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RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of November 28, 2019 No. 211

About approval of the list, forms, terms of submission of the reporting by the licensees performing activities in the security market, the single operator and Rules of its representation

According to the laws of the Republic of Kazakhstan of March 30, 1995 "About National Bank of the Republic of Kazakhstan", of July 2, 2003 "About the security market" and of March 19, 2010 "About the state statistics" the Board of National Bank of the Republic of Kazakhstan DECIDES:

1. Approve:

1) the list of the reporting of the licensees performing activities in the security market, the single operator according to appendix 1 to this resolution;

2) report form about the securities acquired at the expense of own assets according to appendix 2 to this resolution;

3) report form about transactions the return repo and repo made at the expense of own assets according to appendix 3 to this resolution;

4) report form about the deposits and money considered as a part of own assets according to appendix 4 to this resolution;

5) report form about investments into the capital of other legal entities at the expense of own assets according to appendix 5 to this resolution;

6) report form about the issued loans and receivables considered as a part of own assets and assets of clients according to appendix 6 to this resolution;

7) report form on investment funds according to appendix 7 to this resolution;

8) report form about structure of the investment portfolio acquired for the asset account of clients according to appendix 8 to this resolution;

9) report form about structure of other property of investment fund according to appendix 9 to this resolution;

10) report form about the investments of investment fund and other clients in the capital of legal entities which are not joint-stock companies according to appendix 10 to this resolution;

11) report form about the cost of pension assets according to appendix 11 to this resolution;

12) report form about structure of investment portfolio of pension assets according to appendix 12 to this resolution;

13) report form about amounts of pension accruals and the number of investors/receivers of voluntary pension contributions according to appendix 13 to this resolution;

14) report form about retirement benefits according to appendix 14 to this resolution;

15) report form about the concluded bargains on investment of assets of clients according to appendix 15 to this resolution;

16) report form about the concluded bargains on investment of own assets according to appendix 16 to this resolution;

17) report form about committed transactions on investment of assets of clients and own assets in derivative financial instruments according to appendix 17 to this resolution;

18) report form about committed transactions on investment of assets of clients and own assets with affiliates according to appendix 18 to this resolution;

19) report form about transactions (transactions) with financial instruments, committed (registered) in the unorganized market of the Republic of Kazakhstan and the international (foreign) security markets, according to appendix 19 to this resolution;

20) form of data on the organization having the license for implementation of broker and (or) dealer activities in the security market of the Republic of Kazakhstan according to appendix 20 to this resolution;

21) report form about transactions with derivative financial instruments according to appendix 21 to this resolution;

22) report form about remaining balance of the money which is on accounts of the broker according to appendix 22 to this resolution;

23) report form about rendering services by the broker and (or) dealer according to appendix 23 to this resolution;

24) report form about the securities which are in nominal continence according to appendix 24 to this resolution;

25) report form about the securities issued according to the legislation of foreign state, which are in nominal continence according to appendix 25 to this resolution;

26) report form about accomplishment of prudential standard rates by the organizations exercising control of investment portfolio and (or) broker and (or) dealer activities in the security market according to appendix 26 to this resolution;

27) report form about observance of limits of investment according to appendix 27 to this resolution;

28) report form about the blocked (unexecuted) orders of clients according to appendix 28 to this resolution;

29) report form about the number of clients of custodian according to appendix 29 to this resolution;

30) report form about movement of pension assets on the investment account in national currency according to appendix 30 to this resolution;

31) report form about movement of pension assets on the investment account in foreign currency according to appendix 31 to this resolution;

32) report form about structure of investment portfolio of pension assets according to appendix 32 to this resolution;

33) report form about the added and paid commission fees according to appendix 33 to this resolution;

34) report form about requests for purchase/security sale according to appendix 34 to this resolution;

35) report form about results of the biddings by securities with indication of the parties of transactions according to appendix 35 to this resolution;

36) report form about requests for transactions of repo with securities according to appendix 36 to this resolution;

37) report form about transactions of repo with securities with indication of their participants according to appendix 37 to this resolution;

38) report form about requests for purchase/sale of derivative financial instruments according to appendix 38 to this resolution;

39) report form about results of the biddings by derivative financial instruments with indication of the parties of transactions according to appendix 39 to this resolution;

40) report form about requests for purchase/sale of foreign currencies according to appendix 40 to this resolution;

