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The document ceased to be valid since  January 1, 2017 according to Item 3 of the Resolution of Board of National Bank of the Republic of Kazakhstan of February 29, 2016 No. 59

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

of March 15, 2004 No. 77

About approval of Rules of submission of reports by organizers of the biddings

(as amended on 19-12-2015)

According to the subitem 15) of Item 2 of article 3 of the Law of the Republic of Kazakhstan "About the security market", for the purpose of increase in degree of transparency and efficiency of functioning of the organized market of securities the Board of the Agency of the Republic of Kazakhstan on regulation and supervision of the financial market and financial institutions DECIDES:

1. Approve the enclosed Rules of submission of reports as organizers of the biddings.

2. Ceased to be valid

3. It is excluded

4. To department of the analysis and strategy (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;

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 all interested divisions of the Agency of the Republic of Kazakhstan on regulation and supervision of the financial market and financial institutions, organizers of the biddings.

5. To department on ensuring activities of the Agency of the Republic of Kazakhstan on regulation and supervision of the financial market and financial institutions (Nesipbayev P.P.) in ten-day time from the date of state registration in the Ministry of Justice of the Republic of Kazakhstan to provide the publication of this resolution in official mass media of the Republic of Kazakhstan.

6. To impose control of execution of this resolution on the Vice-chairman of the Agency of the Republic of Kazakhstan on regulation and supervision of the financial market and financial institutions Bakhmutova E. L.

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

Chairman of the Agency

B. 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 March 15, 2004 No. 77

Rules of submission of reports by organizers of the biddings

These rules of submission of reports by organizers of the biddings establish procedure and forms of submission of reports by the organizer of the biddings to the authorized body performing state regulation, control and supervision of the financial market and financial institutions (further - authorized body).

1. The organizer of the biddings monthly, no later than the fifth working day of the month following reporting submits in authorized body the following reports for month under report:

1) It is excluded

2) the report on members of the organizer of the biddings in chronological procedure for their admission to membership of the organizer of the biddings according to appendix 2 to these rules;

3) the report on the securities entering certain sectors (categories) of the list of the organizer of the biddings in chronological procedure for their inclusion in the list, according to appendix 3 to these rules;

4) the report on financial instruments, except for the securities entering the list of the organizer of the biddings according to appendix 4 to these rules;

5) the status report of members of the organizer of the biddings concerning the securities entering its list according to appendix 5 to these rules;

6) the report on indicator values and other summary indicators on securities of the organizer of the biddings for the accounting period.

2. The organizer of the biddings daily, no later than eleven hours of the Astana time of the day following behind reporting day submits in authorized body the following reports for the reporting working day:

1) the report on requests for purchase/security sale according to appendix 6 to these rules;

2) the report on results of the biddings by securities with indication of the parties of transactions according to appendix 7 to these rules;

3) the report on requests for transactions of "repo" with securities according to appendix 8 to these rules;

4) the operations statement "repo" with securities with indication of their participants according to appendix 9 to these rules.

2-1. The organizer of the biddings quarterly, no later than the fifth working day of the month following reporting quarter provides in authorized body the following reports for reporting quarter:

1) the report of the organizer of the biddings on the number of securities and the number of issuers, whose securities are included in the list of the organizer of the biddings, according to appendix 10 to these rules;

2) the report of the organizer of the biddings on amounts of transactions, according to appendix 11 to these rules;

3) the report of the organizer of the biddings on capitalization of issuers, whose securities are included in the list of the organizer of the biddings, according to appendix 12 to these rules;

4) the report of the organizer of the biddings on committed transactions on investment of own assets, according to appendix 13 to these rules;

5) the report of the organizer of the biddings on structure of deposits in the National Bank of the Republic of Kazakhstan and banks of the second level placed at the expense of own assets according to appendix 14 to these rules;

6) the report of the organizer of the biddings on structure of investments into the capital of other legal entities, according to appendix 15 to these rules;

7) the report of the organizer of the biddings on the securities acquired at the expense of own assets according to appendix 16 to these rules;

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