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The document ceased to be valid since  September 16, 2015 according to Item 1 of the Order of the Government of the Republic of Kazakhstan of August 28, 2015 No. 667

ORDER OF THE GOVERNMENT OF THE REPUBLIC OF KAZAKHSTAN

of December 21, 2012 No. 1653

About some questions of licensing of activities of commodity exchanges, exchange brokers and stock dealers

(as amended of the Order of the Government of the Republic of Kazakhstan of 25.02.2014 No. 149)

According to article 6 of the Law of the Republic of Kazakhstan of January 11, 2007 "About licensing" the Government of the Republic of Kazakhstan DECIDES:

1. Approve the enclosed qualification requirements to activities of commodity exchanges, exchange brokers and stock dealers and the list of the documents confirming compliance to them.

2. Determine the licensor by implementation of activities of commodity exchanges, exchange brokers and stock dealers Committee of trade of the Ministry of Economy and Budget Planning of the Republic of Kazakhstan.

3. Recognize invalid some decisions of the Government of the Republic of Kazakhstan according to appendix to this resolution.

4. This resolution becomes effective after sixty calendar days after the first official publication.

Prime Minister of the Republic of Kazakhstan

S. Akhmetov

Approved by the Order of the Government of the Republic of Kazakhstan of December 21, 2012 No. 1653

Qualification requirements to activities of commodity exchanges, exchange brokers and stock dealers and the list of the documents confirming compliance to them

 

Qualification requirements include availability:

Documents

to activities of commodity exchanges

1

Electronic trading system of the commodity exchange meeting the general requirements established by the Government of the Republic of Kazakhstan to electronic trading systems of commodity exchanges

The form of data containing information: about the delivery-acceptance certificate and commissioning; about availability of the statement of fixed assets; about the specification; about the description of electronic trading system (according to appendix 1)

2

The structural division equipped with necessary means on providing the mode of privacy (confidentiality), and also safety of the data which are trade secret at commodity exchange, including on electronic media

The form of data containing information on the order on approval of regulations on structural division and the order on the admission of persons having access of the classified information (according to appendix 1)

3

The rules of stock exchange trading developed on the basis of the standard rules of stock exchange trading approved by the Government of the Republic of Kazakhstan

The form of data containing information on approval of rules of stock exchange trading (according to appendix 1)

4

At the staff of commodity exchange holding executive positions: the higher education; length of service in the field of commodity exchanges (and/or) in financial institutions at least three years; at the staff of commodity exchange who is not holding executive positions: the higher or postsecondary education

The form of data containing information: about education and length of service of the employees holding executive positions according to the staff list; about appointment of the head; about education of the employees who are not holding executive positions according to the staff list; (according to appendix 1)

5

Structural divisions on the organization of trade and for work with clients

The form of data containing information on the order on approval of regulations on structural division on the organization of trade and on work with clients (according to appendix 1)

6

Clearing center, or usage agreement of services of clearing center

The form of data containing information on the order on creation of clearing center, or on the usage agreement of services of clearing center (according to appendix 1)

7

Agreements of intention on cooperation or rendering services at least with seven exchange brokers and (or) stock dealers

The form of data containing information on agreements of intention on cooperation or rendering services (according to appendix 1)

8

Own Internet resource in the state and Russian languages containing information on commodity exchange and procedure for carrying out the biddings by it and also the special Section for placement of results of the exchange biddings

The form of data containing information on putting into operation of Internet resource (according to appendix 1)

9

The approved amount of payments: admission and annual fees of members of commodity exchange, for use of property of the exchange, and also registration and registration of stock exchange transactions, other receipts which are not prohibited by the legislation

The form of data containing information on the order on approval of the amount of payments: admission and annual fees of members of commodity exchange, for use of property of the exchange, and also registration and registration of stock exchange transactions, other receipts which are not prohibited by the legislation (according to appendix 1)

to activities of exchange brokers (further - brokers) and (or) stock dealers (further - dealers)

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