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

of February 26, 2025 No. 7

About introduction of amendments to the resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of December 14, 2020 No. 116 "About approval of form, terms and frequency of provision by liquidation commissions of reports and the additional information voluntarily and compulsorily liquidated banks, voluntarily and the branches of nonresident banks of the Republic of Kazakhstan which are compulsorily stopping activities"

Board of the Agency of the Republic of Kazakhstan on regulation and development of the DECIDES: financial market

1. Bring in the resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of December 14, 2020 No. 116 "About approval of form, terms and frequency of provision by liquidation commissions of reports and the additional information voluntarily and compulsorily liquidated banks, voluntarily and the branches of nonresident banks of the Republic of Kazakhstan which are compulsorily stopping activities" (it is registered in the Register of state registration of regulatory legal acts at No. 21834) the following changes:

state heading in the following edition:

"About approval of forms, terms and frequency of provision by liquidation commissions voluntarily and compulsorily liquidated banks, voluntarily and the branches of nonresident banks of the Republic of Kazakhstan of reports which are compulsorily stopping activities and the additional information";

state Item 1 in the following edition:

"1. Approve the following forms, terms and frequency of provision by liquidation commissions voluntarily and compulsorily liquidated banks (further – the liquidated bank), voluntarily and the branches of nonresident banks of the Republic of Kazakhstan which are compulsorily stopping activities (further – the branch of nonresident bank of the Republic of Kazakhstan stopping activities) reports and the additional information:

1) form of balance of the liquidated bank according to appendix 1 to this resolution;

2) report form about condition of assets of the liquidated bank according to appendix 2 to this resolution;

3) report form about condition of obligations of the liquidated bank according to appendix 3 to this resolution;

4) report form about assets and liabilities of the branch of nonresident bank of the Republic of Kazakhstan stopping activities according to appendix 4 to this resolution;

5) report form about remaining balance and movement of money of the liquidated bank stopping activities of branch of nonresident bank of the Republic of Kazakhstan for cash desk and current accounts according to appendix 5 to this resolution;

6) report form about condition of receivables of the liquidated bank stopping activities of branch of nonresident bank of the Republic of Kazakhstan according to appendix 6 to this resolution;

7) report form about condition of mortgage property of the liquidated bank stopping activities of branch of nonresident bank of the Republic of Kazakhstan according to appendix 7 to this resolution;

8) report form about condition of own property of the liquidated bank stopping activities of branch of nonresident bank of the Republic of Kazakhstan according to appendix 8 to this resolution;

9) report form about the property leased by liquidation commission according to appendix 9 to this resolution;

10) report form about the expenses made by liquidation commission of the liquidated bank stopping activities of branch of nonresident bank of the Republic of Kazakhstan according to appendix 10 to this resolution;

11) report form about the number of the workers and persons rendering to liquidation commission services in services agreements according to appendix 11 to this resolution;

12) form of register of requirements of creditors of the liquidated bank stopping activities of branch of nonresident bank of the Republic of Kazakhstan, the claims (statements) which are not included in the register of requirements of creditors declared after the expiration of fixed term for presentation according to appendix 12 to this resolution;

13) report form about collection of receivables and condition of mortgage property of the liquidated bank stopping activities of branch of nonresident bank of the Republic of Kazakhstan according to appendix 13 to this resolution;

14) report form about the brought criminal cases concerning leading employees, debtors, the chairman, members or employees of liquidation commission of the liquidated bank stopping activities of branch of nonresident bank of the Republic of Kazakhstan according to appendix 14 to this resolution;

15) form of the interim liquidation balance sheet of the liquidated bank according to appendix 15 to this resolution;

16) form of the list of creditors of the liquidated bank stopping activities of branch of nonresident bank of the Republic of Kazakhstan for the beginning of liquidating process according to appendix 16 to this resolution;

17) form of register of the complaint (statements) made by creditors of the liquidated bank stopping activities of branch of nonresident bank of the Republic of Kazakhstan according to appendix 17 to this resolution;

18) form of register of unclaimed accounts payable of the liquidated bank stopping activities of branch of nonresident bank of the Republic of Kazakhstan according to appendix 18 to this resolution;

19) form of register of own property of the liquidated bank stopping activities of branch of nonresident bank of the Republic of Kazakhstan according to appendix 19 to this resolution;

20) form of register of receivables of the liquidated bank stopping activities of branch of nonresident bank of the Republic of Kazakhstan according to appendix 20 to this resolution;

21) form of the register of requirements of creditors according to appendix 21 to this resolution;

22) form of changes and (or) amendments in the register of requirements of creditors according to appendix 22 to this resolution;

23) form of the liquidation balance sheet of the liquidated bank according to appendix 23 to this resolution.";

3, of 4, 5 and 6 to state Items in the following edition:

"3. Monthly and semi-annual reports are submitted in authorized body on regulation, control and supervision of the financial market and the financial organizations (further – authorized body) no later than 8 (eighth) following for reporting.

