I. General provisions
1. This Regulation establishes:
1.1. qualification requirements for financial market specialists - employees, the list of positions of which is given in Appendix No. 1 to this Regulation, working in an organization - a professional participant in the securities market, an organization engaged in the management of investment funds, mutual investment funds and non-state pension funds, or an organization acting as a specialized depository of investment funds, mutual investment funds and non-state pension funds (hereinafter referred to as the organization operating in the financial market), or an organization intending to operate in the financial market if this organization sends a corresponding application to the Federal Service for Financial markets (hereinafter referred to as the Federal Service);
1.2. procedure for certification;
1.3. the procedure for maintaining the register of certified persons (hereinafter referred to as the Register);
1.4. procedure and grounds for cancellation of qualification certificates;
1.5. the procedure for disclosing information contained in the Register.
2. Financial market specialists have the right to obtain the qualification "financial market specialist" in the following specializations in the field of the financial market, indicated in the qualification certificate:
2.1. brokerage, dealer and securities management activities;
2.2. activities of a trade organizer in the securities market (activity of a stock exchange) and clearing activities;
2.3. activity on maintenance of the register of holders of securities;
2.4. depository activity;
2.5. management activities of investment funds, mutual investment funds and non-state pension funds;
2.6. activities of specialized depositories of investment funds, mutual investment funds and non-state pension funds.
3. Certification of applicants is carried out by the Federal Service in the form of qualifying examinations and the issuance of a qualification certificate, as well as checking the compliance of the qualifications of financial market specialists with the requirements established by this Regulation.
4. The Federal Service makes the following decisions in the field of attestation:
4.1. on the assignment of a qualification to the applicant and the issuance of a qualification certificate to him;
4.2. on the refusal of the applicant in the assignment of qualifications;
4.3. on reviewing the result of the qualification exam in relation to the applicant;
4.4. on the refusal of the applicant to review the result of the qualifying exam;
4.5. on inclusion in the register of certified persons of a person previously excluded from the specified register;
4.6. on issuance of a duplicate qualification certificate to a certified person;
4.7. on making changes to the qualification certificate of a certified person;
4.8. on the annulment of the qualification certificate of a certified person.
II. Qualifying requirements
to financial market specialists
5. Financial market specialists must meet the following qualification requirements:
5.1. possession of a qualification certificate of the Federal Service or the Federal Commission for the Securities Market in a specialization corresponding to the type of activity in the financial market carried out by the organization in which the specified person works;
5.2. availability of a qualification certificate of the Federal Service or the Federal Commission for the Securities Market with a specialization corresponding to the type of activity in the financial market carried out by the organization that is the main place of work of the said persons - for the persons provided for in Section II of Annex No. 1 to these Regulations;
5.3. availability of higher education (with the exception of persons provided for in Section III of Annex No. 1 to this Regulation);
5.4. the absence of the fact of cancellation of the qualification certificate, if less than three years have passed from the date of cancellation.
6. The persons specified in sections I and II of Annex No. 1 to this Regulation, in addition to the requirements established by paragraph 5 of this Regulation, must meet the following requirements:
6.1. for the persons specified in paragraph 1.1 of Annex No. 1 to this Regulation - having experience as the head of a department or other structural unit of an organization operating in the financial market, a self-regulatory organization uniting organizations operating in the securities market and collective investments ( hereinafter referred to as a self-regulatory organization), the Federal Commission for the Securities Market, the Federal Service, their territorial bodies, the Ministry of Finance of the Russian Federation, the financial bodies of the constituent entities of the Russian Federation, the Central Bank of the Russian Federation, whose official duties included making (preparing) decisions on issues directly related to specialization in the field of the financial market - at least one year;
6.2. for the persons specified in Sections I and II of Annex No. 1 to this Regulation - the absence of the fact of working in an organization that operated in the financial market, whose license was canceled and in which the specified person was the person who managed the current activities of this organization, or by the controller during the period of the violation that led to the cancellation of the license (except for cases of cancellation of the license based on the application of the organization itself), if less than three years have passed from the date of cancellation of the license.
7. If an organization carries out several types of activities in the financial market or intends to do so, and this organization sends an appropriate application to the Federal Service, then:
7.1. the persons specified in paragraphs 1.1 - 1.3 of Appendix No. 1 to this Regulation must have a qualification certificate for specialization in the field of the financial market, corresponding to one of the types of activity of the organization in the financial market;
7.2. the controller must have qualification certificates that ensure that the specializations indicated in them in the field of the financial market correspond to all types of activities of the organization in the financial market.
III. Order certification
8. Certification of applicants is carried out by conducting (taking) two qualification exams (basic and specialized), awarding qualifications and issuing a qualification certificate.
9. Qualification exams are held in accordance with the Regulations for conducting qualification exams in accordance with Appendix No. 2 to this Regulation.
10. Exam questions for qualifying exams are generated in the form of a test by random sampling from the database of exam questions for qualifying exams.
The database of examination questions is maintained in the manner approved by the order of the Federal Service.
11. Exam questions for qualification exams are formed in accordance with the lists of topics of examination questions, the standard of tests of examination questions and the list of regulatory legal acts, knowledge of which is mandatory for the qualified performance of the functions of financial market specialists (hereinafter referred to as qualification minimums).
12. Qualification minimums are approved by orders of the Federal Service.
13. If the qualification exam includes examination questions on knowledge of the theoretical foundations of the financial market and applied industry scientific disciplines, the qualification minimum must include a list of recommended literature to prepare for the qualification exam.
14. Successful passing of the basic qualification exam is the basis for the applicant's admission to the specialized qualification exam.
15. Successful passing of a specialized qualification exam is the basis for awarding the qualification "specialist of the financial market" to the applicant.
16. The Federal Service conducts (administers) the basic qualification exam and the following specialized qualification exams:
16.1. a specialized qualification exam for financial market specialists in brokerage, dealer activities and securities management activities (hereinafter referred to as the exam of the first series);
16.2. a specialized qualification exam for financial market specialists on the organization of trading in the securities market (activities of stock exchanges) and clearing activities (hereinafter referred to as the exam of the second series);
16.3. a specialized qualification exam for financial market specialists in maintaining a register of securities holders (hereinafter referred to as the exam of the third series);
16.4. a specialized qualification exam for financial market specialists in depository activities (hereinafter referred to as the exam of the fourth series);
16.5. a specialized qualification exam for financial market specialists in managing investment funds, mutual funds and non-state pension funds (hereinafter referred to as the exam of the fifth series);
16.6. a specialized qualification exam for financial market specialists on the activities of specialized depositories of investment funds, mutual funds and non-state pension funds (hereinafter referred to as the sixth series exam).
17. All qualifying exams are held in one stage. The duration of the basic qualification exam and the exam of the fifth series cannot exceed one hundred and twenty minutes. The duration of the examinations of the first - fourth and sixth series cannot exceed sixty minutes.
18. The basic qualification exam is a test of examination questions on general knowledge of the regulatory legal acts regulating financial markets and the ability to make simple calculations using the tools of such branch scientific disciplines as mathematical economics, economic statistics, economic and financial analysis.
19. A specialized qualification exam is a test of examination questions for in-depth knowledge of the regulatory legal acts regulating the relevant specialization in the field of the financial market.
20. Ensuring the organizational and technical conditions for taking qualifying exams, reviewing the results of qualifying exams (hereinafter referred to as the appeal), accepting documents for checking persons for compliance with the qualification requirements established by these Regulations is carried out by the territorial bodies of the Federal Service (hereinafter referred to as the territorial bodies).
The organizational and technical conditions for taking qualification exams are approved by order of the Federal Service.
