Mityakina Inna Vladimirovna, Applicant of the Volga Institute. P.A. Stolypin of the Russian Academy of National Economy and public service under the President of the Russian Federation.

The legislation on self-regulatory organizations is analyzed, taking into account their administrative and legal status and the foundations of public administration in this area. The main functions of monitoring the entrepreneurial or professional activities of their members in terms of their compliance with the requirements of the standards and rules of the SRO and the conditions for membership in the SRO and their compliance with the regulatory legal acts of the Russian Federation are considered.

Key words: self-regulatory organization, non-profit organization, public administration, public law functions, administrative and legal status.

Administrative legal regulation of activity of the self-regulatory organizations in Russian Federation

Legislation about self-regulatory organizations taking into account their administrative legal status and basics of public administration of the considering sphere is analyzed. Main functions to control over the business and professional activities of their members in terms of compliance of standards and rules of the SRO, conditions of the membership in SRO and Russian legislation were considered.

Key words: self-regulatory organization, nonprofit organization, public administration, public legal functions, administrative legal status.

State regulation is not always effective and often burdensome for business entities. Therefore, the introduction of this type of non-state regulation economic activity, as an institution of self-regulation, is one of the most relevant areas for the development of the legislation of the Russian Federation.

To date, the legislation on self-regulatory organizations does not constitute a single system. First, Federal Law No. 315-FZ "On Self-Regulatory Organizations" adopted in 2007 (hereinafter referred to as the Federal Law "On Self-Regulatory Organizations") does not apply to SROs of professional market participants. valuable papers, joint-stock investment funds, management companies and specialized depositories of investment funds, mutual investment funds and non-state pension funds, housing savings cooperatives, non-state pension funds, credit organizations, credit history bureaus. Secondly, the legislation provides for the possibility of both voluntary and mandatory membership in the SRO (depending on the scope of the SRO). Thirdly, the Federal Law "On Self-Regulatory Organizations" contains a reference rule according to which state control over the activities of SROs is carried out in the manner prescribed by federal laws, while the relations that develop during its implementation are of the same type and require unified legal regulation. Also controversial is the issue of vesting the SRO not only with the functions of monitoring the business or professional activities of its members in terms of their compliance with the requirements of the standards and rules of the SRO and the conditions for membership in the SRO, but also with respect to their compliance with the regulatory legal acts of the Russian Federation.

Also, in the current legislation, the term "self-regulatory organization" is used regardless of whether or not the organization performs public law functions, which does not correspond to the spirit and meaning of the administrative reform provided for by the Decree of the President of the Russian Federation "On measures to implement administrative reform in 2003 - 2004" .

In our opinion, self-regulatory organizations are an original organizational and legal form non-profit organization, the hallmark of which is the implementation of public law functions previously carried out by the state. SROs should be created only as a non commercial organizations, since the exercise by private persons of public law functions cannot be of a commercial nature. Organizations that do not have public law functions should be created by citizens and legal entities in the form of ordinary associations, unions, non-profit partnerships, etc. (for example, the Association of Builders of Russia, Russian association marketing) in accordance with general rules legislation on legal entities ah, in respect of which the legislation on self-regulatory organizations should not apply.

Not everything is so unambiguous with the acquisition of legal status by SROs.

Since the SRO is a non-profit organization, it is assumed that its creation should take place in accordance with the special procedure for registering legal entities provided for by the Federal Law "On Non-Profit Organizations".

At the same time, at present, the creation of one or another SRO has various options. So, a newly created legal entity acquires the status of an SRO:

after being entered in the state register of self-regulatory organizations (SROs of arbitration managers, auditors, appraisers);
after obtaining permission to operate as an SRO (SRO of professional participants in the securities market, management companies);
without obtaining SRO any permission and inclusion in the state register.

In accordance with paragraph 6 of Art. 3 of the Federal Law "On Self-Regulatory Organizations", a non-profit organization acquires the status of a self-regulatory organization from the date the information about the non-profit organization is entered in the state register of self-regulatory organizations and loses the status of an SRO from the date the information about the non-profit organization is excluded from the specified register.

In practice, it turns out that the same organization should be included in two state registers: the Unified State Register of Legal Entities and the State Register of Self-Regulatory Organizations.

Another difficulty in state registration SRO is that, according to the current legislation, the state register of self-regulatory organizations is not unified. The federal executive body specially authorized by the Government of the Russian Federation or the authorized federal executive body exercising the functions of control (supervision) over the activities of a particular SRO maintains a separate register of one or another type of SRO.

So, at present, the following federal bodies maintain state registers of SROs state power:

Ministry of Finance of the Russian Federation (register of SRO auditors);
Ministry Agriculture RF (register of SROs of audit unions of agricultural cooperatives);
Federal Service for State Registration, Cadastre and Cartography (register of SROs of arbitration managers and appraisers);
Federal Service of Insurance Supervision;
Federal Service for financial markets(register of SROs of insurance business entities and credit consumer cooperatives);
Federal Service for Environmental, Technological and Nuclear Supervision (register of SROs in the field of engineering surveys, architectural and construction design, construction, reconstruction, overhaul capital construction objects);
Ministry of Energy of the Russian Federation (SRO in the field of energy inspection).

These federal executive authorities independently establish the procedure for conducting state register SRO in accordance with Decree of the Government of the Russian Federation of September 29, 2008 N 724, which approved the Rules for maintaining the state register of self-regulatory organizations, which should be followed by authorized federal bodies when developing a register of one or another type of SRO.

Thus, we observe a different approach of the legislator to the issue of acquiring the status of an SRO, which, in our opinion, does not lead to the establishment of order in this area. Therefore, at present, there is a need to unify the norms for acquiring the status of any type of SRO.

It should also be noted that the mechanism of interaction between public authorities and self-regulatory organizations, especially those that are delegated public functions, is not sufficiently developed in the current legislation. It should be considered expedient to regulate the procedure for submitting and exchanging information between public authorities and self-regulatory organizations, involving the latter by public authorities in considering issues related to the activities of these organizations. The absence of legislatively provided mechanisms for interaction between public authorities and self-regulatory organizations has a negative impact on the implementation operational control for their compliance with the requirements of the current legislation.

The presence of the above conditions will allow self-regulatory organizations in the economic sphere to work productively and occupy their niche in the complex multifaceted life of modern Russian society.

SRO auditors- a non-profit organization established on the terms of membership in order to ensure the conditions for the implementation of audit activities (part 1 of article 17 of the Audit Law).

As mentioned above, the process of self-regulation entrepreneurial activity regulated by Federal Law No. 315-FZ of December 1, 2007 “On Self-Regulatory Organizations” (hereinafter referred to as the SRO Law). The adoption of this Law was the beginning of the reform of the system of state regulation of audit activities, since there was a transition from such a traditionally used method of state influence on business, such as licensing, to self-regulation.

Self-regulation is carried out on the terms of association of subjects of entrepreneurial or professional activity in SRO. The essence of self-regulation lies in the fact that the state transfers certain functions to the SRO for state regulation of entrepreneurial and professional activities. On the question of the legality of such a transfer, the Constitutional Court of the Russian Federation stated: “The Constitution of the Russian Federation does not prohibit the state from transferring the powers of executive authorities to non-governmental organizations participating in the performance of certain functions of public power. Within the meaning of its articles 78 (parts 2 and 3) and 132 (part 2), such a transfer is possible provided that it does not contradict the Constitution of the Russian Federation and federal laws.

This legal position was confirmed in subsequent acts of the Constitutional Court of the Russian Federation.

