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The document ceased to be valid since January 1, 2019 according to Item 8 of the Resolution of Board of National Bank of the Republic of Kazakhstan of August 27, 2018 No. 187

RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of May 30, 2016 No. 130

About approval of Rules of consideration of reports on results of placement of shares of mutual investment fund and Requirements to creation and report layout about results of placement of shares of mutual investment fund

According to the laws of the Republic of Kazakhstan of July 2, 2003 "About the security market" and of July 7, 2004 "About investment funds" the Board of National Bank of the Republic of Kazakhstan DECIDES:

1. Approve:

1) Rules of consideration of reports on results of placement of shares of mutual investment fund according to appendix 1 to this resolution;

2) Requirements to creation and report layout about results of placement of shares of mutual investment fund according to appendix 2 to this resolution.

2. Recognize invalid regulatory legal acts of the Republic of Kazakhstan according to the list according to appendix 3 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 May 30, 2016 No. 130

Rules of consideration of reports on results of placement of shares of mutual investment fund

1. These rules of consideration of reports on results of placement of shares of mutual investment fund (further - Rules) are developed according to the laws of the Republic of Kazakhstan 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 consideration of reports on results of placement of shares of mutual investment fund.

3. The report on results of placement of shares of mutual investment fund is submitted in authorized body on regulation, control and supervision of the financial market and the financial organizations (further - authorized body) managing company of mutual investment fund.

4. For consideration and approval of the report on results of placement of shares of mutual investment fund the managing company of mutual investment fund submits the following paper documents to authorized body:

1) the statement for consideration of the report on results of placement of shares of mutual investment fund constituted in any form;

2) the report on results of placement of shares of mutual investment fund constituted and which is drawn up according to the Requirements to creation and report layout about results of placement of shares of mutual investment fund approved by this resolution.

5. The report on results of placement of shares of mutual investment fund is considered by authorized body within 14 (fourteen) calendar days from the date of receipt of the relevant documents.

6. In case of compliance of the documents submitted by managing company of mutual investment fund for review and approval of the report on results of placement of shares of mutual investment fund to requirements of the legislation of the Republic of Kazakhstan about the security market and investment funds the authorized body with the cover letter sends to managing company of mutual investment fund the approved report on results of placement of shares of mutual investment fund with mark of authorized body about its approval.

7. The authorized body refuses approval of the report on results of placement of shares of mutual investment fund in case, stipulated in Item 3 articles 24 of the Law on the security market.

In case of refusal in approval of the report on results of placement of shares of mutual investment fund the managing company of mutual investment fund repeatedly submits in authorized body the report on results of placement of shares of mutual investment fund within 30 (thirty) calendar days from the date of receipt of refusal.

Appendix 2

to the Resolution of Board of National Bank of the Republic of Kazakhstan of May 30, 2016 No. 130

Requirements to creation and report layout about results of placement of shares of mutual investment fund

1. These Requirements to creation and report layout about results of placement of shares of mutual investment fund (further - Requirements) are developed according to the laws of the Republic of Kazakhstan of July 2, 2003 "About the security market" and of July 7, 2004 "About investment funds".

2. The report on results of placement of shares of mutual investment fund is submitted in authorized body within 3 (three) working days after completion of initial placement of shares of mutual investment fund, and also within 1 (one) month upon termination of the six-months accounting period.

3. The title page of the report on results of placement of shares of mutual investment fund contains the following information:

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