SRO is a non-profit self-regulatory organization that unites subjects of entrepreneurial or professional activity in the same industry or market. In some ways, an SRO is reminiscent of the concept of a guild (from the German Gilde - an association of merchants), which also unites people of the same or similar professions. Another name for a self-regulatory organization is a non-profit partnership.
In Russia, securities market participants were first required to join self-regulatory organizations back in the mid-90s. The activities of SROs are regulated by Federal Law No. 315-F3 of December 1, 2007 “On Self-Regulatory Organizations.” Membership in such organizations is voluntary, but federal laws may provide for cases of mandatory participation in SROs, for example, in construction. Using the example of an SRO for builders, we will try to understand how this structure functions.
When should you join an SRO?
From January 1, 2010, licenses for design, construction and engineering surveys for buildings and structures were terminated, and instead, participation in the relevant self-regulatory organization became mandatory if the organization or individual entrepreneur plans to carry out the work specified in List of types of work(approved by Order of the Ministry of Regional Development of the Russian Federation dated December 30, 2009 No. 624).
If the work you plan is not listed in the List, then it is not necessary to join an SRO. If there is, but are marked with an asterisk *, then SRO approval is required only if the facility at which this work will be carried out is specified in Article 48.1 of the Town Planning Code of the Russian Federation.
The list does not apply to the following objects:
- not requiring the issuance of a building permit in accordance with Part 17 of Article 51 of the Town Planning Code of the Russian Federation (garages not intended for business activities, kiosks, sheds, buildings and structures for auxiliary use, etc.);
- for individual housing construction projects with no more than three floors.
That is, there is a large volume of construction work for which SRO admission, which means joining a self-regulatory organization, is not required. For example, permission is not required for finishing and painting work, installation of windows, landscaping work, or individual low-rise construction.
In this case, the customer may require the contractor to become a member of the SRO, and the condition for admission to a self-regulatory organization may be mandatory for performing work under a government order.
What does SRO do?
The SRO develops standards and rules for the activities of participants in their professional field and monitors their compliance. For violation of these rules, disciplinary measures may be imposed on members of a self-regulatory organization, such as:
- instructions obliging a member of a self-regulatory organization to eliminate identified violations in its activities;
- issuing a warning;
- imposition of a fine;
- exclusion from SRO membership.
If necessary, members of self-regulatory organizations bear joint and several financial liability to third parties for damage caused through compensation funds and liability insurance. Considering that all members of the self-regulatory organization are financially responsible for the dishonesty of one member of the SRO, it becomes clear that this mechanism works to improve the quality of construction services.
Types of SROs in the construction industry
There are three types of self-regulatory organizations in the construction industry:
- SRO in construction, for organizations and individual entrepreneurs directly involved in construction;
- SRO in engineering surveys;
- SRO in design, for those who develop design documentation.
If an organization or individual entrepreneur intends to engage in construction, design and survey work, then three separate permits must be obtained for each of these types of activities.
Self-regulatory organizations are united by type of activity into national structures:
- National Association of Builders (NOSTROY)
- National Association of Designers (NOP)
- National Association of Prospectors (NOIZ)
At the All-Russian Congress of NOSTROY in December 2014, the need to unite all these structures into one was discussed, which should benefit all participants in the construction market.
SRO approval
SRO approval is a permit issued by a self-regulatory organization to its member to carry out work specified in the List of types of construction work (approved by Order of the Ministry of Regional Development of the Russian Federation dated December 30, 2009 No. 624). If construction work requires SRO approval, and an organization or individual entrepreneur operates without it, administrative (fine up to 50 thousand rubles) and even criminal liability is provided for this.
The permit is issued without a validity period, and you can work with it throughout the entire territory of Russia. The procedure for granting admission to an SRO depends on the conditions approved by the internal regulations of a particular self-regulatory organization. Requirements for issuing a certificate of admission are approved at a general meeting of members of a self-regulatory organization separately for each type of work, and they depend on the facilities at which this work is carried out: unique, especially dangerous, technically complex.
Anyone wishing to obtain admission will have to document that the staff has the necessary qualifications and sufficient technical base. The minimum requirements for personnel is the presence of three specialists with higher education or five with secondary specialized education (with certain experience and qualifications). Some SROs may require their members to have an ISO certificate upon joining. Such a certificate confirms that its owner has organized a quality management system, which ensures high quality of goods and services.
