"I runga i nga Securities Market" - Ture 39-FZ. Huringa me ngā tākupu

I tēnei wā, i reira te mea he ture motuhake o te mākete peeke. hangaia te ture te ki te whakahaere i nga whanaunga e whakatika i roto i te hononga ki te issuance me te tohanga o mea pūtea. hoki tautuhi ana te tuhinga i te āhuatanga o te hanganga me te mahi o te whai wāhi ngaio i roto i te whakawhitinga. A feruri atu kōrero ki te ture "I te Securities Market".

hokohoko

Ture "I te mākete peeke" (2015) homai he whakamāramatanga o te whai wāhi matua o whakawhitinga, me te whakau ana te hōkai o ratou mahi. I roto i ngā, hokohoko whakaaro te mahia i runga i mo o te kiritaki o whakawhitinga ā-ture i roto i mea pūtea whakaaetanga ranei, mahi rite ratou pärönaki. kawea ana tēnei mahi i roto i runga i te pūtake o kirimana utua āhua. Nä, te rōpū ārahi i roto i taua mahi, ka karanga te kaihokohoko. Hei te riro i te ngaio, kua ia ki te mohio katoa e pā ana ki te hokohoko kararehe. Ko te ture e āhei hoki te rironga o te kaihokohoko i tona ake moni unplaced i roto i te wā whakapumautia e te kawenata, nga mea pūtea i roto i te whakarato a ratou ki ratonga e tika ana.

āhuatanga nui

Me mahia Broker pono whakahau kiritaki i roto i te raupapa e riro ratou, tātari me te whakarato i ngā mōhiohio e hāngai ana i runga i te mākete peeke. whakau ana te ture te kaupapa matua o ngā whakawhitinga i runga i te tikanga o pūtea i roto i te rite ki te whakahaeretanga o kaihoko i ngā mahi īnakinaki. Ki te nga ngākau nuitanga pakanga o te kiritaki me te kaihokohoko, te tuatahi o e kore kua i whakamōhiotia, meinga pakaru, kia utu i te takawaenga ratou rite ki te ture tautuhia e te Code Civil.

Tika me herenga

Federal ture "I te Securities Market" taea mahi whakawhitinga, me te kirimana kaihokohoko rite te māngai arumoni o te rōpū rerekē e kore e nei kaipakihi, tae atu, ki te te hāngai ai ki runga ki te ihirangi o te kawenata. Herenga puta i raro i te kirimana e kore hainatia i runga i te hokohoko whakaritenga, ia o nei te mau melo - kaihokohoko, e kore e mutu i te tāpiritanga o te moni, me te nama i roto i te tangata kotahi, ki te e kawea ratou i te taha o ngā rōpū tuatoru e tika ana ranei ki te momo o kiritaki i roto i te ngākau nuitanga o pūtea rerekē. Federal ture "I te Securities Market" e kore e tukua mo te mutunga o te kawenata taua, ki te te kawea reira i roto i ki te whakaaro o te mahi o te tikanga, e kore e roto i te utu o te kirimana ranei te tikanga o tona whakatū. I roto i te take o te ofatiraa o enei kaihokohoko whakaritenga takoto te ki utu i te kino pau.

mahi kaute Finance

moni kiritaki whakawhiti ki te kaihokohoko ki te kawe i nga whakawhitinga e hāngai ana, me ngā kirimana, me te whiwhi he takawaenga mo ratou, kia runga i te pūkete o te whare nama. I te wa ano e takoto ia ki te pupuri i ngā pūkete o ngā pūtea o ia kiritaki, me te whakarato i ngā pūrongo. Hoki moni e te hunga i runga i motuhake pūkete hokohoko, e kore e taea foreclose i runga i nga herenga o takawaenga arumoni. Reira e kore e hoki i te tika ki te whakauru i runga i to ratou ake pūtea, ki te kahore hoki take i roto i i whakaratohia te moni nama ranei te. Ko hou i roto i te tuhinga i tēnei kai. Enei whakatikatika ki te ture "I te Securities Market" kua hanga ki te tau ngāue ture 281.

