RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of April 21, 2020 No. 54

About approval of the list, forms, terms and Rules of submission of the reporting by banks of the second level

According to subitem 65-2) of part two of article 15 of the Law of the Republic of Kazakhstan "About National Bank of the Republic of Kazakhstan", Item 1 of article 54 of the Law of the Republic of Kazakhstan "About banks and banking activity in the Republic of Kazakhstan" and the subitem 2) of Item 3 of article 16 of the Law of the Republic of Kazakhstan "About the state statistics" the Board of National Bank of the Republic of Kazakhstan DECIDES:

1. Approve:

1) the list of the reporting of banks of the second level according to appendix 1 to this resolution;

2) report form about remaining balance on balance and off-balance sheet accounts according to appendix 2 to this resolution;

3) report form about separate indicators of activities of bank according to appendix 3 to this resolution;

4) report form about off-exchange transactions with foreign currency according to appendix 4 to this resolution;

5) report form on interbank assets and liabilities according to appendix 5 to this resolution;

6) report form about structure of securities portfolio according to appendix 6 to this resolution;

7) report form about investments of bank into the capital of other legal entities according to appendix 7 to this resolution;

8) report form about the other classified assets and large debtors according to appendix 8 to this resolution;

9) report form about the issued loans and rates of remuneration on them according to appendix 9 to this resolution;

10) report form about the faces tied with bank the special relations and transactions with them according to appendix 10 to this resolution;

11) report form about transactions with cash according to appendix 11 to this resolution;

12) report form on accounts and deposits of resident clients according to appendix 12 to this resolution;

13) report form about the main sources of the attracted money according to appendix 13 to this resolution;

14) is not valid from December 1, 2023.

15) report form on amounts and rates of remunerations (including to maximum rates of remuneration) deposits of physical persons according to appendix 15 to this resolution;

16) report form about monitoring of the events of operational risk which entailed losses according to appendix 16 to this resolution;

17) report form about the income paid to leading employees of bank according to appendix 17 to this resolution;

18) report form about bank of the second level, clients of bank of the second level, products and services of bank of the second level, cash and non-cash transactions, the external economic contracts of clients of bank of the second level and measures for counteraction of legalization (washing) of income gained in the criminal way and to financing of terrorism according to appendix 18 to this resolution;

19) report form about outflows and inflows according to schedules of execution of requirements and obligations according to appendix 19 to this resolution;

20) Rules of submission of the reporting by banks of the second level according to appendix 20 to this resolution.

2. Banks of the second level represent in electronic format to National Bank of the Republic of Kazakhstan:

1) the report provided by the subitem 2) of Item 1 of this resolution – daily, no later than three working days following behind reporting day, except for:

reports for the first, second and last working days of month which are represented no later than four working days following behind reporting day;

the additional report for the last working day of year (taking into account final turnovers on intra banking activities) which is represented (including in the absence of turnovers on intra banking activities) no later than January thirty first of the year following complete financial year;

2) the report provided by the subitem 3) of Item 1 of this resolution – monthly, no later than the seventh working day of the month following month under report.

The additional report for the last working day of year (taking into account final turnovers on intra banking activities) is submitted (in the presence of turnovers on intra banking activities) no later than January thirty first of the year following complete financial year;

3) the report provided by the subitem 4) of Item 1 of this resolution – daily, no later than the working day following behind reporting day;

4) the reports provided by subitems 5), 6), 7) and 19) of Item 1 of this resolution – monthly, no later than the seventh working day of the month following month under report;

5) the report provided by the subitem 8) of Item 1 of this resolution:

regarding data on the other classified assets – monthly, no later than the eleventh working day of the month following month under report, except for the additional report on the other classified assets for December (taking into account final turnovers on intra banking activities) which is submitted (in the presence of turnovers on intra banking activities) no later than January thirty first of the year following complete financial year;

regarding the information about large debtors – quarterly, no later than the fifteenth following reporting quarter;

6) the report provided by the subitem 9) of Item 1 of this resolution – monthly, no later than the eleventh working day of the month following month under report;

7) the report provided by the subitem 10) of Item 1 of this resolution:

regarding the register of faces tied with bank the special relations – monthly, no later than the seventh working day of the month following month under report;

regarding data on transactions with the faces tied with bank the special relations and the additional information about persons connected with bank the special relations and transactions with them – monthly, no later than the fifteenth working day of the month following month under report;

8) the report provided by the subitem 11) of Item 1 of this resolution – monthly, no later than the thirtieth following month under report;

9) the report provided by the subitem 12) of Item 1 of this resolution – monthly, no later than the eighth working day of the month following month under report;

10) the report provided by the subitem 13) of Item 1 of this resolution – monthly, no later than the fifteenth following month under report;

11) is not valid from December 1, 2023.

