Federal uMthetho № 39-FZ "Ngomhla Securities Market ': Key

Federal Umthetho 39-FZ ilawula unxulumano evela ngokunxulumene kunikezelo kunye ukusasazwa kwezixhobo zemali, kungakhathaliseki uhlobo sobunyani, imithetho yokusekwa kunye nokusebenza nxaxheba zobungcali lwamaqonga zorhwebo. Esilandelayo ezinye izibonelelo isenzo emisiweyo.

Overview

Kukho iindidi ngeendidi umsebenzi kwimarike kuzizibambiso. Oku nxaxheba yobungcali kuthwalelwa phandle, ngokuqhelekileyo. Okwangoku imibutho kuvamile ukuba anikezele ngeenkonzo ezahlukeneyo kubatyali-mali. Umsebenzi ophambili we-nxaxheba zemarike izenzo ukulondoloza nokwandisa eyinkunzi. Useka imithetho esisiseko ingqalelo ulawulo, kwakunye Central Bank of Russia. Kusebenza somthetho kunye negunya okugada isitshixo.

umsebenzi umthengisi ngayo

Le enxulumene ikomishini imicimbi ukuze kuthengwe okanye ukuthengiswa kwezixhobo zemali. Ezi imisebenzi, ngokungqinelana ne-FZ 39 "Ngomhla Securities Market", olwenziwe ngeendleko zakhe yaye egameni lakhe emva kokuba isaziso uluntu kwexabiso yentengo ukuzibophelela / ukuphunyezwa. nxaxheba Professional bangenza izifundo ezichazwe ngokungqongqo. Ukuthengiswa / ukuthengwa bonds kunye nezinye izixhobo zemali ikhutshwa phandle amaqumrhu asemthethweni ezo ezikhoyo zorhwebo, kwakunye neenkampani zikarhulumente, ukuba kwabasemagunyeni abachaphazelekayo kucacisiwe nemimiselo elawula umsebenzi wabo.

kumiselwe iimeko

umsebenzi umthengisi ibandakanya le nkcazo:

1. Ubuninzi / inani ubuncinane kwizixhobo zemali ukuthengisa / kuthengwe.
2. Ixesha apho ixabiso ihleliwe.

Xa kungekho sibhengezo kuluhlu neminye imimiselo eyimfuneko kunye nemiqathango, a nxaxheba oqeqeshiweyo kufuneka enze isivumelwano ukuba isindululo client. Xa ukubuthwa, ngokungqinelana ne-FZ 39 "Ngomhla Securities Market", nalo ukumangalela okunyanzeliswa neemfuno esekwe okanye ukubuyisela ilahleko ekungenwe-mali.

ulawulo

ulawulo izibambiso ibandakanya imicimbi kwizixhobo zemali, imali esetyenziswa ngokuthenga kunye nezivumelwano. Ukufezekisa oku, njengokuba ulawulo jikelele efuna mvume. Le Okungumahluko xa ulawulo liqhagamshelaniswe kuphela Ekusebenziseni amalungelo owokubethelwa zemali. Umyalelo we imicimbi kulawulwa isenzo emisiweyo phantsi ingqalelo kunye sivumelwano. Ekuqhutyweni kwemisebenzi nxaxheba professional kufuneka abonise ukuba lisebenza ukulawula.

Amalungelo noxanduva

Ukuba ukungqubana kwezimvo-nxaxheba ngobuchule kunye nabathengi enye / ezininzi, apho amaqela khange endazi ngenxa engaphambili, kukhokelele nezahlulo elabangela umonakalo yokugqibela, ulawulo unyanzelekile ukuba ihlawule umonakalo ngeendleko zakhe. Izincomo isenzo olumisiweyo kwasekwa amaqumrhu asemthethweni. Ngokukodwa, i nxaxheba yobungcali ngokungqinelana-FZ 39 "Ngomhla Securities Market", unokuthenga izixhobo zemali ukuthi zenzelwe abatyalimali abafanelekayo, kwakunye ukungena kwimvumelwano efanelekileyo. Ukuba lokwaphula imiqathango emiselwe ifike neziphumo ezibi zesifundo. Phakathi kwabo:

1. Isinyanzelo ukuphumeza izixhobo zemali kwaye lokuphelisa isivumelwano, bakhonze avela zabo. Imfuneko esihambelanayo ethule i Central Bank of Russia okanye ngqo kwi ngumthengi.
2. Imbuyekezo ngenxa yomonakalo obangelwe ngenxa yokuphunyezwa izixhobo zemali, kunye nokupheliswa kwezivumelwano.
3. Ukuhlawulwa kwenzala kwisixa-mali / izivumelwano ezisayiniweyo. ubukhulu yabo iqinile yi Art. 395 of the Code Civil. Xa engumahluko onguphozithivu phakathi iinzuzo evela kwintengiso izibambiso / nokupheliswa kwezivumelwano kunye mali esihlawulwayo malunga nokuthengwa / intengiso izixhobo zemali, nzala iye ihlawulwe kwisixa evuliwe kuyo.

