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RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of May 8, 2015 No. 75

About approval of the list, forms, terms and Rules of submission of the reporting on accomplishment of prudential standard rates by banks of the second level

(as amended on 27-03-2023)

According to subitem 65-2) of part two of article 15 of the Law of the Republic of Kazakhstan "About National Bank of the Republic of Kazakhstan", Item 3 of Article 42 and Item 1 of article 54 of the Law of the Republic of Kazakhstan "About banks and banking activity in the Republic of Kazakhstan" and the subitem 2) of Item 3 of article 16 of the Law of the Republic of Kazakhstan "About the state statistics" the Board of National Bank of the Republic of Kazakhstan DECIDES:

1. Approve:

1) the list of the reporting on accomplishment of prudential standard rates by banks of the second level according to appendix 1 to this resolution;

2) report form about accomplishment of prudential standard rates according to appendix 2 to this resolution;

3) report form about disaggregation of the assets weighed taking into account credit risk according to appendix 3 to this resolution;

4) report form about disaggregation of the contingent and possible obligations weighed taking into account credit risk according to appendix 4 to this resolution;

5) report form about disaggregation of conditional and possible requirements and obligations for the derivative financial instruments weighed taking into account credit risk according to appendix 5 to this resolution;

6) report form about disaggregation of calculation of specific interest risk (by currencies) according to appendix 6 to this resolution;

7) report form about distribution of open line items on time frames (by currencies) according to appendix 7 to this resolution;

8) report form about disaggregation of calculation of general interest risk (by currencies) according to appendix 8 to this resolution;

9) report form about disaggregation of the maximum extent of risk on one borrower (by borrowers) according to appendix 10 to this resolution;

10) report form about disaggregation of coefficient of current liquidity of k4 according to appendix 11 to this resolution;

11) report form about disaggregation of coefficients of urgent liquidity of k4-1, k4-2, k4-3 according to appendix 12 to this resolution;

12) report form about disaggregation of coefficients of urgent currency liquidity of k4-4, k4-5, k4-6 according to appendix 13 to this resolution;

13) report form about foreign exchange positions on each foreign currency and currency net position for each working day of week (month) according to appendix 14 to this resolution;

14) report form about calculation of average monthly size of internal assets, internal and other obligations, coefficient of placement of part of means in internal assets according to appendix 15 to this resolution;

15) report form about disaggregation of capitalization ratio of banks to obligations to nonresidents of the Republic of Kazakhstan according to appendix 16 to this resolution;

16) report form about calculation of coefficients of sufficiency of equity in case of securitization according to appendix 17 to this resolution;

17) report form about disaggregation of the assets weighed taking into account the credit risk represented by Islamic banks according to appendix 18 to this resolution;

18) report form about disaggregation of the contingent and possible obligations weighed taking into account the credit risk represented by Islamic banks according to appendix 19 to this resolution;

19) report form about disaggregation of the market risk connected with change of market value of inventory stocks, represented by Islamic banks according to appendix 20 to this resolution;

20) report form about disaggregation of coverage ratio of liquidity according to appendix 20-1 to this resolution;

21) report form about disaggregation of coefficient net stable funding according to appendix 20-2 to this resolution;

22) Rules of submission of the reporting on accomplishment of prudential standard rates by banks of the second level according to appendix 21 to this resolution.

2. Banks of the second level represent to National Bank of the Republic of Kazakhstan in electronic format:

1) monthly the reporting provided by subitems 2), 3), 4), 5), 6), 7), 8), 9), 10), 11), 12), 14), 15), 16), 17), 18) and 19) of Item 1 of this resolution - no later than the seventh working day of the month following month under report;

2) monthly the reporting provided by subitems 20) and 21) of Item 1 of this resolution - no later than the tenth working day of the month following month under report;

3) weekly the reporting provided by the subitem 13) of Item 1 of this resolution - no later than the fifth working day of the week following reporting week.

In case of completion of calendar month in reporting week, the reporting provided by the subitem 3) of this Item is provided no later than the seventh working day of month, the following for finished month, separately for the calendar days of reporting week relating to the finished month and for calendar days of reporting week of the month following for finished month.

