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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 May 26, 2023 No. 33

About establishment of the list of the documents which are subject to storage and terms of their storage in the single accumulation pension fund and the Voluntary accumulation pension funds

(as amended on 22-12-2023)

1. Establish the list of the documents which are subject to storage and terms of their storage in the single accumulation pension fund and the Voluntary accumulation pension funds, according to appendix 1 to this resolution.

2. Recognize invalid regulatory legal acts of the Republic of Kazakhstan, and also structural elements of some regulatory legal acts of the Republic of Kazakhstan according to the list according to appendix 2 to this resolution.

3. 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.

4. 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.

5. This resolution becomes effective since July 1, 2023 and is subject to 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 for Culture and Sports of the Republic of Kazakhstan

 

Appendix 1

to the Resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of May 26, 2023 No. 33

The list of the documents which are subject to storage and terms of their storage in the single accumulation pension fund and the Voluntary accumulation pension funds

Item No.

Document types

Storage duration

Note

in the Central body

in branches and representative offices of ENPF *, DNPF **

1

2

3

4

5

1. ADMINISTRATIVE ACTIVITIES

1.

Protocols, shorthand reports of meetings, decisions of ENPF, DNPF general shareholder meeting, documents to them (reports, references, projects, decisions)

Constantly

To need minovaniye

2.

Protocols, shorthand reports, resolutions of executive body of ENPF, DNPF, documents to them (reports, references, projects, decisions)

Constantly

To need minovaniye

3.

Protocols, shorthand reports of meetings of the Board of Directors of ENPF, DNPF, documents to them (reports, references, projects, decisions)

Constantly

To need minovaniye

4.

Rules, provisions, instructions, the methodical instructions, recommendations developed by ENPF, DNPF

Constantly

Before replacement with new

5.

Orders, orders of heads of ENPF, DNPF:

1) on the main activities;

Constantly

Constantly

2) on staff;

75 years

75 years

3) on leaves, business trips

5 years

5 years

2. CONTROL

6.

Documents of audits and checks of activities of ENPF, DNPF, their structural divisions which are carried out by authorized state bodies, auditing organizations and internal audit (reports, reports, references, acts, the conclusions, reports, objections, correspondence)

Constantly

Constantly

7.

Documents on accomplishment of offers on results of audits and checks (reports, reports, references, correspondence)

5 years of EPK

5 years of EPK

8.

Documents of the audits and inspections which are carried out by ENPF and DNPF (acts, references, correspondence)

5 years of EK

5 years of EK

9.

Registers of the carried-out audits and inspections, control of execution of the decisions made by results of the performed audits and (checks)

5 years

5 years

3. ACCOUNTING AND REPORTING

10.

Statistic reports and tables on activities of ENPF, DNPF, branches and representative offices of ENPF:

On the electronic medium.

1 In the absence of annual statements - it is permanent.

2 In the absence of annual, semi-annual reports - it is permanent.

3 In the absence of annual, semi-annual quarterly statements - it is permanent.

summary annual and reports

with bigger frequency;

Constantly

-

annual statements and reports

with bigger frequency;

Constantly

10 years

semi-annual reports;

5 years 1

5 years

quarterly statements;

5 years 2

5 years

monthly reports

1 year 3

1 year

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