How to choose an SRO?
The Federal Service for Environmental, Technological and Nuclear Supervision (Rostekhnadzor) maintains a state register of self-regulatory organizations. In addition to the register of the SROs themselves, a list of members of each self-regulatory organization is also provided, which allows the customer to verify the legality of the admission of the SRO of a particular contractor. Be sure to make sure that the self-regulatory organization you choose is in this register; permits issued by SROs that are not in it are invalid.
An SRO can be regional or include builders from different regions of Russia, and the location of the future partner in the partnership does not matter: the permits of legal SROs are valid throughout Russia, and filing an application and further document flow is often carried out electronically. It is better to choose a large, long-running organization with a large number of participants and an impressive compensation fund. Each SRO sets its own requirements and conditions for those joining it; the amounts of contributions will also be different: entrance, membership and target. The amount of the compensation fund contribution is established by law, therefore it is the same for all SROs.
The state register contains all the information on each self-regulatory organization, indicating the types of work for which it can issue permits, the size of the compensation fund, and contact information. By going from the register to the non-profit partnership page, you can familiarize yourself not only with the requirements for joining an SRO, but also find out the plan of control activities, the results of past inspections, and about civil liability insurance.
How to join an SRO?
To join an SRO, an organization or individual entrepreneur must fulfill a number of requirements:
1 .Prepare the necessary package of documents. As an example, here is a list of documents from one of the SROs:
- application for a certificate of admission;
- copies of the Charter, extract from the Unified State Register of Legal Entities, TIN certificate, protocol on the appointment of a director;
- information on the number of managers and specialists;
- copies of employment contracts, work books, diplomas, promotion certificates for executives and specialists with higher or secondary vocational education in the profile of the declared activity;
- information on the number of workers with qualifications of at least 3 categories;
- diagram of the organization's production structure;
- information about technical means, including those used on a contractual basis;
- information about buildings, structures, premises used to carry out the declared types of work (including temporary and auxiliary);
- information on providing the declared types of work with regulatory, technical and technological documentation;
- information about the types of construction activities carried out by the organization at capital construction sites;
- information about the quality control system for construction and installation works, building materials, structures and products.
Additionally, the SRO may request accounting and tax reporting, local documents on labor protection, information about construction activities and the professional reputation of the candidate, certificates of certification of its own laboratory or an agreement with such a laboratory, etc.
2 .Have the submitted documents verified by the control department of the SRO. Some self-regulatory organizations do not limit themselves only to a desk audit (purely documentary), but arrange an on-site audit to check the real activities of the candidate.
3. Pay fees for participation in the SRO: entrance, membership, target, as well as a contribution to the compensation fund.
4. Take out a civil liability insurance policy. Not all SROs set this condition, but without such a policy the contribution to the compensation fund will be higher.
5. Obtain a certificate of permission to work.
How much does it cost to join an SRO?
Despite the fact that an SRO is called a non-profit partnership, maintaining its functioning is not cheap. This is a complex structure that unites not only participants, but also includes control, audit and disciplinary commissions; executive and collegial management bodies; arbitration court. The highest governing body of the SRO is the general meeting of its members. To finance this activity, partnership participants pay fees upon joining the organization: entrance, membership, target.
The amounts of these contributions are set by the organization itself; here is an example of these amounts from one of the non-profit partnerships:
- entrance fee - 10,000 rubles;
- annual membership fee - from 55,000 rubles (with income of an SRO participant up to 10 million rubles) to 150,000 rubles (with income of more than 500 million rubles);
- target annual contribution - 5,000 rubles.
And finally, a contribution to the compensation fund, which goes to compensate for damage caused by SRO participants to third parties as a result of their professional activities. The minimum contribution to the compensation fund is specified in Art. 55.16 of the Town Planning Code and amounts to:
- for builders from 300,000 rubles, and in the absence of a civil liability policy from 1 million rubles;
- for designers and surveyors from 150,000 rubles, and in the absence of a civil liability policy from 500,000 rubles.
Refunds of all contributions made upon withdrawal of a participant from the SRO are not made.(Article 55.7 of the Town Planning Code and Article 13 of Law No. 315-F3 of December 1, 2007), except in cases of liquidation of a non-profit partnership.
