LAW OF THE REPUBLIC OF KAZAKHSTAN

of May 16, 2014 No. 202-V ZRK

About permissions and notifications

This Law governs the public relations connected with introduction and realization of allowing or notifying procedure by the subjects of private entrepreneurship and other persons provided by this Law, separate types of activity or actions.

Chapter 1. General provisions

Article 1. The basic concepts used in this Law

In this Law the following basic concepts are used:

1) The Government for Citizens State corporation (further - the State corporation) - the legal entity created according to the decision of the Government of the Republic of Kazakhstan for rendering the state services, services in issue of specifications on connection to networks of subjects of natural monopolies and services of subjects of the quasi-public sector according to the legislation of the Republic of Kazakhstan, the organization of work on reception of applications on rendering the state services, services in issue of specifications on the connection to networks of subjects of natural monopolies, services of subjects of the quasi-public sector and issue of their results to uslugopoluchatel by the principle of "one window", and also ensuring rendering the state services electronically performing state registration of the rights to real estate in the place of its stay;

1-1) authorized bodies in the field of informatization - the central executive body performing management and cross-industry coordination in the field of informatization and "the electronic government";

2) qualification requirements - set of the quantitative and high-quality standard rates and indicators characterizing capability of the applicant and licensee to be engaged in the separate licensed type of activity and (or) subspecies of the licensed type of activity, shown as when licensing and (or) appendices to the license, and throughout the entire period of time of its reality;

3) the body authorized on issue of permission of the second category - state body or the official to whose competence according to the legislation of the Republic of Kazakhstan functions on implementation of the allowing procedure are referred;

4) the owner of permission of the second category - the physical person or legal entity having the valid permission of the second category;

5) the licensed type of activity - type of activity (certain action (transaction, insurance classes), for occupation by which receipt of the license according to this Law is required;

6) the license - the permission of the first category issued by the licensor to physical person or legal entity, and also branch of the foreign legal entity which object of activity is rendering financial services, on implementation of the licensed type of activity or subspecies of the licensed type of activity connected with the high level of danger;

7) the licensor - the state body performing licensing according to this Law;

8) the licensee - physical person or legal entity, and also branch of the foreign legal entity which object of activity is rendering financial services, having the license;

9) subspecies of the licensed type of activity - specification of the corresponding licensed type of activity within one license;

10) licensing - complex of the actions connected with issue and renewal of the license and (or) appendices to the license and the duplicate of the license and (or) appendices to the license, implementation of allowing control, suspension, renewal and cancellation of the license and (or) appendices to the license;

11) alienability of the license - possibility of renewal of the license for other physical person or legal entity without holding procedures of check of compliance to its qualification requirements;

12) the valid permission - issued, extended or the renewed permission which is not suspended or is not stopped according to this Law;

13) the applicant - physical person or legal entity, branch or representation of the legal entity, the licensee, the owner of permission of the second category who addressed to the relevant allowing organ for passing of licensing or the allowing procedure or who directed the notification;

13-1) automatic mode of check of the applicant and issue of permission - the mode in case of which consideration of the application and issue of permission are made without participation of the responsible person of allowing body;

14) regulatory state agencies - the state bodies responsible for regulation of business activity in the specific sphere in which it is entered or the allowing or notifying procedure is planned to introduction;

15) permission - confirmation of the right of physical person or legal entity, and also branch of the foreign legal entity which object of activity is rendering financial services, on the implementation of activities or actions (transactions) performed by allowing bodies by means of licensing or the allowing procedure;

16) allowing control - the activities of allowing bodies directed to check of compliance of the applicant to qualification or allowing requirements before issue of permission and (or) appendix to permission and also ensuring compliance by licensees and owners of permissions of the second category of the legislation of the Republic of Kazakhstan on permissions and notifications after their issue;

17) allowing bodies - licensors and the bodies authorized on issue of permissions of the second category;

18) allowing procedure - establishment of obligation of person prior to implementation of activities or actions (transactions) to have available the valid permission provided by this Law;