The annual statement is submitted in authorized body not later 30 on the (thirtieth) of January the year following reporting.

If the last day of term of submission of reports falls on non-working day, then date is postponed the next working day.

Report forms and the additional information are represented to authorized body on paper and in electronic form.

4. The monthly report includes:

1) for the liquidated bank: the reports provided by subitems 1), 2), 3), 5), 6), 7), 8), 9), 10), 11) and 12) of Item 1 of this resolution;

2) for the branch of nonresident bank of the Republic of Kazakhstan stopping activities: the reports provided by subitems 4), 5), 6), 7), 8), 9), 10), 11) and 12) of Item 1 of this resolution;

3) the explanatory note about condition of liquidating process in the liquidated bank stopping the activities branch of nonresident bank of the Republic of Kazakhstan for the accounting period (further - the explanatory note) containing information specified in Item 7 of this resolution.

Reporting date of the monthly report is the first, following for reporting. 1 (one) calendar month is considered the accounting period.

5. The report for the first half of the year includes:

1) for the liquidated bank: the reports provided by subitems 1), 2), 3), 5), 6), 7), 8), 9), 10), 11), 12), 13) and 14) of Item 1 of this resolution;

2) for the branch of nonresident bank of the Republic of Kazakhstan stopping activities: the reports provided by subitems 4), 5), 6), 7), 8), 9), 10), 11), 12), 13) and 14) of Item 1 of this resolution;

3) the explanatory note containing information specified in Item 7 of this resolution.

Reporting date of the report for the first half of the year is on the (first) of July 1. The accounting period for the semi-annual report is the first half of the year, since 1 on the (first) of January till the (thirtieth) of June 30.

The report on the done work for the second half of the year is not submitted.

6. The annual statement includes:

1) for the liquidated bank: the reports provided by subitems 1), 2), 3), 5), 6), 7), 8), 9), 10), 11), 12), 13) and 14) of Item 1 of this resolution;

2) for the branch of nonresident bank of the Republic of Kazakhstan stopping activities: the reports provided by subitems 4), 5), 6), 7), 8), 9), 10), 11), 12), 13) and 14) of Item 1 of this resolution;

3) the explanatory note containing information specified in Item 7 of this resolution.

Reporting date of the annual statement is on the (first) of January 1 the year following for reporting. The accounting period for the annual statement is calendar year, since 1 on the (first) of January till the (thirty first) of December 31.";

state Item 8 in the following edition:

"8. The interim liquidation balance sheet provided by the subitem 15) of Item 1 of this resolution, or the report on assets and liabilities of the branch of nonresident bank of the Republic of Kazakhstan stopping activities provided by the subitem 4) of Item 1 of this resolution are constituted based on the following documents:

1) personal accounts to balance sheet accounts, registers of analytical and synthetic accounting of the liquidated bank stopping activities of branch of nonresident bank of the Republic of Kazakhstan;

2) inventory reports of accounting and legal documents, assets and liabilities of the liquidated bank stopping activities of branch of nonresident bank of the Republic of Kazakhstan;

3) disaggregations of all balance sheet accounts for the beginning of liquidating process;

4) data on off-balance accounts for the beginning of liquidating process of the liquidated bank stopping activities of branch of nonresident bank of the Republic of Kazakhstan.";

state Item 11 in the following edition:

"11. Changes and (or) amendments in the register of requirements of creditors provided by the subitem 22) of Item 1 of this resolution are drawn up within 10 (ten) working days from the date of adoption by liquidation commission of the decision on modification and (or) amendments in the register of requirements of creditors.";

13, of 14, 15 and 15-1 to state Items in the following edition:

"13. The liquidation balance sheet of the liquidated bank provided by the subitem 23) of Item 1 of this resolution is created after carrying out by liquidation commission in full of actions for completion of cases of the liquidated bank.

The report on liquidation of bank, branch of nonresident bank of the Republic of Kazakhstan contains information about (about):

1) date and the body which made the decision on liquidation of bank, the termination of activities of branch of nonresident bank of the Republic of Kazakhstan;

2) appointment of temporary administration (in case of involuntary liquidation of the liquidated bank) and liquidation commission, change of structure of liquidation commission;

3) accomplishment of priority actions, creation and approval of the interim liquidation balance sheet, interim statement on liquidation;

4) forming, approval and functioning of creditor committee of the liquidated bank stopping activities of branch of nonresident bank of the Republic of Kazakhstan;

5) condition of assets of the liquidated bank stopping activities of branch of nonresident bank of the Republic of Kazakhstan for the beginning of process of liquidation;

6) the held events for collection of receivables from debtors of the liquidated bank stopping activities of branch of nonresident bank of the Republic of Kazakhstan;

7) the held events for realization of property of the liquidated bank stopping activities of branch of nonresident bank of the Republic of Kazakhstan;

8) remaining balance and movement of money according to current accounts and cash desk of the liquidated bank stopping activities of branch of nonresident bank of the Republic of Kazakhstan;

9) obligations of the liquidated bank stopping activities of branch of nonresident bank of the Republic of Kazakhstan as of start date of process of liquidation;

10) accomplishment of obligations to creditors of the liquidated bank stopping activities of branch of nonresident bank of the Republic of Kazakhstan.

