"On the Securities Market" - Law 39-FZ. Izinguquko namazwana

Okwamanje, kukhona isiqondiso ezikhethekile izibambiso emakethe. Umthetho yakhelwe ukulawula ubudlelwane ukuthi iphakame mayelana Ukukhishwa balo nokusakazwa kwalo kwezezimali. Le ncwadi ichaza izici ukwakheka kanye nokusebenza abahlanganyeli oqokiwe ukuthengiselana. Cabangela lokho okushiwo eminye umthetho "On the Securities Market".

Brokerage

Umthetho "Emakethe izibambiso" (2015) kunikeza incazelo abahlanganyeli eyinhloko ukuthengiselana isungule kwenkululeko nokusebenza kwabo. Ikakhulukazi, brokering kubhekwa ukukhishwa egameni client of civil-umthetho ukuthengiselana kwezezimali noma izivumelwano, ayezosebenza njengabaqondisi nemikhiqizo yabo. Lo msebenzi wenziwa ngesisekelo izinkontileka ihlawulelwa nemvelo. Ngakho, leli qembu ehola emisebenzini enjalo, ebizwa ngokuthi i-broker. Ukuze abe okhokhelwayo, kumelwe azi konke mayelana emakethe yamasheya. Umthetho uvumela yokufuna broker ngezindleko zakhe siqu unplaced ku eenkhundleni yisivumelwano, kwezezimali e babanike izinkonzo ezifanele.

esibalulekile

Broker ubakhiphele ngokwethembeka oda iklayenti ngendlela yamukelwa, ahlaziye kanye nokuhlinzeka ulwazi olufanele izibambiso emakethe. Umthetho usungula igunya zokukhokhelwa ku-oda zimali uma ziqhathaniswa nomthengisi ukusebenza emayini agqagqene imisebenzi. Uma izithakazelo ukungqubuzana kwezinhloso iklayenti kanye nomdayisi, eyokuqala engakaze aziswe, okubangelwa umonakalo, umlamuleli kufanele uzikhokhele ngokuvumelana nemithetho kuchazwe the Civil Code.

Amalungelo nezibopho

UMthetho Federal "On the Securities Market" ivumela ukuthengiselana kanye ikontraga nomdayisi oyibamba njengoba emelele kwezentengiselwano amaqembu ahlukene abangekho osomabhizinisi, kuhlanganise, uma kusekelwe okuqukethwe yesivumelwano. Izibopho eziphuma ngaphansi inkontileka ungangenanga ngemvume ku ukuhweba ehlelekile, ngamunye enamalungu - nomdayisi, ungemi endaweni kuqondana ayemkweleta futhi okweletayo e umuntu ofanayo, uma kwenziwe yizinkampani zangaphandle noma ngenxa ezihlukahlukene amaklayenti zabo ukuze bakhonze izithakazelo zimali ezahlukene. UMthetho Federal "On the Securities Market" akuhambisani isiphelo sesimiso isivumelwano esinjalo, uma kwenziwe ngenhloso ukubulawa kwabo oda, ayiqukethe intengo yesivumelwano noma oda yokusungulwa yayo. Endabeni ka ukwephulwa kwalezi zimfuneko nomdayisi ubophekile ukuba nxephezela umonakalo kuzona.

ezimali Ezezimali

iklayenti imali idluliselwe broker ukufeza ukuthengiselana efanele futhi izivumelwano, kanye etholwe umlamuleli ngabo, kumelwe sibe ku-akhawunti lesikhungo credit. Ngesikhathi esifanayo enesibopho ukugcina amarekhodi azo sezimali zekhasimende naleso ukunikeza imibiko. Ukuze izimali ezisebusweni ekhethekile Brokerage akhawunti, awukwazi foreclose ku kwezibopho umlamuli kwezohwebo. Iphinde akanayo nelungelo lokubhalisa ku izimali zabo, ngaphandle ezimweni lapho kwemali noma isikweletu inikezwe. Leli lungiselelo entsha idokhumenti. Lezi ukuchitshiyelwa komthetho "On the Securities Market" Kuye kwenziwa ama-zokulawula inombolo isenzo 281.

ngaphezu kwalokho

Ummeleli owenza njengelungu evulekile, ngomyalo iklayenti ukuvula i-akhawunti ekhethekile ahlukene Brokerage in ukuqaliswa noma ukuphoqelelwa ezibophweni efanele. umlamuli Commercial bangasebenzisa imali nezinzuzo zazo siqu, uma kuhlinzekelwe Isivumelwano isevisi. Kulokhu, umthengisi ubophekile ukuqinisekisa ukuhambisana oda yayo iklayenti ngezithukuthuku lezi zimali noma ukubuyiselwa imali yawo. Iklayenti imali, ukunikeza Broker ne ilungelo ukusebenzisa kwabo, kufanele zifakwe ku-Brokerage akhawunti behlukanisiwe akhawunti nezinye zimali.