41) report form about results of the biddings by foreign currencies according to appendix 41 to this resolution;

42) report form about unexecuted transactions / transactions according to appendix 42 to this resolution;

43) report form about the translation of obligations on execution of calculations with participation of custodian according to appendix 43 to this resolution;

44) report form about members of the organizer of the biddings according to appendix 44 to this resolution;

45) report form about the securities entering certain sectors (categories) of the list of the organizer of the biddings according to appendix 45 to this resolution;

46) report form about financial instruments, except for the securities entering the list of the organizer of the biddings according to appendix 46 to this resolution;

47) report form about amounts of transactions according to appendix 47 to this resolution;

48) report form about capitalization of the security market according to appendix 48 to this resolution;

49) report form about customer accounts according to appendix 49 to this resolution;

50) report form about transactions with the faces tied with the organizer of the biddings by the special relations concluded during month under report, and also operating on reporting date and the register of faces tied with the organizer of the biddings by the special relations according to appendix 50 to this resolution;

51) report form about committed transactions on investment of own assets according to appendix 51 to this resolution;

52) form of calculation of credit risk according to appendix 52 to this resolution;

53) form of disaggregation of coefficient of current liquidity according to appendix 53 to this resolution;

54) report form about accomplishment of prudential standard rates according to appendix 54 to this resolution;

55) report form about net - requirements and net - obligations of the subjects using services of the clearing organization according to appendix 55 to this resolution;

56) report form about the subjects using services of the clearing organization according to appendix 56 to this resolution;

57) report form about the financial instruments accepted on clearing servicing according to appendix 57 to this resolution;

58) report form about the subjects using services of the clearing organization, from bad faith fulfilling the obligations according to transactions according to appendix 58 to this resolution.

59) Rules of submission of the reporting by the licensees performing activities in the security market, the single operator according to appendix 59 to this resolution.

2. The organizations performing activities for management of investment portfolio (further - the managing director of investment portfolio), broker and (or) dealer activities in the security market (further - brokers and (or) dealers), the organizer of the biddings represent to National Bank of the Republic of Kazakhstan (further - National Bank) in electronic format, monthly, no later than the fifth working day of the month following month under report, the reporting according to appendices 2, of 3, of 4, 5 to this resolution.

In addition to the reporting provided by part one of this Item the managing director of investment portfolio, represents to National Bank in electronic format, monthly, no later than the fifth working day of the month following month under report, the reporting according to appendices 6, of 7, of 8, of 9, of 10, of 15, of 16, of 17, of 18, 26 to this resolution.

The managing director of investment portfolio with the right of attraction of voluntary pension contributions (further - the Voluntary accumulation pension fund) in addition represents to National Bank in electronic format, monthly, no later than the fifth working day of the month following month under report, the reporting according to appendices 11, of 12, of 13, of 14, 27 to this resolution.

In case of management of the Voluntary accumulation pension fund of pension assets of the single accumulation pension fund according to the contract for investment asset management signed with National Bank, the Voluntary accumulation pension fund represents the reporting according to appendices 11, of 12, of 13, 14 separately on the assets of the single accumulation pension fund and pension assets which are in management.

In addition to the reporting provided by part one of this Item, brokers and (or) dealers represent to National Bank in electronic format, monthly, no later than the fifth working day of the month following month under report, the reporting according to appendices 6, of 19, 22 and 26 to this resolution.

Brokers and (or) dealers in addition represent to National Bank in electronic format, quarterly, no later than the last date following reporting quarter, the reporting according to appendices 20, of 21, of 23, 24 and 25 to this resolution.

The single operator represents to National Bank in electronic format, quarterly, no later than the last date following reporting quarter, the reporting according to appendices 24 and 25 to this resolution.

The custodian represents to National Bank in electronic format quarterly, no later than the last working day of the month following reporting quarter, the reporting according to appendices 24, of 25, 28 and 29 to this resolution.

The custodian of the Voluntary accumulation pension fund in addition represents to National Bank in electronic format, monthly, no later than the fifth working day of the month following month under report, the reporting according to appendices 30, of 31, 32 and 33 to this resolution.

The organizer of the biddings represents to National Bank in electronic format, daily, until the end of the next working day, the reporting according to appendices 34, of 35, of 36, of 37, of 38, of 39, of 40, of 41, 42 and 43 to this resolution.

