of December 24, 2025 No. 110
About approval of Rules of submission of the reporting by professional participants of the security market and single accumulation pension fund
According to the subitem 48) of paragraph two of part two of Item 19 of the Regulations on National Bank of the Republic of Kazakhstan approved by the Presidential decree of the Republic of Kazakhstan of December 31, 2003 No. 1271 "About approval of the Provision and structure of National Bank of the Republic of Kazakhstan" and the subitem 2) of Item 3 of article 16 of the Law of the Republic of Kazakhstan "About the state statistics" the Board of National Bank of the Republic of Kazakhstan DECIDES:
1. Approve the enclosed Rules of submission of the reporting as professional participants of the security market and the single accumulation pension fund (further – Rules).
2. Recognize invalid some resolutions of Board of National Bank of the Republic of Kazakhstan, and also structural elements of some resolutions of Board of National Bank of the Republic of Kazakhstan according to the list according to appendix to this resolution.
3. To provide to department of statistics of the financial market of National Bank of the Republic of Kazakhstan in the procedure established by the legislation of the Republic of Kazakhstan:
1) together with Legal department of National Bank of the Republic of Kazakhstan 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 National Bank of the Republic of Kazakhstan after its official publication;
3) within ten working days after state registration of this resolution submission to Legal department of National Bank of the Republic of Kazakhstan 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 National Bank of the Republic of Kazakhstan.
5. This resolution becomes effective after ten calendar days after day of its first official publication.
Chairman of National Bank of the Republic of Kazakhstan
T. Suleymenov
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It is approved Bureau of national statistics of the Agency on strategic planning and reforms of the Republic of Kazakhstan |
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It is approved Agency of the Republic of Kazakhstan on regulation and development of the financial market |
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Approved by the Resolution of Board of National Bank of the Republic of Kazakhstan of December 24, 2025 No. 110
1. Rules of submission of the reporting by professional participants of the security market and the single accumulation pension fund (further – Rules) are developed with the subitem 48) of paragraph two of part two of Item 19 of the Regulations on National Bank of the Republic of Kazakhstan approved by the Presidential decree of the Republic of Kazakhstan of December 31, 2003 No. 1271 "About approval of the Provision and structure of National Bank of the Republic of Kazakhstan", the subitem 2) of Item 3 of article 16 of the Law of the Republic of Kazakhstan "About the state statistics" and determine procedure for representation, including the forms intended for collection of administrative data, frequency and terms of submission of the reporting by professional participants of the security market and the single accumulation pension fund (further – the Organizations) in National Bank of the Republic of Kazakhstan (further – National Bank).
2. The reporting is submitted the organizations in electronic form by means of the information system "Web Portal of National Bank of the Republic of Kazakhstan" representing single window of access to services of submission of the reporting to National Bank.
3. The reporting certified by means of the digital signature by the head of the Organization or person to who function on signing of the report is assigned and the contractor is stored in electronic format.
4. Completeness and accuracy of the data in the reporting is provided with the head of the Organization or person to who function on signing of the report is assigned.
5. Data in the reporting are specified in national currency of the Republic of Kazakhstan – tenge, and also in dollars of the United States of America.
6. For the purpose of forming of the reporting assets in foreign currency are specified in recalculation at the market rate of currency exchange determined according to the procedure established joint by the resolution of Board of National Bank of the Republic of Kazakhstan of September 26, 2025 No. 56 and the order of the Minister of Finance of the Republic of Kazakhstan of September 29, 2025 No. 544 "About approval of Rules of determination of the market rate of currency exchange" (it is registered in the Register of state registration of regulatory legal acts at No. 36983).
7. The concepts "resident" and "nonresident" are used in the values determined by the Law of the Republic of Kazakhstan "About currency control and currency exchange control".
8. In the presence of the branch including registered in the territory of the International financial center "Astana", the organizations performing activities for management of investment portfolio and broker and (or) dealer activities in the security market represent the reporting taking into account activities of branches.
9. The organizations performing transfer - agency activities in the security market, and also the insurance (reinsurance) organizations having license for activities on management of investment portfolio do not represent to National Bank the reporting according to Rules.
10. The organizations performing activities for management of investment portfolio (further – managing directors of investment portfolio), represent to National Bank monthly, no later than 7 (seventh) working days of the month following month under report:
1) the report on the securities acquired at the expense of own assets on form according to appendix 1 to Rules;
2) the operations statement "the return repo" and repo, made at the expense of own assets, in form according to appendix 2 to Rules;
3) the report on the deposits and money considered as a part of own assets on form according to appendix 3 to Rules;
4) the report on investments into the capital of other legal entities at the expense of own assets in form according to appendix 4 to Rules;
5) the report on the issued loans and receivables considered as a part of own assets and assets of clients on form according to appendix 5 to Rules;
6) the report on investment funds on form according to appendix 6 to Rules;
7) the report on structure of the investment portfolio acquired for the asset account of clients on form according to appendix 7 to Rules;
8) the report on structure of other property of investment fund on form according to appendix 8 to Rules;
9) the report on the investments of investment fund and other clients in the capital of legal entities which are not joint-stock companies on form according to appendix 9 to Rules;
10) the report on the concluded bargains on investment of assets of clients on form according to appendix 10 to Rules;
11) the report on the concluded bargains on investment of own assets on form according to appendix 11 to Rules, except for the table 1, which is not submitted the managing investment portfolio having the license for occupation broker and (or) dealer activities in the security market;
12) the report on committed transactions on investment of assets of clients and own assets in derivative financial instruments in form according to appendix 12 to Rules;
13) the report on committed transactions on investment of assets of clients and own assets with affiliates in form according to appendix 13 to Rules;
14) the report on accomplishment of prudential standard rates by the organizations exercising control of investment portfolio and (or) broker and (or) dealer activities in the security market for form according to appendix 14 to Rules.
