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National association stock market participants
National Association of Stock Market Participants (NAUFOR)- an all-Russian self-regulatory organization that unites companies that have licenses as a professional market participant valuable papers. The association unites more than 400 companies. NAUFOR branches operate in 14 large cities of Russia. .
The status of NAUFOR as a self-regulatory organization is based on the Federal Law "On the Securities Market" and the permit issued Federal Service for Financial Markets (FFMS of Russia).
NAUFOR in accordance with the implementation requirements professional activity and conducting transactions with securities approved by the federal executive body for the securities market, establishes binding rules for its members to carry out professional activities in the securities market, standards for conducting transactions with securities and monitors their observance.
Goals and objectives of the association
The goals and objectives of the association are the development and improvement of the securities market regulation system, ensuring the conditions for the activities of NAUFOR members, establishing the rules and standards for the activities of NAUFOR members and monitoring their observance, monitoring the activities of its members, taking measures to resolve conflicts.
NAUFOR is an affiliated member of IOSCO - international organization, uniting state bodies for the regulation of the securities market.
NAUFOR ensures the transfer of electronic reporting of professional participants in the securities market and is an accredited organization for taking qualification exams for obtaining certificates of financial market specialists.
Annually, NAUFOR holds a conference "Russian Stock Market" for professional stock market participants. NAUFOR also organizes the National Competition "Stock Market Elite". .
supreme body Management of NAUFOR is the general meeting of its members (NAUFOR Council), which annually approves the main directions of the association's activities, and also elects the Board of Directors every two years - a collegial management body that operates between general meetings. The operational management of the association is carried out by the Board of NAUFOR.
History of creation
On May 15, 1994, in Moscow, 15 companies - leading participants in the securities market established the Professional Association of Stock Market Participants (PAUFOR), within which they pledged to adhere to mutual agreements, rules of information transparency and a single document flow.
In September 1994, the first version of the PAUFOR rules was adopted and the creation of an over-the-counter trading system between its members began. At the end of 1994, such a system was launched. In the summer of 1995, it was replaced by the Russian Trading System (RTS).
On November 30, 1995, the founding congress of the association took place, at which companies - professional participants in the securities market from various regions of Russia, including members of PAUFOR, announced the creation of an all-Russian self-regulatory organization - the National Association of Stock Market Participants (NAUFOR). The official registration of NAUFOR took place on June 21, 1996.
After the adoption of the Federal Law "On the Securities Market" in 1996, a two-tier system of regulation began to take shape in Russia - state regulation and self-regulation.
On August 29, 1997, NAUFOR received permission from the FCSM to operate as an SRO and became the first officially recognized SRO of brokers and dealers on the Russian stock market.
Consulting center NAUFOR
NAUFOR Consulting Center provides services directly related to activities in the financial market. Taking into account the long-term experience of the National Association of Stock Market Participants and the participation of highly qualified specialists in the work, CC NAUFOR successfully consults and maintains documentation on issues related to the preparation of documents for obtaining licenses, conducts an examination and formulation of individual segments of professional activity, professional audit.
As part of preparation for passing qualifying exams for financial market specialists, NAUFOR CC conducts training seminars, the cost of which includes testing knowledge at a test exam and one attempt to pass the main exam.
NAUFOR CC on an ongoing basis conducts seminars and trainings related to activities in the financial market, as well as training for special officials in order to counter legalization (AML/CFT) in Moscow and other cities of Russia.
The NAUFOR Consulting Center is an accredited certification center operating within the framework of the implementation of electronic document management when submitting electronic documents with an electronic digital signature to the FFMS of Russia. Organizations engaged in professional activities in the securities market have the opportunity to send reports in electronic form through the NAUFOR electronic document management system and NAUFOR CC with confirmation of the fact of its sending to the FFMS of Russia. This service is free for NAUFOR members.
The NAUFOR Consulting Center offers the opportunity to participate in seminars by watching the online broadcast of all seminars (webinars). This format of training is especially convenient for those who are far away from the seminar venue, as it provides an opportunity not only to listen to lectures, but also to ask questions and receive answers to them in real time. Listeners who were unable to participate in the webinar may be offered the opportunity to view the recording of a particular seminar.
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Established in Russia in 1995 association of professional participants of the Russian stock market. The main goals of the association are: providing conditions for the professional activity of participants in the Russian stock market; development and control of... Financial vocabulary
National Association of Stock Market Participants (NAUFOR) - all-Russian organization in the field of finance. Founded in 1996. The head office is located in Moscow, there are branches in 12 cities of Russia.
