of October 22, 2014 No. 189
About approval of Requirements to the issuers and their securities allowed (allowed) to the address on the stock exchange and also to separate categories of the list of stock exchange
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. Approve the enclosed Requirements to the issuers and their securities allowed (allowed) to the address on the stock exchange, and also to separate categories of the list of stock exchange (further - Requirements).
2. Recognize invalid regulatory legal acts of the Republic of Kazakhstan according to appendix to this resolution.
3. JSC Kazakhstan stock Exchange till January 1, 2015 to bring the internal documents into accord with the above-stated Requirements.
Chairman of National Bank
Approved by the Resolution of Board of National Bank of the Republic of Kazakhstan of October 22, 2014 No. 189
1. For the purposes of these Requirements to the issuers and their securities allowed (allowed) to the address on the stock exchange and also to separate categories of the list of stock exchange (further - Requirements) the following concepts are used:
1) the special company (Special purpose vehicle) - the legal entity founded according to the legislation of foreign state which single type of activity is fund raising including by release and placement of debt securities under guarantee of the () of the founder (founders) of the participant (participants), shareholder (shareholders) - legal (legal) persons (persons) of the same or other state or under guarantee of the connected persons, (affiliirovanny) with them;
2) special finance company - the legal entity created according to the Law of the Republic of Kazakhstan of February 20, 2006 "About project financing and securitization" or according to the legislation of foreign state for implementation of transactions of project financing and securitization for benefit of which rights to claim are yielded;
3) the debt security - the security certifying the right of its owner to obtaining from the issuer of the amount of principal debt in the amount of and in the terms established by release conditions;
4) bonds of local executive bodies - the government securities of the Republic of Kazakhstan issued by local executive bodies of the city of republican value, the capital;
5) index fund - investment fund which assets constitute the financial instruments similar entering the representative list of the certain stock index which is for this investment fund basic;
6) the representative list of index - the list of securities which parameters are used for the purpose of calculation of this or that indicator of stock exchange;
7) Islamic securities - Islamic rent certificates and Islamic participation certificates;
8) the non-financial organization - the organization which is not the financial organization;
9) the official listing of stock exchange (official listing) - part of the list of stock exchange, for inclusion in which and stay in which securities and issuers of securities conform to Requirements;
10) the list of stock exchange - the list of the financial instruments permitted to the address in trade system of stock exchange constituted according to internal documents of stock exchange;
11) the listing company - the legal entity whose securities are included in the official listing (are allowed to the address in the official listing);
12) the sector of the official listing - part of the official listing of stock exchange in which are included (in which are allowed to the address) the issued securities conforming to Requirements and (or) internal documents of stock exchange;
13) the initiator of the admission - the issuer or the member of stock exchange at the initiative of whom securities join (are allowed) in the official listing of stock exchange;
14) trading floor - part of software and hardware complex of stock exchange by means of which bargains with separate types of the financial instruments included in the official listing (allowed to the address on the stock exchange) are concluded;
15) restructuring of obligations of the issuer - complex of the administrative, legal, financial, organizational and technical and other actions and procedures realized by the issuer based on the restructuring plan approved according to the procedure, established by the Law of the Republic of Kazakhstan of August 31, 1995 "About banks and banking activity in the Republic of Kazakhstan" or the plan of rehabilitation approved according to the procedure, established by the Law of the Republic of Kazakhstan of March 7, 2014 "About rehabilitation and bankruptcy";
16) authorized body - National Bank of the Republic of Kazakhstan.
2. The securities issued according to the legislation of others, in addition to the Republic of Kazakhstan, the states, included in the list (allowed to the address in the list) stock exchange are allowed to the address in the organized market of securities of the Republic of Kazakhstan.
2-1. The list of stock exchange consists of the official listing and the sector "Not listing securities".
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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