19) the allowing procedure - complex of the actions connected with issue of permission of the second category and making of others of stipulated by the legislation actions of the Republic of Kazakhstan in its relation and also implementation of allowing control;

20) allowing requirements - set of the quantitative and high-quality standard rates and indicators characterizing capability of the applicant and owner of permission of the second category to perform separate type of activity or action (transaction) concerning which the allowing procedure is entered, shown both in case of issue of permission of the second category, and throughout the entire period of time of its reality;

21) the state electronic register of permissions and notifications - the component of the state information system of permissions and notifications containing data about the issued, renewed, suspended, cancelled, extended, resumed and terminated permissions and their duplicates, and also about the received notifications;

22) authorized body in the field of permissions and notifications - the central state body performing management and cross-industry coordination in the field of permissions and notifications;

23) the analysis of regulatory impact of allowing or notifying procedure (further - the analysis of regulatory impact) - the analytical procedure of comparison of benefits and costs from the entered allowing or notifying procedure allowing to estimate goal achievement of state regulation and also self-regulation of subjects of professional or business activity in subsequent;

24) toughening of allowing or notifying procedure - establishment of additional requirements, obligations or other increase in load of applicants, licensees or owners of permissions of the second category;

25) the state information system of permissions and notifications - the information system which is component of "the electronic government", intended for implementation in electronic form of licensing, allowing procedures regarding receipt of permission with assignment of identification number, the direction of the notification by the applicant and ensuring these processes;

26) electronic form of permission - the permission in electronic form which is drawn up and received with use of the state information system of permissions and notifications equivalent to permission on paper;

27) historical data - information on the permissions and notifications issued or sent to the period of temporary or permanent absence at the allowing and state bodies performing acceptance of notifications, possibilities of maintaining the state electronic register of permissions and notifications;

27-1)  No. 156-VI ZRK is excluded according to the Law of the Republic of Kazakhstan of 24.05.2018;

28) the notification - the document constituted by the applicant in the form approved by authorized body in the field of permissions and notifications, National Bank of the Republic of Kazakhstan or authorized body on regulation, control and supervision of the financial market and financial institutions, informing on the beginning or the termination of implementation of activities or action;

29) notifying procedure - establishment of obligation of physical person or legal entity prior to implementation of activities or actions to notify the state body performing acceptance of notifications, on it according to the procedure, established by this Law;

30) the accompanying permission - permission of the second category which according to the legislation of the Republic of Kazakhstan is the compulsory provision for issue to the applicant of other permission;

31) it is excluded.

Article 2. Legislation of the Republic of Kazakhstan on permissions and notifications

1. The legislation of the Republic of Kazakhstan on permissions and notifications is based on the Constitution of the Republic of Kazakhstan and consists of this Law and other regulatory legal acts of the Republic of Kazakhstan.

2. If the international treaty ratified by the Republic of Kazakhstan establishes other rules, than those which are provided by this Law then are applied rules of the international treaty.

Article 3. Coverage of this Law

1. Operation of this Law extends to all permissions and notifications in the Republic of Kazakhstan answering to at the same time following signs:

1) permission shall be got, and the notification is directed by physical person or legal entity to start implementation of activities or action (transaction);

2) receipt of permission (except the accompanying permission) and the direction of the notification according to requirements of regulatory legal acts of the Republic of Kazakhstan are obligatory for the group of people established by the legislation of the Republic of Kazakhstan, and implementation of activities or actions (transactions) without their obtaining attracts the criminal or administrative responsibility;

3) issue of permission and acceptance of the notification are performed by authorized state bodies or officials of authorized state bodies;

4) the obligation on receipt of permission, the direction of the notification is assigned on: physical persons and legal entities - subjects of private entrepreneurship; the physical persons acquiring the right to be engaged in regulated professional activity; the physical persons and legal entities which are not subjects of private entrepreneurship, but obliged to get the same permissions, as subjects of private entrepreneurship for implementation of the activities or actions (transactions);

5) the bodies performing issue of permission are authorized to perform compliance to the requirements established by regulatory legal acts, and in case of discrepancy to the requirements established by the legislation of the Republic of Kazakhstan to refuse issue of permission;

6) the permissions got by subjects of private entrepreneurship are not the basis for the subsequent provision of privileges (preferential terms) by it.