umsebenzi nomthengisi sika

Timphawu nazo kuchaziwe isenzo normative "On the Securities Market". Umthetho icacisa ukuthi imisebenzi umdayisi okukhulunywe ukuthengiselana on ukuthengwa nokudayiswa kwezezimali-akhawunti abo futhi egameni yabo ngokusebenzisa izethulo zomphakathi yentengo / yokuthengisa nesibopho amakontileka ezifanele ngamanani isilungisiwe. Lezo kungaba inhlangano esemthethweni, esebenza siseyingqayizivele kwezohwebo. Umthengisi kungaba futhi corporation, uma amathuba akahle zikhonjwe nomthetho.

umehluko wemisindo nemiqondo yamagama

Ngaphezu izindleko umthengisi unelungelo okumemezela neminye imibandela ebalulekile ukuthengiselana. Ngokwesibonelo, kungase kube inombolo ubuncane kanye esiphezulu kwezezimali Kuboshwe ukuthengwa / ukudayiswa, yinkathi isenzo sizomisa intengo. In the ukungabikho simemezelo efakwe nezinye nemibandela umthengisi kufanele isivumelwano ngokuhambisana ikhasimende funa. Uma nomlomo evades ukukhishwa nale mfuneko, inkosikazi ukuba zicele ukubulawa ngempoqo isibopho namkha ukuliliswa.

Forex Abathengisi

Umthetho "On the Securities Market" (2015), usungula uhlu izinkontileka, esiphelweni sesimiso okuzokwenza hlonishwa njengomphakathi umsebenzi lezi zinkampani. Kuhlanganisa izivumelwano:

1. Ingabe esuselwe uhlobo kwezezimali, izibopho amaqembu okuyinto sincike isimo abafanele lwemali noma kwemali ngazimbili, futhi kuncike ukusayinwa esebenza ukunikeza isihloko ngaphandle le-IP, umthamo ukuphetha nezibopho zabo ezidlula kuyinto eseduze enkulu anikezwe lezi izakhamuzi.
2. Isihloko esebenza izimali zakwamanye amazwe, inkathi ukuqaliswa izimo ngaphansi okuyinto okufanayo. obligee Ngakho kwelinye izinkontileka uba nakwabangenangqondo ngomunye isivumelwano esifanayo. Isimo ngoba bengena izivumelwano ezifana ukunikeza abantu yemvelo (hhayi usomabhizinisi ngamunye) ithuba ukuba bathwale imithwalo ukuthi ukubaluleka mkhulu eseduze adluliselwe forex nomthengisi.

Ngokusho uMthetho Federal "Ngo izibambiso emakethe" ingase ukuthengiselana ngenhla kwenziwa kuphela maqondana lwemali ukuthi ine amakhodi nezinombolo. Basuke eyasungulwa esiphezulu amandla isikhungo nokobana umsebenzi yokunikeza izinkonzo zomphakathi emkhakheni nesilinganiso isiqinisekiso uhlelo kanye nemithetho lobuchwepheshe.

Ukuphathwa kwezezimali

Ukusebenzisa lo msebenzi akudingi ilayisensi uma ixhunywe kuphela ukuqaliswa umuntu loMkhandlu amalungelo Zezibambiso. Kuhlanganisa ithemba ukuphathwa kwezezimali, imali senzelwe ikhomishana ukuthengiselana ahlobene noma izivumelwano.

amandla

UMthetho Federal № 39 "Ngo izibambiso emakethe" idinga abahlanganyeli emakethe wahlanganyela ukuphathwa kwempahla, ukuze ukhombise isimo sabo. Uma ukungqubuzana kwezinhloso zenzuzo kuye kwaholela ukulahlekelwa ikhasimende, umuntu ohluzekile unesibopho ukuba nxephezela them ku-akhawunti abo ngendlela ebekwe Civil Code. UMthetho Federal "Ngo izibambiso emakethe" inquma uhlu iziphathimandla control. Ikakhulukazi, kusho iqembu bayoba nelungelo ukuthola kwezezimali futhi ukungena ezivumelwaneni, okuyinto zenzelwe zimali afanelekayo kuphela uma iklayenti akuyona.

