RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of July 30, 2018 No. 157

About modification of some regulatory legal acts of the Republic of Kazakhstan concerning regulation of the financial market

List of amending documents

For the purpose of enhancement of regulatory legal acts of the Republic of Kazakhstan and according to 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" the Board of National Bank of the Republic of Kazakhstan DECIDES:

1. Approve the List of regulatory legal acts of the Republic of Kazakhstan concerning regulation of the financial market to which changes are made (further - the List), according to appendix to this resolution.

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.

5. This resolution becomes effective after ten calendar days after day of its first official publication, except for Items 7, 8 and 11 Lists which become effective after twenty one calendar days after day of its first official publication.

It is approved Ministry of information and communications of the Republic of Kazakhstan October 8, 2018

Minister ___________ D. Abayev

It is approved Ministry of national economy of the Republic of Kazakhstan October 10, 2018

Minister ______________ T. Suleymenov

Appendix

to the Resolution of Board of National Bank of the Republic of Kazakhstan of July 30, 2018 No. 157

The list of regulatory legal acts of the Republic of Kazakhstan concerning regulation of the financial market to which changes are made

1. Bring in the resolution of Board of the Agency of the Republic of Kazakhstan on regulation and supervision of the financial market and the financial organizations of September 23, 2006 No. 216 "About approval of the application form about accession of bank of the second level to the agreement of accession for the introduction in system of obligatory guaranteeing deposits" (the following change is registered in the Register of state registration of regulatory legal acts at No. 4430):

In form according to appendix to state the statement in edition according to appendix 1 to this List of regulatory legal acts of the Republic of Kazakhstan concerning regulation of the financial market to which changes are made (further - the List).

2. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of February 24, 2012 No. 80 "About approval of Rules of calculation of total volume of all bank loans and bank guarantees issued by banks of the second level to persons, related the special relations, and to legal resident persons and nonresidents of the Republic of Kazakhstan" (it is registered in the Register of state registration of regulatory legal acts at No. 7510, it is published on May 24, 2012 in the Kazakhstanskaya Pravda newspaper No. 150-151 (26969-26970) following changes:

in Rules of calculation of total volume of all bank loans and bank guarantees issued by banks of the second level to persons, related the special relations, and to legal resident persons and nonresidents of the Republic of Kazakhstan, approved by the specified resolution:

state Item 1 in the following edition:

"1. The total volume of all bank loans and bank guarantees specified in Items 1 and 2 of article 8-1 of the Law on banks does not exceed 50 (fifty) percent of equity of bank - by each bank, except for loans and bank guarantees issued to the affiliated organizations of bank acquiring doubtful and (or) bad assets of parent bank which cumulative size is determined according to the Normative values and techniques of calculations of prudential standard rates and other regulations, obligatory to observance, and limits of the size of the capital of bank for certain date approved by the resolution of Board of National Bank of the Republic of Kazakhstan of September 13, 2017 No. 170, registered in the Register of state registration of regulatory legal acts at No. 15886 (further - Standard rates No. 170).";

the ninth Item 2 to state the paragraph in the following edition:

"SK - the equity calculated according to Standard rates No. 170.".

3. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of December 24, 2012 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" (it is registered in the Register of state registration of regulatory legal acts at No. 8318, it is published on June 5, 2013 in the Kazakhstanskaya Pravda newspaper No. 190-191 (27464-27465) following changes:

state preamble in the following edition:

"For the purpose of realization of Items 3 and 13 of Article 8, of subitems 4) and 6) of Item 2 of Article 8-1, of Item 14 of Article 11-1, of Item 5 of Article 17, of Items 1 and 6-1 of Article 17-1, of Item 1 of Article 18, of Item 15 of Article 20, of Items 12 and 13 of Article 30, of Item 12 of Article 40, of Item 5 of Article 44, of Item 7 of Article 45, of Item 3 of Article 52-12 and Item 7 of article 60 of the Law of the Republic of Kazakhstan of August 31, 1995 "About banks and banking activity in the Republic of Kazakhstan" (further - the Law on banks), Item 6 of Article 15-1, of item 4 of Article 21, of Item 1 of Article 26, of Item 14 of Article 32, of Item 15 of Article 34, of Item 6 of Article 44, of Items 3, of the 9 and 10 Article 48, of Item 9 of article 62 of the Law of the Republic of Kazakhstan of December 18, 2000 "About insurance activity", Item 2 of Article 47, of Item 1 of article 72-1 of 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:";

state Item 1 in the following edition:

"1. Establish the minimum long-term credit rating on the international scale in foreign currency not below "VVV" of Standard & Poors rating agency or scores of similar level assigned to one of the rating agencies specified in Item 3 of this resolution for the following legal entities - nonresidents of the Republic of Kazakhstan:

the legal entities acquiring (having) the status of bank or insurance holding;

the legal entities acquiring (having) status of the large member of bank, insurance (reinsurance) organization, the managing director of investment portfolio with the right of attraction of voluntary pension contributions;

the banks creating (having) subsidiary banks in the Republic of Kazakhstan;

the insurance (reinsurance) organizations having the affiliated insurance (reinsurance) organizations in the Republic of Kazakhstan.

