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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

According to article 54 of the Law of the Republic of Kazakhstan "About the security market", article 55 of the Law of the Republic of Kazakhstan "About provision of pensions in the Republic of Kazakhstan", the laws of the Republic of Kazakhstan "About state regulation, control and supervision of the financial market and the financial organizations", "About the state services" Board of the Agency of the Republic of Kazakhstan on regulation and development of the DECIDES: financial market

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.

The chairman of the Agency of the Republic of Kazakhstan on regulation and development of the financial market

M. Abylkasymova

It is approved

Ministry of digital development, innovations and aerospace industry of the Republic of Kazakhstan

 

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

1. These 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 (further – Rules), are developed according to Articles 66 and 73 of the Administrative procedural Procedure Code of the Republic of Kazakhstan, article 54 of the Law of the Republic of Kazakhstan "About the security market" (further – the Law on the security market), article 55 of the Law of the Republic of Kazakhstan "About provision of pensions in the Republic of Kazakhstan" (further – the Law on provision of pensions), the laws of the Republic of Kazakhstan "About state regulation, control and supervision of the financial market and the financial organizations" (further – the Law on state regulation), "About the state services" (further – the Law on the state services).

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 is placed on official Internet resource of authorized body and goes to the operator of information and communication infrastructure of "the electronic government".

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