RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of January 29, 2018 No. 9

About approval of Rules of assignment of national identification numbers to government securities

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. Approve the enclosed Rules of assignment of national identification numbers to government securities.

2. Recognize invalid:

1) the resolution of Board of National Bank of the Republic of Kazakhstan of April 18, 2014 No. 53 "About approval of Rules of assignment of national identification numbers to government securities" (registered in the Register of state registration of regulatory legal acts at No. 9483, published on June 27, 2014 in information system of law of Ad_let);

2) the resolution of Board of National Bank of the Republic of Kazakhstan of May 30, 2016 No. 128 "About introduction of amendments to the resolution of Board of National Bank of the Republic of Kazakhstan of April 18, 2014 No. 53 "About approval of Rules of assignment of national identification numbers to government securities" (registered in the Register of state registration of regulatory legal acts at No. 13802, published on July 4, 2016 in information system of law of Ad_let).

3. To department of regulation of the non-bank financial organizations (Shaykakova G. Zh.) in the procedure established by the legislation of the Republic of Kazakhstan to provide:

1) together with Legal department (Sarsenov N. V.) state registration of this resolution in the Ministry of Justice of the Republic of Kazakhstan;

2) within ten calendar days from the date of state registration of this resolution the direction it the copy in paper and electronic type in the Kazakh and Russian languages in the Republican state company on the right of economic maintaining "The republican center of legal information" for official publication and inclusion in Reference control bank of regulatory legal acts of the Republic of Kazakhstan;

3) placement of this resolution on Internet resource of National Bank of the Republic of Kazakhstan after its official publication;

4) within ten working days after state registration of this resolution submission to Legal department of data on execution of the actions provided by subitems 2), 3) of this Item and item 4 of this resolution.

4. To management on consumer protection of financial services and external communications (Terentyev A. L.) provide within ten calendar days after state registration of this resolution the direction it to the copy on official publication in periodic printing editions.

5. To impose control of execution of this resolution on the vice-chairman of National Bank of the Republic of Kazakhstan Kurmanov Zh. B.

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

Approved by the Resolution of Board of National Bank of the Republic of Kazakhstan of January 29, 2018 No. 9

Rules of assignment of national identification numbers to government securities

1. These rules of assignment of national identification numbers to government securities (further - Rules) are developed according to the Law of the Republic of Kazakhstan of July 2, 2003 "About the security market" and determine procedure for assignment by the authorized body performing state regulation, control and supervision of the financial market and the financial organizations (further - authorized body), national identification numbers to the government securities issued by the Ministry of Finance of the Republic of Kazakhstan, National Bank of the Republic of Kazakhstan and local executive bodies of areas, cities of republican value, the capital.

2. Assignment of national identification numbers to the government securities issued by the Ministry of Finance of the Republic of Kazakhstan and National Bank of the Republic of Kazakhstan is made by authorized body based on electronic request for assignment of the national identification number containing the following data on release:

1) type of government securities, their full name (abbreviated name, abbreviation);

2) release currency;

3) circulation period;

4) sequence number of release of government securities according to the numbering used by the issuer;

5) expected date of placement;

6) repayment date.

3. Assignment of national identification numbers to the government securities issued by local executive bodies of areas, cities of republican value, the capital is made by authorized body based on the written request of the issuer constituted in any form and containing the data on this release specified in Item 2 of Rules.

4. Creation of one request for assignment of national identification numbers to government securities according to Items 2 and 3 of Rules for more than one release assumed by the issuer, including for a certain period of time forward is allowed.

5. After receipt of request of the issuer the authorized body checks its creation in part:

1) completeness of the data which are subject to specifying in request according to Item 2 of Rules;

2) correctness of specifying of designation of type of government securities according to the regulatory legal acts of the Government of the Republic of Kazakhstan or National Bank of the Republic of Kazakhstan providing release of the corresponding type of government securities;

3) compliance of sequence number of expected release of government securities of information on the previous releases of government securities of this type which is available for authorized body.

6. In case of compliance of the data specified in the issuer's request the authorized body assigns to requirements of Item 5 of Rules national identification number and sends the electronic or written reply to the request containing:

1) sequence number of release of government securities according to the numbering used by the issuer;

2) national identification number (if it was appropriated);

3) cause of failure (if assignment of national identification number it is refused).

7. The authorized body reviews the issuer's request for assignment of national identification number within 2 (two) working days from the date of receipt of request (except for the case established by part two of this Item).

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