12) the report provided by the subitem 15) of Item 1 of this resolution:

monthly, no later than the twelfth working day of the month following month under report;

regarding data on maximum rates on the attracted household deposits with fixed interest rate in national currency – monthly, no later than the second working day after the twentieth calendar day of month under report;

13) the report provided by the subitem 16) of Item 1 of this resolution – quarterly, no later than the thirtieth following reporting quarter;

14) the report provided by the subitem 17) of Item 1 of this resolution – annually, within hundred twenty calendar days upon termination of financial year;

15) the report provided by the subitem 18) of Item 1 of this resolution – annually, no later than thirty six calendar days upon termination of financial year;

The additional reports for December (taking into account final turnovers on intra banking activities) provided by subitems 5), 6), 7), 9), 12) and 15) of Item 1 of this resolution are represented by banks of the second level (in the presence in month under report of turnovers on intra banking activities) no later than January thirty first of the year following complete financial year.

3. Declare invalid the resolution of Board of National Bank of the Republic of Kazakhstan of June 29, 2018 No. 137 "About approval of the list, forms, terms of the reporting of banks of the second level of the Republic of Kazakhstan and Rules of their representation" (it is registered in the Register of state registration of regulatory legal acts at No. 17313, it is published on September 7, 2018 in Reference control bank of regulatory legal acts of the Republic of Kazakhstan).

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 of the Republic of Kazakhstan 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 information and communications - the press service of National Bank of the Republic of Kazakhstan 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 supervising vice-chairman of National Bank of the Republic of Kazakhstan.

7. This resolution becomes effective since July 1, 2020.

It is approved Agency of the Republic of Kazakhstan on regulation and development of the financial market ______________________________ "___" _____________ 2020

It is approved Committee according to the statistics Ministries of national economy of the Republic of Kazakhstan ______________________________ "___" _____________ 2020

Appendix 1

to the Resolution of Board of National Bank of the Republic of Kazakhstan of April 21, 2020 No. 54

List of the reporting of banks of the second level

The reporting of banks of the second level includes:

1) the report on remaining balance on balance and off-balance sheet accounts;

2) report on separate indicators of activities of bank;

3) the report on off-exchange transactions with foreign currency;

4) report on interbank assets and liabilities;

5) report on structure of securities portfolio;

6) report on investments of bank into the capital of other legal entities;

7) the report on the other classified assets and large debtors;

8) the report on the issued loans and rates of remuneration on them;

9) the report on the faces tied with bank the special relations and transactions with them;

10) the operations statement with cash;

11) report on accounts and deposits of resident clients;

12) the report on the main sources of the attracted money;

13) report on amounts and rates of remunerations of deposits of physical persons;

14) report on amounts and rates of remunerations (including to maximum rates of remuneration) deposits of physical persons;

15) the report on monitoring of the events of operational risk which entailed losses;

16) the income statement, paid to leading employees of bank;

17) the report on bank of the second level, clients of bank of the second level, products and services of bank of the second level, cash and non-cash transactions, the external economic contracts of clients of bank of the second level and measures for counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing;

18) the report on outflows and inflows according to schedules of execution of requirements and obligations.