11. The organizations performing broker and (or) dealer activities in the security market (further – brokers and (or) dealers), except for the banks of the second level, branches of nonresident bank of the Republic of Kazakhstan and the National operator of mail having the license for implementation of broker and (or) dealer activities in the security market represent to National Bank monthly, no later than 7 (seventh) working days of the month following month under report:
1) the report on the securities acquired at the expense of own assets on form according to appendix 1 to Rules;
2) the operations statement "the return repo" and repo, made at the expense of own assets, in form according to appendix 2 to Rules;
3) the report on the deposits and money considered as a part of own assets on form according to appendix 3 to Rules;
4) the report on investments into the capital of other legal entities at the expense of own assets in form according to appendix 4 to Rules;
5) the report on the issued loans and receivables considered as a part of own assets and assets of clients on form according to appendix 5 to Rules;
6) the report on accomplishment of prudential standard rates by the organizations exercising control of investment portfolio and (or) broker and (or) dealer activities in the security market for form according to appendix 14 to Rules.
12. Brokers and (or) dealers represent to National Bank monthly, no later than 7 (seventh) working days of the month following month under report, the report on transactions (transactions) with financial instruments, committed (registered) in the unorganized market of the Republic of Kazakhstan and the international (foreign) security markets, in form according to appendix 15 to Rules.
13. Brokers and (or) dealers represent to National Bank quarterly, no later than the last date following reporting quarter:
1) data on the organization having the license for implementation of broker and (or) dealer activities in the security market of the Republic of Kazakhstan for form according to appendix 16 to Rules;
2) the information about users of the automated system of the algorithmic trading performed for the asset account of clients and own assets in form according to appendix 17 to Rules.
14. Brokers and (or) dealers, except for the Voluntary accumulation pension fund having the license for implementation of broker and (or) dealer activities represent to National Bank quarterly, no later than the last date following reporting quarter:
1) the report on transactions with derivative financial instruments on form according to appendix 18 to Rules;
2) the report on remaining balance of the money which is on accounts of the broker on form according to appendix 19 to Rules;
3) the report on rendering services by the broker and (or) the dealer on form according to appendix 20 to Rules.
15. Brokers and (or) dealers, except for the Voluntary accumulation pension fund having the license for implementation of broker and (or) dealer activities, and also the broker and (or) the dealer without the right of account management of clients as the nominee holder, the single operator in the sphere of accounting of state-owned property represent to National Bank quarterly, no later than the last date following reporting quarter:
1) the report on the securities which are in nominal continence on form according to appendix 21 to Rules;
2) the report on the securities issued according to the legislation of foreign state and the International financial center "Astana" which are in nominal continence in form according to appendix 22 to Rules.
16. Managing directors of investment portfolio with the right of attraction of voluntary pension contributions (further – the Voluntary accumulation pension funds) represent to National Bank monthly, no later than 7 (seventh) working days of the month following month under report:
1) the report on the securities acquired at the expense of own assets on form according to appendix 1 to Rules;
2) the operations statement "the return repo" and repo, made at the expense of own assets, in form according to appendix 2 to Rules;
3) the report on the deposits and money considered as a part of own assets on form according to appendix 3 to Rules;
4) the report on investments into the capital of other legal entities at the expense of own assets in form according to appendix 4 to Rules;
5) the report on the issued loans and receivables considered as a part of own assets and assets of clients on form according to appendix 5 to Rules;
6) the report on investment funds on form according to appendix 6 to Rules;
7) the report on structure of the investment portfolio acquired for the asset account of clients on form according to appendix 7 to Rules;
8) the report on structure of other property of investment fund on form according to appendix 8 to Rules;
9) the report on the investments of investment fund and other clients in the capital of legal entities which are not joint-stock companies on form according to appendix 9 to Rules;
10) the report on the concluded bargains on investment of assets of clients on form according to appendix 10 to Rules;
11) the report on the concluded bargains on investment of own assets on form according to appendix 11 to Rules, except for the table 1, which is not submitted the managing investment portfolio having the license for occupation broker and (or) dealer activities in the security market;
12) the report on committed transactions on investment of assets of clients and own assets in derivative financial instruments in form according to appendix 12 to Rules;
13) the report on committed transactions on investment of assets of clients and own assets with affiliates in form according to appendix 13 to Rules;
14) the report on accomplishment of prudential standard rates by the organizations exercising control of investment portfolio and (or) broker and (or) dealer activities in the security market for form according to appendix 14 to Rules;
15) the report on the cost of pension assets on form according to appendix 23 to Rules;
in case of management of pension assets of the single accumulation pension fund according to the contract for investment asset management signed with National Bank – the report on the cost of pension assets on form according to appendix 23 to Rules – separately on the assets of the single accumulation pension fund and pension assets which are in management;
16) the report on structure of investment portfolio of pension assets on form according to appendix 24 to Rules;
in case of management of pension assets of the single accumulation pension fund according to the contract for investment asset management signed with National Bank – the report on structure of investment portfolio of pension assets on form according to appendix 24 to Rules – separately on the assets of the single accumulation pension fund and pension assets which are in management;
17) the report on amounts of pension accruals and the number of investors (receivers) of voluntary pension contributions on form according to appendix 25 to Rules;
in case of management of pension assets of the single accumulation pension fund according to the contract for investment asset management signed with National Bank – the report on amounts of pension accruals and the number of investors (receivers) of voluntary pension contributions on form according to appendix 25 to Rules – separately on the assets of the single accumulation pension fund and pension assets which are in management;
18) the report on retirement benefits on form according to appendix 26 to Rules;
in case of management of pension assets of the single accumulation pension fund according to the contract for investment asset management signed with National Bank – the report on retirement benefits on form according to appendix 26 to Rules – separately on the assets of the single accumulation pension fund and pension assets which are in management;
19) the report on the cost of one conventional unit of pension assets of the Voluntary accumulation pension fund on form according to appendix 27 to Rules.
17. The Voluntary accumulation pension funds represent to National Bank quarterly, no later than 25 (twenty fifth) following reporting quarter:
1) the report on the assets and liabilities on own assets classified by sectors of economy, in form according to appendix 28 to Rules;
2) the report on the assets and liabilities on pension assets classified by sectors of economy, in form according to appendix 29 to Rules.