“The constitutional principle of a democratic legal state and the freedom guaranteed by the Constitution of the Russian Federation economic activity involve the development of the principles of self-government and autonomy in the economic sphere necessary for the formation of civil society, a manifestation of which is the creation of self-regulatory organizations .

SROs should be considered as an institutional means of self-regulation of business relations.

The civil legal status of SROs is determined by the provisions of the Civil Code of the Russian Federation. The fundamentals of the legal status of SROs as non-profit organizations are established by the Federal Law of January 12, 1996 No. 7-FZ “On Non-Profit Organizations”.

According to the definition adopted in international practice, a Self-Regulating Organization (Self-Regulating Organizations) is an organization that exercises some degree of regulatory power over a certain area of activity.

According to paragraph 3 of Art. 50 of the Civil Code of the Russian Federation, SROs are created in the organizational and legal forms of associations (unions) - corporate legal entities (corporations), the founders (participants) of which have the right to membership in them and form their supreme body (clause 1, article 65.3 of the Civil Code of the Russian Federation). In accordance with Art. 123.8 of the Civil Code of the Russian Federation, an association (union) is an association of legal entities and (or) citizens based on voluntary or, in cases established by law, on mandatory membership and created to represent and protect common interests, including professional ones, to achieve socially useful goals, as well as other purposes that do not contradict the law and have a non-commercial nature.

By general rule, associations (unions) may have civil rights and bear civil obligations corresponding to the purposes of their creation and activities, provided for by the charters of such organizations.

A non-profit organization acquires the status of a self-regulatory organization of auditors from the date of its inclusion in the State Register of SROs and loses such status from the date of exclusion of information about it from the specified register. The register is maintained by the Ministry of Finance of Russia.

The specificity of the legal nature of SROs is due to the combination of private and public legal principles in their activities. The Constitutional Court of the Russian Federation noted the special status of the SRO: “Self-regulatory organizations ... have a dual legal nature: on the one hand, these are non-profit organizations and they are registered in the manner prescribed by Art. 3 of the Federal Law "On Non-Commercial Organizations", on the other hand, from the date of inclusion in the Unified State Register of Self-Regulatory Organizations, they acquire a special public law status of SROs.

The condition for inclusion in the register of SRO auditors is compliance with the established Part 3 of Art. 17 of the Audit Law to such requirements as:

association in the SRO as its members at least 700 individuals or at least 500 commercial organizations that meet the requirements established by the Audit Law;
availability of approved rules for the implementation of external quality control of the work of members of SRO auditors, adopted rules for the independence of auditors and audit organizations, and adopted code professional ethics auditors;
providing SRO auditors with additional property liability of each of its members to consumers of audit services and other persons through the formation of a compensation fund (compensation funds) of SRO auditors.

Functions, rights and obligations of SRO auditors are determined by Art. 17 of the Audit Law and art. 6, 14 of the Law on SRO.

In order to provide access to information, the SRO of auditors, in accordance with the requirements of the Law on SROs, is obliged to create and maintain a website in the information and telecommunication network Internet, the electronic address of which includes a domain name, the rights to which belong to this SRO. The list of information posted on the official website of the SRO is determined by Part 2 of Art. 7 of the SRO Law. In the manner determined by the SRO itself, it has the right to place Additional information on the activities of its own and its members (part 7 of article 7 of the Law on SROs).

Therefore, the principle of transparency (from the French transparent - transparent) is one of the fundamental principles of SRO activity. For violation of obligations to disclose information, Art. 14.52 of the Code of Administrative Offenses of the Russian Federation provides for the responsibility of the SRO.

To carry out its activities as a self-regulatory organization of auditors, a non-profit organization creates specialized bodies that control and consider cases on the application of disciplinary measures against members of the SRO of auditors.

If a member of the SRO of auditors has violated the requirements of the Law on Auditing, auditing standards, rules for the independence of auditors and audit organizations, the code of professional ethics of auditors, the SRO of auditors may apply the following disciplinary measures (Article 20 of the Audit Law):

issue an order obliging a member of the SRO of auditors to eliminate the violations identified by the results of an external audit of the quality of his work and setting the deadlines for their elimination;
issue a written warning to a member of the SRO of auditors about the inadmissibility of violating the specified requirements;
impose a fine on a member of the SRO of auditors;
make a decision to suspend the membership of the audit organization, the auditor in the SRO of auditors for a period until they eliminate the identified violations, but not more than 180 calendar days from the day following the day of acceptance said decision;
decide on the exclusion of the audit organization, the auditor from the members of the SRO of auditors;
apply other measures established by internal documents of SRO auditors.

The auditor, in respect of which a decision has been made to suspend his membership in the SRO of auditors, during the entire period of validity of such a decision, is not entitled to:

participate in the implementation of audit activities;
give recommendations confirming an impeccable business (professional) reputation to persons wishing to become members of the SRO of auditors;
participate in the work of elected and specialized bodies of SRO auditors.

An audit organization, an individual auditor, in respect of which a decision has been made to suspend their membership in the SRO of auditors, during the entire period of validity of such a decision, is not entitled to: conclude contracts for the provision of audit services and make changes to contracts for the provision of audit services that entail an increase in the obligations of the audit organization, an individual auditor concluded prior to the adoption of the said decision by the SRO of auditors.

As mentioned, state control (supervision) over the activities of the SRO of auditors is carried out by Rosfinnadzor. in the form of plans and unscheduled inspections according to the Federal Law of December 26, 2008 No. 294-FZ “On the protection of the rights of legal entities and individual entrepreneurs in the exercise of state control (supervision) and municipal control, taking into account the peculiarities of SROs and the conduct of inspections established by Art. 22 of the Audit Law.

If, during the audit, violations of the requirements of the Law on Auditing, auditing standards, rules for the independence of auditors and audit organizations, and the code of professional ethics for auditors are revealed, Rosfinnadzor may apply the following measures of influence:

issue an order obliging the audit organization to eliminate the violations identified by the results of an external audit of the quality of its work and setting the deadlines for their elimination;
issue a warning in writing about the inadmissibility of these violations;
send the SRO of auditors, of which the audit organization is a member, a binding order to suspend the membership of the audit organization in the SRO of auditors for a period until it eliminates the identified violations, but not more than 180 calendar days from the day following the day the said decision was made;
send an SRO of auditors, a member of which is an audit organization that has committed a violation of the requirements established by Part 6 of Art. 1, part 1, art. 8, pp. 2.1 and 3 h. 2 and h. 3 art. 13 of the Law on Audit, a mandatory order to exclude information about an audit organization from the register of auditors and audit organizations.

For more on self-regulation, see: Self-regulation of entrepreneurial and professional activities. Unity and differentiation: monograph; ed. I.V. Ershov. M. : NORMA: INFRA-M, 2015; Ershova I.V. Self-regulation of entrepreneurial and professional activities: issues of theory and legislation // Actual problems of Russian law. 2014. No. 10; She is. Self-regulation of entrepreneurial and professional activities // Business and law in Russia and abroad (supplement to the journal " Business Law"). 2014. No. 3.

Coursework on the subject: "Business Law"

Originality of the work at the time of writing - 85%

Introduction ................................................ ................................................. ........... 3

1 General provisions about self-regulatory organizations and their participants..... 6

1.1 The concept and essence of self-regulation ............................................................... ....... 6

1.2 The history of the development of self-regulation in Russia and Russian legislation about self-regulatory organizations .............................................................. ..................... 12

2 Mechanism of participation of subjects of entrepreneurial and professional activity in self-regulatory organizations .............................................................. ............................. eighteen

2.1. Types and structure of self-regulatory organizations ............................................... 18

2.2 Peculiarities of mutual influence of a self-regulatory organization and its participants 26

Conclusion................................................. ................................................. ..... 33

List of used sources and literature ............................................. 36

List of used sources and literature
Normative legal acts

1. The Constitution of the Russian Federation. Adopted by popular vote on December 12, 1993. - M. : Phoenix, 2011. -63 p.

