Machine Translation of "On Self-Regulatory Organizations In The Field Of Financial Market And On Amendments To Articles 2 And 6 Of The Federal L..." (Russia)

On Self-Regulatory Organizations In The Field Of Financial Market And On Amendments To Articles 2 And 6 Of The Federal Law "on Bringing Changes To Certain Legislative Acts Of The Russian Federation"

Original Language Title: О саморегулируемых организациях в сфере финансового рынка и о внесении изменений в статьи 2 и 6 Федерального закона "О внесении изменений в отдельные законодательные акты Российской Федерации"

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RUSSIAN FEDERATION FEDERAL LAW About self-regulating organizations in the financial market and amending Articles 2 and 6 of the Federal Act " On amendments to the Separate Russian Legislative Acts Adopted by the State Duma on July 3, 2015 Approved by the Federation Council on July 8, 2015 Article 1. The subject of regulation of this Federal Law 1. This Federal Law regulates relations arising from the acquisition and termination by non-profit organizations that combine financial organizations carrying out activities under article 3, paragraph 1, of this article The Federal Law, the Status of Self-regulating Organizations in the Financial Market (hereinafter-the Self-regulating organizations), the exercise of their rights and duties, the interaction of self-regulating organizations and their members with the Central Bank of the Russian Federation THE RUSSIAN FEDERATION (hereinafter referred to as the Bank of Russia) The authorities, the executive authorities of the constituent entities of the Russian Federation and the local authorities. 2. Self-regulation in the financial market is understood to be autonomous and proactive activities carried out by the financial organizations referred to in article 3, paragraph 1, of this Federal Act and whose content is The development of standards for such financial organizations and the monitoring of compliance with the standards. Article 2. The objectives of the activities of self-regulating organizations The objectives of the activities of self-regulating organizations are: 1) the development of the financial market of the Russian Federation, the promotion of conditions for the effective functioning of the financial system of the Russian Federation and ensuring its stability; 2) implementing the economic initiative of members of a self-regulating organization; 3) protecting and representing the interests of its members at the Bank the Federal Government of the Russian Federation OF THE PRESIDENT OF THE RUSSIAN FEDERATION Article 3. Purchasing the status of a self-regulating organization 1. The status of a self-regulating organization may be acquired by a non-profit organization established under the Civil Code of the Russian Federation and Federal Act No. 7 of 12 January 1996 No. 7-FZ on non-profit organizations in the form of an association (union) for the purposes of this A federal law based on membership and unifying Legal entities and individual entrepreneurs carrying out the following activities (hereinafter referred to as financial organizations): 1) brokers; 2) dealers; 3) managers; 4) depositaries; 5) registrars; 6) equity investment funds and management companies of investment funds, mutual funds and non-State pension funds; 7) specialized depositaries; 8) Non-State pension funds; 9) insurance organizations; 10) insurance brokers; 11) mutual insurance societies; 12) microfinance organizations; 13) credit consumer cooperatives; 14) housing savings cooperatives; 15) agricultural credit consumer cooperatives; 16) forex dealers. 2. The status of a self-regulating organization is acquired in respect of one or more activities of financial organizations. 3. For the purposes of this Federal Act, under the guise of a self-regulatory organization, the status of a self-regulating organization is understood as being acquired in respect of the relevant activities of the financial organization. 4. To acquire the status of a self-regulating organization, a non-profit organization must meet the following requirements: (1) a nonprofit organization as a member of at least 26% of the total The number of financial organizations engaged in the activity concerned. At the same time, the total number of financial organizations engaged in the activity is determined on the basis of information posted on the official website of the Bank of Russia in the information and telecommunication network Internet; 2). The existence of the internal standards of the self-regulating organization provided for in article 6 of this Federal Law, developed in accordance with the requirements of this Federal Law; 3) the existence of controls and of the specialized bodies of the self-regulating organization provided for in Articles 20-23, 25 of this Federal Law, and their compliance with the requirements of this Federal Law; 4) the conformity of a person exercising the functions of a single executive body with a non-profit organization (a The head of a self-regulating organization), the requirements set out in article 24 of this Federal Law. 5. The status of a self-regulating organization may be acquired in respect of several activities of financial organizations, subject to the requirements of paragraph 1 of part 4 of this article with respect to the number of non-profit-making, The organization of financial organizations carrying out each activity that is the subject of self-regulation for a self-regulating organization. 6. The non-profit organization acquires the status of a self-regulatory organization from the date of its submission into a single register of self-regulating organizations in the financial market. 7. The decision to provide information on a non-profit organization to a single register of self-regulating organizations in the financial market sphere is taken by the Bank of Russia on the basis of its statement specifying the name of the non-profit organization and the following: documents submitted to the Bank of Russia in the manner prescribed by them, unless otherwise provided by this Federal Law: 1) a copy of the certificate of state registration of the non-profit organization; 2) copy of the constitution non-profit organization; 3) nonprofit list The organization, certified by the Bank of Russia, with the order of: a) the type (s) carried out by each of its members, which is the subject of self-regulation for the self-regulating organization; b) the identification number of the taxpayer and the main public registration number of each of its members-legal persons, the identification number of the taxpayer, the main State registration number and passport data Each of its members are individual entrepreneurs; 4) The internal standards of the self-regulating organization provided for in article 6, paragraph 1, of this Federal Law; 5) copies of the documents proving the establishment of the non-profit organization of the bodies provided for in articles 20-23, 25 of this Federal Act, copies of provisions on such bodies and copies of the documents on their personal composition (for the permanent collegiate body of the department of self-regulating organization and specialized bodies of self-regulating organizations-with indication of the place of work and the positions of members of such (...) (...) (...) the documents confirming compliance with the requirements of the head of a self-regulating organization and the documents on the appointment of the head of a self-regulating organization; 8) Payment of the State fee for particulars of a non-profit organization in a single register of self-regulating financial market organizations in the order and size stipulated by the legislation of the Russian Federation; 9) other documents whose need for The acquisition by a non-profit organization of the status of a self-regulating organization is provided for by the regulatory acts of the Bank of Russia regulating the activity which is the subject of self-regulation for the self-regulating organization. 8. The Bank of Russia conducts verification of compliance with the requirements established by this Federal Law and Bank of Russia regulations and, if necessary, requests documents and/or information confirming compliance with the Bank's non-profit organization. of such claims, at the same time as the deadline for making a decision on making information about a non-profit organization in a single register of self-regulating organizations in the financial market or not to provide information on a non-profit organization to a single registry Self-regulating organizations in the financial market run from the day The Bank of Russia receives all the necessary documents. 9. The Bank of Russia is entitled to establish for a self-regulating organization having the status of a self-regulated organization in respect of one type of activity of financial organizations and wishing to acquire the status of a self-regulating organization for a different type of activity. The activities of financial organizations, the list of documents from the documents provided for in part 7 of this article, the resubmission of which is not required by the Bank of Russia. 10. The Bank of Russia decides to provide information on the non-profit organization in the register of self-regulating organizations in the sphere of financial market or refusal to provide information about the non-profit organization in the single register of self-regulating Financial market organizations within thirty calendar days following the day of submission by non-profit organization of all necessary documents. If necessary, the decision may be extended by the Bank of Russia, but not more than thirty calendar days. The Bank of Russia notifies the non-profit organization of the decision in writing within three working days following the day of the decision. 11. The Bank of Russia's decision to refuse to provide information on a non-profit organization in a single register of self-regulating organizations in the financial market is: 1) nonconformity with the non-profit organization the requirements laid out in paragraph 4 of this article; (2) the submission by a non-profit organization of documents that do not meet the requirements established by this Federal Law and Bank of Russia regulations; 3) contrary to internal standards of self-regulating organization OF THE PRESIDENT OF THE RUSSIAN FEDERATION Self-regulating organization of its functions under this Federal Law; 5) failure to submit a complete set of documents provided for in Part 7 of this Article; 6) a nonprofit submission Organization of documents containing inaccurate and (or) incomplete information; 7) the existence of the circumstances referred to in article 27, paragraph 5, of this Federal Act. 12. The status of a self-regulating organization may be terminated by the Bank of Russia on the basis of and in accordance with the procedure provided for in article 27 of this Federal Law. The decision of the Bank of Russia to terminate the status of a self-regulating organization is an exception to the information on it from the single register of self-regulating organizations in the financial market. 