Admission rules to participation in organized trading


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Approved by

the Supervisory Board

of the Moscow Exchange

on May 20, 2016 (Minutes No. 2)

ADMISSION RULES

TO PARTICIPATION IN ORGANIZED TRADING

OF THE MOSCOW EXCHANGE


Section 01. terms and definitions (Glossary) 3

РАЗДЕЛ 1.Article 01.01. Terms and Definitions 3

Section 02. General Provisions 6

РАЗДЕЛ 2.Article 02.01. Purpose of the Admission Rules 6

РАЗДЕЛ 3.Article 02.02. Procedure for Approval, Amending and Validation of the Admission Rules 6

РАЗДЕЛ 4.Article 02.03. Procedure for Notification of the Trading Members 7

РАЗДЕЛ 5.Article 02.04. Procedure for Documents Execution and Submission to the Exchange 7

РАЗДЕЛ 6.Article 02.05. Procedure for Submission to the Exchange/Receipt from the Exchange of the Documents in the Form of an Electronic Document 9

РАЗДЕЛ 7.Article 02.06. Ways and Frequency of Candidates/Trading Members Identification 9

РАЗДЕЛ 8.Article 02.07. Rights and Obligations of Trading Members 11

РАЗДЕЛ 9.Article 02.08. Warranties and representations 12

Section 03. Requirements to trading Members 13

РАЗДЕЛ 10.Article 03.01. Requirements to trading Members 13

РАЗДЕЛ 11.Article 03.02. Categories of the Trading Members on the Foreign Currency Market and Precious Metals Market and the Additional Requirements Set for Admission thereof to Trading 13

РАЗДЕЛ 12.Article 03.03. Categories of the Trading Members on the Derivatives Market and the Additional Requirements Set for Admission thereof to Trading 14

РАЗДЕЛ 13.Article 03.04. Categories of the Trading Members on the Standardized OTC Derivatives Market and the Additional Requirements Set for Admission thereof to Trading 15

Section 04. Admission to Participation in Trading 16

РАЗДЕЛ 14.Article 04.01. General Requirements for Admission to Participation in Trading 16

РАЗДЕЛ 15.Article 04.02. Technical Access 16

РАЗДЕЛ 16.Article 04.03. Procedure for Admission to Participation in Trading 17

РАЗДЕЛ 17.Article 04.04. Additional Conditions for Admission to Trading on the Foreign Currency Market and Precious Metals Market 18

РАЗДЕЛ 18.Article 04.05. Additional Conditions for Admission to Trading on the Derivatives Market 20

РАЗДЕЛ 19.Article 04.06. Additional Conditions for Admission to Trading on the Standardized OTC Derivatives Market 21

Section 05. registration of Trading Members 21

РАЗДЕЛ 20.Article 05.01. Registration of Trading Members 21

РАЗДЕЛ 21.Article 05.02. Procedure for Assignment of Trading and View Identifiers to trading Members of the Currency Market and Precious Metals Market 21

РАЗДЕЛ 22.Article 05.03. Peculiarities of Registration of the Derivatives Market Trading Members 22

РАЗДЕЛ 23.Article 05.04. Peculiarities of Trading Identifiers Assignment to trading Members of Standardized OTC Derivatives Market 23

Section 06. restriction, suspension and termination of admission to trading 23

РАЗДЕЛ 24.Article 06.01. Restriction of Trading Member’s Admission to Trading 23

РАЗДЕЛ 25.Article 06.02. Suspension of Trading Member’s Admission to Trading 25

РАЗДЕЛ 26.Article 06.03. Termination of Trading Member’s Admission to Trading 28

РАЗДЕЛ 27.Article 06.04. Information being the Grounds for Restriction/Suspension/Termination of Admission to Trading 32

РАЗДЕЛ 28.Article 06.05. Procedure for Renewal of the Trading Member’s Admission to Trading previously Restricted/Suspended 33

РАЗДЕЛ 29. 35

Section 07. Contribution for Admission to Trading, Charge for Registration as a Clearing Firm, Subscription Fee, commission fee and other payments paid by the Candidates/Trading Members 35

РАЗДЕЛ 30.Article 07.01. Contribution for Admission to Participation in Trading/Charge for Registration as a Clearing Firm 35

РАЗДЕЛ 31.Article 07.02. Subscription Fee 35

РАЗДЕЛ 32.Article 07.03. Commission Fee and other Payments 36

Section 08. registration of the Trading Members’ Clients 36

РАЗДЕЛ 33.Article 08.01. Registration and Assignment of Codes to trading Members’ Clients 36

РАЗДЕЛ 34.Article 08.03. Submission by the Trading Member of Additional Information in Registration of Clients/Amendment of Clients’ Information 38

РАЗДЕЛ 35.Article 08.04. Formation of Register of the Trading Members and Trading Members’ Clients 38

РАЗДЕЛ 36.Article 08.05. Protection of Interests of Trading Members’ Clients 38

Section 09. Market makers 38

РАЗДЕЛ 37.Article 09.01. Requirements to a Market Maker 38

РАЗДЕЛ 38.Article 09.02. Conditions and Procedure for Provision of Market Maker Status 38

Section 10. CONTROL OVER Trading Members 39

РАЗДЕЛ 39.Article 10.01. Procedure for Control Implementation 39

Section 11. disciplinary sanctions 39

РАЗДЕЛ 40.Article 11.01. Disciplinary Sanctions Applied to Trading Members 39

РАЗДЕЛ 41.Article 11.02. Requirements to trading Members and Candidates Focused on Conscientious Performance thereby of Professional Activity 40

Section 12. procedure for dispute settlement and actions of the disputing parties due to the dispute settlement 41

РАЗДЕЛ 42.Article 12.01. Transfer of Disputes for Consideration to the NAUFOR Arbitration Court 41

РАЗДЕЛ 43.Article 12.02. Duty of the Disputing Parties to Contribute to the Fast and Just Settlement of the Disputes 41

РАЗДЕЛ 44.Article 12.03. Duty of the Disputing Parties to Contribute to Conclusion and Performance of Amicable Agreement 41

РАЗДЕЛ 45.Article 12.04. Duty of the Disputing Parties to Contribute to the Fastest Execution of Awards and Ruling of NAUFOR Arbitration Court 42

Section 13. SUPPLEMENTARY PROVISIONS 42

РАЗДЕЛ 46.Article 13.01. Liability of the Exchange 42



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