18. The managing director of investment portfolio to which pension assets are delivered in trust management (further – the trustee) represents to National Bank monthly, no later than 7 (seventh) working days of the month following month under report:
1) the report on the securities acquired at the expense of own assets on form according to appendix 1 to Rules;
2) the operations statement "the return repo" and repo, made at the expense of own assets, in form according to appendix 2 to Rules;
3) the report on the deposits and money considered as a part of own assets on form according to appendix 3 to Rules;
4) the report on investments into the capital of other legal entities at the expense of own assets in form according to appendix 4 to Rules;
5) the report on the issued loans and receivables considered as a part of own assets and assets of clients on form according to appendix 5 to Rules;
6) the report on investment funds on form according to appendix 6 to Rules;
7) the report on structure of the investment portfolio acquired for the asset account of clients on form according to appendix 7 to Rules;
8) the report on structure of other property of investment fund on form according to appendix 8 to Rules;
9) the report on the investments of investment fund and other clients in the capital of legal entities which are not joint-stock companies on form according to appendix 9 to Rules;
10) the report on the concluded bargains on investment of assets of clients on form according to appendix 10 to Rules;
11) the report on the concluded bargains on investment of own assets on form according to appendix 11 to Rules, except for table 1 which is not submitted the managing investment portfolio having the license for occupation broker and (or) dealer activities in the security market;
12) the report on committed transactions on investment of assets of clients and own assets in derivative financial instruments in form according to appendix 12 to Rules;
13) the report on committed transactions on investment of assets of clients and own assets with affiliates in form according to appendix 13 to Rules;
14) the report on accomplishment of prudential standard rates by the organizations exercising control of investment portfolio and (or) broker and (or) dealer activities in the security market for form according to appendix 14 to Rules;
15) the report on the cost of pension assets on form according to appendix 23 to Rules;
16) the report on structure of investment portfolio of pension assets on form according to appendix 24 to Rules;
17) the report on observance of limits of investment on form according to appendix 30 to Rules;
18) the report on the cost of one conventional unit of the pension assets which are in trust management on form according to appendix 31 to Rules;
19) the report on coefficients of nominal profitability of pension assets on form according to appendix 32 to Rules.
19. The custodian, including custodian of the Voluntary accumulation pension fund, the custodian performing storage and accounting of the pension assets which are in trust management of the managing director of investment portfolio represents to National Bank quarterly, no later than the last date following reporting quarter:
1) the report on the securities which are in nominal continence on form according to appendix 21 to Rules;
2) the report on the securities issued according to the legislation of foreign state, which are in nominal continence on form according to appendix 22 to Rules;
3) the report on the blocked (unexecuted) orders of clients on form according to appendix 33 to Rules;
4) the report on the number of clients of custodian on form according to appendix 34 to Rules.
20. The custodian of the Voluntary accumulation pension fund, the custodian performing storage and accounting of the pension assets which are in trust management of the managing director of investment portfolio represents to National Bank monthly, no later than 7 (seventh) working days of the month following month under report:
1) the report on movement of pension assets on the investment account in national currency in form according to appendix 35 to Rules;
2) the report on movement of pension assets on the investment account in foreign currency in form according to appendix 36 to Rules;
3) the report on structure of investment portfolio of pension assets on form according to appendix 37 to Rules;
4) the report on the added and paid commission fees on form according to appendix 38 to Rules.
21. The organizer of the biddings, except for the central depositary, represents to National Bank daily, until the end of the working day following behind reporting day:
1) the report on purchasing requests (sale) of securities in form according to appendix 39 to Rules;
2) the report on results of the biddings by securities with indication of the parties of transactions on form according to appendix 40 to Rules;
3) the report on requests for transactions of repo with securities in form according to appendix 41 to Rules;
4) the operations statement repo with securities with indication of their participants in form according to appendix 42 to Rules;
5) the report on purchasing requests (sale) of derivative financial instruments in form according to appendix 43 to Rules;
6) the report on results of the biddings by derivative financial instruments with indication of the parties of transactions on form according to appendix 44 to Rules;
7) the report on purchasing requests (sale) of foreign currencies in form according to appendix 45 to Rules;
8) the report on results of the biddings by foreign currencies in form according to appendix 46 to Rules.
22. The organizer of the biddings, except for the central depositary, represents to National Bank quarterly, no later than 5 (fifth) working days of the month following reporting quarter – the report on members of the organizer of the biddings on form according to appendix 47 to Rules.
23. The organizer of the biddings, except for the central depositary, represents to National Bank monthly, no later than 5 (fifth) working days of the month following month under report:
1) the report on the securities entering certain sectors (categories) of the list of the organizer of the biddings on form according to appendix 48 to Rules;
2) the report on financial instruments, except for the securities entering the list of the organizer of the biddings in form according to appendix 49 to Rules;
3) the report on amounts of transactions on form according to appendix 50 to Rules;
4) the report on capitalization of the security market on form according to appendix 51 to Rules;
5) the report on customer accounts on form according to appendix 52 to Rules;
6) the report on transactions with the faces tied with the organizer of the biddings by the special relations concluded during month under report, and also operating on reporting date, and the register of faces tied with the organizer of the biddings by the special relations in form according to appendix 53 to Rules;
7) the report on committed transactions on investment of own assets on form according to appendix 54 to Rules.
24. The clearing organization submits in National Bank the report about net - requirements and net - obligations of the subjects using services of the clearing organization in form according to appendix 55 to Rules daily, until the end of the working day following behind reporting day.
25. The central depositary represents to National Bank:
1) the report on the transactions with the faces tied with the central depositary the special relations, concluded during reporting quarter, and also existing on reporting date, and the register of faces tied with the central depositary the special relations in form according to appendix 56 to Rules – quarterly, no later than 20 (twentieth) following reporting quarter;
2) the operations statement, carried out in system of accounting of the central depositary with non-state securities, by sectors and splits of economy in form according to appendix 57 to Rules – monthly, no later than 10 (tenth) following month under report;
3) the report on the register of holders of financial instruments on form according to appendix 58 to Rules – monthly, no later than 20 (twentieth) following month under report.
26. The single accumulation pension fund represents to National Bank quarterly, no later than 25 (twenty fifth) following reporting quarter:
1) the report on the assets and liabilities on own assets classified by sectors of economy, in form according to appendix 28 to Rules;
2) the report on the assets and liabilities on pension assets classified by sectors of economy, in form according to appendix 29 to Rules.