3. Is not effective according to Item 8 of this Resolution .

4. Recognize invalid regulatory legal acts of the Republic of Kazakhstan according to appendix 22 to this resolution.

5. To department of paying balance, currency control and statistics (Umbetaliyev M. T.) in the procedure established by the legislation to provide:

1) together with Legal support department (Dosmukhambetov N. M.) state registration of this resolution in the Ministry of Justice of the Republic of Kazakhstan;

2) the direction of this resolution on official publication in information system of law of Ad_let of the republican state company on the right of economic maintaining "The republican center of legal information of the Ministry of Justice of the Republic of Kazakhstan" within ten calendar days after its state registration in the Ministry of Justice of the Republic of Kazakhstan;

3) placement of this resolution on official Internet resource of National Bank of the Republic of Kazakhstan after its official publication.

6. To department of the international relations and public relations (Kazybayev A. K.) provide the direction of this resolution on official publication in periodic printing editions within ten calendar days after its state registration in the Ministry of Justice of the Republic of Kazakhstan.

7. To impose control of execution of this resolution on the vice-chairman of National Bank of the Republic of Kazakhstan Kozhakhmetov K. B.

8. This resolution becomes effective after ten calendar days after day of its first official publication, except for:

1) lines, sequence numbers 77, 87, 90 both 92 appendices 2, sequence numbers 13 and 14 of appendix 11 and sequence number of the 5th appendix 15 to this resolution which extend to the relations which arose since October 1, 2014;

2) lines, sequence number of the 8th appendix 14 to this resolution which extends to the relations which arose since July 1, 2014;

3) lines, sequence numbers 93, the 94 and 95 appendices 2 and sequence numbers 83 and 84 of appendix 3 to this resolution which become effective since January 1, 2016.

Item 3 of this resolution is effective till February 1, 2016.

Chairman of National Bank

K. Kelimbetov

It is approved

Chairman of Committee according to the statistics Ministries of national economy of the Republic of Kazakhstan

May 13, 2015

 

 

A. Smailov

Appendix 1

to the Resolution of Board of National Bank of the Republic of Kazakhstan of May 8, 2015 No. 75

List of the reporting on accomplishment of prudential standard rates by banks of the second level

The reporting on accomplishment of prudential standard rates by banks of the second level includes:

1) report on accomplishment of prudential standard rates;

2) the report on disaggregation of the assets weighed taking into account credit risk;

3) the report on disaggregation of the contingent and possible obligations weighed taking into account credit risk;

4) the report on disaggregation of conditional and possible requirements and obligations on the derivative financial instruments weighed taking into account credit risk;

5) the report on disaggregation of calculation of specific interest risk (by currencies);

6) the report on distribution of open line items on time frames (by currencies);

7) the report on disaggregation of calculation of general interest risk (by currencies);

8) the report on disaggregation of the maximum extent of risk on one borrower (by borrowers);

9) report on disaggregation of coefficient of current liquidity of k4;

10) report on disaggregation of coefficients of urgent liquidity of k4-1, k4-2, k4-3;

11) report on disaggregation of coefficients of urgent currency liquidity of k4-4, k4-5, k4-6;

12) the report on foreign exchange positions on each foreign currency and currency net position for each working day of week (month);

13) the report on calculation of average monthly size of internal assets, internal and other obligations, coefficient of placement of part of means in internal assets;

14) the report on disaggregation of capitalization ratio of banks to obligations to nonresidents of the Republic of Kazakhstan;

15) the report on calculation of coefficients of sufficiency of equity in case of securitization;

16) the report on disaggregation of the assets weighed taking into account credit risk, represented by Islamic banks;

17) the report on disaggregation of the contingent and possible obligations weighed taking into account credit risk, represented by Islamic banks;

18) the report on disaggregation of the market risk connected with change of market value of inventory stocks, represented by Islamic banks;

19) report on disaggregation of coverage ratio of liquidity;

20) report on disaggregation of coefficient net stable funding.

