State Securities Commission. CYSEC (Cypriot Securities and Exchange Commission). When CYSEC was created

The company is currently eliminated! Company liquidation date: 02/18/2010

Legal status:
Liquidated

Full name:
Moscow Commission on Securities and Fund Market

Inn: 7704145037, OGRN: 1107799004169

Leader:
Legal entity: Klimovich m in
- He is a leader in 1 organization (valid - 0, invalid - 1).

The company with the full name "Moscow Commission on Securities and Fund Market" registered 04/17/1996 in the city of Moscow legal address: 119034, city Moscow, d. 17.

Registrar "" assigned the company Inn 7704145037 OGRN 1107799004169.

Liquidation

Requisites

other information

History of changes to the register

1. Date: 18.02.2010
   UAH: 1107799004169
   Tax authority: Office of the Federal Tax Service in Moscow, No. 7700
   Cause of changes: Entry into the Unified State Institute of Information about Yul, created until July 01, 2002, according to tax authorities
   Documentation:
   
   
   
2. Date: 18.02.2010
   UAH: 2107799023176
   Tax authority: Office of the Federal Tax Service in Moscow, No. 7700
   Cause of changes: Exception from EGRUL Yul, actually ceasing its activities
   Documentation:
   - certificate of the absence of means of money on accounts or absence of open accounts
   - certificate of non-submission of Yul over the past 12 months of reporting documents
   - Decision on the upcoming exception for invalid Yul from EGRUL

Legal address on the city map

Other organizations in the catalog

1. , St. Petersburg - existing
   Inn: 7816270283, OGRN: 1157847196902
   192289, city of St. Petersburg, Prospect of the Ninth and January, House 15a
   General Director: Ivanov Alexey Leonidovich
2. , Saratov - liquidated
   Inn: 6451123768, OGRN: 1036405107155
   410015, Saratov region, city of Saratov, Square Ordzhonikidze, d. 11
3. , Volgograd - liquidated
   Inn: 3443028508, OGRN: 1063443055961
   400075, Volgograd region, city Volgograd, 51st Guards Street, d. 5, apt. 55.
   Director: Epichein Vasily Vasilyevich
4. , Moscow - liquidated
   Inn: 7713023109, OGRN: 1077746985183
   126206, city Moscow, Vuchetich Street, d. 18
   Leader: Kalinichenko Vyacheslav Viktorovich
5. , Orenburg - existing
   Inn: 5610152797, OGRN: 1135658009475
   460000, Orenburg region, city Orenburg, Victory Avenue, House 174
   General Director: Alexander Varlamov Vladimirovich

Commission for securities Birzham – english Securities and Exchange Commission, Sec, Government Commission, established by the US Congress in order to carry out regulatory activities in the securities market to protect investors. In addition to the functions of regulation and protection, it also controls corporate absorption in the United States. The Securities and Exchange Commission consists of five special authorized applicants appointed by the US President and approved by the Senate. Charters that regulate the activities of the Commission are designed to help complete information disclosure and protect the public and investors from fraudulent and manipulative methods in securities markets. Most issues of securities offered for trade throughout the United States, through mail or on the Internet, must be registered in the Securities and Exchange Commission.

For example, within the limits of the Commission's powers, the following is: If someone buys more than 5% own capital Companies, he must inform about this in the Securities and Exchange Commission within 10 days after purchase, since in this case the threat of absorption arises, which falls under the jurisdiction of the Commission.

The Federal Commission for the Securities Market (hereinafter - FCCB or Federal Commission) is the federal executive authority for public Policy In the field of securities market, control over the activities of professional participants in the securities market through the definition of the order of their activities and to identify the emission standards of securities.

Powers Federal Commission do not apply to the issue of government debt issuance procedure Russian Federation and securities of constituent entities of the Russian Federation. Representative bodies of public authorities and local governments establish the limit volumes of issuing securities issued by the authorities of the relevant level.