The organizer of the biddings represents to National Bank in electronic format, monthly, no later than the fifth working day of the month following month under report, the reporting according to appendices 44, of 45, of 46, of 47, of 48, of 49, of 50, of 51, of 52, 53 and 54 to this resolution.

The clearing organization represents to National Bank in electronic format, daily, until the end of the next working day, the reporting according to appendix 55 to this resolution.

The clearing organization represents to National Bank in electronic format, monthly, no later than the fifth working day of the month following month under report, the reporting according to appendices 56, 57 and 58 to this resolution.

The Voluntary accumulation pension fund having the license for implementation of broker and (or) dealer activities does not represent to National Bank the reporting according to appendices 21, of 22, of 23, of 24, 25 to this resolution.

Banks of the second level and the National operator of mail having the license for implementation of broker and (or) dealer activities in the security market do not represent to National Bank the reporting according to appendices 2, of 3, of 4, of 5, 6 to this resolution.

Brokers and (or) dealers without the right of account management of clients do not represent to National Bank the reporting according to appendices 24 and 25 to this resolution.

The managing director of investment portfolio having the license for occupation broker and (or) dealer activities in the security market does not represent to National Bank the reporting according to the table 1 of appendix 16 to this resolution.

The organizer of the biddings whose at least twenty five percent from total quantity of voting shares belong to National Bank does not represent to National Bank the reporting according to appendices 2, of 3, 4 and 5 to this resolution.

The insurance (reinsurance) organizations having license for activities on management of investment portfolio do not represent to National Bank the reporting according to this resolution.

The gold and exchange assets of National Bank and assets of National fund of the Republic of Kazakhstan delivered in trust management are not specified to managing directors of investment portfolio when filling the forms established by appendices 7, of 8, of 9, of 10, of 15, of 16, 17 and 18 to this resolution.

3. Recognize invalid regulatory legal acts of the Republic of Kazakhstan, and also structural elements of some regulatory legal acts of the Republic of Kazakhstan according to the list according to appendix 60 to this resolution.

4. To provide to department of statistics of the financial market 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) placement of this resolution on official Internet resource of National Bank after its official publication;

3) within ten working days after state registration of this resolution submission to Legal department of data on execution of the actions provided by the subitem 2) of this Item and Item 5 of this resolution.

5. 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.

6. To impose control of execution of this resolution on the vice-chairman of National Bank Abylkasymova M. E.

7. This resolution becomes effective since January 1, 2020 and is subject to official publication.

Chairman of National Bank

E.Dosayev

It is approved

Committee according to the statistics Ministries of national economy of the Republic of Kazakhstan

"___" _____________ 2019

 

Appendix 1

to the Resolution of Board of National Bank of the Republic of Kazakhstan of November 28, 2019 No. 211

The list of the reporting of the licensees performing activities in the security market, the single operator

The reporting of the licensees performing activities in the security market of the single operator includes:

1) the report on the securities acquired at the expense of own assets;

2) the operations statement the return repo and repo made at the expense of own assets;

3) the report on the deposits and money considered as a part of own assets;

4) the report on investments into the capital of other legal entities at the expense of own assets;

5) the report on the issued loans and receivables considered as a part of own assets and assets of clients;

6) report on investment funds;

7) the report on structure of the investment portfolio acquired for the asset account of clients;

8) report on structure of other property of investment fund;

9) the report on the investments of investment fund and other clients in the capital of legal entities which are not joint-stock companies;

10) report on the cost of pension assets;

11) report on structure of investment portfolio of pension assets;

12) report on amounts of pension accruals and number of investors / receivers of voluntary pension contributions;

13) report on retirement benefits;

14) the report on the concluded bargains on investment of assets of clients;

15) the report on the concluded bargains on investment of own assets;

16) the report on committed transactions on investment of assets of clients and own assets in derivative financial instruments;

17) the report on committed transactions on investment of assets of clients and own assets with affiliates;

18) the report on transactions (transactions) with financial instruments, committed (registered) in the unorganized market of the Republic of Kazakhstan and the international (foreign) security markets;

19) data on the organization having the license for implementation of broker and (or) dealer activities in the security market of the Republic of Kazakhstan;

20) report on transactions with derivative financial instruments;

21) the report on remaining balance of the money which is on accounts of the broker;

22) report on rendering services by the broker and (or) dealer;

