Functions and tasks of self-regulatory organizations of arbitration managers in case of bankruptcy of enterprises. Secrets of the correct choice of SRO arbitration managers. Instructions for checking SRO in Rosreestr Principles of this institute in Russia

A non-profit organization - a self-regulatory organization (SRO) of arbitration managers - is called upon to regulate and ensure professional activities, protect their rights and assist in their professional growth. Such associations are created on the basis of membership, information about the organization is included in the state register of SROs. The status of this subject of civil law is acquired from the moment of its registration in the State Register. The organization's partners are citizens of the Russian Federation.

SRO rights

The legal basis for the activities of a self-regulatory organization of arbitration managers is set out in Article 22 of the Federal Law on Bankruptcy in the Russian Federation and includes the following possibilities:

• representing the interests of partnership participants in interaction with local governments, government bodies of the Russian Federation or its constituent entities;
• participation in the discussion of government programs and legal acts within the competence of the arbitration department;
• submit your opinions on the results of independent examinations of the projects under discussion;
• appeal, in the manner prescribed by law, any violations of legislative norms by federal bodies or local government bodies relating to the self-regulatory organization itself or its members;
• propose to government bodies of the Russian Federation and its constituent entities to make changes to legislative norms on the implementation of policies in the field of individuals and legal entities;
• make requests to government agencies of the Russian Federation at all levels to provide information that is necessary for the functioning of the non-profit partnership;
• submit claims to protect the legitimate interests and rights of its members, as well as to recover damages caused to crisis management professionals;
• protest court decisions affecting the removal of participants of the SRO AU, violation of their legitimate interests in the bankruptcy proceedings.

In the cases provided for by the legislative acts on bankruptcy, the organization has the right to send petitions to the arbitration court for the release of a certain partner from participation in the hearing of the case in court.

Responsibilities of a self-regulatory organization of arbitration managers

The SRO as a whole and each of its participants is required to comply with the following:

• Development and implementation of rules and standards for the activities of the arbitration manager (arbitration manager).
• Monitoring the practice of implementation of the bankruptcy law by all partners of the SRO AU.
• Responding to complaints received against its members who perform the duties of the AU in a bankruptcy case.
• Expulsion from members of the association and application of disciplinary measures to financial, temporary, administrative, external and bankruptcy managers in the event of their failure to comply with the requirements of the Law and internal documents.
• Conducting an analysis of the work of arbitration department specialists based on their reports, which are stored for 5 years.
• Maintaining a register of persons participating in a non-profit partnership in accordance with the federal standard.
• Organization.
• Formation of a compensation fund used to finance liability if it is necessary to compensate for losses resulting from the actions of insolvency practitioners who are members of the association.
• Ensuring that interested parties receive information about the AC from the register. The rules for access to information are established by the regulatory body.

In addition, the professional community of insolvency practitioners is obliged to provide the regulatory body with reports on bankruptcy procedures carried out by its members.

How to become a member of the SRO?

Russians conducting (or planning to conduct) activities in the field of arbitration management can become members of the self-regulatory society of arbitration managers. Applicants must meet the requirements of the Federal Insolvency Law (Article 20).

To obtain the status of a member of the SRO of arbitration managers, you must meet the following requirements:

1. Have a diploma of higher education and successfully pass a theoretical exam in a special course for training specialists in the field of crisis management.
2. Have not been excluded from a similar association of professionals in the previous three years.
3. Have no convictions for willful failure to comply with the law or disqualifications for violations.
4. Sign a compulsory liability insurance contract.
5. Regularly pay membership fees established by the internal document of the association and contributions to the compensation fund.

Being a member of the SRO AU is a mandatory requirement of the above-mentioned Law in order to be able to act in bankruptcy proceedings as an arbitration manager. A specific specialist is appointed by the partnership administration.

Compensation fund of SRO AU

One of the types of property liability of the AU is the formation of a compensation fund for the association of partners in anti-crisis management. The larger the size of this fund, the higher the degree of liability of the partnership. Accordingly, there is more trust from persons participating in the bankruptcy procedure.