Ingcaciso sebango ngokusetyenziswa imiphumo ebandakanyekayo nxaxheba lobuchule intengiselwano waphula umthetho iimfuno of 39-FZ "Ngomhla Securities Market" lungenzeka kwisithuba sonyaka omnye ukususela kumhla wokufunyanwa ingxelo ngumxhasi.

Iimpawu ezongezelelweyo

Umlawuli unakho ngokuzimeleyo ithunyelwe enkundleni ngokuchasene naziphi na amabango ezivela ekuphunyezweni kwemisebenzi yayo, kuqukwa kwicala elichanekileyo enika zabelo kunye nabanye abanini zokhuseleko. Kulo mzekelo, uya kubizwa intlawulo iindleko ezifanelekileyo, kubandakanywa umsebenzi isitampu. Bona ihlawulelwa ukusuka kwipropati, bakhonza njengoko into yolawulo trust. party Professional ke unelungelo lokuba ukunikezela esinye isifundo ukwenza zoshishino. Bona eqhutywe egameni umlawuli okanye unondyebo. Iintengiselwano ezenziweyo ngeendleko ipropati esingunobangela kwekhontrakthi. Ukulawula banelungelo lokufumana imbuyekezo. Imeko intlawulo yayo esekwe kwisivumelwano. Ukongeza, ukuba uvumelekile ukuba imbuyekezo kwamaxabiso olwenziwe phantsi kolawulo intembeko, ngeendleko kwipropati oluhloniphiweyo. Eli lungelo awukwazi zilawulwe kokufunyanwa ingeniso evela kwintengiselwano.

imisebenzi

IRhuluneli bagcine iirekhodi lwako, ababekhonza izinto umsebenzi wakhe, kwakunye kwimvumelwano nganye. Ngokokubona kwayo, lowo uthatha inxaxheba abaqeqeshiweyo zokusebenza onke amalungelo esekwe kwizixhobo zemali. Le mida ngokwemvumelwano mabaqeshwe ibekwe kulawulo lweempahla. Umzekelo, ukufezekisa ilungelo lokuvota. Ukuba kuphela, ulawulo emele ubunini izibambiso. Xa kungekho amandla ukusebenzisa okuvota kwintlanganiso jikelele abanini yezixhobo zemali kunye neeyunithi zotyalo ze-nxaxheba Kufuneka unikeze ulwazi malunga ngunozala imvumelwano ekwenzeni uluhlu yamaqumrhu oku khono. Wathi isenzo olumisiweyo kusekwa kunye neminye imisebenzi. Ngokukodwa, ngesicelo umphathi umsunguli sinika inkcazo depositary ukuphunyezwa kwale voti yokuqala.

Dlulisa Agent

Yena uyawathanda ngumgcini, leyo ligcina irejista abanini yezixhobo zemali ukuze kuphunyezwe kwemisebenzi. IQumrhu lenza imisebenzi ehambelana esekelwe kwi contract kunye proxy. Ekuhambeni ishishini arhente wotshintsho kufuneka abonise ukuba ziyasebenza yaye egameni zobhaliso, angenise amaxwebhu ayimfuneko kumaqela anomdla.

amalungelo

Bona kuchaziwe kwisivumelwano kunye namandla ligqwetha. Ukubandakanya abachaphazelekayo banelungelo:

1. Thabatha amaxwebhu ayimfuneko ukuze enze imisebenzi kwirejista.
2. Nika abantu ababhalisiweyo kunye nezinye iingxelo l / s, izaziso kunye nezinye iinkcukacha azingenisayo ngunobhala.

imisebenzi

abadlali ababandakanyekayo kufuneka:

1. Thabatha amanyathelo afanelekileyo ukuchonga abantu angenise amaxwebhu ayimfuneko ukuze enze imisebenzi kwirejista.
2. Ukubonelela ukufikelela kwiirekhodi izinto umbhalisi ngokwesicelo sakhe.
3. Zihlonele imfihlo yolwazi abalufumene ekwenzeni imicimbi.
4. Ukwenza zisemthethweni abameli labantu ababhalisiweyo.
5. Siyamazisa iisiginitsha abantu bendalo ngokungqinelana nemigaqo emiselwe yi-Central Bank.
6. Thobela nezinye iimfuno ezichazwe yi-Central Bank.