ato'a

He kaihokohoko e mahi rite te mema mahinga, i te tikanga o te kiritaki, ko te ki te whakatuwhera i te pūkete takawaenga motuhake motuhake i roto i te whakatinanatanga whakaū ranei o nga herenga e hāngai ana. Ka taea e takawaenga Commercial whakamahi i te moni i roto i to ratou ake ngākau nuitanga, ki te ngā hoki i roto i te Whakaaetanga i runga i te mahi. I roto i tenei take, takoto te kaihokohoko te ki te whakarite tautukunga me ona whakahau ki te kiritaki i te utu o enei moni ratou moni ranei. moni Kiritaki, whakarato te Broker ki te tika ki to ratou whakamahi, kia kiia ki te hokohoko kaute wehe i te aamu o te tahi atu pūtea.

mahi o te kaihoko

Kei te tautuhi hoki ona āhuatanga i roto i te mahi normative "I te Securities Market". āta te ture e ki te mahi kaihoko tuku ki whakawhitinga i runga i te hoko me te hoko o mea pūtea mō rātou ake pūkete me i ratou ake mo roto i te fanongonongo tūmatanui o te utu hoko / hoko ki te titauraa haina kirimana e tika ana i utu i whakaritea. Ka taea e anake taua mahi kia he hinonga ture, mahi rite te hinonga arumoni. Ka taea hoki kaihoko e te kaporeihana, ki te tāutuhia whai wāhitanga e tika ana i roto i te ture.

onäianei

I tua atu ki te utu o te kaihoko e te tika ki te whakapuaki i te tahi atu ngā faufaa o whakawhitinga. Hei tauira, kia mau ai ki te tau mōkito, me te mōrahi o mea pūtea puritia mo te hoko / hoko, te wā i roto i nei e whakaturia te mahi te utu. I roto i te ngaro o te whakapuakanga e rārangi atu tikanga o te kaihoko kua ki te faaoti i te kirimana i roto i te runga i te tono kiritaki. Ki te, mē te takawaenga mahia o tenei whakaritenga, ko reira ki te whakawakia mo te mahia takoha o te herenga utu ranei mo te tukinotanga i.

Dealers forex

Ture "I te Securities Market" (2015), whakau ana te rārangi o kirimana, ka kia mohio te mutunga o nei rite te mahi o enei hinonga. Kei roto te reira i whakaaetanga:

1. He he pärönaki o te momo o mea pūtea, herenga o nga rōpū e he ti'aturi i runga i te āhua o te tēnā moni moni ranei takirua, me raro ki te hainatanga o e te kaimahi ki te whakarato i te kaupapa i tua atu i te IP, kaha ki te amo herenga nei nui he whakakapi nui homai ki enei tangata.
2. Ko te kaupapa o nei te kaimahi moni ke, wā o te whakatinanatanga o te tikanga i raro i nei i te taua. Ko te kupu obligee i tetahi o nga kirimana mahi rite te nama i tetahi whakaaetanga rite. Herenga mō te tomo ki taua kirimana, ko te ki te whakarato tangata tūturu (kore te kaipakihi takitahi) i te whai wāhi ki te tango i runga i ngā kawenga e he nui atu i te utu whakawhiti forex kaihoko te uara.

E ai ki a Ture Federal "I mākete peeke" kia whakamana nga whakawhitinga runga ake faatura ki moni e he waehere ārepa anake ki. Kua whakapumautia ratou e te mana whakahaere faanahoraa e whakatinana te mahi o te whakarato ratonga tūmatanui i roto i te mara o te pūnaha whakaunga inenga me ture hangarau.

Whakahaere o mea pūtea

E kore e te mahi o tenei mahi rapu i te raihana ki te te hono reira anake ki te whakatinanatanga o te tangata haepapa o te mana o nga Securities. Kei roto te reira i te whakahaere whakawhirinaki o mea pūtea, moni tikanga mo te kōmihana o te whakawhitinga e pā ana kirimana ranei.

mana

Federal ture № 39 "I mākete peeke" titau kaiuru mākete mahi i roto i te whakahaere rawa, ki te tohu i to ratou mana. Ki te mea kua arahina te papā o te pānga ki te parekura kiritaki, takoto te tangata haepapa te ki te utu ia ratou mo o ratou ake pūkete i roto i te tikanga i whakaritea e te Code Civil. Federal Law "I mākete peeke" whakatau te rārangi o mana mana. I roto i ngā, ka mea rōpū ka tika kia ki te whiwhi mea pūtea, me te tomo ki kirimana, e kua te tikanga hoki pūtea tohu anake, ki te kahore te mea te kiritaki.

kaiwhakahaere kawenga

Ture "I te Securities Market" whakarato he maha o mau hopearaa mo te Kawauatangaranci kawenga i roto i te take o te ofatiraa o ture ture. Ko ētahi o ēnei:

1. He herenga i runga i te mana o te Central Bank o te tono te kiritaki ki te whakatinana i mea pūtea, me te whakamutu i te kirimana hāngai ranei.
2. Compensation mō pakaru ki te investor, tautoko te hoko, me te whakamutunga whakaaetanga.
3. Ko te utu o te moni i runga i te nui e nei kua mutu te kirimana mahi hoki whakawhitinga ranei. Ko te uara ōrau whakaturia e te ture o te toi. 395 o te Code Civil. A, no te te rerekētanga pai i waenganui i te nui riro i te hoko o mea pūtea, whakamutunga mahi o whakaaetanga ranei, me te nui utua i roto i te hononga ki te hopu me te hoko, whakamutunga, whakamutunga, mahi kirimana, moni utunga i roto i te moni e kore e hipokina i roto i tenei rerekētanga.

Ka taea te hanga i te tauākī o kerēme i runga i te tono o te pānga i runga ake-whakahuatia i roto i te 1 tau i te rā o te taenga o te pūrongo i te kiritaki, e tohu ana i te maumaui.

Tika me here

I roto i runga i te ture Federal "I te Securities Market", me te kaiwhakahaere pupuri pūkete o mea pūtea mahi rite ngā mana, mo ia kawenata. I tona ngarahu pai, mōhio te kaiuru taea ture katoa whakaurua i roto i te hea. I roto i te whakaaetanga i runga i te whakahaere whakawhirinaki taea te whakaturia whāiti te tika ki te pōti. Ki te he reira ngaro, he ngaahi fatongia e pā ana ki te mana o mea pūtea mahi rite te ahanoa o te hoko e hāngai ana te tangata. Ki te kore e te mana riro te tika ki te pōti, te ture "I te Securities Market" (39-FZ) whakatakoto ia i te fatongia ki te whakarato mōhiohio e pā ana ki te kaiwhakarewa. Ko e tika ana hoki te hanganga o te rārangi o hinonga e whai i te kaha ki te whai wāhi i roto i te hui whānui o ngā kaipupuri / mema o tenei.

I tua atu, i te tono o te mana o te kaiwhakarewa takoto te ki te hoatu tohutohu mō te whakatinanatanga o te kaiwhakarewa o te tika ki te pōti. kia tono te tangata haepapa ki te marae ki tetahi kerēme i puta ake i te whakatinanatanga o ona mahi ki a ratou, tae atu te hunga e ko te kaupapa o nga kaipupuri hea ranei rangatira o te tahi atu mea pūtea. Ko te utu e pā ana ki te whakaaro o te tautohe, utua hoki e te ahanoa o te whakahaere whakawhirinaki.

kaitiaki

Ka rite ki ia Ture Federal "I te Securities Market" whakaae te whakaratonga o ngā ratonga mō te rokiroki o tiwhikete ture whakawhiti me te kaute ranei mo mea pūtea. Ko te nehua i te mauria i tātaitanga i runga i te pūtake o ngā whakawhitinga mutu whakaaetanga ki nga ngā o hokohoko mahinga ranei kamupene, ka karanga te whakataunga. Ko te tangata e whakamahi ana i te ratonga i runga, ka karanga te aua taonga,. I waenganui i te rōpū, ko te kirimana depositary. RF Ture "I mākete peeke" whakatakoto ana i roto i te maha o ngā whakaritenga ki te kawenata. Tuatahi o te katoa, me hanga te reira i roto i roto i te tuhituhi. Ka whakaaetia te Depositary nga tikanga i raro i nei e mahi i te reira, a e mahi hei wāhanga o te kirimana.