Appendix 2

to the Resolution of Board of National Bank of the Republic of Kazakhstan of May 8, 2015 No. 75

The form intended for collection of administrative data

It is represented: in National Bank of the Republic of Kazakhstan

The form of administrative data is placed on Internet resource: www.nationalbank.kz

Report on accomplishment of prudential standard rates

Index of form of administrative data: 1-BVU_Prud_norm

Frequency: monthly

Accounting period: as of "____" __________ 20 ____ years

The group of people, providing information: bank of the second level

Term of representation of form of administrative data: no later than the seventh working day of the month following month under report

Form

Table. Data on prudential standard rates

(in thousands of tenges)

Name

Amount

1

2

3

1

Minimum size of equity

2

Equity

3

Capital of the first level

4

Fixed capital as amount

5

The paid common shares

6

Supplementary paid-in capital

7

Retained net profit of last years

8

Retained net profit of the current year

9

The cumulative opened reserve

10

Revaluation reserves

10.1

Reserves of revaluation of fixed assets and reserves of revaluation of cost of the securities carried at fair value through other comprehensive income

10.2

Reserves of revaluation of cost of the loans carried at fair value through other comprehensive income

11

Fixed capital behind minus:

11.1

own redeemed common shares

11.2

intangible assets, including goodwill

11.3

loss of last years

11.4

loss of the current year

11.5

the deferred tax asset (except for parts of the deferred tax assets recognized concerning deductible temporary differences) reduced on pro rata basis by the amount of deferred tax liabilities (except for the deferred tax liabilities recognized concerning intangible assets including goodwill)

11.6

reserves on other revaluation

11.7

sales returns, the assets connected with transactions on securitization

11.8

income or losses from change of fair value of the financial liability, in connection with change of credit risk according to such obligation

11.9

the regulatory adjustments which are deductible from the added capital, but in connection with its insufficient level subtracted from fixed capital

11:10

the excess amount which is subject to deduction from fixed capital if investments of bank (investments of bank into financial instruments of the financial organizations in which the bank has less than 10 (ten) percent of issued shares (shares in the authorized capital)) exceed 10 (ten) percent from fixed capital of bank after application of the regulatory adjustments specified in lines 11.1, 11. 2, 11. 3, 11. 4, 11. 5, 11. 6, 11. 7, 11.8 and 11.9

11:11

the excess amount which is subject to deduction from fixed capital if investments of bank (investments of bank into common shares of the financial organization in which the bank has 10 (ten) and more percent from issued shares (shares in the authorized capital)) exceed 10 (ten) percent from fixed capital of bank after application of the regulatory adjustments specified in lines 11.1, 11. 2, 11.3, 11.4, 11.5, 11.6, 11.7, 11.8, 11.9 and 11.10

11:12

the excess amount which is subject to deduction from fixed capital if the part of the deferred tax assets recognized concerning deductible temporary differences, reduced on pro rata basis by the amount of deferred tax liabilities (except for the deferred tax liabilities recognized concerning intangible assets including goodwill) exceeds 10 (ten) percent from fixed capital of bank after application of the regulatory adjustments specified in lines 11.1, 11. 2, 11.3, 11.4, 11.5, 11.6, 11.7, 11.8, 11.9 and 11.10

11:13

the excess amount which is subject to deduction from fixed capital if investments of bank into common shares of the financial organization in which the bank has 10 (ten) and more percent from issued shares (shares in the authorized capital) and the part of the deferred tax assets recognized concerning deductible temporary differences, reduced on pro rata basis by the amount of deferred tax liabilities (except for the deferred tax liabilities recognized concerning intangible assets including goodwill) in total exceed 17,65 (seventeen whole sixty five 100-th) percent of difference of fixed capital of bank after application of the regulatory adjustments specified in lines 11.1, 11. 2, 11. 3, 11. 4, 11. 5, 11. 6, 11. 7, 11.8 and 11.9 and the amount which is subject to deduction from fixed capital, specified in lines 11.10, 11.11 and 11. 12, reduced by the amounts which are deductible from fixed capital, specified in the lines 11.10, 11,11 and 11.12