2. Operation of this Law does not extend on:

1) the permissions which are not provided in appendices 1 and 2 to this Law established by the Law of the Republic of Kazakhstan "About technical regulation";

2) state registration of legal entities and accounting registration of branches and representations, state registration of the termination of activities of legal entities, removal from accounting registration of branches and representations;

3) registration of currency transactions and the notification on the currency transactions and on opening of the foreign bank account performed according to the Law of the Republic of Kazakhstan "About currency control and currency exchange control";

4) state registration of releases of issued securities, the notifications, information and reports provided according to the Law of the Republic of Kazakhstan "About the security market";

5) the notification (data), directed by issuers of securities and financial institutions in the course of implementation of activities in the financial sphere and activities connected with concentration of financial resources according to regulatory legal acts of authorized body on regulation, control and supervision of the financial market and financial institutions;

5-1) it is excluded;

6) the permissions which are not provided in appendix 2 to this Law established by the Law of the Republic of Kazakhstan "About Frontier of the Republic of Kazakhstan";

7) actions of the authorized body performing management in spheres of natural monopolies and in the controlled markets regarding regulation of tariff setting of subjects of natural monopolies and pricing of subjects of the controlled market;

7-1) acquisition of idle property in the form of arms and military equipment the foreign legal entities having the permission issued by the licensor of the country which resident they are, or other country where they are registered as participants of foreign economic activity, on condition of receipt of the export license in the Republic of Kazakhstan;

8) the permissions established by the Law of the Republic of Kazakhstan "About the state secrets";

9) the permissions relating to fulfillment of requirements on safety of flights and aviation safety and issued by authorized organization in the field of civil aviation to physical persons and legal entities;

10) the activities of financial institutions, and also other legal entities performed within specific mode of regulation according to the procedure and on the conditions established by the laws of the Republic of Kazakhstan "About state regulation, control and supervision of the financial market and financial institutions" and "About National Bank of the Republic of Kazakhstan".

Article 4. The basic principles of state regulation in the field of permissions and notifications

The basic principles of state regulation in the field of permissions and notifications are:

1) balance of consumer interests, entrepreneurs and state;

2) justification and efficiency of introduction of allowing or notifying procedure;

3) transparency of activities of state bodies and availability of information;

4) cross liability;

5) freedom from corruption;

6) legality.

Article 5. Balance of consumer interests, entrepreneurs and state

1. Introduction of allowing or notifying procedure is performed for the purpose of ensuring sufficient level of safety of activities or actions (transactions), the most effective consumer protection in case of the minimum objectively necessary demand on entrepreneurs.

2. Qualification and allowing requirements shall provide minimum necessary set of the quantitative and high-quality standard rates and indicators sufficient to the applicant, the licensee or the owner of permission of the second category for ensuring required level of safety of the forthcoming activities and action (transaction) or object.

3. Allowing bodies have no right to require submission of the documents which are directly not provided by regulatory legal acts of the Republic of Kazakhstan.

Article 6. Justification and efficiency of introduction of allowing or notifying procedure

1. Justification and efficiency of introduction of allowing or notifying procedure are provided by means of implementation of compulsory procedures of reasons, approval and monitoring of their efficiency in goal achievement of state regulation.

2. The amount of the charges or payments levied in case of issue of permissions and also in other cases, shall be determined from need of compensation of costs of the state for administration of allowing procedure.

In case of restrictive nature of regulation by the laws of the Republic of Kazakhstan collection and the amount of charges or payments in case of issue of permissions as property qualification and restriction for entrance for the market, and also concerning activities with the high level of danger or the permissions issued on activities with limited resources or with use of quotas can be provided.