The organization, main functions and competence of the FCCB mainly regulates the law of the Russian Federation "On the securities market". The Federal Commission is a legal entity, has a seal with the image of the state coat of arms of the Russian Federation and with its name, the current account and other accounts, including currency. The location of the FCCB is the city of Moscow. The head of the Federal Commission is by the Federal Minister. Positions of the five members of the FCSB (First Deputy Chairman, Vice-Chairperson, the Secretary of the Federal Commission) are public posts. public service And replace in the prescribed manner. FCCB activities are built on a collegial basis. The Board of the Federal Commission consists of 15 members, including the Chairman of the Federal Commission, the First Deputy and Vice-Chairperson, the Secretary of the Federal Commission. Five members of the Board of the Federal Commission are representatives of the federal executive bodies, whose competence includes issues related to the securities market. In their composition in obligatory The representative of the Ministry of Finance of the Russian Federation is included. One member of the Board of the Federal Commission is a representative Central Bank Of the Russian Federation, two members of the Collegium represent the chambers of the Federal Assembly of the Russian Federation. According to the Board of the Federal Commission, the Chairman of the Expert Council under the Federal Commission on Securities Market.

The Expert Council under the Federal Commission for the Securities Market Market is a consultative and advisory body, which is created by the Federal Commission and which includes 25 members: representatives of state bodies and organizations whose activities are related to regulation financial market and securities market, professional participants in the securities market, self-regulatory organizations of professional participants in the valuable market

18 Regulations on self-regulatory organizations of professional participants in the securities market: Decree of the FCCB of the Russian Federation of 01.07.97.

securities, their unions, associations, other public associations and independent experts.

His candidates for the Expert Council under the Federal Commission on the securities market elect professional participants in the securities market at the All-Russian Conference of Professional Participants in the Securities Market Organized by the Federal Commission. Selected candidates are approved by the decision of the Federal Commission. The Chairman of the Expert Council is elected by members of the Expert Council and is approved by the Chairman of the Federal Commission.

The procedure for submitting candidates for election to the members of the Expert Council, holding and summarizing the voting results is established by the decision of the All-Russian Conference of Professional Participants in the Securities Market. Candidates for the Expert Council from state bodies are submitted by these state bodies and are approved by the decision of the Federal Commission. A member of the Expert Council is appointed for a period of two years with the possibility of assigning any number of times.

Working in the Board of the Federal Commission and the Expert Council under the Federal Commission on the Securities Market Representatives of state bodies and other organizations specified in this article is carried out free of charge. The Board of the Federal Commission independently approves the regulations for the work and activities of the Expert Council.

The Federal Commission creates territorial bodies for the implementation of its powers. The regional offices of the Federal Commission are formed by the decision of the Federal Commission on coordination with the executive authorities of the constituent entities of the Russian Federation to ensure the rules and conditions of operation established by the legislation of the Russian Federation stock market, the practical implementation of decision-made decisions and control over the activities of professional participants in the securities market. The Regional Office of the Federal Commission is valid on the basis of the provision approved by the Federal Commission. The Chairman of the Regional Office is approved by the Federal Commission on the basis of a joint representation of the head of the executive authority of the constituent entity of the Russian Federation and the Chairman of the Federal Commission.

The Federal Commission has a working apparatus. The costs associated with the activities of the Federal Commission are funded from federal budgetdirected to the maintenance of federal executive bodies.

Functions of the Federal Commission:

implements the development of the main directions of development of the securities market and coordinate the activities of federal executive bodies on the regulation of the securities market;

approves the emission standards of securities, issuing securities emission prospectuses, including foreign issuers carrying out the issuance of securities in the Russian Federation, and the procedure for registering emissions and prospectuses of securities emissions;

develops and approves uniform requirements for implementation rules professional activity with securities;

establishes mandatory requirements for operations with securities, the values \u200b\u200bof admission of securities to their public placement, applying, quotation and listing, settlement and depository activities. Rules for keeping accounting and reporting issuers and professional participants The securities market is established by the Federal Commission together with the Ministry of Finance of the Russian Federation;

establishes mandatory requirements for registry maintenance;

sets the order and licensing different species professional activity in the securities market, and also suspends or annuls these licenses in case of violation of the requirements of the legislation of the Russian Federation on securities;

