of June 28, 2019 No. 103
About modification of some regulatory legal acts of the Republic of Kazakhstan concerning provision of pensions
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 the List of regulatory legal acts of the Republic of Kazakhstan concerning provision of pensions to which changes, according to appendix to this resolution are made.
2. To provide to development department of the non-bank organizations in the procedure established by the legislation of the Republic of Kazakhstan:
1) together with Legal department 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 in paper and electronic type in the Kazakh and Russian languages in the Republican state company on the right of economic maintaining "Institute of the legislation and legal information of the Republic of Kazakhstan" the Ministries of Justice of the Republic of Kazakhstan 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 department of external communications - the press service of National Bank to 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 Birtanov E. A.
5. This resolution becomes effective after ten calendar days after day of its first official publication.
Chairman of National Bank
E.Dosayev
Appendix
to the Resolution of Board of National Bank of the Republic of Kazakhstan of June 28, 2019 No. 103
1. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of July 26, 2013 No. 201 "About approval of Rules of accounting of pension accruals at the expense of compulsory pension contributions, compulsory professional pension contributions and voluntary pension contributions on individual retirement accounts of investors (receivers)" (it is registered in the Register of state registration of regulatory legal acts at No. 8654, it is published on October 2, 2013 in the Yuridicheskaya Gazeta newspaper No. 148 (2523)) the following changes:
in Rules of accounting of pension accruals at the expense of compulsory pension contributions, compulsory professional pension contributions and voluntary pension contributions on individual retirement accounts of investors (receivers) approved by the specified resolution:
state Item 2 in the following edition:
"2. The bases for opening of the individual retirement account are:
on accounting of compulsory pension contributions - the lists of physical persons represented by agents to ENPF in case of the transfer of compulsory pension contributions according to the procedure determined by the order of the Government of the Republic of Kazakhstan of October 18, 2013 No. 1116 "About approval of Rules and terms of calculation, deduction (charge) and transfer of compulsory pension contributions, compulsory professional pension contributions in the single accumulation pension fund and penalties by them";
on accounting of compulsory professional pension contributions - the statement of the agent on payment of compulsory professional pension contributions (further - the agent) and physical person for which compulsory professional pension contributions, in the form approved by the internal document ENPF which is placed on the ENPF Internet resource are listed;
on accounting of voluntary pension contributions - the pension provision agreement at the expense of voluntary pension contributions signed by ENPF and (or) DNPF, on the one hand, and the investor of the pension contributions, on the other hand, brought by the investor on the initiative in ENPF and (or) DNPF for benefit of the receiver of retirement benefits and also transfer of voluntary pension accruals of investors (receivers) in ENPF in case of voluntary return or deprivation of DNPF of the license for management of investment portfolio with the right of attraction of voluntary pension contributions or by voluntary reorganization of DNPF in the form of accession.";
and 5 to state items 4 in the following edition:
"4. Individual retirement accounts of investors (receivers) are operated in tenge separately by types of pension contributions (compulsory pension contributions, compulsory professional pension contributions, voluntary pension contributions) and open:
on accounting of compulsory pension contributions - in day of receipt in ENPF of primary amount of compulsory pension contributions;
on accounting of compulsory professional pension contributions - in day of acceptance of ENPF of the statement of the agent and physical person for which compulsory professional pension contributions are listed, constituted in the form approved by the internal document ENPF;
on accounting of voluntary pension contributions - in day of the conclusion of the pension provision agreement at the expense of voluntary pension contributions.
5. The structure of the individual retirement account contains the following obligatory data:
|
A |
- designation like pension contribution |
1 figure |
Means type of pension contribution where |
|
ВВВВВВ |
- number of the balance sheet account |
2, 3, 4, 5, 6, 7th figures |
Mean the account of the chart of accounts |
|
CC |
- code of the region (area) |
8, 9th figures |
Mean: |
|
DD |
- ENPF or DNPF code |
10, 11th figures |
The ENPF code - figures "00"; |
2. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of July 26, 2013 No. 203 "About establishment of the list of the documents which are subject to storage and terms of their storage in the single accumulation pension fund and the Voluntary accumulation pension fund" (it is registered in the Register of state registration of regulatory legal acts at No. 8767, the following change is published on November 12, 2013 in the Yuridicheskaya Gazeta newspaper No. 169 (2544)):
in the List of the documents which are subject to storage and terms of their storage in the single accumulation pension fund and the Voluntary accumulation pension fund approved by the specified resolution:
"
|
59. |
The documents (statements, copies of identity documents of the receiver of retirement benefits, the attorney, the legal representative, the death certificate, about the right to inheritance, notifications (in the presence), powers of attorney and other documents) submitted to ENPF, DNPF on receipt of retirement benefits |
10 years from the moment of closing individual pension scheta1 |
10 years from the moment of closing individual pension scheta1 |
1 paper - 10 years from closing date of the individual retirement account, on the electronic medium - to need minovaniye, at least 10 years |
".
3. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of August 27, 2013 No. 218 "About approval of Requirements to the automated information systems for accounting of pension assets and accumulatings" (it is registered in the Register of state registration of regulatory legal acts at No. 8801, it is published on December 12, 2013 in the Yuridicheskaya Gazeta newspaper No. 187 (2562)) the following changes:
in Requirements to the automated information systems for accounting of the pension assets and accumulatings approved by the specified resolution:
6) of Item 6 to state the subitem in the following edition:
"6) interaction with the automated information system of The Government for Citizens State corporation (further - the State corporation) on:
to exchange of information about the opened and closed individual retirement accounts on accounting of compulsory pension contributions, compulsory professional pension contributions;
to exchange of payment documents;
to modification of details of the investor (receiver) of compulsory pension contributions, compulsory professional pension contributions based on information which arrived from the State corporation.";
5) of Item 39 to exclude the subitem.
4. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of February 26, 2014 No. 24 "About approval of Rules of implementation of accounting and assessment of pension assets" (it is registered in the Register of state registration of regulatory legal acts at No. 9274, it is published on April 7, 2014 in information system of law of regulatory legal acts of the Republic of Kazakhstan of Ad_let) the following changes:
in Rules of implementation of accounting and assessment of the pension assets approved by the specified resolution:
state Item 16 in the following edition:
"16. The procedure and technique of determination of fair value of illiquid debt securities of the organizations - residents of the Republic of Kazakhstan is established by the internal document of stock exchange which affirms the board of directors of stock exchange.
Fair value of illiquid debt securities of the organizations - residents of the Republic of Kazakhstan is determined proceeding from values of weighted average rate of profitability of debt securities.
Weighted average rates of profitability are established by the decision of executive body of stock exchange on one calendar quarter and determined proceeding from values of annual weighted average rate of profitability of the debt securities calculated following the results of twelve months preceding this quarter. At the same time weighted average rates of profitability are calculated for each separate category (subcategory) of the sector "Debt securities" within the isolated platforms of the official listing of stock exchange for each of the following groups of securities:
not indexed debt securities nominated in tenge;
the debt securities nominated in tenge and indexed on inflation or with the floating rate which is not depending on tenge rate to foreign currency;
the debt securities nominated in tenge and indexed at the rate of tenge to all foreign currencies and the debt securities nominated in all foreign currencies.
In case of impossibility of determination of weighted average rate of profitability of illiquid debt securities of any group for the next quarter on absence reason of necessary parameters for calculation, the executive body of stock exchange takes the measures provided by method of calculation of weighted average rate of the profitability of debt securities approved by the board of directors of stock exchange for determination of their fair value.
The decision of executive body of stock exchange on establishment of weighted average rates of profitability for the next quarter is published on Internet resource of stock exchange no later than 18:00 hours of time of the city of Nour-Sultan of the tenth working day of the first month of this quarter.";
to state part one of Item 17 in the following edition:
"17. The stock exchange weekly no later than 18:00 hours of time of the city of Nour-Sultan of the first working day of week places data on the Internet resource:".
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 regulatory legal acts of the Republic of Kazakhstan 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:
state Item 5 in the following edition:
"5. The worker of ENPF or DNPF in case of adoption of documents of the investor who is the legal entity, and the receiver checks:
1) the original document, the receiver proving the identity, availability of individual identification number of the receiver (for identification of the receiver);
2) originals or notarially attested copies of the charter of the legal entity and the license (if activities of the investor are licensed);
3) original or notarially attested copy of the certificate of state registration (re-registration) of the legal entity or certificate on state registration (re-registration) of the legal entity, availability of business and identification number;
4) the copy of the document, the confirming power (status) of the first head of the legal entity;
5) the copy of the power of attorney of the legal entity with indication of powers on agreement signature on behalf of the legal entity;
6) the original document, person proving the identity, the representative to sign the Agreement on behalf of the legal entity;
7) copies of identity documents of founders of the legal entity (except for documents of joint-stock companies, and also documents of founders of economic partnerships in which maintaining the register of participants of economic partnership is performed by the registrar).