12

Added capital as amount:

12.1

the termless agreements corresponding to criteria for classification of tools within equity of bank according to appendix of 1-1 Normative values and techniques of calculations of prudential standard rates and other regulations, obligatory to observance, and limits for the Islamic banks set by the resolution of Board of National Bank of the Republic of Kazakhstan of May 30, 2016 No. 144 "About establishment of prudential standard rates and other regulations and limits, obligatory to observance, for Islamic banks, their normative values and technique of calculations of prudential standard rates and other regulations and limits, obligatory to observance, for Islamic banks" registered in the Register of state registration of regulatory legal acts at No. 13939 and to appendix of 4 Normative values and techniques of calculations of prudential standard rates and other regulations and limits, obligatory to observance, the size of the capital of bank established by the resolution of Board of National Bank of the Republic of Kazakhstan of September 13, 2017 No. 170 "About establishment of normative values and techniques of calculations of prudential standard rates and other regulations and limits, obligatory to observance, the size of the capital of bank and Rules of calculation and limits of open foreign exchange position", registered in the Register of state registration of regulatory legal acts at No. 15886, which at the same time is resulted by financial asset at one person and the financial liability or other financial instrument confirming the right to share of the assets of the legal entity which remained later deductions of all its obligations at other person

12.2

the paid preferred shares corresponding to the established criteria

13

The added capital behind minus:

13.1

investments of bank into own termless financial instruments by direct or indirect method

13.2

own redeemed preferred shares of bank

13.3

the excess amount which is subject to deduction from the added capital if investments of bank (investments of bank into financial instruments of the financial organizations in which the bank has less than 10 (ten) percent of issued shares (shares in the authorized capital)) exceed 10 (ten) percent from fixed capital of bank after application of the regulatory adjustments specified in lines 11.1, 11. 2, 11. 3, 11. 4, 11. 5, 11. 6, 11. 7, 11.8 and 11.9

13.4

investments of bank into termless financial instruments of the financial organizations in which the bank has 10 (ten) and more percent from issued shares (shares in the authorized capital) deductible from the added capital

13.5

the regulatory adjustments which are deductible from the capital of the second level, but in connection with its insufficient level subtracted from the added capital

14

Capital of the second level

15

Subordinated debt

16

The capital of the second level behind minus:

16.1

the redeemed own subordinated debt of bank

16.2

the amount of excess of investments of bank (investment of bank into financial instruments of the financial organizations in which the bank has less than 10 (ten) percent of issued shares (shares in the authorized capital) in total exceeding 10 (ten) percent from fixed capital of bank after application of regulatory adjustments), increased by share of investments into subordinated debt in the total amount of investments

16.3

investments of bank into subordinated debt of the financial organizations, in which the bank has 10 (ten) percent and more from issued shares (shares in the authorized capital), the legal entity, deductible from the capital of the second level

17

Coefficient of sufficiency of fixed capital of kl

18

Capital adequacy ratio of the first kl-2 level

19

Coefficient of sufficiency of equity of k2

20

Retained net income of bank on which restriction regarding the termination of dividend payout and the return share repurchase is imposed

21

Not invested remaining balance of means accepted on the terms of the custodial agreement

22

Total the assets weighed taking into account credit risk

23

Total the contingent and possible obligations weighed taking into account credit risk

24

Total the derivative financial instruments weighed taking into account credit risk

25

Specific interest risk

26

General interest risk

27

Total the market risk connected with change of rate of remuneration

28

Specific risk

29

General risk

30

Total the market risk connected with change of share market value and market value of derivative financial instruments which underlying asset are shares or index on the share

31

Total the market risk connected with change of the exchange rate of foreign currencies (market value of precious metals)

32

Total the market risk connected with change of share market value (including the Islamic securities acquired with sales objective)

33

Total the risk on inventory stocks connected with change of market value

34

The amount of long and short positions on financial instruments with the market risk connected with change of market value