13. A self-regulating organization cannot be a member of another self-regulating organization. Article 4. Self-regulating organization standards 1. The standards of a self-regulating organization are those that establish requirements for members of a self-regulating organization and the relationship between members of a self-regulating organization, between members of a self-regulating organization and their members. between a self-regulating organization and its members, and between a self-regulating organization and its clients. 2. Standards developed, agreed upon and approved in accordance with the requirements of Article 5 of this Federal Law are the basic standards (hereinafter referred to as the basic standards). The basic standards are binding on all financial institutions carrying out the activity in question, regardless of their membership in a self-regulating organization. 3. The standards of self-regulating organization developed and approved in accordance with the requirements of Article 6 of this Federal Law are the internal standards of the self-regulating organization (hereinafter referred to as internal standards). Internal standards are mandatory for members of a self-regulating organization and, if so provided by the internal standards, associated members of a self-regulating organization. 4. The standards of a self-regulating organization must meet the following requirements: 1) do not contradict the legislation of the Russian Federation and the Bank of Russia regulations. Basic standards operate in a part that is not contrary to the legislation of the Russian Federation and Bank of Russia regulations on the date of their application; 2) to be aimed at the development of the financial market of the Russian Federation, creation of conditions for The effective functioning of the financial system of the Russian Federation and its stability; (3) impede actions that cause moral injury or damage to clients of financial organizations and other persons and actions that cause damage to the business reputation of a member of a self-regulating organization or business The reputation of a self-regulating organization; 4) not to allow undue advantage for individual members of a self-regulating organization, including the founders of such self-regulatory organization, including in relation to The selection of members of a permanent collegial body for the management of a self-regulating organization. 5. The provisions of the standards of a self-regulating organization can be appealed in court by clients of financial organizations, financial organizations, self-regulating organizations and other persons. Article 5. Basic standards and the standards committee for the relevant activity of the financial organizations at the Bank of Russia 1. The projects of the following kinds of basic standards should be developed by a self-regulating organization in accordance with the requirements set out in this article and submitted for harmonization to the relevant activity standards committee Financial organizations at the Bank of Russia (hereinafter referred to as the Standards Committee): 1) risk management; 2) corporate governance; 3) internal control; 4) protecting the rights and interests of physical and Legal entities-recipients of financial services provided by members Self-regulating organizations; 5) transactions in the financial market. 2. The Bank of Russia shall establish a list of mandatory standards for the development of certain types of basic standards by the organizations listed in part 1 of this article and the requirements for their maintenance. Basic standards for transactions in the financial market are developed in accordance with the Bank of Russia's list of operations (content of activities) on the financial market, subject to standardization depending on the activity Financial organizations. 3. Self-regulating organizations have the right to submit to the standards committee the basic standards for financial market operations developed on their own initiative, corresponding to the type of self-regulating organization and not the list of operations specified in part 2 of this article. 4. The core functions of the standard committee are: 1) proposing directions for the development of financial organizations; 2) agreeing on basic standards; 3) carrying out project expertise OF THE PRESIDENT OF THE RUSSIAN FEDERATION activities of financial organizations with scientific organizations, Educational organizations and international organizations. 5. At least two thirds of the members of the standards committee should be representatives of self-regulating organizations in the relevant activity of financial organizations. In the case of multiple self-regulating organizations that combine financial organizations with one type of activity, the standards committee should have an equal number of representatives of each self-regulating organization. The standards committee should include representatives of the Bank of Russia, as well as representatives of the federal executive body, which is responsible for the development of state policy and regulatory and legal regulation in the sphere of human rights. budget activities. The Chairman of the Standards Committee shall be elected from among its members and shall be relieved of the post in accordance with the procedure established by the provision on the standards committee. The Regulations on the Standards Committee are approved by the Bank of Russia. 6. The basic standards, once agreed by the standards committee, are sent for approval to the Bank of Russia. Basic standards are not subject to State registration. 7. The procedure for approval by the Central Standards Committee and the Bank of Russia's approval by the Bank of Russia is established by the Bank of Russia, taking into account the following: 1) the Bank of Russia makes a decision on The approval of the basic standard or the refusal of its approval within thirty working days from the date of its receipt by the Standards Committee (if necessary, the decision may be extended by the Bank of Russia, but not more than thirty days) (a) The Conference of the Parties, within three working days from the day of making such a decision, as well as post information on the decision taken on the official website of the Bank of Russia on the Internet Information and Telecommunications Network; 2) the period of time envisaged for The Bank of Russia may suspend the decision on the approval of the basic standard, if necessary, by the committee on standards of changes to the basic standard in accordance with the recommendations of the Bank of Russia; 3) refusal of the Bank of Russia to adopt a basic standard in case of non-conformity of the basic standard The Bank of Russia must be motivated by the requirements of this Federal Law, other federal laws, regulations of the Russian Federation and Bank of Russia regulations. The grounds for refusal of approval of the basic standard are determined by the Bank of Russia. 8. For one type of activity of financial organizations and one type of basic standard, more than one basic standard may not be agreed by a committee on standards from parts 1 and 3 of this article. 9. The Bank of Russia places the approved basic standards on its official website in the information and telecommunications network Internet. The basic standards are applied ten days from the day of their placement on the official website of the Bank of Russia in the information and telecommunications network Internet, unless otherwise stipulated by basic standards. 10. Changes to the basic standards shall be developed by self-regulating organizations, shall be submitted for approval to the Committee on Standards and shall be subject to approval by the Bank of Russia in the manner prescribed by this Federal Law for Development, Harmonization and Approve basic standards. 11. With the liquidation of a self-regulating organization (self-regulating organizations), as well as in the loss of a self-regulatory body (they), in whole or in part, on other grounds, resulting in the absence of self-regulating organizations in the same activity "The Bank of Russia has not made a decision on non-application of certain provisions of the basic standards or the decision on non-application of basic standards," the Central Bank said in a statement. Basic standards. Article 6. Internal standards 1. The regulated organization is obliged to develop and adopt the following internal standards: 1) the procedure for carrying out a self-regulatory inspection of compliance by its members with the requirements of Russian legislation, regulatory requirements and regulations. Bank of Russia acts, basic standards, internal standards and other internal documents of a self-regulating organization; 2) conditions of membership in a self-regulating organization, including the size or procedure of calculation, and the procedure for payment. -Opening fee and membership fees; 3) system of measures the impact and order of their application for non-compliance by members of the self-regulatory organization with the requirements of the basic standards, internal standards and other internal documents of the self-regulating organization; 4) business reputation requirements officials of the self-regulating organization; 5) of the professional ethics of employees of a self-regulating organization. 2. The regulated organization has the right, on its own initiative, to develop and adopt other internal standards necessary for it to realize the goals and objectives of this Federal Law and other federal laws. 3. In addition to the requirements set by the basic standards set forth in article 5 (1) and (3) of this Federal Law, internal standards may establish additional requirements. Requirements established by internal standards cannot be contrary to basic standards. Article 7. Implementation of a self-regulating organization powers transferred to a self-regulating organization by the Bank of Russia 1. The Bank of Russia, on the basis of a written request from a self-regulated organization, has the right to transfer to it the authority to receive from members of the self-regulating organization of reporting, the list of which is set by the Bank of Russia. The Self-Governing Organization is carrying out the processing of personal data contained in the self-regulated reporting organization, in accordance with the requirements established by federal laws. 2. The procedure for the transfer of the self-regulating authority specified in part 1 of this Article, as well as the procedure and grounds for termination of the delegated authority, shall be established by the Bank of Russia, taking into account the requirements of the present organization. Federal law. The Bank of Russia establishes the procedure for the implementation of the powers delegated to them by the organizations. 3. The scope and completeness of the powers referred to in Part 1 of this article shall be determined by the Bank of the Russian Federation following the procedure for the approval of a self-regulating organization with the Bank of Russia of the estimates referred to in paragraph 6 of Part 7. Article 3 of this Federal Act, provided by a self-regulating organization, together with the treatment referred to in Part 1 of this article. Article 8. Membership of a financial organization in a self-regulated organization 1. Membership of a financial organization in a self-regulating organization, the type of which corresponds to the type of activity undertaken by such a financial institution, is mandatory if a self-regulating organization of the type concerned is available. 