of February 29, 2016 No. 76
About approval of Rules of state registration of release of the announced shares, considerations of reports on share placing results, and also cancellations of release of the announced shares, Rules of creation and execution of the prospectus of release of the announced shares, structure of the prospectus of release of the announced shares, Requirements to the report on share placing results
According to the Law of the Republic of Kazakhstan of July 2, 2003 "About the security market", the Board of National Bank of the Republic of Kazakhstan DECIDES:
1. Approve:
1) Rules of state registration of release of the announced shares, considerations of reports on share placing results, and also cancellations of release of the announced shares according to appendix 1 to this resolution;
2) Rules of creation and execution of the prospectus of release of the announced shares, structure of the prospectus of release of the announced shares according to appendix 2 to this resolution;
3) Requirements to the report on share placing results according to appendix 3 to this resolution.
2. Recognize invalid regulatory legal acts of the Republic of Kazakhstan, and also structural elements of some regulatory legal acts of the Republic of Kazakhstan according to appendix 4 to this resolution.
3. To department of the security market (Hadzhiyeva M. Zh.) in the procedure established by the legislation of the Republic of Kazakhstan to provide:
1) together with Legal department (Sarsenov N. V.) state registration of this resolution in the Ministry of Justice of the Republic of Kazakhstan;
2) the direction of this resolution in 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":
on official publication in information system of law of Ad_let within ten calendar days after its state registration in the Ministry of Justice of the Republic of Kazakhstan;
for inclusion in the State register of regulatory legal acts of the Republic of Kazakhstan, Reference control bank of regulatory legal acts of the Republic of Kazakhstan within five working days from the date of its obtaining by National Bank of the Republic of Kazakhstan after 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.
4. To management on consumer protection of financial services and external communications (Terentyev A. L.) 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.
5. To impose control of execution of this resolution on the vice-chairman of National Bank of the Republic of Kazakhstan Smolyakov O. A.
6. This resolution becomes effective after ten calendar days after day of its first official publication.
Chairman of National Bank
D. Akishev
Appendix 1
to the Resolution of Board of National Bank of the Republic of Kazakhstan of February 29, 2016 No. 76
1. These rules of state registration of release of the announced shares, considerations of reports on results of their placement, and also cancellation of release of the announced shares (further - Rules) are developed according to the laws of the Republic of Kazakhstan of May 13, 2003 "About joint-stock companies" (further – the Join-stock companies law), of July 2, 2003 "About the security market" (further - the Law on the security market) and of July 7, 2004 "About investment funds".
2. Rules determine conditions and procedure for state registration of release of the announced shares, considerations of reports on share placing results, and also cancellations of release of the announced shares.
3. For state registration of release of the announced shares the joint-stock company (further – society) represents to authorized body on regulation, control and supervision of the financial market and the financial organizations (further – authorized body) the following documents:
1) the statement constituted in any form with consent to use of the data which are the secret protected by the law, containing in information systems;
2) the copy of the protocol of the constituent assembly (the decision of the single founder) or general shareholder meeting (the decision of the shareholder holding all voting shares) about state registration of release of the announced shares;
3) copy of the charter of society;
4) the documents confirming payment of the announced shares placed among founders of society;
5) the prospectus of release of the announced shares of society constituted and which is drawn up according to appendix to Rules of creation and execution of the prospectus of release of the announced shares, structure of the prospectus of release of the announced shares.
4. For state registration of release of the announced shares of joint-stock investment fund, in addition to the documents specified in Item 3 of Rules, the joint-stock investment fund in addition represents draft agreements of joint-stock investment fund with managing company, custodian and the registrar, and also the investment declaration approved by general meeting of founders or the single founder of joint-stock investment fund.
5. The application with appendix of required documents is submitted in authorized body on paper or in electronic form through the web portal of "the electronic government".
In case of submission of documents for state registration of release of the announced shares through the web portal of "the electronic government", the documents specified in subitems 1), 2), 3) and 4) of Item 3 and item 4 of Rules are represented "the electronic government", in electronic form through the web portal, the document specified in the subitem 5) of Item 3 of Rules is submitted on paper.
6. The authorized body considers the documents submitted for state registration of release of the announced shares within 30 (thirty) calendar days from the date of their obtaining.
7. In case of compliance of the documents submitted by society for state registration of release of the announced shares, to requirements of the legislation of the Republic of Kazakhstan, authorized body:
1) in case of submission of paper documents assigns to shares national identification number (national identification numbers) and with the cover letter sends to society the certificate on state registration of release of the announced shares in form according to appendix 1 to Rules and one copy of the prospectus of release of the announced shares with mark of authorized body about its registration;
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The document ceased to be valid since January 1, 2019 according to Item 2 of the Resolution of Board of National Bank of the Republic of Kazakhstan of October 29, 2018 No. 247