of June 29, 2018 No. 140
About approval of Requirements to proper check of clients in case of remote establishment of business relations by subjects of financial monitoring
For the purpose of implementation of the Law of the Republic of Kazakhstan of February 27, 2017 "About modification and amendments in some legal acts of the Republic of Kazakhstan concerning enhancement of the civil, bank law and improvement of conditions for business activity" the Board of National Bank of the Republic of Kazakhstan DECIDES:
2. To department of methodology of the financial market (Abdrakhmanov N. A.) 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 official 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 3 of this resolution.
3. 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.
4. To impose control of execution of this resolution on the vice-chairman of National Bank of the Republic of Kazakhstan Smolyakov O. A.
Chairman of National Bank
It is approved
Minister of Finance of the Republic of Kazakhstan
July 18, 2018
_______________ B. Sultanov
Approved by the Resolution of Board of National Bank of the Republic of Kazakhstan of June 29, 2018 No. 140
1. These Requirements to proper check of clients in case of remote establishment of business relations by subjects of financial monitoring (further - Requirements) are developed according to Item 9 of article 5 of the Law of the Republic of Kazakhstan of August 28, 2009 "About counteraction of legalization (washing) of the income received in the criminal way and to terrorism financing" (further - the Law on PODFT) and 2) (except for commodity exchanges), 3), 4), 5) and 11) Item 1 of article 3 of the Law on PODFT extend to the subjects of financial monitoring specified in subitems 1) (except for the legal entities performing activities only through exchange points based on the license of National Bank of the Republic of Kazakhstan for exchange transactions with cash foreign currency and legal entities whose exclusive activities is collection of banknotes, coins and values) (further - subjects of financial monitoring).
2. The subject of financial monitoring makes the decision on remote establishment of business relations with clients independently taking into account assessment of risk degree of legalization (washing) of income gained in the criminal way and terrorism financing (further - ODFT) as the client, country (geographical) risk, risk of service (product) and (or) method of her (his) provision.
1) physical person or the legal entity to whom identification number is assigned (except as specified when identification number according to the legislation of the Republic of Kazakhstan is not assigned to physical person or the legal entity) or number under whom physical nonresident person of the Republic of Kazakhstan or legal nonresident person of the Republic of Kazakhstan is registered in foreign state;
2) the client (his representative) and the beneficial owner is not person included in the list of the organizations and faces tied with financing of terrorism and extremism;
3) the client (his representative) and the beneficial owner is not the identified person or the organization to whom the international sanctions (embargo) according to resolutions of the Security Council of the United Nations are applied;
4) the client is not person to whom the risk level requiring application of the strengthened measures of proper check according to Item 7 of article 5 of the Law on PODFT and rules of internal control is appropriated.
4. Subjects of financial monitoring establish business relations with the client by remote method in case of simultaneous observance of the following conditions:
2) availability of consent of the client physical person to collection, processing, storage and provision, including if necessary to the third parties, its personal data, confirmed by means of identification means;
3) availability of the automated information systems allowing to perform collection, processing, storage, provision and personal data protection of the client physical person (his representative) and beneficial owners;
4) the subject of financial monitoring has no suspicions that the purpose of business relations is making of transactions for the purpose of ODFT.
5. Fixation of information about the client (his representative) and the beneficial owner is performed according to article 6 of the Law on PODFT before establishment of business relations by remote method.
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