2. Civil Code of the Russian Federation. Part I: Feder. Law of November 30, 1994 No. 51-FZ // Collection of Legislation of the Russian Federation. - 1994. - No. 32. - Art. 3301.

3. Criminal Code of the Russian Federation: Feder. Law of the Russian Federation of June 13, 1996 // Collection of Legislation of the Russian Federation. - 1996. - No. 25. - Art. 2954.

4. Code of Administrative Offenses of the Russian Federation: Feder. Law of December 30, 2001 No. 195-FZ // Collection of Legislation of the Russian Federation. - 2002. - No. 1. - Art. one.

5. About self-regulatory organizations: feder. Law of the Russian Federation of December 1, 2007 No. 315-FZ // Collected. legislation Ros. Federation. - 2007. - No. 49. - Art. 6076.

6. About the securities market: feder. Law of the Russian Federation of April 22, 1996 No. 39-FZ // Collected. legislation Ros. Federation. - No. 17. - 1996. - Art. 1918.

7. On appraisal activities in the Russian Federation: Feder. Law of the Russian Federation of July 29, 1998 No. No. 135-FZ // Collection. legislation Ros. Federation. - 1998.- No. 31.- Art. 3813.

8. On audit activity: feder. Law of the Russian Federation of December 30, 2008 No. 307-FZ // Collected. legislation Ros. Federation. - No. 267. - 2008. - Art. fifteen.

9. About licensing certain types activities: feder. Law of the Russian Federation of May 4, 2011 No. 99-FZ // Collected. legislation Ros. Federation. - 2011. - No. 19. - Art. 2716.

Scientific and special literature

10. Abolonin G.O. Disciplinary production of self-regulatory organizations - on the edge of the conflict / G.O. Abolonin. - M.: Wolters Kluver, 2010. - 288 p.

11. Belykh V.S. Legal regulation of entrepreneurial activity in Russia: monograph / V.S. White. – M.: Prospekt, 2013. – 432 p.

12. State regulation of business development: experience, problems, innovations / ed. AND I. Bystryakov. – M.: Prospekt, 2015. – 144 p.

13. Ershova I.V. Self-regulation of entrepreneurial and professional activities: unity and differentiation: monograph / I.V. Ershov. - M.: Norma, 2015. - 256 p.

14. Kvanina V.V. Professional and entrepreneurial activity / V.V. Kvanina // Civilist. - 2011. - No. 2. - S. 27 - 33.

15. Corporate law. Actual problems of theory and practice / S. A. Babkin, R. S. Bevzenko, V. A. Belov; under total ed. V. A. Belova; Moscow State University M. V. Lomonosov. - Scientific ed. -M.: Yurayt, 2014. -678 p.

16. Leskova Yu.G. Conceptual and legal bases of self-regulation of entrepreneurial relations / Yu.G. Leskov. - M.: Statute, 2013. - 384 p.

17. Mryasova Yu.R. Self-regulation in the system of state regulation / Yu.R. Mryasova // Entrepreneurial Law. - 2009. - No. 1. - S. 47-51.

18. Mryasova Yu.R. Self-regulation: some problems of definition / Yu.R. Mryasova // Actual problems of law in Russia and the CIS countries - 2010: Materials of the XII Intern. scientific-practical. conferences with elements of a scientific school. Part 3: Civil and business law. Civil and arbitration process. Information Law (Faculty of Law of the South Ural state university, April 1 - 2, 2010). Chelyabinsk, 2010. - 322 p.

19. Pavlodsky E.A. Self-Regulatory Organizations of Russia / E.A. Pavlodsky // Journal of Russian Law. - 2009.- No. 1. - S. 36-41.

20. Petrov D.A. On the issue of the public law nature of the activities of members of self-regulatory organizations / D.A. Petrov // Civil law. - 2013. - No. 1. - P.15-21

21. Petrov D.A. Ensuring information transparency in self-regulation / D.A. Petrov // Civil law. - 2013. - No. 5. - S. 33 - 35.

22. Petrov D.A. Principles of self-regulation: systematization criteria and types / D.A. Petrov // Russian justice. - 2012. - No. 3. - S. 18 - 21

23. Petrov D.A. Legal status Self-Regulatory Organization in the Sphere of Entrepreneurship: Problems of Theory and Practice: Monograph. / YES. Petrov. - St. Petersburg: Nestor-History, 2015. - 320 p.

24. Russian business law: textbook for bachelors / V.S. Belykh, G.E. Bersunkaev, S.I. Vinichenko [and others]; resp. ed. V.S. White. – M.: Prospekt, 2014. – 656 p.

25. Business law: a textbook for bachelors / I.V. Ershova, L.V. Andreeva, G.D. Otnyukov. – M.: Prospekt, 2015. – 624 p.

26. Modern business law: monograph / I.V. Ershova, L.V. Andreeva, N.G. Apresova [i dr.]; resp. ed. I.V. Ershov. – M.: Prospekt, 2014. – 352 p.

27. Sungatullina L.A. Self-regulatory organizations: Russian and European experience / L.A. Sungatullina // Collection of materials of the conference "Law. Trade. Economics II". Rep. ed. Josef Suchozza, Jan Yuzar. Pavel Josef Šafarik University. Prague: Leges, 2012. - 624 p. - S. 570 - 577.

28. Sungatullina L.A. To the question of the classification of self-regulatory organizations. / Sungatullina L.A.// Proceedings of the International Scientific and Practical Conference “Third Legal Disputes on Actual Problems of Private Law”, dedicated to the memory of E.V. Vaskovsky. - Odessa, Astroprint, 2013. - S. 397-401.

29. Sungatullina L.A. Legal nature of self-regulation in the context of the theory of inter-industry and intra-industry relations / L.A. Sungatullina // Intersystem and interindustry communications in legal sphere: materials of the VIII International scientific and practical conference of students and graduate students.- Kazan: Kazan.un-t, 2013.- V.2.- S. 190-192.

30. Sungatullina L.A. Participation in self-regulatory organizations as a factor influencing the civil status of business and professional entities / L.A. Sungatullina // Collection of postgraduate scientific works Faculty of Law K(P)FU / ed. Z.F. Khusainov. - Kazan: Kazan Publishing House. un-ta, 2014. - S. 108 - 114.

31. Sungatullina L.A. Functions of self-regulatory organizations / L.A. Sungatullina // Scientific notes of Kazan University. Series Humanitarian sciences. - 2014. - Volume 156. - S. 118-130.

32. Sukhov E.P. self-regulatory organizations. Legal, financial, tax aspects / E.P. Sukhov. - M.: GrossMedia, 2010. - 72 p.

33. Chernyavsky A.G. Development of self-regulatory organizations in the Russian Federation: tutorial/ A.G. Chernyavsky. – M.: Infra-M, 2013. – 224 p.

Legal Practice Materials

34. Decision of the Arbitration Court of Moscow in case N A 40-74971 / 1022-660 // Bulletin of the Supreme Arbitration Court of the Russian Federation. - 2012. - No. 4.

WORK PRICE: 500 rub.