umphathi umthwalo

Umthetho "On the Securities Market" inikeza imiphumela eminingi emibi ngenxa kwenkampani ezokwengamela lomsebenzi wemfanelo uma ukwephulwa kwemithetho neziqondiso. Lezi zihlanganisa:

1. Isibopho phezu ukulawula Central Bank of isicelo noma iklayenti nokuqalisa kwezezimali futhi sephule izivumelwano okuhambisanayo.
2. Isinxephezelo yomonakalo zimali, asekelwe ukudayiswa uphelela izivumelwano.
3. Ukukhokha inzalo emalini lapho izinkontileka noma ukuthengiselana izimisele setiphetsiwe. Inani per cent esabekwa imithetho art. 395 we Code Civil. Lapho umehluko omuhle phakathi lemali abayithole ngokuthengisa insimu ka kwezezimali, ekunqanyulweni noma ukukhishwa izivumelwano, kanye nenani zikhokhwe maqondana wokutholakala ukudayiswa, isiphetho, ukuqedwa, ukusebenza inkontileka, isithakazelo ekhokhwa lemali engamboziwe kule umehluko.

Isitatimende kwesimangalo on isicelo imiphumela oshiwo ngenhla zingenziwa ungakapheli unyaka 1 kusukela ngosuku kokuthola umbiko yiklayenti, okubonisa ukuphulwa.

Amalungelo nemikhawulo

Ngokuhambisana zoMthetho Federal "On the Securities Market", umphathi kumelwe ugcine amarekhodi kwezezimali esebenza njenge ukulawula izinto, ngoba isivumelwano ngasinye. Ngokubona kwayo, umhlanganyeli uyaqaphela wonke amathuba zomthetho obusingethwe nokwabelana. Ngo isivumelwano ngabaphathi ithemba lingasethwa nokukhawulela ilungelo lokuvota. Uma engekho, umuntu has imisebenzi ehlobene ubunikazi kwezezimali besebenza njengendikimba into kuthengiselana efanele. Uma isilawuli akusho ifa ilungelo lokuvota, umthetho "On the Securities Market" (39-FZ) ubeka kuye duty ukunikeza ulwazi mayelana umsunguli. Lokhu kuyadingeka ukuze kwakhiwe uhlu amabhizinisi unekhono iqhaza emhlanganweni jikelele bamasheya / amalungu.

Ngaphezu kwalokho, ngesicelo kokulawulwa umsunguli ubophekile ukuba unike imiyalelo ngokuba ukuqaliswa umsunguli ilungelo lokuvota. Umuntu onesibopho angafaka isicelo enkantolo noma isiphi isimangalo ezivela ukuqaliswa imisebenzi yayo kubo, kuhlanganise nalabo okuyizinto izifundo kwabanikazi bamasheya noma abanikazi nezinye kwezezimali. Izindleko ezihambisana kuhlolwe impikiswano, kukhokhelwe into ukuphathwa ithemba.

umgcini

Njengoba yena uMthetho Federal "On the Securities Market" ibona ukuhlinzekwa kwezinsizakalo yokugcina sezitifiketi noma ushintsho kanye accounting imithetho kwezezimali. I Depository ethwala out izibalo ngesisekelo ukuthengiselana izivumelwano abagqugquzeli yokudayisa noma indawo evulekile izinkampani, ngokuthi komnikazi. Umuntu osebenzisa izinsizakalo ngenhla, ebizwa ngokuthi depositor. Phakathi kwezinhlangano yiyona inkontileka depositary. RF uMthetho "Ngo izibambiso emakethe" ubeka eziningi izidingo lesi sivumelwano. Okokuqala, kumelwe senziwe ngokubhala. I Depositary ngeke uvumele izimo ngeke abasebenza ngaphansi kwazo, futhi lapho isinyathelo njengengxenye esemqoka yesivumelwano.

Imisebenzi ehlobene nokugcinwa irejista

Njengoba wabona nokuqoqwa, processing, nenkanuko edlulele, isitoreji kanye nokuhlinzekwa ezimweni ebekwe Imininingwane umthetho mayelana abanikazi kwezezimali. Lo msebenzi unelungelo ukuzivocavoca esemthethweni okukhethekile. Inhlangano oqhuba irejista amagama umnikazi wakhe. Abakwazi ukwenza njenge umhlanganyeli zochwepheshe ukuthengiselana izibambiso emakethe. Kulokhu, kufanele ilayisensi ukuze bafeze imisebenzi efanele. Ezimweni ezibekwe ngumthetho, umnikazi izenzo kanye nabanye ababambiqhaza okhokhelwayo. Ukuqopha Awukwazi ukwenza ukuthengiselana nge zomculo zezimali irejista umkhiphi sika abanikazi zazo Uyabahola. isizinda Imininingwane wabanikazi ivuliwe abantu ukuqopha uhlelo ukuthi akhawunti siqu zivulwa. Kumiswa It is ngesikhathi esithile. Irejista iqukethe amarekhodi izibambiso, ezilotshwe kula ma-akhawunti, ngemithwalo nenye idatha, uhlu okuyinto osungulwe umthetho. Umnikazi usebenza ngokuhambisana nemithethonqubo Central Bank Izenzo, iziqondiso yamukelwa kubo. izidingo zakamuva esabekwa Central Bank.