27. The single accumulation pension fund represents to National Bank monthly, no later than 7 (seventh) working days of the month following month under report:
1) the report on the cost of pension assets on form according to appendix 59 to Rules, in case of availability at the single accumulation pension fund of the pension assets transferred to external management – no later than 20 (twentieth) following month under report;
2) the report on structure of investment portfolio of pension assets on form according to appendix 60 to Rules;
3) the report on the pension assets which are in external management on form according to appendix 61 to Rules, in case of availability at the single accumulation pension fund of the pension assets transferred to external management no later than 20 (twentieth) following month under report;
4) the report on amounts of pension accruals and the number of individual retirement accounts (sub-accounts) of investors (receivers) on form according to appendix 62 to Rules;
5) the report on amounts of pension accruals and the number of individual retirement accounts (sub-accounts) of investors (receivers) on the areas of the Republic of Kazakhstan (at the place of residence of the investor (receiver)) in form according to appendix 63 to Rules;
6) the report on retirement benefits on the compulsory pension contributions compulsory for professional pension contributions, voluntary pension contributions on form according to appendix 64 to Rules;
7) the report on the securities acquired at the expense of own assets on form according to appendix 65 to Rules;
8) the report on committed transactions on investment of own assets on form according to appendix 66 to Rules;
9) the report on the cost of one conventional unit of the pension assets created at the expense of compulsory pension contributions, compulsory professional pension contributions and voluntary pension contributions in form according to appendix 67 to Rules;
10) the report on the cost of one conventional unit of contingent pension liabilities on form according to appendix 68 to Rules;
11) the report on payments and return of target accumulatings according to appendix 69 to Rules.
28. The single accumulation pension fund represents to National Bank quarterly, no later than 7 (seventh) working days of the month following reporting quarter:
1) the report on amounts of pension payments and pension accruals to working (members of the family) of state members of the Eurasian Economic Union in the territory of the Republic of Kazakhstan in form according to appendix 70 to Rules;
2) the report on the financial instruments of the issuers who allowed default, acquired at the expense of pension assets on form according to appendix 71 to Rules.
29. The single accumulation pension fund represents to National Bank annually, not later 30 on the (thirtieth) of April the year following after accounting year, the report on target requirements for form according to appendix 72 to Rules.
to Rules of submission of the reporting by professional participants of the security market and single accumulation pension fund
The form intended for collection of administrative data
It is represented: in National Bank of the Republic of Kazakhstan
The form intended for collection of administrative data on a grant basis is placed on Internet resource: www.nationalbank.kz
Name of administrative form: The report on the securities acquired at the expense of own assets
Index of the form intended for collection of administrative data on a grant basis: 1-RCB_CBSA
Frequency: monthly
Accounting period: as of "_____" _______________ 20 __ years
The group of people, representing the form intended for collection of administrative data on a grant basis: managing directors of investment portfolio, brokers and (or) dealers
The term of representation of the form intended for collection of administrative data on a grant basis: monthly, no later than 7 (seventh) working days of the month following month under report
BIN: _______________________
Collection method: in electronic form
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№ |
Name of the issuer |
Country of the issuer |
Security type |
Security identification number |
Number of securities | ||
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in total |
including securities with encumbrance and the securities which are subject of transactions of repo | ||||||
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in total |
including the securities which are subject of transactions of repo | ||||||
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1 |
2 |
3 |
4 |
5 |
6 |
7 |
8 |
|
1 |
Government securities of the Republic of Kazakhstan |
||||||
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1.1. |
|||||||
|
… |
|||||||
|
2 |
Non-state issued securities of the organizations of the Republic of Kazakhstan |
||||||
|
2.1. |
securities of banks of the second level |
||||||
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2.1.1. |
|||||||
|
… |
|||||||
|
2.2. |
securities of legal entities, except for banks of the second level |
||||||
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2.2.1. |
|||||||
|
… |
|||||||
|
3 |
Securities of foreign states |
||||||
|
3.1. |
|||||||
|
… |
|||||||
|
4 |
Non-state securities of issuers of nonresidents of the Republic of Kazakhstan |
||||||
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4.1. |
|||||||
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… |
|||||||
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5 |
Securities of international financial institutions |
||||||
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5.1. |
|||||||
|
… |
|||||||
|
6 |
Shares |
||||||
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6.1. |
|||||||
|
… |
|||||||
|
7 |
Total |
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continuation of the table:
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Currency code of acquisition of security |
Purchase price for one security |
Period |
Purchase value of securities |
Nominal value | ||
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date of registration |
repayment date |
currency code |
cost of one security | |||
|
9 |
10 |
11 |
12 |
13 |
14 |
15 |
continuation of the table:
|
Book value of securities | ||||||
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in total |
discount (award) |
the added remuneration |
positive (negative) adjustment |
securities with encumbrance and the securities which are subject of transactions of repo, all |
including the securities which are subject of transactions of repo |
For information only: the created reserves (provisions) |
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16 |
17 |
18 |
19 |
20 |
21 |
22 |
continuation of the table:
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Accounting category |
Security rating |
The current coupon rate in portfolio | |
|
for date of registration |
on reporting date | ||
|
23 |
24 |
25 |
26 |
Name ______________________________________
Адрес__________________________________________________________
________________________________________ phone
E-mail address _________________________
Contractor of ______________________________________ ________________
surname, name and middle name (in case of its availability) the signature, phone
The head or person to who function on signing of the report is assigned
_______________________________________ _____________
surname, name and middle name (in case of its availability) the signature
Date "______" ______________ 20 __ years
Note: the form is filled according to the explanation on filling of the form intended for collection of administrative data on a grant basis "The report on the securities acquired at the expense of own assets".
Appendix
to the form intended for collection of administrative data on a grant basis, "The report on the securities acquired at the expense of own assets"
The explanation on filling of the form intended for collection of administrative data on a grant basis "The report on the securities acquired at the expense of own assets"
(index – 1-RCB_CBSA, frequency – monthly)
Chapter 1. General provisions
1. This explanation determines single requirements for filling of the form intended for collection of administrative data on a grant basis "The report on the securities acquired at the expense of own assets" (further – the Form).
2. The form is constituted by monthly managing investment portfolio, the broker and (or) the dealer as of the end of the accounting period. Data in shape are filled in in thousands of tenges. The amount less than 500 (five hundred) tenges is rounded to 0 (zero), and the amount equal of 500 (five hundred) tenges and above, is rounded to 1000 (thousand) tenges.