Relevance of the topic. Self-regulation of professional and entrepreneurial activities is the most effective mechanism for the market, borrowed from foreign practice. The introduction of this method is associated with the partial abolition of licensing and the transition to a qualitatively new stage in the system of interaction between the state and society.

Self-regulatory organizations (hereinafter referred to as SROs) arise in various industrial and manufacturing sectors as a result of the growth of self-awareness among participants business relations. This eliminates the influence oversight bodies from those spheres of control where their presence seems superfluous.

The purpose of creating an SRO is debureaucratization Russian economy and the formation of new civil law institutions aimed at strengthening the practice of responsible business conduct.

In many parts of the world, self-regulatory structures and associated private organizations have evolved naturally over the course of historical development and are now being successfully used as an alternative to public administration. In Russia, the process of creating SROs has not yet been completed, therefore, along with self-regulation, other terminological concepts are also used, such as private regulation and self-licensing.

Objective. The study of the legal foundations of the activities of self-regulatory organizations.

Tasks:

Reveal the essence of the concept of "self-regulatory organization";

Consider the procedure for acquiring the status of a self-regulatory organization;

Define the functions, rights and responsibilities of self-regulatory organizations;

Consider the governing bodies of self-regulatory organizations.

Object of study - self-regulating organizations.

Subject of study - legal basis for the activities of self-regulatory organizations, their legal status.

Normative base. In the course of the work done, federal laws regulating the activities of self-regulatory organizations in the Russian Federation were considered:

Other normative-legal acts concerning the regulation of the activities of various types of non-profit organizations.

1 BASIS OF ORGANIZATIONAL AND LEGAL STATUS OF SELF-REGULATORY ORGANIZATIONS

1.1 The concept and essence of self-regulatory organizations

The main legal act regulating the activities of self-regulatory organizations of all types is the Federal Law of December 1, 2007 N 315-FZ "On Self-Regulatory Organizations". This Law defines the basic provisions of self-regulation, fixes the principles for the formation of self-regulation, as well as its legal and financial foundations.

This law was introduced for several reasons:

First, the need to strengthen the responsibility of entrepreneurs to consumers of their goods and services, to raise business ethics standards.

Secondly, self-regulation, as conceived by the legislator, should lead to a reduction in budget costs associated with government regulation and control of business activity.

Thirdly, the creation of self-regulatory organizations will allow business participants to more effectively protect their interests in the event of conflicts with officials and reduce the “corruption burden” on business.

Fourth, SRO is an additional alternative mechanism for resolving disputes between entrepreneurs and consumers. Finally, fifthly, the adoption of a federal law regulating the work of self-regulatory organizations streamlines and details the legislation, and also creates a legal basis for the implementation of state economic policy in the direction of protecting the interests of entrepreneurs.

According to Part 1 of Article 3 of the Federal Law, self-regulatory organizations (hereinafter referred to as SROs) are non-profit organizations created for the purpose of self-regulation, based on membership, uniting business entities based on the unity of the industry of production of goods (works, services) or the market for manufactured goods (works, services) ) or uniting subjects of professional activity of a certain type .

In accordance with Federal Law No. 315-FZ, the purpose of SRO activity is self-regulation - an independent and initiative activity that is carried out by subjects of entrepreneurial or professional activity and the content of which is the development and establishment of standards and rules for this activity, as well as monitoring compliance with the requirements of these standards and rules . The subject of self-regulation is the entrepreneurial or professional activity of entities united in self-regulatory organizations. A self-regulatory organization develops and approves standards and rules for entrepreneurial or professional activities, which are understood as requirements for the implementation of entrepreneurial or professional activities that are mandatory for all members of a self-regulatory organization. Federal laws may establish the specifics of the development and establishment of standards and rules of self-regulatory organizations for certain types of entrepreneurial or professional activities that apply to business entities.

Under the subjects of entrepreneurial activity, according to the Federal Law "On Self-Regulatory Organizations" refers to individual entrepreneurs and legal entities registered in in due course on the territory of the Russian Federation and carrying out entrepreneurial activities defined in accordance with the Civil Code of the Russian Federation, and under the subjects of professional activity - individuals engaged in professional activities regulated in accordance with federal laws (part 3 of article 2 of Federal Law No. 315-FZ).

In conclusion, I would like to note that in the Federal legislation much attention is paid to the concept of self-regulatory organizations, as well as the essence of the self-regulation process. This is explained by the fact that self-regulation is a new, poorly studied phenomenon in modern law enforcement practice. Based on this, the legislative bodies were faced with the task of preventing the occurrence of legal errors and violations caused by a lack of understanding of the essence of the self-regulation process.

1.2 The procedure for acquiring the status of a self-regulatory organization

I would like to note that the SRO is not an independent organizational and legal form of a legal entity. SRO is a status acquired by a non-profit organization upon fulfillment of the requirements stipulated by the current legislation of the Russian Federation.

In accordance with paragraph 2 of Art. 51 of the Civil Code of the Russian Federation (hereinafter referred to as the Civil Code of the Russian Federation), a legal entity is considered established from the date of making the corresponding entry in the unified state register of legal entities. That is, a legal entity arises through the creation, "birth" of a new subject of civil circulation. With regard to SROs, the legislator does not use such provisions. In accordance with Art. 22 of the Federal Law of July 29, 1998 No. 135-FZ “On Appraisal Activities in the Russian Federation” “the status of a self-regulatory organization of appraisers is acquired by a non-profit organization in accordance with the provisions of this article from the date of its inclusion in the unified state register of self-regulatory organizations of appraisers.” Federal Law No. 315-FZ contains a provision according to which, "a non-profit organization acquires the status of a self-regulatory organization from the date of entering information about a non-profit organization in the state register of self-regulatory organizations." That is, the emergence of an SRO is not the creation, but the acquisition by a non-profit organization of the status of an SRO.

That is, on the one hand, SROs are non-profit organizations, and they are subject to the requirement of the Federal Law of January 12, 1996 No. 7-FZ “On Non-Profit Organizations” on mandatory state registration, and on the other hand, they have a special public law status, acquired subject to a number of conditions stipulated by law.

In accordance with Part 1 of Art. 3 of Federal Law No. 315-FZ, in order to acquire the status of an SRO, a legal entity must:

1. be established in the form of a non-profit organization;

2. the purpose of creation is self-regulation;

3. such legal entity must be based on the membership of its participants;

4. A legal entity must unite business entities on the basis of the unity of the industry of production of goods (works, services) or the market for industrial goods (works, services) or unite subjects of professional activity of a certain type.

In addition to the requirements of the law above, for a non-profit organization to become an SRO, the following conditions must also be met:

1) association within a non-profit organization as members of at least twenty-five subjects of entrepreneurial activity or at least one hundred subjects of professional activity of a certain type, unless otherwise established by federal laws in relation to self-regulatory organizations uniting business or professional entities;

2) the existence of standards and rules for entrepreneurial or professional activities that are mandatory for all members of the non-profit organization;

3) ensuring additional property liability of each SRO member to consumers of goods (works, services) produced and other persons by establishing an insurance requirement for members of a self-regulatory organization specified in paragraph 1 of part 1 of Article 13 of this Federal Law, and by forming a compensation fund of a self-regulatory organization .

4) in order to carry out activities as a self-regulatory organization, a non-profit organization must create specialized bodies that monitor compliance by members of the self-regulatory organization with the requirements of the standards and rules of entrepreneurial or professional activity and consider cases on the application of disciplinary measures against members of the self-regulatory organization provided for by the internal documents of the self-regulatory organization. organizations.

5) entering information about a non-profit partnership in the state register of self-regulatory organizations.