35

Difference of the amounts of long and short positions on financial instruments with the market risk connected with change of market value

36

Amount of open foreign exchange positions

37

The assets and conditional and possible requirements and obligations calculated taking into account market risk

38

Average size of annual gross income

39

Operational risk

40

Total debt of one borrower or group of the interconnected borrowers who are not connected with bank the special relations on any kind of obligations to bank

41

Coefficient of the maximum extent of risk on one borrower who is not connected with bank the special relations of k3

42

Total debt of one borrower or group of the interconnected borrowers connected with bank the special relations on any kind of obligations to bank

43

Coefficient of the maximum extent of risk on one borrower (group of borrowers) connected with bank the special relations of k3-1

44

The amount of risks on all borrowers connected with bank the special relations

45

Coefficient of the amount of risks on the borrowers connected with bank the special relations

46

The maximum amount of blank loan, unsecured contingent obligations before the borrower or for the borrower for benefit of the third parties on whom the bank can have requirements to the borrower during current and two next months, according to obligations of the corresponding borrowers, and also obligations of the nonresidents of the Republic of Kazakhstan registered or who are citizens of offshore zones, except for requirements to residents of the Republic of Kazakhstan with the rating of the agency Standard and Purs (Standard & Poor "s) or the rating of similar level of the Fitch or Mudis agencies of Investors Service (Moody" s Investors Service) (further - other rating agencies) is no more than one Item lower than the sovereign rating of the Republic of Kazakhstan and nonresidents having rating Standard and is not lower "And" the agencies than Purs (Standard & Poor "s) or the rating of similar level of one of other rating agencies, except for nonresidents with rating Standard and Purs (Standard & Poor "s) or the rating of similar level of one of other rating agencies, concerning one borrower or group of the interconnected borrowers is not lower "And" than the agency

47

Coefficient of the maximum size of blank credit

48

The cumulative amount of risks of bank on one borrower, the size of each of which exceeds 10 (ten) percent from equity of bank

49

The coefficient of the cumulative amount of risks on one borrower, the size of each of which exceeds 10 (ten) percent - from equity

50

The cumulative amount of the securitized credits transferred to special finance company of Kazakhstan Housing Company joint-stock company

51

Coefficient of the cumulative amount of the securitized credits transferred to special finance company of Kazakhstan Housing Company joint-stock company

52

The amount of risk of bank according to obligations of Development bank of Kazakhstan

53

Coefficient of the extent of risk according to obligations Development bank of Kazakhstan

54

Highly liquid assets

55

Obligations poste restante

56

Coefficient of current liquidity of k4

57

Urgent obligations with remaining period before repayment up to 7 (seven) days inclusive

58

Coefficient of urgent liquidity of k4-1

59

Quick assets with remaining period before repayment up to 1 (one) month inclusive, including highly liquid assets

60

Urgent obligations with remaining period before repayment up to 1 (one) month inclusive

61

Coefficient of urgent liquidity of k4-2

62

Quick assets with remaining period before repayment up to 3 (three) months inclusive, including highly liquid assets

63

Urgent obligations with remaining period before repayment up to 3 (three) months inclusive

64

Coefficient of urgent liquidity of k4-3

65

Assets for calculation of coefficient of urgent currency liquidity of k4-4:

65.1

on foreign currencies of the countries having sovereign rating Standard and Purs (Standard & Poor "s) or the rating of similar level of one of other rating agencies, and currency "Euro" is not lower "And" than the agency (with indication of the amount (coefficient) on this group of currencies in total)

65.2

on foreign currencies of the countries having sovereign rating Standard and Purs (Standard & Poor "s) or the rating of similar level of one of other rating agencies or not having the corresponding rating assessment is lower "And" than the agency

65.3

(the currency type is specified)

65.4

(the currency type is specified)

66

Obligations for calculation of coefficient of urgent currency liquidity of k4-4, the conversion increased by coefficient to equal 100 (hundred) percent

