On Amendments To The Federal Law "on The Peculiarities Of Functioning Of The Financial System Of The Republic Of Crimea And Sevastopol Cities With Federal Status For The Transition Period"

Original Language Title: О внесении изменений в Федеральный закон "Об особенностях функционирования финансовой системы Республики Крым и города федерального значения Севастополя на переходный период"

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RUSSIAN FEDERATION FEDERAL LAW on amendments to the Federal law "on the peculiarities of functioning of the financial system of the Republic of Crimea and Sevastopol cities with federal status for the interim period" adopted by the State Duma July 4, 2014 years approved by the Federation Council July 9, 2014 onwards (as amended by federal law from 31.12.2014 N 513-FZ) Article 1 amend the Federal law of April 2, 2014 N 37-ФЗ "about the peculiarities of functioning of the financial system of the Republic of Crimea and Sevastopol cities with federal status for the interim period" (collection of laws Russian Federation, 2014, N 14, art. 1529; N 23, art. 2934) as follows: 1) article 1, after the words "issued by issuers," add the words "features of other persons carrying out activities similar to those of the activities referred to in articles 5 and 7-1 August 7, 2001 federal law N 115-FZ" on counteracting the legalization (laundering) of proceeds received by criminal way and terrorism financing ",";
2) in article 8: (a)) part 4 supplement suggestions as follows: "non-bank credit and financial institutions registered in the territory of the Republic of Crimea or in the territory of the Federal cities of Sebastopol and licensed depository activity of the custodian institution may to January 1, 2015 year get permission of the Bank of Russia on depository activity or activities for keeping the registry of securities owners. When issuing a permit for the conduct of the registry of securities owners own funds requirements of professional securities market participants engaged in such activities, shall not be taken into account. Persons who have obtained the permission of the Bank of Russia for maintaining the registry of securities owners must bring their own funds in accordance with the legislation of the Russian Federation until January 1, 2017 years. ";
b) Supplement part of the 5-1 along the following lines: "5-1. The asset management company, registered on the territory of the Republic of Crimea or in the territory of the Federal cities of Sebastopol and received a license of the Bank of Russia to manage investment funds, mutual funds and private pension funds (hereinafter referred to as company managers) are entitled to carry out registration of mutual funds under management as at March 16, 2014 years as mutual funds independently defining category closed unit investment fund. Mutual fund registration is carried out by the Bank of Russia by registration rules to collective investment trust management fund in the manner prescribed by the legislation of the Russian Federation regulating the activity of investment funds, if this federal law and adopted in accordance with the acts of the Bank of Russia is not otherwise established. ";
3) in article 11: (a)) in the first paragraph of part 1 of the words "parts 3 and 5 of article 8" shall be replaced with the words "parts 3-5 of article 8";
b) in part 5, the words "part 3 of article 8" shall be replaced with the words "parts 3 and 4 of article 8";
4) supplemented by article 11-1 to read as follows: "article 11-1 1. Registration rules for collective investment trust management fund is permitted subject to the following conditions: 1) in respect of the mutual fund are not implemented procedures related to its termination;
2) assets constituting the mutual fund, submitted for registration and storage of specialized depositary if for certain types of property normative legal acts of the Russian Federation, including the normative acts of the Bank of Russia, provide otherwise;
3) specialized depositary of the transmitted information and documents (copies of documents) necessary for the implementation of specialized depositary of assets of a mutual fund; (Repealed-federal law 31.12.2014 N 513-FZ) 5) documents containing information about the physical and legal persons owning mutual fund investment certificates as of a date not earlier than 10 working days before the date of filing of the regulation to collective investment trust management fund for registration with the Bank of Russia, necessary for opening a personal account in the register of owners of the investment shares were transferred to the management company of the person with whom the contract on the registry of owners of the investment shares.
2. the rules of collective investment trust management fund must be lodged for registration with the Bank of Russia no later than January 1, 2015 year. To a set of documents provided for by the legislation of the Russian Federation regulating the activity of investment funds for filing for the registration rules of the mutual investment trust management fund enclosed the following documents:

1) notification of the depositary receipt of specialized for capturing and storing the property of a mutual fund, on retrieving information and documents (copies of documents), provided for under paragraph 3 of part 1 of this article, and on the conformity of the property of a mutual fund, a result in accordance with paragraph 4 of part 1 of this article assessment;
2) notice of a person with whom the contract on the registry of owners of the investment shares, the management company has received the documents, stipulated in paragraph 5 of part 1 of this article;
3) document containing information on the number of investment certificates, investment certificates owners as of a date prior to the date of filing of the regulation to collective investment trust management fund for registration with the Bank of Russia.
3. Date of completion (the formation of) mutual fund recognizes the registration rules of the mutual investment trust management fund.
4. The owners of the investment shares are recognized as persons who were owners of a mutual fund's investment certificates at a date prior to the date of filing of the regulation to collective investment trust management fund for registration with the Bank of Russia.
5. transfer of investment shares on account in the register of owners of the investment shares is effected on the date of registration of the rules of the mutual investment trust management fund by order of the management company in a quantity equal to the number of investment certificates owned by the owners of the investment certificates at a date prior to the date of filing of the regulation to collective investment trust management fund for registration with the Bank of Russia ";
5) article 14: (a)) Supplement part of 2-1 as follows: "2-1. State registration of issue of shares with par value in roubles shall be carried out by the Bank of Russia, subject to the unified State Register of legal persons of record about the issuer. ";
b) Supplement part of the 2-2 as follows: "2-2. The issuer of shares with par value in roubles are considered to be placed on the day of entering into the unified State registry of legal persons of record about the issuer. When the issuer's shares with par value in foreign currency shall be deemed canceled. ";
Part 2 Supplement)-3 read as follows: "2-3. Features of State registration issues of shares and reports on the outcome of the issue of shares of issuers with nominal value in roubles, including composition and requirements to the documents submitted for State registration of such, as well as the particularities of such shares and the rights to such shares may be determined by the acts of the Bank of Russia ";
g) Supplement part of 2-4 to read as follows: "2-4. The issuer of shares with par value in roubles are allocated to persons who were owners of shares with par value in foreign currency at the date of the in accordance with the personal law of the issuer before you write about it in the unified State Register of legal persons registry of holders of such shares on the assumption that the register is not earlier than thirty days prior to the day of entering into the unified State registry of legal persons of record about the issuer. In case of lack of the issuer of the roster shares issuer of par value in roubles are allocated to persons who were owners of shares with par value in foreign currency on the day of entering into the unified State registry of legal persons of record about the issuer. While these individuals are defined based on the data submitted by non-banking financial institutions, continuing its activities for accounting ownership to securities in accordance with the requirements of part 1 of article 8 of this federal law, the national depository of Ukraine and (or) professional securities market participants engaged in accounting ownership to securities. ";
d) Supplement part 2-5 to read as follows:

"2-5. If the quantity to be offering of shares with par value in roubles exceeding the number of shares placed by individuals, for which data are presented in accordance with part 2-4 of this article, the remaining shares are allocated to the asset manager. Trust management of listed shares is established on the basis of this federal law in order to protect the rights of persons who are owners of shares with nominal value in foreign currency and for which data were not available. Trustee is an autonomous non-profit organization "Investor Protection Fund" (hereinafter referred to as the Fund). The Fund is obliged to act in the interests of these persons and shall not be entitled to dispose of them owed shares. Record of acceptance of the remaining shares to the account of the Fund shall be paid on the thirtieth day from the date of State registration of issue of shares with a nominal value in roubles. Transfer of shares of asset management is carried out the person concerned on the basis of documents confirming the right of such a person on shares with par value in foreign currency, or on the basis of a court decision. The term asset management shares may not exceed three years from the date of crediting to the account of the Fund's shares, and after this period, the shares not transferred to the Foundation from asset management to the appropriate people, become the property of the Republic of Crimea or federal cities of Sevastopol, depending on the location of the issuer. Procedures for the transfer of these shares in the property of the Republic of Crimea or federal cities of Sevastopol is set by regulation of the Bank of Russia ";
e) Supplement part of 2-6 to read as follows: "2-6. Report on the outcome of the issue of shares of the issuer in rubles face value appears to the Bank of Russia no later than sixty days after the date of State registration of such a release. ";
f) Supplement part of the 2-7 as follows: "2-7. The transition of ownership of the issuer's shares with par value in roubles is prohibited until the expiration of six months after the date of State registration of the Bank of Russia to report on the outcome of the issue of such shares. ";
6) article 17: (a)) part 1, after the words "information is sent" to supplement the word "exclusively";
b) Supplement part of 4-1 to read as follows: "4-1. Residents, registered on the territory of the Republic of Crimea and the city of federal importance, shall, prior to January 1, 2015 year inform the tax authorities of the place of its account of the public until March 16, 2014 year accounts (deposits) in banks outside the territory of the Russian Federation according to the form approved by the Federal Executive Body, authorized to control and supervision in the field of taxes and fees, in accordance with the Federal law of December 10, 2003 N 173-FZ "on currency regulation and currency control ', taking into account the features established part 4 of this article. ";
Supplement 4 part)-2 to read as follows: "4-2. The requirement of notification to the tax authorities does not apply to accounts (deposits) opened with banks by having as of March 16, 2014 year license of the National Bank of Ukraine and situated on the territory of Ukraine, individual resident, including carrying out business activity without establishment of legal entity, registered in the territory of the Republic of Crimea or in the territory of the city of Federal significance, on the basis of agreement of bank account or bank deposit agreement on which payments in accordance with the Federal law of April 2, 2014 N 39-FZ "on the protection of the interests of individuals who have deposits in banks and separate structural divisions of banks registered and (or) operating in the territory of the Republic of Crimea and the city of Federal significance of Sevastopol". ";
7) to supplement article 17-1 as follows: "article 17-1 1. Until January 1, 2015 year individuals as well as legal entities have the right to carry out audit activities on the territory of the Republic of Crimea and the city of Federal significance of Sevastopol: 1) on the basis of certificates issued by the audit Chamber of Ukraine, operating as of March 16, 2014 years and confirming the suitability of qualification to practice auditing activities for individuals;
2) on the basis of documents certifying inclusion as of March 16, 2014 year in the register of audit firms and Auditors the audit Chamber of Ukraine,-for legal entities.

2. To conduct audit activities on the territory of the Russian Federation of physical persons having certificates issued by the audit Chamber of Ukraine, valid as of March 16, 2014 years and confirming their qualification for employment suitability of the audit activities (hereinafter referred to as the Auditors of the Republic of Crimea and Sevastopol cities with federal status), as well as legal entities that are included as of March 16, 2014 year in the register of audit firms and Auditors by the audit Chamber of Ukraine (further-legal persons) Members should enter into one of the SROs Auditors. Auditors of the Republic of Crimea and Sevastopol cities with federal status, should also get a qualification certificate of Auditor, as stipulated by the Federal law of December 30, 2008 year N 307-ФЗ "about auditing activity", in one of the SROs Auditors, taking into account the peculiarities stipulated by this federal law.
3. in order to obtain the qualification certificate of Auditor Auditors of the Republic of Crimea and the city of Federal significance of Sebastopol is served in an SRO Auditors statement with indication of the surname, name, patronymic (if any), particulars of the identity document, address, place of residence (registration).
4. An application for a qualification certificate of the auditor examines the self-regulatory organization Auditors within a period not to exceed ten calendar days from the date of receipt of the application.
5. The auditors of Republic of Crimea and Sevastopol cities with federal status, received the qualification certificate of the auditor shall, prior to January 1, 2015 year undergo refresher training for Auditors of the Republic of Crimea and Sevastopol cities with federal status, approved by the Board for auditing activities envisaged by the Federal law of December 30, 2008 year N 307-ФЗ "about auditing activity". The minimum duration of this training shall be not less than 80 hours. If the auditor of the Republic of Crimea and Sevastopol cities with federal status did not pass the specified training until January 1, 2015 year issued by self-regulating organization Auditors auditor qualification certificate is revoked in the manner stipulated by the Federal law of December 30, 2008 year N 307-ФЗ "about auditing activity".
6. For membership in self-adjustable organisation of Auditors as auditor of the Republic of Crimea and the city of Federal significance of Sevastopol takes an SRO Auditors statement with indication of the surname, name, patronymic (if any), particulars of the identity document, address, place of residence (registration), and also submit the following documents: 1) qualification certificate of Auditor;
2) a document certifying the recordation of the individual owner in the unified State Register of individual entrepreneurs, for a natural person who is a sole proprietor;
3) one copy of the approved rules of internal control of the quality of work-for a natural person who is a sole proprietor;
4) other documents specified in the approved self-regulatory organization Auditors rules of admission of individuals to membership in the self-regulatory organization Auditors.
7. For membership in self-adjustable organisation of Auditors as an auditing organization legal entity submits an SRO Auditors statement, and also submit the following documents: 1) a document certifying the incorporation of a legal entity as of March 16, 2014 year in the register of audit firms and Auditors the audit Chamber of Ukraine;
2) existing constituent documents;
3) a document certifying the registration of the legal entity in the unified State Register of legal entities;
4) list of Auditors who are employees of the legal person on the basis of employment contracts;
5) list of members of the collegial executive body of a legal entity, indicating those who are Auditors, or a document confirming that an individual entrepreneur (Manager), which under the Treaty transferred the powers of the executive body of a legal person, is the Auditor, or a document confirming that another entity under the Treaty transferred the powers of the executive body of a legal entity, is an auditing organization;
6) one copy of the approved rules of internal control of the quality of work;
7) other documents specified in the approved self-regulatory organization Auditors rules of admission of legal persons to membership in the self-regulatory organization Auditors.
8. An SRO Auditors appear to be originals. For the purposes of this article, the rules of which SRO members admission of Auditors may require the submission of translations Russian language documents executed in whole or in any part thereof in a foreign language.