Story
On May 15, 1994, the Professional Association of Stock Market Participants (PAUFOR) was organized, in September of the same year, the basic rules of the Association were prescribed, and an over-the-counter trading program was launched between 15 member companies of the organization. In the summer of the following 1995, this program was replaced by the new Russian Trading System (RTS).
At the end of 1995, at the founding congress of the Association, they announced the establishment of a self-regulatory financial organization - the National Association of Stock Market Participants (NAUFOR). Registration of the organization took place on June 21, 1996.
After the formation of a two-tier regulatory system in Russia, in 1997 the Association received the right to work as a self-regulatory organization (SRO) of companies engaged in various activities in the field of the securities market.
In 2013, the Association received the right to operate as a self-regulatory organization of management companies.
Activity
NAUFOR oversees the activities of dealers, brokers, depositories, management companies of investment funds, mutual funds, NPFs.
Branches of the National Association of Stock Market Participants are now open in twelve cities of the country: in St. Petersburg, Nizhny Novgorod, Orel, Kazan, Samara, Rostov-on-Don, Yekaterinburg, Omsk, Novosibirsk, Krasnoyarsk, Irkutsk and Vladivostok. In the regional branches of the Association, those who wish can get expert advice on various issues related to the stock market, as well as pass certification of a financial market specialist. Representatives of NAUFOR work in Saratov and Chelyabinsk and organize various seminars and exit qualification exams.
Members of NAUFOR
To date, the Association has registered more than 255 member companies, including the bank
National Association of Stock Market Participants(abbreviation NAUFOR) is a self-regulatory structure on an all-Russian scale, uniting companies that have a license as a professional participant in the financial instruments market.
History of NAUFOR in dates
On May 15, 1994, 15 leading companies in Moscow established an association called the Professional Association of Stock Market Participants (abbreviation PAUFOR). Within the framework of this structure, its participants pledged to adhere to a single document flow, rules of information openness, and mutual agreement. PAUFOR became the predecessor of NAUFOR.
The year 1994 went down in the history of PAUFOR as the period of development of the OTC trading system between its members. In September of this year, the first version of the rules of this structure was created.
November 30, 1995 is the official date of formation of NAUFOR. On this day, a congress of PAUFOR participants took place, at which the creation of a self-regulatory organization of an all-Russian scale was announced.
On August 29, 1997, according to the decision of the FCSM (Federal Commission), NAUFOR became the first self-regulatory organization of dealers and brokers, which was officially recognized on the Russian stock market.
Brief description of NAUFOR
This organization is made up of:
Council of NAUFOR (general meeting of its participants, the main task of which is to determine the vector of NAUFOR activities during the year);
Board of Directors (22 members), which functions between general meetings.
Branches of NAUFOR are located in 12 cities of the Russian Federation such as Moscow, Orel, St. Petersburg (North-Western branch), Samara, Kazan, Rostov-on-Don, Omsk, Yekaterinburg (Ural branch), Krasnoyarsk, Irkutsk, Vladivostok (Primorsky branch ), Novosibirsk.
In addition, NAUFOR has its own representative offices in Chelyabinsk, Nizhny Novgorod and Saratov.
Tasks of NAUFOR:
monitoring the actions of its members;
determination of standards and creation of rules for the work of NAUFOR participants, monitoring their subsequent compliance;
organization of regular checks of members of this structure;
development of the financial instruments market regulation system;
taking appropriate measures in the event of a conflict situation.
The above organization is an accredited body for taking exams for issuing certificates of qualified specialists in the financial instruments market.
The consulting center of this structure operates in the following areas:
prepares documentation for obtaining licenses;
provides advice on all issues of interest;
carries out examination of certain segments of the professional activity of the company;
organizes training seminars, webinars, trainings related to work in the financial market.
Membership in NAUFOR
To obtain the status of a member of the above organization, the applicant company must meet the following requirements of NAUFOR:
carry out its work as a legal entity;
have a license to carry out professional activities in the financial instruments market;
Today, about 400 companies are members of the above organization, including such as Gazprombank JSC, VTB JSC, Gazprom Investholding LLC, Goldman Sachs LLC, Imperial Trust LLC, Deutsche Bank LLC and etc.
NAUFOR and modernity
To date, the above structure is an affiliated member of such an international organization as IOSCO. The latter brings together state bodies at the international level to regulate the securities market. Thanks to this, NAUFOR has excellent opportunity actively participate in international activities concerning the sphere of regulation of financial markets, and to develop cooperation with other states.
For its members, this structure annually organizes a conference called "Russian". In addition, the aforementioned organization holds the competition "Elite of the stock market" at the national level.
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