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The document ceased to be valid since  January 5, 2015 according to Item 2 of the Resolution of Board of National Bank of the Republic of Kazakhstan of October 22, 2014 No. 210.

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

of February 25, 2006 No. 61

About approval of Rules of registration of the security market by the professional participants rendering services of nominal continence, security transactions, provisions of the statement by them from personal account of the security holder and disclosure of information by the nominee holder

(as amended on 27-08-2014)

According to the subitem 8) Item 2 of article 3 of the Law "About the Security Market", subitem 10) article 12 of the Law "About State Regulation and Supervision of the Financial Market and the Financial Organizations". The board of the Agency of the Republic of Kazakhstan on regulation and supervision of the financial market and the financial organizations (further - the Agency) DECIDES:

1. Approve Rules of registration of the security market by the professional participants rendering services of nominal continence, security transactions, provisions of the statement by them from personal account of the security holder and disclosure of information by the nominee holder according to appendix 1 to this resolution.

2. Recognize invalid the regulatory legal acts of the Republic of Kazakhstan specified in appendix 2 to this resolution.

3. This resolution becomes effective after fourteen days from the date of state registration in the Ministry of Justice of the Republic of Kazakhstan.

4. To department of supervision of subjects of the security market and accumulation pension funds (Tokobayev N. T.):

1) together with Legal department (Baysynov M. B.) to take measures to state registration in the Ministry of Justice of the Republic of Kazakhstan of this resolution;

2) in ten-day time from the date of state registration in the Ministry of Justice of the Republic of Kazakhstan to bring this resolution to the attention of the interested divisions of the Agency of the central depositary, the organizations performing broker and/or dealer activities, the organizations performing activities for management of investment portfolio and custodial activities in the security market.

5. To department of the international relations and public relations of the Agency (Pernebayev T. Sh.) take measures to the publication of this resolution in printing editions of the Republic of Kazakhstan.

6. To impose control of execution of this resolution on the vice-chairman of the Agency Bakhmutova E. L.

Chairman

A. Dunayev

Appendix 1

to the Resolution of Board of the Agency of the Republic of Kazakhstan on regulation and supervision of the financial market and the financial organizations of February 25, 2006 No. 61

Rules of registration of the security market by the professional participants rendering services of nominal continence, security transactions, provisions of the statement by them from personal account of the security holder and disclosure of information by the nominee holder

These rules of registration of the security market by the professional participants rendering services of nominal continence, security transactions, provisions of the statement by them from personal account of the security holder and disclosure of information by the nominee holder (further - Rules) are developed according to the laws of the Republic of Kazakhstan of July 2, 2003 "About the security market", of July 4, 2003 "About state regulation, control and supervision of the financial market and the financial organizations" and establish conditions and order of registration of security transactions the professional participants of the security market rendering services of nominal continence (further - the nominee holder), and also provisions of the statement by them from personal account of the security holder and disclosure of information by the nominee holder.

Chapter 1. General provisions

1. For the purposes of Rules the following concepts are used:

1) personal account of the security holder - the personal account opened for the client and intended for accounting of its securities (rights to claim according to obligations of the issuer on issued securities);

2) Islamic securities - Islamic rent certificates and Islamic participation certificates;

3) the financial organization - the bank managing investment portfolio, the insurance (reinsurance) organization;

4) personal account of the issuer for accounting of the announced securities - the personal account opened for the issuer in system of accounting of nominal continence on which accounting of not placed securities, except for shares is performed;

5) personal account of the nominee holder - the personal account opened for the nominee holder and intended for accounting of securities (rights to claim according to obligations of the issuer on issued securities) his clients;

6) transaction in system of accounting of nominal continence - set of actions of the nominee holder of which entering (change) of data into system of accounting of nominal continence and (or) preparation and provision of information constituting system of accounting of nominal continence is result;

7) operational day - period of time during which the nominee holder performs acceptance, processing of orders, registration of transactions on personal accounts and information transactions;

8) transaction of "repo" - set of the security transactions of one release which two are at the same time concluded, differing on completion dates and opposite in the direction each other, the "repo" which are subject of transaction which parties are two same faces (participants of transaction of "repo");

9) authorized body - National Bank of the Republic of Kazakhstan;

10) personal account of the issuer for accounting of the redeemed securities - the personal account opened for the issuer in system of accounting of nominal continence on which accounting of the securities redeemed by the issuer in the secondary security market, except for shares is performed.

2. The nominee holder after the conclusion of the contract on nominal continence with the client opens for the client in system of accounting of nominal continence personal account and sub-account of the client in system of accounting of the central depositary.

For opening of sub-account in system of accounting of the central depositary the nominee holder provides to the central depositary the information about the client with indication of all details necessary for its opening, according to requirements of item 4 of these rules.

2-1. When opening personal account (sub-account) to the client physical person, the nominee holder establishes the tax residence of the client physical person based on the data provided by this client physical person.

