INSTRUCTION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of June 21, 2016 No. 4047-U

About types and form of the competence certificates issued by the organizations accredited by the Bank of Russia performing certification of specialists of the financial market

This Instruction according to Item 14 of article 42 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, Art. 4348, Art. 4349, Art. 4357; 2016, No. 1, the Art. 81), the subitem 8 of Item 2 of article 55 of the Federal Law of November 29, 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, Art. 3616; 2009, No. 48, Art. 5731; 2010, No. 17, Art. 1988; No. 31, Art. 4193; 2011, No. 48, Art. 6728; No. 49, Art. 7040, Art. 7061; 2012, No. 31, Art. 4334; 2013, No. 26, Art. 3207; No. 27, Art. 3477; No. 30, Art. 4084; No. 51, Art. 6695, Art. 6699; 2014, No. 11, Art. 1098; 2015, No. 27, Art. 4001; No. 29, Art. 4357; 2016, No. 1, Art. 47; No. 23, the Art. 3301), the subitem 13 of Item 3 of article 34 of the Federal Law of May 7, 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, Art. 3616; 2009, No. 29, Art. 3619; No. 48, Art. 5731; No. 52, Art. 6450, Art. 6454; 2010, No. 17, Art. 1988; No. 31, Art. 4196; 2011, No. 29, Art. 4291; No. 48, Art. 6728; No. 49, Art. 7036, Art. 7037, Art. 7040, Art. 7061; 2012, No. 31, Art. 4322; No. 47, Art. 6391; No. 50, Art. 6965, Art. 6966; 2013, No. 19, Art. 2326; No. 30, Art. 4044, Art. 4084; No. 49, Art. 6352; No. 52, Art. 6975; 2014, No. 11, Art. 1098; No. 30, Art. 4219; 2015, No. 27, Art. 3958, Art. 4001; No. 29, Art. 4357; 2016, No. 1, the Art. 41, the Art. 47), Item 18 of part 1 of article 25 of the Federal Law of February 7, 2011 No. 7-FZ "About clearing, clearing activities and the central partner" (The Russian Federation Code, 2011, No. 7, Art. 904; No. 48, Art. 6728; No. 49, Art. 7040, Art. 7061; 2012, No. 53, Art. 7607; 2013, No. 30, Art. 4084; 2014, No. 11, Art. 1098; 2015, No. 27, Art. 4001; No. 29, Art. 4357; 2016, No. 1, the Art. 23, the Art. 47), Item 17 of part 1 of article 25 of 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, Art. 4001; No. 29, Art. 4357; 2016, No. 1, of the Art. 47, the Art. 48) determines types and form of the competence certificates issued by the organizations accredited by the Bank of Russia performing certification of citizens in the sphere of professional activity in the security market in field of activity of joint-stock investment funds, managing companies, specialized depositaries, in field of activity on non-state pension provision and mandatory pension insurance in the sphere of clearing activities, in field of activity by carrying out the organized biddings (further respectively - the organizations accredited by the Bank of Russia, certification of specialists of the financial market).

1. The organizations accredited by the Bank of Russia performing certification of specialists of the financial market issue competence certificates of the following types.

1.1. The competence certificate of the first type about assignment of qualification of the specialist of the financial market in broker activities, dealer activities, the securities management and activities Forex dealer (further - the competence certificate of the first type).

1.2. The competence certificate of the second type about assignment of qualification of the specialist of the financial market in clearing activities and activities for carrying out the organized biddings (further - the competence certificate of the second type).

1.3. The competence certificate of the third type about assignment of qualification of the specialist of the financial market in activities for maintaining the register of owners of securities (further - the competence certificate of the third type).

1.4. The competence certificate of the fourth type about assignment of qualification of the specialist of the financial market in depository activity (further - the competence certificate of the fourth type).

1.5. The competence certificate of the fifth type about assignment of qualification of the specialist of the financial market in activities for management of investment funds, mutual investment funds and non-state pension funds (further - the competence certificate of the fifth type).

1.6. The competence certificate of the sixth type about assignment of qualification of the specialist of the financial market in activities of specialized depositaries of investment funds, mutual investment funds and non-state pension funds (further - the competence certificate of the sixth type).

1.7. The competence certificate of the seventh type about assignment of qualification of the specialist of the financial market in activities of non-state pension funds for non-state pension provision and mandatory pension insurance (further - the competence certificate of the seventh type).

2. The organizations accredited by the Bank of Russia performing certification of specialists of the financial market issue the competence certificates specified in Item of 1 this Instruction in form according to appendix to this Instruction.

2.1. On the competence certificate the two-dimensional bar code (QR code of 20 x 20 mm in size) containing in the coded type hyperlink for direct access to the Section of the official site of the Bank of Russia on the Internet in which verification of the status of competence certificates of specialists of the financial market is performed is placed.

2.2. The form of the competence certificate is the protected printed material of level "B".

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