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RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of October 29, 2018 No. 263

About approval of the list, forms, terms of the reporting of the central depositary and Rules of their representation

(as amended of the Resolution of Board of National Bank of the Republic of Kazakhstan of 22.02.2021 No. 11)

According to 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", of July 4, 2003 "About state regulation, control and supervision of the financial market and the financial organizations", of March 19, 2010 "About the state statistics" and for the purpose of enhancement of regulatory legal acts of the Republic of Kazakhstan the Board of National Bank of the Republic of Kazakhstan DECIDES:

1. Approve

1) the list of the reporting of the central depositary according to appendix 1 to this resolution;

2) report form about customer accounts according to appendix 2 to this resolution;

3) report form about the transactions with the faces tied with the central depositary the special relations, concluded during reporting quarter, and also existing on reporting date, and the register of faces tied with the central depositary the special relations according to appendix 3 to this resolution;

4) report form about transactions in the secondary security market with government securities of the Republic of Kazakhstan according to appendix 4 to this resolution;

5) report form about transactions with government securities of the Republic of Kazakhstan by sectors and splits of economy according to appendix 5 to this resolution;

6) report form about the operations performed in system of accounting of the central depositary with non-state securities by sectors and splits of economy according to appendix 6 to this resolution;

7) report form about holders of short-term notes of National Bank of the Republic of Kazakhstan according to appendix 7 to this resolution;

8) report form about transactions with securities of local executive bodies according to appendix 8 to this resolution;

9) report form about remaining balance of the securities of the Ministry of Finance of the Republic of Kazakhstan which are on key accounts of nonresidents of the Republic of Kazakhstan according to appendix 9 to this resolution;

10) report form about depositors of the central depositary according to appendix 10 to this resolution;

11) report form about depositors and their clients according to appendix 11 to this resolution;

12) report form about the securities which are in nominal continence of the central depositary according to appendix 12 to this resolution;

13) report form about the securities issued according to the legislation of foreign state, which are in nominal continence of the central depositary according to appendix 13 to this resolution;

14) report form about the number of holders of shares (shares) of investment funds, according to appendix 14 to this resolution;

15) report form about transactions with the financial instruments which are in nominal continence of the central depositary according to appendix 15 to this resolution;

16) report form about transactions with government securities of the Republic of Kazakhstan according to appendix 16 to this resolution;

17) report form about transactions on the translation of financial instruments according to appendix 17 to this resolution;

18) report form about results of activities for maintaining system of registers of security holders according to appendix 18 to this resolution;

19) report form about voting shares of issuers according to appendix 19 to this resolution;

20) report form about the register of shareholders according to appendix 20 to this resolution;

21) Rules of submission of the reporting by the central depositary according to appendix 21 to this resolution.

2. Recognize invalid some resolutions of Board of National Bank of the Republic of Kazakhstan according to appendix 22 to this resolution.

3. The central depositary represents to National Bank of the Republic of Kazakhstan in electronic format:

1) weekly - the reporting provided by the subitem 16) of Item 1 of this resolution till the third working day following reporting week;

2) monthly - the reporting provided by the subitem 11) of Item 1 of this resolution till the fifth working day of the month following month under report;

3) monthly - the reporting provided by subitems 4), 5), 6), 7), 8), 10), 15) and 19) of Item 1 of this resolution till the tenth following month under report;

4) monthly - the reporting provided by the subitem 20) of Item 1 of this resolution till the twentieth following month under report;

5) quarterly - the reporting provided by subitems 9), 12), 13) and 14) of Item 1 of this resolution till the fifth working day of the month following reporting quarter;

6) quarterly - the reporting provided by subitems 2) and 3) of Item 1 of this resolution till the twentieth following reporting quarter;

7) quarterly - the reporting provided by subitems 17) and 18) of Item 1 of this resolution till the thirtieth following reporting quarter.

4. 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 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 5 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 since January 1, 2019.

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

"__" ________ 2018

 

________________ N. Aydapkelov

Appendix 1

to the Resolution of Board of National Bank of the Republic of Kazakhstan of October 29, 2018 No. 263

List of the reporting of the central depositary

The list of the reporting of the central depositary includes:

1) report on customer accounts;

2) the report on the transactions with the faces tied with the central depositary the special relations, concluded during reporting quarter, and also existing on reporting date, and the register of faces tied with the central depositary the special relations;

3) the operations statement in the secondary security market with government securities of the Republic of Kazakhstan;

4) the operations statement with government securities of the Republic of Kazakhstan by sectors and splits of economy;

5) the operations statement, carried out in system of accounting of the central depositary with non-state securities by sectors and splits of economy;

