RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of December 19, 2015 No. 256

About approval of the list, forms, terms of the reporting of the registrar 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 registrar, according to appendix 1 to this resolution;

2) report form about the securities acquired at the expense of own assets according to appendix 2 to this resolution;

3) report form about transactions "the return repo" and the "repo" made at the expense of own assets according to appendix 3 to this resolution;

4) report form about the deposits and money placed at the expense of own assets according to appendix 4 to this resolution;

5) report form about investments into the capital of other legal entities, according to appendix 5 to this resolution;

6) report form about conditional requirements (obligations), according to appendix 6 to this resolution;

7) report form about transactions on the translation of financial instruments, according to appendix 7 to this resolution;

8) report form about results of activities for maintaining system of registers of security holders, according to appendix 8 to this resolution;

9) report form about the number of investment funds and holders of shares (shares) of the investment funds served by the registrar according to appendix 9 to this resolution;

10) report form about voting shares of issuers, according to appendix 10 to this resolution;

10-1) report form about the register of shareholders according to appendix 10-1 to this resolution;

11) Rules of submission of the reporting by the registrar, according to appendix 11 to this resolution.

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

1) quarterly the reporting provided by subitems 2), 3), 4), 5) and 6) of Item 1 of this resolution - till the fifth working day (inclusive) the month following reporting quarter;

2) quarterly the reporting provided by subitems 7) 8) and 9) Item 1 of this resolution - till the thirtieth (inclusive) the month following reporting quarter;

3) monthly the reporting provided by the subitem 10) of Item 1 of this resolution - till the tenth (inclusive) the month following month under report;

4) monthly the reporting provided by subitem 10-1) of Item 1 of this resolution - till the twentieth following month under report.

3. Recognize invalid regulatory legal acts of the Republic of Kazakhstan according to appendix 12 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 of Ad_let within ten calendar days after its state registration in the Ministry of Justice of the Republic of Kazakhstan;

3) placement of this resolution on 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 mass media 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 Smolyakova O. A.

7. This resolution becomes effective since April 1, 2016 and is subject to official publication.

It is approved Deputy Chairman of Committee according to the statistics Ministries of national economy of the Republic of Kazakhstan January 25, 2016

_________________ B. Imanaliyev

Appendix 1

to the Resolution of Board of National Bank of the Republic of Kazakhstan of December 19, 2015 No. 256

List of the reporting of the registrar

The reporting of the registrar includes:

1) the report on the securities acquired at the expense of own assets;

2) the operations statement "the return repo" and "repo", made at the expense of own assets;

3) the report on the deposits and money placed at the expense of own assets;

4) report on investments into the capital of other legal entities;

5) report on conditional requirements (obligations);

6) the operations statement on the translation of financial instruments;

7) report on results of activities for maintaining system of registers of security holders;

8) the report on the number of investment funds and holders of shares (shares) of the investment funds served by the registrar;

9) report on voting shares of issuers;

10) report on the register of shareholders.

Appendix 2

to the Resolution of Board of National Bank of the Republic of Kazakhstan of December 19, 2015 No. 256

The form intended for collection of administrative data

The report on the securities acquired at the expense of own assets

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

 

Index: 1-REG_CBSA

Frequency: quarterly

Represents: registrar

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

Representation term: quarterly, till the fifth working day of the month following reporting quarter.

Form

(in thousands of tenges)

No. of payment order	Name of the issuer	Name of the country issuer	Name of security	National identification number, international identification number	Right to claim identifier
1	2	3	4	5	6
1	Government securities of the Republic of Kazakhstan
1.1.
2	Non-state issued securities of the organizations of the Republic of Kazakhstan
2.1.	securities of banks of the second level
2.1.1.
2.2.	securities of legal entities, except for banks of the second level
2.2.1.
3.	Securities of foreign states
3.1.
4.	Non-state securities of issuers of nonresidents of the Republic of Kazakhstan
4.1.
5.	Securities of international financial institutions
5.1.

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