ORDER OF THE CHAIRMAN OF THE AGENCY ON PROTECTION AND DEVELOPMENT OF THE COMPETITION OF THE REPUBLIC OF KAZAKHSTAN

of December 23, 2025 No. 15

About approval of Requirements to rules of internal control for the purpose of counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction for commodity exchanges, the exchange brokers performing the activities at commodity exchange and the making transactions with exchange goods and also clearing centers of commodity exchanges

According to Item 3-2 of article 11 of the Law of the Republic of Kazakhstan "About counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction" PRIKAZYVAYU:

1. Approve the enclosed Requirements to rules of internal control for the purpose of counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction for commodity exchanges, the exchange brokers performing the activities at commodity exchange and the making transactions with exchange goods and also clearing centers of commodity exchanges.

2. In the procedure established by the legislation to provide to department of exchange control of the Agency on protection and development of the competition of the Republic of Kazakhstan (further - the Agency):

1) state registration of this order in the Ministry of Justice of the Republic of Kazakhstan;

2) placement of this order on Internet resource of the Agency after its official publication.

3. To impose control of execution of this order on the supervising vice-chairman of the Agency.

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

Approved by the Order of the Agency on protection and development of the competition of the Republic of Kazakhstan of December 23, 2025 No. 15

Requirements to rules of internal control for the purpose of counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction for commodity exchanges, the exchange brokers performing the activities at commodity exchange and the making transactions with exchange goods and also clearing centers of commodity exchanges

Chapter 1. General provisions

1. These Requirements to rules of internal control for the purpose of counteraction of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction (further - POD/FT/FROMU) (further - Requirements) are developed for the commodity exchanges, the exchange brokers performing the activities at commodity exchange and making transactions with exchange goods, and also clearing centers of commodity exchanges according to Item 3-2 of article 11 of the Law of the Republic of Kazakhstan "About counteraction of legalization (washing) of the income received in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction" (further - the Law) and International standards of Group of development of financial measures of anti-money laundering (FATF).

2. In these Requirements to subjects of financial monitoring the commodity exchanges, the exchange brokers performing the activities at commodity exchange and making transactions with exchange goods, and also clearing centers of commodity exchanges belong (further - the subject).

3. The concepts used in Requirements are applied in the values specified in the Law and the Law of the Republic of Kazakhstan "About commodity exchanges".

4. For the purposes of Requirements the following basic concepts are used:

1) private office - the profile of the user (subject) on the allocated communication channels of authorized body on the information and telecommunication Internet providing electronic interaction of its users (subjects) with authorized body;

2) the suspicious activities of the client which are subject to financial monitoring - set of two and more suspicious transactions of the client with money and (or) other property concerning which the subject has suspicions that the money and (or) other property used for their making are the income from criminal activities, financing of terrorism and financing of distribution of weapons of mass destruction;

3) authorized body on financial monitoring - the state body performing financial monitoring and taking other measures for counteraction of legalization (washing) of income gained in the criminal way, to terrorism financing, financing of distribution of weapons of mass destruction according to the Law;

4) the FM-1 form - form of data and information on the transaction and activities which are subject to financial monitoring, by the subjects of data provided by the Rules of submission and information on the transactions which are subject to financial monitoring, and signs of determination of suspicious transaction approved by the order of the Chairman of the Agency of the Republic of Kazakhstan on financial monitoring of February 22, 2022 No. 13 (it is registered in the Register of state registration of regulatory legal acts for No. 26924) according to Item 2 of article 10 of the Law;

5) risks of legalization (washing) of income gained in the criminal way, to financing of terrorism and financing of distribution of weapons of mass destruction (further - OD/FT/FROMU) - possibility of deliberate or inadvertent involvement of subjects in processes of legalization of OD/FT/FROMU or other criminal activities;

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