Copies of the documents specified in subitems 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.";
state Item 11 in the following edition:
"11. Accounting of the concluded ENPF or DNPF of Agreements is conducted in electronic form pension provision agreements in separate register at the expense of voluntary pension contributions in form according to appendix to Rules (further - the Magazine).
The magazine provides automatic registration of time of introduction of the records connected with the conclusion of Agreements, with exception of possibility of modification of earlier entered record.";
state appendix in edition according to appendix to this List of regulatory legal acts of the Republic of Kazakhstan concerning provision of pensions to which changes are made;
in the Standard form of the pension provision agreement at the expense of voluntary pension contributions with the single accumulation pension fund in form 1 according to appendix 2 to the specified resolution:
state Item 10 in the following edition:
"10. Information on condition of pension accruals provided by Fund to the Investor (Receiver) includes data about:
1) to the amount of pension accruals as of the beginning and the end of the required period;
2) to the amount of the added investment revenue as of the beginning and the end of the required period;
3) to the size of commission fee from investment revenue and pension assets approved by Board of National Bank of the Republic of Kazakhstan according to Item 3 of article 53 of the Law on provision of pensions and operating for the end of the required period;
4) to the amount of pension contributions, penalty fee, transfers, payments of pension accruals and (or) the withheld individual income tax with indication of dates during the required period;
5) to the amount of other transactions which are reflected in the individual retirement account on accounting of voluntary pension contributions of the Investor (Receiver) with indication of dates during the required period.";
state Item 23 in the following edition:
"23. The agreement is terminated:
1) based on the judgment which took legal effect;
2) unilaterally at the initiative of the Investor (Receiver) in case of lack of pension accruals on the individual retirement account of the Investor (Receiver) and receipts of pension contributions under the Agreement;
3) unilaterally at the initiative of Fund after 36 (thirty six) months from the date of opening of the individual retirement account on condition of lack of pension accruals on the individual retirement account of the Investor (Receiver) and receipts of pension contributions under the Agreement;
4) after 15 (fifteen) working days from the date of transfer of pension savings in the Voluntary accumulation pension fund on condition of lack of return of the translated pension accruals and receipts of pension contributions under the Agreement;
5) after 12 (twelve) months from the date of implementation of transfer of pension savings in insurance company on condition of lack of pension accruals on the individual retirement account of the Investor (Receiver), return of the translated pension accruals and receipts of pension contributions under the Agreement;
6) after 12 (twelve) months from the date of implementation of payment of pension accruals on condition of lack of pension accruals on the individual retirement account of the Investor (Receiver), return of the paid pension accruals and receipts of pension contributions under the Agreement;
7) in day of receipt of the statement for transfer of pension savings at the expense of voluntary pension contributions in the Voluntary accumulation pension fund on condition of lack of pension accruals on the individual retirement account of the Investor (Receiver) in Fund.";
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 Item 11 in the following edition:
"11. Information on condition of pension accruals provided by Fund to the Receiver includes data about:
1) to the amount of pension accruals as of the beginning and the end of the required period;
2) to the amount of the added investment revenue as of the beginning and the end of the required period;
3) to the size of commission fee from investment revenue and pension assets approved by Board of National Bank of the Republic of Kazakhstan according to Item 3 of article 53 of the Law on provision of pensions and operating for the end of the required period;
4) to the amount of pension contributions, penalty fee, transfers, payments of pension accruals and (or) the withheld individual income tax with indication of dates during the required period;
5) to the amount of other transactions which are reflected in the individual retirement account on accounting of voluntary pension contributions of the Receiver with indication of dates during the required period.";
state Items 23 and 24 in the following edition:
"23. The agreement changes and supplemented by mutual consent of the Receiver and Fund:
1) in written and (or) electronic type in case of change of data of the identity document of the Receiver, post and (or) electronic addresses, numbers of contact telephone numbers, information transfer method about condition of pension accruals;
2) in writing in case of change of surname, name, middle name (in case of its availability), birth dates, individual identification number of the Receiver.