66.1

on foreign currencies of the countries having sovereign rating Standard and Purs (Standard & Poor "s) or the rating of similar level of one of other rating agencies, and currency "Euro" is not lower "And" than the agency (with indication of the amount (coefficient) on this group of currencies in total)

66.2

on foreign currencies of the countries having sovereign rating Standard and Purs (Standard & Poor "s) or the rating of similar level of one of other rating agencies or not having the corresponding rating assessment is lower "And" than the agency

66.3

(the currency type is specified)

66.4

(the currency type is specified)

67

Coefficient of urgent currency liquidity of k4-4:

67.1

on foreign currencies of the countries having sovereign rating Standard and Purs (Standard & Poor "s) or the rating of similar level of one of other rating agencies, and currency "Euro" is not lower "And" than the agency (with indication of the amount (coefficient) on this group of currencies in total)

67.2

on foreign currencies of the countries having sovereign rating Standard and Purs (Standard & Poor "s) or the rating of similar level of one of other rating agencies or not having the corresponding rating assessment is lower "And" than the agency

67.3

(the currency type is specified)

67.4

(the currency type is specified)

68

Assets for calculation of coefficient of urgent currency liquidity of k4-5:

68.1

on foreign currencies of the countries having sovereign rating Standard and Purs (Standard & Poor "s) or the rating of similar level of one of other rating agencies, and currency "Euro" is not lower "And" than the agency (with indication of the amount (coefficient) on this group of currencies in total)

68.2

on foreign currencies of the countries having sovereign rating Standard and Purs (Standard & Poor "s) or the rating of similar level of one of other rating agencies or not having the corresponding rating assessment is lower "And" than the agency

68.3

(the currency type is specified)

68.4

(the currency type is specified)

69

Obligations for calculation of coefficient of urgent currency liquidity of k4-5, the conversion increased by coefficient to equal 90 (ninety) percent

69.1

on foreign currencies of the countries having sovereign rating Standard and Purs (Standard & Poor "s) or the rating of similar level of one of other rating agencies, and currency "Euro" is not lower "And" than the agency (with indication of the amount (coefficient) on this group of currencies in total)

69.2

on foreign currencies of the countries having sovereign rating Standard and Purs (Standard & Poor "s) or the rating of similar level of one of other rating agencies or not having the corresponding rating assessment is lower "And" than the agency

69.3

(the currency type is specified)

69.4

(the currency type is specified)

70

Coefficient of urgent currency liquidity of k4-5:

70.1

on foreign currencies of the countries having sovereign rating Standard and Purs (Standard & Poor "s) or the rating of similar level of one of other rating agencies, and currency "Euro" is not lower "And" than the agency (with indication of the amount (coefficient) on this group of currencies in total)

70.2

on foreign currencies of the countries having sovereign rating Standard and Purs (Standard & Poor "s) or the rating of similar level of one of other rating agencies or not having the corresponding rating assessment is lower "And" than the agency

70.3

(the currency type is specified)

70.4

(the currency type is specified)

71

Assets for calculation of coefficient of urgent currency liquidity of k4-6:

71.1

on foreign currencies of the countries having sovereign rating Standard and Purs (Standard & Poor "s) or the rating of similar level of one of other rating agencies, and currency "Euro" is not lower "And" than the agency (with indication of the amount (coefficient) on this group of currencies in total)

71.2

on foreign currencies of the countries having sovereign rating Standard and Purs (Standard & Poor "s) or the rating of similar level of one of other rating agencies or not having the corresponding rating assessment is lower "And" than the agency

71.3

(the currency type is specified)

71.4

(the currency type is specified)

72

Obligations for calculation of coefficient of urgent currency liquidity of k4-6, the conversion increased by coefficient to equal 80 (eighty) percent

72.1

on foreign currencies of the countries having sovereign rating Standard and Purs (Standard & Poor "s) or the rating of similar level of one of other rating agencies, and currency "Euro" is not lower "And" than the agency (with indication of the amount (coefficient) on this group of currencies in total)

72.2

on foreign currencies of the countries having sovereign rating Standard and Purs (Standard & Poor "s) or the rating of similar level of one of other rating agencies or not having the corresponding rating assessment is lower "And" than the agency

