of July 30, 2018 No. 162
About approval of the list, forms, terms of the reporting of the organizations exercising control of investment portfolio, broker and (or) dealer activities in the security market of the Republic of Kazakhstan and Rules of their representation
According to the laws of the Republic of Kazakhstan of March 30, 1995 "About National Bank of the Republic of Kazakhstan", of July 2, 2003 "About the security market", of July 4, 2003 "About state regulation, control and supervision of the financial market and the financial organizations" and of March 19, 2010 "About the state statistics" the Board of National Bank of the Republic of Kazakhstan DECIDES:
1. Approve:
1) the list of the reporting of the organizations exercising control of investment portfolio, broker and (or) dealer activities in the security market of the Republic of Kazakhstan according to appendix 1 to this resolution;
2) report form about the securities acquired at the expense of own assets according to appendix 2 to this resolution;
3) report form about transactions the return repo and repo made at the expense of own assets according to appendix 3 to this resolution;
4) report form about deposits and money on current accounts in the banks of the second level and the organizations performing separate types of the banking activities placed at the expense of own assets according to appendix 4 to this resolution;
5) report form about investments into the capital of other legal entities at the expense of own assets according to appendix 5 to this resolution;
6) report form about the issued loans and receivables considered as a part of own assets and assets of clients according to appendix 6 to this resolution;
7) report form on investment funds according to appendix 7 to this resolution;
8) report form about structure of the investment portfolio acquired for the asset account of clients according to appendix 8 to this resolution;
9) report form about structure of other property of investment fund according to appendix 9 to this resolution;
10) report form about the investments of investment fund and other clients in the capital of legal entities which are not joint-stock companies according to appendix 10 to this resolution;
11) report form about the cost of pension assets according to appendix 11 to this resolution;
12) report form about structure of investment portfolio of pension assets according to appendix 12 to this resolution;
13) report form about amounts of pension accruals and the number of investors / receivers of voluntary pension contributions according to appendix 13 to this resolution;
14) report form about retirement benefits according to appendix 14 to this resolution;
15) report form about the concluded bargains on investment of assets of clients according to appendix 15 to this resolution;
16) report form about the concluded bargains on investment of own assets according to appendix 16 to this resolution;
17) report form about committed transactions on investment of assets of clients and own assets in derivative financial instruments according to appendix 17 to this resolution;
18) report form about committed transactions on investment of assets of clients and own assets with affiliates according to appendix 18 to this resolution;
19) report form about bargains (transactions) with financial instruments concluded (registered) on unorganized market securities of the Republic of Kazakhstan according to appendix 19 to this resolution;
20) form of data on the organization having the license for implementation of broker and (or) dealer activities in the security market of the Republic of Kazakhstan according to appendix 20 to this resolution;
21) report form about the bargains with financial instruments concluded in the international (foreign) security markets according to appendix 21 to this resolution;
22) report form about transactions with derivative financial instruments according to appendix 22 to this resolution;
23) report form about committed transactions with affiliates according to appendix 23 to this resolution;
24) report form about remaining balance of the money which is on accounts of the broker according to appendix 24 to this resolution;
25) report form about rendering services by the broker and (or) dealer according to appendix 25 to this resolution;
26) report form about the securities which are in nominal continence according to appendix 26 to this resolution;
27) report form about the securities issued according to the legislation of foreign state, which are in nominal continence according to appendix 27 to this resolution;
28) Rules of submission of the reporting by the organizations exercising control of investment portfolio, broker and (or) dealer activities in the security market of the Republic of Kazakhstan according to appendix 28 to this resolution.
2. The organizations exercising control of investment portfolio represent broker and (or) dealer activities to National Bank of the Republic of Kazakhstan (further - authorized body) in electronic format, monthly, no later than the fifth working day of the month following month under report, the reporting according to appendices 2, of 3, of 4, of 5, 6 to this resolution.
In addition to the reporting provided by part one of this Item, the organizations exercising control of investment portfolio (further - the managing director of investment portfolio), represent to authorized body in electronic format, monthly, no later than the fifth working day of the month following month under report, the reporting according to appendices 7, of 8, of 9, of 10, of 15, of 16, of 17, of 18, to this resolution.
Managing directors of investment portfolio with the right of attraction of voluntary pension contributions (further - the Voluntary accumulation pension fund), in addition represent to authorized body in electronic format, monthly, no later than the fifth working day of the month following month under report, the reporting according to appendices 11, of 12, of 13, 14 to this resolution.
