RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of March 2, 2021 No. 22

About approval of the list, forms, terms and Rules of submission of the reporting by branches of nonresident banks of the Republic of Kazakhstan

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 branches of nonresident banks of the Republic of Kazakhstan 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 on interbank assets and liabilities according to appendix 3 to this resolution;

4) report form about structure of securities portfolio according to appendix 4 to this resolution;

5) report form about investments of branch of nonresident bank of the Republic of Kazakhstan into the capital of other legal entities according to appendix 5 to this resolution;

6) report form about the issued loans and rates of remuneration on them according to appendix 6 to this resolution;

7) report form about the other classified assets according to appendix 7 to this resolution;

8) report form on amounts and rates of remunerations of deposits of physical persons according to appendix 8 to this resolution;

9) report form on accounts and deposits of resident clients according to appendix 9 to this resolution;

10) report form about the main sources of the attracted money according to appendix 10 to this resolution;

11) report form about the faces tied with branch of nonresident bank of the Republic of Kazakhstan the special relations and transactions with them according to appendix 11 to this resolution;

12) report form about monitoring of the events of operational risk which entailed losses according to appendix 12 to this resolution;

13) report form about the income paid to leading employees of branch of nonresident bank of the Republic of Kazakhstan according to appendix 13 to this resolution;

14) report form about transactions with cash according to appendix 14 to this resolution;

15) Rules of submission of the reporting by branches of nonresident banks of the Republic of Kazakhstan according to appendix 15 to this resolution.

2. Branches of nonresident banks of the Republic of Kazakhstan 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;

2) the reports provided by subitems 3), 4) and 5) of Item 1 of this resolution – monthly, no later than the seventh working day of the month following month under report;

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

4) the report provided by the subitem 8) of Item 1 of this resolution – monthly, no later than the tenth working day of the month following month under report;

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

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

7) the report provided by the subitem 11) of Item 1 of this resolution:

regarding the register of faces tied with branch of nonresident bank of the Republic of Kazakhstan the special relations – monthly, no later than the seventh working day of the month following month under report – in case of the change or data acquisition provided in the reporting, which took place in month under report;

regarding data on transactions with the faces tied with branch of nonresident bank of the Republic of Kazakhstan the special relations and additional data on transactions with the faces tied with branch of nonresident bank of the Republic of Kazakhstan the special relations – monthly, no later than the fifteenth working day of the month following month under report;

8) the report provided by the subitem 12) of Item 1 of this resolution – quarterly, no later than the thirtieth following reporting quarter;

9) the report provided by the subitem 13) of Item 1 of this resolution – annually, within hundred twenty calendar days upon termination of financial year;

10) the report provided by the subitem 14) of Item 1 of this resolution – monthly, no later than the thirtieth following month under report.

3. To department of statistics of the financial market (Buranbayeva A. M.) in the procedure established by the legislation of the Republic of Kazakhstan to provide:

1) together with Legal department (Kasenov A. S.) 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 4 of this resolution.

4. To department of information and communications - the press service of National Bank of the Republic of Kazakhstan (Adambayeva A. R.) provide within ten calendar days after state registration of this resolution the direction it to the copy on official publication in periodic printing editions.

5. To impose control of execution of this resolution on the vice-chairman of National Bank of the Republic of Kazakhstan Baymagambetov A. M.

6. This resolution becomes effective after ten calendar days after day of its first official publication.

It is approved Agency of the Republic of Kazakhstan on regulation and development of the financial market

It is approved Bureau of national statistics of the Agency on strategic planning and reforms of the Republic of Kazakhstan

 

Appendix 1

to the Resolution of Board of National Bank of the Republic of Kazakhstan of March 2, 2021 No. 22

List of the reporting of branches of nonresident banks of the Republic of Kazakhstan

The reporting of branches of nonresident banks of the Republic of Kazakhstan includes:

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

2) report on interbank assets and liabilities;

3) report on structure of securities portfolio;

4) report on investments of branch of nonresident bank of the Republic of Kazakhstan into the capital of other legal entities;

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

6) the report on the other classified assets;

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

8) report on accounts and deposits of resident clients;

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

10) the report on the faces tied with branch of nonresident bank of the Republic of Kazakhstan the special relations and transactions with them;

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

12) the income statement, paid to leading employees of branch of nonresident bank of the Republic of Kazakhstan;

13) the operations statement with cash.

Appendix 2

to the Resolution of Board of National Bank of the Republic of Kazakhstan of March 2, 2021 No. 22

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: FBN_700-N(D)

Frequency: daily

Accounting period: for "___" ________________ 20 __ years

The group of people, providing information: branches of nonresident banks of the Republic of Kazakhstan

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

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 – FBN_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.

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 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 March 2, 2021 No. 22

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 interbank assets and liabilities

Index of form of administrative data: FBN_INTERBNK_03

Frequency: monthly

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

The group of people, providing information: branches of nonresident banks of the Republic of Kazakhstan

Term of representation of form of administrative data:

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

Form

Table. Report on interbank assets and liabilities

№	Name of indicators	Value
1	2	3
1	Information about the partner:
1.1	name
1.2	identifier type
1.3	identifier
1.4	code of the sector of economy

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