RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of July 17, 2015 No. 130

About approval of the list, forms, terms of the reporting of the central depositary and Rules of their representation

According to the laws of the Republic of Kazakhstan of July 2, 2003 "About the security market", 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 the central depositary according to appendix 1 to this resolution;

2) report form about customer accounts according to appendix 2 to this resolution;

3) report form about the transactions with the faces tied with the central depositary the special relations, concluded during reporting quarter, and also existing on reporting date, and the register of faces tied with the central depositary the special relations according to appendix 3 to this resolution;

4) report form about transactions in the secondary security market with government securities of the Republic of Kazakhstan according to appendix 4 to this resolution;

5) report form about transactions with government securities of the Republic of Kazakhstan by sectors and splits of economy according to appendix 5 to this resolution;

6) report form about the operations performed in system of accounting of the central depositary with non-state securities by sectors and splits of economy according to appendix 6 to this resolution;

7) report form about holders of short-term notes of National Bank of the Republic of Kazakhstan according to appendix 7 to this resolution;

8) report form about transactions with securities of local executive bodies according to appendix 8 to this resolution;

9) report form about remaining balance of the securities of the Ministry of Finance of the Republic of Kazakhstan which are on key accounts of nonresidents of the Republic of Kazakhstan according to appendix 9 to this resolution;

10) report form about depositors of the central depositary according to appendix 10 to this resolution;

11) report form about depositors and their clients according to appendix 11 to this resolution;

12) report form about the securities which are in nominal continence of the central depositary according to appendix 12 to this resolution;

13) report form about the securities issued according to the legislation of foreign state, which are in nominal continence of the central depositary according to appendix 13 to this resolution;

14) report form about the number of holders of shares (shares) of the investment funds which are in nominal continence of the central depositary according to appendix 14 to this resolution;

15) report form about transactions with the financial instruments which are in nominal continence of the central depositary according to appendix 15 to this resolution;

15-1) report form about the list of shareholders according to appendix 15-1 to this resolution;

15-2) report form about transactions with government securities of the Republic of Kazakhstan according to appendix 15-2 to this resolution;

16) Rules of submission of the reporting by the central depositary according to appendix 16 to this resolution.

2. The central depositary represents to National Bank of the Republic of Kazakhstan in electronic format:

1) quarterly - the reporting provided by subitems 2), 3) of Item 1 of this resolution till the eighteenth following reporting quarter;

2) monthly - the reporting provided by subitems 4), 5), 6), 7), 8) and 15) of Item 1 of this resolution till the tenth following month under report;

3) quarterly - the reporting provided by subitems 9), 10), 12), 13) and 14) of Item 1 of this resolution till the fifth working day of the month following reporting quarter;

4) monthly - the reporting provided by the subitem 11) of Item 1 of this resolution till the fifth working day of the month following month under report;

5) monthly - the reporting provided by subitem 15-1) of Item 1 of this resolution till the twentieth following month under report;

6) weekly - the reporting provided by subitem 15-2) of Item 1 of this resolution till the third working day following reporting week.

3. Recognize invalid regulatory legal acts of the Republic of Kazakhstan according to appendix 17 to this resolution.

4. 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"? d_lt" 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.

5. 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.

6. To impose control of execution of this resolution on the vice-chairman of National Bank of the Republic of Kazakhstan Smolyakov O. A.

7. This resolution becomes effective after ten calendar days after day of its first official publication.

It is approved Chairman of Committee according to the statistics Ministries of national economy of the Republic of Kazakhstan A. Smailov August 13, 2015

Appendix 1

to the Resolution of Board of National Bank of the Republic of Kazakhstan of July 17, 2015 No. 130

List of the reporting of the central depositary

The list of the reporting of the central depositary includes:

1) report on customer accounts;

2) the report on the transactions with the faces tied with the central depositary the special relations, concluded during reporting quarter, and also existing on reporting date, and the register of faces tied with the central depositary the special relations;

3) the operations statement in the secondary security market with government securities of the Republic of Kazakhstan;