In accordance with the change in the bankruptcy law, which came into force at the beginning of 2017, the compensation fund of a non-profit partnership must be at least 50 million rubles. The amount of cash receipts from members of the association will depend on this amount; everyone will need to make one-time contributions of up to 200 thousand rubles.

The compensation fund of the SRO AU is used to compensate for material damage caused to participants in insolvency proceedings due to failure (improper performance) of professional duties by an arbitration management specialist.

The funds of the compendium of the professional self-regulatory community should be invested in its interests. The procedure for placing funds is regulated by the Federal Bankruptcy Law. Financial transactions with the funds of the compensation fund and control over them must be carried out on a contractual basis with a specialized depository.

The agreement can be concluded no later than one decade from the date of inclusion of data on the professional community in the Unified Register of SRO AU.

How to choose SRO arbitration managers?

The priority when choosing a self-regulatory organization is usually the fact that the organization is located in the same city as the applicant for partnership in it. There are times when there is not much to choose from - there may only be one non-profit association in the city, so this approach will not live up to expectations. Being a member of an organization located in Moscow, St. Petersburg, Yekaterinburg will not be difficult in our time of computer communications.

The selection of a self-regulatory organization of an arbitration management agency, which issues admission to a specific specialist in the field of arbitration management, should be based on the following criteria:

• The effectiveness of the work of a professional association is its profitability and scale.
• Number and composition of participants in a non-profit partnership. Information about them is in the State Register of SROs in the public domain.
• Duration of work in the professional services market. Newly created professional associations do not yet have a positive reputation or authority.
• Studying reviews about the work of a professional association - both positive and negative. Many arbitration management professionals and their clients are particularly vocal about the negative performance of management.
• Familiarization with the design of the organization’s website as a showcase of its activities. An unprofessionally designed Internet resource is not in favor of the SRO.

It is also important how the SRO AU administration selects new members. “Easy” requests for membership may indicate “dishonesty” of a professional association.

How to choose SRO arbitration managers?

• Check the organization for its presence in the Unified Federal Register of Bankruptcy Information;
• Pay attention to the year of creation: the earlier the SRO was created, the better;
• Clarify the number of active members in the organization: the more managers in the organization, the better;
• Pay attention to the size of the compensation fund.

Functions of SRO

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• guarantee of compliance by its members with the laws of the Russian Federation, norms and rules of professional activity of arbitration executors;
• ensuring transparency of the activities of its members;
• assistance in improving the professional competence of its members.

Features of SRO activities

SROs regularly provide training to their members on legislative innovations and monitor their level of knowledge. The largest SROs of arbitration managers in Moscow and St. Petersburg were created, as a rule, in the early 2000s. Such organizations are more demanding about the level of training of their members and monitor their work more carefully. To create an SRO, a lower limit on the number of its members is set at 100 people. The organization exists on contributions from its members. It follows from this that SROs with a longer period of activity, and therefore with a larger number of members, are financially more stable than recently created organizations.

Requirements for SRO candidates:

• registration as an individual entrepreneur;
• higher education;
• 2 years of experience in a managerial position;
• certificate from the theoretical exam for the training program for arbitration managers;
• internship as an assistant to an arbitration manager for 6 months.

The activities of SRO members are insured by the Compulsory Liability Insurance Agreement for causing losses to persons participating in a bankruptcy case and other persons in connection with non-fulfillment or improper fulfillment of the duties assigned to the arbitration manager in a bankruptcy case. The minimum insurance amount is three million rubles per year.

Insurance is also carried out through the formation of a SRO compensation fund, formed from contributions from members and amounting to at least 50 thousand rubles for each.

SRO structural divisions:

• to control the activities of its members;
• on consideration of cases on the imposition of liability measures on members of the organization;
• on the selection of candidates, their presentation to arbitration courts and the approval of these persons to participate in the bankruptcy case.

Two practically bankrupt self-regulatory organizations - the capital's Association of Builders Monolit and the Ural Regional Construction Association - have formed a new NPO in Orenburg and are now trying to obtain SRO status for it. This information was shared with its readers by the Academy of Sciences “Construction Business”.