2. A financial institution may be a member of only one self-regulating organization of a particular type, except in the case of associate membership under this Federal Act. 3. A financial institution operating that corresponds to different types of self-regulating organizations may be a member of several self-regulating organizations of the relevant species or one self-regulating organization with The status of a self-regulating organization with respect to the activities of the financial organization concerned. 4. Unless otherwise established by federal law, the financial institution is required to enter a self-regulatory organization for a period of one hundred eighty days following one of the following events: 1) a non-profit The organization of the self-regulating organization of the type concerned, if not before the specified day of the self-regulating organization of the type concerned; 2) termination of its membership in a self-regulating organization. 5. The Bank of Russia has the right to revoke the license (permission) for the relevant activity or to exclude the financial organization from the register of financial organizations of the relevant type or to apply to the court for liquidation Financial organization in the event of a breach by a financial organization of the requirements set out in this article. 6. The Charter of a self-regulating organization and the terms of membership of a self-regulating organization may be subject to associate membership in a self-regulating organization. Article 9. Associate Membership in Self-Managed Organization 1. Associate members of a self-regulating organization may be financial organizations that are members of another self-regulating organization of the same type, as well as other persons. 2. Associate members shall not be taken into account in determining the number of members necessary to meet the requirements of a self-regulating organization set out in article 3, paragraph 1, paragraph 4, of this Federal Act. 3. The decision to admit an associate member shall be made by a permanent collegial body for the management of a self-regulating organization on the basis of a declaration by a financial organization or other person in the manner determined by the terms of the membership of the organization. self-regulating organization. 4. Associate members are entitled to participate in the general assembly of members of the self-regulating organization with the right of deliberative vote, as well as to participate in the activities of the self-regulating organization of committees, commissions, workers and expert groups. 5. The associated members, if provided for in the statute of a self-regulating organization, are bound by certain internal standards. Associate members are entitled to accept certain internal standards. 6. The regulated organization shall not exercise control over the activities of an associate member in the manner prescribed by this Federal Law and shall apply the measures provided for in article 15 of this Federal Act to an associate member. unless the associate member is subject to specific internal standards. 7. The amount of the introductory contribution and the membership fees of associate members, the procedure for withdrawal or exclusion of associate members from the self-regulating organization, other rights and obligations of associate members shall be determined by the bylaws of self-regulating The organization and/or conditions of membership in a self-regulating organization. Article 10. Admission to the self-regulated organization 1. The Self-Governing Organization sets requirements for financial organizations that are candidates for members of a self-regulating organization, which should be single for all financial organizations undertaking one activity, taking into account peculiarities of certain types of financial organizations and types of financial services rendered, and should not contradict the requirements established by this Federal Law, other federal laws, regulations of the Russian Federation, and Bank of Russia regulations. The requirements for a candidate of a self-regulated organization must include a condition that they comply with the requirements for obtaining a licence (authorization) or to be included in the register of financial organizations that are in the appropriate form Activities under federal law on relevant activities. 2. For admission to a self-regulated organization, a financial institution that has a licence (authorization) or whose information is entered in the register of financial entities carrying out the activity is represented in this report. Self-regulating organization of documents, an exhaustive list of which is determined by the self-regulating organization. 3. For admission to a self-regulating organization, a person who does not have a licence (authorization) or whose information is not entered in the register of financial organizations carrying out the activity in addition to the documents, The Convention on the Rights of the Rights of the Republic of the Republic of the Republic of the Republic of the Republic of the Republic of the Republic of the Republic of the Republic of the Republic of the Republic of the Republic of the shall be determined in accordance with federal laws on the activities concerned. The regulated organization is entitled to request from the authorized federal organ of the executive branch, the State registration of legal persons, the information necessary for the legal person to obtain a licence (authorization) for Implementation of the relevant activities of the financial organization or for the incorporation of the legal entity into the register of financial institutions carrying out the activity in question. 4. Within thirty working days following the day of receipt of the documents referred to in Part 2 of this Article, the self-regulating organization shall decide whether to admit a financial organization to a member of a self-regulating organization or to refuse admission to the organization. Members of a self-regulating organization with reasons for refusal. The Self-Governing Organization shall notify in writing the financial organization that has submitted such documents of the decision taken during the three working days following the date of the decision. 5. Within thirty working days following the day of receipt of the documents referred to in paragraph 3 of this article, the self-regulating organization shall decide on the admission of the person who submitted such documents to the members of the self-regulating organization. and forwards the documents to the Bank of Russia with a request for the granting of the license to that person (permission) or to make information about it in the register of financial organizations carrying out the activity in question, or to refuse to receive candidates for membership. a self-regulating organization with reasons for refusal. The designated organization shall notify in writing the person submitting the documents referred to in part 3 of this article of the decision taken during the three working days following the date of the decision. 6. The grounds for refusal to admit a financial organization to a self-regulating organization or a person referred to in part 3 of this article in the candidate of a self-regulated organization are: 1) a non-conformity of the financial organization or the person referred to in part 3 of this article, the membership requirements of the self-regulating organization; 2) by the financial organization or by the person referred to in part 3 of this article, documents not in conformity with the requirements set out in this article or documents not in full; 3) by the financial organization or by the person referred to in part 3 of this article, documents containing false information. 7. Refusal to admit a financial organization to a member of a self-regulating organization or a person referred to in part 3 of this article shall not be permitted in the candidate members of a self-regulating organization for reasons not specified in part 6 of this article. 8. A member of a self-regulating organization from the day of receipt of a licence (authorization) or an entry into the register of financial organizations carrying out the activity concerned shall be considered as a member of the self-regulating organization. 9. The organization's Self-Regulated Organization accepts from the founders of the financial organization the documents necessary to provide information on the establishment of a financial organization into a single public register of legal entities, and within thirty working days following The Bank of Russia has requested the Bank of Russia to make a decision on the state registration of the financial institution. 10. When receiving a candidate financial organization member of a self-regulating organization, a self-regulating organization is entitled to request from a self-regulating organization of which the financial organization, documents and (or) information has previously been a member, relating to the activities of the financial organization, including acts of verification of its activities. The Self-Governing Organization, which has been requested to provide documents and/or information relating to the activities of a financial institution, is required to submit the relevant documents and/or information, composition and order of submission. The Bank of Russia is established by the regulatory act of the Bank of Russia within thirty days from the date of receipt of the request. Article 11. Discontinuation of the self-regulating organization 1. The financial organization's membership in a self-regulating organization shall be discontinued in the case of: 1) the voluntary withdrawal of a financial organization from a self-regulated organization; 2) the exclusion of a financial organization from members Self-regulated organization by decision of a self-regulating organization; 3) to revoke the license (s) of the financial organization or to exclude it from the register of financial entities carrying out the activity in question; (4) Reorganization of the financial organization, except in the case of Reorganization in the form of conversion, accession or allocation; 5) liquidation of the financial organization; 6) the termination of the self-regulated organization; 7) in other cases provided for by the federal Laws. 2. The financial organization's membership in a self-regulating organization shall be terminated as follows: 1), with the voluntary withdrawal of a financial organization from a self-regulating organization, within the time limits established by the charter of the self-regulating organization; 2), with the exception of a financial organization from members of a self-regulatory organization decided by a self-regulatory organization, from the day following the day the decision was taken by a permanent collegial body of government self-regulated organization; 3) when revoking a license (Permit) of the financial organization or the exclusion of information about it from the register of financial organizations carrying out the activity concerned, from the day following the day the Bank of Russia took such a decision; 4) in reorganization Financial organization, except in the form of transformation, accession or selection, from the day of completion of reorganization under federal law; 5) in liquidation of the financial institution-from the day The liquidation of a financial institution in accordance with federal laws; 6), when the status of a self-regulating organization is ceased, starting from the day of termination of the self-regulating organization. 