72.3

(the currency type is specified)

72.4

(the currency type is specified)

73

Coefficient of urgent currency liquidity of k4-6:

73.1

on foreign currencies of the countries having sovereign rating Standard and Purs (Standard & Poor "s) or the rating of similar level of one of other rating agencies, and currency "Euro" is not lower "And" than the agency (with indication of the amount (coefficient) on this group of currencies in total)

73.2

on foreign currencies of the countries having sovereign rating Standard and Purs (Standard & Poor "s) or the rating of similar level of one of other rating agencies or not having the corresponding rating assessment is lower "And" than the agency

73.3

(the currency type is specified)

73.4

(the currency type is specified)

74

Availability at bank during the accounting period of overdue obligations to creditors (Yes (Is not present))

75

Availability at bank of the fact of untimely execution by bank of the actions plan approved by authorized body (Yes (Is not present))

76

Short-term obligations before nonresidents

77

Coefficient of the maximum limit of short-term obligations before nonresidents of k7

78

The assets financed by the funds raised under the agreement on the investment deposit

79

Coefficient of placement of part of means in internal assets

Name __________________________________________________

Адрес__________________________________________________________

_______________________________________________________ phone

E-mail address ________________________________________

Contractor of ________________________________ _________________
              surname, name and middle name (in case of its availability) the signature, phone

The head or person to who function on signing is assigned
report _________________________________________________________
                 surname, name and middle name (in case of its availability) the signature

Date "______" ______________ 20 __ years

Appendix

to report form about accomplishment of prudential standard rates

The explanation on filling of form of administrative data
The report on accomplishment of prudential standard rates (index - 1-BVU_Prud_norm, frequency - monthly)

Chapter 1. General provisions

1. This explanation determines single requirements for filling of form of the administrative data "Report on Accomplishment of Prudential Standard Rates" (further - the Form).

2. The form is developed according to subitem 65-2) of part two of article 15 of the Law of the Republic of Kazakhstan "About National Bank of the Republic of Kazakhstan", with Item 3 of Article 42 and Item 1 of article 54 of the Law of the Republic of Kazakhstan "About banks and banking activity in the Republic of Kazakhstan" and the subitem 2) of Item 3 of article 16 of the Law of the Republic of Kazakhstan "About the state statistics".

3. The form is constituted monthly by banks of the second level as of the first day of every month. Data in shape are filled in in thousands of tenges.

4. The form is signed by the head or person to who function on signing of the report, and the contractor is assigned.

Chapter 2. The explanation on filling of the Form

5. The form is filled according to the Normative values and technique of calculations of prudential standard rates and other regulations and limits, obligatory to observance, for Islamic banks established by the resolution of Board of National Bank of the Republic of Kazakhstan of May 30, 2016 No. 144 "About establishment of prudential standard rates and other regulations and limits, obligatory to observance, for Islamic banks, their normative values and technique of calculations of prudential standard rates and other regulations and limits, obligatory to observance, for Islamic banks" registered in the Register of state registration of regulatory legal acts at No. 13939 (further – Standard rates No. 144), and Normative values and techniques of calculations of prudential standard rates and other regulations and limits, obligatory to observance, the size of the capital of bank, established by the resolution of Board of National Bank of the Republic of Kazakhstan of September 13, 2017 No. 170 "About establishment of normative values and techniques of calculations of prudential standard rates and other regulations and limits, obligatory to observance, the size of the capital of bank and Rules of calculation and limits of open foreign exchange position" registered in the Register of state registration of regulatory legal acts at No. 15886 (further – Standard rates No. 170).

6. The line 1 is filled according to Chapter 1 of Standard rates No. 144 and Chapter 2 to Standard rates No. 170.

7. In line 5 data on the paid common shares, the corresponding criteria for classification of tools within equity of bank, are specified by the installed application 1-1 to Standard rates No. 144 and appendix 4 to Standard rates No. 170.

8. In line 11.7 deferred revenues in connection with the expectation of the complete or partial income in the future received from securitization conditions are specified.

