PROVISION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of January 18, 2016 No. 529-P

About procedure for suspension, renewal of action of the license for implementation of professional activity in the security market, about procedure for adoption by the Bank of Russia of the decision on cancellation of the license for implementation of professional activity in the security market, about establishment of terms of adoption of such decision in the cases established by subitems 2 - the 12th Item 1 and the subitem 3 of Item 2 of article 39.1 of the Federal Law of April 22, 1996 No. 39-FZ "About the security market", and also about establishment of the exhaustive list of the documents enclosed to the plea of nullity of the license

This Provision based on article 39.1 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. 1, Art. 13; No. 14, Art. 2022; No. 27, Art. 4001; No. 29, the Art. 4348, the Art. 4349, "The official Internet portal of legal information" (www.pravo.gov.ru), on December 30, 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; №52, of 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. 40, Art. 5318; 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, "The official Internet portal of legal information" (www.pravo.gov.ru), on December 29, 2015, on December 30, 2015) establishes:

procedure for suspension and renewal by the Bank of Russia of action of the license for implementation of professional activity in the security market (further - the license);

procedure for adoption by the Bank of Russia of decisions on cancellation of the license;

terms of adoption by the Bank of Russia of decisions on cancellation of the license in the cases established by subitems 2 - the 12th Item 1 and the subitem 3 of Item 2 of article 39.1 of the Federal law "About the Security Market";

the exhaustive list of the documents enclosed by the professional participant of the security market (further - the licensee) to the written application about cancellation of the license of the professional participant of the security market (further - the statement), and also procedure for their registration.

Chapter 1. Procedure and terms of adoption by the Bank of Russia of the decision on cancellation of the license, and also procedure for suspension and renewal of action of the license

1.1. The decision on suspension of action of the license or cancellation of the license, except for decisions on cancellation (about refusal in cancellation) licenses according to the statement of the licensee, is accepted by the Bank of Russia in case of identification by the Bank of Russia of the bases, the stipulated in Article 39.1 Federal Laws "About the Security Market".

1.2. Action of the license can be resumed according to the decision of the Bank of Russia based on the documents provided in the Bank of Russia confirming elimination by the licensee before the expiration established in the instruction of the Bank of Russia, the revealed violations and (or) acceptance by it of the measures directed to non-admission of making of the revealed violations which were the basis for suspension of action of the license.

1.3. Consideration of the documents which are the basis for adoption by the Bank of Russia of the decision on suspension, renewal of action of the license and cancellation of the license, and preparation of drafts of the relevant orders of the Bank of Russia are performed by Department of the security market and goods market of the Bank of Russia (further - authorized structural division of central office of the Bank of Russia).

1.4. The decision on suspension, renewal of action of the license and cancellation of the license, except for decisions on cancellation (about refusal in cancellation) licenses in the case provided by the subitem 1 of Item 1 of article 39.1 of the Federal law "About the Security Market", and the decision on cancellation of the license in the cases provided by subitems 1 and 2 of Item 2 of article 39.1 of the Federal law "About the Security Market" is accepted by Committee of financial supervision (further - Committee).

The decision on cancellation (about refusal in cancellation) licenses in the case provided by the subitem 1 of Item 1 of article 39.1 of the Federal law "About the Security Market", and the decision on cancellation of the license in the cases provided by subitems 1 and 2 of Item 2 of article 39.1 of the Federal law "About the Security Market" are accepted by the Chairman of the Bank of Russia (the First Deputy Chairman of the Bank of Russia or the vice-chairman of the Bank of Russia who is directly coordinating and controlling work of authorized structural division of central office of the Bank of Russia).

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