3. The form is signed by the head or person to who function on signing of the report, and the contractor is assigned.
Chapter 2. The explanation on filling of the Form
4. In column 2 the name of the issuer of security is specified.
5. In column 3 the country of the issuer according to the national qualifier of the Republic of Kazakhstan is specified to RK ISO 3166-1-2016 Oil Company "Codes for representation of country names and units of their administrative-territorial divisions. Part 1. Country codes".
6. In column 4 the type of the acquired security with indication of its type is specified.
7. In column 5 the international identification number (ISIN code) or other identifier of security, concerning the rights of requirements for obligations of the issuer on issued securities which circulation period expired is specified, and the issuer does not fulfill obligations on their repayment – the identifier of rights to claim.
8. In column 6 the quantity of the acquired securities in pieces is specified. Debt securities are specified at par value in release currency.
9. In column 7 the number of securities with encumbrance and the securities which are subject of transactions of repo is specified reporting date. Debt securities are specified at par value in release currency.
10. In column 8 the number of the securities which are subject of transactions of repo is specified reporting date. Debt securities are specified at par value in release currency.
11. In columns 9 and 14 currency codes are specified according to the national qualifier of the Republic of Kazakhstan to RK 07 ISO 4217 Oil Company "Codes for representation of currencies and funds".
12. In column 10 the price, to within four signs after comma, reflected in the source document which confirms implementation of the transaction (the report of the broker and (or) dealer, the confirmation received on the international interbank translation system of information and making payments SWIFT), in tenge is specified. The price of debt securities is reflected as a percentage to nominal value, to within four signs after comma, taking into account the saved-up and not paid remuneration. In case of payment of the acquired security (except for debt securities) in foreign currency, this amount is reflected at the market rate of currency exchange which developed for date of payment under the transaction.
13. In column 11 date of initial recognition in financial accounting in the dd.mm.gggg format is specified.
14. In column 12 repayment date of debt securities in the dd.mm.gggg format is specified.
15. In column 13 the purchase value of securities, including the expenses which are directly connected with acquisition, including the remunerations and commission charges paid to agents, consultants, brokers (dealers), charges of stock exchanges, and also banking services on the translation, reduced by the size of the percent paid by the buyer to the seller is specified (in the presence of that). In case of payment of the acquired security in foreign currency, this amount is reflected at the market rate of currency exchange which developed for date of payment under the transaction.
16. Columns 14 and 15 are filled in according to debt securities. In column 15 the monetary value of bond value determined in case of its release on which the remuneration expressed as a percentage according to the coupon bond, and also the amount which is subject to payment to the bondholder in case of its repayment is charged is specified. The amount is specified in release currency.
17. In column 16 the cost of securities reflected in financial accounting is specified.
18. In column 17 unamortized part of discount (with minus sign) or awards is specified (in absolute expression).
19. In column 18 it is specified the added, but not earned rewards. When filling this column according to debt securities the coupon is specified, according to shares dividends are specified.
20. In column 19 positive or negative adjustment is specified.
21. In column 20 the cost of securities with encumbrance and the securities transferred to repo specified in financial accounting is specified.
22. In column 21 the cost of the securities transferred to repo, is specified reporting date, specified in financial accounting.
23. In column 22 the size of reserves (provisions) created according to international accounting standards is specified. The size of reserves (provisions) is specified in absolute expression.
24. In column 23 the category of security "carried at fair value through other comprehensive income", "carried at fair value through profit or loss" or "considered on depreciated cost" is specified.
25. When filling columns 24 and 25 security rating on bonds, the rating of the issuer according to shares, score of the country on government securities assigned to one of the rating agencies specified in Item 3 of the resolution of Board of National Bank of the Republic of Kazakhstan of December 24, 2012 to No. 385 "About establishment of the minimum rating for legal entities and the countries which need of availability is required according to the legislation of the Republic of Kazakhstan regulating activities of the financial organizations, branches of nonresident banks of the Republic of Kazakhstan, branches of the insurance (reinsurance) nonresident organizations of the Republic of Kazakhstan, the list of the rating agencies assigning this score" is specified (it is registered in the Register of state registration of regulatory legal acts at No. 8318). In the absence of rating in columns 24 and 25 it is specified "there is no rating". These columns are not filled in on government securities of the Republic of Kazakhstan.
26. In column 26 the coupon rate on debt financial instruments is specified date of representation of the Form.
27. Columns 7, of 8, 20 and 21 are filled in concerning the securities specified in columns 6 and 16.
28. In case of lack of data the Form is represented without filling.
to Rules of submission of the reporting by professional participants of the security market and single accumulation pension fund
The form intended for collection of administrative data
It is represented: in National Bank of the Republic of Kazakhstan
The form intended for collection of administrative data on a grant basis is placed on Internet resource: www.nationalbank.kz
Name of administrative form: The operations statement "the return repo" and repo, made at the expense of own assets
Index of the form intended for collection of administrative data on a grant basis: 1-RCB_REPO_SA
Frequency: monthly
Accounting period: as of "_____" _______________ 20 __ years
The group of people, representing the form intended for collection of administrative data on a grant basis: managing directors of investment portfolio, brokers and (or) dealers
The term of representation of the form intended for collection of administrative data on a grant basis: monthly, no later than 7 (seventh) working days of the month following month under report
BIN: _______________________
Collection method: in electronic form
(in thousands of tenges)
|
№ |
Name of the issuer |
Country of the issuer |
Security type |
Security identification number |
Number of securities |
Currency code of nominal value |
Period | |
|
Date of opening of transaction |
Closing date of transaction | |||||||
|
1 |
2 |
3 |
4 |
5 |
6 |
7 |
8 |
9 |
|
1 |
Transactions "the return repo" |
|||||||
|
1.1. |
Direct method |
|||||||
|
1.1.1. |
||||||||
|
… |
||||||||
|
1.2. |
Automatic method |
|||||||
|
1.2.1. |
||||||||
|
… |
||||||||
|
2 |
Transactions of repo |
|||||||
|
2.1. |
Direct method |
|||||||
|
2.1.1. |
||||||||
|
… |
||||||||
|
2.2. |
Automatic method |
|||||||
|
2.2.1. |
||||||||
|
… |
||||||||
continuation of the table:
|
Transaction term in days |
Remuneration rate |
Book value |
For information only: the created reserves (provisions) |
Security rating |
Category of the list of stock exchange |
Central partner | ||
|
for date of the conclusion of the transaction |
on reporting date |
for date of the conclusion of the transaction |
on reporting date | |||||
|
10 |
11 |
12 |
13 |
14 |
15 |
16 |
17 |
18 |
Name ______________________________________
Адрес__________________________________________________________
________________________________________ phone
E-mail address _________________________
Contractor of ______________________________________ ________________
surname, name and middle name (in case of its availability) the signature, phone
The head or person to who function on signing of the report is assigned
_______________________________________ _____________
surname, name and middle name (in case of its availability) the signature
Date "______" ______________ 20 __ years
Note: the form is filled according to the explanation on filling of the form intended for collection of the administrative data on a grant basis "The operations statement "the return repo" and repo made at the expense of own assets".
