INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of October 26, 2015 No. 169-I

About procedure for licensing by the Bank of Russia of the exchanges and trade systems and procedure for maintaining the register of licenses

This Instruction based on the Federal Law of November 21, 2011 No. 325-FZ "About the organized biddings" (The Russian Federation Code, 2011, No. 48, Art. 6726; 2012, No. 53, Art. 7607; 2013, No. 30, Art. 4084; No. 51, Art. 6699; 2015, No. 27, the Art. 4001) (further - the Federal Law "About the Organized Biddings"), 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; No. 27, Art. 3958, Art. 4001; No. 29, Art. 4348; No. 41, of the Art. 5639) establishes procedure for licensing by the Bank of Russia of the exchanges and trade systems, including renewals of the document confirming availability of the license, registration and submission of documents for the receipt of the license and renewal of the document confirming license availability, the application form about licensing, questionnaire form, the document form, containing the detailed information about borrowed funds and receivables, the document form, confirming license availability, and also procedure for maintaining the register of licenses of the exchanges and trade systems (further - the register of licenses) and procedure for provision of statements from it.

Chapter 1. General provisions

1.1. The documents submitted according to this Instruction go to the Bank of Russia (Department of the admission and termination of activities of the financial organizations) on paper if other is not provided by this Instruction and other regulations of the Bank of Russia.

1.2. The document confirming license availability is issued on the form of the Bank of Russia protected from counterfeits in form according to appendix 1 to this Instruction. This document is signed by the authorized person of the Bank of Russia which it is ratified official stamp of the Bank of Russia.

1.3. The documents submitted according to this Instruction, except for documents, stipulated in Item 2.4 and the paragraph the second Item 2.5 (concerning board members (supervisory board) of the license applicant) this Instruction, shall be signed by person performing functions of sole executive body of the license applicant or the legal entity who already performs activities for carrying out the organized biddings based on the license according to the Federal Law "About the Organized Biddings", or his legal successor (further - the licensee).

In the presence of seal the signature of person performing functions of sole executive body of the license applicant (licensee) shall be certified by seal.

The document submitted according to Item 2.4 of this Instruction is signed by physical person with own hand with indication of signature date of the document, surname, name, middle name (in the presence of the last) according to the identity document.

The document submitted concerning the board member (supervisory board) of the license applicant according to the paragraph the second Item 2.5 of this Instruction shall be properly certified.

1.4. In the documents submitted by the license applicant (licensee) according to this Instruction, containing more than one leaf, sheets shall be numbered, stitched and fastened on the back the last leaf by zaveritelny text with indication of figures and the copy-book of number of the numbered sheets which is commited by person, person performing functions of sole executive body of the license applicant (licensee) or authorized by it, with indication of surname, name, middle name (in the presence of the last), positions and dates of creation.

In the presence of seal the signature of person performing functions of sole executive body of the license applicant (licensee) or person authorized by it, shall be certified by seal.

When making zaveritelny text by other authorized person of the license applicant (licensee) the original (or the copy certified by person performing functions of sole executive body) the document, the confirming power of the person which signed the submitted documents also shall be provided to the Bank of Russia (Department of the admission and termination of activities of the financial organizations).

1.5. The documents specified in this Instruction, constituted in foreign language are represented to the Bank of Russia (Department of the admission and termination of activities of the financial organizations) together with the notarized translation into Russian.

1.6. The documents specified in this Instruction can be represented also in the form of the electronic documents signed by the strengthened digital signature according to requirements of the Federal Law of April 6, 2011 No. 63-FZ "About the digital signature" (The Russian Federation Code, 2011, No. 15, Art. 2036; No. 27, Art. 3880; 2012, No. 29, Art. 3988; 2013, No. 14, Art. 1668; No. 27, Art. 3463, Art. 3477; 2014, No. 11, Art. 1098; No. 26, Art. 3390).

1.7. The document confirming payment of the state fee, represented to the Bank of Russia (Department of the admission and termination of activities of the financial organizations) shall contain mark of bank about discharge of duty on payment of the state fee collected in accordance with the legislation of the Russian Federation about taxes and fees and to be certified by the signature of person performing functions of sole executive body, or other authorized person of the license applicant (licensee) and also the signature of person responsible for conducting financial accounting.

Chapter 2. Requirements to the documents and data represented to the Bank of Russia for receipt of the license

2.1. For receipt of the license the license applicant shall provide to the Bank of Russia (Department of the admission and termination of activities of the financial organizations) the documents provided by part 3 of article 26 of the Federal law "About the Organized Biddings" which shall conform to the requirements established by this Instruction.

2.2. The statement for licensing is constituted by the license applicant in one copy in the form established by appendix 2 to this Instruction and it is represented on the form of the license applicant (in the presence).

2.3. The questionnaire is constituted by the license applicant in one copy in the form established by appendix 3 to this Instruction. The data specified in the questionnaire shall be urgent for date of submission of the statement for licensing. The name, the address of the legal entity brought in the questionnaire shall correspond to the data specified in constituent documents of the license applicant. The questionnaire is also submitted on the electronic medium (CD disk, the flash-store) in the Microsoft Word format (*.doc; *.docx; *.rtf).

2.4. The document containing the information about each person specified in Item 6 of part 3 of article 26 of the Federal law "About the Organized Biddings" is drawn up according to appendix 4 to this Instruction.

2.5. For the purpose of confirmation of observance of requirements imposed by the Federal Law "About the Organized Biddings" to persons specified in Item 6 of part 3 of article 26 of the Federal law "About the Organized Biddings" the following documents are submitted:

copy of the service record of the corresponding person;

Disclaimer! This text was translated by AI translator and is not a valid juridical document. No warranty. No claim. More info