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, 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 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 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.

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

Chapter 1. General provisions

1. These rules of issue of permission to opening of bank, branch of nonresident bank of the Republic of Kazakhstan (further – Rules) are developed according to the Administrative procedural Procedure Code of the Republic of Kazakhstan, the laws of the Republic of Kazakhstan "About banks and banking activity in the Republic of Kazakhstan" (further – the Law on banks), "About state regulation, control and supervision of the financial market and the financial organizations", "About the state services" (further – the Law on the state services), "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).

Information on the made changes and (or) additions in Rules is placed on official Internet resource of authorized body, also the Single contact center within 5 (five) working days after state registration in judicial authorities of the corresponding regulatory legal act goes to the operator of information and communication infrastructure of "the electronic government".

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 laws of the Republic of Kazakhstan "About the electronic document and the digital signature" and "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 main requirements to rendering the state service is given in appendix 3 to Rules.

Issue to uslugopoluchatel of consent to implementation of the subspecies of the state service specified in the List of the main requirements to rendering the state service is performed according 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 and the Law of the Republic of Kazakhstan "About holidays in 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 information systems used for rendering the state services, or service of digital documents 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 and (or) documents with the expired effective period 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.

In case of identification of the bases for refusal in rendering the state service the authorized body notifies uslugopoluchatel on the provisional solution about refusal in rendering the state service, and also time and the place (method) of carrying out hearing for provision to uslugopoluchatel of opportunity to express line item according to the provisional solution.

The notification on hearing goes at least in 3 (three) working days prior to decision making about refusal in rendering the state service. Hearing is carried out no later than 2 (two) working days from the date of obtaining by uslugopoluchatel of the notification on the provisional solution about refusal in rendering the state service.

By results of consideration of the documents submitted by uslugopoluchatel of hearing the responsible division 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.

In the presence of the bases for refusal in rendering the state service, the term of consideration of the application can be extended by the motivated decision of the head of the service provider or his deputy for reasonable time, but no more than up to 2 (two) months in view of need of establishment of the actual circumstances important for the correct consideration of the application on what the uslugopoluchatel within 3 (three) working days from the date of prolongation of term, according to Item 3 of Article 76 of the Administrative procedural Procedure Code of the Republic of Kazakhstan is informed.

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.

The notification on issue of permission to opening of bank, branch of nonresident bank of the Republic of Kazakhstan goes to uslugopoluchatel and to The Government for Citizens State corporation.

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 (failure to act) of the service provider and (or) his officials concerning rendering the state services is made in writing.

Consideration of the claim concerning rendering the state services is made by the higher official of the service provider, authorized body by assessment and control of quality of rendering the state services.

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.

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 from "private office" (mark about delivery, registration, execution, the answer about consideration or refusal in consideration).

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.

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.

14. In the claim are specified:

1) surname, name, middle name (in case of its availability), individual identification number, the postal address of uslugopoluchatel (physical person) or full name, the postal address, business and identification number of uslugopoluchatel (legal entity);

2) the name of the service provider and (or) surname, name, middle name (in case of its availability) the official the decision, action (failure to act) of which (which) it is appealed (are appealed);

3) circumstances on which person making the complaint bases the requirements and proofs;

4) reference number and date of submission of the claim;

5) the list of the documents attached to the claim.

The claim is signed uslugopoluchately or-faced, the being his representative.

15. If other is not provided by the law, appeal to the court is allowed after appeal in pre-judicial procedure.

Appendix 1

to Rules of issue of permission to opening of bank, branch of nonresident bank of the Republic of Kazakhstan

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 issue consent to acquisition ________________________________

____________________________________________________________________
         (surname, name, middle name (in case of its availability) physical person,
                    name of the 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)

3) to issue permission to creation __________________________________

____________________________________________________________________

(surname, name, middle name (in case of its availability) physical person, the name

legal entity (in the presence))

affiliated organization or considerable equity participation

____________________________________________________________________
                                  (necessary to choose)

____________________________________________________________________;
                        (the name of the opened bank)

(it is filled in case of need)

Data on conditions and procedure for share acquisition of bank, including the description

the sources and means used for share acquisition _______

____________________________________________________________________

The founder (founders) confirms (confirm) reliability

the documents and data enclosed to the application, and also timely representation

to authorized body of information requested in connection with consideration

this statement.

The founder (founders) represents (represent) consent to collection and processing

personal data and on use of data, components protected

the law secret, containing in information systems.

Appendix

(specify the list of the directed documents and data, number of copies and sheets on each of them):

____________________________________________________________________

____________________________________________________________________

__________________________________________
  (digital signature of the applicant, date)

Disclaimer! This text was translated by AI translator and is not a valid juridical document. No warranty. No claim. More info