Information on Restrictions Imposed on Operations Conducted by Financial Market Participants

No.

Name

TIN

Information on licences

Type of a ban or restriction

Date of a ban or restriction

Date order was sent to trade organisers banning the provision of services directly contributing to civil transactions with financial instruments

Date operations were resumed

1

Region Specialised Registration Company LLC

7107066293

Licence No. 10-000-1-00336 of 7 June 2005 to maintain a register ( no expiry date).

Extension of a ban for six months from the date of receiving an order not to engage in operations in the register of the holders of the securities of ProektInvestGroup CJSC (TIN 7723519217)

7 March 2013
No. 13-SKh-02/7681

 

 

2

PARTNER CJSC

3528013130

Licence No. 10-000-1-00287 of 4 April 2003 to maintain a register (no expiry date).

Extension of a ban for six months from the date of receiving an order not to engage in operations in the register of the holders of the securities of ProektInvestGroup CJSC (TIN 7723519217)

7 March 2013
No. 13-SKh-02/7677

 

 

3

FinansInvest Investment Company LLC

7708700490

Brokerage licence No. 077-12733-100000 of 8 December 2009 (no expiry); Dealer licence No. 077-12735-010000 of 8 December 2009 (no expiry date); Securities management licence No. 077-12737-001000 of 8 December 2009 (no expiry date).

A ban on all operations with financial instruments

19 March 2013

19 March 2013

 

4

Liga Investment and Finance Company LLC

7707748805

Brokerage licence No. 077-13614-100000 of 23 June 2011 (no expiry date); Dealer licence No. 077-13616-010000 of 23 June 2011 (no expiry date); Securities management licence No. 077-13618-001000 of 23 June 2011 (no expiry date).

A ban on all operations with financial instruments

19 March 2013

19 March 2013

 

5

VTB Registrar CSJC

5610083568

Licence No.  10-000-1-00347 of 21 February 2008 to maintain a register of securities holders (no expiry date).

Extension of a ban for six months from the date of receiving an order not to engage in operations in the register of the holders of the securities of The Seventh Continent OJSC (TIN 7705005628)

5 February 2013
No. 13-EK-04/3189

 

 

6

National Settlement Depository CJSC

7702165310

Depositary licence No. 177-12042-000100 of 19 February 2009 (no expiry date)

Extension of a ban for six months from the date of receiving an order not to engage in depository operations with the securities of The Seventh Continent OJSC (TIN 7705005628)

5 February 2013
No. 13-EK-04/3182

 

 

7

DCC CJSC

7710021150

Depositary licence No. 177-06236-000100 of 9 October 2002 (no expiry date)

Extension of a ban for six months from the date of receiving an order not to engage in depository operations with the securities of The Seventh Continent OJSC (TIN 7705005628)

5 February 2013
No. 13-EK-04/3186

 

 

8

CB Citibank CJSC

7710401987

Brokerage licence No. 177-02738-100000 of 9 November 2000 (no expiry date); Dealer licence No. 177-02751-010000 of 9 November 2000 (no expiry date); Depositary licence No. 177-02719-000100 of 1 November 2000 (no expiry date).

Extension of a ban for six months from the date of receiving an order not to engage in depository operations with the securities of The Seventh Continent OJSC (TIN 7705005628)

5 February 2013
No. 13-EK-04/3187

 

 

9

ING BANK (EURASIA) CJSC

7712014310

Brokerage licence No. 177-03809-100000 of 13 December 2000 (no expiry); Dealer licence No. 177-03870-010000 of 13 December 2000 (no expiry date); Depositary licence No. 177-03728-000100 of 7 December 2000 (no expiry date).

Extension of a ban for six months from the date of receiving an order not to engage in depository operations with the securities of The Seventh Continent OJSC (TIN 7705005628)

5 February 2013
No. 13-EK-04/3183

 

 

10

VTB Bank OJSC

7702070139

Brokerage licence No. 178-06492-100000 of 25 March 2003 (no expiry date); Dealer licence No. 178-06493-010000 of 25 March 2003 (no expiry date); Securities management licence No. 178-06496-001000 of 25 March 2003 (no expiry date); Depositary licence No. 178-06497-000100 of 25 March 2003 (no expiry date).