Appendix 2

to the Resolution of Board of National Bank of the Republic of Kazakhstan of April 21, 2020 No. 54

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 remaining balance on balance and off-balance sheet accounts

Index of form of administrative data: 700-N(D)

Frequency: daily

Accounting period: for "___" ________________ 20 __ years

The group of people, providing information: banks of the second level

Terms of representation of form of administrative data:

daily, no later than three working days following behind reporting day, except for:

reports for the first, second and last working days of month which are represented no later than four working days following behind reporting day

the additional report for the last working day of year (taking into account final turnovers on intra banking activities) which is represented (including in the absence of turnovers on intra banking activities) no later than January thirty first of the year following complete financial year

Form

Table. The report on remaining balance on balance and off-balance sheet accounts

№	Name of indicators	Value
1	2	3
1	Account number
2	Residence sign
3	Code of the sector of economy
4	Code of group of currencies
5	Amount

Name _______________________________________________________

Адрес_______________________________________________________________

________________________________________ phone

E-mail address _________________________

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

The head or person to who function on signing of the report is assigned

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

Date "______" ______________ 20 __ years

Appendix

to report form about remaining balance on balance and off-balance sheet accounts

The explanation on filling of form of administrative data
The report on remaining balance on balance and off-balance sheet accounts (index – 700-N(D), frequency – daily)

Chapter 1. General provisions

1. This explanation determines single requirements for filling of form of the administrative data "The Report on Remaining Balance on Balance and Off-balance Sheet Accounts" (further – the Form).

2. The form is developed according to subitem 65-2) of part two of article 15 of the Law of the Republic of Kazakhstan "About National Bank of the Republic of Kazakhstan", Item 1 of article 54 of the Law of the Republic of Kazakhstan "About banks and banking activity in the Republic of Kazakhstan" and the subitem 2) of Item 3 of article 16 of the Law of the Republic of Kazakhstan "About the state statistics".

3. The form is constituted daily, filled as of the end of reporting day.

The additional report is constituted in the Form annually (including in the absence of turnovers on intra banking activities), filled in as of the end of the last working day of year taking into account final turnovers on intra banking activities.

4. The form is signed by the head or person to who function on signing of the report, and the contractor is assigned.

5. When filling the Form codes are specified according to the reference books placed in the information system "Web Portal of National Bank of the Republic of Kazakhstan".

6. Account numbers in the Form and this explanation are specified according to the Standard chart of accounts of financial accounting in banks of the second level, the mortgage organizations, Development Bank of Kazakhstan joint-stock company and branches of nonresident banks of the Republic of Kazakhstan approved by the resolution of Board of National Bank of the Republic of Kazakhstan of January 31, 2011 No. 3, registered in the Register of state registration of regulatory legal acts at No. 6793 (further – the Standard chart of accounts of banks).

7. All indicators are obligatory for filling, the cases except for specified in this explanation when the indicator is not represented.

Chapter 2. The explanation on filling of the Form

8. In shape data on remaining balance on balance sheet (assets, obligations, equity, the income, expenses) and off-balance (conditional and possible requirements and obligations, accounts of the memorandum to balance) bank accounts of the second level are specified.

9. In shape the following classification of assets and liabilities by terms is accepted:

short-term – up to one year inclusive;

long-term – over one year.

10. In lines 1, of 2, 3 and 4 values get out of the reference books placed in the information system "Web Portal of National Bank of the Republic of Kazakhstan".

11. In lines 2, the 3 and 4 codes corresponding to residence sign, the sector of economy and group of currencies are specified for accounts on which such disaggregation is applicable, taking into account exceptions according to Items 18, of 19, 20 and 21 these explanations.

12. In line 1 the four-digit account number corresponding to the Standard chart of accounts of banks of the second level is specified.

13. In line 2 the residence sign according to the following codification is specified:

the code "1" is resident of the Republic of Kazakhstan;

the code "2" – the nonresident of the Republic of Kazakhstan.

14. In line 3 the code of the sector of economy according to the Rules of application of codes of sectors of economy and purpose of payment approved by the resolution of Board of National Bank of the Republic of Kazakhstan of August 31, 2016 No. 203, registered in the Register of state registration of regulatory legal acts at No. 14365 is specified.

15. In line 4 the code of group of currencies according to the following codification is specified:

the code "1" – the Kazakhstani tenge, national currency of the Republic of Kazakhstan (further – tenge);

the code "2" – freely convertible currency;

the code "3" – other currency types.

