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The document ceased to be valid since  February 23, 2014 according to Item 3 of the Resolution of Board of National Bank of the Republic of Kazakhstan of September 23, 2013 No. 248

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 June 12, 2004 No. 155

About approval of Rules of submission of reports by custodian

(as amended on 01-06-2010)

According to the subitem 15) of Item 2 of Article 3, article 52 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 Board of the Agency of the Republic of Kazakhstan security market on regulation and supervision of the financial market and the financial organizations (further - the Agency) DECIDES:

1. Approve Rules of submission of reports by custodian.

2. To department of strategy and analysis (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 and custodians.

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

4. To department on ensuring activities of the Agency (Nesipbayev P.P.) take measures to the 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 the financial organizations of June 12, 2004 No. 155 "About approval of Rules of submission of reports by custodian"

Rules of submission of reports by custodian

These rules establish procedure and forms of submission of reports by custodian to the authorized body exercising state regulation and supervision of the financial market and the financial organizations (further - authorized body).

1. The custodian quarterly, no later than the last working day of the month following reporting quarter submits the following reports in authorized body:

1) the report on the securities which are in nominal continence of custodian on appendix form 1 to these rules;

2) the report on the blocked (unexecuted) orders of the organizations exercising investment control of pension assets and managing directors of investment portfolio on appendix form 2 to these rules;

3) the report on the number of clients of custodian according to appendix 3 to these rules.

2. It is excluded

3. Reports are submitted on paper and electronically.

Reports go to authorized body with the cover letter constituted in any form, the signed head of custodian.

The reports constituted electronically are represented on the electronic medium with use of transport system of the guaranteed delivery of information with cryptographic remedies providing confidentiality and not adjustability of the represented data.

4. Reports are signed by the head of custodian and certified by seal.

All sheets of the report, are numbered, the total quantity of sheets is specified in the cover letter.

The reports containing corrections and erasures are subject to return.

5. In case of modification and/or amendments of the submitted reports, custodian within three days represents to authorized body the corrected report version with explanation of the reasons of need of modification and/or amendments.

6. The authorized body can request from custodian of the data and the documents necessary for verification of information specified in reports.

7. Custodian and its officials bear responsibility according to legal acts of the Republic of Kazakhstan for untimely submission, non-presentation of reports or submission of false information.

8. The questions which are not settled by these rules are permitted according to the procedure, stipulated by the legislation the Republic of Kazakhstan.

Appendix No. No. 1-3

See Appendix No. No. 1-3 (8Kb In original language)

 

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