3. Operational day of the nominee holder constitutes at least seven working hours during the day.

4. Individual number is assigned to personal account by the nominee holder. Personal account the system of accounting of nominal continence and sub-account of the client in the central depositary without fail contain the following data about (about):

1) the registered person (surname, name, in the presence - middle name or the name of the security holder, signs of residence of the client, data on nationality of physical person, the sector of economy (according to Rules of application of codes of sectors of economy and purpose of payment and submission of data on payments according to them approved by the resolution of Board of National Bank of the Republic of Kazakhstan of November 15, 1999 No. 388 (registered in the Register of state registration of regulatory legal acts at No. 1011), data on the document confirming registration of the legal entity or data on the identity document of physical person, individual identification number (further - IIN) physical person or business and identification number (further - BIN) the legal entity (in the presence), post and legal addresses, bank details (if necessary bank details, the remunerations intended for transfer and the amounts of repayment on securities, and the bank details intended for implementation of calculations for security transactions), data on tax benefits and the other information necessary for the central depositary and (or) the nominee holder according to the set of rules or the internal document of the nominee holder for opening of sub-account and (or) personal account, respectively;

2) the quantity, type and security identification number registered on this personal account (sub-account);

3) quantity and the identifier of rights to claim according to obligations of the issuer on issued securities;

4) the quantity of the encumbered securities (rights to claim according to obligations of the issuer on issued securities);

5) persons for benefit of whom encumbrance of securities is performed (rights to claim according to obligations of the issuer on issued securities);

6) the quantity of the blocked securities (rights to claim according to obligations of the issuer on issued securities);

7) the number of the securities which are subject of transaction of "repo";

8) the transactions registered on this personal account and the transactions reflected in system of accounting of nominal continence:

type of the transaction (transaction);

date and time of its registration;

basis of carrying out transaction (transaction);

numbers of the personal accounts participating in transaction;

quantity, type, security identification number (quantity and the identifier of rights to claim according to obligations of the issuer on issued securities) concerning which the transaction is registered;

9) other data necessary for certain transaction types (transactions).

5. On personal accounts the following Sections open:

1) "main" - is intended for accounting of securities (rights to claim according to obligations of the issuer on issued securities) on which restrictions for carrying out transactions are not set;

2) "blocking" - it is intended for accounting of securities (rights to claim according to obligations of the issuer on issued securities) on which based on the decision of the state body authorized according to the laws of the Republic of Kazakhstan on adoption of such decision the temporary ban on registration of civil security transactions (rights to claim according to obligations of the issuer on issued securities) performed for the purpose of guaranteeing safety of securities is imposed (rights to claim according to obligations of the issuer on issued securities);

3) "repo" - is intended for accounting of the securities which are subject of transaction of the "repo" concluded in the sector of "automatic repo";

4) "encumbrance" - it is intended for accounting of securities (rights to claim according to obligations of the issuer on issued securities) on which restrictions for implementation of transactions for providing the obligations of the security holder (rights to claim according to obligations of the issuer on issued securities) before other persons which arose based on the civil transaction are imposed.

The nominee holder can open on personal account additional Sections for accounting of securities.

6. The personal account of the nominee holder is opened for nominee holders in system of accounting of the central depositary or in system of accounting of custodian when rendering services of nominal continence to them concerning foreign securities or to the foreign organizations performing functions of the nominee holder based on the order on opening of personal account and the documents determined by the set of rules of the central depositary or the internal document of custodian.

7. Opening of personal account to physical person in system of accounting of nominal continence is performed by the nominee holder based on the order on opening of personal account, the identity document, and agreement on nominal continence.

8. Opening of personal account to the legal entity in system of accounting of nominal continence is performed by the nominee holder based on the following documents:

1) the order on opening of personal account;

2) copies of the reference or certificate on state registration (re-registration) of the legal entity;

3) it is excluded

4) agreements on nominal continence;

5) the document containing notarially attested specimen signatures of the representatives of the legal entity having rights to sign documents for registration of transactions on personal accounts and information transactions, and impress of a seal of the legal entity including data about (about):

name of the nominee holder;

the name of the legal entity - the client of the nominee holder granting the right to signing of the document;

positions, surnames, name, in the presence of middle name of the representative of the client of the nominee holder, data of the document proving his identity;

specifying on the fact that the specimen signatures containing in this document are considered obligatory when implementing all transactions on the personal account of the client opened in system of nominal continence.

In case of opening to the legal entity in system of nominal continence of two and more personal accounts, the documents listed in subitems of 2)-5) of this Item are provided when opening the first personal account.

8-1. Opening of personal account of mutual investment fund in system of accounting of nominal continence is performed by the nominee holder based on the following documents:

1) the order on opening of personal account of the managing director of investment portfolio;

2) the document containing notarially attested specimen signatures of the representatives of the managing director of investment portfolio having rights to sign documents for registration of transactions on personal accounts and information transactions, and print of its seal, the including data about (about):

name of the nominee holder;

name of mutual investment fund;

name of the managing director of investment portfolio;

positions, surnames, name, in the presence - middle names of representatives of the managing director of investment portfolio, data of the document proving his identity;

specifying on the fact that the specimen signatures containing in this document are considered obligatory when implementing all transactions on the personal account of mutual investment fund opened in system of accounting of nominal continence;

3) other documents provided by the internal document of the nominee holder.

9. The nominee holder opens personal accounts for clients of the organization performing activities for management of investment portfolio (further - the managing director of investment portfolio), based on the following documents:

1) the order on opening of the personal account issued by managing investment portfolio according to the contract for management of investment portfolio or the power of attorney of the client or his client independently;

2) the documents specified in Items 7 and 8 of these rules;

3) copies of the contract for managements of investment portfolio or powers of attorney of the client on implementation of transactions with securities on the customer account;

4) the document containing notarially attested specimen signatures of the representatives of the managing director of investment portfolio having rights to sign documents for registration of transactions on personal accounts and information transactions, and print of its seal, the including data about (about):

name of the nominee holder;

the name (surname, name, in the presence - middle names) the client of the nominee holder granting the right to signing of the document

name of the managing director of investment portfolio;

positions, surnames, name, in the presence - middle names of representatives of the managing director of investment portfolio, data of the document proving his identity;

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