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The document ceased to be valid since January 1, 2021 according to Item 2 of the Order of the First deputy Premier-Ministra of the Republic of Kazakhstan - the Minister of Finance of the Republic of Kazakhstan of May 15, 2020 No. 488

ORDER OF THE MINISTER OF FINANCE OF THE REPUBLIC OF KAZAKHSTAN

of July 28, 2016 No. 407

About approval of Rules and forms of submission of information about the checked physical persons security holders, and also data according to the insurance contracts signed by the checked physical persons"

(as amended of the Order of the Minister of Finance of the Republic of Kazakhstan of 31.03.2017 No. 213)

According to Items 7-4 and 7-7 of article 583 of the Code of the Republic of Kazakhstan of December 10, 2008 "About taxes and other obligatory payments in the budget" (Tax code) of PRIKAZYVAYU:

1. Approve:

1) Rules of submission of information about the checked physical persons security holders according to appendix 1 to this order;

2) form of information about the checked physical persons security holders according to appendix 2 to this order;

3) Rules of submission of data according to the insurance contracts signed by the checked physical persons according to appendix 3 to this order;

4) form of data according to the insurance contracts signed by the checked physical persons according to appendix 4 to this order.

2. To committee of state revenues of the Ministry of Finance of the Republic of Kazakhstan (Ergozhin of E.) in the established legislation procedure to provide:

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

3) within five working days from the date of receipt of this order from the Ministry of Justice of the Republic of Kazakhstan its direction 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 for placement in Reference control bank of regulatory legal acts of the Republic of Kazakhstan;

4) placement of this order on Internet resource of the Ministry of Finance of the Republic of Kazakhstan.

3. This order becomes effective since January 1, 2020 and is subject to official publication.

Minister of Finance of the Republic of Kazakhstan 

B. Sultanov

Appendix 1

to the Order of the Minister of Finance of the Republic of Kazakhstan of July 28, 2016 No. 407

Rules of submission of information about the checked physical persons security holders

1. These rules are developed according to Item 7-4 of article 583 of the Code of the Republic of Kazakhstan of December 10, 2008 "About taxes and other obligatory payments in the budget" (Tax code) and determine procedure for representation by the organization performing activities for maintaining system of registers of security holders (further - the organization), the data by the checked physical persons security holders (further - data) at the request of body of state revenues of the Republic of Kazakhstan.

2. Data are represented by the organization by electronic method through web application or by means of transfer on the information and communication network providing the guaranteed delivery of messages and are certified by the digital signature according to the Law of the Republic of Kazakhstan of January 7, 2003 "About the electronic document and the digital signature".

3. Data are represented separately by types of securities.

4. Data include the following data:

1) in column 1 - sequence number of line;

2) in column 2 - the individual identification number (IIN) of physical person security holder;

3) in column 3 - surname, name, middle name (if it is specified in the identity document) physical person security holder;

4) in column 4 - type of securities which holder is the physical person specified in column 2;

5) in column 5 - national security identification number and (or) ISIN;

6) in column 6 - the number of securities;

7) in column 7 - nominal value of securities.

5. In case of submission of information on shares the following information is in addition provided:

1) in column 8 - the name of mutual investment fund;

2) in column 9 - the business and identification number (BIN) of managing company;

3) in column 10 - the name of managing company.

Appendix 2

to the Order of the Minister of Finance of the Republic of Kazakhstan of July 28, 2016 No. 407

Form

Information about the checked physical persons security holders *

№ of payment order

Physical person

Type of securities

National security identification number (or) ISIN

Number of securities

Nominal value of securities (tenge)

Name of mutual investment fund

Business identification number of managing company

Name of managing company

Individual Identification Number (IIN)

Surname, name, middle name (if it is specified in the identity document)

1

2

3

4

5

6

7

8

9

10

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