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RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of June 29, 2018 No. 139

About approval of the Instruction for representation of the second level by banks, Development bank of Kazakhstan, branches of nonresident banks of the Republic of Kazakhstan, branches of the insurance (reinsurance) nonresident organizations of the Republic of Kazakhstan and the mortgage organizations in National Bank of the Republic of Kazakhstan of data for forming of the overview of the financial sector

(as amended on 19-04-2021)

According to the subitem 69) of part two of article 15 of the Law of the Republic of Kazakhstan of March 30, 1995 "About National Bank of the Republic of Kazakhstan", the subitem 2) of Item 3 of article 16 of the Law of the Republic of Kazakhstan of March 19, 2010 "About the state statistics" and for the purpose of forming of the overview of the financial sector of the Republic of Kazakhstan, the Board of National Bank of the Republic of Kazakhstan DECIDES:

1. Approve the enclosed Instruction for representation of the second level by banks, Development bank of Kazakhstan, branches of nonresident banks of the Republic of Kazakhstan, branches of the insurance (reinsurance) nonresident organizations of the Republic of Kazakhstan and the mortgage organizations in National Bank of the Republic of Kazakhstan of data for forming of the overview of the financial sector.

2. Declare invalid the resolution of Board of National Bank of the Republic of Kazakhstan of December 26, 2016 No. 316 "About approval of the Instruction for representation of the second level by banks, Development bank of Kazakhstan and the mortgage organizations in National Bank of the Republic of Kazakhstan of data for forming of the overview of the financial sector" (it is registered in the Register of state registration of regulatory legal acts at No. 14804, it is published on March 2, 2017 in the information system "Reference Control Bank of Regulatory Legal Acts of the Republic of Kazakhstan in Electronic Form").

3. To department of researches and statistics (Tutushkin V. 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.

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.

Chairman of National Bank

D. Akishev

It is approved

Chairman of Committee according to the statistics Ministries of national economy of the Republic of Kazakhstan

July 23, 2018

 

_______________ N. Aydapkelov

Approved by the Resolution of Board of National Bank of the Republic of Kazakhstan of June 29, 2018 No. 139

The instruction for representation of the second level by banks, Development bank of Kazakhstan, branches of nonresident banks of the Republic of Kazakhstan, branches of the insurance (reinsurance) nonresident organizations of the Republic of Kazakhstan and the mortgage organizations in National Bank of the Republic of Kazakhstan of data for forming of the overview of the financial sector

Chapter 1. General provisions

1. The instruction for representation of the second level by banks, Development bank of Kazakhstan, is developed by branches of nonresident banks of the Republic of Kazakhstan, branches of the insurance (reinsurance) nonresident organizations of the Republic of Kazakhstan and the mortgage organizations in National Bank of the Republic of Kazakhstan of data (further - the Instruction) for forming of the overview of the financial sector according to the subitem 69) of part two of article 15 of the Law of the Republic of Kazakhstan of March 30, 1995 "About National Bank of the Republic of Kazakhstan" and disaggregates procedure for submission to National Bank of the Republic of Kazakhstan (further - National Bank) the data for forming of the overview of the financial sector (further - data) banks of the second level, Development bank of Kazakhstan, branches of nonresident banks of the Republic of Kazakhstan, branches of the insurance (reinsurance) nonresident organizations of the Republic of Kazakhstan and the mortgage organizations.

2. Data are constituted based on accounting data according to the Instruction.

3. In the Instruction the following concepts are used:

1) the affiliated organizations of special purpose - the affiliated organizations created by the Kazakhstan companies abroad for the purpose of attraction of financial resources in the international markets of the capital;

2) institutional units - the economic units owning assets, assuming liabilities which are engaged in economic activity and transactions with other institutional units;

3) the international interbank system of continuous connected calculations (further - the international interbank CLS system) - the payment service provider specializing in calculations for currency transactions through which the largest world banks trade in the international foreign exchange market in real time and which allows to exclude credit risk when calculating for currency transactions;

4) the sector of economy - the basic division of economy uniting the institutional units which are engaged in the same core activity.

4. The concept "the organization performing separate types of banking activities" is used in the value determined in the Law of the Republic of Kazakhstan of August 31, 1995 "About banks and banking activity in the Republic of Kazakhstan".