3. Loading from the entered allowing or notifying procedure shall be measured and be estimated by means of the analysis of regulatory impact.

4. The choice of instruments of regulation is performed proceeding from assessment and the principles of risk management concerning types of activity or actions (transactions) and subjects of private entrepreneurship.

Depending on the level of danger connected with the forthcoming activities or action (transaction) of different subjects of private entrepreneurship within one type of activity or action (transaction) the requirement for receipt of permission or the direction of the notification can be established.

5. The allowing procedure is established in cases if the requirements to products provided by the laws of the Republic of Kazakhstan, requirements for obligatory confirmation of conformity are insufficient for goal achievement of state regulation.

Article 7. Transparency of activities of state bodies and availability of information

1. Modification and (or) amendments in the legal acts of the Republic of Kazakhstan concerning permissions and (or) notifications shall be performed after discussion of these changes and (or) amendments with the public.

2. The information which is available for state bodies, is not limited to use and necessary for interested persons shall be available.

3. Data on the issued permissions, directed notifications, conditions of issue of permissions and the direction of notifications shall be placed on the web portal of "the electronic government" and Internet resources of state bodies, and also on other objects of informatization according to the legislation of the Republic of Kazakhstan in the field of rendering the state services in the Kazakh and Russian languages, except for information containing the state secrets and other secret protected by the law.

4. All procedures and requirements connected with introduction and implementation of allowing or notifying procedure shall be clear for all interested persons.

Article 8. Cross liability

1. The state confirms with issue of permission providing with the licensee, owner of permission of the second category of the minimum level of safety according to the purposes of state regulation.

2. The possibility of joint consideration and (or) decision making can be established, as a rule, in case of need implementation of experience evaluation and (or) qualification of the applicant or the choice most of the best condition of implementation of activities or action (transaction) of the applicant in comparison with conditions of other applicants.

Article 9. Freedom from corruption

1. In case of introduction and implementation of allowing or notifying procedure the facts of conflict of interest and the selective application of the right shall be excluded.

2. For the purpose of restriction of contacts of physical persons and legal entities with state bodies in the course of licensing and allowing procedures in case of acceptance of the regulatory legal acts regulating procedure of allowing procedures, as a rule, use of the principle of "one window" in case of which all necessary approvals from state bodies shall turn out allowing bodies is provided.

3. Nobody has the right to demand from physical persons and legal entities of availability of the permissions or notifications which are not provided by this Law.

Article 9-1. Legality

Authorized state bodies or officials of authorized state bodies in case of issue of permission and acceptance of the notification shall observe requirements of this Law and other regulatory legal acts of the Republic of Kazakhstan.

Chapter 2. System of state regulation in the field of permissions and notifications

Article 10. Competence of the Government of the Republic of Kazakhstan

Are within the competence of the Government of the Republic of Kazakhstan:

1) development of the main directions of state policy in the field of permissions and notifications;

1-1) No. 223-VII ZRK is excluded according to the Law of the Republic of Kazakhstan of 19.04.2023

2) determination of licensors and state bodies which perform licensing approval;

3)  No. 239-V ZRK is excluded according to the Law of the Republic of Kazakhstan of 29.09.2014

4) determination of the bodies authorized on issue of permissions of the second category, state bodies which perform approval of issue of permission of the second category;

5)  No. 239-V ZRK is excluded according to the Law of the Republic of Kazakhstan of 29.09.2014

6) No. 239-V ZRK is excluded according to the Law of the Republic of Kazakhstan of 29.09.2014

7) No. 239-V ZRK is excluded according to the Law of the Republic of Kazakhstan of 29.09.2014

8) approval of the list of poisons which production, conversion, acquisition, storage, realization, use and destruction are subject to licensing;

9) No. 239-V ZRK is excluded according to the Law of the Republic of Kazakhstan of 29.09.2014

10) No. 239-V ZRK is excluded according to the Law of the Republic of Kazakhstan of 29.09.2014