21. Technical support for the admission of qualification exams is carried out by examination centers.
The requirements for examination centers, as well as the list of examination centers, are determined by orders of the Federal Service.
22. In order to organize preparatory work and take qualifying examinations, the Federal Service, on the proposals of its territorial bodies, approves the composition of examination commissions. The procedure for the work of examination commissions is approved by order of the Federal Service.
23. Applicants who have sent the following documents to one of the territorial bodies are allowed to take the qualification exam:
23.1. the application form of the applicant for the qualification certificate in the form in accordance with Appendix No. 3 (Pril_3.doc 27KB) to this Regulation;
23.2. an extract from the protocol of the examination committee on passing the basic qualification exam if, when the applicant passed the basic qualification exam, the specified territorial body did not provide the organizational and technical conditions for taking this exam, or a copy of the qualification certificate - if the applicant has a qualification certificate for admission to the specialized qualification exam exam;
23.3. a copy of a state document on higher professional education, and for applicants who have received education abroad - a document of a foreign state on higher education and a certificate of equivalence of a document of a foreign state on education with a diploma of higher professional education of the Russian Federation, issued by the federal executive body in the field of education (hereinafter - the document on higher education), - if the applicant has a higher education.
24. The grounds for refusing admission to qualifying examinations are:
24.1. the presence of inaccurate information in the application form submitted by the applicant;
24.2. non-submission by the applicant of the documents provided for in paragraph 23 of these Regulations;
24.3. failure by the applicant to pass the basic qualification exam or the absence of the documents provided for in paragraph 23.2 of these Regulations - for admission to the specialized qualification exam;
24.4. cancellation of the qualification certificate of the applicant, if less than three years have passed from the date of such cancellation;
24.5. the job of an applicant in an organization that carried out activities in the financial market and whose license was canceled, as a person who managed the current activities of such an organization, or as a controller during the period of the violation that led to the cancellation of the license (except for cases of cancellation of a license based on the application of the specified organization) if less than three years have elapsed from the date of such cancellation.
25. An applicant who has scored from 80 to 100 points in passing the qualifying exam is considered to have passed the qualifying exam.
26. The results of the qualification exam are approved by the minutes of the examination committee and are provided to applicants for review no later than 10 working days from the date of the qualification exam.
27. An applicant who does not have a qualification certificate, but who has successfully passed the basic qualification exam, the provision of organizational and technical conditions for which was carried out by the territorial body, and intends to submit documents to another territorial body for passing a specialized qualification exam, on the basis of a written application within 10 working days from the date of the basic qualification exam, the territorial body that provided the organizational and technical conditions for taking the basic exam, provides an extract from the protocol of the examination committee on the results of passing the basic qualification exam.
28. An applicant who has not passed the qualifying exam has the right to appeal.
29. The applicant's application for appeal is sent to any territorial authority and is considered by the Federal Service in the prescribed manner.
The territorial authority, within a period not exceeding 30 working days from the date of receipt of the said application, notifies the applicant of the decision of the Federal Service regarding him.
30. The Federal Service, within a period not exceeding 20 working days from the date of successful passing by the applicant (appeal) of the specialized qualification exam, makes a decision on awarding qualifications to the applicant and issuing him a qualification certificate.
(Pril_4.doc 21 KB) to this Regulation and sends it to the territorial body that provided the organizational and technical conditions for the qualification exam, for issuance to a certified person.
31. In case of loss or damage to the qualification certificate of a certified person, upon his application, drawn up in the form in accordance with Appendix No. 5 (Pril_5.doc 21KB) to this Regulation (with the qualification certificate attached) and sent to any territorial body, the Federal Service on time, not exceeding 20 business days from the date of receipt of the said application by the Federal Service, makes a decision to issue a duplicate of the qualification certificate to the certified person.
The Federal Service, within a period not exceeding 20 working days from the date of the decision to issue a duplicate qualification certificate to a certified person, draws up and sends a duplicate qualification certificate to the territorial body for issuance to a certified person.
32. In case of change of the surname, name, patronymic of the certified person upon his application, drawn up in the form in accordance with Appendix No. 6 (Pril_6.doc 21KB) to this Regulation (with the qualification certificate and a copy of the document confirming such a change) and sent to any territorial body, the Federal Service, within a period not exceeding 20 working days from the date of receipt of the said application by the Federal Service, makes a decision to amend the qualification certificate of the certified person.
The Federal Service, within a period not exceeding 20 working days from the date of the decision to amend the qualification certificate of a certified person, makes appropriate changes to the qualification certificate by reissuing it and sends it to the territorial body for issuance to a certified person.
33. In order to exchange a qualification certificate of a securities market specialist in corporate finance for a qualification certificate of a financial market specialist in one of the specializations in the field of the financial market, its owner must send an application to any territorial body in the form in accordance with Appendix No. 7 (Pril_7.doc 21KB) to this Regulations with the application of the qualification certificate of a securities market specialist in corporate finance.
34. The Federal Service, within a period not exceeding 20 working days from the date of receipt by the Federal Service of the documents specified in paragraph 33 of these Regulations, makes a decision on the assignment of qualifications to the applicant and the issuance of a qualification certificate to him.
The Federal Service, within a period not exceeding 20 working days from the date of the decision to award qualifications to the applicant and issue him a qualification certificate, draws up a qualification certificate in the form in accordance with Appendix No. 4 (Pril_4.doc 21 KB) to this Regulation and sends it to the territorial authority for issuance to a certified person.
35. Upon receipt of a qualification certificate (duplicate of a qualification certificate), a certified person must present an identity document, submit a payment order with a bank mark on its execution (when paying the state fee in a non-cash form) or a receipt of the established form issued to the payer by the bank (when paying the state fee in cash), which (which) confirms the fact of payment by the specified person of the state fee levied in accordance with the legislation of the Russian Federation on taxes and fees for the issuance of a certificate (duplicate certificate; making changes to the certificate), and sign the statement for the qualification certificate he received certificate (duplicate of the qualification certificate).
A mandatory condition for issuing a qualification certificate (a duplicate of a qualification certificate) to a representative of a certified person is the presence of a power of attorney issued in the prescribed manner.
IV. Order of conduct register of certified persons
36. To record and control issued qualification certificates, the Federal Service maintains a Register.
37. The register contains the following data about each certified person:
37.1. Full Name; passport data (identity document data): name, series, number and date of issue and name of the authority that issued the document; data on the place of registration (place of stay); Contact phone numbers; data on higher education (if available);
37.2. date and number of the order of the Federal Service on the assignment of qualifications to the applicant and the issuance of a qualification certificate to him or the order of the Federal Service (order of the Federal Commission for the Securities Market) on the approval of the decision of the Attestation Commission on the assignment of qualifications to the applicant and the issuance of a qualification certificate to him;
37.3. name of specialization in the field of financial market;
37.4. series and number of the form of the qualification certificate;
37.5. date and number of the order of the Federal Service to cancel the qualification certificate of a certified person or the order of the Federal Service (order of the Federal Commission for the Securities Market) to approve the decision of the Certification Commission to cancel the qualification certificate of a certified person (for persons in respect of whom a decision was made to cancel the qualification certificate );
37.6. date and number of the order of the Federal Service (order of the Federal Commission for the Securities Market) on approval of the decision of the Attestation Commission to exclude the certified person from the Register (for persons in respect of whom the decision was made to exclude from the Register);
37.7. date and number of the order of the Federal Service on inclusion in the Register of a person previously excluded from the Register, or the order of the Federal Service (order of the Federal Commission for the Securities Market) on approval of the decision of the Attestation Commission on the inclusion in the Register of a person previously excluded from the Register (for persons previously excluded from the Register) excluded from the Register, in respect of which a decision was made to include them in the Register);
37.8. data on the organization operating in the financial market and being the place of work of the certified person: name; mailing address; data on the relevant license (for persons specified in sections I and II of Appendix No. 1 to this Regulation);
37.9. the position held by a certified person in an organization operating in the financial market (for persons specified in Sections I and II of Appendix No. 1 to this Regulation).