16. In lines 2 and 3:

on assets the sign of residence and code of the sector of economy of the debtor (issuer), according to obligations – sign of residence and code of the sector of economy of the creditor is specified;

for accounts 1405, of 1406, of 1425, 1752 and 1864 the sign of residence and code of the sector of economy of the drawer is specified;

for accounts 1201, of 1202, of 1205, of 1206, of 1208, of 1209, of 1452, of 1453, of 1454, of 1456, of 1457, of 1459, of 1481, of 1482, of 1483, of 1485, of 1486, of 1491, of 1492, of 1494, of 1495, of 1744, of 1745, of 1746, 1750 and 1757 the sign of residence and code of the sector of economy of the issuer is specified;

for accounts 2301, of 2303, of 2306, of 2401, of 2402, 2405 and 2406 the sign of residence and code of the sector of economy of the security holder, in the absence of opportunity to determine the security holder – sign of residence and code of the sector of economy of the nominee holder (incorporated trustee) of security is specified.

17. In line 3 on the deposits placed in the organization performing separate types of banking activities, or in the National operator of mail and reflected in accounts of group 1250 "The deposits placed in other banks" the code of the sector of economy "5" is specified.

18. For accounts 1007, 1009, 1603 and 1604:

in line 2 the code "1" for the coins made of precious metals, and the collection coins in national currency issued by National Bank of the Republic of Kazakhstan, the code "2" – for the coins made of precious metals, and collection coins of nonresident issuers of the Republic of Kazakhstan is specified;

in lines 3 and 4 indicators are not filled.

19. In line 3 the indicator is not represented on accounts 1811, of 1812, of 1813, of 1814, of 1815, of 1816, of 1817, of 1818, of 1819, of 1820, of 1821, of 1822, of 1823, of 1824, of 1825, of 1826, of 1827, of 1831, of 1832, of 1833, of 1834, of 1835, of 1836, of 1837, of 1838, of 1839, of 1840, of 1841, of 1842, of 1843, of 1844, of 1845, of 1871, of 1880, of 2811, of 2812, of 2813, of 2814, of 2815, of 2816, of 2817, of 2818, of 2819, of 2820, of 2831, of 2832, of 2833, of 2834, of 2835, of 2836, of 2838, of 2839, of 2871, of 2874, of 2880, of 3561, of 3562, 3563 and 3564.

20. In line 4 the indicator is not represented on accounts 1013, of 1727, of 2016, of 2126, of 2212, of 2216, 2708 and 2717.

21. In lines 2, the 3 and 4 indicators are not represented on accounts 1011, of 1012, of 1601, of 1602, of 1610, of 1651, of 1652, of 1653, of 1654, of 1655, of 1656, of 1657, of 1658, of 1659, of 1660, of 1661, of 1662, of 1691, of 1692, of 1693, of 1694, of 1695, of 1696, of 1697, of 1698, of 1699, of 1854, of 1857, of 1858, of 1859, of 1873, of 1874, of 2854, of 2857, of 2858, of 2859, of 2861, of 2872, of 2873, of 3001, of 3003, of 3025, of 3027, of 3101, of 3200, of 3400, of 3510, of 3540, of 3580, 3589 and 3599, to accounts 4 (fourth), 5 (fifth), 6 (sixth) and 7 (seventh) classes of the Standard chart of accounts.

22. In line 5 the amount of tenge in number format with two signs after comma is specified.

Appendix 3

to the Resolution of Board of National Bank of the Republic of Kazakhstan of April 21, 2020 No. 54

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

Report on separate indicators of activities of bank

Index of form of administrative data: ADD

Frequency: monthly

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

The group of people, providing information: banks of the second level

Terms of representation of form of administrative data:

monthly, no later than the seventh working day of the month following month under report

the additional report for the last working day of year (taking into account final turnovers on intra banking activities) is submitted (in the presence of turnovers on intra banking activities) no later than January thirty first of the year following complete financial year

Form

Table. Report on separate indicators of activities of bank

№	Name of indicators	Value
1	2	3
1	Measure code of activities of bank
2	Amount
3	Reporting date

Name _______________________________________________________

Адрес_______________________________________________________________

________________________________________ phone

E-mail address _________________________

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

The head or person to who function on signing of the report is assigned

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

Date "______" ______________ 20 __ years

Appendix

to report form about separate indicators of activities of bank

The explanation on filling of form of administrative data
The report on separate indicators of activities of bank (index – ADD, frequency – monthly)

Chapter 1. General provisions

1. This explanation determines single requirements for filling of form of the administrative data "Report on Separate Indicators of Activities of Bank" (further – the Form).