3. Financial organizations that were members of a restructured, merged or attached organization become members of a self-regulatory organization that has been reorganized since the day of completion Reorganization in accordance with federal laws. 4. A self-regulating organization may decide to exclude a financial organization from members of a self-regulating organization in the case of: 1) non-compliance by a member of the self-regulating organization of requirements of basic standards, internal standards and other internal documents of the self-regulating organization; 2) of the repeated failure of the financial organization to pay for one year of membership fees; 3) to identify false information in documents submitted by financial organization for admission to membership in the self-regulating organization. 5. The Self-regulating organization within three working days following the day of termination of the financial organization in a self-regulating organization shall post information on it on its official website in the information and telecommunications network "Internet", makes the relevant information in the register of members of the self-regulating organization and also informs about it in the form set by the Bank of Russia: 1) a financial institution whose membership in a self-regulated organization is terminated; 2) Bank of Russia; 3) other self-regulating Organizations of financial organizations that carry out the same activity, except for the voluntary withdrawal of a financial organization from members of a self-regulating organization. 6. An opening fee and membership dues paid by the financial organization in connection with its membership in a self-regulating organization shall not be returned to the financial organization if its membership in a self-regulating organization has ceased to be terminated, except in the case of self-regulating organization. Cases set by internal documents of the self-regulating organization. 7. Decision of self-regulating organization to refuse admission to membership, to candidates for members of a self-regulating organization or to exclude a financial organization from members of a self-regulating organization, as well as action (inaction) of self-regulating An organization violating the rights and lawful interests of a member of a self-regulating organization may be appealed in the courts. Article 12. Maintain a register of members of a self-regulating organization 1. A self-regulating organization is required to maintain a register of members of a self-regulating organization from the date of acquisition of the status of a self-regulating organization. 2. Self-regulating organization for three working days following the day of the decision to admit a financial organization to the members of a self-regulating organization or the day the candidate member of a self-regulating organization is admitted to membership A self-regulating organization, in accordance with article 10, paragraph 8, of this Federal Act, shall make this information available on its official website in the information and telecommunications network "Internet", making the relevant information available in the register of members A self-regulating organization sends such information to the Bank of Russia. 3. A self-regulating organization is not entitled to charge a fee for the particulars of the financial organization to the register of members of the self-regulating organization, as well as to make any claims that have resulted in information about the financial organization that has become a member of the organization. a member of a self-regulating organization, in the register of members of a self-regulating organization. 4. The financial organization is obliged to notify in writing the self-regulating organization of which it is a member, to modify the particulars of the financial organization contained in the register of members of the self-regulating organization for a period of ten years. working days from the day following the day the changes occurred. 5. The procedure for maintaining the register of members of a self-regulating organization is established by the Bank of Russia regulation. Article 13. Discovering and protecting the information of the self-regulating organization 1. The Self-regulating organization is in compliance with the requirements of federal information protection laws (including personal data) on its official website in the Internet Information and Telecommunications Network: 1) Charter of self-regulating organization; 2) internal standards; 3) a register of members of a self-regulating organization; 4) a list of persons who have been excluded from the organization for the last three years self-regulated organization; 5) documents adopted the general meeting of the members of a self-regulating organization and a permanent collegial body of the self-regulating organization; 6) information on the size or order of calculation, as well as the procedure for the payment of the entrance fee, and (c) Membership dues; 7) information on officials of the self-regulating organization, structure and competence of the governing bodies and specialized bodies of a self-regulating organization, including the composition of a permanent body of a regulatory body of a self-regulating organization; 8) Annual accounting (financial) accounting of the self-regulating entity and its audit results over the last three years; 9) information on the dates and results of the self-regulated audit organization of members ' activities Self-regulating organization taking into account the requirements of the Federal Law of July 27, 2010 N 224FZ " On counteracting improper use information and market manipulations and changes in the Selected legislative acts of the Russian Federation "; 10) information on the measures imposed by article 15 of this Federal Law applied to members of a self-regulating organization; 11) information on the progress and The results of the examination of the draft federal laws, other regulatory legal acts of the Russian Federation and normative acts of the Bank of Russia, laws and other normative legal acts of the constituent entities of the Russian Federation, municipal legal acts, The organization of which the self-regulating organization participated; The address and telephone number of the self-regulating organization; 13) other information provided by federal laws, Bank of Russia regulations and internal information standards. 2. The documents and information referred to in part 1 of this article shall be placed within fourteen working days of the day following the approval of the relevant documents or the date on which the relevant information has emerged or changed. 3. The Self-Governing Organization is required to ensure the confidentiality of the financial organizations that are members of a self-regulating organization, financial organizations that have submitted documents for admission to membership, Candidates for members of a self-regulating organization, including their clients. 4. A protected organization shall be subject to protection measures in the acquisition, use, processing and storage of information, the misuse of which by workers of a self-regulating organization may cause moral harm and (or) property damage to persons referred to in part 3 of this article or to create the conditions for causing such harm and (or) damage. Article 14. The control of the self-regulating activity of its members 1. The regulated organization monitors the compliance of members of the self-regulatory organization with the requirements of the federal laws regulating activities in the financial market, regulatory legal acts of the Russian Federation and regulations Bank of Russia, basic standards, internal standards and other internal documents of a self-regulating organization, including through planned and unscheduled inspections. 2. Routine inspection shall be carried out at least once every five years and not more than once a year. The frequency of routine reviews of the activities of members of a self-regulating organization shall be determined by the self-regulating organization, including the system and/or social significance of the organization. 3. The basis for the self-regulated organization of an unscheduled inspection is the request of the Bank of Russia Financial Supervisory Committee to conduct an inspection of a member of a self-regulating organization, aimed at a self-regulating organization. A member of a self-regulating organization of basic standards, internal standards and other internal documents of a self-regulating organization or other grounds specified by the internal standards of a self-regulating organization. 4. A member of a self-regulating organization, upon request of a self-regulating organization, is required to provide all the information necessary for a self-regulating organization to verify, with the exception of information that constitutes a State or a tax secret. The order of the self-regulating organization of the request and the manner in which a member of the self-regulating organization of information is provided is determined by the self-regulating organization. 5. If a self-regulating organization is identified by a member of a self-regulating organization, the verification materials are submitted to a self-regulating body for the application of measures against members of the self-regulating body. The Bank of Russia has instructed the Bank of Russia to conduct an unscheduled inspection on the request of the Bank of Russia. 6. The materials of the unscheduled inspection carried out on behalf of the Financial Supervisory Committee of the Bank of Russia are transmitted by the self-regulating organization to the Bank of Russia no later than five working days following the day of completion of the inspection. 7. The Self-regulating Organization as well as the head of a self-regulating organization and other employees and officials of a self-regulating organization, including those taking part in the verification, shall be responsible for the disclosure and OF THE PRESIDENT OF THE RUSSIAN FEDERATION Article 15. Measures applicable to members of the Self-regulating organization Self-regulating organization is entitled to apply the following measures to its members for failure to comply with basic standards, internal standards and other Internal documents of self-regulating organization: 1) requiring a member of a self-regulating organization of identified violations to be eliminated within a specified time frame; (2) making a self-regulatory member in writing; 3) overlay a fine for a member of a self-regulating organization in the amount determined by the internal documents of a self-regulating organization; 4) exclusion from the self-regulating organization; 5) other measures imposed by the internal The documents of the self-regulating organization are not contrary to the legislation of the Russian Federation and the Bank of Russia regulations. Article 16. The order of application of the measures against members of the self-regulating organization 1. The body of a self-regulating organization for the application of measures against members of a self-regulating organization shall consider cases of violations by members of the self-regulating organization of basic standards, internal standards and other internal documents of a self-regulating organization. 