THE RESOLUTION OF BOARD OF THE AGENCY OF THE REPUBLIC OF KAZAKHSTAN ON REGULATION AND DEVELOPMENT OF THE FINANCIAL MARKET

of August 23, 2022 No. 58

About approval of forms and times for notification about results of placement of issued securities and (or) derivative securities which underlying asset are these securities, in the territory of foreign state, and also the notification on results of placement of depositary receipts or other securities which underlying asset are issued securities of the resident organizations of the Republic of Kazakhstan

The board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market according to Item 2 of article 22-1 of the Law of the Republic of Kazakhstan "About the security market" and Item 3 of article 16 of the Law of the Republic of Kazakhstan "About the state statistics" DECIDES:

1. Approve:

1) form of the notification on results of placement of issued securities and (or) derivative securities which underlying asset are these securities, in the territory of foreign state according to appendix 1 to this resolution;

2) form of the notification on results of placement of depositary receipts or other securities which underlying asset are issued securities of the resident organizations of the Republic of Kazakhstan, according to appendix 2 to this resolution.

2. The resident organization of the Republic of Kazakhstan which performed placement of issued securities and (or) derivative securities which underlying asset are these securities in the territory of foreign state (further – the resident organization of the Republic of Kazakhstan) represents to authorized body on regulation, control and supervision of the financial market and the financial organizations (further – authorized body) on paper the notification on results of placement of issued securities and (or) derivative securities which underlying asset are these securities, in the territory of foreign state within 15 (fifteen) working days after completion of three-months term from start date of placement of issued securities and (or) derivative securities which underlying asset are these securities, and also within 15 (fifteen) working days from the date of complete placement of issued securities and (or) derivative securities which underlying asset are these securities, in form according to appendix 1 to this resolution.

3. The holder of issued securities within 15 (fifteen) working days after signature date of the document on accession to the document determining conditions of release of depositary receipts or other securities which underlying asset are issued securities of the resident organization of the Republic of Kazakhstan represents them to authorized body on paper the notification on results of placement of depositary receipts or other securities which underlying asset are issued securities of the resident organization of the Republic of Kazakhstan, in form according to appendix 2 to this resolution.

4. Appendix to the notification on results of placement of issued securities and (or) derivative securities which underlying asset are these securities or about results of placement of depositary receipts or other securities which underlying asset are issued securities of the resident organization of the Republic of Kazakhstan, is the copy of the document determining conditions of release of issued securities and (or) derivative securities which underlying asset are these securities, or depositary receipts or other securities which underlying asset are issued securities of the resident organization of the Republic of Kazakhstan.

5. If underlying asset of issued valuable, and also depositary receipts or other securities are shares of the resident organization of the Republic of Kazakhstan, the notification on results of their placement is not submitted.

6. Recognize invalid:

1) the resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of March 30, 2020 No. 37 "About approval of Rules of issue of permission to release and (or) placement of issued securities of the resident organization of the Republic of Kazakhstan in the territory of foreign state, the notification on release of depositary receipts or other securities which underlying asset are issued securities of the resident organizations of the Republic of Kazakhstan and also submissions of the report on results of their placement" (it is registered in the Register of state registration of regulatory legal acts of the Republic of Kazakhstan at No. 20252);

2) Item 12 of the List of regulatory legal acts of the Republic of Kazakhstan concerning regulation of the security market and provision of pensions to which changes are made the Board of the Agency of the Republic of Kazakhstan approved by the resolution on regulation and development of the financial market of December 13, 2021 No. 104 "About modification of some regulatory legal acts of the Republic of Kazakhstan concerning regulation of the security market and provision of pensions" (it is registered in the Register of state registration of regulatory legal acts of the Republic of Kazakhstan at No. 25889).

7. To provide to department of the security market in the procedure established by the legislation of the Republic of Kazakhstan:

1) together with Legal department 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 the Agency of the Republic of Kazakhstan on regulation and development of the financial market 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 action provided by the subitem 2) of this Item.

8. To impose control of execution of this resolution on the supervising vice-chairman of the Agency of the Republic of Kazakhstan on regulation and development of the financial market.

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

Appendix 1

to the Resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of August 23, 2022 No. 58

The form intended for collection of administrative data

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