Extension of a ban for six months from the date of receiving an order not to engage in depository operations with the securities of The Seventh Continent OJSC (TIN 7705005628)

5 February 2013
No. 13-EK-04/3184

 

 

11

IRCOL CJSC

7728023430

Licence No.  10-000-1-00250 of 9 August 2002 to maintain a register of securities holders (a perpetual licence)

Extension of a ban for six months from the date of receiving an order not to engage in operations in the register of the holders of the securities of Serpukhov Casting and Mechanical Plant OJSC (TIN 5043017368)

24 September 2013

 

 

12

Klimovsk Specialised Ammunition Plant CJSC

5021011845

 

Extension of a ban for six months from the date of receiving an order not to engage in operations in the register of the holders of the securities of Klimovsk Specialised Ammunition Plant CJSC (TIN 5021011845)

24 September 2013

 

 

13

RusCom Securities CJSC

7736235212

Brokerage licence No. 077-12657-100000 of 10 November 2009 (no expiry date); Dealer licence No. 077-12662-010000 of 10 November 2009 (no expiry date); Securities management licence No. 077-12667-001000 of 10 November 2009 (no expiry date); Depositary licence No. 077-11307-000100 of 27 May 2008 (no expiry date).

A ban on all operations with financial instruments

2 April 2013

2 April 2013

 

14

SkyInvest LLC

7710861712

Brokerage licence No. 077-13341-100000 of 30 September 2010 (no expiry date); Dealer licence No. 077-13342-010000 of 30 September 2010 (no expiry date); Securities management licence No. 077-13343-001000 of 30 September 2010 (no expiry date).

A ban on all operations with financial instruments

2 April 2013

2 April 2013

 

15

Westminster Capital Management LLC

7701844855

Brokerage licence No. 077-12558-100000 of 29 September 2009 (a perpetual licence); Dealer licence No. 077-12564-010000 of 29 September 2009 (a perpetual licence); Securities management licence No. 077-12569-001000 of 29 September 2009 (a perpetual licence); Depositary licence No. 077-12571-000100 of 29 September 2009 (a perpetual licence).

A ban on all operations with financial instruments

16 April 2013

16 April 2013

 

16

AVALON INVEST LLC

7710259547

Brokerage licence No. 077-04478-100000 of 18 January 2001 (a perpetual licence); Dealer licence No. 077-07277-010000 of 23 December 2003 for activities (a perpetual licence); Securities management licence No. 077-11043-001000 of 21 February 2008 (a perpetual licence).

A ban on all operations with financial instruments

30 May 2013

30 May 2013

 

17

InvestComService LLC

7715849042

Brokerage licence No. 077-13512-100000 of 29 March 2011 (a perpetual licence); Dealer licence No. 077-13517-010000 of 29 March 2011 (a perpetual licence); Securities management licence No. 077-13522-001000 of 29 March 2011 for activities (a perpetual licence).

A ban on all operations with financial instruments

30 May 2013

30 May 2013

 

18

Financial Solutions LLC

7727666357

Brokerage licence No. 077-13217-100000 of 22 July 2010 (a perpetual licence); Dealer licence No. 077-13221-010000 of 22 July 2010 (a perpetual licence); Securities management licence No. 077-13224-001000 of 22 July 2010 (a perpetual licence).

A ban on all operations with financial instruments

9 July 2013

9 July 2013

 

19

Broker Capital Investment House LLC

7704657099

Brokerage licence No. 077-10571-100000 of 27 September 2007 (a perpetual licence); Dealer licence No. 077-10578-010000 of 27 September 2007 (a perpetual licence); Securities management licence No. 077-10585-001000 of 27 September 2007 (a perpetual licence).