7) issues general licenses to carry out activities to licensing the activities of professional participants in the securities market, and also suspends or annuls these licenses. Cancellation of the General License issued authorized body, does not entail the cancellation of licenses issued to them by professional participants of the securities market;

establishes order, licensing and maintains the register of self-regulating organizations of professional participants in the securities market and annuls these licenses in violation of the requirements of the legislation of the Russian Federation on securities, as well as standards and requirements approved by the Federal Commission;

determines the standards for the activities of investment, non-state pension, insurance funds and their management companies, as well as insurance companies in the securities market;

monitors the compliance with issuers, professional participants in the securities market, self-regulatory organizations professional participants in the securities market requirements of the legislation of the Russian Federation on securities, standards and requirements approved by the Federal Commission;

provides disclosure of information on registered issues of securities, professional participants in the securities market and regulating the securities market;

ensures the creation of a publicly available information disclosure system in the securities market;

13) approves the qualification requirements imposed on persons and organizations carrying out professional activities with securities to the personnel of these organizations, organizes studies on the development of the securities market development;

develops projects of legislative and other regulatory acts related to the regulation of the securities market, licensing the activities of its professional participants, self-regulating organizations of professional participants in the securities market, monitoring the observance of legislative and regulatory acts on securities, conducts their expertise;

develops appropriate guidelines In practice, the application of the legislation of the Russian Federation on securities;

carries out the leadership of the regional offices of the Federal Commission;

leads the register of issued, suspended and canceled licenses;

establishes and determines the procedure for admission to the primary placement and appeal outside the Russian Federation of securities issued by issuers registered in the Russian Federation;

appeals to the Arbitration Court with a claim for the liquidation of a legal entity who violates the requirements of the legislation of the Russian Federation on securities, and on the application to the violators of sanctions established by the legislation of the Russian Federation;

oversees the compliance of the volume of issuance of emission securities to their number in circulation;

sets the relationship between the sizes of the declared emission of stocks on the bearer and paid by the authority capital.

Federal Commission has the right to: 1) issue general licenses to licensing professional participants in the securities market, as well as to control the securities market to federal executive bodies (with the right to delegate functions to licensing them to territorial authorities);

2) qualify securities and determine their types in accordance with the legislation of the Russian Federation;

installation of securities market required for professional participants (with the exception of credit institutions) own funds and other indicators that restrict risks on securities operations;

in cases of repeated or gross violation by professional participants in the securities market of the legislation of the Russian Federation on securities, decide on the suspension or cancellation of a license issued for professional activities with securities. Immediately after the entry into force of the decision of the Federal Commission on the suspension of the license state bodywho issued the relevant license should take measures to eliminate violations or cancel the license;

on the grounds provided for by the legislation of the Russian Federation, refuse to issue a license of the self-regulating organization of professional participants in the securities market, cancel the license issued to it with the obligatory publication of reports of this in the media;

to organize or together with the relevant federal executive authorities to conduct audit activities, appoint and report inspectors to control the activities of issuers, professional participants in the securities market, self-regulating organizations of professional participants in the securities market;

direct the issuers and professional participants of the securities market, as well as their self-regulatory regulations, mandatory execution, as well as to require them to submit documents necessary to address issues under the competence of the Federal Commission;

8) send materials to law enforcement agencies and contact the Court of Court (Arbitration Court)

rosham assigned to the competence of the Federal Commission (including invalidity of securities transactions);

9) make decisions on the establishment and elimination of regional offices of the Federal Commission;

apply to K. officials and specialists who have qualifying certificates for the right to carry out operations with securities, in case of violation of the legislation of the Russian Federation;

set the standards that are mandatory to comply with the issuers of securities, and the rules for their application.