According to the ANSB, the Orenburgstroy Association of Builders was registered in the Orenburg region on December 12, 2016. Its founders were three companies that were far from construction - Expert-F LLC, Business Service LLC and SpetsRemServis LLC (none of them is conducting construction). Until recently, the Chairman of the Council of this organization was Artur Vikentievich Trapitsyn, the president of the Moscow SRO "Association of Builders "MONOLITH" (now former - since June 20, Trapitsyn prematurely resigned as president at the general meeting of the SRO - approx. ed. "Self-regulation") and once chairman of the NOSTROI Committee on Information Policy, which was disbanded “for active inactivity.”

At the same time, two of the three founding companies of AS Orenburgstroy have direct ties with Arthur Trapitsyn, ANSB claims, and the AS itself is formed mainly from former members of Monolit and the Regional Construction Association (RESTRA), registered in Yekaterinburg. Both SROs are famous for the fact that they have lost funds from their comp funds and are now preparing to “take off” from the state register. "RESTRA" has already received the corresponding "ticket" from NOSTROY (at the last meeting, the Council of the National Association approved a conclusion on the possibility of excluding this SRO from the state register). The association of builders “Monolit” does not have long to wait for a similar decision: 95% of the SRO comp fund (348.9 million out of 366 million rubles) “burned out” in the bank due to the revoked license, and the general meeting of the SRO decided to create a reserve fund “for possible replenishment” of the comp fund only on June 16 (since then no information about the reserve fund has appeared on the association’s website, - approx. ed.).

The story with the comp fund of the Regional Construction Association is no less fatal: according to NOSTROY, this SRO placed only 115 of the 446 million rubles of its comp fund in a special account at Otkritie Bank; 215 million rubles were transferred by the management of the SRO to the trust management of the management company; Another 150 million rubles of the comp fund were allegedly “stuck” in a bank with a revoked license, but RESTRA was unable to document the placement of these funds in the bank. These violations served as the basis for the NOSTROY Council to exclude the SRO from the register.

Thus, two very problematic SROs are trying to create a new self-regulatory organization in Orenburg, which are not able to pay their Orenburg members their contributions to the compensation fund, writes ANSB. Two attempts have already been made, but both times NOSTROY turned the documents back. Of the 139 members of an NPO claiming to be an SRO, about 50 companies turned out to be “dead souls”, with false addresses or without them at all, or that had long ceased to operate, or with signs of affiliation with each other. Thus, out of the required 100 real members, about 80 remain, which does not give the organization the right to claim SRO status.

We were surprised at the national association and the compensation fund of AS "Oregburgstroy": not only was it formed according to the minimum level, without taking into account the previous contributions of members of the SRO "Monolit" and SRO "RESTRA", but instead of a bank account statement, they presented receipt orders for NOSTROY receiving cash. That is, the funds were contributed to the comp fund “in cash” (and all on the same day), which is strictly prohibited by law, and not by the companies themselves, but by one individual - the same last name appears in the documents and the same date appears .

It is clear that such a package of documents did not even reach the consideration of the Council. At the same time, at the general meeting of the association’s members, held on June 24, Arthur Trapitsyn swore that in the near future the organization will receive SRO status and all builders will be able to begin full-time work. However, on July 4, Trapitsyn left his post at Oregburgstroy and now the entire process is led by executive director Kirill Tokarev.

The new management is entering its third attempt to obtain SRO status.

Over the course of their existence on the planet, people have realized that it is advisable to solve all problems in a team. This rule still applies in many areas of human life. But most often it is found in those areas where legal issues are resolved. This applies to judicial activities.

Courts in Russia have a unified system. Each organ performs its own activity. They are necessary to protect the rights and freedoms of people. Various disputes are also considered. These include conflict situations of arbitration courts. Such authorities have their own jurisdiction, as well as their own style of resolving disputes. In litigation, arbitration managers are usually used.

