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It is registered

in the Ministry of Justice of the Russian Federation

March 14, 2013.

No. 27673

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

of December 4, 2012 No. 12-103/pz-n

About approval of the Regulations on requirements to amount, procedure, terms and form of representation in federal executive body in the field of the financial markets of notifications persons specified in paragraph one of part 1 of article 7 of the Federal law "About Clearing and Clearing Activities"

According to part 2 of Article 7 and Item 15 of part 1 of article 25 of the Federal Law of February 7, 2011 N 7-FZ "About clearing and clearing activities" (The Russian Federation Code, 2011, N 7, Art. 904; N 48, of Art. 6728; N 49 (p. I), Art. 7040; N 49 (p. V), the Art. 7061) and Item 5.3.19 of 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, Art. 5148; 2012, N 20, to the Art. 2562), I order:

1. Approve the enclosed Regulations on requirements to amount, procedure, terms and form of representation in federal executive body in the field of the financial markets of notifications by the faces specified in paragraph one of part 1 of article 7 of the Federal law "About Clearing and Clearing Activities" (further - the Provision).

2. Determine that in time no later than 30 days from the effective date of the Provision, person specified regarding 1 article 7 of the Federal law "About Clearing and Clearing Activities" shall direct according to the procedure, established by the Provision, the notification constituted in form according to the appendix N 1 to this Provision, containing information on availability at such person of the right directly or indirectly to dispose of 5 and more percent of votes, falling on voting shares (shares) constituting the authorized capital of the clearing organization; about the compliance or discrepancy to the requirements established by part 1 of article 7 of the Federal law "About Clearing and Clearing Activities".

 

Head D. PANKIN

Regulations on requirements to amount, procedure, terms and form of representation in federal executive body in the field of the financial markets of notifications persons specified in paragraph one of part 1 of article 7 of the Federal law "About Clearing and Clearing Activities"

I. General provisions

1.1. This Provision establishes requirements to amount, procedure, terms and form of representation by person specified regarding 1 article 7 of the Federal law "About Clearing and Clearing Activities" information on right availability to dispose directly or indirectly of 5 and more percent of votes, falling on voting shares (shares) constituting the authorized capital of the clearing organization; about change of share of the vote, falling on voting shares (shares) which constitute the authorized capital of the clearing organization and of which it has the right to dispose, more than for 1 percent, and in case of decrease in the provided share below for 5 percent - irrespective of the number of aloof voting shares (shares); about the compliance or discrepancy to the requirements established by part 1 of article 7 of the Federal law "About Clearing and Clearing Activities" (further - the Notification).

II. Requirements to amount, procedure, term and form of submission of the Notification

2.1. The notification is submitted in federal executive body in the field of the financial markets on paper with appendix of the text of the Notification on the optical carrier or in electronic form, signed by the digital signature or other analog of the sign manual.

The notification shall be constituted in form according to the appendix N 1 to this Provision.

The amount of information containing in the Notification shall correspond to the appendix N 1 to this Provision.

2.2. The notification represented in electronic form shall be signed by the digital signature or other analog of the sign manual, in accordance with the terms of the usage agreement of the digital signature signed with authorized organization, and the requirements established by the Procedure for the organization of electronic document management in case of submission of electronic documents with the digital signature in the Federal Service for Financial Markets approved by the order of FFMS of Russia of 25.03.2010 of N 10-21/pz-n (N 17347) <1> is registered by the Ministry of Justice of the Russian Federation 25.05.2010.

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

<1> With the changes made by orders of FFMS of Russia of 23.09.2010 of N 10-62/pz-n (N 18687) is registered by the Ministry of Justice of the Russian Federation 12.10.2010, of 02.08.2011 N 11-36/pz-n (N 21790) is registered by the Ministry of Justice of the Russian Federation 14.09.2011, of 24.04.2012 N 12-27/pz-n (it is registered by the Ministry of Justice of the Russian Federation 01.06.2012 of N 24428) and of 19.07.2012 N 12-64/pz-n (N 25262) is registered by the Ministry of Justice of the Russian Federation 24.08.2012.

In case of submission of the text of the Notification in electronic form signed by the digital signature or other analog of the sign manual, submission of the Notification on paper is not required.

2.3. The notification is submitted in federal executive body in the field of the financial markets on paper in the following procedure:

1) the legal entity including who is the representative of person having (having) the right directly or indirectly to dispose of 5 and more percent of votes of the clearing organization shall seal paper of the Notification of the legal entity on insertion and assure the authorized signature of such legal entity. In case of submission of the Notification by the physical person including who is the representative of person having (having) the right directly or indirectly to dispose of 5 and more percent of votes of the clearing organization, each page of paper shall be signed by such physical person;

2) in case of submission of the Notification on behalf of person having (having) the right directly or indirectly to dispose of 5 and more percent of votes of the clearing organization, the authorized representative, together with the Notification the power of attorney (the copy of the power of attorney certified in accordance with the established procedure) or other document (the copy of the document certified in accordance with the established procedure) on which powers of the representative are based goes.

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