of September 23, 2013 No. 248
About approval of the list, forms, terms of the reporting of custodians and Rules of their representation
According to the laws of the Republic of Kazakhstan of July 4, 2003 "About state regulation, control and supervision of the financial market and the financial organizations" and of March 19, 2010 "About the state statistics" the Board of National Bank of the Republic of Kazakhstan DECIDES:
1. Approve:
1) the list of the reporting of custodians according to appendix 1 to this resolution;
2) the report on the securities which are in nominal continence of custodian on form according to appendix 2 to this resolution;
3) the report on the blocked (unexecuted) orders of clients on form according to appendix 3 to this resolution;
4) the report on the number of clients of custodian on form according to appendix 4 to this resolution;
5) the report on the securities issued according to the legislation of foreign state, which are in nominal continence on form according to appendix 5 to this resolution;
6) Rules of submission of the reporting by custodian according to appendix 6 to this resolution.
2. The custodian represents to National Bank of the Republic of Kazakhstan the reporting in electronic format quarterly, no later than the last working day of the month following reporting quarter.
3. Recognize invalid regulatory legal acts of the Republic of Kazakhstan according to appendix 7 to this resolution.
4. This resolution becomes effective after ten calendar days after day of its first official publication.
Chairman of National Bank
G. Marchenko
|
It is approved Chairman of the Agency of the Republic of Kazakhstan according to the statistics November 25, 2013 |
A. Smailov _________ |
Appendix 1
to the Resolution of Board of National Bank of the Republic of Kazakhstan of September 23, 2013 No. 248
The reporting of custodian includes:
1) the report on the securities which are in nominal continence of custodian;
2) the report on the blocked (unexecuted) orders of clients;
3) report on the number of clients of custodian;
4) the report on the securities issued according to the legislation of foreign state, which are in nominal continence.
Appendix 2
to the Resolution of Board of National Bank of the Republic of Kazakhstan of September 23, 2013 No. 248
The form intended for collection of administrative data
Accounting period: on "___" ________ 20 __ years
Index: 1-CUST_NOM_DER
Frequency: quarterly
Represents: custodian
Where the form is represented: National Bank of the Republic of Kazakhstan
Representation term: quarterly, no later than the last working day of the month following reporting quarter
Form
____________________________________________________________
(name of custodian)
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№ |
Identification number |
Name of the issuer |
Name of the nominee holder |
The number of the securities which are on customer accounts of custodian as of the end of the accounting period and the number of security holders | |||||||
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in total |
Voluntary accumulation pension funds of the Republic of Kazakhstan (pension assets) |
investment funds of the Republic of Kazakhstan (assets of investment fund) |
banks of the second level of the Republic of Kazakhstan (owners) | ||||||||
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securities (pieces) |
security holders |
securities (pieces) |
security holders |
securities (pieces) |
security holders |
securities (pieces) |
security holders | ||||
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The document ceased to be valid since January 1, 2020 according to Item 3 of the Resolution of Board of National Bank of the Republic of Kazakhstan of November 28, 2019 No. 211