In case of management of the Voluntary accumulation pension fund of pension assets of the single accumulation pension fund according to the contract for investment asset management signed with authorized body, the Voluntary accumulation pension fund represents the reporting according to appendices 11, of 12, of 13, 14 separately on the assets of the single accumulation pension fund and pension assets which are in management.
In addition to the reporting provided by part one of this Item, the organizations performing broker and (or) dealer activities (further - brokers and (or) dealers) represent to authorized body in electronic format, monthly, no later than the fifth working day of the month following month under report, the reporting according to appendices 19, 21 and 24 to this resolution.
Brokers and (or) dealers in addition represent to authorized body in electronic format, quarterly, no later than the last date following reporting quarter, the reporting according to appendices 20, of 22, of 23, of 25, 26 and 27 to this resolution.
The Voluntary accumulation pension fund having the license for implementation of broker and (or) dealer activities does not represent to authorized body the reporting according to appendices 22, of 23, of 24, of 25, of 26, 27 to this resolution.
The banks of the second level having licenses for implementation of broker and (or) dealer activities do not represent to authorized body the reporting according to appendices 2, of 3, of 4, of 5, of 6, 23 to this resolution.
The national operator of mail having the license for implementation of broker and (or) dealer activities does not represent to authorized body the reporting according to appendices 2, of 3, of 4, 5 to this resolution.
Brokers and (or) dealers without the right of account management of clients, do not represent to authorized body the reporting according to appendices 26 and 27 to this resolution.
The gold and exchange assets of authorized body and assets of National fund of the Republic of Kazakhstan delivered in trust management are not specified by managing directors of investment portfolio when filling the forms established by appendices 7, of 8, of 9, of 10, of 15, of 16, 17 and 18 to this resolution.
1) the resolution of Board of National Bank of the Republic of Kazakhstan of August 27, 2013 No. 230 "About approval of the list, forms, terms and Rules of submission of the reporting by the organizations exercising control of investment portfolio, broker and (or) dealer activities" (it is registered in the Register of state registration of regulatory legal acts at No. 8857, it is published on April 5, 2014 in the Kazakhstanskaya Pravda newspaper No. 66 (27687));
2) Item 1 of the List of regulatory legal acts of the Republic of Kazakhstan to which changes and additions concerning submission of the reporting by professional participants of the security market approved by the resolution of Board of National Bank of the Republic of Kazakhstan of January 29, 2018 No. 5 are made (it is registered in the Register of state registration of regulatory legal acts at No. 16498, it is published on March 19, 2018 in Reference control bank of regulatory legal acts of the Republic of Kazakhstan).
4. 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 its direction 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.
5. 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.
6. To impose control of execution of this resolution on the vice-chairman of National Bank of the Republic of Kazakhstan Kurmanov Zh. B.
7. 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 September 12, 2018 |
_____________________ N. Aydapkelov |
Appendix 1
to the Resolution of Board of National Bank of the Republic of Kazakhstan of July 30, 2018 No. 162
The reporting of the organizations exercising control of investment portfolio in the security market of the Republic of Kazakhstan includes broker and (or) dealer activities:
1) the report on the securities acquired at the expense of own assets;
2) the operations statement the return repo and repo made at the expense of own assets;
3) the report on deposits and money on current accounts in the banks of the second level and the organizations performing separate types of the banking activities placed at the expense of own assets;
4) the report on investments into the capital of other legal entities at the expense of own assets;
5) the report on the issued loans and receivables considered as a part of own assets and assets of clients;
6) report on investment funds;
7) the report on structure of the investment portfolio acquired for the asset account of clients;
8) report on structure of other property of investment fund;
9) the report on the investments of investment fund and other clients in the capital of legal entities which are not joint-stock companies;
10) report on the cost of pension assets;
11) report on structure of investment portfolio of pension assets;
12) report on amounts of pension accruals and number of investors / receivers of voluntary pension contributions;
13) report on retirement benefits;
14) the report on the concluded bargains on investment of assets of clients;
15) the report on the concluded bargains on investment of own assets;
16) the report on the concluded bargains on investment of assets of clients and own assets in derivative financial instruments;
17) the report on committed transactions on investment of assets of clients and own assets with affiliates;
18) the report on bargains (transactions) with financial instruments concluded (registered) on unorganized market securities of the Republic of Kazakhstan;
19) data on the organization having the license for implementation of broker and (or) dealer activities in the security market of the Republic of Kazakhstan;
20) the report on the bargains with financial instruments concluded in the international (foreign) security markets;
21) report on transactions with derivative financial instruments;
22) report on committed transactions with affiliates;
23) the report on remaining balance of the money which is on accounts of the broker;
24) report on rendering services by the broker and (or) dealer;
25) the report on the securities which are in nominal continence;
26) the report on the securities issued according to the legislation of foreign state, which are in nominal continence.