2. The procedure for the consideration of cases concerning members of a self-regulating organization of measures provided for in article 15 of this Federal Act and measures to be applied shall be determined in accordance with this Federal Act and regulations. The Bank of Russia and the internal documents of the self-regulating organization. 3. The body of a self-regulating organization for the application of measures against members of a self-regulating organization shall be obliged to invite members of a self-regulating organization for which the application of measures is being considered. as provided for in article 15 of this Federal Act. 4. The body of a self-regulating organization for the application of measures against members of a self-regulating organization may decide to recommend to the permanent collegial body of the regulatory body of a self-regulating organization to delete Financial organization from members of a self-regulating organization. The permanent collegiate body of the management of a self-regulating organization decides whether or not to be satisfied with the recommendation. 5. Decisions to apply the measures set out in article 15, paragraphs 1 to 3, of this Federal Act shall be taken by a majority vote of the members of the body of the self-regulating organization for the application of measures against members of a self-regulating body. Adoption of the agenda and organization of the work of the session A decision on the application of the measure provided for in article 15, paragraph 4, of this Federal Act may be taken by at least 75 per cent of the votes of the members of the body of the self-regulating organization in the application of measures against members self-regulating organization. 6. Self-regulating organization for two working days from the date of adoption by the body of a self-regulating organization to apply measures against members of a self-regulating organization The organization of the measures provided for in article 15 of this Federal Act shall send a copy of such a decision to a member of a self-regulating organization. Article 17. Consideration of a self-regulating organization accesses 1. The Self-regulating Organization reviews the appeals of individuals and legal entities, including appeals against its members. The treatment received in a self-regulating organization shall be subject to review within thirty days following the date of receipt. In exceptional cases and in the event of the need to obtain the additional documents and materials necessary for the consideration of the application, the time limit for the consideration of the appeal may be extended by not more than thirty days with the notification of the applicant for an extension of the period of consideration of the appeal. 2. In case of detection of violation by a member of a self-regulating organization requirements of basic standards, internal standards, conditions of membership in a self-regulating organization, other internal documents of self-regulating body The organization of a self-regulating organization shall apply to such a member measures in accordance with articles 15 and 16 of this Federal Law. 3. The procedure for the consideration of communications referred to in part 1 of this article shall be determined in accordance with the legislation of the Russian Federation and the internal documents of the self-regulating organization. 4. The regulated organization is in order and deadlines set by the Bank of Russia provides the Bank of Russia with information about the received appeals and the responses to the appeals. 5. The decision taken on the basis of the consideration of the appeal shall be communicated to the applicant within three working days of the date of the adoption of the decision by the self-regulating organization. Article 18. Sources of forming the property of the self-regulating organization 1. Self-regulating organization's property sources are: 1) opening contributions and membership fees of the self-regulating organization; 2) voluntary property contributions and donations; 3) Funds received from the provision of information or information material on the financial market on a fee-paying basis; 4) cash receipts; 5) Other OF THE PRESIDENT OF THE RUSSIAN FEDERATION 2. The size of the entrance fee of a member of a self-regulating organization may not exceed 100 thousand rubles. The Bank of Russia has the right to reduce the ceiling for the admission fee of a member of a self-regulating organization, including a single type of self-regulating organization. 3. The annual accounting (financial) reporting of a self-regulating organization is subject to mandatory audit. Annual report, annual accounting (financial) reporting of a self-regulating organization together with an audit opinion thereon within thirty days of their approval by the general meeting of members of the self-regulating organization shall be published The official website of a self-regulating organization in the Internet Information and Telecommunications Network, unless otherwise provided by federal law. Article 19. Constraints on the rights of self-regulating organization, its officials and other employees 1. A regulated entity has the right to engage in income-generating activities if it is provided for in its statute only insofar as it serves the purposes for which it is established and if it is in conformity with such purposes. 2. The Self-regulating organization shall not be entitled to establish financial institutions and become a member of financial organizations. 3. A self-regulating organization is not entitled to perform the following actions and make the following transactions: (1) provide property belonging to it in order to enforce other persons ' obligations; 2) issue surety for other persons, with the exception of its employees; 3), acquire shares, bonds and other securities issued by its members, unless such securities are made in an organized auction; 4) To ensure the performance of their obligations as collateral for the property of its members issued by their guarantees and guarantees. 4. A person performing the functions of the head of a self-regulating organization cannot: 1) acquire securities with issuers or debtors of which are members of a self-regulating organization, their subsidiaries; (2) To enter into a self-regulating organization, its subsidiaries, loan agreements, sponsorship agreements; 3) to establish financial organizations, to be a member of such financial organizations. 5. A person performing the functions of the head of a self-regulating organization may not be a member of the governing bodies of a self-regulating organization, their subsidiaries, or an employee of the said organizations. 6. The Charter of a self-regulating organization or other internal documents of a self-regulating organization must contain measures to prevent and resolve conflicts of interest, which may include assignment to a self-regulating organization or its employees, who are subject to additional restrictions aimed at the elimination of the circumstances causing a conflict of interest to a self-regulating organization or its employees, the threat of improper use by workers of self-regulated to the organization of the official position Information. Article 20. Self-regulating organization 1. The authorities of a self-regulating organization are: 1) a general meeting of members of a self-regulating organization; 2) a permanent collegiate body of a self-regulating organization; 3) The executive body of a self-regulating organization, if such a body is established by the charter of the self-regulating organization; 4) the head of a self-regulating organization (sole executive body of self-regulating body) organizations). 2. The formation of the governing bodies of a self-regulating organization shall be determined in accordance with this Federal Law, the Charter of the self-regulating organization and other internal documents of the self-regulating organization on the principles of equality The rights of members of a self-regulating organization to be represented in the elections to the governing bodies of a self-regulating organization and participation in the management of a self-regulating organization. 3. Representatives of the Bank of Russia may not be part of the management bodies of a self-regulating organization. Article 21. General meeting of members of a self-regulating organization 1. The general assembly of members of a self-regulating organization is the highest authority of a self-regulating organization competent to consider the activities of a self-regulating organization assigned to it by this Federal Act, by other federal laws and the charter of the self-regulating organization. 2. The general assembly of members of a self-regulating organization is convened in the order and frequency set by the Charter of the self-regulating organization, but not less than once a year. 3. The general meeting of the members of the self-regulating organization includes the following issues: 1) approval of the Statute of a self-regulating organization, modification of the organization; (2) election of permanent members a collegiate authority for the management of a self-regulating organization, the early termination of the authority of a designated body or the early termination of the powers of its individual members; (3) appointment of the person performing the functions the head of the self-regulating organization, the early release of such person from posts; (4) defining the priorities of the self-regulating organization, the principles for the formation and use of its property; 5) deciding on the voluntary cessation of activities in the the status of the self-regulating organization; 6) to decide on the voluntary liquidation of a self-regulating organization, the appointment of a liquidator or the liquidation commission; 7) approval in the order and at intervals which are established by the charter of the self-regulating organization, the reports are constantly A functioning collegiate body of management of a self-regulating organization and an executive body of a self-regulating organization about the results of the self-regulatory organization in accordance with their competence; 8) approval of estimates a self-regulating organization, amendment, approval of the annual report and annual accounting (financial) reporting of a self-regulating organization, unless the relevant authority is defined by the Charter of the Self-Regulated Organization The competence of its permanent collegial body; 9) establish the size or order of calculation, as well as the procedure for payment of the entrance fee and membership dues; 10) to decide on participation and to terminate the participation of a self-regulating organization in non-profit organizations; 11) approval of measures applied against members of a self-regulated organization; 12) to decide on the reorganization of a self-regulated organization; 13) the definition of an audit organization for annual review Accountancy (Financial) Statements of a Self-Regulated Organization; 14) The definition of issues that can be considered by means of an absentee ballot; 15) adopting other decisions which, in accordance with this Federal Law, other federal laws and regulations A self-regulating organization is assigned to the general meeting of members of a self-regulating organization. 