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THE RESOLUTION OF BOARD OF THE AGENCY OF THE REPUBLIC OF KAZAKHSTAN ON REGULATION AND DEVELOPMENT OF THE FINANCIAL MARKET

of March 30, 2020 No. 36

About approval of Rules of issue of permission to opening of bank, branch of nonresident bank of the Republic of Kazakhstan and the bases of refusal in issue of permission to opening of bank, Rules of licensing of banks, branches of nonresident banks of the Republic of Kazakhstan on carrying out the banking and other activities provided by the bank law of the Republic of Kazakhstan, licensing on carrying out the banking and other activities performed by Islamic banks, branches of Islamic nonresident banks of the Republic of Kazakhstan

(as amended on 25-01-2021)

According to the Law of the Republic of Kazakhstan of August 31, 1995 "About banks and banking activity in the Republic of Kazakhstan" Board of the Agency of the Republic of Kazakhstan on regulation and development of the DECIDES: financial market

1. Approve:

1) Rules of issue of permission to opening of bank, branch of nonresident bank of the Republic of Kazakhstan and the basis of refusal in issue of permission to opening of bank according to appendix 1 to this resolution;

2) Rules of licensing of banks, branches of nonresident banks of the Republic of Kazakhstan on carrying out the banking and other activities provided by the bank law of the Republic of Kazakhstan, licensing on carrying out the banking and other activities performed by Islamic banks, branches of Islamic nonresident banks of the Republic of Kazakhstan according to appendix 2 to this resolution.

2. 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 3 to this resolution.

3. To provide to department of bank regulation 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 the Agency of the Republic of Kazakhstan on regulation and development of the financial market 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 4 of this resolution.

4. To management of the international relations and external communications 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.

5. To impose control of execution of this resolution on the supervising vice-chairman of the Agency of the Republic of Kazakhstan on regulation and development of the financial market.

6. This resolution becomes effective after twenty one calendar days after day of its first official publication.

The chairman of the Agency of the Republic of Kazakhstan on regulation and development of the financial market

It is approved

Ministry of national economy of the Republic of Kazakhstan

"___" _____________ 2020

 

It is approved

Ministry of digital development, innovations and aerospace industry of the Republic of Kazakhstan

"____ " ____________ 2020

 

Appendix 1

to the Resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of March 30, 2020 No. 36

Rules of issue of permission to opening of bank, branch of nonresident bank of the Republic of Kazakhstan and the basis of refusal in issue of permission to opening of bank

Chapter 1. General provisions

1. These rules of issue of permission to opening of bank, branch of nonresident bank of the Republic of Kazakhstan and the basis of refusal in issue of permission to opening of bank (further – Rules) are developed according to the laws of the Republic of Kazakhstan of August 31, 1995 "About banks and banking activity in the Republic of Kazakhstan" (further – the Law on banks), of July 4, 2003 "About state regulation, control and supervision of the financial market and the financial organizations", of April 15, 2013 "About the state services" (further – the Law on the state services), of May 16, 2014 "About permissions and notifications" (further – the Law on permissions and notifications) and determine procedure for issue by authorized body by regulation, control and supervision of the financial market and the financial organizations (further – authorized body, the service provider) permissions to opening of bank, branch of nonresident bank of the Republic of Kazakhstan (further – permission, the state service) and the refusal bases in issue of permission to opening of bank.

2. In Rules the concepts applied in the values specified in the Law on banks, the Law on the state services, the Law on permissions and notifications, the Law of the Republic of Kazakhstan of January 7, 2003 "About the electronic document and the digital signature" and the Law of the Republic of Kazakhstan of November 24, 2015 "About informatization are used".

Chapter 2. Approval procedure on opening of bank, branch of nonresident bank of the Republic of Kazakhstan

3. For receipt of permission to opening of bank the physical person or legal entity (further – the applicant, uslugopoluchatel) submits in authorized body the application for issue of permission to opening of bank in form according to appendix 1 to Rules (further – the statement) through the web portal of "the electronic government" www.egov.kz (further – the portal).

