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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 THE FINANCIAL ORGANIZATIONS

of September 3, 2010 No. 127

About approval of Rules of submission of the reporting by banks - custodians of the accumulation pension funds

(as amended of the Resolution of Board of NB RK of 24.02.2012 No. 68)

For the purpose of enhancement of the forms of the reporting represented by banks custodians of the accumulation pension funds (further - Bank custodian), 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 the enclosed Rules of submission of the reporting by banks custodians of the accumulation pension funds according to appendix to this resolution.

2. Recognize invalid the following regulatory legal acts of the Republic of Kazakhstan:

1) the resolution of Board of National Bank of the Republic of Kazakhstan of December 1, 2001 No. 477 "About the reporting banks custodians of the accumulation pension funds" (registered in the Register of state registration of regulatory legal acts at No. 1728, published in 2002 in the Bulletin of regulatory legal acts of the central executive and other state bodies of the Republic of Kazakhstan, No. 12, by the Art. 564);

2) the resolution of Board of National Bank of the Republic of Kazakhstan of March 21, 2003 No. 91 "About modification and amendments in the resolution of Board of National Bank of the Republic of Kazakhstan of December 1, 2001 No. 477 "About the reporting of banks custodians of the accumulation pension funds", registered in the Ministry of Justice of the Republic of Kazakhstan at No. 1728" (registered in the Register of state registration of regulatory legal acts at No. 2245);

3) the resolution of Board of the Agency of December 27, 2004 No. 385 "About modification and amendments in the resolution of Board of National Bank of the Republic of Kazakhstan of December 1, 2001 No. 477 "About the reporting of banks custodians of the accumulation pension funds" (registered in the Register of state registration of regulatory legal acts at No. 3386).

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

4. To department of strategy and analysis (Abdrakhmanov N. A.):

1) together with Legal department (Sarsenova N. C) 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 of this resolution to bring it to the attention of the interested divisions of the Agency, Consolidation of legal entities "The association of financiers of Kazakhstan".

5. To department of information technologies (Tusupov K. A.) till December "31", 2010 to provide completion of the Automated information subsystem "Automation of forming of the reporting of the accumulation pension funds and professional participants of the security market".

6. To service of the Chairman of the Agency (Kenzhe A. A.) take measures for publication of this resolution in mass media of the Republic of Kazakhstan.

7. To impose control of execution of this resolution on the vice-chairman of the Agency Aldambergen A. U.

 

Chairman E. Bakhmutova

Appendix

to the Resolution of Board of the Agency of September 3, 2010 No. 127

Rules of submission of the reporting by banks custodians of the accumulation pension funds

1. These rules are developed in compliance with the subitem 15) of Item 2 of article 3 of the Law of the Republic of Kazakhstan of July 2, 2003 "About the security market", the subitem 6) of Item 1 of article 9 of the Law of the Republic of Kazakhstan of July 4, 2003 "About state regulation and supervision of the financial market and the financial organizations" and establish the list, forms, terms and procedure for submission of the reporting by banks custodians of the accumulation pension funds to authorized body on regulation and supervision of the financial market and the financial organizations (further - authorized body).

2. Represent bank custodian to authorized body the reporting including:

1) the report on movement of pension assets on the investment account in national currency (for each separate working day of the expired month, with indication of total sums on all line items for month under report), 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 expired month), according to appendix 2 to these rules;

3) the report on movement of pension assets on the currency investment account in case of availability and movement of money on currency investment accounts (for each separate working day of the expired month, with indication of total sums on all line items for month under report), according to appendix 3 to these rules;

4) the report on the added and paid commission fees (for each separate calendar day of the expired month), according to appendix 4 to these rules.

3. The bank custodian represents the reporting provided in appendices 1, of 2, of 3, 4 to these rules, monthly no later than 18:00 hours of time of the city of Astana of the fifth working day of the month following month under report.

4. The reporting on paper according to appendices 1, of 2, of 3, 4 to these rules as of reporting date is signed by the first head (for its absence - person, it replacing), the chief accountant the bank custodian, is certified by seal and stored in bank custodian.

Upon the demand of authorized body the bank custodian no later than two working days from the date of receipt of request represents the reporting as of certain date on paper.

5. The reporting on the electronic medium is submitted with use of transport system of the guaranteed delivery of information with cryptographic remedies providing confidentiality and not adjustability of the represented data.

6. Identity of the data represented on the electronic medium on paper is provided to data with the first head of bank custodian (for its absence - person, it replacing) and the chief accountant.

7. The reporting containing corrections and erasures is subject to return to bank custodian.

8. In case of need modification and (or) amendments of the reporting, bank custodian within three working days from the date of submission of the reporting, represents to authorized body the written petition with explanation of the reasons of need of modification and (or) amendments.

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