24. The agreement is terminated:
1) based on the judgment which took legal effect;
2) unilaterally at the initiative of the Investor or the Receiver in case of lack of pension accruals on the individual retirement account of the Receiver and receipts of pension contributions under the Agreement;
3) unilaterally at the initiative of Fund after 36 (thirty six) months from the date of opening of the individual retirement account on condition of lack of pension accruals on the individual retirement account of the Receiver and receipts of pension contributions under the Agreement;
4) after 15 (fifteen) working days from the date of transfer of pension savings in the Voluntary accumulation pension fund on condition of lack of return of the translated pension accruals and receipts of pension contributions under the Agreement;
5) after 12 (twelve) months from the date of implementation of transfer of pension savings in insurance company on condition of lack of pension accruals on the individual retirement account of the Receiver, return of the translated pension accruals and receipts of pension contributions under the Agreement;
6) after 12 (twelve) months from the date of implementation of payment of pension accruals on condition of lack of pension accruals on the individual retirement account of the Receiver, return of the paid pension accruals and receipts of pension contributions under the Agreement;
7) in day of receipt of the statement for transfer of pension savings at the expense of voluntary pension contributions in the Voluntary accumulation pension fund on condition of lack of pension accruals on the individual retirement account of the Receiver in Fund.";
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 Item 10 in the following edition:
"10. Information on condition of pension accruals provided by Fund to the Investor (Receiver) includes data about:
1) to the amount of pension contributions, penalty fee, transfers of pension savings in Fund with indication of dates during the required period;
2) to the amount of pension accruals and the amount of the added investment revenue as of the beginning and the end of the required period;
3) to the amount of retirement benefits and (or) transfers of pension savings from Fund and (or) the withheld individual income tax with indication of dates during the required period;
4) to the amount of other transactions which are reflected in the individual retirement account of the Investor (Receiver) with indication of dates during the required period.";
state Item 23 in the following edition:
"23. The agreement is terminated:
1) based on the judgment which took legal effect;
2) unilaterally at the initiative of the Investor (Receiver) in case of lack of pension accruals on the individual retirement account of the Investor (Receiver) and receipts of pension contributions under the Agreement;
3) unilaterally at the initiative of Fund after 36 (thirty six) months from the date of opening of the individual retirement account on condition of lack of pension accruals on the individual retirement account of the Investor (Receiver) and receipts of pension contributions under the Agreement;
4) after 15 (fifteen) working days from the date of transfer of pension savings in other Voluntary accumulation pension fund or the single accumulation pension fund on condition of lack of return of the translated pension accruals and receipts of pension contributions under the Agreement;
5) after 12 (twelve) months from the date of implementation of transfer of pension savings in insurance company on condition of lack of pension accruals on the individual retirement account of the Investor (Receiver), return of the translated pension accruals and receipts of pension contributions under the Agreement;
6) after 12 (twelve) months from the date of implementation of payment of pension accruals on condition of lack of pension accruals on the individual retirement account of the Investor (Receiver), return of the paid pension accruals and receipts of pension contributions under the Agreement;
7) in day of receipt of the statement for transfer of pension savings at the expense of voluntary pension contributions in other Voluntary accumulation pension fund or the single accumulation pension fund on condition of lack of pension accruals on the individual retirement account of the Investor (Receiver) in Fund.";
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 Item 11 in the following edition:
"11. Information on condition of pension accruals provided by Fund to the Receiver includes data about:
1) to the amount of pension contributions, penalty fee, transfers of pension savings in Fund with indication of dates during the required period;
2) to the amount of pension accruals and the amount of the added investment revenue as of the beginning and the end of the required period;
3) to the amount of retirement benefits and (or) transfers of pension savings from Fund and (or) the withheld individual income tax with indication of dates during the required period;
4) to the amount of other transactions which are reflected in the individual retirement account of the Receiver with indication of dates during the required period.";
state Item 24 in the following edition:
"24. The agreement is terminated:
1) based on the judgment which took legal effect;
2) unilaterally at the initiative of the Investor or the Receiver in case of lack of pension accruals on the individual retirement account of the Receiver and receipts of pension contributions under the Agreement;
3) unilaterally at the initiative of Fund after 36 (thirty six) months from the date of opening of the individual retirement account on condition of lack of pension accruals on the individual retirement account of the Receiver and receipts of pension contributions under the Agreement;
4) after 15 (fifteen) working days from the date of transfer of pension savings in other Voluntary accumulation pension fund or the single accumulation pension fund on condition of lack of return of the translated pension accruals and receipts of pension contributions under the Agreement;
5) after 12 (twelve) months from the date of implementation of transfer of pension savings in insurance company on condition of lack of pension accruals on the individual retirement account of the Receiver, return of the translated pension accruals and receipts of pension contributions under the Agreement;
6) after 12 (twelve) months from the date of implementation of payment of pension accruals on condition of lack of pension accruals on the individual retirement account of the Receiver, return of the paid pension accruals and receipts of pension contributions under the Agreement;
7) in day of receipt of the statement for transfer of pension savings at the expense of voluntary pension contributions in other Voluntary accumulation pension fund or the single accumulation pension fund on condition of lack of pension accruals on the individual retirement account of the Receiver in Fund.".
6. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of November 28, 2015 No. 209 "About modification and amendments in some regulatory legal acts of the Republic of Kazakhstan concerning provision of pensions" (it is registered in the Register of state registration of regulatory legal acts at No. 12529, it is published on January 14, 2016 in the Kazakhstanskaya Pravda newspaper No. 7 (28133)) the following changes:
in the List of regulatory legal acts of the Republic of Kazakhstan concerning provision of pensions to which changes and additions are made, approved by the specified resolution:
in Item 2:
the thirty fourth and thirty fifth to state paragraphs in the following edition:
"6) interaction with the automated information system of The Government for Citizens State corporation (further - the State corporation) on:
to exchange of information about the opened and closed individual retirement accounts on accounting of compulsory pension contributions, compulsory professional pension contributions;";
to state the paragraph of the thirty seventh in the following edition:
"to movement on individual retirement accounts, conditional retirement accounts based on the agreement signed between the State corporation and the single accumulation pension fund;";
the thirty ninth to state the paragraph in the following edition:
"to modification of details of the investor (receiver) of compulsory pension contributions, compulsory professional pension contributions, physical person addressed to which the conditional retirement account in the single accumulation pension fund, based on information which arrived from the State corporation is opened.".
to the List of regulatory legal acts of the Republic of Kazakhstan concerning provision of pensions to which changes are made
Appendix
to Rules of the conclusion of the pension provision agreement at the expense of voluntary pension contributions
Form
Register of pension provision agreements at the expense of voluntary pension contributions
____________________________________________________________
(name of the single accumulation pension fund,
Voluntary accumulation pension fund)
|
№ |
Details of the investor (receiver) who is the physical person which signed the agreement |
Details of the investor, being the physical person or legal entity which signed the agreement for benefit of the third party | ||||||||
|
Surname, name, middle name (in case of its availability) |
Birth date |
Individual identification number |
Document number, proving the identity |
Body and date of issue of the identity document |
Details of the receiver for benefit of whom the agreement is signed | |||||
|
Surname, name, middle name (in case of its availability) |
Birth date |
Individual identification number |
Document number, proving the identity |
Body and date of issue of the identity document | ||||||
|
1 |
2 |
3 |
4 |
5 |
6 |
7 |
8 |
9 |
10 |
11 |
Continuation of the table
|
Details of the investor, being the physical person or legal entity which signed the agreement for benefit of the third party |
Agreement number about provision of pensions |
Date of the conclusion of the pension provision agreement | ||||||
|
Details of the investor who is physical person |
Details of the investor who is the legal entity | |||||||
|
Surname, name, middle name (in case of its availability) |
Birth date |
Individual identification number |
Name of the legal entity |
Number and date of the certificate of state registration (re-registration) of the legal entity or certificate on state registration (re-registration) of the legal entity |
Number and date of the power of attorney on the agreement signature right about provision of pensions of the head of the legal entity (in the presence) |
Business and identification number | ||
|
12 |
13 |
14 |
15 |
16 |
17 |
18 |
19 |
20 |
Note:
When accounting of pension provision agreements at the expense of the voluntary pension contributions signed by the investor (receiver) columns 1, of 2, of 3, of 4, of 5, of 6, of 19, of the 20th magazine are filled.
When accounting of pension provision agreements at the expense of the voluntary pension contributions signed by physical person for benefit of the third party columns 1, of 7, of 8, of 9, of 10, of 11, of 12, of 13, of 14, of 19, of the 20th magazine are filled.
When accounting of pension provision agreements at the expense of the voluntary pension contributions signed by the legal entity for benefit of the third party columns 1, of 7, of 8, of 9, of 10, of 11, of 15, of 16, of 17, of 18, of 19, of the 20th magazine are filled.
Disclaimer! This text was translated by AI translator and is not a valid juridical document. No warranty. No claim. More info
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