According to Art. 55.6 (6) of the Town Planning Code, SRO approval is issued no later than three days after the decision is made, the entrance fee and the contribution to the compensation fund are paid. Some SROs offer various lending methods for their members, that is, paying contributions in installments.
The sensational law of November 24, 2014 No. 359-FZ in fact does not in any way regulate the issue of “abolition of installment plans in SROs,” but at the same time obliges the self-regulatory organization to have a compensation fund according to the number of its members. If, during an inspection of a non-profit partnership, it is discovered that the compensation fund is insufficient, the SRO may be deprived of its status, and all permits issued by it will be invalidated.
In order to improve human safety and prevent accidents, the state maintains constant control over all segments of the country's production processes. One of the most complex areas affecting the life of people at all levels of existence is the construction industry.
Construction-related work is carried out by public and private, small and large enterprises. They design and erect multi-storey buildings, high-rise buildings, enterprises, shopping centers, hazardous facilities, entertainment complexes and other structures that surround residents of cities and towns in their daily lives. Therefore, only professional people who have received special education should be involved in this area of activity.
Each enterprise that creates design documentation and engages in construction is required to have a special permit for the work carried out. Such a document is issued only to those organizations that meet the necessary requirements and norms of existing legislation.
SRO what is it and how to join it
SRO is a self-regulatory organization of a non-profit nature that unites subjects of professional activity of the same type. The responsibilities of SRO construction communities include control over its participants, responsibility for their activities and the issuance of permits giving the right to carry out work.
According to Russian legislation, the following types of SROs operate in the construction industry:
- SRO of builders;
- SRO of designers;
- SRO of general contractors;
- SRO of engineering surveyors.
To join the SRO community, you must have an officially registered enterprise of any organizational and legal form (LLC, individual entrepreneur, etc.). Its staff must be fully staffed for the full functioning of the company's professional activities. Also, management and management employees must have appropriate education and experience in the construction field. The enterprise must have a material and technical base.
All of the above requirements are established by the community and may differ from the regulations of other SROs.
You can join the community yourself or by turning to intermediary companies for help. Their services guarantee a quick process with a positive outcome, relieving clients of bureaucratic issues.
To become a member of the SRO, you need to collect a package of documents, fill out a form and submit an application to join the community. By decision of the meeting, a verdict is passed on the acceptance (or non-acceptance) of a new member. In case of a positive result, the new member will be responsible for a one-time financial contribution to the compensation fund and monthly (or annual) membership payments. The amount credited to the fund is determined by the activities of the enterprise and the availability of an insurance policy. After passing all stages, the company receives the right to professional activity in its field.
Is joining an SRO a privilege or an obligation?
Having joined the ranks of accomplices of the SRO organization, each member (enterprise) receives a number of rights and responsibilities.
The main functions of the SRO include:
- development and registration of regulations regarding the acquisition of membership by business entities, as well as points for joining the organization;
- systematic analysis of the activities of members based on the reports they submit;
- protection and representation of interests in local governments and government agencies;
- in accordance with the current Federal laws and internal regulations of the SRO organization, applies disciplinary control measures in relation to its members;
- organization of arbitration courts to resolve disputes between members and their consumers;
- organization of advanced training of specialists, their training and certification;
- ensuring information availability in media resources about the activities of its members.
Thus, having received membership in an SRO, in addition to permission to carry out official activities, each member receives all possible assistance from legal protection. He will also always be aware of new laws and amendments that will affect his activities. Construction tenders become available to members of the SRO organization in which they can participate. And company employees will be able to systematically improve their professionalism through courses and training.
Having SRO approval will open up access to cooperation with many potential clients, since the modern consumer, in addition to the work performed, wants to receive additional guarantees that will confirm the professionalism and competence of the company. This is what permission is.
If a company operates in the construction industry without the appropriate documents permitting its activities, if this fact is discovered, it will be subject to a fine. In the event of a repeated incident, a criminal case will be brought against the head of the organization and, by a court decision, a decision may be made to liquidate the organization.
A SRO construction permit is a document that gives the right to professional activity in the relevant field. It has no time limit. Its effect extends throughout the Russian Federation.
The authorization authority of the SRO may be terminated under the following circumstances:
- when leaving the SRO community;
- according to a court order;
- if the company has an identical document in another SRO organization;
- if the company evades its responsibilities (has not corrected the identified violations within the stipulated period).
