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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 February 3, 2020 No. 3

About approval of Rules of position assignment and the termination of the employment contract with employees of the Agency of the Republic of Kazakhstan on regulation and development of the financial market

(as amended on 28-02-2024)

According to Article 145-1 of the Labor code of the Republic of Kazakhstan and the subitem 12) article 6-5 of the Law of the Republic of Kazakhstan "About state regulation, control and supervision of the financial market and the financial organizations" Board of the Agency of the Republic of Kazakhstan on regulation and development of the DECIDES: financial market

1. Approve the enclosed Rules of position assignment and the termination of the employment contract with employees of the Agency of the Republic of Kazakhstan on regulation and development of the financial market.

2. To provide to development department of human capital 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 actions provided by the subitem 2) of this Item and Item 3 of this resolution.

3. To management of the international relations and external communications to provide within ten calendar days after state registration of this resolution the direction it to the copy on official publication in periodic printing editions.

4. I reserve control of execution of this resolution.

5. This resolution becomes effective from the date 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

Approved by the Resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of the Republic of Kazakhstan of February 3, 2020 No. 3

Rules of position assignment and the termination of the employment contract with employees of the Agency of the Republic of Kazakhstan on regulation and development of the financial market

1. These rules of position assignment and termination of the employment contract with employees of the Agency of the Republic of Kazakhstan on regulation and development of the financial market (further - Rules) are developed according to the Labor code of the Republic of Kazakhstan (further - the Labor code) and the Law of the Republic of Kazakhstan "About state regulation, control and supervision of the financial market and the financial organizations".

2. Norma Pravil do not extend to political government employees of the Agency of the Republic of Kazakhstan on regulation and development of the financial market (further - the Agency), procedure for appointment and which release is regulated by the legislation on public service.

Chapter 2. The basic concepts used in Rules

3. In Rules the following concepts are used:

1) the commission on out-of-competition holding the post of the employee of the Agency - collegiate organ of the Agency which makes the decision on out-of-competition occupation of vacant position of the employee of the Agency;

2) candidates for occupation of vacant position of the employee of the Agency (further - candidates) - the participants of tender allowed to testing and interview based on the solution of the contest committee;

3) employees of the Agency - person, except for political government employees, the holding positions in the Agency which compensation is made from means of the republican budget;

4) employees of the Agency are the persons which are not belonging to government employees, performing the ex-officio full powers in the Agency directed to realization of tasks and functions of the state;

5) departments - the abolished departments of National Bank of the Republic of Kazakhstan (The committee on development of regional financial center of the city of Almaty of National Bank of the Republic of Kazakhstan abolished by the Presidential decree of the Republic of Kazakhstan of December 29, 2012 No. 458 "About some questions of National Bank of the Republic of Kazakhstan", Committee on control and supervision of the financial market and the financial organizations of National Bank of the Republic of Kazakhstan and the Committee on consumer protection of financial services of National Bank of the Republic of Kazakhstan abolished by the Presidential decree of the Republic of Kazakhstan of January 30, 2014 No. 744 "About some questions of National Bank of the Republic of Kazakhstan");

6) personnel service - division on work with personnel of the Agency;

7) personnel reserve - the list of persons which successfully underwent tender or selection for the subsequent occupation of vacant position of the employee of the Agency;

8) the commission on forming of personnel reserve - collegiate organ of the Agency which performs selection for the purpose of forming of personnel reserve;

9) tender - the procedures which are carried out for occupation of vacant position of the employee of the Agency;

10) participants of tender - persons who filed documents to the Agency after publication of the announcement of tender;

11) the contest committee - the collegiate organ of the Agency which considers the documents filed by participants of tender conducts interview with candidates and performs final candidate screen on occupation of vacant position of the employee of the Agency;

12) documents - the documents submitted to personnel service by persons wishing to take part in tender;

13) requirements - the Agencies developed by the Agency taking into account its main activities of divisions, ex-officio full powers of employees shown to persons applying for holding the post of the employee of the Agency by training, to work experience and competences;

14) the abolished Agency - Agency of the Republic of Kazakhstan on regulation and supervision of the financial market and the financial organizations (it is abolished by the Presidential decree of the Republic of Kazakhstan of April 12, 2011 No. 25 "About further enhancement of system of state regulation of the financial market of the Republic of Kazakhstan");

15) National Bank - central office, branches and representative office of National Bank;

16) the affiliated organizations of National Bank - legal entities, fifty and more percent of shares (share in the authorized capital) which belong to National Bank;

17) the organizations of National Bank - the republican state companies of National Bank;

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