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Ministry of Justice

Russian Federation

On August 25, 2015 No. 38673

PROVISION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of July 27, 2015 No. 481-P

About licensed requirements and conditions of implementation of professional activity in the security market, restrictions for combination of separate types of professional activity in the security market, and also about procedure and terms of submission to the Bank of Russia of the reports on discharge connected with implementation of professional activity in the security market in case of cancellation of the license of the professional participant of the security market

(as amended on 16-12-2020)

This Provision based on Articles 10, 39, 39.1, 39.2, of Items 6 and 15 of Article 42, Item 3 of article 44 of the Federal Law of April 22, 1996 No. 39-FZ "About the security market" (The Russian Federation Code, 1996, No. 17, Art. 1918; 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; 2008, No. 52, Art. 6221; 2009, No. 1, Art. 28; No. 18, Art. 2154; No. 23, Art. 2770; No. 29, Art. 3642; No. 48, Art. 5731; No. 52, Art. 6428; 2010, No. 17, Art. 1988; No. 31, Art. 4193; No. 41, 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, Art. 7040; No. 50, Art. 7357; 2012, No. 25, Art. 3269; No. 31, Art. 4334; No. 53, Art. 7607; 2013, No. 26, Art. 3207; No. 30, Art. 4043, Art. 4082, Art. 4084; No. 51, Art. 6699; No. 52, Art. 6985; 2014, No. 30, Art. 4219; 2015, No. 14, Art. 2022; "The official Internet portal of legal information" (www.pravo.gov.ru), on July 1, 2015, on July 13, 2015) (further - the Federal Law "About the Security Market") and the Federal Law of July 10, 2002 No. 86-FZ "About the Central bank the Russian Federation (Bank of Russia)" (The Russian Federation Code, 2002, No. 28, Art. 2790; 2003, No. 2, Art. 157; No. 52, Art. 5032; 2004, No. 27, Art. 2711; No. 31, Art. 3233; 2005, No. 25, Art. 2426; No. 30, Art. 3101; 2006, No. 19, Art. 2061; No. 25, Art. 2648; 2007, No. 1, Art. 9, Art. 10; No. 10, Art. 1151; No. 18, Art. 2117; 2008, No. 42, Art. 4696, Art. 4699; No. 44, Art. 4982; No. 52, Art. 6229, Art. 6231; 2009, No. 1, Art. 25; No. 29, Art. 3629; No. 48, Art. 5731; 2010, No. 45, Art. 5756; 2011, No. 7, Art. 907; No. 27, Art. 3873; No. 43, Art. 5973; No. 48, Art. 6728; 2012, No. 50, Art. 6954; No. 53, Art. 7591, Art. 7607; 2013, No. 11, Art. 1076; No. 14, Art. 1649; No. 19, Art. 2329; No. 27, Art. 3438, Art. 3476, Art. 3477; No. 30, Art. 4084; No. 49, Art. 6336; No. 51, Art. 6695, Art. 6699; No. 52, Art. 6975; 2014, No. 19, Art. 2311, Art. 2317; No. 27, Art. 3634; No. 30, Art. 4219; No. 45, Art. 6154; No. 52, Art. 7543; 2015, No. 1, Art. 4, Art. 37; "The official Internet portal of legal information" (www.pravo.gov.ru), on June 30, 2015, on July 1, 2015, on July 13, 2015) establishes licensed requirements and conditions of implementation of professional activity in the security market, restrictions for combination and the requirements directed to exception of conflict of interest in case of combination of the types of professional activity in the security market specified in Articles 3 - 5, 7 Federal Laws "About the Security Market", and financial instrument transactions, and also procedure and terms of submission to the Bank of Russia of the reports on discharge connected with implementation of professional activity in the security market in case of cancellation of the license of the professional participant of the security market.

Chapter 1. General provisions

1.1. Licensed requirements and conditions are established concerning all types of professional activity in the security market specified in Articles 3 - 5, 7 and 8 Federal Laws "About the Security Market".

1.2. The license is granted separately on each type of professional activity in the security market from specified in Articles 3 - 5, 7 and 8 Federal Laws "About the Security Market".

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