Appendix
to the form intended for collection of administrative data on a grant basis, "The operations statement "the return repo" and repo, made at the expense of own assets"
The explanation on filling of the form intended for collection of the administrative data on a grant basis "The operations statement "the return repo" and repo made at the expense of own assets" (index – 1-RCB_REPO_SA, frequency – monthly)
Chapter 1. General provisions
1. This explanation determines single requirements for filling of the form intended for collection of the administrative data on a grant basis "The operations statement "the return repo" and repo made at the expense of own assets" (further – the Form).
2. The form is constituted by monthly managing investment portfolio, the broker and (or) the dealer as of the end of the accounting period. Data in shape are filled in in thousands of tenges. The amount less than 500 (five hundred) tenges is rounded to 0 (zero), and the amount equal of 500 (five hundred) tenges and above, is rounded to 1000 (thousand) tenges.
3. The form is signed by the head or person to who function on signing of the report, and the contractor is assigned.
Chapter 2. The explanation on filling of the Form
4. In column 2 the name of the issuer of security is specified.
5. In column 3 the country of the issuer according to the national qualifier of the Republic of Kazakhstan is specified to RK ISO 3166-1-2016 Oil Company "Codes for representation of country names and units of their administrative-territorial divisions. Part 1. Country codes".
6. In column 4 the type of the security transferred and (or) acquired on transactions of repo and (or) "the return by repo" with indication of its type is specified.
7. In column 6 the quantity of the transferred and (or) acquired securities on transactions of repo and (or) "the return is specified to repo".
8. In the column 7 currency codes are specified according to the national qualifier of the Republic of Kazakhstan to RK 07 ISO 4217 Oil Company "Codes for representation of currencies and funds".
9. When filling columns 14 and 15 security rating on bonds, the rating of the issuer according to shares, score of the country on government securities assigned to one of the rating agencies specified in Item 3 of the resolution of Board of National Bank of the Republic of Kazakhstan of December 24, 2012 to No. 385 "About establishment of the minimum rating for legal entities and the countries which need of availability is required according to the legislation of the Republic of Kazakhstan regulating activities of the financial organizations, branches of nonresident banks of the Republic of Kazakhstan, branches of the insurance (reinsurance) nonresident organizations of the Republic of Kazakhstan, the list of the rating agencies assigning this score" is reflected (it is registered in the Register of state registration of regulatory legal acts at No. 8318). In the absence of rating in columns 14 and 15 it is specified "there is no rating". These columns are not filled in on government securities of the Republic of Kazakhstan.
10. In columns 16 and 17 the category of securities of residents of the Republic of Kazakhstan according to the official listing of stock exchange of the Republic of Kazakhstan is specified. In the absence of category of the list of stock exchange of the Republic of Kazakhstan in columns 16 and 17 it is specified "there is no listing". These columns are not filled in on securities of nonresidents of the Republic of Kazakhstan and government securities of the Republic of Kazakhstan.
11. In column 18 the word "yes" in case of the conclusion on the stock exchange of the transaction with participation of the central partner is specified. The word "no" in case of the conclusion on the stock exchange of the transaction without participation of the central partner is specified.
12. In case of lack of data the Form is represented without filling.
to Rules of submission of the reporting by professional participants of the security market and single accumulation pension fund
The form intended for collection of administrative data
It is represented: in National Bank of the Republic of Kazakhstan
The form intended for collection of administrative data on a grant basis is placed on Internet resource: www.nationalbank.kz
Name of administrative form: The report on the deposits and money considered as a part of own assets
Index of the form intended for collection of administrative data on a grant basis: 1-RCB_Vklady_SA
Frequency: monthly
Accounting period: as of "_____" _______________ 20 __ years
The group of people, representing the form intended for collection of administrative data on a grant basis: managing directors of investment portfolio, brokers and (or) dealers
The term of representation of the form intended for collection of administrative data on a grant basis: monthly, no later than 7 (seventh) working days of the month following month under report
BIN: _______________________
Collection method: in electronic form
(in thousands of tenges)
|
№ |
Bank name (organizations) |
Bank rating (organizations) |
Contribution currency code |
Date of the conclusion and agreement number of bank deposit |
Deposit term (in days) | ||
|
for date of placement of contribution |
on reporting date |
date |
number | ||||
|
1 |
2 |
3 |
4 |
5 |
6 |
7 |
8 |
|
1. |
Money on accounts in banks of the second level |
||||||
|
1.1. |
|||||||
|
… |
|||||||
|
2 |
On-demand deposits |
||||||
|
2.1. |
|||||||
|
… |
|||||||
|
3 |
Term deposits |
||||||
|
3.1. |
|||||||
|
… |
|||||||
|
4 |
Conditional deposits |
||||||
|
4.1. |
|||||||
|
… |
|||||||
|
5. |
Money on accounts in the organizations performing separate types of banking activities |
||||||
|
5.1. |
|||||||
|
… |
|||||||
|
6. |
Money on accounts in the organizations rendering services in the security market |
||||||
|
6.1. |
|||||||
|
… |
|||||||
|
7. |
Money in transit |
||||||
|
7.1. |
|||||||
|
… |
|||||||
|
8 |
In total |
||||||
continuation of the table:
|
Remuneration rate on contribution (as a percentage annual) |
The amount of principal debt on contribution |
Book value |
For information only: the created reserves (provisions) |
Note | ||
|
in tenge |
in foreign currency |
in total |
including the added remuneration on contribution | |||
|
9 |
10 |
11 |
12 |
13 |
14 |
15 |
Name ______________________________________
Адрес__________________________________________________________
________________________________________ phone
E-mail address _________________________
Contractor of ______________________________________ ________________
surname, name and middle name (in case of its availability) the signature, phone
The head or person to who function on signing of the report is assigned
_______________________________________ _____________
surname, name and middle name (in case of its availability) the signature
Date "______" ______________ 20 __ years
Note: the form is filled according to the explanation on filling of the form intended for collection of administrative data on a grant basis "The report on the deposits and money considered as a part of own assets".
