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The document ceased to be valid according to the Order of the Central bank of the Russian Federation of August 6, 2015 No. OD-2010

ORDER OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of August 4, 2014 No. OD-1995

About procedure for issue by the Bank of Russia of permission to implementation of the corresponding type of activity of not credit financial credit institution, state registration of non-state pension funds, issues of prior consent to transfer of assets and obligations of the not credit financial credit institution registered in the territory of the Republic of Crimea and (or) the territory of the federal city of Sevastopol

According to article 18.1 of the Federal constitutional Law of March 21, 2014 to No. 6-FKZ "About acceptance to the Russian Federation of the Republic of Crimea and education as a part of the Russian Federation of new subjects - the Republic of Crimea and the federal city of Sevastopol", the Federal Law of April 2, 2014 No. 37-FZ "About features of functioning of financial system of the Republic of Crimea and the federal city of Sevastopol for transition period" (further - the Federal Law No. 37-FZ) I order:

1. Determine that issue by the Bank of Russia of permission to implementation of the corresponding type of activity of not credit financial credit institution according to article 8 of the Federal Law No. 37-FZ, state registration as non-state pension fund and issue of the operating authority as non-state pension fund according to article 8 of the Federal Law No. 37-FZ, state registration as non-state pension fund, issue of permission of the Bank of Russia to implementation of the corresponding type of activity of the not credit financial credit institution created (created) according to Articles 9, 10 Federal Laws No. 37-FZ, receipt of prior consent to transfer of assets and obligations of not credit financial credit institution registered in the territory of the Republic of Crimea and (or) the territories of the federal city of Sevastopol according to article 12 of the Federal Law No. 37-FZ, it is performed according to the procedure, provided by appendix to this order (further - the Procedure).

2. To the press service of the Bank of Russia (Granik A. V.) publish this order in "the Bulletin of the Bank of Russia".

Acting Chairman

G. I. Luntovsky

Appendix

to the Order of the Bank of Russia of August 4, 2014 No. OD-1995

Approval procedure on implementation of the corresponding type of activity of not credit financial credit institution, state registration of non-state pension funds, issues of prior consent to transfer of assets and obligations of the not credit financial credit institution registered in the territory of the Republic of Crimea and (or) the territory of the federal city of Sevastopol

Chapter 1. General provisions

1.1. The statement and documents for issue by the Bank of Russia of permission to implementation of the corresponding type of activity of not credit financial credit institution (further - NFO), state registration of non-state pension funds according to Article 8, part 1 of Article 9 and part 1 of article 10 of the Federal Law No. 37-FZ, prior consent of the Bank of Russia to transfer of assets and obligations of NFO registered in the territory of the Republic of Crimea and (or) the territory of the federal city of Sevastopol according to article 12 of the Federal Law No. 37-FZ are sent for consideration in Department across the Republic of Crimea of the Central bank of the Russian Federation (further - Department).

1.2. The documents submitted to Department, constituted on two and more sheets shall be stitched, sheets are numbered. On the back the last leaf of each such document the corresponding record about the number of sheets which is certified by seal and the authorized signature of the organization - the author of the document shall be made.

On copies of the submitted documents record "true copy", the authorized signature, confirming reliability of the specified text, NFO under seal shall contain (or the founder of non-state pension fund).

1.3. Get permission of the Bank of Russia or not credit financial credit institutions having licenses, the permissions or documents testimonial of registration in the state register of financial institutions existing at the time of entry into force of the specified Federal Law similar specified in the statement receipt of permission of the Bank of Russia to implementation of the corresponding type of activity or the statement for state registration of non-state pension fund can perform state registration as non-state pension fund according to article 8 of the Federal Law No. 37-FZ if other is not established by the Federal Law No. 37-FZ.

1.4. According to article 15 of the Federal constitutional Law of March 21, 2014 "About acceptance to the Russian Federation of the Republic of Crimea and education as a part of the Russian Federation of new subjects - the Republic of Crimea and the federal city of Sevastopol" the documents confirming payment of charges (state fees) for receipt of permission of the Bank of Russia and also for state registration of non-state pension funds are not represented to No. 6-FKZ.

Chapter 2. Approval procedure on implementation of activities as the professional participant of the security market according to article 8 of the Federal Law No. 37-FZ

2.1. Permission of the Bank of Russia to implementation of activities as the professional participant of the security market are:

the license for implementation of broker activities or broker activities only for the conclusion of the agreements which are derivative financial instruments which basic asset are the goods;

license for implementation of dealer activities;

license for activities on the securities management;

license for implementation of depository activity;

license for activities on maintaining the register.

2.2. For receipt of the permissions of the Bank of Russia to implementation of activities as the professional participant of the security market issued by the Bank of Russia, NFO shall be submitted to Department the following documents:

2.2.1. The statement which shall contain data on the address (location) of permanent executive body of NFO to which communication with NFO is performed, constituted according to appendix 1 to this Procedure.

2.2.2. The documents confirming entering of record about NFO into the Unified State Register of Legal Entities and statement of NFO on tax accounting in tax authorities of the Russian Federation.

2.2.3. The charter (the notarized copy) of NFO conforming to requirements of the legislation of the Russian Federation.

2.2.4. The information about board members (supervisory board) of NFO, members of collegiate executive body, person performing functions of sole executive body of NFO, his deputies, the chief accountant and his deputies, persons performing the functions of heads and chief accountants of branches (other separate divisions) of NFO, internal controllers (auditors, auditors) represented according to appendices 2, of 3, 16 to this Procedure.

2.2.5. Information on all shareholders (participants) of NFO, on persons, under control or considerable influence of which there are shareholders (participants) owning more than 10 percent of the authorized capital of NFO, sole executive body of the legal entity owning more than 10 percent of shares (share) of NFO, and the person exercising control or exerting considerable impact concerning the specified shareholder (participant), represented according to appendix 4 to this Procedure.

2.2.6. Information on separate divisions of NFO (branches, representations) represented according to appendix 5 to this Procedure, the documents regulating activities of the specified divisions.

2.2.7. The copy of the license, the permission or the document testimonial of registration in the state register of financial institutions and acting on the date of entry into force of the Federal Law No. 37-FZ.

2.2.8. Annual accounting (financial) accounts on the last reporting date.

2.3. To the statement specified in subitem 2.2.1 of Item 2.2 of this Procedure, NFO can attach other documents provided by the Administrative regulations on provision by the Federal Service for Financial Markets of the state service in licensing of activities of professional participants of the security market approved by the order of FFMS of Russia of January 25, 2011 No. 11-5/pz-n for receipt of the license for implementation of professional activity in the security market.

Chapter 3. Approval procedure on implementation of activities as the organizer of trade according to article 8 of the Federal Law No. 37-FZ

3.1. Permission of the Bank of Russia to implementation of activities as the organizer of trade are:

license of the exchange;

license of trade system.

3.2. For receipt of permission of the Bank of Russia to implementation of activities as the organizer of trade issued by the Bank of Russia, NFO shall be submitted to Department the following documents:

3.2.1. The statement which shall contain data on the address (location) of permanent executive body of NFO to which communication with NFO is performed, constituted according to appendix 1 to this Procedure.

3.2.2. The documents confirming entering of record about NFO into the Unified State Register of Legal Entities and statement of NFO on tax accounting in tax authorities of the Russian Federation.

3.2.3. The charter (the notarized copy) of NFO conforming to requirements of the legislation of the Russian Federation.

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