A ban on all operations with financial instruments

29 August 2013

29 August 2013

 

20

Investment & Finance Center LLC

7703753723

Brokerage licence No. 077-13645-100000 of 26 January 2012 (a perpetual licence); Dealer licence No. 077-13646-010000 of 26 January 2012 (a perpetual licence); Securities management licence No. 077-13647-001000 of 26 January 2012 (a perpetual licence).

A ban on all operations with financial instruments

29 August 2013

29 August 2013

 

21

Personal Broker LLC

7720690270

Brokerage licence No. 077-13607-100000 of 21 June 2011 (a perpetual licence); Dealer licence No. 077-13609-010000 of 21 June 2011 for activities (a perpetual licence); Securities management licence No. 077-13611-001000 of 21 June 2011 (a perpetual licence); Depositary Licence No. 077-13613-000100 of 21 June 2011 (a perpetual licence).

A ban on all operations with financial instruments

29 August 2013

29 August 2013

 

22

Active Project Investment and Finance Company LLC

7708734153

Brokerage licence No. 077-13576-100000 of 31 May 2011; Dealer licence No. 077-13577-010000 of 31 May 2011; Securities management licence No. 077-13579-001000 of 31 May 2011; Depositary Licence No. 077-13580-000100 of 31 May 2011.

A ban on all operations with financial instruments

24 December 2013

24 December 2013

 

23

Invest-Trade International Financial Group LLС

7715697872

Brokerage licence No. 077-12083-100000 of 24 March 2009; Dealer Licence No. 077-12087-010000 of 24 March 2009; Securities management licence No. 077-12092-001000 of 24 March 2009; Depositary Licence No. 077-12096-000100 of 24 March 2009.

A ban on all operations with financial instruments

24 December 2013

24 December 2013

 

24

RUSPROMINVEST LLC

7701544957

Brokerage licence No. 177-11270-100000 of 15 May 2008; Dealer Licence No. 177-11273-010000 of 15 May 2008; Securities management licence No. 177-11277-001000 of 15 May 2008; Depositary Licence No. 177-11772-000100 of 13 November 2008.

A ban on all operations with financial instruments

24 December 2013

24 December 2013

 

25

MixFinance LLC

7705212310

Brokerage Licence No. 077-11964-100000 of 29 January 2009; Dealer licence No. 077-11969-010000 of 29 January 2009; Securities management licence No. 077-11974-001000 of 29 January 2009; Depositary Licence No. 077-11979-000100 of 29 January 2009.

A ban on all operations with financial instruments

24 December 2013

24 December 2013

 

26

MAXWELL CAPITAL Investment Company LLC

7736207053

Brokerage licence No. 077-06203-100000 of 10 March 2004; Dealer Licence No. 077-06215-010000 of 10 March 2004; Securities management licence No. 077-07509-001000 of 10 March 2004; Depositary Licence No. 077-07512-000100 of 10 March 2004.

A ban on all operations with financial instruments

24 December 2013

24 December 2013

21 March 2014

27

Eurotrust Management Company LLC

5262211350

Licence No. 21-000-1-00894 of 1 August 2012 to manage investment funds, unit investment funds and non-government pension funds

A ban on carrying out specific operations, namely, on disposal of the assets constituting the Agrokapital closed-end investment rental income fund, including the payment of remuneration to a trustee, and/or performance of contractual obligations using the said property, except for the payment of fees to a specialised depository, registrar, audit firm and appraiser of the Fund, as well as expenses for mandatory payments established by Russian legislation with regard to the Fund's property or related to operations with the said property, expenses related to the insurance the real estate of the Fund, expenses related to the maintenance (operation) and security of buildings, structures and premises constituting the property of the Fund and their maintenance in appropriate condition, under contracts concluded prior to the date of receipt of this order. In addition, a ban on the payment of income from the trust management of property constituting the Fund.

23 June 2014

 

On 14 October 2014, the licence to manage investment funds, unit investment funds and non-government pension funds was cancelled.

 

 

 

 

* In case of any translation ambiguity, the Russian version shall prevail.

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