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RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of March 26, 2012 No. 120

About combination of types of professional activity in the security market

(In edition of the Resolution of Board of National Bank of the Republic of Kazakhstan of 27.08.2013 No. 212)

According to the Law of the Republic of Kazakhstan of July 2, 2003 "About the security market" the Board of National Bank of the Republic of Kazakhstan DECIDES:

1. Determine that in the security market combination of the following types of professional activity is allowed:

1) broker and (or) dealer - with custodial activities, activities for management of investment portfolio, and also for the National operator of mail and banks performing broker and (or) dealer activities - about transfer - agency activities;

2) on maintaining system of registers of security holders - about transfer - agency activities;

3) on management of investment portfolio - with broker and (or) dealer activities;

4) No. 212 is excluded according to the Resolution of Board of National Bank of the Republic of Kazakhstan of 27.08.2013

5) custodial - with broker and (or) dealer activities, transfer - agency activities;

6) depositary - with clearing activities for transactions with financial instruments;

7) on the organization of trade with securities and other financial instruments - with clearing activities for transactions with financial instruments.

2. Recognize invalid regulatory legal acts of the Republic of Kazakhstan according to appendix to this resolution.

3. This resolution becomes effective after ten calendar days after day of its first official publication.

Chairman of National Bank

G. Marchenko

Appendix

to the Resolution of Board of National Bank of the Republic of Kazakhstan of March 26, 2012 No. 120

The list of the regulatory legal acts of the Republic of Kazakhstan recognized invalid

2. The resolution of Board of the Agency of the Republic of Kazakhstan on regulation and supervision of the financial market and the financial organizations of December 27, 2004 No. 396 "About entering of amendment into the resolution of Board of National Bank of the Republic of Kazakhstan of October 27, 2003 No. 379 "About combination of types of professional activity in the security market" (registered in the Register of state registration of regulatory legal acts at No. 3416).

3. The resolution of Board of the Agency of the Republic of Kazakhstan on regulation and supervision of the financial market and the financial organizations of August 27, 2005 No. 278 "About introduction of amendments to the resolution of Board of National Bank of the Republic of Kazakhstan of October 27, 2003 No. 379 "About combination of types of professional activity in the security market" (registered in the Register of state registration of regulatory legal acts at No. 3854).

4. The resolution of Board of the Agency of the Republic of Kazakhstan on regulation and supervision of the financial market and the financial organizations of February 23, 2007 No. 45 "About modification and amendments in the resolution of Board of National Bank of the Republic of Kazakhstan of October 27, 2003 No. 379 "About combination of types of professional activity in the security market" (registered in the Register of state registration of regulatory legal acts at No. 4612, published in March-April, 2007 in the Collection of acts of the central executive and other state bodies of the Republic of Kazakhstan).

5. The resolution of Board of the Agency of the Republic of Kazakhstan on regulation and supervision of the financial market and the financial organizations of June 25, 2007 No. 174 "About entering of amendment into the resolution of Board of National Bank of the Republic of Kazakhstan of October 27, 2003 No. 379 "About combination of types of professional activity in the security market" (registered in the Register of state registration of regulatory legal acts at No. 4828).

6. The resolution of Board of the Agency of the Republic of Kazakhstan on regulation and supervision of the financial market and the financial organizations of September 24, 2007 No. 238 "About modification of the resolution of Board of National Bank of the Republic of Kazakhstan of October 27, 2003 No. 379 "About combination of types of professional activity in the security market" (registered in the Register of state registration of regulatory legal acts at No. 4978).

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