4. The issues referred to in paragraphs 3, 9 to 11, 13, 14, paragraph 3, of this article may be defined by the statute of a self-regulating organization to the competence of a permanent collegial body of governance of a self-regulating organization. 5. The general meeting of members of a self-regulating organization is entitled to take decisions that fall within its competence if it is attended by more than half of the members of the self-regulating organization. 6. The decisions of the general assembly of members of a self-regulating organization shall be taken by a majority vote of the members of the self-regulating organization present at the general meeting or, by means of distance voting by a majority, votes of the total number of votes of a self-regulating organization. 7. Decisions on the matters referred to in paragraphs 1, 4 to 6 of part 3 of this article shall be made at the general meeting of members of a self-regulating organization by a two-thirds majority of the members of a self-regulating organization. 8. The Charter of a self-regulating organization may contain other issues that are decided by a general assembly of members of a self-regulating organization by a qualified majority, and the need for a decision by a large number The Constitution of the United States of the Russian Federation Article 22. A permanent collegiate body of the Self-regulating Organization 1. A permanent collegiate body of management of a self-regulating organization shall be formed from among representatives of members of a self-regulating organization as well as independent members. 2. Independent members are considered to be persons who are not bound by an employment relationship with a self-regulating organization or its members. Independent members must be at least one fifth of the members of a permanent collegial body for the management of a self-regulating organization. 3. Each member of a permanent collegial authority of a self-regulating organization shall have one vote. 4. Qualitative composition of a permanent collegiate body of a self-regulating organization, which cannot be less than seven people, the order and conditions for the establishment of a permanent collegiate body of control of a self-regulating body The organization and its activities, the procedure for the adoption by this body of decisions shall be established by the statute of the self-regulating organization. 5. The term of office of the head (s) of a permanent collegial body for the management of a self-regulating organization and members of a permanent collegial authority of a self-regulating organization shall be established by statute a self-regulating organization, but may not exceed five years. 6. The competence of a permanent collegiate body of management of a self-regulating organization includes: 1) decision-making on the development of draft basic standards, on the design and approval of internal standards standards, on the development of procedures and grounds for applying internal standards, amending them; (2) establishment of specialized bodies of a self-regulating organization, approval of provisions on them, including rules for their implementation activities; 3) to present to the general meeting of the members Self-regulating organization of candidate or candidates for the approval of the executive body of a self-regulating organization; 4) making a decision to admit a person to a self-regulating organization or to be excluded from membership A self-regulating organization based on the grounds provided for by this Federal Law; 5. 7. A representative of the Bank of Russia may not be part of a permanent collegial body in the management of a self-regulating organization. Article 23. The executive body of a self-regulating organization The executive body of a self-regulating organization shall be responsible for the economic and other activities of a self-regulating organization not falling within the competence of the General Assembly. Meeting of members of a self-regulating organization and a permanent collegial body of management of a self-regulating organization and provided for in the charter of a self-regulating organization. Article 24. Requirements for the head of a self-regulating organization 1. The head of a self-regulating organization shall be a person exercising the functions of a single executive body of a self-regulating organization. 2. The candidate for the position of head of a self-regulating organization must meet the following qualification requirements: 1) have higher economic, legal, technical or mathematical education; 2) The existence of higher economic or legal education shall have the experience of management of a financial institution, a self-regulating organization, a different professional association in the financial market or a division (other equivalent unit) in the said organizations or management experience (other similar organizations) The Office of the President of the Republic of Kazakhstan is responsible for the administration of the State policy, regulation or supervision (supervision) of the relevant activity in the federal executive branch of the Central Bank of Russia. of a State organization or a public corporation, not less than three years; 3), with the presence of higher technical or mathematical education, to have the experience of management of a financial organization, a self-regulating organization, other a professional association in the financial market or department (other similar (unit) in designated organizations or experience of management (other similar unit) in charge of public policy, regulatory or supervisory functions (oversight) A corresponding activity in the federal executive branch, the Bank of Russia, in the state organization or in the state corporation, at least five years. 3. The candidate for the position of head of a self-regulating organization must meet the following business reputation requirements: 1) the absence of uncollected or unexpuned criminal records for economic crime; (2) The absence of the commission of an administrative offence in the field of finance, taxes and duties, insurance, securities market for one year prior to the Bank of Russia's application to the Bank of Russia for the application referred to in paragraph 1 of Part 4 of this Article. of the legal order of the body which has entered into force, " (3) The absence of an application referred to in paragraph 1 of part 4 of this article for the duration of the two years preceding the submission of the application to the Bank of Russia for the acts of avoidance with the said A person of employment contract (contract) at the initiative of the administration on the grounds stipulated in paragraphs 5-7-1, 9-11 of the first part of article 81 of the Russian Federation; 4) other requirements Business reputation, established by Bank of Russia regulations and internal standards. 4. The procedure for the agreement of the head of a self-regulated organization to meet the requirements laid down in Parts 2 and 3 of this Article shall be established by the Bank of Russia in accordance with the following general requirements: 1) self-regulating In writing, the organization sends a request to the Bank of Russia to agree a candidate for the position of head of a self-regulating organization; 2) a self-regulating organization shall apply to the one referred to in paragraph 1 of this Part Application of the document confirming the eligibility of the candidate for office " The Bank of Russia shall, within thirty working days of the receipt of the application referred to in paragraph 1 of this Part, decide whether or not to agree or disagree with the supposed By appointment; 4) the Bank of Russia in writing shall notify the self-regulating organization of the decision taken and, in case of a negative decision, motivates it. 5. The Bank of Russia has the right to request the replacement of the head of a self-regulating organization upon the appointment of the head of a self-regulating organization leading to a failure to meet the requirements set out in Parts 2 and 3 of this Regulation. articles. 6. The head of a self-regulating organization does not have the right to hold the position of head in other self-regulating organizations at the same time. Article 25. Specialized authorities of the self-regulating organization 1. The specialized bodies of the self-regulating organization which are compulsially established by a permanent collegial body for the management of a self-regulating organization are: 1) the body exercising control over the Compliance by members of a self-regulatory organization with the requirements of this Federal Act, other federal laws, regulatory legal acts of the Russian Federation, Bank of Russia regulations, basic standards, internal standards and other regulations. internal documents of a self-regulating organization, membership conditions of A self-regulating organization; 2) a self-regulatory body to review the application of measures against members of a self-regulating organization. 2. The members of the specialized body of the self-regulating organization referred to in paragraph 1 of part 1 of this article may not be officials or other employees of a member of a self-regulating organization. 3. In addition to those specified in Part 1 of this article, the specialized bodies of a self-regulating organization may be established on a temporary or temporary basis by the decisions of a permanent collegial authority of a self-regulating organization. The permanent basis of other specialized bodies of the self-regulating organization. 4. Each self-regulatory body established by a permanent collegiate body of a self-regulating body shall act on the basis of a provision approved by a permanent collegial body The management of a self-regulating organization. Article 26. Maintenance of a single register of self-regulatory financial market organizations 1. A single register of self-regulating organizations in the financial market is maintained by the Bank of Russia. 2. The maintenance and composition of the single register of self-regulating organizations in the financial market is determined by the Bank of Russia. 3. In a single register of self-regulating organizations in the financial market, each self-regulating organization shall be provided with the following information: 1) the name, address (location) and number of the self-regulated contact telephone number organizations; 2) information about the official website of the self-regulating organization in the Internet Information and Telecommunications Network; 3) information about the members of the self-regulating organization; 4) other information provided by the organization Bank of Russia regulations. 4. The information contained in the single register of self-regulating organizations in the financial market is to be placed on the official website of the Bank of Russia in the information and telecommunications network Internet. 5. Non-commercial organizations that are not incorporated into a single register of self-regulatory organizations in the financial market are not entitled to use in their name, or in the conduct of their own The activities of the expression "self-regulating", "self-regulation" and (or) otherwise indicate the existence of the right to exercise self-regulation in the financial market. Article 27. Termination of the status of a self-regulating organization 1. The decision to terminate the status of a self-regulating organization is taken by the Bank of Russia: 1) on the basis of a declaration of the self-regulating organization ending the self-regulated organization; 2) in case of liquidation A self-regulating organization; 3) in the cases provided for in Part 2 of this Article. 