Are approved with Committee on control and supervision of the financial market and the financial organizations of National Bank of the Republic of Kazakhstan December 6, 2012

Chairman Committee on control and supervision of the financial market and financial organizations of National Bank of the Republic of Kazakhstan

Kozhakhmetov of CB.

RULES OF MAINTAINING SYSTEM OF REGISTERS OF HOLDERS OF GOVERNMENT SECURITIES

Approved by the Solution of the Board of directors of JSC Central Securities Depository
(The minutes of August 27, 2012 No. 13)

These rules are developed according to the law of the Republic of Kazakhstan "About the security market" and other regulatory legal acts of the Republic of Kazakhstan and determine procedure and conditions of implementation of JSC Central Securities Depository (further - the Central depositary) activities for maintaining system of registers of holders of government securities.

These rules are compound and integral part of the Set of rules of the Central depositary (further - the Set of rules).

Article 1. Basic concepts

1. In these rules the concepts determined by the legislation of the Republic of Kazakhstan are used.

2. For the purposes of these rules the system of registers of holders of government securities (further - system of registers) is understood as set of information about holders of the government securities for certain date allowing to identify these holders, and also type and quantity of the government securities belonging to them.

3. The other concepts used in these rules are identical to the concepts determined by other internal documents of the Central depositary.

Article 2. Accounting of government securities

Accounting of government securities in system of registers is performed by the Central depositary according to its internal document "Rules of Implementation of Depository Activity" (1), (further - Rules of depository activity).

Article 3. Forming of system of registers

1. Forming of system of registers is performed by the Central depositary based on the data containing in the system of accounting of the Central depositary created when implementing depository activity.

2. The system of registers joins data about (about):

1) issuers of government securities;

2) releases of government securities;

3) depositors on which personal accounts in the Central depositary accounting and storage of government securities is performed;

4) holders of government securities;

__________________________
(1) It is approved by the solution of the Board of directors of the Central depositary (the minutes of August 10, 2010 No. 7).

5) type, quantity, national identification number of the government securities considered on personal accounts;

6) the transactions and transactions with government securities registered by the Central depositary and the bases of their carrying out;

7) persons for benefit of whom encumbrance of government securities is performed.

3. The system of registers contains the following information about the issuer of government securities:

1) the complete and reduced names of this issuer in the Kazakh and Russian languages;

2) location and postal address of this issuer.

4. The system of registers contains the following data on release of government securities:

1) type of this release;

2) national security identification number of this release;

3) currency of this release;

4) nominal value of one security of this release;

5) the quantity of the placed securities of this release;

6) remuneration type on securities of this release;

7) annual rate of remuneration (auction profitability) on securities of this release;

8) remuneration payment dates on securities of this release;

9) start date of security circulation of this release;

10) repayment date of securities of this release;

11) date of the actual securities redemption of this release;

12) the period of suspension or termination of security circulation of this release (in the presence of such period).

5. The system of registers contains the following data on the depositor on which personal account in the Central depositary accounting and storage of government securities is performed:

1) number of this personal account;

2) the complete and reduced names of this depositor in the Kazakh and Russian languages (the information on the name of the depositor in Kazakh is provided if this depositor is resident of the Republic of Kazakhstan);

3) the name of the document confirming registration of this depositor as the legal entity, number and/or series of this document, date and the place of its issue, the name of the body which issued this document;

4) business and identification number of this depositor / registration number of this depositor as taxpayer;

5) post and legal addresses of this depositor;

6) the bank details of this depositor intended for write-off of money in case of placement of government securities;

7) positions, surnames, names, middle names (in the presence) first head and chief accountant of this depositor;

8) phone numbers, fax and e-mail address of this depositor.

6. The system of registers contains the following information about the holder of government securities:

1) type, type and room of sub-account of this holder in the Central depositary;

2) type of this holder;

3) sign of residence of this holder and code of the sector of economy which this holder treats;

4) if this holder is physical person: surname, name, middle name (in the presence) this holder; address of this holder;

birth date of this holder;

the name of the identity document of this holder, number and/or series of this document, date and the place of its issue, the name of the body which issued this document;

individual identification number of this holder / registration number of this holder as taxpayer (in the presence);

data on the tax benefits applicable to this holder;

5) if this holder is legal entity:

the complete and reduced names of this holder in the Kazakh and Russian languages (the information on the name of the holder in Kazakh is provided if this the holder is resident of the Republic of Kazakhstan);

the name of the document confirming registration of this holder as the legal entity, number and/or series of this document, date and the place of its issue, the name of the body which issued this document;

business and identification number of this holder / registration number of this holder as taxpayer (in the presence);

post and legal addresses of this holder;

6) the bank details of this holder intended for write-off and transfer of money in case of registration of transactions with government securities;

7) the information about the representative (in case of its availability).

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