5. The concepts "resident" and "nonresident" are used in the values determined by the Law of the Republic of Kazakhstan of July 2, 2018 "About currency control and currency exchange control".

Chapter 2. Procedure for creation of data

6. Data on indicators for forming of the overview of the financial sector are constituted in the form established by appendix 1 to the Instruction.

Data on transactions with branches and representative offices of the foreign companies are constituted in the form established by appendix 2 to the Instruction.

7. Data are constituted in tenge.

8. Data of appendices 1 and 2 to the Instruction are constituted based on accounts of paragraphs 1, 2 and 3 Chapters 2 of the Standard chart of accounts of financial accounting in banks of the second level, the mortgage organizations, Development Bank of Kazakhstan joint-stock company and branches of nonresident banks of the Republic of Kazakhstan approved by the resolution of Board of National Bank of the Republic of Kazakhstan of January 31, 2011 No. 3, registered in the Register of state registration of regulatory legal acts at No. 6793 (further - the account) which are disaggregated further on signs of residence, the sector of economy and currency type according to appendix 3 to the Instruction.

The structure of indicators in appendices 1 and 2 to the Instruction presents itself system of digital symbols in the form of AAAA XYZ where:

AAAA - account number;

X - residence sign (codification of sign of residence is given in Item 9 of the Instruction);

Y - sign of the sector of economy (codification and the description of sectors of economy are given in Items 10, of 11, of 12, of 13, of 14, of 15, of 16, 17 and 18 Instructions);

Z - currency type sign (codification of currency types is given in Item 19 of the Instruction).

9. On symbol X the residence sign according to the following codification is specified:

the code "1" is resident of the Republic of Kazakhstan;

the code "2" - the nonresident of the Republic of Kazakhstan.

10. On symbol Y the following sectors of economy according to the following codification are specified:

1) sector of state bodies:

code "1" - Central Government;

the code "2" - regional and local authorities of management;

2) sector of the financial organizations:

code "3" - Central (national) banks;

the code "4" - other deposit organizations;

the code "5" - other financial organizations;

3) sector of the non-financial organizations:

the code "6" - the state non-financial organizations;

the code "7" - the non-state non-financial organizations;

4) the sector of the non-profit organizations serving households:

the code "8" - the non-profit organizations serving households;

5) sector of households:

the code "9" - households.

11. Each separate institutional unit belongs entirely to one sector of economy according to the core activity. The principle of classification of institutional units consists in their distribution by sectors of economy according to main type of the activities performed by them.

Each sector has the economic characteristics distinguishing it from other sectors.

12. The sector of state bodies covers the institutional units having the legislative, judicial or executive authority which extends to other institutional units located in the territory of the country. The main functions of state bodies are: responsibility for providing with goods and services of society in general and separate households; mobilization of financial resources necessary for this purpose by the taxation or at the expense of other income; income redistribution and riches by means of transfers and implementation of non-market production. This sector includes the Central Government (code "1"), regional and local authorities of management (code "2").

The ministries, departments and the agencies financed from means of the republican budget, research institutions, institutional units - agents of the Government of the Republic of Kazakhstan, the funds controlled by state bodies and financed from means of the republican budget and also other organizations which are under control of the state, and not engaged in market production treat the code "1".

The code "2" includes the institutional units performing management functions at the level of the area, the city and the area and the organizations financed from means of regional (local) budgets.

13. The sector of the financial organizations covers institutional units which main function is the financial intermediation or the auxiliary financial activities which are closely connected with financial intermediation. This sector includes the Central (national) banks (code "3"), other deposit organizations (code "4"), other financial organizations (code "5").

The code "3" includes institutional units which exercise control over key aspects of financial system, their core activities are issue of national currencies, management of the international reserves, implementation of transactions with the International Monetary Fund and other international financial institutions, loan granting to other deposit corporations.

The code "4" includes institutional units which core activity is the financial intermediation and which obligations have the form of deposits or their analogs (close substitutes of deposits which join in national determination of wide money). The banks including performing Islamic financing treat this group.

