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RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of August 27, 2018 No. 201

About approval of Rules of forming of the State register of issued securities

(as amended on 24-02-2021)

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 forming of the State register of issued securities.

2. Declare invalid the resolution of Board of National Bank of the Republic of Kazakhstan of November 28, 2016 No. 282 "About approval of Rules of maintaining the State register of issued securities" (it is registered in the Register of state registration of regulatory legal acts at No. 14671, it is published on January 23, 2017 in Reference control bank of regulatory legal acts of the Republic of Kazakhstan).

3. To department of regulation of the non-bank financial organizations (Kosherbayeva A. M.) 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 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 since January 1, 2019 and is subject to official publication.

Chairman of National Bank

D. Akishev

Approved by the Resolution of Board of National Bank of the Republic of Kazakhstan of August 27, 2018 No. 201

Rules of forming of the State register of issued securities

1. These rules of forming of the State register of issued securities (further - Rules) are developed according to the Law of the Republic of Kazakhstan of July 2, 2003 "About the security market" and determine conditions and procedure for maintaining the State register of issued securities (further - the State register).

2. Forming of the State register is performed by the authorized body performing regulation, control and supervision of the financial market and the financial organizations (further - authorized body), electronically and created based on data on the registered issued securities and their issuers brought by authorized body and databases of the central state bodies, and also The Government for Citizens State corporation.

3. Data about are entered in the State register (about):

1) state registration of releases of non-state issued securities (bonded programs);

2) state registration of changes and (or) amendments to the avenue of release of non-state issued securities (the prospectus of bonded programs);

3) approval of reports on results of share placing of joint-stock company;

4) approval of reports on exchange of placed shares of joint-stock company of one type for shares of this joint-stock company of other type;

5) approval of reports on results of placement of Islamic securities;

6) approval of reports on results of placement of the Kazakhstan depositary receipts;

7) acceptance note notifications on results of repayment of non-state bonds;

8) approval of reports on results of repayment of Islamic securities;

9) approval of reports on results of repayment of the Kazakhstan depositary receipts;

10) cancellation of releases of non-state issued securities;

11) repayment of shares following the results of consideration of information on the termination of existence of mutual investment fund;

12) coordination of changes and (or) amendments in rules of mutual investment fund;

13) suspension and renewal of placement and (or) circulation of shares and non-state bonds.

In case of refusal by authorized body in consideration of the documents submitted by the issuer in the cases specified in subitems 2), 3), 4), 5), 6), 7), 8), 9), 10), 11) and 12) to part one of this Item, data on refusals, containing information on the dates of representation by the issuer specified documents on dates and numbers of the letters with motivated refusals of authorized body sent to the issuer's address, and also in the presence information on dates of the expiration of terms of submission of modifed documents by the issuer are made to appropriate section of the State register.

4. The state register consists of the following Sections:

1) share register;

2) register of non-state bonds;

3) register of shares;

4) register of the Kazakhstan depositary receipts;

5) register of Islamic securities;

6) register of government securities.

5. The data specified in Item 3 of Rules (further - Data), are introduced (join) in the State register on the basis:

1) the data containing in the documents submitted by the issuer in the cases specified in subitems 1), 2), 3), 4), 5), 6), 7), 8), 9), 10), 11) and 12) to part one of Item 3 of Rules;

2) the data on liquidation or reorganization of the issuer (except as specified accessions to this issuer of other legal entity or allocation from this issuer of the new legal entity) containing in the National register of business and identification numbers;

3) the judgments about involuntary liquidation of the joint-stock company which took legal effect;

4) the judgments about recognition of invalid state registration of the release of non-state issued securities (the bonded program) which took legal effect;

5) data of "Central Securities Depository" Joint-stock company (further - the central depositary) about the international identification numbers (ISIN codes) assigned to them, and also the data specified in Items 9 and 10 of Rules.

6. Exchange of information between authorized body and the central depositary is performed electronically.

7. In case of compliance of the documents submitted by issuers for state registration of releases of non-state issued securities, and also changes and (or) amendments to the avenue of release of non-state issued securities to requirements of the legislation of the Republic of Kazakhstan about the security market the authorized body for assignment to releases of issued securities of the international identification numbers (ISIN codes) sends to the central depositary inquiry in any form with appendix:

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