Arbitration concept

An arbitration manager is an employee who performs his work within the courts of the same name. To understand the essence of its activities, you need to familiarize yourself with the principles of the terms. The concept of “arbitration” is used in many countries, including Russia. In almost all states, the tasks of these bodies are similar, but the process of activity may differ. The Arbitration Court is a government body that administers justice in the field of business and economic spheres.

In such an organization, disputes arising from the performance of economic or financial activities are contested. The financial and economic orientation is manifested in many subjects of the process. For example, in Russia, as in other countries, an arbitration manager is sometimes involved. This is a specialist who has the appropriate authority within the scope of his work.

The principles of this institute in Russia

Despite the existence of a general concept in Russia, the work of arbitration courts is special. If we consider the theoretical concept, then this is a judicial body that administers justice in the business sphere and other sectors of the economy. A clear example is the procedure for recognizing the insolvency of an individual or legal entity.

Jurisdiction

By analyzing the operating principles of arbitration courts, one can understand their jurisdiction. By definition of the concept, it is clear that arbitration courts of the Russian Federation consider cases in the field of entrepreneurship and economics. If we study the issue in detail, these courts deal with the following cases:

• civil law;
• socio-legal;
• challenging regulatory documents affecting the interests and rights of persons engaged in business or economic activity;
• challenging the work of officials, decisions of bodies;
• holding entrepreneurs accountable;
• enforcement of foreign court decisions;
• corporate disputes, bankruptcy, protection of business reputation.

This is the entire list of cases; only the authorities can continue it on the basis of the relevant documents. In addition to jurisdiction, there is such a term as the jurisdiction of arbitration courts. Using this category, it is determined which court will hear the case.

Arbitration functions

Courts of this type have the following functions:

• consideration of disputes in the field of entrepreneurship and economics;
• recording and creating data about the subject of your work;
• cessation of violations in the economic sphere of society;
• establishing international connections.

The powers presented are considered essential. Other economic disputes may arise.

Definition of an arbitration manager

During the consideration of cases, an arbitration manager is required. This is a participant in the process, whose main job is to control the activities of a person. But the functions of this participant are more extensive than many people know.

An arbitration manager is a management professional. Its functions consist of anti-crisis management of enterprises that are under the control of arbitration. There is often confusion of concepts. For example, not everyone knows that a manager is a procedural person who can exercise control from a specific arbitration.

What does this status mean?

The manager of the arbitration court is a private person exercising public law functions. All his decisions are considered binding. Failure to comply will result in liability. These employees are among the SROs of arbitration managers. These structures have their own rules that they need to conduct their work competently.

SRO

The self-regulatory organization of arbitration managers is a non-profit company. It employs business entities that exist to improve a specific production area. Sometimes an institution includes employees in a specific professional area.

A self-regulatory organization of arbitration managers controls business entities. But supervision is not carried out in all economic areas, but only in those in which there is state interest.

So, self-regulatory organizations of arbitration managers are companies that unite representatives of this institution. They also monitor their work. The arbitration manager is the subject of the procedure for confirming the debtor's insolvency. His work determines the fate of the debtor. Because of this, the functions of the institution must be considered using the term “bankruptcy”. The manager is an important participant in the process, since he can both liquidate the company and save it from closure. Therefore, the SRO of arbitration managers is almost the main one in such procedures.

Classification

There are several types of positions that these employees can work in. The organization of arbitration managers consists of:

• temporary employees who are needed for supervisory work;
• administrative employees carrying out financial activities of the company;
• external managers working with the same structure;
• bankruptcy employees who carry out bankruptcy management procedures.

There is also an assistant to the arbitration manager, who takes on part of the work himself. They can perform both main and additional functions. Sometimes they participate in lawsuits. The assistant arbitration manager is as important a person as the main employee.

Appointment of a manager

The decision to participate in bankruptcy proceedings is made by a judicial act. This document identifies all important identification information:

• Name Patronymic name;
• taxpayer number;
• registration number.

The latest information can be found using the register of insolvency practitioners. This database contains information about employee performance. The registration number allows one to find lists of insolvency cases in which he is involved.

