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RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of February 13, 2012 No. 33

About the list and terms of provision by members of stock exchange of the financial reporting and other information to stock exchange

(as amended on 13-12-2021)

According to the Law of the Republic of Kazakhstan of July 2, 2003 "About the security market" the Board of National Bank of the Republic of Kazakhstan DECIDES:

1. Members of stock exchange (except for banks of the second level and the national operator of mail) quarterly no later than the last calendar day of the month following reporting quarter provide to stock exchange the quarterly financial reporting (in case of availability affiliated (affiliated) the organizations (organizations) - the consolidated and separate financial reportings) in forms according to appendices 10, of 11, 14 and 16 to the Rules of accounts presentation by the financial organizations approved by the resolution of Board of National Bank of the Republic of Kazakhstan of January 28, 2016 No. 41, registered in the Register of state registration of regulatory legal acts at No. 13504 (further - Rules No. 41).

The national operator of mail quarterly no later than the 25th following reporting quarter provides to stock exchange the quarterly financial reporting (in case of availability affiliated (affiliated) the organizations (organizations) - the consolidated and separate financial reportings) in forms according to appendices 14 and 15 to Rules No. 41.

2. Members of stock exchange, being banks of the second level, monthly no later than the 10th working day of the month following month under report provide to stock exchange the report on remaining balance on balance and off-balance sheet accounts in form according to appendix 2 to the resolution of Board of National Bank of the Republic of Kazakhstan of April 21, 2020 No. 54 "About approval of the list, forms, terms of submission of the reporting by banks of the second level and Rules of its representation", registered in the Register of state registration of regulatory legal acts at No. 20474.

3. Members of stock exchange annually till June 30 of the year following reporting provide to stock exchange the annual financial reporting (in case of availability affiliated (affiliated) the organizations (organizations) - the consolidated and separate annual financial reportings) confirmed with auditing organization, and including:

1) balance sheet;

2) profit and loss statement;

3) cash flow statement;

4) statement of changes in equity;

5) explanatory note.

The requirement for confirmation of the separate annual financial reporting by auditing organization of the member of stock exchange having affiliated (affiliated) the organization (organizations) extends since January 1, 2013.

4. From Date of Introduction in operation of this resolution and till July 1, 2012 the financial reporting is provided to stock exchange on the electronic medium in the Microsoft Office Excel format.

Since July 1, 2012 the financial reporting is submitted to stock exchange within the terms established by this resolution in electronic form with use of transport system of the guaranteed delivery of information with cryptographic remedies providing confidentiality and not adjustability of the represented data in the format determined by stock exchange rules.

The audit report is provided to stock exchange in electronic form (the scanned copy of paper option) in the PDF, TIFF or JPEG formats.

5. Members of stock exchange provide to stock exchange:

1) information on changes in activities, stipulated in Item 2 articles 102 of the Law of the Republic of Kazakhstan of July 2, 2003 "About the security market", according to the procedure and the terms established by internal documents of stock exchange;

2) information on violation of the prudential standard rate on sufficiency of equity within 1 (one) working day from the date of emergence of such violation;

3) information on changes in the list of the traders of the member of stock exchange allowed by stock exchange to participation in the biddings on the securities and other financial instruments addressing in trade system of stock exchange with indication of data on the basis of such changes, within 3 (three) working days from the date of their origin;

4)  No. 165 is excluded according to the Resolution of Board of National Bank of the Republic of Kazakhstan of 07.10.2019;

5) other information which list and terms of provision are determined by stock exchange rules according to Item 6 of article 86 of the Law of the Republic of Kazakhstan of July 2, 2003 "About the security market".

5-1. Requirements of Items 1, of 2, of 3, 4 and 5 these resolutions do not extend to the members of stock exchange who are legal entities who are founded according to the legislation of foreign states.

Requirements to this category of members of stock exchange are determined by internal documents of stock exchange.

6. To stock exchange till July 1, 2012 to bring the software and hardware into accord with provision of part two of item 4 of this resolution.

7. This resolution becomes effective after ten calendar days after day of its first official publication.

Chairman of National Bank

G. Marchenko

It is approved

Agency of the Republic of Kazakhstan according to the statistics

Chairman

March 11, 2012

 

 

A.A's smiles.

Disclaimer! This text was translated by AI translator and is not a valid juridical document. No warranty. No claim. More info

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