Issue 4 (14) 2011

16 THE QUESTIONS OF LEGAL MAINTENANCE AND QUALIFYING CERTIFICATION IN THE SPHERE OF SECURITIES MARKET

THE QUESTIONS OF LEGAL MAINTENANCE AND QUALIFYING CERTIFICATION IN THE SPHERE OF SECURITIES MARKET

R.V. Chikulaev

Perm State National Research University
15, Bukirev st., Perm, 614990

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In article the questions of professional legal activity, and also qualifying certification of specialists of a securities turn sphere are analyzed. Recently various models of streamlining of legal activity in economic and social spheres of the country have been offered. Thus the attention of the legislator was given, basically, to the general principles of the legal work (legal aid) organization. At the same time features of realization of legal function in separate spheres of economy, including in sphere of securities turn, remain out of sight both in legal creation process and in scientific researches.

In article the operating system of legal certificates about qualifying certification on a securities market is investigated. So it is revealed that certification principles though and directly aren't fixed in the federal law, but follow from it. Following main principles are allocated: 1) compulsion of qualifying requirements, 2) compulsion of qualifying examinations, 3) the fixed list of the certifying organizations, 4) acknowledgement of qualification by the certificate with conducting the register of the certified persons.

Corresponding to such principles particular norms about qualifying certification are fixed in sublegal acts. Their analysis shows that more especially legal character has than half of knowledge demanded for certification. Qualifying certification can be within the competence both federal bodies, and the self-regulatory organizations.

The certification of the financial market specialists provided by operating legal certificates is considered as the major part of function of legal maintenance of a securities turn. Reference of disputes on qualifying certification on a securities market to jurisdiction of arbitration courts is proved. Communication between function of special qualifying certification for securities operations fulfillment, and other qualifying functions, in particular, certification with a view of counteraction of criminal incomes legalization comes to light.

The operating system of norms about qualifying certification has a number of blanks and other lacks. In article ways of their overcoming, including through standard fastening of obligatory qualifying certification of specialists not only the general, but also a legal profile are offered. The role and value of qualifying certification factors as element of a regulatory-legal mechanism of the financial market are proved. The basic principles-features of qualifying certification system are allocated: 1) standard fixedness in sublegal acts, 2) multilinked character of certifying bodies system, 3) a special order of the appeal of results, 4) legal uncertainty concerning a certified persons circle, 5) compulsion of certification as license requirement, 6) legal character of qualifying knowledge and skills.


Keywords: legal activity; qualifying certification; securities; a principle; the mechanism

 

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