So, the register is considered an effective method of obtaining information about the person who will exercise control, even before contacting him. The court document indicates the postal address of the specialist in order to notify him in the future about the progress of the bankruptcy case. It is important to consider that remuneration is paid depending on goals and objectives.

Principle of legal status

The law imposes its own requirements on managers. With the help of this institution, financial restructuring and sometimes absolute liquidation of enterprises due to bankruptcy are carried out. It turns out that the arbitration manager must perform his functions efficiently, because otherwise, appropriate legal sanctions may apply.

The legal status of managers has a list of requirements for people who want to work in this specialty. To perform this activity, several conditions must be met:

• citizenship of the Russian Federation;
• joining an SRO;
• higher education;
• work experience;
• internship;
• exam;
• no disciplinary action;
• no criminal record;
• availability of a compulsory insurance document.

Thanks to the requirements, you will be able to control the work of employees. When performing his activities, a person has his own rights and obligations. Responsibility is assigned for violation of the legal regime. In court documents, a specialist must indicate, in addition to basic information, special information.

An assistant specialist must undergo an internship before being appointed to a position. During this process he learns the principles of doing the job. Only with practice can you begin your duties.

The number of self-regulatory organizations of builders is gradually moving towards three hundred. It would seem - much more? However, many builders are still thinking about how to create an SRO - another one.

Moreover, experts in this field are confident that the creation of an SRO, even in conditions of great competition between existing organizations, can be quite justified.

Who is this solution suitable for?

Creating an SRO to suit your needs can be useful for a group of companies that have been working according to the same scheme for a long time and adhere to certain requirements of professional ethics.

In this case, any changes can harm the work of several enterprises, and there is no more rational solution than opening an SRO yourself.

A self-regulatory organization is primarily a non-profit partnership, so pursuing financial gain is pointless here. This is working on standards and regulations in the industry.

To have an idea of ​​how to create an SRO, you should study the main features of a self-regulatory organization.

How to open an SRO according to all the rules?

The main features of a self-regulatory organization:

1. is a non-profit partnership;
2. in its work the organization pursues the goals established by the Legislation;
3. a certain number of members are registered in the organization;
4. all members of the organization carry out the same type of activity.

Before opening an SRO, you also need to make sure that the organization meets the mandatory requirements.

Legal requirements

The law provides the following requirements for self-regulatory organizations:

1. prohibition on using profits for any purpose not related to the interests of SRO participants;
2. the minimum number of members of the organization, if they are individual entrepreneurs or legal entities, is 25, if the members of the organization are individuals, then at least 100 entities (however, for different types of SRO, these figures can vary greatly);
3. a ready-made draft of standards and requirements for the professional activities of organizations;
4. providing a compensation fund and liability insurance for SRO participants;
5. creation of a governing body within the SRO, whose task is to monitor compliance by members with the rules and standards of the association.

Based on the provisions listed above, we can talk about how to open an SRO in stages, without breaking the law or putting the organization’s work at risk.

Creating an SRO in 5 steps:

1. The creation of a self-regulatory organization begins as a non-profit partnership.
2. The second stage is the association of a minimum number of business entities.
3. The third stage is devoted to the development of SRO standards, rules and requirements for the professional activities of SRO members.
4. The fourth stage is ensuring the financial responsibility of each SRO participant to the customer.
5. The fifth stage is documentary certification of the organization’s compliance with all the requirements imposed on the SRO by the Law, and if the government body makes a positive decision, the SRO is entered into the register.

The creation of a self-regulatory organization follows a fairly simple scheme, and many companies that have the necessary financial reserves are thinking about how to open an SRO. However, this is far from the easiest way to regulate, and in most cases construction companies should simply choose a suitable association and join it on a general basis.

It is necessary to remind: “Dikaster” does not assist in the opening of self-regulatory organizations. Including consulting assistance. For consultations on specific issues of opening new SROs, we recommend contacting directly the Offices of the National Associations of SROs - NOSTROY and NOPRIZ.