38. Data on certified persons and issued qualification certificates (duplicate qualification certificates) are entered into the Register by the Federal Service at the time the qualification certificate (duplicate qualification certificate) is issued.
39. In the event of a change in the last name, first name, patronymic, passport data, registration data (data of stay) and the Register data specified in clauses 37.8 and 37.9 of this Regulation (for persons specified in sections I and II of Annex No. 1 to this Regulation), as well as receiving the first higher professional education, a certified person, within a period not exceeding one month from the date of occurrence of these changes (events), is obliged to send an application to any territorial body in the form in accordance with Appendix No. 8 (Pril_8.doc 22KB) to this Regulation with a copy attached qualification certificate and documents confirming these changes (copy of passport, copy of marriage certificate, copy of work book, copy of diploma of higher professional education).
The territorial authority, within a period not exceeding 20 working days from the date of receipt of the said application, shall make the submitted changes to the Register or send a reasoned refusal to the certified person to make the said changes in case of revealing incomplete or inaccurate information or failure to submit the said documents.
V. Grounds and cancellation policy
qualification certificates
40. The Federal Service shall make a decision to annul the qualification certificate of a certified person in the event of repeated or gross violation of the legislation of the Russian Federation on securities by him.
41. If there are grounds specified in paragraph 40 of this Regulation, an organization operating in the financial market or a territorial body may send a petition to the Federal Service to cancel the qualification certificate of a certified person.
42. In case of cancellation of the qualification certificate, the Federal Service, within a period not exceeding 10 working days from the date of the adoption of the said decision, notifies the person whose qualification certificate was canceled.
VI. Disclosure procedure information contained
in the register of certified persons
43. In order to provide interested persons with access to information about persons meeting the qualification requirements established by this Regulation, the following information about certified persons is disclosed on the official website of the Federal Service on the Internet:
43.1. Full Name;
43.2. the data specified in paragraphs 37.2 - 37.7 of this Regulation.
44. To obtain an extract from the Register on the composition of the disclosed information about a certified person in the form in accordance with Appendix No. 9 (Pril_9.doc 22KB) to this Regulation, an interested person has the right to apply in writing to any territorial authority for the issuance of the said extract.
An obligatory condition for the interested person to receive this statement is the submission to the territorial body of a payment order with a bank mark on its execution (in case of payment of the state fee collected in non-cash form) or a receipt of the established form issued to the payer by the bank (in case of payment of the state fee in cash), which (which) confirms the fact of payment by the specified person of the state duty levied in accordance with the legislation of the Russian Federation on taxes and fees for the retrieval of documents.
45. Copies of documents submitted in accordance with these Regulations must be certified in the prescribed manner.
FFMS Order No. 05-17/pz-n dated April 20, 2005 approved the Regulations on Financial Market Specialists. Its appendix is the List of Financial Market Specialists. This List divides specialists into the following categories:
Persons providing management of the current work of organizations operating in the financial market;
controllers;
Specialists.
The first ones are:
Persons who, in accordance with the law or the constituent documents of the organization, perform the functions of the sole executive body of the organization operating in the financial market;
Deputies of the sole executive body of an organization operating in the financial market, who, in accordance with their official duties, manage a sector, department, office, department or other independent structural unit, the exclusive function of which is to carry out one or more types of activities in the financial market (structural unit );
Heads (deputy heads) of the structural subdivision of the organization, whose duties include the direct implementation of activities in the financial market, including the structural subdivision of the organization that performs the functions of internal accounting in this organization.
An employee of an organization operating in the financial market, who is responsible for exercising internal control by such an organization, has been appointed as a controller.
A specialist is an employee of a structural subdivision of an organization operating in the financial market, who, in accordance with his official duties, performs the following functions:
a) in an organization engaged in brokerage, dealer or securities management activities:
Carrying out transactions with securities: on behalf of the organization and at its expense; on behalf of clients and at the expense of clients; on behalf of the organization and at the expense of clients at auctions with the organizer of trading on the securities market;
Carrying out transactions and / or operations with funds and / or securities in the interests of the founder of the management;
Signing reports to clients;
b) in an organization carrying out clearing activities - documentary confirmation of the results of clearing;
c) in an organization operating as a trade organizer on the securities market (activity of a stock exchange), - disclosure of information following the results of trades;
d) in an organization engaged in maintaining the register of securities holders:
Carrying out operations related to the transfer of ownership of securities on personal accounts of registered persons;
Signing of documents confirming the right of ownership of registered persons to securities, and documents on transactions performed;
e) in an organization carrying out depository activities:
Carrying out operations related to the transfer of ownership of securities on customer depo accounts;
Signing documents confirming the client's ownership of securities, and documents on transactions;
f) in an organization engaged in the management of investment funds, mutual investment funds and non-state pension funds:
Signing outgoing documents of the organization relating to the implementation of operations related to the management of the property of a joint-stock investment fund, mutual investment fund, pension reserves of a non-state pension fund, or property in which pension savings are invested;
Signing outgoing documents of the organization concerning the implementation of operations related to the management of securities belonging to a joint-stock investment fund, securities constituting a mutual investment fund, or securities in which pension reserves of a non-state pension fund are placed or pension savings are invested;
Signing of outgoing documents of the organization concerning the implementation of operations related to the management of mortgage coverage;
Signing documents containing the calculation of indicators in order to control the management of investment reserves of a joint-stock investment fund, property of a mutual investment fund, pension reserves of a non-state pension fund or property in which pension savings are invested;
g) in an organization operating as a specialized depository of investment funds, mutual investment funds and non-state pension funds:
Signing of outgoing documents of the organization concerning the implementation of transactions related to the storage and accounting of rights to securities belonging to a joint-stock investment fund, securities constituting a unit investment fund, or securities in which pension reserves of a non-state pension fund are placed, or securities, in which pension savings funds or funds constituting mortgage coverage are invested;
Signing outgoing documents of the organization concerning the implementation of transactions related to the accounting of property of a joint-stock investment fund, mutual investment fund, pension reserves of a non-state pension fund, property in which pension savings are invested and constituting mortgage coverage;
Signing documents containing the calculation of indicators in order to monitor the management company's compliance with the requirements of the legislation of the Russian Federation, as well as the charter and investment declaration of a joint-stock investment fund, the terms of an agreement with a joint-stock investment fund and the rules for trust management of a unit investment fund, compliance with the requirements for the structure of the investment portfolio of a non-state pension fund (and other control functions);
Confirmation of the consent of a specialized depository to debit funds from a bank account, to make transactions with the property of a joint-stock investment fund, property constituting a unit investment fund, or property in which pension savings are invested;
Notification of the FFMS and other federal executive bodies of violations identified in the performance of control functions by the specialized depository, and of their elimination (non-elimination);
Signing of outgoing documents of the organization concerning the implementation of transactions related to the transfer of ownership of the investment shares of the mutual investment fund;
Signing documents confirming the registered person's ownership of the investment units of the mutual investment fund, and documents on the transactions performed.