Establish the minimum long-term credit rating on the international scale in foreign currency not below "In -" Standard & Poors rating agency or scores of similar level assigned to one of the rating agencies specified in Item 3 of this resolution for the following legal entities - nonresidents of the Republic of Kazakhstan:

acquiring (having) status of the large member of the managing director of investment portfolio without right of attraction voluntary pension contributions;

having the affiliated organizations performing professional activity in the security market.

For the purposes of the subitem 4) of Item 2 of article 8-1 of the Law on banks to establish the following minimum long-term sovereign rating:

in foreign currency of foreign state - not below the minimum long-term rating on the international scale in foreign currency of "VVV" of Standard & Poors rating agency or scores of similar level assigned to one of the rating agencies specified in Item 3 of this resolution.

For the purposes of the subitem 6) of Item 2 of article 8-1 of the Law on banks to establish the following minimum individual credit rating on the international scale:

in foreign currency of the organization - not below the minimum long-term rating on the international scale in foreign currency of "VVV" of Standard & Poors rating agency or scores of similar level assigned to one of the rating agencies specified in Item 3 of this resolution.".

4. Ceased to be valid according to the Resolution of Board of National Bank of the Republic of Kazakhstan of 29.11.2019 No. 229.

5. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of July 17, 2015 No. 137 "About approval of Rules of the conclusion and standard form of the pension provision agreement at the expense of voluntary pension contributions" (it is registered in the Register of state registration of regulatory legal acts at No. 11974, it is published on September 16, 2015 in information system of law of Ad_let) the following changes:

in Rules of the conclusion of the pension provision agreement at the expense of the voluntary pension contributions approved by the specified resolution:

the second Item 5 to state part in the following edition:

"Copies of the documents specified in subitems 2), 3), 4), 5) and 7) of this Item are certified by the signature of person, representative to sign the Agreement on behalf of the legal entity. The documents consisting more than of 1 (one) leaf are stitched with indication of the number of sheets and certified by the signature of person, representative to sign the Agreement on behalf of the legal entity, and also seal of the legal entity who is not belonging to the subject of private entrepreneurship.";

2) of Item 7 to state the subitem in the following edition:

"2) after agreement signature by the investor (receiver), legal representative of the minor, the authorized representative is signed by the Agreement, puts down the signature in the column "representative Fonda". In case of the conclusion of the contract with ENPF the Agreement is sealed by ENPF (in the presence).";

to state paragraph two of part two of Item 11 in the following edition:

"the magazine proshnurovyvatsya on paper and numbered. The penultimate page of the ENPF magazine is sealed by seal of division of ENPF (in the presence). Upon completion of use the magazine on paper is given in archive of the central (head) office of ENPF or DNPF;";

in the Standard form of the pension provision agreement at the expense of voluntary pension contributions with the single accumulation pension fund in form 2 according to appendix 2 to the specified resolution:

state the Section 10 "Addresses, Details and Signatures of the Parties" in the following edition:

FUND _______________________________________                (name of Fund, business and identification number _______________________________________           bank details _______________________________________  legal address of Fund (its branch  or other division which is        place of agreement),        phone number, fax, e-mail) ________________________________________ (surname, name, middle name (in case of its availability)     representative of Fund, signature) locus sigilli (in the presence)

INVESTOR ______________________________________  (for the legal entity - the name, business and identification number _______________________________________           bank details _______________________________________          location, phone number, fax, e-mail) _______________________________________       (for physical person - surname,    name, middle name (in case of its availability) ______________________________________ individual identification number ______________________________________ residence, phone number, e-mail) of pension rules it is informed: ______________________________________               signature of the Investor the locus sigilli (except for the legal entities belonging to subjects of private entrepreneurship)

