of April 28, 2012 No. 165
About approval of Requirements to the program technical means and other equipment necessary for implementation of activities in the security market
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:
2. Recognize invalid regulatory legal acts of the Republic of Kazakhstan according to appendix to this resolution.
3. To professional participants of the security market till July 1, 2012 to bring the activities and internal documents into accord with requirements of this resolution.
The item 4 of the Instruction to the program technical means and other equipment necessary for implementation of activities acts on the security market till January 1, 2013.
Chairman of National Bank
Approved by the Resolution of Board of National Bank of the Republic of Kazakhstan of April 28, 2012 No. 165
These Requirements to the program technical means and other equipment necessary for implementation of activities in the security market (further - Requirements), determine requirements to the program technical means and other equipment necessary for implementation of activities in the security market (further - the software), and the organizations of the safe work ensuring safety and information security from unauthorized access to the data which are stored at professional participants of the security market.
Action of Requirements does not extend on:
1) the relations arising when using information resources of National Bank of the Republic of Kazakhstan and (or) authorized body on regulation, control and supervision of the financial market and the financial organizations (further - authorized body) based on the relevant agreement concluded between the professional participant of the security market and National Bank of the Republic of Kazakhstan and (or) authorized body;
2) the insurance companies performing activities in the industries "life insurance" having the license of authorized body for implementation of activities for management of investment portfolio in the security market.
1) reliable storage of information, protection against unauthorized access, integrity of databases and complete safety of information in electronic archives and databases in case of complete or partial shutdown of power supply at any time on any site of the equipment;
2) multi-level access to the input data, functions, transactions, reports realized in the software, providing at least, two access levels: administrator and user;
3) control of completeness of the entered these fields obligatory to filling, necessary for carrying out and registration of transactions (in case of accomplishment of functions or transactions without complete filling of all fields the program provides issue of the adequate notice);
4) information search in the criteria and parameters determined for this information system with preserving request, and also sorting of information on any parameters (determined for this information system) and possibility of viewing of information for the previous dates if such information is subject to storage in information system;
5) information processing and its storage by date and time;
6) the automated forming of the report forms represented by professional participants of the security market to National Bank of the Republic of Kazakhstan, and also statements from personal account, reports on the performed operations;
7) maintaining and the automated forming of magazines of system of internal accounting of professional participants of the security market, stipulated by the legislation the Republic of Kazakhstan about the security market. The software creates the magazine completely, and also partially (on the specified range of dates, certain date, for the particular registered person, for the specific status of the incoming document);
8) possibility of reservation and recovery of the data which are stored in accounting systems of professional participants of the security market;
9) possibility of conclusion of output documents to the screen, the printer or in the file;
10) use of system of double entry of orders by different users ("the first input" and "the second input") or systems of confirmation of input of orders by different users (validation or verification) for the purpose of exception of mistakes in case of input of this information (except for input of purchasing requests and sale of financial instruments in trade system of stock exchange and input of orders by clients of the central depositary by means of the software of the central depositary).
In case of introduction of information users of "the second input" have no information access, entered by users of "the first input". In case of discrepancy of data of "the second input" to data of "the first input" the program issues the adequate notice.
When using system of confirmation of input of orders by different users (validation or verification) information entered by the first user is confirmed by the second user.
The used method (double entry, validation or verification) and the list of the orders which are subject to input using the specified methods are determined by internal documents of the professional participant of the security market;
11) possibility of exchange of electronic documents;
12) recovery of activities within 2 (two) hours, in case of approach of failure in the software;
13) registration and identification of the events which are taking place in information system with preserving the following attributes: date and time of the beginning of event, the name of event, the user making action, the record identifier, date and time of the end of event, result of accomplishment of event.
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