity), including on control and supervision in the sphere of insurance activity, credit cooperation and microfinancial activities, activities of commodity exchanges, exchange intermediaries and exchange brokers, to ensuring the state control of observance of requirements of the legislation of the Russian Federation on counteraction to unauthorized use of insider information and market manipulation.

1.4. FFMS of Russia:

takes part in project development of the main directions of development of the financial markets, drafts of the Federal Laws and regulatory legal acts of the President of the Russian Federation and the Government of the Russian Federation concerning field of activity of FFMS of Russia;

introduces the draft of the work plan and forecast indicators of activities of FFMS of Russia to the Government of the Russian Federation.

1.5. Offers on project development of the acts requiring the solution of the Government of the Russian Federation and other documents are sent for consideration in the Ministry of Finance of the Russian Federation by the head or the deputy manager of FFMS of Russia according to distribution of powers.

1.6. FFMS of Russia is considered and according to the established 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, the Russian 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 the Russian Federation FFMS of Russia adopts regulatory legal acts independently, and also in coordination with the Ministry of Finance of the Russian Federation.

1.8. Based on the Federal Laws, acts of the President of the Russian Federation and the Government of the Russian Federation FFMS of Russia 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 of the Russian Federation 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.

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

1.12. 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 of the Russian Federation 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 coordination with 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.

1.13. 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 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.

1.14. 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.

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

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