Article 15.29: Violations of the requirements of the legislation of the Russian Federation relating to the activities of professional participants in the securities market, repositivity, clearing organizations and persons carrying out activities their functions as central counterparty, equity funds, non-State pension funds, managers of equity funds, equity funds or equity funds or not State pension funds, specialized depositories of equity investment funds, equity investment funds or non-governmental pension funds

1. Violation by a professional participant in the securities market, a clearing house, an equity investment fund, a company managing an equity investment fund, a equity investment fund or a non-State pension fund or specialized depositary of an equity investment fund, a mutual investment fund or a non-State pension fund Existence of the requirements for separate recording of clients ' own funds (assets) and assets — caused by federal laws and other legal acts of the Russian Federation — Administrative fine of between 30,000 and 50,000 roubles for officials or disqualification for between one and two years; legal persons for between seven hundred thousand and fifty thousand dw 2. Infringement by a professional participant in the market of securities engaged in brokering, dealing or securities management activities by the regulations of the Russian Federation on record-keeping and reporting — carries an administrative fine of between 20,000 and 3 Ten thousand rubles or disqualification for up to one year; for legal persons, between five hundred thousand and seven hundred thousand rubles. brokering or securities management, securities acquisition transactions and property rights for qualified investors at the expense of a person, other than a qualified investor, or a company manager ' s investment fund to be issued to a person who is not a qualified investor A qualified investor, or illegal recognition of a person as a qualified investor, incurs an administrative fine of between 30,000 and 50,000 for officials 4. Violation by a professional participant in the securities market, carried out by Brokering activities established by federal laws and other legal acts of the Russian Federation are subject to the imposition of an administ ' s obligation to carry out marginal transactions. A fine of between 20,000 and 30,000 rubles for officials or disqualification for up to one year; a fine of between 500,000 and 7,000 rubles for legal persons. 5. Violation of the requirements for the composition of the asset established by the legal acts of the Russian Federation and the investment declaration of the equity investment fund or the equity investment fund in equity or mutual investment funds, or failure to eliminate irregularities in the composition of equity or equity funds, entails an overlap No administrative fine for officials of between 20,000 and 30,000 roubles or disqualification for up to one year; for legal persons of between 500 and 700 thousand roubles 6. Violation by the company ' s manager of the equity investment fund or equity investment fund provided for in federal and other legal acts of the Russian Federation Federation of Restrictions on its Activities — impose an administrative fine of between 30,000 and 50,000 roubles on officials or disqualification for a period of one year 7. Failure or improper performance by the specialized depositary of the equity investment fund, the equity fund and the The investment fund or the non-State pension fund, established by federal laws and other legal acts of the Russian Federation, are responsible for the recording and storage of property; and to exercise control over the disposition of property, except in the case provided for in paragraph 8 of this article, shall impose an administrative fine on officials. 8. Non-direction or late targeting of legal entities Notification by the specialized depositary of the equity investment fund, equity investment fund or non-State pension fund to the Bank of Russia of violations detected in the ho the administrative penalty for officials ranging from 20,000 to 30,000 roubles; for legal persons from 500,000 to 700 thousand roubles 9. Obstruction by a professional participant in the securities market, a clearing house, a central counterparty, an equity investment fund, the pension fund, the manager of the equity investment fund, the equity investment fund or the non-State pension fund or the specialized depositary a/ Bank of Russia inspections or failure or improper implementation of Ba ' s regulations Russian nationals are liable to an administrative fine of between 30,000 and 50,000 rubles or to disqualification for a period of between one and two years; 10. Violation by the non-State pension fund of the composition of the assets in which the pension reserves are placed (investments in pension savings), p. 1. Pension reserves (assets in which pension savings are invested) or requirements for the establishment and use of a non-State pension fund insurance reserve, non-compliance Insurance reserve standards, diversion of pension reserves (pension savings) or late payment of pensions or beneficiaries (including misallocations) — administrative fine of between 20,000 and 30,000 rubles or disqualification for a period of up to one year; Ten thousand to seven hundred thousand rubles. 10.1 Submission by the non-State pension fund to the Pension and Social Insurance Fund of the Russian Federation of incorrect information in the notification of Newly concluded compulsory pension insurance contracts, as well as fraudulent applications by insured persons for compulsory pension insurance and (or) compulsory pension insurance contracts Insurgent pension insurance resulting in the wrongful transfer of pension savings to a non-State pension fund is punishable by an administrative fine against officials Ten thousand to thirty thousand rubles; for legal persons three hundred thousand to five hundred thousand rubles. Section 10.1 of the present article imposes an administrative fine of between 30,000 and 50,000 roubles on officials or disqualification for up to one term. 11. Violation of legal acts established by federal laws and other legal acts adopted in accordance with them. Federation of Restrictions on the Combination of Professional Activities in the Securities Market, the Activities of the Cleaning Organization, a person acting as a central counterparty, the investment fund, the managing company of the equity investment fund, the mutual investment fund or the non-State pension fund or the specialized depositary of the equity fund the investment fund, the mutual investment fund or the non-State pension fund with other activities — is subject to an administrative fine of officials Between 30,000 and 50,000 rubles or disqualification for a period of one to two years; for legal persons between seven hundred thousand and one million rubles. a member of the securities market, a repository, a clearing house, a central counterparty, an equity investment fund, a non-State pension fund the managing company of the equity investment fund, the equity investment fund or the non-State pension fund or the specialized depositor of the equity investment fund Yes, a mutual investment fund or a non-governmental pension fund when they carry out the relevant activities, as required by law. except as provided for in paragraphs 1 to 11 of this article, in articles 13.25, 15.18 to 15.20, 15.22, 15.23.1, 15.24.1, 15.30 and 19.7.3 of this Code, shall impose an administrative fine on 13. Illegal and illegal. The use by a legal person of the word «reposiator» in its name, and the words derived from it and the combinations with it, incurs an administrative fine on legal persons in the amount of 50,000 to 100,000 rubles.