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It is registered

Ministry of Justice

Russian Federation

On June 7, 2013 No. 28743

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

of May 16, 2013 No. 13-41/pz-n

About approval of Administrative regulations of provision by the Federal Service for Financial Markets of the state service in maintaining the register of the certified persons and about modification of the Regulations on specialists of the financial market approved by the order of the Federal Service for Financial Markets of 28.01.2010 No. 10-4/pz-n

According to Item 14 of article 42 of the Federal Law of 22.04.1996 No. 39-FZ "About the security market" (The Russian Federation Code, 1996, No. 17, Art. 1918; 1998, No. 48, Art. 5857; 1999, No. 28, Art. 3472; 2001, No. 33, Art. 3424; 2002, No. 52, Art. 5141; 2004, No. 27, Art. 2711; No. 31, Art. 3225; 2005, No. 11, Art. 900; No. 25, Art. 2426; 2006, No. 1, Art. 5; No. 2, Art. 172; No. 17, Art. 1780; No. 31, Art. 3437; No. 43, Art. 4412; 2007, No. 1, Art. 45; No. 18, Art. 2117; No. 22, Art. 2563; No. 41, Art. 4845; No. 50, Art. 6247, 6249; 2008, No. 44, Art. 4982; No. 52 (p. I), Art. 6221; 2009, No. 1, Art. 28; No. 7, Art. 777; No. 18 (p. I), Art. 2154; No. 23, Art. 2770; No. 29, Art. 3642; No. 48, Art. 5731; No. 52 (p. I), Art. 6428; 2010, No. 17, Art. 1988; No. 31, Art. 4193; No. 41 (p. II), Art. 5193; 2011, No. 7, Art. 905; No. 23, Art. 3262; No. 27, Art. 3880; No. 29, Art. 4291; No. 48, Art. 6728; No. 49 (p. I), Art. 7040; No. 50, Art. 7357; 2012, No. 25, Art. 3269; No. 31, Art. 4334; No. 53 (p. I), the Art. 7607), the subitem 8 of Item 2 of article 55 of the Federal Law of 29.11.2001 No. 156-FZ "About investment funds" (The Russian Federation Code, 2001, No. 49, Art. 4562; 2004, No. 27, Art. 2711; 2006, No. 17, Art. 1780; 2007, No. 50, Art. 6247; 2008, No. 30 (p. II), Art. 3616; 2009, No. 48, Art. 5731; 2010, No. 17, Art. 1988; No. 31, Art. 4193; No. 41 (p. II), Art. 5193; 2011, No. 48, Art. 6728; No. 49 (p. I), Art. 7040; No. 49 (p. V), Art. 7061; 2012, No. 31, the Art. 4334), the subitem 13 of Item 3 of article 34 of the Federal Law of 07.05.1998 No. 75-FZ "About non-state pension funds" (The Russian Federation Code, 1998, No. 19, Art. 2071; 2001, No. 7, Art. 623; 2002, No. 12, Art. 1093; 2003, No. 2, Art. 166; 2004, No. 49, Art. 4854; 2005, No. 19, Art. 1755; 2006, No. 43, Art. 4412; 2007, No. 50, Art. 6247; 2008, No. 18, Art. 1942; No. 30 (p. II), Art. 3616; 2009, No. 29, Art. 3619; No. 48, Art. 5731; No. 52 (p. I), Art. 6450, 6454; 2010, No. 17, Art. 1988; No. 31, Art. 4196; 2011, No. 29, Art. 4291; No. 48, Art. 6728; No. 49 (p. I), Art. 7036, 7037, 7040; No. 49 (p. V), Art. 7061; 2012, No. 31, Art. 4322; No. 47, Art. 6391; No. 50 (p. V), the Art. 6965, the Art. 6966), the subitem 18 of part 1 of article 25 of the Federal Law of 07.02.2011 No. 7-FZ "About clearing and clearing activities (The Russian Federation Code, 2011, No. 7, Art. 904; No. 48, Art. 6728; No. 49 (p. I), Art. 7040; No. 49 (p. V), Art. 7061; 2012, No. 53 (p. I), Art. 7607), the subitem 17 of part 1 of article 25 of the Federal Law of 21.11.2011 No. 325-FZ "About the organized biddings" (The Russian Federation Code, 2011, No. 48, Art. 6726; 2012, No. 53 (p. I), Art. 7607), the Federal Law of 27.07.2010 No. 210-FZ "About the organization of provision of the state and municipal services" (The Russian Federation Code, 2010, No. 31, Art. 4179; 2011, No. 15, Art. 2038; No. 27, Art. 3873, Art. 3880; No. 29, Art. 4291; No. 30 (p. I), Art. 4587; No. 49 (p. V), Art. 7061; 2012, No. 31, Art. 4322; 2013, No. 14, the Art. 1651), the Rules of development and approval of administrative regulations of provision of the state services approved by the order of the Government of the Russian Federation of 16.05.2011 No. 373 (The Russian Federation Code, 2011, No. 22, Art. 3169; No. 35, Art. 5092; 2012, No. 28, Art. 3908; No. 36, Art. 4903; No. 50 (p. VI), Art. 7070; No. 52, the Art. 7507), and the Regulations on the Federal Service for Financial Markets approved by the order of the Government of the Russian Federation of 29.08.2011 No. 717 (The Russian Federation Code, 2011, No. 36, Art. 5148; 2012, to No. 20, of the Art. 2562), I order:

1. Approve the enclosed Administrative regulations of provision by the Federal Service for Financial Markets of the state service in maintaining the register of the certified persons.

2. Items 1. 6, 17 - 19, 21 - 25 and the Section VI of the Regulations on specialists of the financial market approved by the order of FFMS of Russia of 28.01.2010 No. 10-4/pz-n (it is registered by the Ministry of Justice of the Russian Federation 06.05. 2010, registration No. 17130) <1> (further - the Provision) to exclude.

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

<1> With the changes made by orders of the Federal Service for Financial Markets of 05.04.2011 No. 11-9/pz-n (it is registered by the Ministry of Justice of the Russian Federation 18.05. 2011, registration No. 20793), of 09.06.2011 No. 11-27/pz-n (it is registered by the Ministry of Justice of the Russian Federation 15.08. 2011, registration No. 21610), of 24.04.2012 No. 12-27/pz-n (it is registered by the Ministry of Justice of the Russian Federation 01.06. 2012, registration No. 24428).

3. To state Item 1.5 of the Provision in the following edition:

"1.5. terms of submission of data in the register of the certified persons.".

4. To state the Section V of the Provision in the following edition:

"V. Terms of submission of data in the register of the certified persons".

5. To consider Item 20 of the Provision Provision Item 17.

6. To add the Section V of the Provision with Item 18 of the following content:

"18. In case of obtaining by the certified person of the first higher education, change of surname, name, middle name, nationality, the residence or the postal address of the certified person, change of position, place of employment of the certified person the certified person shall within 30 working days from the date of the specified changes to direct the application for modification of the register of the certified persons to territorial authority of FFMS of Russia.".

Head

D.V.Pankin

 

Approved by the order of the Federal Service for Financial Markets from __________, No. _____

Administrative regulations of provision by the Federal Service for Financial Markets of the state service in maintaining the register of the certified persons

I. General provisions

Subject of regulation of regulations

1. These Administrative regulations of provision by the Federal Service for Financial Markets of the state service in maintaining the register of the certified persons (further - Administrative regulations) establish terms and the sequence of ministerial procedures and administrative actions of the Federal Service for Financial Markets, order of interaction between structural divisions of FFMS of Russia, its territorial authorities and workers, and also order of interaction of FFMS of Russia and its territorial authorities with the physical persons and the organizations accredited by FFMS of Russia on implementation of certification of specialists of the financial market by provision of the state service in maintaining the register of the certified persons in the sphere of professional activity in the security market, in field of activity of joint-stock investment funds, managing companies of investment funds, mutual investment funds and non-state pension funds, specialized depositaries of investment funds, mutual investment funds and non-state pension funds, in field of activity on non-state pension provision, mandatory pension insurance and professional pension insurance, physical persons in the sphere of clearing activities, in field of activity on carrying out the organized biddings (further - the state service).

Circle of applicants

2. For introduction of information about the certified persons in the sphere of professional activity in the security market, in field of activity of joint-stock investment funds, managing companies of investment funds, mutual investment funds and non-state pension funds, specialized depositaries of investment funds, mutual investment funds and non-state pension funds, in field of activity on non-state pension provision, mandatory pension insurance and professional pension insurance, physical persons in the sphere of clearing activities, in field of activity on carrying out the organized biddings (further - the certified persons) in the register of the certified persons (further - the Register), applicants are the organizations accredited by FFMS of Russia on implementation of certification of specialists of the financial market (further - the accredited organizations).

3. For modification of information about the certified persons containing in the Register, applicants are the certified persons or their representatives based on the power of attorney which is drawn up according to the procedure, established by the legislation of the Russian Federation (further - the representative).

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