All other institutional units of this sector which perform various intermediary or support financial services belong to the code "5", or activities of which are closely connected with financial intermediation, but they do not perform function of intermediaries. This group is provided by large number of the various financial organizations, such as credit partnerships, the microfinancial organizations, the insurance (reinsurance) organizations, the accumulation pension funds, pawnshops, exchange points, the mortgage companies, the broker and dealer companies, the affiliated organizations of special purpose, investment funds, financial leasing companies, factoring companies, and also currency and stock exchanges, insurance brokers, funds of guaranteeing and other financial organizations.

14. The sector of the non-financial organizations covers institutional units which core activity is mainly production of market goods and non-financial services. This sector includes the state non-financial organizations (code "6") and the non-state non-financial organizations (code "7").

The code "6" includes the institutional units which are engaged mainly in market production and controlled by state bodies.

Control of state bodies is exercised:

by acquisition of the controlling stake of voting shares or establishment of forms of control over more than half of voices of shareholders;

as a result of the adoption of the legislation, the decree or regulatory legal act granting to state bodies the right to determine policy of the organization or to appoint her directors.

This subgroup does not join those non-profit organizations which are controlled and financed by state bodies as they treat the sector of state bodies.

The code "7" includes the institutional units which are engaged mainly in market production and (or) rendering non-financial market services, and not controlled by state bodies.

15. The sector of the non-profit organizations serving households (code "8") covers the institutional units which are making goods or services, but not bringing in the income or other financial benefits to the institutional units controlling such organizations and includes the following institutional units:

1) created by associations of persons to provide with goods or services of members of these associations. Such services are usually provided free of charge or financed by the regular membership fees. Carry to them political parties, labor unions, religious associations, public, cultural, entertaining and sports clubs and others;

2) core activity of which is rendering the charitable help. Charitable organizations and agencies on assistance to victims or persons in need who are created for charitable purposes for servicing of interests of members of society treat them. These non-profit organizations serving households are engaged on non-market basis in provision of goods or services to the households needing them. Means of such non-profit organizations serving households are formed at the expense of the donations in cash or natural form arriving from the public, state bodies and transfers from nonresidents.

16. The sector of households (code "9") covers the institutional units consisting of physical persons, and also of small groups of the physical persons (family) living jointly, uniting (fully or partially) the income and property and jointly the consuming certain types of goods and services (housing, food and another). Also physical persons who are engaged in business activity without formation of legal entity treat this group.

17. The international organizations are created on the basis of the political agreement between state members. Such agreement has the status of the international treaty. The purpose of creation of the international organizations consists in provision of non-market services for collective consumption by members of these organizations and (or) in implementation of financial intermediation or redistribution of financial resources between creditors and borrowers of various countries. Certain privileges and privileges are assigned to the international organizations. The legislation of the country in the territory of which they are located does not extend to such organizations. The similar organizations are not considered as residents of any country, including that in the territory of which they are located or to which their activities extend.

The international organizations which are engaged in financial activities are considered in the sector of economy "The Central (national) banks". All other international organizations are considered in the sector of economy "the Central Government".

18. Holding companies or head offices - the companies, controlling groups of affiliated enterprises which main activities consist in ownership of such groups or in management of their activities. Depending on the performed activities, holding companies or head offices, can treat the financial or non-financial organizations.

There are two types of units which often call holding companies. The first type - head office which performs all aspects of managerial supervision over affiliated enterprises. This subgroup includes supervision of other divisions of the company or company and management of them, accomplishment of functions of operating control and management of the current activities of the related companies. If all or most its affiliated organizations are non-financial, this head office treats the sector of non-financial corporations (code "6") if - financial, respectively, to the sector of finance corporations (code "5").

Holding companies which own assets of constituent corporations treat the second type, but do not exercise managerial or other control of other companies. Their main activities consist in ownership of such group of companies, without provision of other services to the companies in which they have equity. If the financial activities in these companies are prevailing, or simple majority of the corporations controlled by them are financial, then such units belong to the sector of finance corporations (code "5").

19. On symbol Z the currency type according to the following codification is specified:

the code "1" - the Kazakhstani tenge, national currency of the Republic of Kazakhstan (further - tenge);

the code "2" - freely convertible currency (further - hard currency);

the code "3" - other currency types (further - DVV).