Appendix
to the form intended for collection of administrative data on a grant basis, "The report on the deposits and money considered as a part of own assets"
The explanation on filling of the form intended for collection of administrative data on a grant basis "The report on the deposits and money considered as a part of own assets" (index – 1-RCB_Vklady_SA, frequency – monthly)
Chapter 1. General provisions
1. This explanation determines single requirements for filling of the form intended for collection of administrative data on a grant basis "The report on the deposits and money considered as a part of own assets" (further – the Form).
2. The form is constituted by monthly managing investment portfolio, the broker and (or) the dealer as of the end of the accounting period. Data in shape are filled in in thousands of tenges. The amount less than 500 (five hundred) tenges is rounded to 0 (zero), and the amount equal of 500 (five hundred) tenges and above, is rounded to 1000 (thousand) tenges.
3. The form is signed by the head or person to who function on signing of the report, and the contractor is assigned.
Chapter 2. The explanation on filling of the Form
4. When filling columns 3 and 4 the bank rating of the second level and the organization performing separate types of banking activities, appropriated to one of the rating agencies specified in Item 3 of the resolution of Board of National Bank of the Republic of Kazakhstan of December 24, 2012 to No. 385 "About establishment of the minimum rating for legal entities and the countries which need of availability is required according to the legislation of the Republic of Kazakhstan regulating activities of the financial organizations, branches of nonresident banks of the Republic of Kazakhstan, branches of the insurance (reinsurance) nonresident organizations of the Republic of Kazakhstan, the list of the rating agencies assigning this score" is reflected (it is registered in the Register of state registration of regulatory legal acts at No. 8318). In the absence of rating in columns 3 and 4 it is specified "there is no rating". These columns are not filled in on deposits in National Bank of the Republic of Kazakhstan.
5. In the column 5 currency codes are specified according to the national qualifier of the Republic of Kazakhstan to RK 07 ISO 4217 Oil Company "Codes for representation of currencies and funds".
6. In column 8 the deposit term on bank deposit agreement is specified, in case of prolongation of contribution term is reflected taking into account prolongation.
7. In columns 10 and 11 the amount of placement of own assets of contribution in National Bank of the Republic of Kazakhstan, in the banks of the second level and the organizations performing separate types of banking activities is specified. In case of placement of assets in foreign currency deposit, column 11 with simultaneous reflection of equivalent in national currency – tenge in the column 10, in case of placement of assets in domestic currency deposit – tenge is filled in, column 10 is filled in.
8. If there are ownership limitations on contribution, then in column 15 the word "yes" is specified.
9. The table is filled in with indication of deposit amount and money separately on each currency, bank of the second level, the organization performing separate types of banking activities, and the organizations, the rendering service in the security market in the relevant agreement. Own money of the managing director of investment portfolio, the broker and (or) the dealer on accounts in Central Securities Depository of the Astana international exchange (Astana International Exchange) (further – AIX) intended for payment under securities on AIX are specified in line 6 of the Form.
10. In case of lack of data the Form is represented without filling.
to Rules of submission of the reporting by professional participants of the security market and single accumulation pension fund
The form intended for collection of administrative data
It is represented: in National Bank of the Republic of Kazakhstan
The form intended for collection of administrative data on a grant basis is placed on Internet resource: www.nationalbank.kz
Name of administrative form: The report on investments into the capital of other legal entities at the expense of own assets
Index of the form intended for collection of administrative data on a grant basis: 1-RCB_IKDU
Frequency: monthly
Accounting period: as of "_____" _______________ 20 __ years
The group of people, representing the form intended for collection of administrative data on a grant basis: managing directors of investment portfolio, brokers and (or) dealers
The term of representation of the form intended for collection of administrative data on a grant basis: monthly, no later than 7 (seventh) working days of the month following month under report
BIN: _______________________
Collection method: in electronic form
(in thousands of tenges)
|
№ |
Name of the legal entity |
Purchase value |
Book value |
Share in the authorized capital (as a percentage) |
Date of acquisition |
Note | |
|
In total |
including the added dividends | ||||||
|
1 |
2 |
3 |
4 |
5 |
6 |
7 |
8 |
Name ______________________________________
Адрес__________________________________________________________
________________________________________ phone
E-mail address _________________________
Contractor of ______________________________________ ________________
surname, name and middle name (in case of its availability) the signature, phone
The head or person to who function on signing of the report is assigned
_______________________________________ _____________
surname, name and middle name (in case of its availability) the signature
Date "______" ______________ 20 __ years
Note: the form is filled according to the explanation on filling of the form intended for collection of administrative data on a grant basis "The report on investments into the capital of other legal entities at the expense of own assets".
Appendix
to the form intended for collection of administrative data on a grant basis, "The report on investments into the capital of other legal entities at the expense of own assets"
The explanation on filling of the form intended for collection of administrative data on a grant basis "The report on investments into the capital of other legal entities at the expense of own assets" (index – 1-RCB_IKDU, frequency – monthly)
Chapter 1. General provisions
1. This explanation determines single requirements for filling of the form intended for collection of administrative data on a grant basis "The report on investments into the capital of other legal entities at the expense of own assets" (further – the Form).
2. The form is constituted by monthly managing investment portfolio, the broker and (or) the dealer as of the end of the accounting period. Data in shape are filled in in thousands of tenges. The amount less than 500 (five hundred) tenges is rounded to 0 (zero), and the amount equal of 500 (five hundred) tenges and above, is rounded to 1000 (thousand) tenges.
3. The form is signed by the head or person to who function on signing of the report, and the contractor is assigned.
Chapter 2. The explanation on filling of the Form
4. In shape data on the amount of investments of the organization into the capital of associated organizations, and also other legal entities at the expense of own assets of the organization are reflected.
5. All these forms are represented on nature of activities of the legal entity in which capital the organization participates.
6. In column 4 the book value of investments into the capital of legal entities reflected in financial accounting is specified.