4) the operations statement with government securities of the Republic of Kazakhstan by sectors and splits of economy;

5) the operations statement, carried out in system of accounting of the central depositary with non-state securities by sectors and splits of economy;

6) report on holders of short-term notes of National Bank of the Republic of Kazakhstan;

7) the operations statement with securities of local executive bodies;

8) the report on remaining balance of the securities of the Ministry of Finance of the Republic of Kazakhstan which are on key accounts of nonresidents of the Republic of Kazakhstan;

9) report on depositors of the central depositary;

10) report on depositors and their clients;

11) the report on the securities which are in nominal continence of the central depositary;

12) the report on the securities issued according to the legislation of foreign state, which are in nominal continence of the central depositary;

13) the report on the number of holders of shares (shares) of the investment funds which are in nominal continence of the central depositary;

14) the report on transactions with the financial instruments which are in nominal continence of the central depositary;

15) report on the list of shareholders;

16) the operations statement with government securities of the Republic of Kazakhstan.

Appendix 2

to the Resolution of Board of National Bank of the Republic of Kazakhstan of July 17, 2015 No. 130

The form intended for collection of administrative data

Report on customer accounts

Accounting period: as of "___" "____________" 20 __ years

Index: OCK_2

Frequency: quarterly

Represents: central depositary

Where the form is represented: National Bank of the Republic of Kazakhstan

Representation term: quarterly, till the eighteenth (inclusive) the month following reporting quarter

Form

_____________________________________________________________________
(full name of the organization)

 

(in thousands of tenges)

No. of payment order	Customer accounts		Legal entities
			Resident banks	Nonresident banks	Other legal entities
1	2		3	4	5
1	Current accounts	Everything, including
		in foreign currency
2	Correspondent accounts	Everything, including
		in foreign currency
3	Other accounts	Everything, including
		in foreign currency
4	Total	Everything, including
		in foreign currency

 

The first head (for its absence - person, it replacing)

___________________________________________________ ___________________

surname, name, middle name (in case of its availability)                            (signature)

 

Main бухгалтер_________________________________________ ____________

                      surname, name, middle name (in case of its availability)              (signature)

 

Chief of responsible division of ________________________ _________

                          surname, name, middle name (in case of its availability)           (signature)

 

Contractor: ____________________________________ ___________ __________

              surname, name, middle name (in case of its availability)   (signature)     phone

 

Signature date of the report "_____" __________ 20 _____ years

Locus sigilli (in the presence)

The explanation on filling of the form intended for collection of administrative data

Report on customer accounts

1. General provisions

1. This explanation (further - the Explanation) determines single requirements for filling of the "Report on Customer Accounts" form (further - the Form).

2. The form is developed according to the subitem 6) of Item 1 of article 9 of the Law of the Republic of Kazakhstan of July 4, 2003 "About state regulation, control and supervision of the financial market and the financial organizations".

3. The form is constituted by the central depositary quarterly as of the end of the accounting period. Data in shape are filled in in thousands of tenges. The amount less than five hundred tenges is rounded to zero, and the amount equal of five hundred tenges and above, is rounded to one thousand tenges.

4. The form is signed the first head (for its absence - person, it replacing), the chief accountant, the chief of responsible division and the contractor.

2. The explanation on filling of the Form

5. In shape data on the current, correspondent and other accounts opened in the central depositary by legal entities, in tenge and in foreign currency are specified.

6. In columns 3, of 4, 5 remaining balance of money on accounts is specified.

Appendix 3

to the Resolution of Board of National Bank of the Republic of Kazakhstan of July 17, 2015 No. 130

The form intended for collection of administrative data

The report on the transactions with the faces tied with the central depositary the special relations, concluded during reporting quarter, and also existing on reporting date, and the register of faces tied with the central depositary the special relations

Accounting period: as of "___" "____________" 20 __ years

Index: SDELKI_REESTR_3

Frequency: quarterly

Represents: central depositary

Where the form is represented: National Bank of the Republic of Kazakhstan

Representation term: quarterly, till the eighteenth (inclusive) the month following reporting quarter

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