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

of October 28, 2022 No. 79

About approval of Rules of issue of consent of authorized body on regulation, control and supervision of the financial market and the financial organizations on appointment (election) of the leading employee of the applicant (licensee), the single accumulation pension fund, Voluntary accumulation pension fund, including the criteria of lack of faultless goodwill and documents necessary for receipt of consent

1. Approve the issues of consent of authorized body enclosed Rules on regulation, control and supervision of the financial market and the financial organizations on appointment (election) of the leading employee of the applicant (licensee), the single accumulation pension fund, Voluntary accumulation pension fund, including the criteria of lack of faultless goodwill and documents necessary for receipt of consent.

2. 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.

3. 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.

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

Appendix

to the Resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of October 28, 2022 No. 79

Rules of issue of consent of authorized body on regulation, control and supervision of the financial market and the financial organizations on appointment (election) of the leading employee of the applicant (licensee), the single accumulation pension fund, Voluntary accumulation pension fund, including the criteria of lack of faultless goodwill and documents necessary for receipt of consent

Chapter 1. General provisions

Rules determine procedure for issue of consent of authorized body by regulation, control and supervision of the financial market and the financial organizations (further – authorized body, the service provider) on appointment (election) of the leading employee of the applicant (licensee), the single accumulation pension fund, Voluntary accumulation pension fund, including the criteria of lack of faultless goodwill, documents necessary for receipt of consent.

According to Item 11 of Article 45 and Item 1-1 of article 79 of the Law on the security market of the Rule extend to leading employees of the single operator and central depositary.

Information on the made changes and (or) additions in Rules within 3 (three) working days after state registration in judicial authorities of the corresponding regulatory legal act is placed on official Internet resource of authorized body, goes to the operator of information and communication infrastructure of "the electronic government" and to Single contact center.".

2. The concepts used in Rules are applied in the values specified in the Social code, the Law of the Republic of Kazakhstan "About the electronic document and the digital signature", the Law on the security market, the Law on state regulation and the Law on the state services.

In Rules the following reducings are used:

1) responsible division – the division of authorized body responsible for rendering the state service;

2) the candidate – the physical person having intention to hold leading employee position of the Organization or the person elected to position of the head or member of governing body, who is the independent director;

3) consent – the consent of authorized body to appointment (election) of the leading employee of the Organization;

4) uslugopoluchatel – The organization or the physical person having intention to hold leading employee position in the Organization;

5) the register of the operating soglasiya – the register of the operating soglasiya on appointment (election) of leading employees of the Organization;

6) the state service – the state service "Issue of consent to appointment (election) of leading employees of the financial organizations, branches of nonresident banks of the Republic of Kazakhstan, branches of the insurance (reinsurance) nonresident organizations of the Republic of Kazakhstan, branches of insurance nonresident brokers of the Republic of Kazakhstan, bank, insurance holdings, "Fund of Guaranteeing Insurance Payments" joint-stock company subspecies of the state service "issue of consent to appointment (election) of leading employees in the sector of the security market";

7) the petition – the petition for issue of consent of authorized body to appointment (election) of leading employees of the Organization;

8) the portal – the web portal of "the electronic government" www.egov.kz;

9) the Organization – the applicant (licensee), the central depositary, the single operator, the single accumulation pension fund, the Voluntary accumulation pension fund;

10) the EDS – the digital signature.

Are not subject to coordination with authorized body:

1) the representatives of authorized body and National Bank of the Republic of Kazakhstan who are part of governing body of the central depositary, the organizer of the biddings and the single accumulation pension fund;

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