23) the report on the securities which are in nominal continence;

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

25) the report on accomplishment of prudential standard rates by the organizations exercising control of investment portfolio and (or) broker and (or) dealer activities in the security market;

26) report on observance of limits of investment;

27) the report on the blocked (unexecuted) orders of clients;

28) report on the number of clients of custodian;

29) the report on movement of pension assets on the investment account in national currency;

30) the report on movement of pension assets on the investment account in foreign currency;

31) report on structure of investment portfolio of pension assets;

32) the report on the added and paid commission fees;

33) report on requests for purchase/security sale;

34) the report on results of the biddings by securities with indication of the parties of transactions;

35) the report on requests for transactions of repo with securities;

36) the operations statement repo with securities with indication of their participants;

37) report on requests for purchase/sale of derivative financial instruments;

38) the report on results of the biddings by derivative financial instruments with indication of the parties of transactions;

39) report on requests for purchase/sale of foreign currencies;

40) report on results of the biddings by foreign currencies;

41) report on unexecuted transactions / transactions;

42) the report on the translation of obligations on execution of calculations with participation of custodian;

43) report on members of the organizer of the biddings;

44) the report on the securities entering certain sectors (categories) of the list of the organizer of the biddings;

45) the report on financial instruments, except for the securities entering the list of the organizer of the biddings;

46) report on amounts of transactions;

47) report on capitalization of the security market;

48) report on customer accounts;

49) the report on transactions with the faces tied with the organizer of the biddings by the special relations concluded during month under report, and also operating on reporting date, and the register of faces tied with the organizer of the biddings by the special relations;

50) report on committed transactions on investment of own assets;

51) calculation of credit risk;

52) disaggregation of coefficient of current liquidity;

53) report on accomplishment of prudential standard rates;

54) the report about net - requirements and net - obligations of the subjects using services of the clearing organization;

55) the report on the subjects using services of the clearing organization;

56) the report on the financial instruments accepted on clearing servicing;

57) the report on the subjects using services of the clearing organization, from bad faith fulfilling the obligations according to transactions.

Appendix 2

to the Resolution of Board of National Bank of the Republic of Kazakhstan of November 28, 2019 No. 211

Form

The form intended for collection of administrative data

It is represented: in National Bank of the Republic of Kazakhstan

The form of administrative data is placed on Internet resource: www.nationalbank.kz

The report on the securities acquired at the expense of own assets

Index of form of administrative data: 1 RCB_CBSA

Frequency: monthly

Accounting period: as of "_____" _______________ 20 __ years

Group of people of representing: managing directors of investment portfolio; brokers and (or) dealers; organizer of the biddings

Form

The table "The securities acquired at the expense of own assets

 

(in thousands of tenges)

No. of payment order

Name of the issuer

Country of the issuer

Security type

Identification number

Number of securities


in total

including the encumbered securities


the encumbered securities, all

including the securities transferred to repo


1

2

3

4

5

6

7

8


1

Government securities of the Republic of Kazakhstan














1.1.































2

Non-state issued securities of the organizations of the Republic of Kazakhstan














2.1.

securities of banks of the second level














2.1.1.































2.2.

securities of legal entities, except for banks of the second level














2.2.1.































3

Securities of foreign states














3.1.































4

Non-state securities of issuers of nonresidents of the Republic of Kazakhstan














4.1.































5

Securities of international financial institutions














5.1.































6

Shares














6.1.































7

Total














continuation of the table:

Currency of acquisition of security

Purchase price for one security

Period

Purchase value of securities

Nominal value

date of registration

repayment date

currency

cost of one security

9

10

11

12

13

14

15













continuation of the table:

Book value of securities

in total

discount / award

the added remuneration

positive / negative adjustment

the encumbered securities, all

including the securities transferred to repo

For information only: the created reserves (provisions)

16

17

18

19

20

21

22

 …













continuation of the table:

Accounting category

Rating

The current coupon rate in portfolio

for date of registration

on reporting date

23

24

25

26







Name ______________________ Address _____________________________

_________________ phone E-mail address _____________________

Исполнитель_____________________________________ _____________________

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

The chief accountant or person authorized on signing of the report

_______________________________________________________ ______________

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

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

_______________________________________________________ ______________

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

Date "____" ______________ 20 __ years

Appendix

to the Report form about the securities acquired at the expense of own assets

The explanation on filling of form of administrative data
"The report on the securities acquired at the expense of own assets" (index: 1 RCB_CBSA, frequency: monthly)

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 "The Report on the Securities Acquired at the expense of Own Assets" (further - the Form).

