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 May 28, 2005 No. 165

About approval of Rules of submission of the report on committed transactions on investment of assets of clients and own assets by managing directors of investment portfolio

1. Approve the enclosed Rules of submission of the report on committed transactions on investment of assets of clients and own assets as managing directors of investment portfolio.

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

3. 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, Consolidation of legal entities "Association of financiers of Kazakhstan" and Associations of legal entities "Association of asset managers".

4. To department of the international relations and public relations of the Agency (Pernebayev T. Sh.) provide the official 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.

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 May 28, 2005 No. 165

Rules of submission of the report on committed transactions on investment of assets of clients and own assets managing investment portfolio

1. These rules establish procedure, form and terms of submission of the report on committed transactions on investment of assets of clients and own assets by managing directors of investment portfolio.

2. The managing director of investment portfolio represents to authorized body on regulation and supervision of the financial market and the financial organizations (further - authorized body) on paper and electronic carriers monthly, no later than the fifth working day of the month following for reporting, the report:

according to appendices 1, 2 (forms 1, 2), 3, 4 to these rules about committed transactions on investment of assets of clients (by each client whose assets are in investment management) and own assets for each separate working day of the expired month;

according to appendix 2 (forms 3, 4, 5) to these rules as of the first, following reporting.

3. The reports constituted on papers go the cover letter constituted in any form, the signed head, the chief accountant and are certified by seal of the managing director of investment portfolio.

4. 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.

5. All sheets of reports are numbered, the total quantity of sheets is specified in the cover letter in case of their direction in authorized body.

6. In case of modification and/or amendments of the submitted report managing investment portfolio represents to authorized body, the corrected report version with explanation of the reasons of need of modification and/or amendments.

7. By consideration of reports the authorized body, if necessary, requests from the managing director of investment portfolio, the data and documents necessary for verification of information specified in reports.

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

Appendix No. No. 1-4

to Rules of submission of the report on committed transactions on investment of assets of clients and own assets managing investment portfolio

See Appendix No. No. 1-4 (17Kb In original language)

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