Appendix 2
to the Resolution of Board of National Bank of the Republic of Kazakhstan of July 30, 2018 No. 162
The form intended for collection of administrative data
Accounting period: on "___" ________ 20 __ years
Index: 1 RCB_CBSA
Frequency: monthly
Represent: managing directors of investment portfolio; brokers and (or) dealers
Where the form is represented: National Bank of the Republic of Kazakhstan
Representation term: monthly no later than the fifth working day of the month following month under report
Form
________________________________________________________________________________
(name of the Organization)
(in thousands of tenges)
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(in thousands of tenges) | ||||||||
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No. of payment order |
Name of the issuer |
Country of the issuer |
Security type |
Identification number |
Number of securities |
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in total |
including the encumbered securities |
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the encumbered securities, all |
including the securities transferred to repo |
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1 |
2 |
3 |
4 |
5 |
6 |
7 |
8 |
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1 |
Government securities of the Republic of Kazakhstan |
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1.1. |
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… |
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2 |
Non-state issued securities of the organizations of the Republic of Kazakhstan |
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2.1. |
securities of banks of the second level |
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2.1.1. |
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… |
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2.2. |
securities of legal entities, except for banks of the second level |
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2.2.1. |
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… |
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3 |
Securities of foreign states |
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3.1. |
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… |
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4 |
Non-state securities of issuers of nonresidents of the Republic of Kazakhstan |
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4.1. |
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… |
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5 |
Securities of international financial institutions |
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5.1. |
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… |
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6 |
Shares |
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6.1. |
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… |
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7 |
Total |
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continuation of the table:
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Currency of acquisition of security |
Purchase price for one security |
Period |
Purchase value of securities |
Nominal value | ||
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date of registration |
repayment date |
currency |
cost of one security | |||
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9 |
10 |
11 |
12 |
13 |
14 |
15 |
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… |
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continuation of the table:
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Book value of securities | ||||||
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in total |
discount / award |
the added remuneration |
positive / negative adjustment |
the encumbered securities, all |
including the securities transferred to repo |
For information only: the created reserves (provisions) |
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16 |
17 |
18 |
19 |
20 |
21 |
22 |
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… |
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continuation of the table:
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Accounting category |
Rating |
The current coupon rate in portfolio | |
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for date of registration |
on reporting date | ||
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23 |
24 |
25 |
26 |
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… |
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The first head or person authorized by it on signing of the report
___________________________________________________________________ ____________
surname, name, middle name (in case of its availability) the signature
The chief accountant or person authorized by it on signing of the report
___________________________________________________________________ ____________
surname, name, middle name (in case of its availability) the signature
Contractor of _______________________________________________________ ____________
surname, name, middle name (in case of its availability) the signature
Phone number: _________________________
Signature date of the report "___" __________ 20 ___ years
Note: the explanation on filling of the form intended for collection of administrative data is given in appendix to this form.
Appendix
to the Report form about the securities acquired at the expense of own assets
The report on the securities acquired at the expense of own assets
1. This explanation (further - the Explanation) determines single requirements for filling of the form intended for collection of the administrative data "The Report on the Securities Acquired at the expense of Own Assets" (further - the Form).
2. The form is developed in compliance with the subitem 6) of Item 1 of article 9 of the Law of the Republic of Kazakhstan of July 4, 2003 "About state regulation, control and supervision of the financial market and the financial organizations".
3. The form is constituted by monthly managing investment portfolio, the broker and (or) the dealer as of the end of the accounting period. Data in shape are filled in in thousands of tenges. The amount less than 500 (five hundred) tenges is rounded to 0 (zero), and the amount equal of 500 (five hundred) tenges and above, is rounded to 1000 (thousand) tenges.
4. The form is signed by the first head, the chief accountant or persons authorized on signing of the report and the contractor.
