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

of February 28, 2022 No. 16, on February 28, 2022 No. 2

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 commodity exchange

According to Item 3-2 of article 11 of the Law of the Republic of Kazakhstan "About counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing" we ORDER:

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 commodity exchange.

2. Recognize to invalid:

1) the joint order of the Minister of Finance of the Republic of Kazakhstan of November 28, 2014 No. 532 and the acting minister of national economy of the Republic of Kazakhstan of November 28, 2014 No. 119 "About approval of Requirements to rules of internal control for the purpose of counteraction of legalization (washing) of income gained in the criminal way and to financing of terrorism for commodity exchange" (it is registered in the Register of state registration of regulatory legal acts No. 9964);

2) the joint order of the Minister of Finance of the Republic of Kazakhstan of December 28, 2015 No. 704 and the Minister of national economy of the Republic of Kazakhstan of January 18, 2016 No. 14 "About introduction of amendments to the joint order of the Minister of Finance of the Republic of Kazakhstan of November 28, 2014 No. 532 and the acting minister of national economy of the Republic of Kazakhstan of November 28, 2014 No. 119 "About approval of Requirements to rules of internal control for the purpose of counteraction of legalization (washing) of income gained in the criminal way and to financing of terrorism for commodity exchange" (it is registered in the Register of state registration of regulatory legal acts No. 13119).

3. In the procedure established by the legislation to provide to financial monitoring agency of the Republic of Kazakhstan (further – the Agency):

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

2) placement of this joint order on Internet resource of the Agency.

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

No. 16, No. 2 are approved on February 28, 2022 by the joint Order of the Chairman of the Agency of the Republic of Kazakhstan on financial monitoring and the Chairman of the Agency on protection and development of the competition of the Republic of Kazakhstan of February 28, 2022

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 commodity exchange

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 commodity exchanges (further - Requirements) are developed according to Item 3-2 of article 11 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 on POD/FT) and International standards of Group of development of financial measures of anti-money laundering (FATF).

2. In these Requirements to subjects of financial monitoring commodity exchanges belong (further – Subjects).

3 The concepts used in Requirements are applied in the values specified in the Law on POD/FT and the Law of the Republic of Kazakhstan "About commodity exchanges".

4. For the purposes of Requirements the following basic concepts are used:

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