Ukubalwa ixesha imisebenzi kwirejista okanye ukusilela kuphumezo lwazo iqala ukususela kumhla amaqela achaphazelekayo amaxwebhu afanelekileyo kunye negunya. I-arhente transfer kunye rekhoda kwi intsebenziswano kufuneka abelane ngolwazi kunye nezinto nge-elektroniki.

Imithetho ngokunika ulwazi

Ngomhla mxholo isicelo, kunyanzelekile kwi izixhobo zemali (umkhuphi-), umnini olutyunjwe izibambiso okanye umntu onoxanduva yokugcina esembindini kumntu wonke, kufuneka ukuba unike uluhlu lwabanini. It senziwa ngomhla inokubalulwa kwisicelo. I-Umnikeli angase athi le mfuneko, ukuba kubonelelo lolu luhlu oko kuyimfuneko ukuze kuphunyezwe izibophelelo ezicaciswe kule mithetho federal. Olu luhlu ithunyelwa kwiintsuku ezilishumi emva komhla wokufunyanwa isicelo. Ukuba umhla emiselwe kule isicelo emva ikhalenda irisithi yayo, elo xesha liya kubalwa ukususela kumhla ochaziweyo kwisaziso.

uluhlu Contents

Abanikazi uluhlu kufuneka zicaciswe:

1. uhlobo View (udidi) kwezixhobo zemali kunye nolwazi ukuze aziwe zabo.
2. ulwazi umsebenzisi.
3. Ulwazi malunga nabanini izibambiso, kuquka iinkampani amazwe, nto leyo liqumrhu elisemthethweni phantsi kwemithetho yelizwe apho lenzeka, kwakunye namanye amaqumrhu ukuba asebenzise amalungelo wokubethelwa zemali kunye yomphefumlo ukuba benziwa. Ulwazi malunga ezidlulileyo akufunekanga zifakwe kuluhlu. Oku akuvumelekanga phantsi kweemeko ezithile. Ngokukodwa, umntu esebenzisa amalungelo owokubethelwa zemali yi inkampani kulawulo lwe investment lwe-mali ezifanayo okanye umbutho langaphandle ababandakanyekayo schemes yotyalomali eyintlanganisela / ehlangeneyo zombini ngaphandle kwaye ukuyilwa iqumrhu elisemthethweni, ukuba inani labathathi-nxaxheba ingaphezulu kwe-50.
4. Ulwazi malunga abantu amalungelo lwezixhobo zemali zenziwa kwi-Treasury l / s ye umnikeli, imali kunye nezinye iingxelo, njengoko kucacisiwe kwezinye FZ ukuba la maqumrhu musa ukuphumeza iindlela zomthetho ezikhoyo.
5. Yolwazi lokwenza ukukhangelwa ekuthethwa ngayo owandulelayo abantu ababini imihlathi. Olu luhlu luquka inani lezabelo eziphantsi ngabo.
6. ikhowudi International ukuchongwa isifundo ukwenza ubhaliso amalungelo lwezixhobo zemali imibutho kunye nabantu abakhankanywe Sec. 3-4, kuquka umnini umtyunjwa angaphandle kunye nenkampani langaphandle unelungelo lokwenza inguqu kunye accounting imithetho.
7. data kwi abantu awukwazi ukunika ingcaciso ukuze kwakhiwe kuluhlu, kwakunye nenani izibambiso apho kungekho lwazi ifunyenwe.
8. Ulwazi kwinani izixhobo zemali, ezifakwe kwi-akhawunti izifundo abangaziwayo.

isiphelo

UMbhalisi kufuna ukuba amaziko abhalisiweyo, kwaye depositary - kwabagcinisi ukuba benza njengoko abatyunjwa (kuquka amazwe), kwanelungiselelo lolwazi ukwakha uluhlu olunye usuku oluthile ekulungiseleleni yesicelo ikhankanywe ngasentla. Umntu othe wavula akhawunti, kufuneka unikezele ulwazi oluyimfuneko ukuze-inventri. Isifundo ekuphumeleliseni ekunene kwizixhobo zemali egameni nabanye abathathi-nxaxheba, ngokwesicelo kunobhala wenkundla okanye ukugcinwa elinguvimba iirekhodi, kufuneka ukuthumela i data bayacelwa ukujikelezisa uluhlu yabanini.