Types of the foreign currencies accepted for calculations in the international interbank CLS system and for which there are no restrictions on payments in this currency concern to the hard currency group. This group includes:

Australian dollar (AUD)

US dollar (USD)

Pound sterling of the United Kingdom (GBP)

Hungarian forint (HUF)

Hong Kong dollar (HKD)

Danish krone (DKK)

Euro (EUR)

New Zealand dollar (NZD)

New Israeli shekel (ILS)

Japanese yen (JPY)

Canadian dollar (CAD)

Won of the Republic of Korea (KRW)

Chinese yuan (CN)

Mexican peso (MXN)

Norwegian krone (NOK)

South African rand (ZAR)

Singapore dollar (SGD)

Swedish krona (SEK)

Swiss franc (CHF).

All other currencies, except tenge and currencies of the hard currency group concern to the DVV group.

20. Zero designation in X, Y and Z symbols means lack of disaggregation on this line item.

21. Disaggregation of assets on X and Y symbols is made on residence and the sector of economy of the debtor (issuer), disaggregation of obligations on the same line items - on residence and the sector of economy of the creditor.

22. In appendices 1 and 2 to the Instruction the following classification of assets and liabilities by terms is accepted:

1) short-term - up to one year inclusive;

2) long-term - over one year.

Chapter 3. Procedure for submission of data

23. Banks of the second level, Development bank of Kazakhstan and branches of nonresident banks of the Republic of Kazakhstan represent data to National Bank in electronic form by means of the automated information subsystem "Statistics" with use of the digital signature.

Branches of the insurance (reinsurance) nonresident organizations of the Republic of Kazakhstan and the mortgage organizations represent data to National Bank in electronic form by means of the automated information subsystem "the Web portal of National Bank of the Republic of Kazakhstan" with use of the digital signature.

24. Data in form according to appendix 1 to the Instruction are represented on daily and monthly basis:

1) banks of the second level, branches of nonresident banks of the Republic of Kazakhstan:

daily data - no later than 3 (three) working days following behind reporting day (except for data for the first reporting days of month which are represented along with monthly data);

monthly data - no later than 7 (seven) working days following behind the last day of month under report;

2) Development bank of Kazakhstan monthly data - no later than 7 (seven) working days following behind the last day of month under report;

3) the mortgage organizations monthly data - no later than 10 (ten) working days following behind the last day of month under report.

In the absence of data of the data are represented with zero balances.

25. Data in form according to appendix 2 to the Instruction are represented monthly as of the last working day of month:

1) banks of the second level, Development bank of Kazakhstan and branches of nonresident banks of the Republic of Kazakhstan no later than 7 (seven) working days following behind the last day of month under report;

2) the mortgage organizations no later than 10 (ten) working days following behind the last day of month under report.

In the absence of data of the data are not represented.

26. Data in form according to appendix 4 to the Instruction are represented as of the last working day of quarter by branches of the insurance (reinsurance) nonresident organizations of the Republic of Kazakhstan no later than the twenty fifth (inclusive) month after reporting quarter.

In the absence of data of the data are not represented.

Appendix 1

to the Instruction for representation of the second level by banks, Development bank of Kazakhstan, branches of nonresident banks of the Republic of Kazakhstan, branches of the insurance (reinsurance) nonresident organizations of the Republic of Kazakhstan and the mortgage organizations in National Bank of the Republic of Kazakhstan of data for forming of the overview of the financial sector

The form intended for collection of administrative data

It is represented: in National Bank of the Republic of Kazakhstan

The form of administrative data is placed on Internet resource: www.nationalbank.kz

Data on indicators for forming of the overview of the financial sector

Index of form of administrative data: 700-N(D)

Frequency: daily, monthly

Accounting period: as of "__" ________ 20 ___ years

The group of people, representing data: banks of the second level, Development bank of Kazakhstan, branches of nonresident banks of the Republic of Kazakhstan, mortgage organizations

Term of representation of form of administrative data:

1) banks of the second level and branches of nonresident banks of the Republic of Kazakhstan:

daily data no later than 3 (three) working days following behind reporting day (except for data for the first reporting days of month which are represented along with monthly data);

monthly data no later than 7 (seven) working days following behind the last day of month under report;

2) Development bank of Kazakhstan monthly data no later than 7 (seven) working days following behind the last day of month under report;

3) the mortgage organizations monthly data no later than 10 (ten) working days following behind the last day of month under report.

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