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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. 96

About approval of Requirements to Rules of internal control for the purpose of counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction for professional participants of the security market and central depositary

(as amended on 12-09-2022)

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, to financing of terrorism and financing of distribution of weapons of mass destruction for professional participants of the security market and central depositary.

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. 96

Requirements to Rules of internal control for the purpose of counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction for professional participants of the security market and central depositary

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, to financing of terrorism and financing of distribution of weapons of mass destruction for professional participants of the security market and central depositary (further – Requirements) are developed according to the laws of the Republic of Kazakhstan "About the security market" (further – the Law on the security market), "About counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing" (further – the Law on POD/FT), the resolution of Board of National Bank of the Republic of Kazakhstan of December 28, 2018 No. 318 "About approval of Rules of forming of risk management system and internal control for the central depositary" (it is registered in the Register of state registration of regulatory legal acts at No. 18180), the resolution of Board of National Bank of the Republic of Kazakhstan of August 24, 2012 No. 276 "About approval of Requirements for availability of risk management system for the organization performing activities for maintaining system of registers of security holders and modification of some regulatory legal acts of the Republic of Kazakhstan" (it is registered in the Register of state registration of regulatory legal acts at No. 7993), and also the resolution of Board of National Bank of the Republic of Kazakhstan of August 27, 2013 No. 214 "About approval of Rules of forming of risk management system and internal control for the organizations performing broker and dealer activities in the security market, activities for management of investment portfolio" (it is registered in the Register of state registration of regulatory legal acts at No. 8796).

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