Moreover, federal laws may establish other requirements for non-profit organizations uniting business or professional entities to be recognized as self-regulatory organizations, and higher requirements may also be established in comparison with the requirements for self-regulatory organizations specified in this Federal Law. In accordance with Part 3 of Art. 22 of the Federal Law of July 29, 1998 No. 135-FZ “On Appraisal Activities in the Russian Federation”, the SRO of appraisers must unite at least 300 appraisers.

In accordance with the Federal Law of October 26, 2002 No. 127-FZ “On Insolvency (Bankruptcy)”, an SRO of arbitration managers must unite at least 100 arbitration managers (it should be noted that we are talking about business entities, since the arbitration the manager, in accordance with paragraph 1 of article 20 of the said Law, must be registered as an individual entrepreneur).

SRO builders (Urban Planning Code of the Russian Federation, Article 55.4) must unite as part of a non-profit organization as its members at least one hundred individual entrepreneurs and (or) legal entities.

So, from the moment an entry is made in the unified state register of SROs, a new legal entity of a special organizational and legal form does not arise. That is, any non-profit organization from the moment of making an entry in such a register only acquires a special status.

1.3 Functions, rights and responsibilities of self-regulatory organizations

1.3.1 Functions of self-regulatory organizations

In accordance with Article 6 of the Federal Law of December 1, 2007 N 315-FZ "On Self-Regulatory Organizations", the SRO performs the following main functions:

1) develops and establishes requirements for membership of subjects of entrepreneurial or professional activity in a self-regulatory organization, including requirements for joining a self-regulatory organization;

2) apply disciplinary measures provided for by this Federal Law and internal documents of the self-regulatory organization in relation to its members;

3) form arbitration courts to resolve disputes arising between members of the self-regulatory organization, as well as between them and consumers of goods (works, services) produced by members of the self-regulatory organization, other persons, in accordance with the legislation on arbitration courts;

4) analyzes the activities of its members on the basis of information provided by them to the self-regulatory organization in the form of reports in the manner prescribed by the charter of the self-regulatory organization or other document approved by the decision of the general meeting of members of the self-regulatory organization;

5) represents the interests of members of a self-regulatory organization in their relations with state authorities of the Russian Federation, state authorities of the subjects of the Russian Federation, bodies local government;

6) organize professional education, certification of employees of members of a self-regulatory organization or certification of goods (works, services) produced by members of a self-regulatory organization, unless otherwise established by federal laws;

7) ensure the transparency of the activity of its members, publish information about this activity in accordance with the procedure established by this Federal Law and internal documents of the self-regulatory organization.

The law also states that the self-regulatory organization, along with the above functions, has the right to perform other functions provided for by the charter of the self-regulatory organization and not contradicting the legislation of the Russian Federation.

1.3.2 Rights of self-regulatory organizations

In accordance with the main functions established by this article, in the process of carrying out its activities, a self-regulatory organization has the right to:

1) exercise control over the entrepreneurial or professional activities of its members in terms of their compliance with the requirements of the standards and rules of the self-regulatory organization;

2) challenge on its own behalf, in accordance with the procedure established by the legislation of the Russian Federation, any acts, decisions and (or) actions (inaction) of state authorities of the Russian Federation, state authorities of constituent entities of the Russian Federation and local governments that violate the rights and legitimate interests of a self-regulatory organization, its a member or members, or posing a threat of such a breach;

3) participate in the discussion of projects federal laws and other regulatory legal acts of the Russian Federation, laws and other regulatory legal acts of the subjects of the Russian Federation, government programs on issues related to the subject of self-regulation, as well as to send to the state authorities of the Russian Federation, state authorities of the constituent entities of the Russian Federation and local governments conclusions on the results of its independent examinations of draft regulatory legal acts;

4) to submit proposals for the consideration of state authorities of the Russian Federation, state authorities of the constituent entities of the Russian Federation and local governments on the formation and implementation of state policy and the policy pursued by local governments in relation to the subject of self-regulation;

5) request information from the state authorities of the Russian Federation, state authorities of the constituent entities of the Russian Federation and local self-government bodies and receive from these bodies the information necessary for the self-regulatory organization to perform the functions assigned to it by federal laws, in the manner prescribed by federal laws.

4. A self-regulatory organization, along with the rights specified in Part 3 of this Article, has other rights provided for by this Federal Law and other federal laws, taking into account the specifics established for entrepreneurial or professional activities of a certain type.

1.3.3 Responsibility of self-regulatory organizations

The responsibility of self-regulatory organizations is expressed through the implementation of the responsibility of the participants in a non-profit organization.

With the acquisition of the status of an SRO, the mechanism of liability of participants in a non-profit organization does not change.

Consequently, the responsibility of members of the SRO should be implemented according to the rules of responsibility provided for by the current legislation in relation to non-profit organizations.

The current legislation of the Russian Federation provides for a variety of organizational and legal forms of non-profit organizations, but for the most part they have one common feature- a non-profit organization is not liable for the obligations of its participants (members) (Chapter 2 of the Federal Law of January 12, 1996 No. 7-FZ "On Non-Profit Organizations").

For example, a non-profit partnership is not liable for the obligations of its members (Part 1, Article 7 of the Federal Law of January 12, 1996 No. 7-FZ “On Non-Profit Organizations”). In accordance with Art. 313 of the Civil Code of the Russian Federation, the fulfillment of an obligation may be assigned by the debtor to a third party, unless the obligation of the debtor to fulfill the obligation personally follows from the law, other legal acts, the terms of the obligation or its essence. responsibility for such harm independently, since the law does not provide for the possibility of a non-profit partnership to be liable for the obligations of its members.

In accordance with paragraph 1 of Art. 56 of the Civil Code of the Russian Federation and paragraph 3 of Art. 23 of the Civil Code of the Russian Federation, whether it is a legal entity or an individual entrepreneur - members of the SRO are liable for obligations with all their property.

But let us recall that the SRO has a special status of a non-profit organization. And if a member of the SRO were responsible solely with his property for all his obligations, then there would be no point in the very creation of the SRO at all. Therefore, one of the goals of creating an SRO, as well as becoming a member of an SRO, is to reduce the risk of a decrease in the property sphere of an SRO member in the event of its property liability to consumers for the goods it produces.

In order to ensure additional property liability of its members to consumers of goods (works, services) produced by them and other persons, SROs create systems of personal and (or) collective insurance, and also form a compensation fund. Thus, an SRO member is responsible to consumers of the goods (works, services) produced by him and other persons not only with his property, the responsibility of an SRO member is ensured by the insurance system and payments from the compensation fund formed by all members. It should be noted that the amount of payments from the compensation fund is determined by the general meeting of SRO members.

Federal Law No. 315-FZ establishes only one mandatory requirement for liability insurance of SRO members to consumers of goods (works, services) - the minimum amount of the insurance amount under the liability insurance agreement of SRO members (thirty thousand rubles a year). In accordance with paragraph 1 of Art. 947 of the Civil Code of the Russian Federation, the sum insured is the amount within which the insurer undertakes to pay insurance compensation under a property insurance contract or which he undertakes to pay under a personal insurance contract.

Thus, the consolidation in the Federal Law of December 1, 2007 N 315-FZ "On Self-Regulatory Organizations" of the functions, rights of the SRO and the responsibility of its members is designed to protect the basic interests of citizens when using the services provided by SRO representatives.

1.4 Governing bodies of self-regulatory organizations

In accordance with Article 5 of the Federal Law "On Self-Regulatory Organizations", the governing bodies of a self-regulatory organization are:

General meeting of members of a self-regulatory organization;

A permanent collegial governing body of a self-regulatory organization;

Executive body of a self-regulatory organization.