4. For receipt of permission to opening of branch of nonresident bank of the Republic of Kazakhstan the nonresident bank of the Republic of Kazakhstan (further – the applicant, uslugopoluchatel) submits in authorized body the application for issue of permission to opening of branch of nonresident bank of the Republic of Kazakhstan in form according to appendix 2 to Rules (further – the statement) through the portal.

5. The list of the documents necessary for rendering the state service, the bases for refusal in rendering the state service, the main requirements to rendering the state service including characteristics of process, form, content and result of rendering, and also other data taking into account features of provision of the state service and the term of rendering the state service are provided in the standard of the state service "Issue of Permission to Opening of Bank, Branch of Nonresident Bank of the Republic of Kazakhstan" according to appendix 3 to Rules.

In case of the direction uslugopoluchately statements through the portal in "private office" the status about acceptance of request for rendering the state service with indication of date and time of receipt of result is automatically displayed.

6. The worker of the service provider, the representative on acceptance and registration of correspondence, in day of receipt of the statement performs its acceptance, registration and the direction on execution in the division responsible for rendering the state service (further – responsible division). In case of receipt of the statement of uslugopoluchatel after the termination of working hours, in days off and holidays according to the labor law of the Republic of Kazakhstan, reception of applications is performed the next working afternoon.

7. The employee of responsible division within 10 (ten) working days from the date of registration of a statement checks completeness of the submitted documents.

The authorized body receives from the corresponding state information systems through lock of "the electronic government" of the data, specified in documents:

proving the identity of the physical person – the resident of the Republic of Kazakhstan;

confirming absence at the physical person – the resident of the Republic of Kazakhstan of not removed or unspent conviction;

about state registration (re-registration) of the legal entity – the resident of the Republic of Kazakhstan.

In case of factual determination of incompleteness of the submitted documents the responsible division within 10 (ten) working days from the moment of receipt of documents of uslugopoluchatel prepares and directs motivated refusal in further review of the statement through the portal to "private office" of uslugopoluchatel.

8. After factual determination of completeness of the submitted documents the responsible division within 50 (fifty) working days considers documents regarding their compliance to requirements of the bank law of the Republic of Kazakhstan, prepares and sends for consideration of Government of the service provider the draft of the resolution of Government of the service provider on issue or about refusal in issue of permission to opening of bank, branch of nonresident bank of the Republic of Kazakhstan. The government of the service provider makes the decision on issue of permission to opening of bank, branch of nonresident bank of the Republic of Kazakhstan or on refusal in issue of permission to opening of bank, branch of nonresident bank of the Republic of Kazakhstan on the bases, stipulated in Item the 9th appendices 3 to Rules.

The employee of responsible division within 4 (four) working days following behind day of receipt of the resolution of Government of the service provider by responsible division (within the term of rendering the state service), sends to "private office" of uslugopoluchatel through the portal the notification on issue of permission to opening of bank, branch of the nonresident bank of the Republic of Kazakhstan in electronic form signed by the digital signature of the authorized person of the service provider with appendix of the electronic copy of permission to opening of bank, branch of nonresident bank of the Republic of Kazakhstan or the motivated answer about refusal in provision of the state service.

9. Information on stage of rendering the state service is updated in the automatic mode in information system of monitoring of rendering the state services.

10. In case of discrepancy of the submitted documents to requirements of the Law on banks also Governed, except for the refusal bases in issue of permission to opening of bank, branch of nonresident bank of the Republic of Kazakhstan, stipulated in Article 24 and Item 3 of article 13-1 of the Law on banks, the authorized body during the term of their consideration specified in Item 1 of Article 23 and Item 5 of article 13-1 of the Law on banks sends the applicant the letter with notes for their elimination and submission of the modifed (corrected) documents conforming to requirements of the bank law of the Republic of Kazakhstan.