The Federal Commission makes decisions on the regulation of the securities market, the activities of professional participants in the securities market, self-regulatory organizations of professional participants in the securities market and monitoring compliance with the legislation of the Russian Federation and regulatory acts on securities. These decisions are made in the form of decisions, signed by the Chairman of the Federal Commission, and in its absence - its first deputy.

The adoption of the Decisions of the Federal Commission without prior consideration by their expert council under the Federal Commission on the Securities Market is not allowed. Expert Council under the Federal Commission on the Securities Market:

preparation and preliminary consideration of issues related to the execution of powers of the Federal Commission;

development of proposals for the main directions for regulating the securities market;

preliminary consideration of draft regulations adopted by the Federal Commission and their publication at the request of any member of the Expert Council under the Federal Commission on the Securities Market. The expert council is entitled by a majority of his members suspended

for a period of up to six months, the introduction of the decrees of the Federal Commission.

Decisions of the Federal Commission are subject to mandatory publication. Preparation and adoption of documents in which the Federal Commission specifically stands out credit organisation, are manufactured as agreed with Central Bank RF. Regulation of operations with currency stock values \u200b\u200bis made by the Federal Commission in coordination with the Central Bank of the Russian Federation. Regulations For the regulation of the securities market, the activities of professional participants in the securities market, self-regulating organizations of professional participants in the securities market are made by federal ministries and other federal executive bodies within their competence only in coordination with the Federal Commission.

Decisions of the Federal Commission on issues related to its competence are mandatory for executive by federal ministries and other federal executive bodies, the executive authorities of the constituent entities of the Russian Federation and local governments, as well as professional participants in the securities market and self-regulatory organizations. At the same time, the Decree of the Federal Commission may be appealed by physical and legal entities To court or to the arbitration court.

(USA) (eng. The United States Securities and Exchange Commission (SEC) ) - The US government agency is the main body that performs the fungal and regulation of the American securities market. The Commission was established in President Roosevelte. The purpose of the creation of the Commission was to restore investor confidence in the stock market during the Great Depression. The first chairman of the SEC became Joseph Kennedy, the father of the future president of the country of John Kennedy.

The Commission was established in accordance with the Securities Trade Act of 1934 (Securities Exchange Act of 1934). In addition to this act, the Commission's activities are governed by the following significant laws:

• Securities Act (Securities Act of 1933),
• Law on Trust Agreement 1939 (The Trust Indenture Act of 1939),
• Law on Investment Companies 1940 (The Investment Company Act of 1940),
• Law on Investment Consultants 1940 (The Investment Advisers ACT OF 1940),
• Sarbains Law - Oxley 2002 (The Sarbanes-Oxley Act of 2002).

At the moment, the Chairman of the Commission is Mary L. Shapiro, appointed by the US President Barack Obama and the US Senate.

Links

• Securities and Exchange Commission - Homepage

Wikimedia Foundation. 2010.

• Securities Commission (Brazil)
• Commission under the President of the Russian Federation on State Award

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Books

• Ball of predators, Connie Brooke. This book is the result of the interview, which Connie Brooke managed to take in two and a half years old who can be considered the main collective character of this book, - the employees of the investment ...

Cypriot Securities and Exchange Commission ( Cysec.) - State regulatory body of investment and currency organizations In the Republic of Cyprus. Given the fact that the state is a full member of the European Union, CYSEC works on European supervision standards for firms that carry out financial and foreign exchange transactions.

When CYSEC was created

The history of CYSEC is more than ten years of activity in the field of brokers regulating on the stock exchange. The body was created in 2001. Initially, the body was supposed to control the activities of the subjects of the Stock Exchange in principle, but gradually the scope of activities was narrowed before issuing licensed documents and further control over brokers.

In 2004, a significant event occurred in the history of the body. Due to the entry of the republic in European UnionThe Commission expanded its influence on the entire Commonwealth. During the previous three years, the authority had exclusively domestic jurisdiction.

