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

of June 30, 2015 No. 471

About approval of criteria for evaluation of risk degree and checking leaf behind compliance with law of the Republic of Kazakhstan about commodity exchanges

According to the subitem 2) Item 1 of Article 11, Item 3 of Article 13, Item 1 of article 15 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 enclosed:

1) criteria for evaluation of risk degree behind compliance with law of the Republic of Kazakhstan about commodity exchanges according to appendix 1 to this order;

2) checking leaf behind compliance with law of the Republic of Kazakhstan about commodity exchanges according to appendix 2 to this order;

2. Recognize invalid:

1) the 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" (No. 9969) is registered in the Register of state registration of regulatory legal acts on December 12, 2014;

2) the order of the Minister of national economy of the Republic of Kazakhstan of November 11, 2014 No. 77 "About approval of form of checking leaf when implementing the state control in the field of private entrepreneurship of compliance with law of the Republic of Kazakhstan about commodity exchanges" (No. 9970) is registered in the Register of state registration of regulatory legal acts on December 12, 2014.

3. To provide to department of regulation of trading activity of the Ministry of national economy of the Republic of Kazakhstan in the procedure established by the legislation of the Republic of Kazakhstan:

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 the direction it on official publication in periodic printing editions and information system of law of Ad_let;

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

4. To impose control of execution of this order on the supervising Vice-Minister of national economy of the Republic of Kazakhstan.

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

Appendix 1

to the Order of the Minister of national economy of the Republic of Kazakhstan of June 30, 2015 No. 471

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

1. Criteria for evaluation of risk degree behind compliance with law of the Republic of Kazakhstan about commodity exchanges (further - Criteria) are developed according to the subitem 2) of Item 1 of Article 11, of Item 3 of Article 13, of Item 1 of article 15 of the Law of the Republic of Kazakhstan of January 6, 2011 "About the state control and supervision in the Republic of Kazakhstan" (further - the Law).

2. In these Criteria the following concepts are used:

1) subjects (objects) of control - the legal entities performing activities in the field of commodity exchanges;

2) risk - probability of damnification as a result of activities in the field of commodity exchanges to legitimate interests of physical persons and legal entities, valuable interests of the state taking into account severity of its effects;

3) system of risks assessment - the complex of actions held by control facility and supervision for the purpose of appointment and conducting checks;

4) subjective criteria for evaluation of risk degree (further - subjective criteria) - the criteria for evaluation of risk degree used for selection of the checked subjects (objects) depending on results of activities of the specific checked subject (object).

3. By objective criteria all subjects (objects) of control belong to high risk.

4. Subjective criteria are determined based on the following information sources:

1) results of the monitoring of the reporting and the data represented by the checked subject, which is carried out by state bodies, organizations and the industry organizations;

2) results of the previous checks (severity of violations (rough, considerable, insignificant) is established in case of non-compliance with the requirements of the legislation reflected in checking sheets);

3) availability and number of claims and addresses;

4) analysis of electronic trading systems of commodity exchanges.

5. Based on the information sources determined in item 4 of these Criteria the subjective criteria stated in annex to these Criteria are determined.

6. In case of measure calculation of risk degree the specific weight of not fulfilled requirements (indicators) is determined.

One outstanding requirement of rough degree is equated to indicator 100.

If requirements (indicators) of rough degree are not revealed, for measure definition of risk degree the total indicator of requirements (indicators) of considerable and insignificant degree is calculated.

In case of measure definition of violations of considerable degree the coefficient of 0,7 is applied and this indicator is calculated by the following formula:

7. In the analysis and assessment data of the subjective criteria which are earlier considered and used concerning the specific checked subject (object) are not applied.

8. Selective, unscheduled inspections and other forms of control are applied to subjects (objects) of control carried to high risk.

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