Let's consider them in more detail.

General meeting of members of a self-regulatory organization.

The General Meeting of Members of a Self-Regulatory Organization is the supreme governing body of the Self-Regulatory Organization, authorized to consider the issues related to its competence in the activities of the Self-Regulatory Organization.

The general meeting of members of a self-regulatory organization is convened at intervals and in the manner established by the charter of the self-regulatory organization.

The exclusive competence of the general meeting of members of a self-regulatory organization includes the following issues:

Approval of the charter of a non-profit organization, making changes to it;

Election of members of a permanent collegiate management body of a self-regulatory organization, early termination of the powers of the said body or early termination of the powers of its individual members;

Appointment to a position of a person exercising the functions of a sole proprietor executive body self-regulatory organization, early dismissal of such a person from office;

Approval of disciplinary measures, the procedure and grounds for their application, the procedure for considering cases of violation by members of the self-regulatory organization of the requirements of the standards and rules of the self-regulatory organization;

Determination of priority areas of activity of the self-regulatory organization, the principles of formation and use of its property;

Approval of the report of the permanent collegiate management body of the self-regulatory organization and the executive body of the self-regulatory organization;

Approval of the estimate of the self-regulatory organization, making changes to it, approval of the annual financial statements self-regulatory organization;

Deciding on the voluntary exclusion of information about the self-regulatory organization from the state register of self-regulatory organizations;

Making a decision on the reorganization or liquidation of a non-profit organization, appointing a liquidator or liquidation commission;

2. A permanent collegiate governing body of a self-regulatory organization.

A permanent collegial management body of a self-regulatory organization is formed from among individuals - members of the self-regulatory organization and (or) representatives of legal entities - members of the self-regulatory organization, as well as independent members (persons who are not affiliated with labor relations with a self-regulatory organization and its members).

Each member of the permanent collegiate governing body of the self-regulatory organization shall have one vote during voting.

A self-regulatory organization independently determines the quantitative composition of a permanent collegial governing body, the procedure and conditions for its formation, activities, and decision-making.

The competence of the permanent collegiate governing body of a self-regulatory organization includes the following issues:

Approval of the standards and rules of the self-regulatory organization, making changes to them;

Creation of specialized bodies of the self-regulatory organization, approval of regulations on them and rules for their activities;

Performance general meeting members of the self-regulatory organization of the candidate or candidates for appointment to the position of the executive body of the self-regulatory organization;

Adoption of a decision on joining a self-regulatory organization or on exclusion from a self-regulatory organization on the grounds provided for by the charter of a self-regulatory organization.

3. Executive body of the self-regulatory organization.

The competence of the executive body of the self-regulatory organization includes any issues of economic and other activities of the self-regulatory organization that do not fall within the competence of the general meeting of members of the self-regulatory organization and its permanent collegial management body.

4. Specialized bodies of the self-regulatory organization

To the specialized bodies of the self-regulatory organization, which in without fail are created by a permanent collegiate governing body of a self-regulatory organization, include:

The body exercising control over compliance by the members of the self-regulatory organization with the requirements of the standards and rules of the self-regulatory organization;

The body for the consideration of cases on the application of disciplinary measures against members of a self-regulatory organization.

In addition to the specialized bodies of the self-regulatory organization listed in the Federal Law, the decisions of the permanent collegiate governing body of the self-regulatory organization may provide for the creation on a temporary or permanent basis of other specialized bodies acting on the basis of the relevant regulation approved by the permanent collegiate governing body of the self-regulatory organization.

The specialized bodies of the self-regulatory organization perform their functions independently.

Thus, the system of governing bodies of self-regulatory organizations is legally defined. Each of the non-profit organizations that have received the status of an SRO must restructure its structure in accordance with the requirements of federal law. It is assumed that this structure of management bodies will allow the most efficient organization of the performance of SRO functions, and protect, on the one hand, the interests of SRO members, and, on the other hand, the interests of legal entities and individuals using their services.

In conclusion of the chapter, I would like to note that the main concept of introducing the institution of self-regulation in the Russian Federation is the transfer by the state to self-regulatory organizations of controlling functions over the implementation by industry entities of special requirements of legislation governing this species activities. The basis for the transfer of control functions by the state to self-regulatory organizations is the presence of a public component in the activities of the subjects of this type of activity.

2 LEGAL FRAMEWORK FOR THE ACTIVITIES OF DIFFERENT TYPES OF SELF-REGULATORY ORGANIZATIONS

2.1 Types of self-regulatory organizations in the Russian Federation

The type of self-regulatory organization depends on the types of activities of the entities participating in these organizations. So, they can be created by subjects of either professional or entrepreneurial activity. There are also mixed species self-regulatory organizations, that is, under certain conditions, joint membership of both professional and business entities is possible.

Self-regulation is carried out on the terms of the entry of entities into specialized organizations - non-state non-profit partnerships that unite business entities on a voluntary basis on the basis of the unity of the industry, the market for manufactured goods (works, services) or one type of activity.

There are the following types of SROs:

Self-regulatory organizations of arbitration managers (SROs of arbitration managers);

Self-regulatory organizations of appraisers (SRO appraisers);

Self-regulatory organizations of builders (SRO of builders, SRO in construction, SRO);

Self-regulating organizations of prospectors (SRO of prospectors, SRO in surveys, SROI);

Self-regulatory organizations of designers (SRO of designers, SRO in design, SROP);

Self-Regulatory Organizations of Auditors (SROs of Auditors);

Self-regulatory organizations of professional participants in the securities market (SROs of professional participants in the securities market);

Self-regulatory organizations of management companies (SROs of management companies);

Self-regulatory organizations of carriers (SRO of carriers, SRO of road carriers);

Self-regulatory organizations of actuaries (SROs of actuaries, SROs in insurance, SROs in the insurance market);

Self-regulatory organizations in the field of energy audit (SRO in the energy sector, SRO in the field of energy audit, SROE);

Self-regulatory organization of collectors (SRO collectors, TERM);
Self-regulatory organizations in the field of medicine (SROs in medicine, SROs of doctors, SROs of medical specialists, SROs).

Consider the most common of them.

2.2 Self-regulatory organizations of builders

Self-regulatory organization of builders (SRO) is a type of non-profit organization based on the membership of individual entrepreneurs and legal entities that carry out construction, reconstruction, overhaul of capital construction projects.

Self-regulation in the field of construction, reconstruction, overhaul of capital construction facilities (construction activities) is regulated by the following regulatory legal acts:

Self-regulation in construction was introduced in the Russian Federation on January 1, 2009 in place of building licenses (licenses for activities in the field of construction of buildings and structures of I and II levels of responsibility).

The main goals of self-regulatory organizations of builders are:

1. Prevention of harm to the life or health of individuals, property of individuals or legal entities, state or municipal property, environment, life or health of animals and plants, objects of cultural heritage (monuments of history and culture) of the peoples of the Russian Federation (hereinafter referred to as harm) due to shortcomings in the work that affect the safety of capital construction projects and are carried out by members of self-regulatory organizations;

2 Improving the quality of construction, reconstruction, overhaul of capital construction projects.

3. Informing professional participants in construction activities.

Self-regulatory organizations in construction are created:

on a regional basis;

on an interregional basis;

on an industry basis.

Membership in a construction self-regulatory organization (SRO) is mandatory requirement for construction organizations and individual entrepreneurs engaged in construction activities allowing to carry out construction activities.