2. The form is developed according to article 3 of the Law of the Republic of Kazakhstan of July 2, 2003 "About the security market".

3. The form is constituted by monthly managing investment portfolio, the broker and (or) the dealer, the organizer of the biddings 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 or persons authorized on signing of the report and the contractor.

Chapter 2. The explanation on filling of the Form

5. In columns 2 and 3 the name of the issuer of security and the country of its residence is specified.

6. In column 4 the type of the acquired security with indication of its type is specified.

7. In column 5 the security identification number, concerning the rights of requirements for obligations of the issuer on issued securities which circulation period expired is specified, and the issuer does not fulfill obligations on their repayment - the identifier of rights to claim.

8. In column 6 the quantity of the acquired securities in pieces is specified. Debt securities are specified at par value in release currency.

9. In column 7 the quantity of the encumbered securities is specified reporting date, including the number of the securities transferred to repo on reporting date. Debt securities are specified at par value in release currency.

10. In column 8 the quantity of the encumbered securities transferred to repo on reporting date is specified. Debt securities are specified at par value in release currency.

11. In columns 9 and 14 currency codes are specified according to the national qualifier of the Republic of Kazakhstan to RK 07 ISO 4217-2012 Oil Company "Codes for designation of currencies and funds".

12. In column 10 the price, to within four signs after comma, reflected in the source document which confirms implementation of the transaction (the report of the broker and (or) dealer, the confirmation received on the international interbank translation system of information and making payments (SWIFT) in tenge is specified. The price of debt securities is reflected as a percentage to nominal value, to within four signs after comma, taking into account the saved-up and not paid remuneration. In case of payment of the acquired security (except for debt securities) in foreign currency, this amount is reflected at the market rate of currency exchange which developed for date of payment under the transaction.

13. In column 11 date of initial recognition in financial accounting is specified.

14. In column 12 repayment date of debt securities is specified.

15. In column 13 the purchase value of securities, including the expenses which are directly connected with acquisition, including the remunerations and commission charges paid to agents, consultants, brokers (dealers), charges of stock exchanges, and also banking services on the translation, reduced by the size of the percent paid by the buyer to the seller is specified (in the presence of that). In case of payment of the acquired security in foreign currency, this amount is reflected at the market rate of currency exchange which developed for date of payment under the transaction.

16. Columns 14 and 15 are filled in according to debt securities. In column 15 the monetary value of bond value determined in case of its release on which the remuneration expressed as a percentage according to the coupon bond, and also the amount which is subject to payment to the bondholder in case of its repayment is charged is specified. The amount is specified in release currency.

17. In column 16 the cost of securities reflected in financial accounting is specified.

18. In column 17 unamortized part of discount (with minus sign) or awards is specified (in absolute expression).

19. In column 18 it is specified the added, but not earned rewards. When filling this column according to debt securities - the coupon is specified, according to shares dividends are specified.

20. In column 19 positive or negative adjustment is specified.

21. In column 20 the cost of the encumbered securities, including the cost of the securities transferred to repo on reporting date, specified in financial accounting is specified.

22. In column 21 the cost of the securities transferred to repo on reporting date, specified in financial accounting is specified.

23. In column 22 the size of reserves (provisions) created according to international accounting standards is specified. The size of reserves (provisions) is specified in absolute expression.

24. In column 23 the category of security "carried at fair value through other comprehensive income", "carried at fair value through profit or loss" or "considered on depreciated cost" is specified.

25. When filling columns 24 and 25 security rating on bonds, the rating of the issuer according to shares, score of the country on government securities assigned to one of the rating agencies specified in Item 3 of the resolution of Board of National Bank of the Republic of Kazakhstan of December 24, 2012 to 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" is specified (it is registered in the Register of state registration of regulatory legal acts at No. 8318). In the absence of rating in columns 24 and 25 it is specified "there is no rating". These columns are not filled in on government securities of the Republic of Kazakhstan.