RECEIVER _______________________________________  (surname, name, middle name (in case of its availability) _______________________________________ individual identification number _______________________________________ residence, phone number, e-mail) of pension rules it is informed: _________________________________ signature of the Receiver";

in the Standard form of the Pension provision agreement at the expense of voluntary pension contributions with the Voluntary accumulation pension fund in form 1 according to appendix 3 to the specified resolution:

state the Section 10 "Addresses, Details and Signatures of the Parties" in the following edition:

"10. Addresses, details and signatures of the parties

FUND ______________________________________          (name of Fund, ______________________________________      business and identification number ______________________________________               bank details ______________________________________ ______________________________________   legal address of Fund (its branch or other division which is     place of agreement),    phone number, fax, e-mail) ______________________________________ ______________________________________ (surname, name, middle name (in case of its availability) representative of Fund, signature)";

INVESTOR (RECEIVER) _____________________________________ (surname, name, middle name (in case of its availability) _____________________________________ _____________________________________ individual identification number _____________________________________ _____________________________________ residence, phone number, e-mail) of pension rules it is informed: ______________________________________      signature of the Investor (Receiver)

in the Standard form of the Pension provision agreement at the expense of voluntary pension contributions with the Voluntary accumulation pension fund in form 2 according to appendix 3 to the specified resolution:

state the Section 10 "Addresses, Details and Signatures of the Parties" in the following edition:

"10. Addresses, details and signatures of the parties

FUND _____________________________________ _____________________________________ (name of Fund, business _____________________________________ identification number _____________________________________ bank details _____________________________________ _____________________________________ legal address of Fund (its branch or other division which is place of agreement), phone number, fax, e-mail) _____________________________________ _____________________________________ _____________________________________ (surname, name, middle name (in case of it availability) representative of Fund, signature)

INVESTOR ____________________________________ ____________________________________ (for the legal entity – the name, ____________________________________ business and identification number ____________________________________ ____________________________________ bank details ____________________________________ ____________________________________ location, phone number, fax, e-mail) (for physical person - surname, name, middle name (in case of its availability) ____________________________________ ____________________________________ individual identification number ____________________________________ ____________________________________ residence, phone number, e-mail) of pension rules it is informed: ____________________________________ ____________________________________ signature of the Investor locus sigilli (except for the legal entities belonging to subjects of private entrepreneurship)

RECEIVER ______________________________________ ______________________________________ (surname, name, middle name (in case of its availability) ______________________________________ ______________________________________ individual identification number ______________________________________ ______________________________________ residence, phone number, e-mail) of pension rules it is informed: _____________________________________ _____________________________________ signature of the Receiver".

6. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of October 20, 2015 No. 194 "About approval of the standard agreement of retirement annuity, establishment of the Method of calculation of insurance premium and insurance payment from insurance company under the contract of retirement annuity, admissible expense level of insurance company for conducting case on the signed agreements of retirement annuity, and also rate of indexation of insurance payment" (it is registered in the Register of state registration of regulatory legal acts at No. 12318, it is published on December 10, 2015 in information system of law of Ad_let) the following change:

in the Standard agreement of retirement annuity according to appendix 1 to the specified resolution:

state the Section 7 "Details and Signatures of the Parties" in the following edition:

"7. Details and signatures of the Parties

INSURER _____________________________________ (name of the Insurer, branch, legal address, phone, fax, E-mail) _____________________________________ bank details (bank name, No. of the current account) _____________________________________ surname, name, middle name (in case of its availability), signature of the representative of the Insurer Date _______________________".

INSURER ___________________________________ ___________________________________ (surname, name, middle name (in case of its availability), residence, phone, E-mail) ____________________________________ individual identification number ____________________________________ bank details (name bank, No. of the current account) ____________________________________ signature of the Insurer Date _____________________________

7. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of January 28, 2016 No. 15 "About approval of Rules of issue of permission to voluntary reorganization of bank in the form of converting in Islamic bank and refusal in issue of permission" (it is registered in the Register of state registration of regulatory legal acts at No. 13526, it is published on April 6, 2016 in information system of law of Ad_let) the following changes:

in the Rules of issue of permission to voluntary reorganization of bank in the form of converting in Islamic bank and refusal in issue of permission approved by the specified resolution:

state Item 7 in the following edition:

"7. The documents specified in Item 2 of article 52-14 of the Law on banks are certified by signatures of the officials of bank having right to sign of such documents.";

To state the statement for issue of permission to voluntary reorganization of bank in the form of converting in Islamic bank in form according to appendix in edition according to appendix 3 to the List.

8. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of October 28, 2016 No. 263 "About approval of Rules of issue of permission to the right of implementation of activities of credit bureau and the act of compliance of credit bureau to requirements imposed to credit bureau on protection and ensuring safety of the database of credit stories, the used information systems and rooms" (it is registered in the Register of state registration of regulatory legal acts at No. 14840, it is published on March 29, 2017 in Reference control bank of regulatory legal acts of the Republic of Kazakhstan) the following change:

in Rules of issue of permission to the right of implementation of activities of credit bureau and the act of compliance of credit bureau to requirements imposed to credit bureau on protection and ensuring safety of the database of the credit stories, the used information systems and rooms approved by the specified resolution:

For form according to appendix 1 to state the statement for issue of permission to the right of implementation of activities of credit bureau and the act of compliance of credit bureau to requirements imposed to credit bureau on protection and ensuring safety of the database of credit stories, the used information systems and rooms in edition according to appendix 4 to the List.

9. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of December 26, 2016 No. 308 "About establishment of prudential standard rates and others obligatory to observance by the mortgage organizations and affiliated organizations of national managing holding in the field of agro-industrial complex of regulations and limits, and also the list, forms and rules of submission of the reporting on their accomplishment" (it is registered in the Register of state registration of regulatory legal acts at No. 14788, it is published on February 28, 2017 in Reference control bank of regulatory legal acts of the Republic of Kazakhstan) the following changes:

in Prudential standard rates and others obligatory to observance by the mortgage organizations and affiliated organizations of national managing holding in the field of agro-industrial complex the regulations and limits approved by the specified resolution:

To state the questionnaire according to appendix 3 in edition according to appendix 5 to the List;

To state data on calculation of coefficients of sufficiency of equity according to appendix 4 in edition according to appendix 6 to the List;

To state the report on accomplishment of prudential standard rates on form according to appendix 3 to the specified resolution in edition according to appendix 7 to the List;

On form according to appendix 4 to the specified resolution to state the report on disaggregation of the assets weighed taking into account credit risk in edition according to appendix 8 to the List;

On form according to appendix 5 to the specified resolution to state the report on disaggregation of the contingent and possible obligations weighed taking into account credit risk in edition according to appendix 9 to the List;

in Rules of submission of the reporting on accomplishment of the prudential standard rates by the mortgage organizations and the affiliated organizations of national managing holding in the field of agro-industrial complex approved by the specified resolution:

state item 4 in the following edition:

"4. The reporting on accomplishment of prudential standard rates by the organizations as of reporting date is on paper signed by the first head, the chief accountant or persons authorized on signing of the report and stored in the organizations.".

10. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of December 26, 2016 No. 309 "About establishment of normative values and techniques of calculations of prudential standard rates and other regulations, obligatory to observance, and limits of the size of the capital of banking conglomerate for certain date, the list, forms, terms of submission of the reporting on accomplishment of prudential standard rates by banking conglomerate, and also Rules of submission of the reporting on accomplishment of prudential standard rates by banking conglomerate" (it is registered in the Register of state registration of regulatory legal acts at No. 14790, it is published on February 23, 2017 in Reference control bank of regulatory legal acts of the Republic of Kazakhstan) the following changes:

To state the report on accomplishment of prudential standard rates by banking conglomerate on form according to appendix 3 to the specified resolution in edition according to appendix 10 to the List;

On form according to appendix 4 to the specified resolution to state the report on disaggregation of assets, conditional and possible requirements and obligations of the members of banking conglomerate weighed on risk degree of investments in edition according to appendix 11 to the List;

And also to other investments in equity of legal entities of members of banking conglomerate performed during the accounting period, and also operating as of reporting date in form according to appendix 5 to the specified resolution to state the report on collection of data on the investments representing investments in the authorized capital of legal entities, subordinated debt of legal entities in edition according to appendix 12 to the List;

To state the report on structure of securities portfolio of members of banking conglomerate as of reporting date in form according to appendix 6 to the specified resolution in edition according to appendix 13 to the List;

On form according to appendix 7 to the specified resolution to state the report on collection of data on the intra group bargains of banking conglomerate concluded during the accounting period, and also existing as of reporting date in edition according to appendix 14 to the List;

The report on collection of data on obligations of members of banking conglomerate to the third parties, components of 10 (ten) and more percent from equity of banking conglomerate acting as of reporting date on form according to appendix 8 to the specified resolution to state in edition according to appendix 15 to the List;

in Rules of submission of the reporting on accomplishment of the prudential standard rates by banking conglomerate approved by the specified resolution:

state item 4 in the following edition:

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