SRO is an abbreviation that stands for self-regulatory organization (for example, SRO builders, SRO surveyors, SRO designers).
On January 1, 2010, the state licensing system for certain types of activities related to the safety of facilities, life, health and the environment ceased to exist. The powers of control over the work of specialized companies passed to self-regulatory organizations, and the state license itself was transformed into the so-called SRO approval.
Since then, survey, design and construction permits have been issued by decision of special committees that carefully study the potential and reputation of the applicant, since the main principle of such non-profit partnerships is the collective responsibility of all participants for the actions of each participant.
Unlike state licenses, SRO approval in construction offers companies the following advantages:
- a minimum package of documents provided without notarization;
- high efficiency of registration;
- accelerated procedures for re-obtaining SRO approval;
- a significant reduction in the bureaucratic component;
- inevitable increase in professional responsibility for one’s own work.
The main idea of SRO- shift control and supervisory functions over the activities of subjects in a certain area from the state to the market participants themselves. At the same time, clearly redundant functions are removed from the state and, as a result, budget expenses are reduced, and the focus of state supervision itself shifts from supervision of activities towards supervision of the results of activities.
Currently, associations of enterprises operating on the principle of non-profit partnership can receive the status of self-regulatory organizations. If the activities of such organizations meet all the requirements regulated in the Town Planning Code and other regulations.
Main goals of SRO
According to the Town Planning Code of the Russian Federation, Chapter 6.1, Article 55.1:
- prevention of harm to the life or health of individuals, property of individuals or legal entities, state or municipal property, the environment, life or health of animals and plants, objects of cultural heritage (historical and cultural monuments) of the peoples of the Russian Federation (hereinafter referred to as harm) due to deficiencies in work , which influence the safety of capital construction projects and are carried out by members of self-regulatory organizations;
- improving the quality of engineering surveys, architectural and construction design, construction, reconstruction, major repairs of capital construction projects.
Assigning the status of self-regulatory organizations ensures transparent activities and effective coordination of various government agencies.
In connection with the introduction of the SRO institution, licensing of certain types of activities will be gradually abolished.
The legislative framework
In 2007, as part of a set of measures aimed at implementing policies to protect the interests of entrepreneurs and reduce government pressure on market relations, Federal Law No. 315-FZ “On Self-Regulatory Organizations” was issued. According to this legislative act, from December 1, 2007, admission to an SRO can be carried out on a voluntary basis. However, changes made to the law established a rule according to which obtaining SRO status became a mandatory point for the legal conduct of construction, design and survey work.
In July 2008, Federal Law No. 148-FZ “On Amendments to the Urban Planning Code of the Russian Federation and certain legislative acts of the Russian Federation” came into force, after which changes were made to the Urban Planning Code of Russia: the norms and requirements that affected the construction sector were updated.
Information about self-regulatory organizations can be found in the state register of the relevant area.
Help is needed? We advise on types of work, permits and entry procedures, and help you choose an SRO. For free.
Rights and obligations of SRO
According to the Urban Planning Code of the Russian Federation (Chapter 6.1, Article 55.1): “The content of the activities of a self-regulatory organization is the development and approval of documents provided for in Article 55.5 of this Code, as well as monitoring compliance by members of the self-regulatory organization with the requirements of these documents.”
- SROs can appeal in court against the actions and legislative acts of state authorities of constituent entities of Russia, federal state authorities, local governments, if their decisions violate the rights and interests within the framework of the law of any member of a self-regulatory organization.
- File claims in court to protect the rights and interests of SRO members within the framework of the law, if the latter are involved in bankruptcy.
- The SRO has the right to take disciplinary measures against members of the organization who do not comply with the rules and requirements. Penalties mean disciplinary liability, up to and including exclusion from the self-regulatory organization.
- A self-regulatory organization must organize and provide access to information about its activities and the activities of its members, including a list of types of work to which each member of the SRO has access.
- Members of a self-regulatory organization have the right to represent and defend their interests on a legal basis before government agencies, government bodies of the constituent entities of Russia, as well as local government bodies.
SRO functions:
- Develops and establishes conditions for membership of subjects in entrepreneurial or professional activities of a self-regulatory organization.
- Applies disciplinary measures against its members.
- Establishes arbitration courts to resolve disputes arising between members of a self-regulatory organization, as well as between them and other persons, in accordance with the legislation on arbitration courts.
