UMthetho Federal № 39-FZ "On the Securities Market": Key

UMthetho Federal 39-FZ ulawula ubudlelwane ezivela ngokuhlobana Ukukhishwa balo nokusakazwa kwalo kwezezimali, kungakhathaliseki ukuthi hlobo wezitifiketi, imithetho Ukusungulwa nokusebenza abahlanganyeli professional zokuhweba amapulatifomu. Esesizokuhlola ezinye izinhlinzeko zoMthetho isenzo normative.

Uhlolojikelele

Kunezinhlobo ezihlukahlukene umsebenzi emakethe izibambiso. It wenziwa, ngokuvamile abahlanganyeli professional. izinhlangano Okwamanje wandile ukuthi sihlinzeke izinhlelo ezihlukahlukene ukuba abatshalizimali. Umsebenzi ayisihluthulelo abahlanganyeli ezigcawini izenzo sokulondoloza ukwandisa dolobha. It usungula imithetho eyisisekelo kubhekwe imigomo, kanye Central Bank of Russia. Kusebenza njengomnyombo Regulator kanye negunya ukhiye asimeme.

umsebenzi nomthengisi sika

It ihlobene ikhomishana sebanga ethengiwe noma ukuthengiswa kwezezimali. Lezi imisebenzi, ngokuhambisana 39-FZ "On the Securities Market", olwenziwa ngezindleko zakhe siqu futhi egameni lakhe siqu ngemva izethulo zomphakathi ukubaluleka ukuthengwa ukuzinikela / ukuqaliswa. abahlanganyeli Professional isinyathelo izifundo ngokuqinile echaziwe. Yamadivayisi / ukuthengwa izibopho kanye nezinye kwezezimali Kwenziwa izinhlangano ezingokomthetho okuyizinto izinhlangano commercial, kanye wezinkampane zomphakathi, lapho isiphathimandla esifanele ezibekwe elawula umsebenzi wabo.

ukusungulwa kwezimo

umsebenzi Umthengisi kuhlanganisa yencazelo:

1. Ubuningi / inombolo okungenani kwezezimali ukudayisa / kuthenga.
2. Isikhathi lapho intengo kumele isethelwe.

In the ukungabikho simemezelo efakwe ohlwini neminye imibandela kubalulekile nemibandela, uchwepheshe umhlanganyeli has ukwenza into ngenxa isiphakamiso iklayenti. Lapho ukugwema, ngokuhambisana 39-FZ "On the Securities Market", ukuze kungaba icala ekuphoqelelweni nezimfuneko eziqanjwe noma olungaba isinxephezelo ukulahlekelwa kuzona zimali.

abaphathi

izibambiso ukuphathwa kuhilela ukuthengiselana kwezezimali, imali esetshenziselwa ukuthengiselana kanye izinkontileka. Ukuqalisa ke, njengomthetho ojwayelekile okudinga ilayisense. Ukukhethwa kulapho ukulawula ixhunyiwe kuphela ekusebenziseni amalungelo zomculo zezimali. I-oda ukuthengiselana kulawulwa isenzo normative sicutshungulwa futhi sivumelwano. Ngo ngokuziphatha imisebenzi umhlanganyeli professional kumele akhombise ukuthi uba control.

Amalungelo nezibopho

Uma ukungqubuzana ka umhlanganyeli professional kanye amaklayenti omunye / eziningana, lapho amaqembu ayaziwa kusengaphambili, kuye kwaholela amadili oholele umonakalo yokugcina, ukulawula ubophekile ukuba akhokhele wonke umonakalo ngezindleko zakhe siqu. Kubhekwe isenzo normative esungulwe izinhlangano ezingokomthetho. Ikakhulukazi, umhlanganyeli professional ngokuhambisana 39-FZ "On the Securities Market", angathenga kwezezimali enzelwe zimali abafanelekayo, kanye ukungena inkontileka efanele. Uma ihlukumeza kwemithetho esungulwe ifike imiphumela engemihle zesifundo. Phakathi kwabo:

1. Kuvele isibopho ukusebenzisa kwezezimali futhi sephule inkontileka, ayezosebenza njengabaqondisi nemikhiqizo yabo. Le mfuneko elihambisana kungadala Central Bank of Russia noma ngqo ikhasimende.
2. Isinxephezelo umonakalo odalwe ngenxa ukuqaliswa kwezezimali, kanye nokumiswa izinkontileka.
3. I ukukhokha inzalo inani ukuthengiselana / izivumelwano ngemvume. ubungako bawo inqunywe Art. 395 we Code Civil. Lapho umehluko omuhle phakathi yokudayisa kwamatayitela / ekunqanyulweni izinkontileka kanye nenani zikhokhwa maqondana ukuthenga / ukudayisa kwezezimali, isithakazelo ikhokhwa inani ingamboziwe ke.