This Regulation establishes the following qualification requirements for financial market specialists:
Availability of a qualification certificate in a specialization corresponding to the type of activity in the financial market carried out by the organization in which the specified person works;
Availability of a qualification certificate in the specialization corresponding to the type of activity in the financial market carried out by the organization, which is the main place of work of these persons (for managers and controllers);
The presence of higher education (with the exception of specialists);
The absence of the fact of cancellation of the qualification certificate, if less than three years have passed since the date of cancellation.
Managers and controllers must meet the following additional requirements:
For managers - experience in the position of the head of a department or other structural unit of an organization operating in the financial market, a self-regulatory organization that unites organizations operating in the securities market and collective investments, the Federal Commission for the Securities Market, the Federal Financial Markets Service, their territorial bodies , the Ministry of Finance of Russia, the financial authorities of the constituent entities of the Russian Federation, the Central Bank of the Russian Federation, whose official duties included the adoption (preparation) of decisions on issues directly related to specialization in the field of the financial market - at least one year;
For managers and controllers - the absence of the fact of working in an organization that carried out activities in the financial market, whose license was canceled and in which the specified person was the person who managed the current activities of this organization, or the controller during the period of the violation that led to the cancellation of the license (for except for cases of cancellation of a license based on the application of the organization itself), if less than three years have passed since the date of cancellation of the license;
For controllers - the availability of qualification certificates that ensure that the specializations indicated in them in the field of the financial market correspond to all types of activities of the organization in the financial market.
Registration N 6641
In accordance with paragraph 14 of Article 42 and paragraph 10 of Article 44 of Federal Law No. 39-FZ of April 22, 1996 "On the Securities Market" (Sobraniye Zakonodatelstva Rossiyskoy Federatsii, 1996, No. 17, Art. 1918; 1998, No. 48, Art. 5857; 1999, N 28, item 3472; 2001, N 33, item 3424; 2002, N 52, item 5141; 2004, N 27, item 2711; N 31, item 3225; 2005, N 11, 900), paragraph 2 of Article 55 of the Federal Law of November 29, 2001 N 156-FZ "On Investment Funds" (Collected Legislation of the Russian Federation, 2001, N 49, Article 4562; 2004, N 27, Article 2711) and paragraph 5.2.9 of the Regulations on the Federal Service for Financial Markets, approved by Decree of the Government of the Russian Federation of June 30, 2004 N 317 (Sobraniye Zakonodatelstva Rossiyskoy Federatsii, 2004, N 27, Art. 2780), order:
1. Approve the attached Regulations on Financial Market Specialists (hereinafter referred to as the Regulations)*.
2. Determine that:
2.1. Qualification requirements for the persons specified in paragraphs 1.1 - 1.2 of Appendix No. 1 to the Regulations do not apply to credit institutions.
2.2. The inclusion in the register of certified persons (hereinafter referred to as the Register), persons previously excluded from the Register, is carried out by the Federal Financial Markets Service after three years from the date of cancellation of the licenses of organizations operating in the financial market in which these persons worked, provided that they send to the Federal Financial Markets Service of the corresponding application with a copy of the qualification certificate or on the basis of a judicial act.
2.3. Qualification certificates issued by the Federal Commission for the Securities Market and the Federal Financial Markets Service prior to the entry into force of this order and having an indefinite nature of validity shall remain valid.
2.4. Holders of qualification certificates of a securities market specialist in corporate finance have the right, within one year from the date of entry into force of this order, to exchange the specified certificate for a qualification certificate of a financial market specialist in one of the specializations in the field of the financial market in the manner specified in clauses 33 and 34 of the Regulations.
3. Decree of the Federal Commission for the Securities Market of December 24, 2003 N 03-47/ps "On Specialists of the Securities Market" (registered by the Ministry of Justice of the Russian Federation on February 4, 2004, registration N 5525) is not applied from the effective date of this order.
4. This Order shall enter into force upon the expiration of 10 days from the date of its official publication, with the exception of the provisions for which other effective dates are established in this Order.
Qualification requirements for financial market specialists who are employees of credit institutions shall come into force one year after the effective date of this Order.
Clause 6.1 of the Regulations comes into force after one year from the date of entry into force of this order.
5. To impose control over the execution of this order on the Deputy Head of the Federal Service for Financial Markets V.Yu. Streltsov.
Supervisor
O. Vyugin
* Published according to the "Bulletin of normative acts of federal executive bodies" N 23 of June 6, 2005.
Regulations on Financial Market Specialists
I. General provisions
1. This Regulation establishes:
1.1. qualification requirements for financial market specialists - employees, the list of positions of which is given in Appendix No. 1 to this Regulation, working in an organization - a professional participant in the securities market, an organization engaged in the management of investment funds, mutual investment funds and non-state pension funds, or an organization acting as a specialized depository of investment funds, mutual investment funds and non-state pension funds (hereinafter referred to as the organization operating in the financial market), or an organization intending to operate in the financial market if this organization sends a corresponding application to the Federal Service for Financial markets (hereinafter referred to as the Federal Service);
1.2. procedure for certification;
1.3. the procedure for maintaining the register of certified persons (hereinafter referred to as the Register);
1.4. procedure and grounds for cancellation of qualification certificates;
1.5. the procedure for disclosing information contained in the Register.
2. Financial market specialists have the right to obtain the qualification "financial market specialist" in the following specializations in the field of the financial market, indicated in the qualification certificate:
2.1. brokerage, dealer and securities management activities;
2.2. activities of a trade organizer in the securities market (activity of a stock exchange) and clearing activities;
2.3. activity on maintenance of the register of holders of securities;
2.4. depository activity;
2.5. management activities of investment funds, mutual investment funds and non-state pension funds;
2.6. activities of specialized depositories of investment funds, mutual investment funds and non-state pension funds.
3. Certification of applicants is carried out by the Federal Service in the form of qualifying examinations and the issuance of a qualification certificate, as well as checking the compliance of the qualifications of financial market specialists with the requirements established by this Regulation.
4. The Federal Service makes the following decisions in the field of attestation:
4.1. on the assignment of qualifications to the applicant and the issuance of a qualification certificate to him;
4.2. on the refusal of the applicant in the assignment of qualifications;
4.3. on reviewing the result of the qualification exam in relation to the applicant;
4.4. on the refusal of the applicant to revise the result of the qualifying exam;
4.5. on inclusion in the register of certified persons of a person previously excluded from the specified register;
4.6. on issuance of a duplicate qualification certificate to a certified person;
4.7. on making changes to the qualification certificate of a certified person;
4.8. on the annulment of the qualification certificate of a certified person.
II. Qualification requirements for financial market specialists
5. Financial market specialists must meet the following qualification requirements:
5.1. possession of a qualification certificate of the Federal Service or the Federal Commission for the Securities Market in a specialization corresponding to the type of activity in the financial market carried out by the organization in which the specified person works;
5.2. availability of a qualification certificate of the Federal Service or the Federal Commission for the Securities Market with a specialization corresponding to the type of activity in the financial market carried out by the organization that is the main place of work of the said persons - for the persons provided for in Section II of Annex No. 1 to these Regulations;
5.3. availability of higher education (with the exception of persons provided for in Section III of Annex No. 1 to this Regulation);
5.4. the absence of the fact of cancellation of the qualification certificate, if less than three years have passed from the date of cancellation.