Members of a construction self-regulatory organization (construction SRO) in order to carry out construction activities must obtain a certificate of admission to work in the field of construction, reconstruction, overhaul of capital construction objects (permission to construction work).

State control over the activities of SROs in the field of construction and maintenance of the state register of self-regulatory organizations is carried out by the Federal Service for Environmental, Technological and Nuclear Supervision (Rostekhnadzor).

2.3 Self-regulatory organizations of professional participants in the securities market

A self-regulatory organization (SRO) of professional participants in the securities market is a voluntary association of professional participants in the securities market, acting in accordance with the Federal Law "On the Securities Market" on the principles of a non-profit organization, to ensure the conditions for the professional activities of participants in the securities market, compliance with the standards of professional ethics in the securities market, protecting the interests of securities holders and other clients of professional participants in the securities market who are members of a self-regulatory organization, establishing rules and standards for conducting transactions with securities that ensure efficient operation in the securities market.

Self-regulatory organizations (SROs) of professional participants in the securities market are regulated by the following legal acts:

3. Federal Law No. 46-FZ of March 5, 1999 “On the Protection of the Rights and Legitimate Interests of Investors in the Securities Market”.

5. Decree of the Government of the Russian Federation of June 30, 2004 No. 317 “On approval of the Regulations on Federal Service on financial markets".

6. Decree of the Federal Commission for the Securities Market of the Russian Federation dated July 1, 1997 No. 24 “On approval of the regulation on self-regulatory organizations of professional participants in the securities market and the regulation on licensing self-regulatory organizations of professional participants in the securities market”.

Other regulatory legal acts.

State regulation of the activities of self-regulatory organizations (SROs) of professional participants in the securities market is carried out by the Federal Financial Markets Service. The Federal Financial Markets Service also maintains a register of self-regulatory organizations (SROs) of professional participants in the securities market.

The objectives of the activities of self-regulatory organizations (SROs) of professional participants in the securities market are:

1. Development and improvement of the securities market regulation system.

2. Establishment of rules and standards for conducting transactions with securities that contribute to efficient operation in the securities market.

3. Implementation of supervision and control over the activities of professional participants in the securities market.

4. Protection of the legal rights and interests of securities holders and clients of professional participants in the securities market who are members of a self-regulatory organization.

5. Raising the standards of professional activity in the securities market, including the standards of professional ethics in the securities market;

6. Ensuring the conditions for professional activity in the securities market.

Based on the goals set, the following main activities of self-regulatory organizations (SROs) of appraisers can be distinguished:

1. A self-regulatory organization (SRO) establishes binding rules for its members to carry out professional activities in the securities market, standards for conducting transactions with securities, and also monitors compliance by its members with the rules and standards adopted by the self-regulatory organization (SRO).

2. Creates and maintains efficient systems control and supervision over the activities of its members, as well as promptly detects and suppresses violations of the requirements of the legislation of the Russian Federation, as well as internal documents of a self-regulatory organization (SRO).

3. Carries out training of citizens in the field of professional activity in the securities market (SM), takes qualification exams and issues qualification certificates.

4. Organizes information and methodological support for its members.

A self-regulatory organization (SRO) of professional participants in the securities market, in order to exercise its powers in the territory of the constituent entities of the Russian Federation, has the right, with prior approval from the FFMS, to create its own branches and representative offices. It is obliged to exercise control over the activities of its branches and representative offices, and is also responsible for their activities.

2.4 Self-regulatory organizations of arbitration managers

Self-regulatory organization of qualified receivers (SRO of qualified receivers) - a non-profit organization based on membership, created by citizens of the Russian Federation, information about which is included in the unified state register of self-regulatory organizations of qualified receivers and whose activities are to regulate and ensure the activities of qualified receivers.

Self-regulation of organizations (SROs) of arbitration managers is regulated by the following regulatory legal acts:

5. Decree of the Government of February 30, 2005 No. 52 “On the regulatory body exercising control over the activities of self-regulatory organizations of arbitration managers”.

Other regulatory legal acts.

Regulatory body exercising control over the activities of self-regulatory organizations (SROs) of arbitration managers , is Federal Registration Service. The Federal Registration Service also maintains a unified state register of self-regulatory organizations of arbitration managers . The objectives of the activities of self-regulatory organizations of arbitration managers (SROs of arbitration managers) are:

1. Association of arbitration managers to exercise control over their activities.

2. Improving the quality of services performed by arbitration managers.

3. Informing arbitration managers.

Based on the goals set, the following main activities of self-regulatory organizations (SROs) of arbitration managers can be distinguished :

Development and establishment of conditions for membership of arbitration managers in a self-regulatory organization (SRO) and standards and rules of professional activity that are mandatory for members of a self-regulatory organization (SRO).

Control over the professional activities of members of a self-regulatory organization (SRO) in terms of compliance with the requirements of Federal Laws, regulatory legal acts of the Russian Federation, federal standards, standards and rules of professional activity.

Consideration of complaints against the actions of a member of a self-regulatory organization (SRO) acting as an arbitration manager in a bankruptcy case and the application of disciplinary measures against its members, including expulsion from members of a self-regulatory organization.

Ensuring the formation of a compensation fund for a self-regulatory organization (SRO) to financially secure liability for compensation for losses caused by members of a self-regulatory organization (SRO) in the performance of duties of arbitration managers.

Self-regulatory organizations of arbitration managers have the right to create associations of self-regulatory organizations and be their members. An association of self-regulatory organizations (SROs) of arbitration managers, which includes more than fifty percent of all self-regulatory organizations, information about which is included in the unified state register of self-regulatory organizations of arbitration managers, has the right to acquire the status national association self-regulating organizations.

Thus, SROs can exist in various forms, depending on the tasks and goals of self-regulation of this type of activity, as well as on:

Type of activity of subjects of SRO members - entrepreneurial and / or professional;

The specifics of the activity itself, which determines the required number of SROs in this type of activity, and the structure of self-regulation in this type of activity.

The level of requirements of federal legislation regarding the degree of mandatory membership in SROs, justified by the level of public (public interest) and strategic significance of the activities of SRO entities.

CONCLUSION

In conclusion, I would like to note that in the Russian Federation, today the formation of the institution of self-regulation continues. This is reflected in the improvement regulatory framework regulating the activities various kinds SROs, an increase in the number of SROs and the number of their participants.

The result of the introduction of a self-regulation system should be the development of entrepreneurial activity in certain areas of the provision of services that are important in the system of the market economy of Russia, such as: construction, design, auditing, advertising, insurance, energy, medicine, etc. Therefore, the main goal of introducing self-regulation in various fields and areas of business and professional activity is to distinguish between state regulation and regulation by professional and business associations, creating conditions for the formation of such associations that could actually create effective mechanisms for financial and legal responsibility to the consumer. In reality, this means that the introduction of the institution of self-regulation creates an equal subject of management, participating in the preparation and adoption of decisions that regulate their own business and professional activities, but at the same time taking on additional responsibility to consumers of goods and services produced.

In general, the very concept of self-regulation is fully consistent with the principles of the democratic regime of the state, the free market economy and the political course of the Russian Federation at the present stage of its development.

BIBLIOGRAPHICAL DATA

1. The Constitution of the Russian Federation of December 12, 1993 (subject to amendments introduced by the Laws of the Russian Federation on amendments to the Constitution of the Russian Federation of December 30, 2008 N 6-FKZ and of December 30, 2008 N 7-FKZ). Online version of the ConsultantPlus system [Electronic resource] Access mode: http://www.consultant.ru/.