Isitatimende kwesimangalo on isicelo imiphumela ezifanele umhlanganyeli zochwepheshe ukuthengiselana ephula nezidingo 39-FZ "On the Securities Market" lungenzeka ungakapheli unyaka ukusukela ngosuku kokuthola umbiko yiklayenti.

Izici ezengeziwe

IMenenja kungase ngokuzimela kuthunyelwe enkantolo iyiphi ukumangala kusukela ekuqaliseni ukusebenza imisebenzi yayo, ezihlanganisa isiqondiso esifanele enikeza abanikazi bamasheya kanye nabanye abanikazi nokuvikeleka. Kulokhu, lapho kuzodlondlobalisa izindleko ezifanele, kubandakanya zempahla kanye. Basuke ihlawulelwa kusukela impahla, silokhu sikhonza njengamaphayona esikhathi into ukuphathwa ithemba. party Professional futhi unelungelo ukuphathisa omunye isihloko ukwenza ukuthengiselana. Basuke eyenziwa egameni umlawuli noma umphatheli. Ukuthengiselana zenziwa ngezithukuthuku impahla okuyisihloko yesivumelwano. Ukuphatha unelungelo isinxephezelo. Isimo yokukhokha zawo ezimisiweyo e inkontileka. Ngaphezu kwalokho, ufanelwe ukuba isinxephezelo izindleko eyenziwa ngakuwo phansi ukuphathwa ithemba, bangakunaki impahla abafanele. Leli lungelo angeke zilawulwe irisidi imali evela kokwenziwe.

imisebenzi

Zikahulumeni ngiyoqhubeka amarekhodi izibambiso, besebenza njengendikimba izinto womsebenzi wayo, kanye inkontileka ngayinye. Ngokubona kwayo, i-professional umhlanganyeli nokobana wonke amalungelo elisungulwe kwezezimali. Imikhawulo inkontileka kungenzeka ibekwe ukuphathwa kwempahla. Ngokwesibonelo, ukugcwaliseka ilungelo lokuvota. Uma-ke akugcini, ukulawula ayisukumele ubunikazi izibambiso. Esikhathini engekho amandla ukuzivocavoca ukuvota emhlanganweni ojwayelekile we abanikazi kwezezimali kanye amayunithi ukutshalwa umhlanganyeli professional kumele anikeze ulwazi mayelana umsunguli yesivumelwano ngenjongo yokuyohlelekela uhlu amabhizinisi abe leli khono. Ubeke isenzo normative osungulwe futhi eminye imisebenzi. Ikakhulukazi, ngesicelo umphathi umsunguli likhomba le depositary ekusebenziseni ivoti lokuqala.

Dlulisela Agent

Ubizwa bakhangwa umbhalisi, okuyinto igcina irejista lemihlomulo abanikazi kwezezimali ukuze kuqalise ukusebenza imisebenzi. Ibhizinisi wenza imisebenzi okuhambisanayo esekelwe inkontileka futhi proxy. Ngokuhamba ibhizinisi ye-ejenti ukudluliswa kumele akhombise ukuthi asebenza i-egameni Registrar, uhambise amaphepha adingekayo ukuze abathintekayo.

amalungelo

Basuke ebekiwe inkontileka namandla ommeli. Akuthintayo abathintekayo Unelungelo:

1. Thatha amaphepha adingekayo ukuze afeze imisebenzi kwirejista.
2. Nikeza abantu obhalisiwe nezinye izitatimende l / s, izaziso kanye neminye imininingwane enikeziwe nguMbhalisi.

imisebenzi

abadlali ezibandakanyiwe kufanele:

1. Thatha izinyathelo ezifanele ukuze abone abantu abazithobayo amaphepha adingekayo ukuze afeze imisebenzi kwirejista.
2. Nikeza ukufinyelela amarekhodi umbhalisi izinto ngesicelo sakhe.
3. Hlonipha ukugcinwa kwemfihlo yokwaziswa etholwe ekufezeni ukuthengiselana.
4. Feza izifakazo abamele abantu kubhaliswe.
5. Qinisa nesignesha abantu zemvelo ngokuvumelana nemithetho eyasungulwa Central Bank.
6. Athobele ezinye izidingo eshiwo Central Bank.