6) report on holders of short-term notes of National Bank of the Republic of Kazakhstan;

7) the operations statement with securities of local executive bodies;

8) the report on remaining balance of the securities of the Ministry of Finance of the Republic of Kazakhstan which are on key accounts of nonresidents of the Republic of Kazakhstan;

9) report on depositors of the central depositary;

10) report on depositors and their clients;

11) the report on the securities which are in nominal continence of the central depositary;

12) the report on the securities issued according to the legislation of foreign state, which are in nominal continence of the central depositary;

13) report on the number of holders of shares (shares) of investment funds;

14) the report on transactions with the financial instruments which are in nominal continence of the central depositary;

15) the operations statement with government securities of the Republic of Kazakhstan;

16) the operations statement on the translation of financial instruments;

17) report on results of activities for maintaining system of registers of security holders;

18) report on voting shares of issuers;

19) report on the register of shareholders.

Appendix 2

to the Resolution of Board of National Bank of the Republic of Kazakhstan of October 29, 2018 No. 263

The form intended for collection of administrative data

Report on customer accounts

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

Index: OCK_2

Frequency: quarterly

Represents: central depositary

Where the form is represented: National Bank of the Republic of Kazakhstan

Representation term: quarterly, till the twentieth (inclusive) the month following reporting quarter

Form

_______________________________________________________________

(full name of the organization)

 

(in thousands of tenges)

No. of payment order

Customer accounts

Legal entities


Resident banks

Nonresident banks

Other legal entities


1

2

3

4

5


1

Current accounts

Everything, including








in foreign currency








2

Correspondent accounts

Everything, including








in foreign currency








3

Other accounts

Everything, including








in foreign currency








4

Total

Everything, including








in foreign currency








    

The first head or person authorized by it on signing of the report

_____________________________________________________ _________

           surname, name, middle name (in case of its availability)              (signature)

The chief accountant or person authorized by it on signing of the report

_____________________________________________________ _________

          surname, name, middle name (in case of its availability)               (signature)

The chief of responsible division or person authorized by it on signing of the report

_____________________________________________________ _________

         surname, name, middle name (in case of its availability)                  (signature)

Contractor: ____________________________________ ______________

              surname, name, middle name (in case of its availability)         (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 customer accounts

The explanation on filling of the form intended for collection of administrative data

Report on customer accounts

Chapter 1. General provisions

1. This explanation (further - the Explanation) determines single requirements for filling of the form intended for collection of the administrative data "Report on Customer Accounts" (further - the Form).

2. The form is developed according to 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 the central depositary quarterly 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, the chief of responsible division or persons authorized by them on signing of the report and the contractor.

Chapter 2. The explanation on filling of the Form

5. In shape data on the current, correspondent and other accounts opened in the central depositary by legal entities, in tenge and in foreign currency are specified.

6. In columns 3, of 4, 5 remaining balance of money on accounts is specified.

7. 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 October 29, 2018 No. 263

The form intended for collection of administrative data

The report on the transactions with the faces tied with the central depositary the special relations, concluded during reporting quarter, and also existing on reporting date, and the register of faces tied with the central depositary the special relations

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

Index: CP_3

Frequency: quarterly

Represents: central depositary

Where the form is represented: National Bank of the Republic of Kazakhstan

Representation term: quarterly, till the twentieth (inclusive) the month following reporting quarter

Form

_______________________________________________________________

(full name of the organization)

Table 1. The transactions with the faces tied with the central depositary the special relations, concluded during reporting quarter, and also existing on "___" "________" 20 __ years.

No. of payment order

Name/surname, name middle name (in case of its availability) persons

Business and identification number (for the legal entity), individual identification number (for physical person, including for the individual entrepreneur)

Country of residence

Sign according to which the face is carried to the face tied by the special relations with the central depositary

Transaction type

Transaction purpose

agreement No.

Date of the conclusion (start date of accomplishment of conditions) of the agreement

1

2

3

4

5

6

7

8

9





















In total















continuation of the table

End date of operation (end date of accomplishment of conditions) of the agreement

Details of the solution of the board of directors of the central depositary or general shareholder meeting (in case of absence of the board of directors)

The amount of transaction under the agreement (in thousands of tenges)

Currency type

Providing type

Providing cost (in thousands of tenges)

Remuneration (as a percentage annual)

In total

from them the providing cost included when calculating reserves (provisions) according to requirements of international accounting standards

the face tied with the central depositary the special relations

the central depositary for benefit of the face tied with the central depositary the special relations

according to internal documents of the central depositary

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