2. Urban Planning Code of the Russian Federation of December 29, 2004 No. 190-FZ Internet version of the Garant system [Electronic resource] Access mode: http://www. guaranteed .ru/. ;

3. Civil Code of the Russian Federation of November 30, 1994 No. 51-FZ / Internet version of the ConsultantPlus system [Electronic resource] Access mode: http://www.consultant.ru/. ;

4. On self-regulatory organizations. Federal Law of December 1, 2007 No. 315-FZ. Internet version of the Garant system [Electronic resource] Access mode: http://www. guaranteed .ru/. ;

5. About non-commercial organizations. Federal Law of January 12, 1996 No. 7-FZ Internet version of the ConsultantPlus system [Electronic resource] Access mode: http://www.consultant.ru/. ;

6. On insolvency (bankruptcy). Federal Law No. 127-FZ of October 26, 2002 Internet version of the Garant system [Electronic resource] Access mode: http://www. guaranteed .ru/. ;

7. About the securities market. Federal Law No. 39-FZ of April 22, 1996 Internet version of the ConsultantPlus system [Electronic resource] Access mode: http://www.consultant.ru/.;

8. On the regulatory body exercising control over the activities of self-regulatory organizations of arbitration managers. Government Decree of February 30, 2005 No. 52 Internet version of the ConsultantPlus system [Electronic resource] Access mode: http://www.consultant.ru/. ;

9. On protecting the rights and legitimate interests of investors in the securities market. Federal Law of March 5, 1999 No. 46-FZ Internet version of the Garant system [Electronic resource] Access mode: http://www. guaranteed .ru/. ;

10. Approval of the Regulations on the Federal Financial Markets Service. Decree of the Government of the Russian Federation of June 30, 2004 No. 317. Internet version of the ConsultantPlus system [Electronic resource] Access mode: http://www.consultant.ru/.

11. Zhilinsky S.E. Business Law ( legal basis entrepreneurial activity) - 8th ed., revision. and additional / S.E. Zhilinsky,. - M.: Norma, 2007. - 944 p.

12. Everything about SRO is a specialized project on self-regulation in the Russian Federation. [Electronic resource] Access mode: http: // www.all-sro.ru/.

About self-regulatory organizations. Federal Law of December 1, 2007 No. 315-FZ. Internet version of the Garant system [Electronic resource] Access mode: http://www. garant.ru/.

Town Planning Code of the Russian Federation of December 29, 2004 N 190-FZ. / Electronic resource.[Access mode]: www. guarantee. ru.

The legal regulation of the activities of self-regulatory organizations of arbitration managers (hereinafter referred to as SROs) was at one time a novelty of the Bankruptcy Law, and now it is an already established institution.

This organization acquires legal status from the moment information about it is included in the unified state register of SROs. The procedure for maintaining the SRO register is regulated by the regulation on the procedure for maintaining the unified state register of self-regulatory organizations of arbitration managers, approved in the order of the Ministry of Economic Development of the Russian Federation dated July 8, 2010 No. 284 1.

The functions of the SRO in relation to its members are very diverse: protecting the rights and legitimate interests of its members, raising the level of professional training of arbitration managers, applying measures of responsibility to them for violating the rules of professional activity, etc.

Upon receipt of an arbitration court ruling on accepting an application for declaring a debtor bankrupt, which indicates the candidacy of an arbitration insolvency practitioner, or the minutes of the meeting of creditors on the selection of a candidate for an arbitration insolvency practitioner, the declared SRO, of which the selected arbitration insolvency practitioner is a member, submits to the arbitration court information on the compliance of the specified candidate with the requirements provided for in Art. 20 and 20.2 of the Bankruptcy Law.

The functions of the SRO in the course of approving the candidacy of an arbitration manager were set out above in § 4 of this chapter “The procedure for approving an arbitration manager and terminating his powers”.

The structure, formation procedure, competence and term of office of the governing bodies of the SRO, the procedure for making decisions by them are established by the charter of the non-profit organization, internal documents of this SRO in accordance with the Bankruptcy Law and other federal laws.

The general meeting of members of the SRO is the supreme governing body of the SRO, authorized to consider issues within its competence, is convened at least once a year in the manner prescribed by the charter.

The competence of the general meeting of members of the SRO includes the following issues:

Approval of the charter of the self-regulatory organization, making changes to it;

Establishing the conditions for membership in the SRO, the procedure for admission to the SRO membership and the procedure for terminating membership in the SRO;

Determination of priority areas of SRO activity, principles of formation and use of its property;

Election of members of the permanent collegial governing body of the SRO (hereinafter referred to as the collegial governing body), making decisions on the early termination of the powers of the collegial governing body or its individual members;

Approval, in the manner and with the frequency established by the charter of the non-profit organization, of the reports of the collegial governing body and the executive body of the SRO on the results of the financial, economic and organizational activities of the SRO;

Approval of disciplinary measures, the procedure and grounds for their application, the procedure for considering cases of violation by SRO members of the requirements of the current legislation, federal standards, standards and rules of professional activity;

Appointment to the position of a person exercising the functions of the sole executive body of the SRO, early dismissal of such a person from office;

Approval of the estimate of the SRO, making changes to it, approval of the annual financial statements of the SRO;

Making a decision on the voluntary exclusion of information about SROs from the unified state register of self-regulatory organizations of arbitration managers;

Consideration of a complaint of a person expelled from the SRO members on the groundlessness of the decision to expel this person from the SRO members and making a decision on such a complaint;

Making decisions on the voluntary liquidation of SROs, appointing a liquidation commission, etc.

A collegial management body consisting of at least seven people is formed in the SRO. Persons who are not members of the SRO cannot be more than 25% of the number of members of the collegiate management body.

The competence of the collegial management body of the SRO includes:

Approval of standards and rules of professional activity, making changes to them;

Deciding on the admission of a person to the SRO membership or exclusion from the SRO membership;

Approval of the rules for monitoring compliance by SRO members with the requirements of current legislation, federal standards, standards and rules of professional activity;

Creation of specialized bodies of SROs, approval of regulations on them and rules for their activities;

Appointment of an audit firm to verify maintenance accounting and financial (accounting) reporting of SROs, making decisions on conducting inspections of the activities of the executive body of SROs;

Presentation to the general meeting of members of the SRO of a candidate or candidates for appointment to the position of the sole executive body of the SRO;

Establishment qualification requirements to the head of the body exercising control over the activities of SRO members as arbitration managers in a bankruptcy case.

To ensure the implementation of its rights and obligations, the SRO is obliged to form the following bodies:

1) the body for the consideration of cases on the application of disciplinary measures against members of the SRO;

2) the body for the selection of candidates for arbitration insolvency practitioners for presentation arbitration courts in order to approve them in a bankruptcy case;

3) a body exercising control over the compliance of SRO members with the requirements of federal laws, other regulatory legal acts of the Russian Federation, federal standards, standards and rules of professional activity.

The body for the consideration of cases on the application of disciplinary measures against members of the SRO has the right to decide on the application of the following measures:

Issuance of an order obliging a member of the SRO to eliminate the identified violations and setting the deadlines for their elimination;

Issuance of a warning to a member of the SRO with a public notice of this;

Imposition of a fine on a member of the SRO in the amount established by the internal documents of the SRO;

Other measures established by internal documents of the SRO.

The person performing the functions of the sole executive body of the SRO, as well as employees of the SRO, are not entitled to be arbitration managers.

Problems of legal regulation of the activities of self-regulatory organizations. Administrative and legal regulation of the activities of self-regulatory organizations in the Russian Federation