6. The persons specified in Sections I and II of Annex No. 1 to this Regulation, in addition to the requirements established by paragraph 5 of this Regulation, must meet the following requirements:
6.1. for the persons provided for in paragraph 1.1 of Appendix No. 1 to this Regulation - work experience as the head of a department or other structural unit of an organization operating in the financial market, a self-regulatory organization uniting organizations operating in the securities market and collective investments ( hereinafter referred to as a self-regulatory organization), the Federal Commission for the Securities Market, the Federal Service, their territorial bodies, the Ministry of Finance of the Russian Federation, the financial bodies of the constituent entities of the Russian Federation, the Central Bank of the Russian Federation, whose official duties included making (preparing) decisions on issues directly related to specialization in the financial market - at least one year;
6.2. for the persons provided for in sections I and II of Appendix No. 1 to this Regulation - the absence of the fact of working in an organization that operated in the financial market, whose license was canceled and in which the specified person was the person who managed the current activities of this organization, or by the controller during the period of the violation that led to the cancellation of the license (except for cases of cancellation of the license based on the application of the organization itself), if less than three years have passed from the date of cancellation of the license.
7. If an organization carries out several types of activities in the financial market or intends to do so, and this organization sends an appropriate application to the Federal Service, then:
7.1. the persons specified in paragraphs 1.1 - 1.3 of Appendix No. 1 to this Regulation must have a qualification certificate for specialization in the field of the financial market, corresponding to one of the types of activity of the organization in the financial market;
7.2. the controller must have qualification certificates that ensure that the specializations indicated in them in the field of the financial market correspond to all types of activities of the organization in the financial market.
III. The procedure for certification
8. Certification of applicants is carried out by conducting (taking) two qualification exams (basic and specialized), awarding qualifications and issuing a qualification certificate.
9. Qualification exams are held in accordance with the Regulations for conducting qualification exams in accordance with Appendix No. 2 to this Regulation.
10. Exam questions for qualifying exams are generated in the form of a test by random sampling from the database of exam questions for qualifying exams.
The database of examination questions is maintained in the manner approved by the order of the Federal Service.
11. Exam questions for qualification exams are formed in accordance with the lists of topics of examination questions, the standard of tests of examination questions and the list of regulatory legal acts, knowledge of which is mandatory for the qualified performance of the functions of financial market specialists (hereinafter referred to as qualification minimums).
12. Qualification minimums are approved by orders of the Federal Service.
13. If the qualification exam includes examination questions on knowledge of the theoretical foundations of the financial market and applied industry scientific disciplines, the qualification minimum must include a list of recommended literature to prepare for the qualification exam.
14. Successful passing of the basic qualification exam is the basis for the applicant's admission to the specialized qualification exam.
15. Successful passing of a specialized qualification exam is the basis for awarding the qualification "specialist of the financial market" to the applicant.
16. The Federal Service conducts (administers) the basic qualification exam and the following specialized qualification exams:
16.1. a specialized qualification exam for financial market specialists in brokerage, dealer activities and securities management activities (hereinafter referred to as the exam of the first series);
16.2. a specialized qualification exam for financial market specialists on the organization of trading in the securities market (activities of stock exchanges) and clearing activities (hereinafter referred to as the exam of the second series);
16.3. a specialized qualification exam for financial market specialists in maintaining a register of securities holders (hereinafter referred to as the exam of the third series);
16.4. a specialized qualification exam for financial market specialists in depository activities (hereinafter referred to as the exam of the fourth series);
16.5. a specialized qualification exam for financial market specialists in managing investment funds, mutual funds and non-state pension funds (hereinafter referred to as the exam of the fifth series);
16.6. a specialized qualification exam for financial market specialists on the activities of specialized depositories of investment funds, mutual funds and non-state pension funds (hereinafter referred to as the sixth series exam).
17. All qualifying exams are held in one stage. The duration of the basic qualification exam and the exam of the fifth series cannot exceed one hundred and twenty minutes. The duration of the examinations of the first - fourth and sixth series cannot exceed sixty minutes.
18. The basic qualification exam is a test of examination questions on general knowledge of the regulatory legal acts regulating financial markets and the ability to make simple calculations using the tools of such branch scientific disciplines as mathematical economics, economic statistics, economic and financial analysis.
19. A specialized qualification exam is a test of examination questions for in-depth knowledge of the regulatory legal acts regulating the relevant specialization in the field of the financial market.
20. Ensuring the organizational and technical conditions for taking qualifying exams, reviewing the results of qualifying exams (hereinafter referred to as the appeal), accepting documents for checking persons for compliance with the qualification requirements established by these Regulations is carried out by the territorial bodies of the Federal Service (hereinafter referred to as the territorial bodies).
The organizational and technical conditions for taking qualification exams are approved by order of the Federal Service.
21. Technical support for the admission of qualification exams is carried out by examination centers.
The requirements for examination centers, as well as the list of examination centers, are determined by orders of the Federal Service.
22. In order to organize preparatory work and take qualifying examinations, the Federal Service, on the proposals of its territorial bodies, approves the composition of examination commissions. The procedure for the work of examination commissions is approved by order of the Federal Service.
23. Applicants who have sent the following documents to one of the territorial bodies are allowed to take the qualification exam:
23.1. the application form of the applicant for the qualification certificate in the form in accordance with Appendix No. 3 to this Regulation;
23.2. an extract from the protocol of the examination committee on passing the basic qualification exam if, when the applicant passed the basic qualification exam, the specified territorial body did not provide the organizational and technical conditions for taking this exam, or a copy of the qualification certificate - if the applicant has a qualification certificate for admission to the specialized qualification exam exam;
23.3. a copy of a state document on higher professional education, and for applicants who have received education abroad - a document of a foreign state on higher education and a certificate of equivalence of a document of a foreign state on education with a diploma of higher professional education of the Russian Federation, issued by the federal executive body in the field of education (hereinafter - the document on higher education), - if the applicant has a higher education.
24. The grounds for refusing admission to qualifying examinations are:
24.1. the presence of inaccurate information in the application form submitted by the applicant;
24.2. non-submission by the applicant of the documents provided for in paragraph 23 of these Regulations;
24.3. failure by the applicant to pass the basic qualification exam or the absence of the documents provided for in paragraph 23.2 of these Regulations - for admission to the specialized qualification exam;
24.4. cancellation of the qualification certificate of the applicant, if less than three years have passed from the date of such cancellation;
24.5. the job of an applicant in an organization that carried out activities in the financial market and whose license was revoked, as a person who managed the current activities of such an organization, or as a controller during the period of the violation that led to the annulment of the license (except for cases of annulment of the license based on the application of the specified organization) if less than three years have elapsed from the date of such cancellation.
25. An applicant who has scored from 80 to 100 points in passing the qualifying exam is considered to have passed the qualifying exam.
26. The results of the qualification exam are approved by the minutes of the examination committee and are provided to applicants for review no later than 10 working days from the date of the qualification exam.
27. An applicant who does not have a qualification certificate, but who has successfully passed the basic qualification exam, the provision of organizational and technical conditions for which was carried out by the territorial body, and intends to submit documents to another territorial body for passing a specialized qualification exam, on the basis of a written application within 10 working days from the date of the basic qualification exam, the territorial body that provided the organizational and technical conditions for taking the basic exam, provides an extract from the protocol of the examination committee on the results of passing the basic qualification exam.
28. An applicant who has not passed the qualifying exam has the right to appeal.
29. The applicant's application for appeal is sent to any territorial authority and is considered by the Federal Service in the prescribed manner.
The territorial authority, within a period not exceeding 30 working days from the date of receipt of the said application, notifies the applicant of the decision of the Federal Service regarding him.
30. The Federal Service, within a period not exceeding 20 working days from the date of successful passing by the applicant (appeal) of the specialized qualification exam, makes a decision on awarding qualifications to the applicant and issuing him a qualification certificate.
