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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 October 12, 2020 No. 98

About approval of Requirements to Rules of internal control for the purpose of counteraction of legalization (washing) of income gained in the criminal way and to financing of terrorism for stock exchange

(as amended on 24-02-2022)

According to Item 3-2 of article 11 of the Law of the Republic of Kazakhstan of August 28, 2009 "About counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing" Board of the Agency of the Republic of Kazakhstan on regulation and development of the DECIDES: financial market

1. Approve the enclosed Requirements to Rules of internal control for the purpose of counteraction of legalization (washing) of income gained in the criminal way and to financing of terrorism for stock exchange.

2. To provide to department of methodology and prudential regulation of the financial organizations in the procedure established by the legislation of the Republic of Kazakhstan:

1) together with Legal department state registration of this resolution in the Ministry of Justice of the Republic of Kazakhstan;

2) 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 action provided by the subitem 2) of this Item.

3. 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.

4. This resolution becomes effective since November 15, 2020 and is subject to official publication.

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

M. Abylkasymova

"Is approved"

Ministry of Finance of the Republic of Kazakhstan

 

Approved by the Resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of October 12, 2020 No. 98

Requirements to Rules of internal control for the purpose of counteraction of legalization (washing) of income gained in the criminal way and to financing of terrorism for stock exchange

Chapter 1. General provisions

1. These Requirements to Rules of internal control for the purpose of counteraction of legalization (washing) of income gained in the criminal way and to financing of terrorism for stock exchange (further - Requirements) are developed according to the Law of the Republic of Kazakhstan of August 28, 2009 "About counteraction of legalization (washing) of the income received in the criminal way, and to terrorism financing" (further - the Law on POD/FT), the Law of the Republic of Kazakhstan of July 2, 2003 "About the security market" (further - the Law on the security market) and the resolution of Board of National Bank of the Republic of Kazakhstan of December 19, 2015 No. 252 "About approval of Rules of forming of risk management system and internal control for stock exchange", registered in the Register of state registration of regulatory legal acts at No. 12999.

2. The concepts used in Requirements are applied in the values specified in the Law on POD/FT and the Law on the security market.

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