- Analyzes the activities of its members based on the information they provide to the self-regulatory organization in the form of reports.
- Represents the interests of members of a self-regulatory organization in their relations with government bodies of the Russian Federation, government bodies of the constituent entities of the Russian Federation, and local government bodies.
- Organizes vocational training, certification of employees of members of a self-regulatory organization or certification of goods (works, services) produced by members of a self-regulatory organization.
- Ensures information openness of the activities of its members, publishes information about these activities in accordance with Federal legislation.
- Exercises control over the entrepreneurial or professional activities of its members in terms of their compliance with the requirements, standards, and rules of the self-regulatory organization.
- Considers complaints against the actions of members of a self-regulatory organization and cases of violation by its members of the requirements of the standards and rules of the self-regulatory organization, conditions of membership in the self-regulatory organization.
Any professional activity is carried out licensed, i.e. obtaining a license, as a rule, means admission to the production of certain works and is a kind of guarantee of their high-quality and conscientious performance.
Until recently, this was an immutable rule, but with the introduction of the law “On Self-Regulatory Organizations”, licensing was abolished for enterprises and persons engaged in engineering surveys, design, architectural and construction, repair, auditing and other work provided for by current legislation. Today, the right to carry out such types of activities is given to companies that have received membership in the SRO. This publication will tell you about the advantages and intricacies of membership in this organization.
What is SRO
A self-regulatory organization is legally defined as a non-profit structure based on the membership of companies and businessmen performing work in certain areas and developing standards and specialized rules, and subsequently overseeing their strict compliance. Information about SROs must be entered into the state register. Therefore, before applying directly to the SRO to register membership in the organization, you should familiarize yourself with the information posted on the federal resource, for example, by finding out the list of associations with the types of work for which admission is required.
Activities of SRO
Ensures the property liability of each of its members to customers and consumers of services/goods. This means that if claims are made regarding the quality of services, there is the possibility of payments from the association.
The purpose of creating SROs is that they, uniting companies, individual entrepreneurs and citizens working in a certain field, perform the following tasks:
Monitor compliance with obligations to consumers;
Resolve conflicts arising in the production sphere;
Make payments from the organization's CF;
Disciplinary action is taken when there are violations of requirements.
That is, these associations, monitoring the activities of the organization’s members, quickly respond when a conflict arises or a customer’s claim is received, thus, control of enterprises is the prerogative of the association of entrepreneurs, not the state: it controls the accuracy of information about the SRO in the unified state register.
Rules and requirements for joining an SRO
The legislation defines the conditions for admission to the organization. Domestic and foreign companies and businessmen carrying out activities that require obtaining work permits can enter it. Documents required for entry:
Application for admission - it lists the types of work for which permission is required;
A copy of an extract from the state register confirming the existence and functioning of a company or individual entrepreneur;
Copies of the company's constituent documents;
Letter of guarantee with the presented payment schedule;
A certificate-list of specialists available in the company, documents confirming their qualifications, diplomas, work books, employment contracts and work insurance contracts;
Documents confirming the compliance of the company’s activities with the requirements of the SRO - such requirements are developed and approved by a self-governing organization; they list the conditions and requirements (for example, regarding the number of personnel, qualifications, work experience, the amount of the authorized capital or the size of the company’s assets, etc.).
The conclusion on acceptance or refusal of the applicant is determined by the SRO within 1 month from the date of transfer of documents. If membership in the SRO is approved by a confirmatory decision, then the admission document is issued within three days after it. A certificate can be issued only after payment of fees - admission and to the compensation fund.
Introduction Features
Being obligatory in acquiring the right to carry out work, these contributions become a guarantee of perpetual membership in the SRO. The certificate is issued without any time or territorial limitations.
Refusal to admit may be motivated by non-compliance with the necessary legal requirements in the company's activities or existing membership in another SRO. Let us note that some self-regulatory organizations put forward a one-time payment of fees as one of the conditions for admission, which, from the point of view of law, is a violation.
The decision to refuse admission or the imposition of unlawful conditions for admission may be appealed in an arbitration court.
Benefits of working as SRO members
Membership in the SRO opens up the following opportunities:
Successful cooperation with members of the association;
Professional growth, increasing the qualification level of personnel, and therefore a general improvement in the quality of work and their safety;
Obtaining up-to-date information on tenders for the distribution of orders (for example, in construction or design); By participating in tenders, companies receive significant support and recommendations from their self-regulatory organization.
