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The document ceased to be valid since January 1, 2019 according to Item 1 of the Resolution of Board of National Bank of the Republic of Kazakhstan of August 27, 2018 No. 187

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 August 21, 2004 No. 254

About approval of Rules of assignment of national identification number to shares of mutual investment fund

(as amended of the Resolution of Board of National Bank of the Republic of Kazakhstan of 19.12.2015 No. 250)

According to Item 2 of article 20 of the Law of the Republic of Kazakhstan "About investment funds" 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 Rules of assignment of national identification number to shares of mutual investment fund.

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 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 the interested divisions of the Agency, Consolidation of legal entities "Association of financiers of Kazakhstan", Associations of legal entities "Association of Asset managers", managing directors of investment portfolio.

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 August 21, 2004 No. 254

Rules of assignment of national identification number to shares of mutual investment fund

1. These rules establish conditions and procedure for assignment of national identification number to shares of mutual investment fund.

2. For the purpose of state registration of release of shares of mutual investment fund the managing company represents to authorized body on regulation, control and supervision of the financial market and the financial organizations (further - authorized body) documents, stipulated in Item 1 article 20 of the Law of the Republic of Kazakhstan of July 7, 2004 "About investment funds".

In case of compliance of the documents submitted for state registration of release of shares, to requirements of the legislation of the Republic of Kazakhstan, the authorized body performs assignment to release of shares of mutual investment fund of national identification number.

3. For assignment of national identification number to shares of mutual investment fund the Arab figures and capital letters of the Latin alphabet are used (except for the letters "I" and "O").

4. National identification number includes twelve consecutive symbols (including from left to right) which are not divided by any punctuation mark and consists of three parts:

1) the symbols located on the first and second line items designate two-letter country code of the issuer ("KZ");

2) the symbols located in line items with third on the eleventh are the main number constituted according to Items 5-9 of these rules;

3) the symbol located on the twelfth line item is target figure which is calculated according to Item 10 of these rules.

5. The symbols located on the third and fourth line items are symbols of "PF" and designate type of issued securities - shares of mutual investment fund.

6. The symbol located on the fifth line item designates unit of measure of circulation period of shares (taking into account features, stipulated in Item 7 these rules):

1) symbol "Y" - years;

2) symbol "M" - months;

3) symbol "W" - weeks;

4) symbol "D" - days;

5) the symbol "N" - has no circulation period.

7. The symbols located on the sixth and seventh line items specify circulation period of shares of mutual investment fund in the corresponding unit of measure.

If circulation period of shares of mutual investment fund constitutes less than 10 units of measure, in the sixth line item the symbol "0" (zero) is specified.

If circulation period of shares of mutual investment fund constitutes nonintegral quantity of units of measure, it is transferred to subordinate units of measure. At the same time duration of month is accepted to equal 30 days. If as a result of such translation the fractional number or number exceeding 99, unit of measure is formed does not change, and is rounded to integer. For example, 4,5 of year is replaced for 54 months (4, 5 x 12 = 54), 3,5 of month are replaced for 4 months (3, 5 x 30 = 105> 99). If circulation period of shares of mutual investment fund in any units of measure constitutes the whole quantity of units of measure of higher level, it is transferred to higher units of measure. For example, 36 months are replaced for 3 years.

If circulation period exceeds 99 corresponding units of measure, it is transferred with rounding to higher unit of measure. At the same time duration of month is accepted to equal 30 days. For example, 180 days are replaced for 6 months (180: 30 = 6,00), 115 days are replaced for 4 months (115: 30 = 3,83), 110 months are replaced for 9 years (110: 12 = 9,17), 225 days are replaced for 8 months (225: 30 = 7,5).

8. The symbols located on the eighth and ninth line items designate sequence number of the managing director of investment portfolio initiating release of shares of mutual investment fund in the State register of securities which remains unique and permanent.

9. The symbols located on the tenth and eleventh line items designate number of mutual investment fund of managing company it created.

10. The target figure is calculated as follows:

1) step 1: the first eleven line items according to Items 4-9 of these rules are filled;

2) step 2: the alphabetic symbols located on line items are replaced with numbers according to the Table of the transfer of alphabetic symbols to numbers on appendix form 1 to these rules;

3) step 3: each figure of the received numerical row (since its right edge) is multiplied by coefficient: "2" - for the figures which are on odd line items, "1" - for figures, the being nachetny line items;

4) step 4: figures of the row received as a result of accomplishment of step 3 are summed up;

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