26. In column 26 the coupon rate on debt financial instruments is specified date of representation of the Form.

27. Columns 7, of 8, 20 and 21 are filled in concerning the securities specified in columns 6 and 16.

28. 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 November 28, 2019 No. 211

Form

The form intended for collection of administrative data

It is represented: in National Bank of the Republic of Kazakhstan

The form of administrative data is placed on Internet resource: www.nationalbank.kz

The operations statement the return repo and repo made at the expense of own assets

Index of form of administrative data: 1 RCB_REPO_SA

Frequency: monthly

Accounting period: as of "_____" _______________ 20 __ years

Group of people of representing: managing directors of investment portfolio; brokers and (or) dealers; organizer of the biddings

Form

The table "Transactions the Return Repo and Repo Made at the expense of Own Assets" (in thousands of tenges)

No. of payment order

Name of the issuer

Country of the issuer

Security type

Identification number

Number of securities

Currency of nominal value

Period

Date of opening of transaction

Closing date of transaction

1

2

3

4

5

6

7

8

9

1

Transactions the return repo















1.1.

Direct method















1.1.1.

















1.2.

Automatic method















1.2.1.

















2

Transactions of repo















2.1.

Direct method















2.1.1.

















2.2.

Automatic method















2.2.1.

















continuation of the table:

Transaction term in days

Remuneration rate

Book value

For information only: the created reserves (provisions)

Rating

Category of the list of stock exchange

for date of the conclusion of the transaction

on reporting date

for date of the conclusion of the transaction

on reporting date

10

11

12

13

14

15

16

17















Name ______________________ Address _____________________________

_________________ phone E-mail address _____________________

Исполнитель_____________________________________ _____________________

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

The chief accountant or person authorized on signing of the report

_______________________________________________________ ______________

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

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

_______________________________________________________ ______________

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

Date "____" ______________ 20 __ years

Appendix

to the Report form about transactions the return repo and repo made at the expense of own assets

The explanation on filling of form of administrative data
"The operations statement the return repo and repo made at the expense of own assets" (index: 1 RCB_REPO_SA, frequency: monthly)

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 "The Operations Statement the Return Repo and Repo Made at the expense of Own Assets" (further - the Form).

2. The form is developed according to article 3 of the Law of the Republic of Kazakhstan of July 2, 2003 "About the security market".

3. The form is constituted by monthly managing investment portfolio, the broker and (or) the dealer, the organizer of the biddings 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 or persons authorized on signing of the report and the contractor.

Chapter 2. The explanation on filling of the Form

5. In column 4 the type of the security transferred and (or) acquired on transactions of repo and (or) the return by repo with indication of its type is specified.

6. In column 6 the quantity of the transferred and (or) acquired securities on transactions of repo and (or) the return is specified to repo.

7. In the column 7 currency codes are specified according to the national qualifier of the Republic of Kazakhstan to RK 07 ISO 4217-2012 Oil Company "Codes for designation of currencies and funds".

8. When filling columns 14 and 15 security rating on bonds, the rating of the issuer according to shares, score of the country on government securities assigned to one of the rating agencies specified in Item 3 of the resolution of Board of National Bank of the Republic of Kazakhstan of December 24, 2012 to 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" is reflected (it is registered in the Register of state registration of regulatory legal acts at No. 8318). In the absence of rating in columns 14 and 15 it is specified "there is no rating". These columns are not filled in on government securities of the Republic of Kazakhstan.

9. In columns 16 and 17 the category of securities of residents of the Republic of Kazakhstan according to the official listing of stock exchange of the Republic of Kazakhstan is specified. In the absence of category of the list of stock exchange of the Republic of Kazakhstan in columns 16 and 17 it is specified "there is no listing". These columns are not filled in on securities of nonresidents of the Republic of Kazakhstan and government securities of the Republic of Kazakhstan.

10. In case of lack of data, the Form is represented with zero balances.

Appendix 4

to the Resolution of Board of National Bank of the Republic of Kazakhstan of November 28, 2019 No. 211

Form

The form intended for collection of administrative data

It is represented: in National Bank of the Republic of Kazakhstan

The form of administrative data is placed on Internet resource: www.nationalbank.kz

The report on the deposits and money considered as a part of own assets

Index of form of administrative data: 1 RCB_Vklady_SA

Frequency: monthly

Accounting period: as of "_____" _______________ 20 __ years

Group of people of representing: managing directors of investment portfolio; brokers and (or) dealers; organizer of the biddings

Form

Table "the deposits and money considered as a part of own assets"

 

(in thousands of tenges)

No. of payment order

Name of the bank/organization

Rating

Contribution currency

Date of the conclusion and agreement number of bank deposit

Deposit term (in days)


for date of placement of contribution

on reporting date

date

number


1

2

3

4

5

6

7

8


1.