In addition, membership in an SRO becomes a kind of guarantee of responsibility. Customers prefer to work with members of reliable SROs, knowing that in the event of damage they will receive compensation payments from the CF and the insurance company.
Register of membership in SRO
The register is a list of non-profit associations that have the appropriate status and are included in the unified state register in areas of activity where these associations are used as a mechanism of non-state regulation. Currently, there are lists of associations of builders, designers, heat power engineers, survey enterprises, organizations and entrepreneurs involved in arbitration management, auditing, asset valuation, as well as credit cooperatives and microfinance companies. State registers of SROs are controlled by the executive authorities of the state.
Such a list allows you to find the necessary association on the federal resource and make sure that it really exists and is authorized to issue certificates for conducting certain types of activities to its members.
Entering information about membership in the SRO
So, self-regulatory organizations are officially registered in the state register, and information about SRO membership is periodically updated.
This is controlled by the state. Tax authorities enter basic information into the Unified Federal Register based on information from the Unified State Register of Legal Entities and the Unified State Register of Individual Entrepreneurs. However, legislators have provided for the obligation for enterprises and entrepreneurs-members of SROs to independently inform themselves and post information on a special resource.
Since 10/01/2016, each member of the association has been legally required to report to the EFRS (single federal resource “Information on membership in SRO”) about the actual activities of enterprises, for example, about admission to membership in the organization or leaving it, indicating the name of the company or full name .ABOUT. entrepreneur, their identification characteristics, as well as contact addresses. Information about the organization, its identifiers and types of work that can be performed by its members are also entered.
The procedure and timing for transmitting information to the EFRS
The legislation defines the method by which users enter the necessary information into the unified federal register on membership in an SRO. This is an electronic message certified by an enhanced electronic signature (ESS). You must first obtain an access key to the electronic signature. The transfer of information about significant events to the SRO is an obligation, and it must be carried out within the time frame specified by law - 3 business days from the date the user learned about the accomplished fact.
In addition, we must remember that the transfer of information is carried out for a fee. Currently, its size is 805 rubles (including VAT) per entry.
Responsibility for violation of the law
Note that it is necessary not only to know how to enter information about membership in an SRO, but also to remember that ignoring the requirements of the law entails administrative liability. Failure to provide or untimely (inaccurate) provision of information is fraught with a fine in the amount of 5 to 10 thousand rubles. Repeated violations will entail more serious punishment - a fine of 10 to 50 thousand rubles. or disqualification of the association for up to 3 years.
The main regulatory documents defining the order of organization, status, functions and procedure for the activities of SROs are the Civil Code of the Russian Federation (hereinafter - the Civil Code of the Russian Federation), the Federal Law "On Non-Profit Organizations" dated January 12, 1996 No. 7-FZ (hereinafter - the Federal Law on NPOs), the Federal Law " On self-regulatory organizations" dated October 1, 2007 No. 315-FZ (hereinafter referred to as the Federal Law on SROs).
In accordance with the traffic regulations. 3 p. 3 art. 50 of the Civil Code of the Russian Federation, all SROs are and are created in the organizational and legal form of associations (unions).
General issues of the creation, organization, and activities of associations (unions) are addressed in Art. Art. 123.8 – 123.11 Civil Code of the Russian Federation.
Goals, objectives and functions of SRO
Due to their special importance, certain areas of activity in which SROs are created are excluded from the scope of the Federal Law on SROs; they are separated into special groups and are subject to special regulation.
This concerns, first of all, two major areas:
1) urban planning activities. According to clause 2.1 of Art. 1 of the Federal Law on SROs, issues of the creation and functioning of SROs created in the field of urban planning are subject to regulation by the Urban Planning Code of the Russian Federation dated December 29, 2004 No. 190-FZ (hereinafter referred to as the Civil Code of the Russian Federation).
2) activities in the financial sector. In accordance with paragraph 3 of Art. 1 of the Federal Law on SROs, issues of the organization and activities of SROs in this area are regulated by the Federal Law “On Self-Regulatory Organizations in the Financial Market” dated July 13, 2015 No. 223-FZ (hereinafter referred to as the Federal Law on SROs in the financial market).
