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THE ORDER OF THE CHAIRMAN OF THE AGENCY OF THE REPUBLIC OF KAZAKHSTAN ON FINANCIAL MONITORING

of February 22, 2022 No. 13

About approval of Rules of representation by subjects of financial monitoring of data and information on the transactions which are subject to financial monitoring and signs of determination of suspicious transaction

According to Item 2 of article 10 of the Law of the Republic of Kazakhstan "About counteraction of legalization (washing) of income gained in the criminal way both to terrorism financing" and Item 8 of article 27 of the Law of the Republic of Kazakhstan "About legal acts", PRIKAZYVAYU:

1. Approve enclosed:

1) Rules of representation by subjects of financial monitoring of data and information on the transactions which are subject to financial monitoring according to appendix 1 to this order;

2) Signs of determination of suspicious transaction according to appendix 2 to this order.

2. Declare invalid the order of the Minister of Finance of the Republic of Kazakhstan of September 30, 2020 No. 938 "About approval of Rules of representation by subjects of financial monitoring of data and information on the transactions which are subject to financial monitoring and signs of determination of suspicious transaction" (it is registered in the Register of state registration of regulatory legal acts No. 21340).

3. To provide to department on work with subjects of financial monitoring of the Agency of the Republic of Kazakhstan on financial monitoring in the procedure established by the legislation of the Republic of Kazakhstan:

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 of the Republic of Kazakhstan on financial monitoring;

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

The chairman of the Agency of the Republic of Kazakhstan on financial monitoring

Zh. Elimanov

It is approved

Ministry of Justice of the Republic of Kazakhstan

 

It is approved

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

 

It is approved

Ministry of Finance of the Republic of Kazakhstan

 

It is approved

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

 

It is approved

Ministry for Culture and Sports of the Republic of Kazakhstan

 

It is approved

National Bank of the Republic of Kazakhstan

 

It is approved

Ministry of digital development, innovations and aerospace industry of the Republic of Kazakhstan

 

Appendix 1

to the Order of the Chairman of the Agency of the Republic of Kazakhstan on financial monitoring of February 22, 2022 No. 13

Rules of representation by subjects of financial monitoring of data and information on the transactions which are subject to financial monitoring

Chapter 1. General provisions

1. These rules of representation by subjects of financial monitoring of data and information on the transactions which are subject to financial monitoring (further - Rules) are developed according to Item 2 of article 10 of the Law of the Republic of Kazakhstan "About counteraction of legalization (washing) of the income received in the criminal way and to terrorism financing" (further - the Law) and establish the single procedure for submission by subjects of financial monitoring to the authorized state body performing financial monitoring and taking other measures for counteraction of legalization (washing) of income gained in the criminal way, to terrorism financing, financing of distribution of weapons of mass destruction (further - authorized body) the data and information on the transactions which are subject to financial monitoring.

2. On the transactions which are subject to financial monitoring, subjects of financial monitoring documentary fix and provide in authorized body of the data and information on the transaction which is subject to financial monitoring in form of data and information on the transaction which is subject to financial monitoring according to appendix 1 to these rules (further - information).

Chapter 2. Procedure for provision by subjects of financial monitoring of data and information on the transactions which are subject to financial monitoring

3. Information provided by subjects of financial monitoring goes to authorized body by electronic method in the XML format in form of the XML Format of information provided by electronic method subjects of financial monitoring according to appendix 2 to these rules by means of networks of telecommunications of the republican state company on the right of economic maintaining "The Kazakhstan center of interbank calculations of National Bank of the Republic of Kazakhstan" or the web portal of authorized body.

4. In case of representation by the subject of financial monitoring of information by method, not stipulated in Item 3 these rules, the authorized body returns this information without consideration.

5. In case of violation of the terms specified in Item 2 of Article 10 and Item 2 of article 13 of the Law on origin of technical mistakes in the software or communication channels confirmed with authorized body, these data and information on the transactions which are subject to financial monitoring are considered directed at the scheduled time if such information is directed no later than one working day after elimination of technical mistakes.

6. The authorized body does not accept in processing information in case of representation by subjects of financial monitoring of information other than the established form of data and information on the transaction which is subject to financial monitoring and which is not certified by the digital signature of the subject of financial monitoring.

7. The authorized body within 4 (four) hours from the moment of receipt of information from subjects of financial monitoring directs by electronic method the notice on acceptance/rejection of information (further - the notice) in form of the notice on acceptance or rejection of form of data and information on the transaction which is subject to financial monitoring of FM-1, established by appendix 3 to these rules.

In case of receipt of the notice on rejection of information, the subject of financial monitoring takes measures for elimination of causes of failure in adoption of information, and within 24 (twenty four) hours (except for days off and holidays) corrected information goes to authorized body.

In need of modification and (or) amendments of information which is earlier provided and accepted by authorized body, the subject of financial monitoring no later than one working day following behind day of detection of information which is subject to replacement sends information of in exchange earlier provided to authorized body.

8. Authorized body, having received the message on suspicious transaction, within twenty four hours makes the decision on carrying out transaction or refusal in carrying out transaction and brings it to subjects of financial monitoring by electronic method in the forms established by appendices 12 and 13 to these rules.

9. When filling information help data according to appendices 4, of 5, 6 and 7 to these rules are used.

Chapter 3. Procedure for provision of information, data and documents on requests

10. When carrying out information analysis, received according to the Law, the authorized body sends to the subject of financial monitoring by electronic method inquiry for provision of necessary information, data and documents by request form for provision of necessary information, data and documents according to appendix 8 to these rules.

11. In case of receipt of request for provision of necessary information, data and documents from authorized body subjects of financial monitoring send the notice to authorized body in form of the notice on acceptance of request for provision of necessary information, data and documents according to appendix 9 to these rules.

12. Required information, data and documents go subjects of financial monitoring to authorized body by electronic method in terms, stipulated in Item 3-1 article 10 of the Law, in form of reply to the request to provision of necessary information, data and documents according to appendix 10 to these rules according to procedure, certain Item 3 of these rules with assurance by the digital signature of the subject of financial monitoring.

13. In cases when processing of request requires extra time the subject of financial monitoring sends to authorized body the appeal about prolongation of the term specified in part three of Item 3-1 of article 10 of the Law, no more than for 10 (ten) working days in address form of prolongation of term on demand provision of necessary information, data and documents according to appendix of 11 these rules by means of networks of telecommunications of the republican state company on the right of economic maintaining "The Kazakhstan center of interbank calculations of National Bank of the Republic of Kazakhstan" according to the procedure "reply to the request".

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