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ORDER OF THE CHAIRMAN OF THE AGENCY ON PROTECTION AND DEVELOPMENT OF THE COMPETITION OF THE REPUBLIC OF KAZAKHSTAN

of March 31, 2021 No. 5

About approval of Rules of submission of reports by commodity exchange to antimonopoly authority

(as amended on 23-05-2022)

According to the subitem 3) article 4-3 of the Law of the Republic of Kazakhstan "About commodity exchanges" and the subitem 2) Item 3 of article 16 of the Law of the Republic of Kazakhstan "About the state statistics" PRIKAZYVAYU:

1. Approve the enclosed Rules of submission of reports by commodity exchange to antimonopoly authority.

2. To provide to department of exchange control of the Agency on protection and development of the competition of the Republic of Kazakhstan in the procedure established by the legislation:

1) state registration of this order in the Ministry of Justice of the Republic of Kazakhstan;

2) placement of this order on Internet resource of the Agency on protection and development of the competition of the Republic of Kazakhstan after its official publication.

3. To impose control of execution of this order on the supervising vice-chairman of the Agency on protection and development of the competition of the Republic of Kazakhstan.

4. This order becomes effective after ten calendar days after day of its first official publication.

Chairman of the Agency on protection and development of the competition of the Republic of Kazakhstan

S. Zhumangarin

Approved as the Chairman of the Agency on protection and development of the competition of the Republic of Kazakhstan of March 31, 2021 No. 5

Rules of submission of reports by commodity exchange to antimonopoly authority

Chapter 1. General provisions

1. These rules of submission of reports by commodity exchange to antimonopoly authority (further - Rules) are developed according to the subitem 3) of article 4-3 of the Law of the Republic of Kazakhstan of May 4, 2009 "About commodity exchanges" and determine procedure for submission of reports by commodity exchange to antimonopoly authority.

2. The basic concepts which are used in these rules:

1) the exchange broker (further – the broker) – the subject of entrepreneurship performing the activities at commodity exchange and making transactions with exchange goods on the order for the account and for the benefit of the client;

2) the stock dealer (further – the dealer) – the subject of entrepreneurship performing the activities at commodity exchange and making transactions with exchange goods in the interests and at own expense;

3) stock exchange transactions – bargains which subject is the property allowed to the address at the exchange and which are concluded at the exchange by participants of the auction held by it according to the legislation of the Republic of Kazakhstan on commodity exchanges and rules of stock exchange trading;

4) participants of stock exchange trading are the clients, brokers, dealers and market makers interacting at commodity exchange on statutory rules of stock exchange trading;

5) exchange goods – the standardized or not standardized goods allowed by commodity exchange to exchange trade taking into account the restrictions established by the Law of the Republic of Kazakhstan "About commodity exchanges";

6) the market maker – the legal entity creating and maintaining liquidity of the stock exchange market by drawing of quotations and adoption of obligations on purchase and sale of terminal contracts.

3. The commodity exchange monthly no later than 7 (seventh) following the accounting period submits to antimonopoly authority the following reports:

1) the report on the held exchange auction on form according to appendix 1 to these rules;

2) the report on the urgent list of accredited members of commodity exchange on form according to appendix 2 to these rules.

Chapter 2. Procedure for submission of reports by commodity exchange to antimonopoly authority

4. The commodity exchange by e-mail submits in antimonopoly authority the electronic report on the held exchange auction according to form of the reporting determined by appendix to these rules that is the official notification of antimonopoly authority.

The report is submitted commodity exchange to antimonopoly authority monthly no later than 7 (seventh) following the accounting period.

5. The commodity exchange places the urgent list of accredited members of commodity exchange according to the reporting form within 5 (five) calendar days from the date of change of the list determined by appendix to these rules in the special Section of own Internet resource that is the official notification of antimonopoly authority.

Appendix 1

to Rules of submission of reports by commodity exchange to antimonopoly authority

Report form on the held exchange auction

It is represented: in antimonopoly authority.

The form of administrative data is placed on the Internet – resource:

https://www.gov.kz/memleket/entities/zklang=ru

The report on the held exchange auction

Accounting period __ month 20 __ years

Index: 1-(PBT)

Frequency: monthly

The group of people, providing information: commodity exchanges.

Term of representation of form of administrative data: monthly no later than 7 (seventh) following the accounting period.

№ of payment order

By types of goods

Stock exchange transaction

Exchange goods

Date, carrying out time

Number of the transaction

Name

Goods quantity

Lot size

Lot unit of measure

Amount of transaction

Quantity of lots

Total amount of committed transactions, tenge

Continuation of the table

Participant of the exchange biddings

Mode of the biddings

Buyer

Seller

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