11) No. 239-V ZRK is excluded according to the Law of the Republic of Kazakhstan of 29.09.2014

12) No. 223-VII ZRK is excluded according to the Law of the Republic of Kazakhstan of 19.04.2023

Article 11. Competence of authorized body in the field of permissions and notifications

In the field of permissions and notifications treat competence of authorized body:

1) forming and realization of state policy in the field of permissions and notifications;

1-1) creations of conditions for self-regulation development;

2) development process control, establishment of access rights, ensuring functioning of the state electronic register of permissions and notifications;

3) development and approval of forms of statements for obtaining and renewal of the license and (or) appendix to the license, forms of the license and (or) appendix to the license;

4) development and approval of regulatory legal act about approval of forms of notifications and Regulations of Admission of notifications by state bodies, and also about determination of the state bodies performing acceptance of notifications;

5) No. 269-V ZRK is excluded according to the Law of the Republic of Kazakhstan of 29.12.2014

6) No. 269-V ZRK is excluded according to the Law of the Republic of Kazakhstan of 29.12.2014

7) No. 269-V ZRK is excluded according to the Law of the Republic of Kazakhstan of 29.12.2014

8) No. 269-V ZRK is excluded according to the Law of the Republic of Kazakhstan of 29.12.2014

9) No. 269-V ZRK is excluded according to the Law of the Republic of Kazakhstan of 29.12.2014

10) No. 269-V ZRK is excluded according to the Law of the Republic of Kazakhstan of 29.12.2014

11) No. 269-V ZRK is excluded according to the Law of the Republic of Kazakhstan of 29.12.2014

12) approval of the joint order with authorized body in the field of informatization about approval of the list of permissions, subjects and not subject to automation;

13) No. 239-V ZRK is excluded according to the Law of the Republic of Kazakhstan of 29.09.2014

14) implementation of other powers provided by this Law, other laws of the Republic of Kazakhstan, acts of the President of the Republic of Kazakhstan and the Government of the Republic of Kazakhstan.

Article 12. Competence of regulatory state agencies

1. Are within the competence of regulatory state agencies:

1) development and approval of authorized body in the field of permissions and notifications and authorized body in the field of informatization of projects of regulatory legal acts about determination of licensors, state bodies which perform licensing approval;

1-1) development, approval of authorized body in the field of permissions and notifications and authorized body in the field of informatization and approval of regulatory legal acts about approval of qualification requirements and the list of the documents confirming compliance to them, except for qualification requirements and the list of documents to the licensed types of activity in the field of gaming;

2) development and approval of authorized body in the field of permissions and notifications and authorized body in the field of informatization of projects of regulatory legal acts about determination of the bodies authorized on issue of permissions of the second category, state bodies which perform approval of issue of permissions of the second category;

2-1) development, approval of authorized body in the field of permissions and notifications and authorized body in the field of informatization and approval of regulatory legal acts about approval of allowing requirements and the list of the documents confirming compliance to them;

3) development, approval of authorized body in the field of permissions and notifications and authorized body in the field of informatization and approval of forms of statements for receipt of permission of the second category, forms of permissions of the second category;

4) development, approval of authorized body in the field of permissions and notifications and authorized body in the field of informatization and approval of rules of implementation of allowing procedures and rules of implementation of activities or actions (transactions) for which this Law enters allowing procedure;

5) No. 269-V ZRK is excluded according to the Law of the Republic of Kazakhstan of 29.12.2014

6) No. 269-V ZRK is excluded according to the Law of the Republic of Kazakhstan of 29.12.2014

7) issue according to statements of physical persons and legal entities of the conclusion about need or lack of need of receipt of permissions by them for implementation of specific types of activity or actions (transactions);

8) implementation of other powers provided by this Law, other laws of the Republic of Kazakhstan, acts of the President of the Republic of Kazakhstan, the Government of the Republic of Kazakhstan, National Bank of the Republic of Kazakhstan and authorized body on regulation, control and supervision of the financial market and financial institutions.

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