Money on accounts in banks of the second level














1.1.































2

On-demand deposits














2.1.































3

Term deposits














3.1.































4

Conditional deposits














4.1.































5.

Money on accounts in the organizations performing separate types of banking activities














5.1.































6.

Money on accounts in the organizations rendering services in the security market














6.1.































7.

Money in transit














7.1.































8

In total














continuation of the table:

Remuneration rate on contribution (as a percentage annual)

The amount of principal debt on contribution

Book value

For information only: the created reserves (provisions)

Note

in tenge

in foreign currency

in total

including the added remuneration on contribution

9

10

11

12

13

14

15













Name ______________________ Address _____________________________

_________________ phone E-mail address _____________________

Исполнитель_____________________________________ _____________________

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

The chief accountant or person authorized on signing of the report

_______________________________________________________ ______________

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

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

_______________________________________________________ ______________

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

Date "____" ______________ 20 __ years

Appendix

to the Report form about the deposits and money considered as a part of own assets

The explanation on filling of form of administrative data
"The report on the deposits and money considered as a part of own assets" (index: 1 RCB_Vklady_SA, frequency: monthly)

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 "The Report on the Deposits and Money Considered as a part of Own Assets" (further - the Form).

2. The form is developed according to article 3 of the Law of the Republic of Kazakhstan of July 2, 2003 "About the security market".

3. The form is constituted by monthly managing investment portfolio, the broker and (or) the dealer, the organizer of the biddings 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 or persons authorized on signing of the report and the contractor.

Chapter 2. The explanation on filling of the Form

5. When filling columns 3 and 4 the bank rating of the second level and the organization performing separate types of banking activities, appropriated to one of the rating agencies specified in Item 3 of the resolution of Board of National Bank of the Republic of Kazakhstan of December 24, 2012 to 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" is reflected (it is registered in the Register of state registration of regulatory legal acts at No. 8318). In the absence of rating in columns 3 and 4 it is specified "there is no rating". These columns are not filled in on deposits in National Bank of the Republic of Kazakhstan.

6. In the column 5 currency codes are specified according to the national qualifier of the Republic of Kazakhstan to RK 07 ISO 4217-2012 Oil Company "Codes for designation of currencies and funds".

7. In column 8 the deposit term on bank deposit agreement is specified, in case of prolongation of contribution term is reflected taking into account prolongation.

8. In columns 10 and 11 the amount of placement of own assets of contribution in National Bank of the Republic of Kazakhstan, in the banks of the second level and the organizations performing separate types of banking activities is specified. In case of placement of assets in foreign currency deposit, column 11 with simultaneous reflection of equivalent in national currency - tenge in the column 10, in case of placement of assets in domestic currency deposit - tenge is filled in, column 10 is filled in.

9. If there are ownership limitations on contribution, then in column 15 the word "yes" is specified.

10. The table is filled in with indication of deposit amount and money separately on each currency, bank of the second level, the organization performing separate types of banking activities, and the organizations, the rendering service in the security market in the relevant agreement. Own money of the managing director of investment portfolio, the broker and (or) the dealer on accounts in the central depositary of Astana International Exchange intended for payment under securities on Astana International Exchange (further - AIX), are specified in line 6 of the Form.

11. In case of lack of data, the Form is represented with zero balances.

Appendix 5

to the Resolution of Board of National Bank of the Republic of Kazakhstan of November 28, 2019 No. 211

Form

The form intended for collection of administrative data

It is represented: in National Bank of the Republic of Kazakhstan

The form of administrative data is placed on Internet resource: www.nationalbank.kz

The report on investments into the capital of other legal entities at the expense of own assets

Index of form of administrative data: 1 RCB_IKDU

Frequency: monthly

Accounting period: as of "_____" _______________ 20 __ years

Group of people of representing: managing directors of investment portfolio; brokers and (or) dealers; organizer of the biddings

Form

The table "Investments into the Capital of Other Legal Entities at the expense of Own Assets" (in thousands of tenges)

Name of the legal entity

Purchase value

Book value

Share in the authorized capital (in %)

Date of acquisition

Note

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