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The document ceased to be valid since October 22, 2014 according to Item 1 of the Resolution of Board of National Bank of the Republic of Kazakhstan of October 22, 2014 No. 196

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

of November 27, 2004 No. 330

About approval of Rules of submission of the reporting by the legal entities performing activities for investment management of pension assets

(as amended on 24-02-2012)

According to the subitem 6) of Item 1 of article 9 of the Law of the Republic of Kazakhstan "About state regulation and supervision of the financial market and financial institutions", the subitem 15) of Item 2 of article 3 of the Law of the Republic of Kazakhstan "About the security market", the Board of the Agency of the Republic of Kazakhstan on regulation and supervision of the financial market and financial institutions (further - the Agency) DECIDES:

1. Approve the enclosed Rules of submission of the reporting as the legal entities performing activities for investment management of pension assets.

2. This resolution becomes effective since February 1, 2005.

3. To department of strategy and analysis of the Agency (Edenbayev E. S.):

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 and other measures connected with its acceptance;

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, National Bank of the Republic of Kazakhstan, the legal entities having license for activities on investment management of pension assets, Associations of legal entities of "Association of financiers of Kazakhstan".

4. To department on ensuring activities of the Agency (Nesipbayev R. R.) to take measures to publication of this resolution in mass media of the Republic of Kazakhstan.

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

 

Chairman B. Zhamishev

Approved by the resolution of Board of the Agency of the Republic of Kazakhstan on regulation and supervision of the financial market and financial institutions of November 27, 2004 No. 330

Rules of submission of the reporting by the legal entities performing activities for investment management of pension assets

These rules are developed according to the Law of the Republic of Kazakhstan of July 4, 2003 "About state regulation and supervision of the financial market and financial institutions", the Law of the Republic of Kazakhstan of July 2, 2003 "About the security market" and determine the list, forms, terms and procedure for submission of the reporting by the legal entities performing activities for investment management of pension assets (further - the Organization) in Committee on control and supervision of the financial market and financial institutions of National Bank of the Republic of Kazakhstan (further - authorized body).

1. The reporting of the Organization includes:

1) the report on the cost of pension assets as of the end of each calendar day of the accounting period - by each accumulation pension fund whose pension assets are in investment management, and also by types of investment portfolios in form according to appendix 1 to these rules;

2) the report on structure of investment portfolio of pension assets as of the end of the last calendar day of the accounting period - by each accumulation pension fund whose pension assets are in investment management, and also by types of investment portfolios in form according to appendix 2 to these rules;

3) the report on the securities acquired at the expense of own assets as of the end of the last calendar day of the accounting period according to appendix 3 to these rules;

4) the operations statement "The Return Repo" and "repo", made at the expense of own assets, as of the end of the last calendar day of the accounting period according to appendix 4 to these rules;

5) the report on deposits in the banks of the second level placed at the expense of own assets as of the end of the last calendar day of the accounting period according to appendix 5 to these rules;

6) the report on structure of investments into the capital of other legal entities as of the end of the last calendar day of the accounting period according to appendix 6 to these rules;

7) the report on remaining balance of own money and cash equivalents as of the end of each calendar day of the accounting period according to appendix 7 to these rules;

8) the report on conditional requirements (obligations) at the expense of own assets as of the end of the last calendar day of the accounting period according to appendix 8 to these rules;

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