The authorized body does not take cognizance of the electronic copies of documents provided by Rules, having erasures, additions or the crossed-out words.

11. Permission to opening of bank, branch of nonresident bank of the Republic of Kazakhstan is issued in form according to appendix 4 to Rules.

12. The documents issued by body of financial supervision, competent authorities or officials of foreign states are subject to legalization or apostilization according to the requirements of the legislation of the Republic of Kazakhstan or international treaties ratified by the Republic of Kazakhstan (except for identity documents of the physical person – the nonresident of the Republic of Kazakhstan).

The documents submitted in foreign language are translated into the Kazakh and Russian languages and are subject to the notarial attestation according to the legislation of the Republic of Kazakhstan on notariate.

Chapter 3. Procedure for appeal of decisions, actions (failure to act) of the service provider and (or) his officials concerning rendering the state services

13. Appeal of decisions, actions (bezdeystviye) of the service provider and (or) his officials concerning rendering the state services is made in writing addressed to the head of the service provider to the address placed on official Internet resource of the service provider.

In the claim:

physical person its surname, name, and also at will middle name (are specified in case of its availability), the postal address;

the legal entity its name, the postal address, reference number and date are specified.

The appeal is signed by uslugopoluchatel.

Confirmation of adoption of the claim is its registration (stamp, the entering number and date) in office of the service provider with indication of surname and initials of person which accepted the claim, term and the place of receipt of the answer to the made complaint.

The claim of uslugopoluchatel concerning rendering the state services which arrived to the service provider is considered within 5 (five) working days from the date of its registration.

In case of the address through the portal information on procedure for appeal is provided by phone Single contact center: 8-800-080-7777 or 1414.

When sending the claim through the portal information on the address which is updated during processing of the address by the service provider is available to uslugopoluchatel in private office (marks about delivery, registration, execution, the answer about consideration or refusal in consideration).

14. In case of disagreement with results of the rendered state service the uslugopoluchatel addresses with the claim to authorized body by assessment and control of quality of rendering the state services.

The claim of uslugopoluchatel which arrived to authorized body by assessment and control of quality of rendering the state services is considered within 15 (fifteen) working days from the date of its registration.

15. In case of disagreement with results of the rendered state service the uslugopoluchatel takes a legal action.

Appendix 1

to Rules of issue of permission to opening of bank, branch of nonresident bank of the Republic of Kazakhstan and the refusal bases in issue of permission to opening of bank

Form

Statement for issue of permission to opening of bank

     ____________________________________________________________________
   (surname, name, middle name (in case of its availability) physical person, individual
      identification number (in the presence), name of the legal entity,
       business identification number (in the presence), surname, name, middle name
              (in case of its availability) the representative of the legal entity)

___________________________________________________________________________
          (the reference on notarially or otherwise the certified document,

__________________________________________________________________________
      confirming powers of the applicant on submission of this statement

____________________________________________________________________________
                           on behalf of founders)

____________________________________________________________________________
       (place of employment of the applicant and the position held by it, the residence,

___________________________________________________________________________
                          legal address)

asks according to the protocol of the constituent assembly No. ____ from "___" ____________ years:

1) to issue permission to opening _______________________________________________
__________________________________________________________________________________;
             (the name and the location of the created bank)

2) to grant the license for carrying out (to specify currency type – in national and (or) foreign):

banking activities:


____________________________________________________________________
____________________________________________________________________

other transactions provided by the bank law of the Republic of Kazakhstan:


____________________________________________________________________
____________________________________________________________________;

3) to issue consent to acquisition _____________________________________
___________________________________________________________________________
 (surname, name, middle name (in case of its availability) physical person, the name
 legal entity (in the presence)) status of the large member of bank and (or)
                           bank holding;
                             (necessary to choose)
                 (it is filled in case of need)

4) to issue permission to creation ______________________________________
__________________________________________________________________________
  (surname, name, middle name (in case of its availability) physical person,
             name of the legal entity (in the presence))

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