The Federal Service, within a period not exceeding 20 working days from the date of the decision to award qualifications to the applicant and issue him a qualification certificate, draws up a qualification certificate in the form in accordance with Appendix No. 4 to this Regulation and sends it to the territorial body that provided the organizational and technical conditions for conducting the qualification examination, for issuance to a certified person.
31. In case of loss or damage to the qualification certificate of a certified person, upon his application, drawn up in the form in accordance with Appendix No. 5 to these Regulations (with the qualification certificate attached) and sent to any territorial body, the Federal Service within a period not exceeding 20 working days from the date receipt by the Federal Service of the said application, makes a decision on issuing a certified person a duplicate of the qualification certificate.
The Federal Service, within a period not exceeding 20 working days from the date of the decision to issue a duplicate qualification certificate to a certified person, draws up and sends a duplicate qualification certificate to the territorial body for issuance to a certified person.
32. In the event of a change in the last name, first name, patronymic of the certified person upon his application, drawn up in the form in accordance with Appendix No. 6 to this Regulation (with the qualification certificate and a copy of the document confirming such a change) and sent to any territorial body, the Federal Service on time , not exceeding 20 business days from the date of receipt of the said application by the Federal Service, makes a decision to amend the qualification certificate of the certified person.
The Federal Service, within a period not exceeding 20 working days from the date of the decision to amend the qualification certificate of a certified person, makes appropriate changes to the qualification certificate by reissuing it and sends it to the territorial body for issuance to a certified person.
33. In order to exchange a qualification certificate of a securities market specialist in corporate finance for a qualification certificate of a financial market specialist in one of the specializations in the field of the financial market, its owner must send an application to any territorial body in the form in accordance with Appendix No. 7 to this Regulation with the qualification certificate of a specialist attached securities market for corporate finance.
34. The Federal Service, within a period not exceeding 20 working days from the date of receipt by the Federal Service of the documents specified in paragraph 33 of these Regulations, makes a decision on the assignment of qualifications to the applicant and the issuance of a qualification certificate to him.
The Federal Service, within a period not exceeding 20 working days from the date of the decision to award qualifications to the applicant and issue him a qualification certificate, draws up a qualification certificate in the form in accordance with Appendix No. 4 to this Regulation and sends it to the territorial body for issuance to a certified person.
35. Upon receipt of a qualification certificate (duplicate of a qualification certificate), a certified person must present an identity document, submit a payment order with a bank mark on its execution (when paying the state fee in a non-cash form) or a receipt of the established form issued to the payer by the bank (when paying the state fee in cash), which (which) confirms the fact of payment by the specified person of the state fee levied in accordance with the legislation of the Russian Federation on taxes and fees for the issuance of a certificate (duplicate certificate; making changes to the certificate), and sign the statement for the qualification certificate he received certificate (duplicate of the qualification certificate).
A mandatory condition for issuing a qualification certificate (a duplicate of a qualification certificate) to a representative of a certified person is the presence of a power of attorney issued in the prescribed manner.
IV. The procedure for maintaining the register of certified persons
36. To record and control issued qualification certificates, the Federal Service maintains a Register.
37. The register contains the following data about each certified person:
37.1. surname, name, patronymic; passport data (identity document data): name, series, number and date of issue and name of the authority that issued the document; data on the place of registration (place of stay); Contact phone numbers; data on higher education (if available);
37.2. the date and number of the order of the Federal Service on the assignment of qualifications to the applicant and the issuance of a qualification certificate to him or the order of the Federal Service (order of the Federal Commission for the Securities Market) on the approval of the decision of the Attestation Commission on the assignment of qualifications to the applicant and the issuance of a qualification certificate to him;
37.3. name of specialization in the field of financial market;
37.4. series and number of the form of the qualification certificate;
37.5. date and number of the order of the Federal Service to cancel the qualification certificate of a certified person or the order of the Federal Service (order of the Federal Commission for the Securities Market) to approve the decision of the Certification Commission to cancel the qualification certificate of a certified person (for persons in respect of whom a decision was made to cancel the qualification certificate );
37.6. date and number of the order of the Federal Service (instruction of the Federal Commission for the Securities Market) on the approval of the decision of the Certification Commission to exclude the certified person from the Register (for persons in respect of whom the decision was made to exclude from the Register);
37.7. date and number of the order of the Federal Service on inclusion in the Register of a person previously excluded from the Register, or the order of the Federal Service (order of the Federal Commission for the Securities Market) on approval of the decision of the Attestation Commission on the inclusion in the Register of a person previously excluded from the Register (for persons previously excluded from the Register) excluded from the Register, in respect of which a decision was made to include them in the Register);
37.8. data on the organization operating in the financial market and being the place of work of the certified person: name; mailing address; data on the relevant license (for persons specified in sections I and II of Appendix No. 1 to this Regulation);
37.9. the position held by a certified person in an organization operating in the financial market (for persons specified in Sections I and II of Appendix No. 1 to this Regulation).
38. Data on certified persons and issued qualification certificates (duplicate qualification certificates) are entered into the Register by the Federal Service at the time the qualification certificate (duplicate qualification certificate) is issued.
39. In the event of a change in the last name, first name, patronymic, passport data, registration data (data of stay) and the Register data specified in clauses 37.8 and 37.9 of this Regulation (for persons specified in sections I and II of Appendix No. 1 to this Regulation), as well as receiving the first higher professional education, a certified person, within a period not exceeding one month from the date of occurrence of these changes (events), is obliged to send an application to any territorial body in the form in accordance with Appendix No. 8 to this Regulation, attaching a copy of the qualification certificate and documents confirming the specified changes (copy of passport, copy of marriage certificate, copy of work book, copy of diploma of higher professional education).
The territorial authority, within a period not exceeding 20 working days from the date of receipt of the said application, shall make the submitted changes to the Register or send a reasoned refusal to the certified person to make the said changes in case of revealing incomplete or inaccurate information or failure to submit the said documents.
V. Grounds and procedure for cancellation of qualification certificates
40. The Federal Service shall make a decision to annul the qualification certificate of a certified person in the event of repeated or gross violation of the legislation of the Russian Federation on securities by him.
41. If there are grounds specified in paragraph 40 of this Regulation, an organization operating in the financial market or a territorial body may send a petition to the Federal Service to cancel the qualification certificate of a certified person.
42. In case of cancellation of the qualification certificate, the Federal Service, within a period not exceeding 10 working days from the date of the adoption of the said decision, notifies the person whose qualification certificate was canceled.
VI. The procedure for disclosing information contained in the register of certified persons
43. In order to provide interested persons with access to information about persons meeting the qualification requirements established by this Regulation, the following information about certified persons is disclosed on the official website of the Federal Service on the Internet:
43.1. Full Name;
43.2. the data specified in paragraphs 37.2 - 37.7 of this Regulation.
44. In order to obtain an extract from the Register on the composition of the disclosed information about a certified person in the form in accordance with Appendix No. 9 to these Regulations, an interested person has the right to apply in writing to any territorial body for the issuance of this extract.
An obligatory condition for the interested person to receive this statement is the submission to the territorial body of a payment order with a bank mark on its execution (in case of payment of the state fee collected in non-cash form) or a receipt of the established form issued to the payer by the bank (in case of payment of the state fee in cash), which (which) confirms the fact of payment by the specified person of the state duty levied in accordance with the legislation of the Russian Federation on taxes and fees for the retrieval of documents.
45. Copies of documents submitted in accordance with these Regulations must be certified in the prescribed manner.
Appendix No. 1
List of financial market specialists
I. Persons managing the current activities of an organization operating in the financial market
Qualification requirements for persons specified in clauses 1.1 - 1.2 of this Appendix do not apply to credit institutions (clause 2.1 of the Order).