Field of activity CYSEC.

As mentioned above, the main sector of the Commission's activities is issuing licenses to brokers and control over their activities. Additional include the following directions:

• Control over securities on the stock exchange, their analysis and evaluation.
• Supervision of the execution of regulatory acts regulating the activity on the Stock Exchange and the activities of brokers.
• Analysis of the results of daily operations on the stock exchange.
• Certification of top-miners investment companies.
• The use of fines to violators of legislation.

It is worth noting that Cysec. It has an impact on market participants and can apply disciplinary and administrative sanctions to them.

This is due to the fact that this commission is non-commercial, and state structurewhich can apply state coercion tools.

What subjects are the control of the Commission?

• - Investment firms of Cyprus.
• - Branches of national investment firms and representation of investment firms from the European Union in the country.
• - Representatives of Cypriot firms abroad.
• - Investment funds open typecorresponding to the EU parameters.
• - Managing the above-mentioned funds.
• - Representatives of investment funds and their branches, both national registration and foreign (in the territory of the European Union).
• - Trust and fiduciary funds.
• — Investment organizations with variable capital.
• - Dealing companies.

These subjects of the Financial Exchange are required to fulfill the requirements of the law and the CYSEC requirement.

Commission structure

The membership Council of the Commission consists of five people. Also, the Commission has three members who are not endowed with executive powers.

Members of the Commission Council work on a constant basis as civil servants. They are appointed by the Council of Ministers of Cyprus at the proposal of the Minister of Finance of the Republic for a five-year term. Member of the Commission may be re-elected.

The Commission itself consists of nine departments and offices that are divided into functional destination (Department of Control, Licensing Department, Department of International Relations, and so on).

Goals and Vision Stock Exchange Management from CYSEC

The main purpose of the organization is "Investor's Protection and Ensuring the Stable Development of the Honest Market". The purpose of the organization is to transform the Cyprus Stock Market in one of the most reliable and attractive investment facilities.

Investor protection

Investor, victim fraud from a broker, can file a lawsuit against the subject, controlled by CYSEC. At the same time, the claims are divided into two types:

• Against Cyprovsky investment Fund, his representative offices and branches.
• Against the body, not controlled by CYSEC.

If the first lawsuit is a lever for the full production and intervention of the Commission to apply sanctions, the second lawsuit does not provide for the participation of CYSEC in the protection of the rights of the investor.

Taking part in the bidding of the Foundation, an uncomplicated CYSEC, an investor can fill out such a claim only to transfer to the court of general jurisdiction through the CYSEC bodies. At the same time, the latners will not participate in the proceedings, and the sanctions will be applied in accordance with the National Cyprus legislation.

CYSEC reporting

Every year, the Commission reports to his work to the Minister of Finance of Cyprus. The document displays the results of CYSEC, namely:

• Market changes, trends.
• Offenses on the stock exchange, the results of the investigation and application of sanctions.
• Protection of investors.

Cysec license issuing licenses

CYSEC license is a guarantee of the reliability of broker and investor protection.

In order to get a document, a company representative needs to be in Cyprus personally and provide development plan brokerage companyreporting on previous activities. Prerequisite The license is also a warranty fee to the bank.

In addition, CYSEC will check the presence of a sufficient number of state and analyzes the income of the company.

Additionally, documents such as the company's charter, main policies are required.

Cysec sanctions

The main offenses under the jurisdiction of CYSEC are:

• Closed transaction information.
• Non-compliance with the program of activity.
• Non-compliance with reporting.
• Delay payments.

For each of the above crimes, a fine of 5,000 euros is foreseen. The total number of possible offenses is six. There are more than 36,000 for one-time violation of all norms by simple calculations. A rather big amount even for a large broker.

In case of constant irregularities of the legislation and requirements of the Securities Commission and stock ExchangeSubcontroll the subject risks losing licenses to occupy brokerage activities from CYSEC. In this case, the re-licensing can be quite problematic.