9. an SRO shall Auditors within ten working days from the day following the day of submission of the documents referred to in this article, shall decide on the admission of the auditor of the Republic of Crimea and Sevastopol cities with federal status, or legal entity or refuse membership in self-adjustable organisation of Auditors.
10. the basis for the adoption of self-regulatory organization of Auditors decision to refuse membership in self-adjustable organisation of Auditors is: 1) person mismatch the requirements of this article and to the requirements for membership, self-regulatory organization approved Auditors;
2) submission of papers not satisfying the requirements of this article;
3) establishing authenticity of information contained in documents submitted to an SRO Auditors.
11. On the adoption of self-regulatory organization of Auditors decision refusing admission to its members of the auditor of the Republic of Crimea and Sevastopol cities with federal status or legal person shall be reported in writing not later than seven working days from the day following the date of adoption of the decision.
12. the decision of an SRO Auditors for membership in self-adjustable organisation of Auditors shall enter into force on the date of its adoption.
13. If legal persons before January 1, 2015 years have not brought their founding documents in conformity with the requirements of the Federal law of December 30, 2008 year N 307-ФЗ "about auditing activity", such legal person shall lose the right to carry out audit activities and should be excluded from the self-regulatory organization Auditors.
14. Routine checks the quality of the work of individuals and legal persons to membership in self-adjustable organisation of Auditors in the manner and under the conditions provided for in this federal law before January 1, 2015 year. ".
Article 2 1. This federal law shall enter into force on the day of its official publication.
2. persons engaged in activities similar to those of the activities referred to in articles 5 and 7-1 August 7, 2001 federal law N 115-FZ "on counteracting the legalization (laundering) of proceeds received by criminal way and terrorism financing", in the period from March 16, 2014 onwards on the day of entry into force of this federal law, the responsibility for the storage of information and documents on transactions with monetary or other assets in accordance with the requirements in the sphere of counteraction to legalization (laundering) of proceeds received by criminal way and terrorism financing, in force in the territory of the Republic of Crimea and the city of Federal significance of Sevastopol as of March 16, 2014 year shall provide this information to the federal body of executive power that takes measures to counteract the legalization (laundering) of proceeds received by criminal way and terrorism financing in accordance with the Federal law of August 7, 2001 N 115-FZ "on counteracting the legalization (laundering) of proceeds received by criminal way and terrorism financing ", until September 1, 2014 years.
The President of the Russian Federation v. Putin Kremlin, Moscow July 21, 2014 N 257-FZ

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