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Ministry of Justice

Republic of Kazakhstan

On November 2, 2012 No. 8051

RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of September 21, 2012 No. 298

About approval of Rules of implementation transfer - agency activities in the security market

(In edition of the Resolution of Board of National Bank of the Republic of Kazakhstan of 29.01.2018 No. 11)

For the purpose of enhancement of regulatory legal acts of the Republic of Kazakhstan the board of National Bank of the Republic of Kazakhstan DECIDES:

1. Approve the enclosed Rules of implementation transfer - agency activities in the security market.

2. Recognize invalid the following regulatory legal acts of the Republic of Kazakhstan:

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 March 26, 2005 No. 107 "About modification and amendments in the resolution of board of National Bank of the Republic of Kazakhstan of September 29, 2003 No. 349 "About approval of Rules of implementation transfer - agency activities in the security market of the Republic of Kazakhstan" (registered in the Register of state registration of regulatory legal acts at No. 3592);

3) Item 2 of the List of changes and additions which are made to some regulatory legal acts of the Republic of Kazakhstan concerning the security market approved by 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 1, 2010 No. 9 "About modification and amendments in some regulatory legal acts of the Republic of Kazakhstan concerning the security market" (registered in the Register of state registration of regulatory legal acts at No. 6099).

3. This resolution becomes effective from the date of state registration in the Ministry of Justice of the Republic of Kazakhstan.

Chairman of National Bank

G. Marchenko

Approved by the Resolution of Board of National Bank of the Republic of Kazakhstan of September 21, 2012 No. 298

Rules of implementation transfer - agency activities in the security market

These rules of implementation transfer - agency activities in the security market (further - Rules) establish conditions and procedure transfer - agency activities in the security market (further - transfer - agency activities).

1. General provisions

1. In Rules the following concepts are used:

1) the receiver - the receiver of documents (information);

2) the sender - the sender of documents (information);

3) the client - the professional participant of the security market, the physical person or legal entity using or intended to use services of transferagent;

4) regulations - the internal documents transfer agent regulating conditions and procedure for its activities, functioning of its bodies, structural divisions (branches, representations), workers, rendering services to them and procedure for their payment.

2. Transfer-agency activities are subject to licensing according to the legislation of the Republic of Kazakhstan.

3. The possibility of combination transfer - agency activities with other types of professional activity in the security market is established by regulatory legal acts of the state body performing regulation, control and supervision of the financial market and the financial organizations (further - authorized body).

2. The agreement on transfer - agency to servicing

4. Physical and (or) legal entities are clients transfer agent based on the agreement on transfer - agency to servicing (further - the agreement) provided that these persons are clients of the professional participant of the security market who is the client this transfer agent, or intend to use services transfer agent for the purposes of the conclusion of the contract with the professional participant of the security market who is the client this transfer agent.

4-1. Fee transfer agent, rendered to the client, is performed at the expense of this client.

5. In case of the conclusion of the agreement the client submits transfer agent the following documents:

1) for the professional participant of the security market:

the forms of documents which are subject to filling in the course of transactions in the security market, and the instruction (explanations, instructions) on their filling with persons using or intended to use services of the professional participant of the security market of the client transfer agent;

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