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

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.

Approved by the 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

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 "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 legal entity 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;

Exchange goods – the standardized homogeneous goods included in the list of exchange goods and (or) the list of socially important exchange goods which units are identical in every respect similar characteristics have 4) and consist of similar components that allows them to perform the same functions having property of complete interchangeability of batches from different producers;

5) 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.

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

3. The commodity exchange monthly no later than 5 (fifth) following the accounting period sends the report to antimonopoly authority by means of the public information systems conforming to requirements of the legislation of the Republic of Kazakhstan about the electronic document and the digital signature.

4. The report on the held exchange auction is provided in form according to appendix to these rules.

5. The explanation on filling of the report on the held exchange auction is provided in appendix to the Report form on the held exchange auction.

Appendix

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

The form intended for collection of administrative data

It is represented: in antimonopoly authority.

The form intended for collection of administrative data on a grant basis is placed on the Internet – resource: https://www.gov.kz/memleket/entities/zklang=ru.

Name of administrative form: The report on the held exchange auction.

Index of the form intended for collection of administrative data on a grant basis (short alphanumeric expression of the name of form): 1-(PBT).

Frequency: monthly.

Accounting period: ___ month 20 __ years.

The group of people, representing the form intended for collection of administrative data on a grant basis: commodity exchanges.

The term of representation of the form intended for collection of administrative data on a grant basis: no later than 5 (fifth) following the accounting period.

Collection method: it is provided in electronic form, by means of the public information systems conforming to requirements of the legislation of the Republic of Kazakhstan about the electronic document and the digital signature.

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