Ngā mahi e pā ana ki te tiaki o te rēhita

Ka rite ki mohio ia te kohinga, te tukatuka, warea, rokiroki me te whakarato i roto i te wā i whakaritea e te mōhiohio ture e pā ana ki te rangatira o mea pūtea. Tenei mahi e te tika ki te faaohipa hinonga ture motuhake. Ko te hinonga whakahaere te rēhita nga ingoa o tona tei mau o. Ka taea e ratou te mahi kia rite ki te whai wāhi ngaio o whakawhitinga i roto i te mākete peeke. I roto i tenei take, me raihana reira kia ki te kawe i roto i ngā mahi e hāngai ana. I roto i te wā whakaritea e te ture, te taata tei mau o atu meatanga a ētahi atu kaiuru ngaio. E kore e taea e te kaiwhakamahara hanga whakawhitinga ki mea pūtea o rēhita o te kaituku o ngā rangatira o e arata'i ia. Ko Information turanga o nga tangata i runga i te tangata te tuhi pūnaha e whakatuwheratia pūkete whaiaro. Kei te hanga e te reira i te wa ngā. hoki kei roto i te rēhita pūkete o peeke, e kua oti te tuhituhi i roto i teie mau aamu, e pā ana ki te kawenga, me te tahi atu raraunga, te rārangi o i whakapumautia i roto i te ture. mahi Holder i roto i runga i te tikanga o nga Acts Central Bank, tikanga whāngai e ratou. ki nga whakaritenga hou whakaturia e te Central Bank.

ture kāwanatanga

mahi o te mākete te mana e te kāwanatanga. kawea te ture i roto i:

1. Whakatūnga o ngā whakaritenga whakahauanga ki te whakatinana i te mahi o nga kaiuru ngaio me ona paerewa.
2. Rehita o te tika peeke me prospectuses, te mana o te tautukunga i kaituku o herenga me ngā āhuatanga whakaturia i roto i reira.
3. Raihana o ngā mahi o ngā kaiuru mākete.
4. Hanganga o te pūnaha o te tiaki o te ngākau nuitanga o rangatira, me te mātakitaki o te tautukunga ki a ratou e te kaituku me te tahi atu mau tumu parau.
5. Prohibition me here o nga mahi o tangata, kawea atu ki waho i te raihana.

tukua e te pū

mahi Raihana i roto i ara e rua. kia riro Kaupapa mana ki te rēhita ki te mahi rite te Kawauatangaranci ngaio ranei. E whakaputaina Raihana i runga i te pūtake o te tono. Tuku whakaaetanga kaiuru ngaio ki te whakahaere i ngā mahi hokohoko i te tono o te kaitono e whakaaetia anake ki te faaoti whakaaetanga e mahi rite pārōnaki pūtea, te rawa matua o e ko te hanga. kia rerekē ngā whakaritenga raihana me ngā āhuatanga i runga i nga whakahaeretanga o me whakawhitinga kawea atu i roto i te tukanga rānei.

Whakatārewatanga me te whakakorenga o te tukua e te

Enei mahi he wahi o nga mana o te Central Bank. turanga e tika ana mō te whakakorenga e taea mahi raihana:

1. Tauākī o bidders ngaio i roto i te tuhituhi.
2. Toutou puta noa te tau, ki te kore ū ki te ture Central Bank.
3. Ko te ngaro o te kaupapa he raihana, ki te wāhitau i tabulahia i roto i te Unified.
4. Toutou puta noa i nga kati tau takahi pūrongo e neke atu i te 15 nga ra (mahi). Kati whakaturia e nga ture e hānga ana, me ngā ture whāngai i roto i te runga i reira.
5. maumaui Tukuruatia i roto i te tau te whakaritenga mo te whakarato o ngā rauemi, me te mōhiohio, he rārangi o nei te whakatakotoria i roto i te tuhinga ture.
6. Whakamutunga o te kaiārahi o te mahi o te whai wāhi ngaio nāianei. I roto i ngā, he mea e pā ana ki te hanga i te whakatau i runga i te whakamutunga wawe whakatārewatanga o nga mana o te whakahaere (te tangata takitahi) tinana ranei kahore te whakarite o te hou, rangitahi ngaro o te tumu parau o te whakatinana mahi whakahaere, neke atu i te kotahi marama ranei, kahore whakatakoto ratou i runga i te kaupapa rerekē, te huinga e tika ana mo te whakaritenga tūranga whakahaere .
7. Tukuruatia takahi i roto i te tau te whai wāhi ngaio o nga tikanga-ture i runga i mahi uruhi peeke ranei.
8. Ētahi atu huru whakaritea e ture, me te ture.

A, no te tango i te whakatau Central Bank i whakakorenga o te tukua e te mo e mau ana i roto i ngā mahi ngaio te whakahaere takoto te ki te whakamutu i ona herenga i roto i te wā i whakaritea i te tikanga o te Central Bank. Ano, e kore e taea e tenei wā e neke atu i te 1 tau. Herenga puta i raro i whakaaetanga moni tāpui, kia mutu ki te whakarite i te tikanga whakaritea e nga tikanga o te Central Bank.