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ORDER OF THE MINISTER OF FINANCE OF THE REPUBLIC OF KAZAKHSTAN

of July 28, 2016 No. 408

About approval of Rules and forms of submission by brokers of data on transactions of the checked physical persons with the securities or exchange goods realized at commodity exchange

(In edition of the Order of the Minister of Finance of the Republic of Kazakhstan of 31.03.2017 No. 213)

1. Approve:

1) Rules of submission by brokers of data on transactions of the checked physical persons with securities according to appendix 1 to this order;

2) form of the data represented by brokers, on transactions of the checked physical persons with securities according to appendix 2 to this order;

3) Rules of submission by brokers of data on transactions of the checked physical persons with the exchange goods realized at commodity exchange according to appendix 3 to this order;

4) form of the data represented by brokers, on transactions of the checked physical persons with the exchange goods realized at commodity exchange 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. 408

Rules of submission by brokers of data on transactions of the checked physical persons with securities

2. Data are constituted by the brokers making security transactions and other financial instruments in the security market (further - brokers).

3. Data are represented by brokers by electronic method through web application or by means of transfer on the information and communication network providing the guaranteed delivery of messages within thirty working days from the date of receipt of request of body of state revenues of the Republic of Kazakhstan.

4. Data include the following data:

1) in column 1 - sequence number of line;

2) in column 2 - individual identification number 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 security which holder is the physical person specified in column 2;

5) in column 5 - national security identification number;

6) in column 6 - the number of securities of that type which is specified in column 4;

7) in column 7 - nominal value of securities;

8) in column 8 - transaction date;

9) in column 9 - transaction type;

10) in column 10 - the partner according to the transaction.

5. In case of submission of information on depositary receipts, the following information is in addition provided:

1) in column 11 - the number of securities making underlying asset of one depositary receipt;

2) in column 12 - the price of placement of depositary receipts;

3) in column 13 - circulation period of depositary receipts.

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

1) in column 14 - the name of mutual investment fund;

2) in column 15 - business and identification number of managing company;

3) in column 16 - the name of managing company.

7. Data are represented separately by types of securities.

8. Data are certified by the digital signature of the broker.

Appendix 2

to the Order of the Minister of Finance of the Republic of Kazakhstan of July 28, 2016 No. 408

The data represented by brokers on transactions of the checked physical persons with securities

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