9. In line 12.1 data under the termless agreements, the corresponding criteria for classification of tools within equity bank established in appendix 1-1 to Standard rates No. 144 and appendix 4 to Standard rates No. 170, which at the same time are specified result financial asset at one person and the financial liability or other financial instrument confirming the right to share of the assets of the legal entity which remained later deductions of all its obligations at other person.

10. In line 12.2 data according to the paid preferred shares, the corresponding criteria for classification of tools within equity bank established in appendix 1-1 to Standard rates No. 144 and appendix 4 to Standard rates No. 170 are specified.

11. In line 15 data on the subordinated debt corresponding to the criteria for classification of tools within equity bank established in appendix 1-1 to Standard rates No. 144 and appendix 4 to Standard rates No. 170 are specified.

12. In line 20 the amount of retained net income on which restriction according to appendix 4 to Standard rates No. 144 and appendix 3 to Standard rates No. 170, regarding the termination of dividend payout and the return share repurchase is imposed is specified.

13. The line 22 is filled according to data of the report on disaggregation of the assets weighed taking into account credit risk.

14. The line 23 is filled according to data of the report on disaggregation of the contingent and possible obligations weighed taking into account credit risk.

15. The line 24 is filled according to data of the report on disaggregation of conditional and possible requirements and obligations on the derivative financial instruments weighed taking into account credit risk.

16. The line 25 is filled according to data of the report on disaggregation of calculation of specific interest risk (by currencies).

17. The line 26 is filled according to data of the report on disaggregation of calculation of general interest risk (by currencies).

18. Lines 40, of 41, of 42, of 43, of 44, of 45, of 46, of 47, of 48, of 49, 50 and 51 are filled according to data of the report on disaggregation of the maximum extent of risk on one borrower (by borrowers).

19. Lines 54, 55 and 56 are filled according to data of the report on disaggregation of coefficient of current liquidity of k4.

20. Lines 57, of 58, of 59, of 60, of 61, of 62, 63 and 64 are filled according to data of the report on disaggregation of coefficients of urgent liquidity of k4-1, k4-2 and k4-3.

21. Lines 65, 65.1, 65.2, 65.3, 65.4, 66, 66.1, 66.2, 66.3, 66.4, 67, 67.1, 67.2, 67.3, 67.4, 68, 68.1, 68.2, 68.3, 68.4, 69, 69.1, 69.2, 69.3, 69.4, 70, 70.1, 70.2, 70.3, 70.4, 71, 71.1, 71.2, 71.3, 71.4, 72, 72.1, 72.2, 72.3, 72.4, 73, 73.1, 73.2, 73.3 and 73.4 are filled according to data of the report on disaggregation of coefficients of urgent currency liquidity of k4-4, k4-5 and k4-6.

22. Lines 76 and 77 are filled according to data of the report on disaggregation of capitalization ratio of banks of the second level to obligations to nonresidents of the Republic of Kazakhstan.

23. The line 79 is filled according to data of the report on calculation of average monthly size of internal assets, internal and other obligations, coefficient of placement of part of means in internal assets.

24. Lines 32, 33 and 78 are filled only with Islamic banks of the second level.

25. In lines 17, of 18, of 19, 45, of 47, of 49, of 51, of 53, of 56, of 58, of 61, of 64, of 67, 67.1, 67.2, 67.3, 67.4, 70, 70.1, 70.2, 70.3, 70.4, 73, 73.1, 73.2, 73.3, 73.4, 77 and 79 values with three signs after comma are specified to 41,43,.

26. For filling of lines 45, of 47, 49 and 53 the following reducings are used:

coefficient of the amount of risks on the borrowers connected with bank the special relations – Ro;

coefficient of the maximum size of blank credit – Bq;

the coefficient of the cumulative amount of risks on one borrower, the size of each of which exceeds 10 (ten) percent from equity – Rk;

coefficient of the extent of risk according to obligations Development bank of Kazakhstan – Rbrk.

27. In the absence of the data Form it is not represented.

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