1.1. A person who, in accordance with the law or the constituent documents of an organization, performs the functions of the sole executive body of an organization operating in the financial market.
1.2. Deputy of the sole executive body of an organization operating in the financial market, who, in accordance with his official duties, manages a sector, department, department, department or other independent structural unit, the exclusive function of which is the implementation of one or more types of activities in the financial market (hereinafter - structural subdivision).
1.3. The head (deputy head) of a structural subdivision of the organization, whose duties include the direct implementation of activities in the financial market, including the structural subdivision of the organization that performs the functions of internal accounting in this organization.
II. Controller
2.1. An employee of an organization operating in the financial market, responsible for the implementation of internal control by such an organization.
III. Specialist
3.1. An employee of a structural subdivision of an organization operating in the financial market, who, in accordance with his official duties, performs the following functions:
3.1.1. in an organization engaged in brokerage, dealer or securities management activities:
Carrying out transactions with securities: on behalf of the organization and at its expense; on behalf of clients and at the expense of clients; on behalf of the organization and at the expense of clients at auctions with the organizer of trading on the securities market;
Carrying out transactions and / or operations with funds and / or securities in the interests of the founder of the management;
Signing reports to clients;
3.1.2. in an organization carrying out clearing activities - documentary confirmation of the results of clearing;
3.1.3. in an organization operating as a trade organizer on the securities market (activity of a stock exchange), - disclosure of information based on the results of trades;
3.1.4. in an organization engaged in maintaining the register of securities holders:
Carrying out operations related to the transfer of ownership of securities on personal accounts of registered persons;
Signing of documents confirming the right of ownership of registered persons to securities, and documents on transactions performed;
3.1.5. in an organization carrying out depository activities:
Carrying out operations related to the transfer of ownership of securities on customer depo accounts;
Signing documents confirming the client's ownership of securities, and documents on transactions;
3.1.6. in an organization engaged in the management of investment funds, mutual investment funds and non-state pension funds:
Signing outgoing documents of the organization relating to the implementation of operations related to the management of the property of a joint-stock investment fund, mutual investment fund, pension reserves of a non-state pension fund, or property in which pension savings are invested;
Signing outgoing documents of the organization concerning the implementation of transactions related to the management of securities belonging to a joint-stock investment fund, securities constituting a mutual investment fund, or securities in which pension reserves of a non-state pension fund are placed or pension savings are invested;
Signing of outgoing documents of the organization concerning the implementation of operations related to the management of mortgage coverage;
Signing documents containing the calculation of indicators in order to control the management of investment reserves of a joint-stock investment fund, property of a mutual investment fund, pension reserves of a non-state pension fund or property in which pension savings are invested;
3.1.7. in an organization operating as a specialized depository of investment funds, mutual investment funds and non-state pension funds:
Signing of outgoing documents of the organization concerning the implementation of transactions related to the storage and accounting of rights to securities belonging to a joint-stock investment fund, securities constituting a unit investment fund, or securities in which pension reserves of a non-state pension fund are placed, or securities, in which pension savings funds or funds constituting mortgage coverage are invested;
Signing outgoing documents of the organization concerning the implementation of transactions related to the accounting of property of a joint-stock investment fund, mutual investment fund, pension reserves of a non-state pension fund, property in which pension savings are invested and constituting mortgage coverage;
Signing documents containing the calculation of indicators in order to monitor compliance by the management company with the requirements of the legislation of the Russian Federation, as well as the charter and investment declaration of a joint-stock investment fund, the terms of an agreement with a joint-stock investment fund and the rules for trust management of a unit investment fund, compliance with the requirements for the structure of the investment portfolio of a non-state pension fund (and other control functions);
Confirmation of the consent of a specialized depository to debit funds from a bank account, to make transactions with the property of a joint-stock investment fund, property constituting a unit investment fund, or property in which pension savings are invested;
Notification of the Federal Service and other federal executive bodies of violations identified in the performance of control functions by the specialized depository, and of their elimination (non-elimination);
Signing of outgoing documents of the organization concerning the implementation of transactions related to the transfer of ownership of the investment shares of the mutual investment fund;
Signing documents confirming the registered person's ownership of the investment units of the mutual investment fund, and documents on the transactions performed.
Appendix No. 2
to the Regulations on Financial Market Specialists
Regulations for qualifying examinations
1. The qualification exam is conducted in written or computerized form.
2. The qualification examination in writing is conducted in the following order:
2.1. On the day of the examinations, the regional office sends to the examination center:
List of applicants (examination sheet);
- identification cards containing the surname, name, patronymic, passport data, identification number, number of the individual workplace of applicants;
- sheets for entering the correct answers chosen by applicants (answer sheets);
- instructions for filling out the answer sheets.
2.2. During the whole period of the qualification examination, the presence of at least one member of the examination committee is obligatory. In the case of an examination in two or more classrooms, at least three members of the examination committee must be present during the examination.
2.3. Registration of applicants is carried out by members of the examination committee and observers, begins no later than 15 minutes before the start of the qualification exam and ends by the time the members of the examination committee announce the start of the qualification exam. Each applicant presents an identity document and signs the examination sheet, after which he is given instructions for filling out the answer sheets.
2.4. An applicant who does not have an identity document, or who is late for a qualifying exam, is considered to have failed to appear.
2.5. Only applicants included in the examination list and who have passed the registration procedure are allowed to the qualifying exam.
2.6. Before the start of the exam at the workplace of the applicant must be:
Identification card of the applicant;
- answer sheet;
- a non-programmable calculator with a minimum set of arithmetic operations, including raising to a power and extracting a root from a power;
- Writing utensils (pen, pencil, eraser);
- instructions for filling out the answer sheet.
2.7. Applicants occupy the jobs indicated in the examination sheet.
2.8. If necessary, the examination center provides applicants with writing instruments and calculators.
2.9. Before the start of the exam and the distribution of the test, applicants are given time to familiarize themselves with the instructions for filling out the answer sheet. Next, applicants fill in the upper part of the answer sheet with personal data.
2.10. Members of the examination committee must provide applicants with information about the duration of the exam, the number of test questions, warn about the grounds for canceling exam results, about the need to stay at work until the end of the exam.
2.11. During the qualifying examinations, applicants are prohibited from:
leave the classroom where the exam is held before it ends;
write off and transmit information about the content of examination questions;
delay the delivery of examination tests, answer sheets, identification cards after the time allotted for the examination;
take out answer sheets and examination tests from the audience where the exam is being held.
Applicants who violate these requirements are removed from the audience, and the results of the examination of these applicants are canceled.
2.12. In the event that the applicant passes through someone else's identity document (this fact is reported to law enforcement agencies), the examination committee decides to annul the results of the qualification exams.
2.13. If there are grounds for annulment of the results of qualifying examinations, the examination committee draws up an act on the identified violations. The act is signed by the present members of the examination committee, observers, as well as by the applicant who violated the requirements of these paragraphs.
2.14. Observers must be present during the entire examination. The beginning of the exam is the moment announced by the observer after the applicants have been given the exam tests.
2.15. At the end of the exam, members of the examination committee and observers collect examination tests, answer sheets, identification cards. Applicants remain in their jobs.
2.16. Members of the examination committee must inform applicants of the date and method of getting acquainted with the results of the exam.
3. Qualification exam in computer form is conducted in the following order:
3.1. At the examination place, the applicant can only have writing materials (pen, pencil and eraser) and a non-programmable calculator with a minimum set of arithmetic operations, including raising to a power and extracting a root from a power, as well as instructions for working with a computer program.