2. The Bank of Russia may decide to terminate the status of a self-regulating organization in the case of: 1) the non-conformity of the self-regulating organization for at least one year with the requirement set out in paragraph 1 of Article 3, paragraph 1, of the Federal Law; 2) repeated non-compliance by a self-regulating organization within one year of the requirements of this Federal Law and regulations adopted by the Bank of Russia, the basic standards, and internal regulations. standards; 3) of repeated failure to perform and (or) Failure to observe the deadlines for the fulfillment of the self-regulatory organization provided for by this Federal Law in order to fulfill the requirements and requests of the Bank of Russia; 4) repeatedly during the year of violation of self-regulating The organization of the deadline and the procedure for reporting to the Bank of Russia; 5) a gross violation of the requirements of the legislation of the Russian Federation by a self-regulating organization in carrying out the inspection of a member of a self-regulating organization; 6) a self-regulating organization view "Unreliable information, as well as failure to submit information to the Bank of Russia; 7) intentionally concealing a self-regulated organization of the violation of the legislation of the Russian Federation by its member, resulting in the withdrawal of the license (permission) from such an organization," the bank said. a member or an exception to the records of the member from the register of financial institutions carrying out the activity in question or to send a statement to the court for its liquidation. 3. Failure to comply with the regulatory requirements for the development of basic standards provided for in article 5 of this Federal Act does not constitute a basis for the decision of the Bank of Russia to terminate the status of self-regulating organization. In this case, the Bank of Russia may apply the measures stipulated in article 28, paragraph 4, of this Federal Law. 4. The non-profit organization loses the status of a self-regulatory organization from the date of its exclusion from the single register of self-regulating organizations in the financial market. 5. Within one year of the decision of the Bank of Russia to terminate the status of a self-regulating organization on the grounds provided for in Part 2 of this Article, such a non-profit organization may not qualify for a status self-regulating organization. 6. Articles 7, 14, 15 and 17 of this Federal Law have the power of a self-regulating organization whose status is terminated for financial organizations that were its members, to a different self-regulating organization. If the organization has such authority, from the day the financial organization enters into such a self-regulating organization and, in the absence of an existing self-regulating organization of the type or absence of the organization concerned, under the relevant authority of the self-regulating organization in question- To the Bank of Russia until the day of assigning the status of a self-regulating organization of this type to another non-profit organization, giving it the appropriate authority and entering into such self-regulating organization of the financial organization. 7. The regulated organization, whose status has been terminated, is obliged to transmit all materials (information and documents) formed during its activities, as well as concerning the activities of its members, the Bank of Russia. The procedure for the transfer of the materials referred to in this part shall be established by the Bank of Russia. 8. For failure to perform the obligation to transfer the materials specified in Part 7 of this article, the head of a self-regulating organization whose status is terminated shall be liable under the law of the Russian Federation. 9. The elimination of the self-regulating organization shall be carried out in accordance with the legislation of the Russian Federation on non-profit organizations, taking into account the features of this Federal Act. In the event of the liquidation of a self-regulatory organization, the balance remaining after satisfying the creditors ' claims is subject to distribution according to the procedure provided for in the charter of the self-regulating organization. Article 28. Procedures for the implementation by the Bank of Russia of supervision of the activities of self-regulating organizations 1. Supervision over the activities of self-regulating organizations is carried out by the Bank of Russia in the manner prescribed by them. 2. The subject of supervision of the activities of a self-regulated organization is the observance of this self-regulatory organization of the requirements established by this Federal Law, other federal laws, and normative legal acts of the Russian Federation. The Federation, the Bank of Russia regulations, the basic standards, the internal standards, and the checks carried out by the self-regulating organization in respect of its members. 3. In case of detection during the Bank of Russia supervision of violation of the requirements established by this Federal Law, other federal laws, regulatory legal acts of the Russian Federation, and regulations of the Bank Russia, the basic standards and the internal standards, the Bank of Russia is directing to this self-regulatory organization a prescription for its elimination with an indication of the period of execution of the order. 4. In case of default of the Bank of Russia's compliance with the Bank of Russia's failure to eliminate the violations found in the activity of a self-regulating organization, the Bank of Russia has the right: 1) to impose a fine in the amount and order that established by the Code of Administrative Offences of the Russian Federation; 2) to submit a claim to a self-regulating organization Replacethe head of a self-regulating organization; 3) To suspend the fulfillment of all or part of the functions of a self-regulating organization, including the suspension of all or part of the powers transferred to it by the Bank of Russia. or a number of activities that are the subject of self-regulation for a self-regulating organization. 5. The regulated organization is obliged to submit to the Bank of Russia, upon request, the information and documents necessary for the exercise of its oversight functions. 6. In the event that a self-regulating organization acquired the status of a self-regulatory organization for several activities of financial organizations, internal standards should include provisions to prevent, identify conflict of interest and management. 7. Members of the self-regulating organization have the right to complain to the Bank of Russia about the actions (inaction) of a self-regulating organization. The complaint against the action (inaction) of a self-regulating organization received by the Bank of Russia is to be considered within thirty days from the date of its receipt. If necessary, the term of consideration of the complaint may be extended by the Bank of Russia, but not for more than thirty days. The decision taken on the outcome of the complaint is sent to a member of a self-regulating organization that has sent it. In the event of an examination of a complaint against an action (inaction) of a self-regulating organization violating the requirements established by this Federal Law, other federal laws and normative legal acts of the Russian Federation Federation, Bank of Russia regulations, basic standards, internal standards, other internal documents of a self-regulating organization, as well as violations of the procedure of checks carried out by the self-regulating organization in the " The Bank of Russia has the right to use such a [ [ relationship]] with [ [ Russia]] The self-regulating organization of the effect measures provided for in Part 4 of this Article. 8. A candidate member of a self-regulating organization has the right to complain to the Bank of Russia about the actions (inaction) of a self-regulating organization associated with its admission to membership of a self-regulating organization, which is considered by the Bank of Russia in The procedure provided for in Part 7 of this Article. 9. The Self-regulating organization reports to the Bank of Russia. The Bank of Russia sets out the content of the accounts, the form, order and deadlines. Article 29. Information interaction of a self-regulating organization and Bank of Russia 1. The Self-regulating organization sends a reasoned opinion to the Bank of Russia on whether a member of a self-regulating license organization (permission) should be revoked or excluded from the register of financial organizations; the relevant activity or the application to the court of its liquidation, which is taken into account when considering this issue by the Bank of Russia. Order, form and timing of a notification to a self-regulating organization of the existence of one of the above procedures with regard to its member, the composition of the documents annexed to it, the time frame for the preparation of the reasoned opinion of the self-regulating organization is established by the Bank of Russia regulation. 2. The company is sending a schedule of routine checks of its members to the Bank of Russia until February 1. 3. In case the Bank of Russia is identified in the activity of a member of a self-regulating organization violating the requirements of this Federal Law, other federal laws, regulatory legal acts of the Russian Federation, Bank of Russia regulations in the framework of The Bank of Russia is reporting violations to a self-regulated organization if it is submitted to a self-regulating organization of powers, as well as in case of violation of the basic standards. 4. Self-regulating organization in the order established by the Bank of Russia informs the Bank of Russia of the detected violations by a member of a self-regulating organization of the requirements of this Federal Law, other federal laws, and regulatory legal acts. The Russian Federation, the regulatory acts of the Bank of Russia, the basic standards, the internal standards regulating the activity of the financial organization of this species, and at the same time submit a reasoned opinion on the detected breach to the Bank of Russia. 5. The regulated organization has the right to apply to the Bank of Russia with a proposal to apply to members of the self-regulated organization for violation of the requirements of this Federal Law, other federal laws and normative legal acts of the Russian Federation. OF THE PRESIDENT OF THE RUSSIAN FEDERATION 6. Representatives of the Bank of Russia may attend meetings (meetings) of the governing bodies and specialized bodies of a self-regulating organization, as well as other events held by it. 7. Within seven working days following the day of the corresponding decision, the self-regulating organization is obliged to submit to the Bank of Russia information: 1) about the change of address (s) of a self-regulating organization, including: Postal address, e-mail addresses, contact phone numbers, an official website of the self-regulating organization in the Internet Information and Telecommunications Network; 2) on changes in the Charter of self-regulation organizations, documents approved (adopted) The organization and regulatory activities of its organs referred to in article 25 of this Federal Act. 8. The regulations, forms and deadlines for the submission of documents and information self-regulating by the organization to the Bank of Russia and its composition shall be established by regulatory acts of the Bank of Russia. Article 30. Participation of self-regulating organizations in norm-setting 1. The Bank of Russia and self-regulating organizations may set up joint working groups, other associations for joint preparation of draft regulatory acts of the Bank of Russia. 