5. In columns 2 and 3 the name of the issuer of security and the country of its residence is specified.
6. In column 4 the type of the acquired security with indication of its type is specified.
7. In column 5 the security identification number, concerning the rights of requirements for obligations of the issuer on issued securities which circulation period expired is specified, and the issuer does not fulfill obligations on their repayment - the identifier of rights to claim.
8. In column 6 the quantity of the acquired securities in pieces is specified. Debt securities are specified at par value in release currency.
9. In column 7 the quantity of the encumbered securities is specified reporting date.
10. In column 8 the quantity of the encumbered securities transferred to repo on reporting date is specified.
11. In columns 9 and 14 currency codes are specified according to the national qualifier of the Republic of Kazakhstan to RK 07 ISO 4217-2012 Oil Company "Codes for designation of currencies and funds".
12. In column 10 the price, to within four signs after comma, reflected in the source document which confirms implementation of the transaction (the exchange certificate, the report of the broker and (or) dealer, the confirmation received on the international interbank translation system of information and making payments (SWIFT) in tenge is specified. The price of debt securities is reflected as a percentage to nominal value, to within four signs after comma, taking into account cumulative remuneration. In case of payment of acquisition of security (except for debt securities) in foreign currency this amount is reflected at the market rate of currency exchange which developed for date of transaction.
13. In column 11 date of initial recognition in financial accounting is specified.
14. In column 12 repayment date of debt securities is specified.
15. In column 13 the purchase value of securities, including the expenses which are directly connected with acquisition, including the remunerations and commission charges paid to agents, consultants, brokers (dealers), charges of stock exchanges, and also banking services on the translation, and reduced by the size of the percent paid by the buyer to the seller is specified (in the presence of that).
16. Columns 14 and 15 are filled in according to debt securities. In column 15 the monetary value of bond value determined in case of its release on which the remuneration expressed as a percentage according to the coupon bond, and also the amount which is subject to payment to the bondholder in case of its repayment is charged is specified. The amount is specified in release currency.
17. In column 16 the cost of securities reflected in financial accounting is specified.
18. In column 17 unamortized part of discount (with minus sign) or awards is specified (in absolute expression).
19. In column 18 it is specified the added, but not earned rewards, when filling this column according to debt securities - the coupon is specified, according to shares dividends are specified.
20. In column 19 positive or negative adjustment is specified.
21. In column 20 the cost of the encumbered securities specified in financial accounting is specified.
22. In column 21 the cost of the securities encumbered with repurchase agreements, specified in financial accounting is specified.
23. In column 22 the size of reserves (provisions) created according to international accounting standards is specified. The size of reserves (provisions) is specified in absolute expression.
24. In column 23 the category of security "carried at fair value through other comprehensive income", "carried at fair value through profit or loss" or "considered on depreciated cost" is specified.
25. When filling columns 24 and 25 security rating on bonds, the rating of the issuer according to shares, score of the country on government securities assigned to one of the rating agencies specified in Item 3 of the resolution of Board of National Bank of the Republic of Kazakhstan of December 24, 2012 to No. 385 "About establishment of the minimum rating for legal entities and the countries which need of availability is required according to the legislation of the Republic of Kazakhstan regulating activities of the financial organizations, the list of the rating agencies assigning this score" is specified (it is registered in the Register of state registration of regulatory legal acts No. 8318). In the absence of rating in columns 24 and 25 it is specified "there is no rating". These columns are not filled in on government securities of the Republic of Kazakhstan.
26. In column 26 the coupon rate on debt financial instruments is specified date of representation of the Form.
27. In case of lack of data the Form is represented with zero balances.
Appendix 3
to the Resolution of Board of National Bank of the Republic of Kazakhstan of July 30, 2018 No. 162
The form intended for collection of administrative data
Accounting period: on "___" ________ 20 __ years
Index: 2 - RCB_REPO_SA
Frequency: monthly
Represent: managing directors of investment portfolio; brokers and (or) dealers
Where the form is represented: National Bank of the Republic of Kazakhstan
Representation term: monthly, no later than the fifth working day of the month following month under report
Form
_______________________________________________________________________________
(name of the Organization)
(in thousands of tenges)
|
No. of payment order |
Name of the issuer |
Country of the issuer |
Security type |
Identification number |
Number of securities |
Currency of nominal value |
Period | |
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The document ceased to be valid since January 1, 2020 according to Item 3 of the Resolution of Board of National Bank of the Republic of Kazakhstan of November 28, 2019 No. 211