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The document ceased to be valid since  September 4, 2015 according to Item 2 of the Order of the Minister of national economy of the Republic of Kazakhstan of June 30, 2015 No. 471

ORDER OF THE MINISTER OF NATIONAL ECONOMY OF THE REPUBLIC OF KAZAKHSTAN

of November 11, 2014 No. 78

About approval of Criteria for evaluation of risk degree in the field of private entrepreneurship behind compliance with law of the Republic of Kazakhstan about commodity exchanges

According to subitem 3-1) of article 4 of the Law of the Republic of Kazakhstan of May 4, 2009 "About commodity exchanges" and Items 3 and 4 of article 13 of the Law of the Republic of Kazakhstan of January 6, 2011 "About the state control and supervision in the Republic of Kazakhstan" PRIKAZYVAYU:

1. Approve the enclosed Criteria for evaluation of risk degree in the field of private entrepreneurship behind compliance with law of the Republic of Kazakhstan about commodity exchanges.

2. To provide to department of regulation of trading activity of the Ministry of national economy of the Republic of Kazakhstan (S. Kameli):

1) state registration of this order in the Ministry of Justice of the Republic of Kazakhstan;

2) within ten calendar days after state registration of this order in the Ministry of Justice of the Republic of Kazakhstan its direction on official publication in periodic printing editions and information system of law of Ad_let;

3) publication of this order on official Internet resource of the Ministry of national economy of the Republic of Kazakhstan.

3. Declare invalid the joint order of the deputy. The Minister of Economy and Budget Planning of the Republic of Kazakhstan of August 8, 2013 No. 240 and the First deputy Premier-Ministra of the Republic of Kazakhstan - the Minister of Regional Development of the Republic of Kazakhstan of August 19, 2013 No. 196/Tax Code "About Approval of Criteria for Evaluation of Risk Degree in the field of Private Entrepreneurship behind Compliance with Law of the Republic of Kazakhstan about Commodity Exchanges" (No. 8722) is registered in the Ministry of Justice of the Republic of Kazakhstan on September 18, 2013.

4. To impose control of execution of this order on the vice-minister of national economy of the Republic of Kazakhstan Zhaksylykov T. M.

5. This order becomes effective after ten calendar days after day of its first official publication.

Minister

E.Dosayev

Approved by the Order of the Minister of national economy of the Republic of Kazakhstan of November 11, 2014, No. 78

Criteria for evaluation of risk degree in the field of private entrepreneurship behind compliance with law of the Republic of Kazakhstan about commodity exchanges

1. These Criteria for evaluation of risk degree in the field of private entrepreneurship behind compliance with law of the Republic of Kazakhstan about commodity exchanges (further - Criteria) are developed according to the Laws of the Republic of Kazakhstan "About commodity exchanges" and "About the state control and supervision in the Republic of Kazakhstan" and for the purpose of reference of commodity exchanges to different risk degrees.

2. In these Criteria the risk is understood as probability of causing to participants of stock exchange trading of property damage as a result of activities of commodity exchanges.

3. Reference of commodity exchange to group on risk degree is performed by initial and subsequent distribution.

4. At initial stage newly created commodity exchanges treat group of high risk.

5. In subsequent by results of performed commodity exchanges are distributed on degrees of risks depending on the amount of the gained points according to appendix to these Criteria:

from 61 points and above - treat high risk;

from 31 to 60 points - treat average risk degree;

from 0 to 30 points - belong to insignificant risk degree.

6. In case of lack of violations by results of scheduled inspection the commodity exchange is transferred to group of smaller risk degree.

Appendix

to Criteria for evaluation of risk degree in the field of private entrepreneurship behind compliance with law of the Republic of Kazakhstan about commodity exchanges

form

Criteria for evaluation of risk degree

No. of payment order

Name of criteria

Points

1.

Lack of 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 (according to Item 1 of Qualification requirements to activities of commodity exchanges, exchange brokers and stock dealers and the list of the documents confirming compliance to them, approved by the order of the Government of the Republic of Kazakhstan of December 21, 2012 No. 1653)

30

2.

Absence of 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 (according to Item 2 of Qualification requirements to activities of commodity exchanges, exchange brokers and stock dealers and the list of the documents confirming compliance to them, approved by the order of the Government of the Republic of Kazakhstan of December 21, 2012 No. 1653)

30

3.

Lack of 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 (according to Item 3 of Qualification requirements to activities of commodity exchanges, exchange brokers and stock dealers and the list of the documents confirming compliance to them, approved by the order of the Government of the Republic of Kazakhstan of December 21, 2012 No. 1653)

10

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