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

of September 16, 2022 No. 33

About approval of Rules and terms of submission of data and documents on beneficial owners by the legal entity and foreign structure without formation of legal entity at the request of authorized body on financial monitoring and forms of fixation of the data necessary for identification of beneficial owners by the legal entity and foreign structure without formation of legal entity

According to Items 1 and 5 of article 12-3 of the Law of the Republic of Kazakhstan "About counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing", PRIKAZYVAYU:

1. Approve Rules and terms of submission of data and documents on beneficial owners of the legal entity and foreign structure without formation of legal entity at the request of authorized body on financial monitoring and form of fixation of the data necessary for identification of beneficial owners by the legal entity and foreign structure without formation of legal entity.

2. In the procedure established by the legislation to provide to department on work with subjects of financial monitoring of the Agency of the Republic of Kazakhstan on financial monitoring (further – the Agency):

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.

3. 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

 

Approved by the Order of the Chairman of the Agency of the Republic of Kazakhstan on financial monitoring of September 16, 2022 No. 33

Rules and terms of submission of data and documents on beneficial owners by the legal entity and foreign structure without formation of legal entity at the request of authorized body on financial monitoring and form of fixation of the data necessary for identification of beneficial owners by the legal entity and foreign structure without formation of legal entity

Chapter 1. General provision

1. These rules and terms of submission of data and documents on beneficial owners by the legal entity and foreign structure without formation of legal entity at the request of authorized body on financial monitoring and form of fixation of the data necessary for identification of beneficial owners by the legal entity and foreign structure without formation of legal entity (further – Rules) establish procedure and terms of submission of data and documents on the beneficial owners by the legal entity and foreign structure without formation of legal entity at the request of financial monitoring Agency of the Republic of Kazakhstan (further – authorized body) provided by Items 1 and 5 of article 12-3 of the Law of the Republic of Kazakhstan "About counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing" (further – the Law on POD/FT).

2. Requirements of these rules extend to legal entities and foreign structures without formation of legal entity, except for public institutions and subjects of the quasi-public sector of the Republic of Kazakhstan.

3. The concepts applied in Rules are used in value specified in the Law on POD/FT.

4. Legal entities and foreign structures without formation of legal entity submit the data and documents on the beneficial owners provided by subitem 2-2) of Item 3 of article 5 of the Law on POD/FT at the request of authorized body.

Chapter 2. Procedure and term of representation by the legal entity and foreign structure without formation of legal entity of information on the beneficial owners at the request of authorized body

5. The request of authorized body sent to the legal entity is constituted in the Kazakh and Russian languages.

The inquiry of authorized body sent to foreign structure formation of legal entity is constituted in the Kazakh and Russian languages, if necessary with the translation into English or language of the state (territory) in which it is registered the foreign structure without formation of legal entity (is incorporated).

6. The inquiry of authorized body is sent in the form of the registered mail with the assurance of receipt or by means of the electronic document signed by the digital signature by the e-mail address of the legal entity (and foreign structure, without formation of legal entity) if such address was provided to body of state registration earlier, or other available method.

Request of authorized body are signed by the head (deputy manager) of authorized body, the head of the structural unit of authorized body.

7. The legal entity and foreign structure without formation of legal entity submit data and documents to authorized body on its request within five working days from the date of receipt of the corresponding request.

The form of fixation of the data necessary for identification of beneficial owners by the legal entity and foreign structure without formation of legal entity is represented the legal entity and foreign structure without formation of legal entity according to appendix to these rules.

Constituent documents and the register of shareholders belong to the documents submitted by the legal entity and foreign structure without formation of legal entity.

8. Legal entities and foreign structures without formation of legal entity provide reliability, sufficiency and relevance directed in authorized body of data and documents.

9. Reply to the request of authorized body is signed:

the head of the legal entity (the other person, the representative to act on behalf of the legal entity) with assurance by seal of the company (in case of its availability);

the head of foreign structure without formation of legal entity or other representative it person with assurance by seal of the company (in case of its availability).

Appendix

to Rules and terms of submission of data and documents on beneficial owners by the legal entity and foreign structure without formation of legal entity at the request of authorized body on financial monitoring and form of fixation of the data necessary for identification of beneficial owners by the legal entity and foreign structure without formation of legal entity

Form of fixation of the data necessary for identification of beneficial owners by the legal entity and foreign structure without formation of legal entity

Date of filling of form _____

General data on legal person / foreign structure without formation of legal entity

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