3.2. During the entire time of the qualification examination in the classroom (computer class), the presence of at least one member of the examination committee in each classroom is mandatory.
3.3. Registration of applicants is carried out by members of the examination committee and observers, begins no later than 15 minutes before the start of the qualification exam and ends by the time the members of the examination committee announce the start of the qualification exam. Each applicant presents an identity document and signs the examination sheet, after which he is given instructions for filling out the answer sheets (instructions for working with a computer program) and is informed of the number of his examination place and his identification number to start the examination program.
3.4. An applicant who does not have an identity document with him, or who is late for a qualifying exam, is considered to have failed to appear.
3.5. Applicants included in the examination list and who have passed the registration procedure are allowed to the qualification exam.
3.6. Observers are present during the qualifying examination. If the exam is held in more than one classroom (computer class), it is mandatory to have at least one observer per 20 applicants in each classroom (computer class).
3.7. During the qualifying examination, applicants are prohibited from:
Use legislative and instructive material, reference and special literature, as well as mobile communications;
negotiate with other applicants;
leave the audience (computer class) where the exam is held before it is completed;
use electronic media;
run other programs in parallel with the examination program.
Applicants who violate the requirements listed above are removed from the audience (computer class), and the results of their qualifying exam are canceled.
3.8. In the event that the applicant passes through someone else's identity document (this fact is reported to law enforcement agencies), the examination committee decides to annul the results of the qualification exams.
3.9. If there are grounds for annulment of the results of qualifying examinations, the examination committee draws up an act on the identified violations. The act is signed by the present members of the examination committee, observers, as well as by the applicant who violated the requirements of these paragraphs.
3.10. The applicant may complete the qualifying examination ahead of schedule. After the time allotted for the qualifying exam, the testing program ends automatically. At the end of the program, a message appears on the applicant's workstation containing information about the results of the qualifying exam.
3.11. After receiving permission from the members of the examination committee to leave the classroom (computer class), applicants must leave calculators, pencils and drafts in their examination places and leave the room.
3.12. If technical failures of a technical nature occurred during the maintenance of the qualification exam, all the facts of the failures that occurred must be recorded in the act of the examination committee.
5.1. availability of a qualification certificate in a specialization corresponding to the type of activity in the financial market carried out by the organization in which the specified person works;
5.2. availability of a qualification certificate in a specialization corresponding to the type of activity in the financial market carried out by an organization that is the main place of work of these persons - for persons provided for in Section II of Appendix No. 1 to this Regulation;
(as amended by the Order of the Federal Financial Markets Service of the Russian Federation of 08.08.2006 N 06-88/pz-n)
5.3. availability of higher education (with the exception of persons provided for in Section III of Annex No. 1 to this Regulation);
5.4. the absence of the fact of cancellation of the qualification certificate, if less than three years have passed from the date of cancellation.
6. The persons specified in sections I and Appendix No. 1 to this Regulation, in addition to the requirements established by paragraph 5 of this Regulation, must meet the following requirements:
6.1. for the persons provided for in paragraph 1.1 of Appendix No. 1 to this Regulation - work experience as the head of a department or other structural unit of an organization operating in the financial market, a self-regulatory organization uniting organizations operating in the securities market and collective investments ( hereinafter referred to as a self-regulatory organization), the Federal Commission for the Securities Market, the Federal Service, their territorial bodies, the Ministry of Finance of the Russian Federation, the financial bodies of the constituent entities of the Russian Federation, the Central Bank of the Russian Federation, whose official duties included making (preparing) decisions on issues directly related to specialization in the financial market - at least one year;
6.2. for the persons provided for in sections I and Appendix No. 1 to this Regulation - the absence of the fact of working in an organization that operated in the financial market, whose license was canceled and in which the specified person was the person who managed the current activities of this organization, or by the controller during the period of the violation that caused the license to be canceled (except for cases of license cancellation based on the application of the organization itself), if less than three years have passed from the date of license cancellation.
7. If an organization carries out several types of activities in the financial market or intends to do so, and this organization sends an appropriate application to the Federal Service, then:
7.1. the persons specified in paragraphs 1.1 - 1.3 of Appendix No. 1 to this Regulation must have a qualification certificate for specialization in the field of the financial market, corresponding to one of the types of activity of the organization in the financial market;
7.2. the controller must have qualification certificates that ensure that the specializations indicated in them in the field of the financial market correspond to all types of activities of the organization in the financial market.
Active Edition from 01.01.1970
| Document name | ORDER of the Federal Financial Markets Service of the Russian Federation dated January 28, 2010 N 10-4/pz-n "ON APPROVAL OF THE REGULATIONS ON FINANCIAL MARKET SPECIALISTS" |
| Type of document | command, position |
| Host body | FSFR RF |
| Document Number | 10-4/PZ-N |
| Acceptance date | 01.10.2010 |
| Revision date | 01.01.1970 |
| Registration number in the Ministry of Justice | 17130 |
| Date of registration in the Ministry of Justice | 06.05.2010 |
| Status | valid |
| Publication |
|
| Navigator | Notes |
ORDER of the Federal Financial Markets Service of the Russian Federation dated January 28, 2010 N 10-4/pz-n "ON APPROVAL OF THE REGULATIONS ON FINANCIAL MARKET SPECIALISTS"
REGULATIONS ON FINANCIAL MARKET SPECIALISTS
29. The information contained in the Register is displayed in the territorial bodies of the FFMS of Russia, and is also disclosed in the form of extracts from the Register.
30. To obtain information about a certified person and the qualification certificates issued to him, a certified person can apply to any territorial body of the FFMS of Russia with an application containing a surname, name, patronymic<*>, date of birth, postal address, contact phone number, personal signature of the certified person and date of writing the application.
<*>In the presence of.
31. The territorial body of the FFMS of Russia transfers the personal data of a certified person in the form of an extract from the Register to interested parties who are not subjects of personal data, only with the written consent of the subject of personal data or if there is another legal basis.
32. Written consent must be certified in the manner prescribed by the legislation of the Russian Federation, and must include the following information:
32.1. Full Name<*>, the address of the certified person, the number of the main document proving his identity, information about the date of issue of the specified document and the body that issued it;
32.2. the name and address (location) of the territorial body of the FFMS of Russia receiving the consent of the certified person;
32.3. the purpose of the transfer of personal data of the certified person;
32.4. a list of personal data for the transfer of which the consent of the certified person is given;
32.5. a list of actions with personal data for which consent is given, namely: transfer to the person concerned (surname, name, patronymic are indicated<*>citizen or organization name);
32.6. the period during which the consent is valid, as well as the procedure for its withdrawal.
<*>In the presence of.
33. If the applicant fails to submit the documents provided for in paragraphs 30 - 32 of the Regulations or submits a set of documents incorrectly executed in accordance with the requirements of paragraphs 30 - 32 of the Regulations, the territorial body of the FFMS of Russia within a period not exceeding 10 business days from the date of receipt of the application provided for in paragraphs 30 - 32 of the Regulations, sends to the applicant a reasoned refusal to issue an extract from the Register.
34. The territorial body of the FFMS of Russia, within a period not exceeding 10 working days from the date of receipt of the documents provided for in paragraphs 30 - 32 of the Regulations, draws up an extract from the Register containing information on the qualification certificates issued to the certified person, the title of the employee of the territorial body of the FFMS of Russia, signature of this employee, deciphering the signature, certifying the signature with a seal, and handing it over to the applicant.
35. Each extract from the Register, issued by the territorial body of the FFMS of Russia, contains information about only one certified person.
36. Copies of documents submitted in accordance with the Regulations must be certified in the prescribed manner.