These two large groups, in turn, are divided into several, depending on the specific type of activity carried out by the business entity.
In addition, the features of the organization and activities of SROs in certain areas are fixed by special sectoral regulatory legal acts.
In accordance with paragraph 1 of Art. 2 of the Federal Law on SROs, self-regulation means activities that:
1) carried out by subjects of entrepreneurial or professional activity;
2) is independent and proactive;
3) consists of developing rules and standards, compliance with which is mandatory for members of a particular SRO, as well as monitoring by the SRO over compliance with these rules and standards by members of the SRO.
The general goals of SROs as non-profit organizations created in the form of associations (unions), in accordance with paragraph 1 of Art. 123.8 of the Civil Code of the Russian Federation are:
1) representation and protection of the general, including professional, interests of their members;
2) achieving socially beneficial goals;
3) other purposes that do not contradict the law and are non-commercial in nature.
In more detail, the approximate goals of creation and activity, the functions of certain types of SROs are determined by the Federal Law on SROs, the Federal Law on SROs in the financial market, and special federal laws on SROs in certain areas.
In accordance with Art. 6 of the Federal Law on SROs, the functions of SROs are to approve the conditions of membership in the organization, monitor compliance by members of the organization with the requirements of the law and the conditions of the specified conditions of membership, apply, in the manner established by legislation and SRO documents, disciplinary measures on its members, represent the interests of SRO members in relations with government bodies, local governments, etc.
According to Art. 2 of the Federal Law on SROs for organizations in the financial market, the following goals of creation and activity are outlined: development of the financial market of the Russian Federation, assistance in creating conditions for the effective functioning of the financial system of the Russian Federation, implementation of the economic initiative of SRO members, representation and protection of the interests of SRO members in the Central Bank of the Russian Federation, authorities state authorities, local governments, courts, etc.
As mentioned above, for individual, specific types of activities, the goals, objectives and functions of the relevant SROs are determined by special federal laws.
Finally, specific goals, objectives and functions for each individual SRO are determined in the SRO's charter, but at the same time they must meet and cannot contradict the goals and objectives defined by law.
History of self-regulatory organizations in Russia
The need for the emergence of SROs in Russia was recognized by the state and market participants in the early 90s of the last century and was due to several reasons.
Thus, during this period, it became obvious that in the formation of market relations, not all regulatory issues in any particular market can be resolved only by the state and, in general, should be resolved by the adoption of special legislative measures.
A number of functions to ensure uniformity of document flow were assumed by the first SROs.
In this regard, it is obvious that the first SROs were created in markets that at that time were in the stage of formation and were experiencing particularly rapid growth, primarily the financial market and the securities market.
For example, in May 1994, the first such organization in the financial market was created - the Professional Association of Stock Market Participants (PAUFOR).
The purpose of creating this SRO was to develop and approve special standards that were to be used by participants in the securities market, to establish uniform requirements for market participants and to monitor compliance with these standards and requirements. The first members of this SRO were more than 10 of the largest market participants who carried out and provided support for a significant part of transactions in securities.
Let us note that one of the most important goals of creating this SRO was the actual organization of trading in securities between its members, which was later transferred to the Russian Trading System.
Also, in 1994, the Professional Association of Registrars, Transfer Agents and Depositories (PARTAD) was created, and in 1996, the National Association of Stock Market Participants (NAUFOR), which was created on the basis of PAUFOR as an SRO itself.
A new stage in the development of these SROs began with the adoption of the Federal Law on SROs in the financial market in 2015.
Let us note that with the adoption of the Federal Law on SROs in the financial market, the powers of the SROs themselves have also changed significantly.
So, for example, if previously the resolution of issues related to the adoption of standards and rules for the activities of members of the SRO fell within the competence of the SRO, then, according to this law, the SRO only carries out the function of developing standards and rules, and their approval is within the competence of the Central Bank of the Russian Federation.
The history of the creation and activities of SROs in other areas is no less extensive.
For example, the first organization that united participants in the valuation services market (SRO “Russian Society of Appraisers”) was created in 1993.
Later, the Russian Society of Appraisers, in connection with the entry into force of the Federal Law “On Appraisal Activities in the Russian Federation” dated 07/09/1998 No. 135-FZ, acquired the official status of a self-regulatory organization, and in 2007 it was entered into the Unified State Register of SROs.