umthetho kahulumeni

isebenze wemakethe kulawulwa isimo. Ukulawulwa Kwenziwa:

1. Ukusungulwa kweziGungu izidingo zomthetho ukuze kuqaliswe ukusebenza imisebenzi abahlanganyeli professional kanye izindinganiso zalo.
2. Ukubhalisa ukulingana izibambiso and prospectuses, kokulawulwa kokuhlangabezana issuers izibopho nemibandela ebekwe kulo.
3. Kwamalayisensi imisebenzi abahlanganyeli emakethe.
4. Ukwakhiwa kohlelo ukuvikelwa izithakazelo abanikazi nokugada ukuhambisana nabo issuers nakuletinye tifundvo.
5. Ukwenqatshelwa nokulinganiselwa imisebenzi abantu, eyenziwa ngaphandle kwelayisensi.

izimvume ngokucacile

Ukulayisensa usebenza ngezindlela ezimbili. Izihloko ingathola ukugunyazwa ukubhalisa noma yokusebenza ezikhulu okhokhelwayo. Amalayisense zikhishwa ngesisekelo isicelo. Ukunikeza imvume umhlanganyeli professional ukuqhuba imisebenzi Brokerage ngesicelo umfakisicelo kuvunyelwe kuphela ukwenza izivumelwano njengemigoqo derivatives ezezimali, nefa eyinhloko okuyinto ukukhiqizwa. izidingo Yokunika Ilayisense nemibandela ingase yehluke kuye ngesistimu imisebenzi kanye zokukhokhelwa kwenziwe inqubo.

Ukumiswa kanye ukwesulwa izimvume

Lezi zenzo ziyingxenye amandla Central Bank. lezisekelo Ifanele yokukhansela ongakhonza zamalayisense:

1. Isitatimende Umhlangano professional ngokubhala.
2. Okuphindaphindayo unyaka wonke, ukwehluleka ukuhambisana nemithetho Central Bank.
3. Ukungabikho isihloko kokuba ilayisensi, ekhelini ezisohlwini Enobunye.
4. Okuphindaphindayo kulo lonke zokukhokha ngonyaka ukwephulwa zokubika ngu izinsuku ezingaphezu kwezingu-15 (ukusebenza). Zokukhokha setha yimithetho kahulumeni neziqondiso yokutholwa ngaphakathi accordance nga it.
5. Ukwephulwa okuphindaphindayo kungakapheli nonyaka izimfuneko ukuhlinzekwa ngezinto zokwakha kanye ulwazi, uhlu okuyinto lihlelwe amadokhumenti omthetho.
6. Ukupheliswa ubuholi samanje umsebenzi umhlanganyeli okhokhelwayo. Ikakhulu, imayelana kokwenza isinqumo ekunqanyulweni ekuseni noma ukumiswa namandla esiphezulu (ngamunye) umzimba ngaphandle kokubekwa esikhundleni esisha, yesikhashana noma ukungabi khona isihloko ekusebenziseni umsebenzi zokuphatha, wenyanga eyodwa ngaphandle okuwenza aqondane ngendaba ezahlukene, isethi kulungele izidingo esikhundleni sabaphathi .
7. Okuphindaphindayo nokwephula ngonyaka umhlanganyeli zochwepheshe zomthetho ku ukuphoqelelwa ekuqhutshweni noma ukuvikeleka.
8. Okunye izimo eyayifunwa imithetho neziqondiso.

Uma uthatha isinqumo Central Bank isulwe sokufeza imisebenzi professional inhlangano ubophekile ukuba anqamule izibopho singakapheli isikhathi esibalulwe anawo Central Bank ngo-. Ngaphezu kwalokho, lesi sikhathi akukwazi ezingaphezu kuka-1 ngonyaka. Izibopho eziphuma ngaphansi kwezivumelwano idiphozi, kufanele kuphele ukugcwalisa imibandela ebekwe imithetho Central Bank.