2. In the preparation of the Bank of Russia regulations on regulation of the financial market, concerning the activities of a self-regulating organization and its members, including the establishment of article 5, paragraph 2, of this Federal Act The list of transactions (content of activities) in the financial market to be standardized depending on the activity of financial organizations, the Bank of Russia is obliged by the initiative of a self-regulating organization to carry out such projects. of the Working Groups and other Associations referred to in Part 1 of this article. 3. The Bank of Russia's responsibility for issuing draft regulations for the consideration of self-regulating organizations, working groups and other associations referred to in Part 1 of this article may be implemented, including by placing it on an official basis. The website of the Bank of Russia in the information and telecommunications network "Internet" of such normative acts. Article 31. Representation of self-regulating organizations in the Bank of Russia 1. Self-regulating organizations operating in the financial market have the right to establish a council of self-regulating organizations from among the leaders of self-regulating organizations. The main purpose of the activities of the Council of Self-regulating organizations is to coordinate the interests of self-regulating organizations in the financial market and their representation in the Bank of Russia. 2. The Chairman of the Council of Self-Regulated Organizations is entitled to attend the meetings of expert councils at the Bank of Russia (hereinafter referred to as expert advice) when discussing issues falling within the competence of the Council of Self-regulating Organizations, except If the expert council meetings deal with matters that contain confidential information. 3. The Bank of Russia has the right to invite to meetings of expert councils of the self-regulating organizations whose subject matter is covered by the issues dealt with at the meetings. 4. The Chairman of the Council of Self-regulating Organizations, as well as a person representing the interests of a self-regulating organization, shall have the right to express, in writing, a particular opinion on the expert advice discussed at the meeting. A special opinion may be expressed directly at the meeting of the expert council or presented to the Bank of Russia within three working days following the day of the meeting. 5. The Council of Self-regulating organizations, as well as a self-regulating organization, the representative of which participated in the meeting of the expert council, may decide to make the individual opinion public, except if the materials The relevant meetings are classified as confidential information in accordance with the procedure established by the Bank of Russia. 6. The Council of Self-regulating organizations has the right to put proposals on the agenda of the expert council meeting. The Bank of Russia is obliged to include the proposals of the Council of Self-regulating Organizations on the agenda of the expert council meeting within thirty days following the relevant proposals by the Council of self-regulating organizations. The Bank of Russia has the right to refuse to include the proposals of the Council of Self-regulating Organizations on the agenda of the expert council meeting only if they do not meet the subject of the activities of self-regulating organizations. 7. The regulation on the Council of Self-regulating organizations is approved by the Bank of Russia regulation. Article 32. Interaction of the self-regulating organization and of the federal executive branch 1. The federal executive body, which is responsible for the formulation of public policy and regulatory framework for the activity concerned, may involve self-regulating organizations to participate in the working groups. to develop normative legal acts. 2. Representatives of the federal executive body exercising public policy and regulatory functions of the relevant activity are entitled to be present at meetings (meetings) of the bodies Management and specialized bodies of the self-regulating organization as well as other activities undertaken by it. 3. Not later than ten working days from the day following the day of receipt of a written request from the federal executive body, which exercises public policy and regulation of the type concerned activities, if the request is not for a different period, the self-regulating body shall submit proposals on matters within its competence. Article 33. Final provisions 1. For non-profit organizations that carry out at least one year of the date of entry into force of this Federal Act, activities in the status of a self-regulated organization of professional participants in the securities market established under Federal Law of 22 April 1996 N 39-FZ "On the Securities Market" Federal law dated November 29, 2001 N 156-FZ " On investment funds ", a self-regulated organization of microfinance institutions created by Federal Law dated 2 July 2010 N 151-FZ "About microfinance activities and microfinance organizations", self-regulating organization of non-State pension Federal Law dated 7 May 1998, N 75-FZ "About non-State pension funds", a self-regulated organization of housing cooperatives created in In accordance with the Federal Act of 30 December 2004, N 215-FZ "On Housing Cooperatives", a self-regulating organization Cooperative Programme for Agricultural Credit and Consumer Cooperatives Federal Act No. 315 of 1 December 2007 on Self-regulating Organizations, the requirements of this Federal Act on A sufficient number of financial organizations to obtain the status of a self-regulating organization established by article 3, paragraph 1, of this Federal Act, on the availability of basic standards established by the Bank of Russia, as set out in article 5 of this Federal Act, head requirements The self-regulating organization established by article 24 of this Federal Law shall apply after two years from the date of the entry into force of this Federal Act. 2. The requirement laid down in article 3, paragraph 6, paragraph 6, of this Federal Act is not applicable to the non-profit organizations referred to in part 1 of this article. 3. The requirements of this Federal Act do not apply to insurers, which are State institutions, special institutions under the Government of the Russian Federation, as well as other non-profit organizations established by the Russian Federation. Federation for the implementation of compulsory insurance functions. 4. Information on non-profit organizations that carry out at least one year of the date of entry into force of this Federal Act as a self-regulating organization of credit consumer cooperatives established by Federal Law of July 18, 2009, N 190-FZ "On credit cooperation", is considered as a single register of self-regulating organizations in the sphere financial market from the date of entry into force of this Federal The law shall not comply with the requirements specified by this Federal Act. 5. Self-regulating credit consumer cooperatives that have obtained the status of a self-regulating organization in the manner indicated in Part 4 of this Article are required to do so within two years from the date of the entry into force of this Federal Act. To submit to the Bank of Russia documents for the acquisition of the status of a self-regulating organization in accordance with the requirements established by Part 4 of Article 3 of this Federal Law. 6. The requirements of this Federal Act do not apply to second-tier credit cooperatives established under the Federal Act dated July 18, 2009 N 190-FZ "On credit cooperation", and agricultural credit consumer cooperatives of the second and subsequent levels created by Federal Law from 8 December 1995 N 193-FZ "On agricultural cooperation". 7. The requirements of this Federal Law apply to the State Corporation "Bank for Development and Foreign Economic Activity (Vnesheconombank)" in the performance of its activity as a professional participant in the securities market. 8. Draft basic standards, as provided for in article 5, paragraph 3, of this Federal Act, may be submitted by an organization to the standards committee not earlier than three months from the date of the entry into force of this Federal Act. 9. The Bank of Russia establishes a list of mandatory standards for the development of certain types of basic standards and requirements for their maintenance within three months from the date of acquisition of the status of the first self-regulating organization. of the species concerned. 10. Organizations that unite the financial organizations referred to in article 3, paragraph 1, of this Federal Act and use the words "self-regulating", "self-regulation" and (or) in other ways in the name or in the exercise of their activities. indicating the existence of a right to exercise self-regulation in the financial market, within two months of the date of entry into force of this Federal Act, it is the obligation of the organization to acquire the status of a self-regulatory organization in accordance with this regulation. The Federal Act, or to stop the use of the said words in its own right The right to self-regulation in the financial market, except as provided for in this article. 11. Articles 50-1 and 50-2 of the Federal Law of 22 April 1996 N 39-FZ "On the securities market" are applied in part not contrary to this The federal law. Article 34. On amendments to the federal law "On amendments to selected legislative Acts of the Russian Federation" Amend Federal Law dated December 29, 2014" On amendments to certain legislative acts of the Russian Federation " (Assembly of Russian Laws, 2015, No. 1, Art. (13) The following changes: 1) Article 2, paragraph 10, delete; 2) in Part 4 of Article 6 of the word "and join a self-regulating organization of forex-dealers" should be deleted. Article 35. The procedure for the entry into force of this Federal Law 1. This Federal Law shall enter into force at the expiration of one hundred and eighty days after the date of its official publication, with the exception of article 34 of this Federal Law. 2. Article 34 of this Law shall enter into force on the date of the official publication of this Federal Law. President of the Russian Federation Vladimir Putin Moscow, Kremlin 13 July 2015 N 223-FZ

On Self-Regulatory Organizations In The Field Of Financial Market And On Amendments To Articles 2 And 6 Of The Federal Law "on Bringing Changes To Certain Legislative Acts Of The Russian Federation"

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