7. In column 5 the amount of the dividends added on investments into the capital of legal entities is specified.
8. In column 7 the date of initial recognition reflected in financial accounting in the dd.mm.gggg format is reflected.
9. In case of lack of data the Form is represented without filling.
to Rules of submission of the reporting by professional participants of the security market and single accumulation pension fund
The form intended for collection of administrative data
It is represented: in National Bank of the Republic of Kazakhstan
The form intended for collection of administrative data on a grant basis is placed on Internet resource: www.nationalbank.kz
Name of administrative form: The report on the issued loans and receivables considered as a part of own assets and assets of clients
Index of the form intended for collection of administrative data on a grant basis: 1-RCB_DZ
Frequency: monthly
Accounting period: as of "_____" _______________ 20 __ years
The group of people, representing the form intended for collection of administrative data on a grant basis: managing directors of investment portfolio, brokers and (or) dealers
The term of representation of the form intended for collection of administrative data on a grant basis: monthly, no later than 7 (seventh) working days of the month following month under report
BIN: _______________________
Collection method: in electronic form
(in thousands of tenges)
|
№ |
Name of the client (own assets), requirement type |
Name of the partner (debtor) |
Date of issue (origins) |
Repayment date (closings) |
Currency code |
Remuneration rate (as a percentage annual) | |
|
1 |
2 |
3 |
4 |
5 |
6 |
7 | |
|
1. |
In total on own assets |
||||||
|
1.1. |
|||||||
|
… |
|||||||
|
2. |
In total on assets of investment funds |
||||||
|
2.1. |
|||||||
|
… |
|||||||
|
3. |
In total on assets of other clients |
||||||
|
3.1. |
|||||||
|
… |
|||||||
continuation of the table:
|
Current value of the requirement of reporting date |
For information only: the created reserves (provisions) |
Transaction basis | |
|
in total |
including the added remuneration | ||
|
8 |
9 |
10 |
11 |
Name ______________________________________
Адрес__________________________________________________________
________________________________________ phone
E-mail address _________________________
Contractor of ______________________________________ ________________
surname, name and middle name (in case of its availability) the signature, phone
The head or person to who function on signing of the report is assigned
_______________________________________ _____________
surname, name and middle name (in case of its availability) the signature
Date "______" ______________ 20 __ years
Note: the form is filled according to the explanation on filling of the form intended for collection of administrative data on a grant basis "The report on the issued loans and receivables considered as a part of own assets and assets of clients".
Appendix
to the form intended for collection of administrative data on a grant basis, "The report on the issued loans and receivables considered as a part of own assets and assets of clients"
The explanation on filling of the form intended for collection of administrative data on a grant basis "The report on the issued loans and receivables considered as a part of own assets and assets of clients" (index – 1-RCB_DZ, frequency – monthly)
Chapter 1. General provisions
1. This explanation determines single requirements for filling of the form intended for collection of administrative data on a grant basis "The report on the issued loans and receivables considered as a part of own assets and assets of clients" (further – the Form).
2. The form is constituted by monthly managing investment portfolio, the broker and (or) the dealer as of the end of the accounting period. Data in shape are filled in in thousands of tenges. The amount less than 500 (five hundred) tenges is rounded to 0 (zero), and the amount equal of 500 (five hundred) tenges and above, is rounded to 1000 (thousand) tenges.
3. The form is signed by the head or person to who function on signing of the report, and the contractor is assigned.
Chapter 2. The explanation on filling of the Form
4. In shape data on the issued loans and receivables considered as a part of own assets of the broker and (or) dealer and (or) managing director of investment portfolio, and assets of clients of the managing director of investment portfolio, including right to claim under contracts of assignment are reflected.
The amounts of receivables connected with rendering by the broker and (or) the dealer and (or) managing investment portfolio of services within implementation of professional activity in the security market and also with administrative activities, are presented in the aggregative form. Concerning receivables connected with rendering by the broker and (or) the dealer and (or) managing investment portfolio of services within implementation of professional activity in the security market and also with administrative activities, columns 3, of 4, of 5, of 6, 7 and 11 are not filled in.
5. In column 3 the name of the partner (debtor) is specified.
6. In column 4 date of issue of loan or date of emergence of receivables (right to claim under contracts of assignment) in the dd.mm.gggg format is specified.
In case of reflection of debt of the issuer on payment of remuneration for securities the date of creation of the list of the security holders having the right of receipt of remuneration on securities, established by the prospectus of issue of securities and (or) the decision of general meeting of shareholders of the issuer is specified.
7. In column 5 repayment date of loan or completion date of obligations on receivables in the dd.mm.gggg format is specified.
8. In column 6 the loan currency or receivables is specified. Currency codes are specified according to the national qualifier of the Republic of Kazakhstan to RK 07 ISO 4217 Oil Company "Codes for representation of currencies and funds".
9. In columns 8 and 9 the current value of the requirement, with indication of the added remuneration in the presence is specified.
10. In column 10 the amount of reserves (provisions) on asset in case of availability is reflected.
11. In column 11 source accounting document (the agreement of issue of loan, the contract of assignment of right to claim, the agreement and others) is specified based on which loan was issued or there were receivables.
12. In case of lack of data the Form is represented without filling.
to Rules of submission of the reporting by professional participants of the security market and single accumulation pension fund
The form intended for collection of administrative data
It is represented: in National Bank of the Republic of Kazakhstan
The form intended for collection of administrative data on a grant basis is placed on Internet resource: www.nationalbank.kz
Name of administrative form: Report on investment funds
Index of the form intended for collection of administrative data on a grant basis: 1-RCB_IF
Frequency: monthly
Accounting period: as of "_____" _______________ 20 __ years
The group of people, representing the form intended for collection of administrative data on a grant basis: managing directors of investment portfolio
The term of representation of the form intended for collection of administrative data on a grant basis: monthly, no later than 7 (seventh) working days of the month following month under report
BIN: _______________________
Collection method: in electronic form
(in thousands of tenges)
|
Name of investment fund |
Quantity of shares (shares) which are in circulation |
Estimated cost of share (for mutual investment fund) |
Profitability of share (for mutual investment fund), as a percentage annual | |
|
for the beginning of the accounting period |
by the end of the reporting period | |||
|
1 |
2 |
3 |
4 |
5 |
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