Ukubalwa kwesikhathi kwemisebenzi kwirejista noma ngokwehluleka ekusebenziseni sebete kusukela osukwini okushicilelwe ngalo abathintekayo imibhalo negunya efanele. I-ejenti ukudluliswa kanye rekhoda ku ukuxhumana kumele abelane ngolwazi futhi izinto elektroniki.

Imithetho for nokunikeza ulwazi

On isihloko isicelo, bephoqelekile kwezezimali (umkhiphi), umnikazi okuzisholo izibambiso noma umuntu onomthwalo wemfanelo isitoreji eyodwa, kufanele ahlinzeke uhlu abanikazi. Kumiswa It is ngosuku ecacisiwe esicelweni. I Umkhiphi angase athi nale mfuneko, inkosikazi uma imibandela yalo lolu hlu kubalulekile ukusebenzisa nezibopho ezibekwe emthethweni wezwe. Lolu hlu uthunyelwa zingakapheli izinsuku eziyishumi nanhlanu kusukela ngosuku kokuthola isicelo. Uma usuku olubekiwe kulesi sicelo umhla ikhalenda irisidi yayo, inkathi ngeke ibalwe kusukela ngosuku olushiwo esazisweni.

uhlu Lokuphakathi

Abanikazi ohlwini kufanele licaciswe:

1. Buka uhlobo (isigaba) ka kwezezimali kanye nolwazi ukuze aziwe yabo.
2. Imininingwane Umkhiphi.
3. Ulwazi mayelana abanikazi izibambiso, kuhlanganise izinkampani zakwamanye amazwe, engesiyo inhlangano yawo ibe esemthethweni ngaphansi kwemithetho yezwe kwamiswa lapho, kanye nezinye izinhlangano ukuthi liqalise amalungelo zomculo zezimali kanye abantu lalabo zenziwa. Ulwazi mayelana esidlule kungenzeka zifakwe ohlwini. Lokhu uvunyelwe ngaphansi kwezimo ezithile. Ikakhulukazi, umuntu obonisa amalungelo ku kwezezimali kuyinto inkampani ukuphathwa utshalomali esingokwezimali sesikhwama mutual noma inhlangano yangaphandle ehilelekile collective / Zotshalo kokubili ngaphandle futhi lapho kumiswa inhlangano esemthethweni, uma inani labamba iqhaza ingaphezu 50.
4. Ulwazi mayelana abantu amalungelo abo ukuze kwezezimali okwenziwa zase Treasury l / s umkhiphi, idiphozi futhi amanye ama-akhawunti, njengoba kuchaziwe kwezinye FZ uma lezi zidalwa musa nokuqalisa ongakhetha izinkonzo zezomthetho ezikhona.
5. Imininingwane ivumela ukuhlonza kubhekiselwe kuyo esandulele abantu ezigabeni ezimbili. Uhlu lufaka isibalo amasheya ephethwe yibo.
6. Ikhodi International ukuhlonza isihloko ukubhaliswa amalungelo kwezezimali yezinhlangano kanye nabantu abangabodwa ezishiwo Sec. 3-4, kuhlanganise angaphandle lophakanyisiwe umnikazi futhi inkampani angaphandle ukuthi unelungelo lokwenza ushintsho kanye accounting imithetho.
7. idatha abantu abakwazi ukunikeza ulwazi kumiswa uhlu, kanye nenani lamasheya for okungekho Imininingwane etholwe.
8. Ulwazi inani kwezezimali, okuyinto afakiwe nase-akhawunti zezikhonzi ezingaziwa.

isiphetho

UMbhalisi kungadinga nezinhlangano ezibhalisiwe, futhi depositary - emabhange uma benza abaqokiwe (kuhlanganise angaphandle), ukunikezwa kolwazi ukwakha uhlu ngosuku oluthile ukulungiswa isicelo esishiwo ngenhla. Umuntu wavula i-akhawunti, kumele anikeze ulwazi oludingekayo ukuze yokusungula. Isihloko zisebenzise ilungelo zomculo zezimali egameni abanye abahlanganyeli, ngesicelo umbhalisi noma Depository ukugcinwa kwamarekhodi, kufanele ukuthumela idatha iceliwe ukukhiqiza uhlu abanikazi.