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RESOLUTION OF THE BOARD OF DIRECTORS OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of March 19, 2018 No. 21

About approval of standard form of the Agreement of accession to the conclusion of transactions with financial instruments

(as amended on 24-12-2019)

According to the Law of the Republic of Kazakhstan of March 30, 1995 "About National Bank of the Republic of Kazakhstan" the Board of directors of National Bank of the Republic of Kazakhstan DECIDES:

1. Approve standard form of the Agreement of accession to the conclusion of transactions with financial instruments according to appendix to this resolution.

2. To department of monetary transactions (Moldabekova A. M.) place this resolution on official Internet resource of National Bank of the Republic of Kazakhstan.

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

4. This resolution becomes effective after ten working days after day of its placement on official Internet resource of National Bank of the Republic of Kazakhstan.

Chairman of National Bank

D. Akishev

Truly:

Chief specialist secretary of the Board of directors of NBRK

 

 

M. Saitova

Appendix

to the Resolution of the Board of directors of National Bank of the Republic of Kazakhstan of March 19, 2018 No. 21

Agreement of accession to the conclusion of transactions with financial instruments

Almaty

This Agreement of accession to the conclusion of transactions with financial instruments (further - the Agreement) governs the relations between the Republican public institution "National Bank of the Republic of Kazakhstan" which is hereinafter referred to as "National Bank" and the Counterpartner who submitted the Application for accession to the Agreement (further - the Statement), according to appendix 1 to the Agreement, further jointly the referred to as Parties, and separately "Party", according to the conclusion of transactions with financial instruments in the financial market of the Republic of Kazakhstan. The Counterpartners who are residents of the Republic of Kazakhstan can submit the application.

1. Subject of the agreement

1.1. The subject of the agreement is the arrangement of the Parties to conclude bilateral transactions with the financial instruments listed in the Statement in form according to appendix 1 to the Agreement according to the Civil code of the Republic of Kazakhstan on the conditions determined by the Agreement, except for transactions with short-term notes of National Bank, deposits (bank deposits), deposit auctions, auctions for security purchase with the return sale and auctions for security sale with repurchasing in the financial market of the Republic of Kazakhstan.

1.2. For accession to the Agreement Counterpartner sends the following documents to National Bank:

1) the Statement on accession to the Agreement with indication of data on availability of the license for implementation of the professional activity in the security market issued by authorized state body, (in case of the conclusion of security transactions according to the Agreement) in electronic form through the financial automated system of transport of information of the Republican state company on the right of economic maintaining "The Kazakhstan center of interbank calculations of National Bank of the Republic of Kazakhstan" (further - FASTI KTSMR) or on paper, signed by the authorized person of the potential Counterpartner;

2) the list of representatives on transactions with financial instruments of workers of the Counterpartner approved by the Counterpartner;

3) the charter or its notarially attested copy and if the Counterpartner performs the activities based on the standard charter - the document confirming the fact of implementation of activities based on the standard charter;

4) notarially certified document with specimen signatures of workers of the Counterpartner, representatives on signing of the transaction certificate.

The statement demonstrates that the Counterpartner got acquainted with conditions and accepted the Agreement in full, without any notes and objections. The counterpartner has no right to refer to lack of its signature on the Agreement, as on the proof that the Agreement was not read, accepted by it, or is understood if the National Bank has copy of the application signed by the Counterpartner or provided by means of FASTI KTSMR. The counterpartner assumes all conditions of the conclusion of bilateral transactions with financial instruments and joins the Agreement based on the Statement.

The National Bank after obtaining and consideration of the application from the Counterpartner directs by mail or in electronic form by means of FASTI KTSMR the Notification on accession to the Agreement in form according to appendix 3 to the Agreement or motivated refusal in accession to the Agreement in form according to appendix 4 to the Agreement. The notification on accession to the Agreement or motivated refusal in accession to the Agreement is issued to the Counterpartner within 10 (ten) working days from receipt date of the Statement.

The National Bank after obtaining and consideration of the application from the Counterpartner directs by mail or in electronic form by means of FASTI KTSMR the notification on accession to the Agreement in form according to appendix 3 to the Agreement or motivated refusal in accession to the Agreement in form according to appendix 4 to the Agreement. The notification on accession to the Agreement or motivated refusal in accession to the Agreement is issued to the Counterpartner within 10 (ten) working days from receipt date of the Statement.

1.3. Transactions with financial instruments are performed between National Bank and the Counterpartner on its own behalf and without participation of the third parties.

1.4. The parties inform each other on the list of the workers authorized on transactions with financial instruments. The parties certainly and in full assume all responsibility for powers of the workers having access to implementation of transactions with financial instruments.

1.4.-1. In the Agreement the concepts provided by the Civil code of the Republic of Kazakhstan, the laws of the Republic of Kazakhstan of August 31, 1995 "About banks and banking activity in the Republic of Kazakhstan" of July 2, 2003 "About the security market", and also the following concepts are used:

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