2. The form is developed according to subitem 65-2) of part two of article 15 of the Law of the Republic of Kazakhstan "About National Bank of the Republic of Kazakhstan", Item 1 of article 54 of the Law of the Republic of Kazakhstan "About banks and banking activity in the Republic of Kazakhstan" and the subitem 2) of Item 3 of article 16 of the Law of the Republic of Kazakhstan "About the state statistics".

3. The form is constituted by banks of the second level as of the end of each working day of month under report and it is represented monthly, no later than the seventh working day of the month following month under report.

The additional report is constituted in the Form annually (in the presence of turnovers on intra banking activities), filled in as of the end of the last working day of year taking into account final turnovers on intra banking activities.

4. The form is signed by the head or person to who function on signing of the report, and the contractor is assigned.

5. When filling the Form codes are specified according to the reference books placed in the information system "Web Portal of National Bank of the Republic of Kazakhstan".

6. Account numbers in this explanation are specified according to the Standard chart of accounts of financial accounting in banks of the second level, the mortgage organizations, Development Bank of Kazakhstan joint-stock company and branches of banks - nonresidents of the Republic of Kazakhstan, the approved resolution of Board of National Bank of the Republic of Kazakhstan of January 31, 2011 to No. 3, registered in the Register of state registration of regulatory legal acts at No. 6793 (further – the Standard chart of accounts).

7. All indicators are obligatory for filling, the cases except for specified in this explanation when the indicator is not represented.

Chapter 2. The explanation on filling of the Form

8. In shape data on the separate indicators of activities of bank of the second level which are not included in other report forms provided by this resolution are specified.

9. In line 1 value gets out of the reference book created and placed in the information system "Web Portal of National Bank of the Republic of Kazakhstan".

10. Data on codes 8713 and 8714 are specified only by Islamic banks performing the activities provided by Chapter 4-1 of the Law of the Republic of Kazakhstan "About banks and banking activity in the Republic of Kazakhstan". The amount for the end of day (period) by codes 8713 and 8714 corresponds to the amount of remaining balance according to the balance sheet accounts 1426 "Requirements to the Client on Transactions of Financing of Trading Activity" and 1427 "Overdue debt on transactions of financing of trading activity" of the Standard chart of accounts.

11. Data on codes 8713, of 8714, of 8721, of 8722, of 8723, of 8724, of 8725, of 8726, of 8727, of 8728, of 8729, of 8730, of 8731, of 8732, of 8733, of 8734, of 8735, of 8736, of 8737, of 8738, of 8739, of 8740, of 8741, of 8742, 8743 and 8744 are specified only for the last working day of month under report, by other codes – for each working day of month under report.

12. Data on codes 8715, of 8716, of 8717, of 8718, of 8719, of 8720, of 8732, of 8733, 8734 and 8735 are created according to the Technique of determination of the factors influencing deterioration in financial position of bank (banking conglomerate), branch of nonresident bank of the Republic of Kazakhstan approved by the resolution of Board of National Bank of the Republic of Kazakhstan of December 28, 2018 No. 317 "About establishment of the factors influencing deterioration in financial position of bank and banking conglomerate, branch of nonresident bank of the Republic of Kazakhstan, and also approval of Rules of approval of the actions plan providing measures of early reaction, and the Technique of determination of the factors influencing deterioration in financial position of bank (banking conglomerate), branch of nonresident bank of the Republic of Kazakhstan" registered in the Register of state registration of regulatory legal acts at No. 18186.

13. Codes 8715 and 8716 include the government securities of the Republic of Kazakhstan issued by the Government of the Republic of Kazakhstan, National Bank of the Republic of Kazakhstan, local executive bodies and the legal entity performing the redemption of mortgage loans of the physical persons which are not connected with business activity which hundred percent of shares belong to National Bank of the Republic of Kazakhstan.

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