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Ministry of Justice

Russian Federation

On May 22, 2017 No. 46772

PROVISION OF CENTRAL BANK OF THE RUSSIAN FEDERATION

of January 31, 2017 No. 577-P

About rules of conducting internal accounting by the professional participants of the security market performing broker activities, dealer activities and the securities management

(as amended on 13-08-2020)

This Provision according to Items 3 and 4 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. 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. 4357; 2016, No. 1, Art. 50, Art. 81; No. 27, of the Art. 4225) (further - the Federal Law "About the Security Market") establishes rules of conducting internal accounting by the professional participants of the security market performing broker activities, dealer activities and the securities management (further - professional participants), and creation of the reporting before clients.

Chapter 1. General provisions

1.1. Internal accounting of the professional participant shall represent the ordered system of records concerning transactions (including derivative financial instruments) and the transactions provided by this Provision with money (including with foreign currency), the securities, foreign financial instruments which are not qualified as securities and the goods admitted to organized trading (including precious metals) (further - assets), and also records concerning other objects of internal accounting which is formed by collection, registration, reflection, generalization, reconciliation and storage of information on the specified transactions, transactions and other objects of internal accounting, including by account management of internal accounting.

1.2. Objects of internal accounting are:

the transactions and transactions provided by this Provision;

the assets of clients of the professional participant which are subject to accounting on accounts of internal accounting according to requirements of this provision;

obligations which execution shall be performed for the asset account, provided by the paragraph third this Item;

obligations, requirements for which shall be performed in structure of the assets provided by the paragraph third this Item;

the customer information of the professional participant provided by Chapter 6 of this provision and about agreements according to which services are rendered to them;

the orders and customer requirements provided by this Provision.

1.3. Receipt or asset retirement (further - transactions with assets) is reflected on accounts of internal accounting according to requirements of Chapter 3 this provision.

1.4. Internal account is kept in electronic databases with ensuring storage and protection of the records provided by this Provision.

Data of internal accounting can contain in systems of other accounting of the professional participant if they can be generalized by the automated means of conducting internal accounting of the professional participant.

1.5. The professional participant provides compliance of conducting internal accounting to requirements of this provision, including in case of its maintaining by person specified in the paragraph the second Item 1.6 of this provision.

1.6. The organization of conducting internal accounting shall provide assignment at least on one worker of the professional participant of obligations on generalization and storage of information on the transactions, transactions and other objects of internal accounting provided by this Provision, to reconciliation of data of internal accounting and forming of the reporting under data of internal accounting.

Requirements of paragraph one of this Item do not extend to the professional participant who signed with other professional participant the contract for rendering to it services in conducting internal accounting provided that the last approves the documents provided by Chapter 4 this provision.

The obligations specified in paragraph one of this Item cannot be assigned to the worker responsible for the direction and (or) adoption of the offers on transactions which are subject to internal accounting (including submission of requests at the organized biddings), and (or) for submission of orders on making of such transactions.

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