Copies of the documents confirming removal from accounting registration of branches (representations) of the liquidated bank, transfer in the arranged type on storage in the Public Records Offices in the location of the liquidated bank stopping activities of branch of nonresident bank of the Republic of Kazakhstan of the documents of the liquidated bank which is stopping activities of branch of nonresident bank of the Republic of Kazakhstan subject to permanent storage are attached to the report on liquidation of bank, branch of nonresident bank of the Republic of Kazakhstan.

14. The report on liquidation of bank, branch of nonresident bank of the Republic of Kazakhstan and the liquidation balance sheet of the liquidated bank are represented to authorized body for review (in case of involuntary liquidation of bank) or approvals (in case of the forced termination of activities of branch of nonresident bank of the Republic of Kazakhstan), or considerations before approval by general shareholder meeting of the liquidated bank, authorized body of nonresident bank of the Republic of Kazakhstan (in case of voluntary liquidation, the voluntary termination of activities of branch of nonresident bank of the Republic of Kazakhstan) in one copy.

The authorized body approves (in case of involuntary liquidation of bank) or claims and makes the decision on completion of the procedure of the forced termination of activities of branch of nonresident bank of the Republic of Kazakhstan (in case of the forced termination of activities of branch of nonresident bank of the Republic of Kazakhstan), or considers (in case of voluntary liquidation, the voluntary termination of activities of branch of nonresident bank of the Republic of Kazakhstan) the report on liquidation of bank, branch of nonresident bank of the Republic of Kazakhstan and the liquidation balance sheet of the liquidated bank within 30 (thirty) calendar days from the date of their receipt.

The report on liquidation of bank, branch of nonresident bank of the Republic of Kazakhstan, the liquidation balance sheet of the liquidated bank after approval (in case of involuntary liquidation), approvals (in case of the forced termination of activities of branch of nonresident bank) or considerations (in case of voluntary liquidation, the voluntary termination of activities) return to liquidation commission, in authorized body there are their copies.

15. Liquidation commission:

1) compulsorily liquidated bank within 5 (five) working days after approval of authorized body submits the report on liquidation and the liquidation balance sheet of the liquidated bank in court for approval;

2) voluntarily liquidated bank within 10 (ten) working days after consideration by authorized body is submitted by the report on liquidation and the liquidation balance sheet of the liquidated bank for approval of general shareholder meeting (the single shareholder).

The liquidation commission of compulsorily liquidated bank after submission of the report on liquidation to court monthly no later than 8 (eighth) following after month of provision of the report on liquidation in court provides in authorized body information on the course of its consideration in court.

The liquidation commission represents to the copy approved the report on liquidation and the liquidation balance sheet of the liquidated bank to authorized body in terms, stipulated in Item the 7th article 73 of the Law of the Republic of Kazakhstan "About banks and banking activity in the Republic of Kazakhstan".

15-1. The liquidation commission of the branch of nonresident bank of the Republic of Kazakhstan which is voluntarily stopping activities within 10 (ten) working days after consideration by authorized body submits the report on liquidation of branch of nonresident bank of the Republic of Kazakhstan for approval of authorized body of nonresident bank of the Republic of Kazakhstan.

The liquidation commission of the branch of nonresident bank of the Republic of Kazakhstan which is voluntarily stopping activities represents the copy of the approved report on liquidation, and also the report on assets and liabilities of the branch of nonresident bank of the Republic of Kazakhstan stopping activities to authorized body in terms, stipulated in Item the 6th article 69 of the Law of the Republic of Kazakhstan "About banks and banking activity in the Republic of Kazakhstan".";

1, of 2, of 3, of 4, of 5, of 6, of 7, of 8, of 9, of 10, of 11, of 12, of 13, of 14, of 15, of 16, of 17, of 18, of 19, of 20, of 21, 22 and 23 to state appendices in edition according to appendices 1, of 2, of 3, of 4, of 5, of 6, of 7, of 8, of 9, of 10, of 11, of 12, of 13, of 14, of 15, of 16, of 17, of 18, of 19, of 20, of 21, 22 and 23 to this resolution.

2. To provide to department of bank regulation 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.

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.

It is approved Bureau of national statistics of the Agency on strategic planning and reforms of the Republic of Kazakhstan

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