Resolution of Board of National Bank of the Republic of Kazakhstan "About approval of Storage precautions of the documents which are subject to obligatory storage..."

RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of August 8, 2016 No. 171

About approval of Storage precautions of the documents which are subject to obligatory storage by professional participants of the insurance market, the insurance agents performing business activity and Lists of the documents which are subject to obligatory storage and terms of their storage by professional participants of the insurance market, the insurance agents performing business activity

(as amended on 14-03-2022)

According to the Law of the Republic of Kazakhstan of December 18, 2000 "About insurance activity" the Board of National Bank of the Republic of Kazakhstan DECIDES:

1. Approve:

1) Storage precautions of the documents which are subject to obligatory storage by professional participants of the insurance market, the insurance agents performing business activity according to appendix 1 to this resolution;

2) the List of the documents which are subject to obligatory storage and terms of their storage by professional participants of the insurance market (the insurance (reinsurance) organizations, branches of the insurance (reinsurance) nonresident organizations of the Republic of Kazakhstan), according to appendix 2 to this resolution;

3) the List of the documents which are subject to obligatory storage and terms of their storage by professional participants of the insurance market (insurance brokers, branches of the insurance nonresident broker of the Republic of Kazakhstan), according to appendix 3 to this resolution;

4) the List of the documents which are subject to obligatory storage and terms of their storage by professional participants of the insurance market (actuaries), according to appendix 4 to this resolution;

5) the List of the documents which are subject to obligatory storage and terms of their storage by the insurance agents performing business activity according to appendix 5 to this resolution.

2. Recognize invalid:

1) the resolution of Board of the Agency of the Republic of Kazakhstan on regulation and supervision of the financial market and the financial organizations of December 27, 2010 No. 182 "About approval of Storage precautions of documents by professional participants of the insurance market and the insurance agents performing business activity" (registered in the Register of state registration of regulatory legal acts at No. 6932, published in 2011 in the Collection of acts of the central executive and other central state bodies of the Republic of Kazakhstan No. 8);

2) Item 28 of the List of regulatory legal acts of the Republic of Kazakhstan to which changes are made, the Board of National Bank of the Republic of Kazakhstan approved by the resolution of April 26, 2013 No. 110 "About modification of some regulatory legal acts of the Republic of Kazakhstan" (registered in the Register of state registration of regulatory legal acts at No. 8505, No. 115 published on August 6, 2013 in the Yuridicheskaya Gazeta newspaper (2490)).

3. To department of insurance supervision (Kurmanov Zh. B.) 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 ten calendar days from the date of its state registration in the Ministry of Justice of the Republic of Kazakhstan;

3) placement of this resolution on official the Internet - resource of National Bank of the Republic of Kazakhstan after its official publication.

4. To management of 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 atsionalny Bank

D. Akishev

It is approved

Minister for Culture and Sports of the Republic of Kazakhstan

"___" ________ 2016

A. Mukhamediula _________

Appendix 1

to the Resolution of Board of National Bank of the Republic of Kazakhstan of August 8, 2016 No. 171

Storage precautions of the documents which are subject to obligatory storage by professional participants of the insurance market, the insurance agents performing business activity

1. These rules of document storage, subject to obligatory storage by professional participants of the insurance market, are developed by the insurance agents performing business activity according to the laws of the Republic of Kazakhstan of December 22, 1998 "About National Archive Fund and archives", of December 18, 2000 "About insurance activity", of February 28, 2007 "About financial accounting and the financial reporting" and determine procedure for document storage, subject to obligatory storage by professional participants of the insurance market, the insurance agents performing business activity (further - the organizations).

2. General requirements to procedure for operational document storage and transfer of cases to archive of the organization are determined by the order of the deputy. The Minister for Culture and Sports of the Republic of Kazakhstan of September 29, 2017 No. 263 "About approval of the List of the standard documents which are formed in activities of the state and non-state organizations, with indication of storage duration", registered in the Register of state registration of regulatory legal acts at No. 15997 (further - Standard rules).

3. The organization and maintaining system for document storage, subject to obligatory storage by the organization, are performed by structural division of the organization to which functions on documentary ensuring management according to Standard rules are assigned.

4. Requirements to stores organization and document transfers of the liquidated insurance (reinsurance) organization, the branch of the insurance (reinsurance) nonresident organization of the Republic of Kazakhstan stopping activities in archive are determined by the resolution of Board of the Agency of the Republic of Kazakhstan by regulation and supervision of the financial market and the financial organizations of March 25, 2006 No. 77 "About approval of Rules of liquidation of the insurance (reinsurance) organization, the forced termination of activities of the branch of the insurance (reinsurance) nonresident organization of the Republic of Kazakhstan and job requirements of liquidation commissions of compulsorily liquidated insurance (reinsurance) organization which is compulsorily stopping activities of branch of the insurance (reinsurance) nonresident organization of the Republic of Kazakhstan", registered in the Register of state registration of regulatory legal acts at No. 4257.

5. The organizations which do not have legal successors in case of their liquidation take measures for safety of the documents important for history and culture of the Republic of Kazakhstan, social legal protection of citizens and together with authorized state body determine procedure for their further storage by management of archives and documentation.

6. Data on delivery of cases and documents of the organization for temporary and (or) permanent storage in authorized state body on management of archives and documentation are specified in the report on liquidation.

Appendix 2

to the Resolution of Board of National Bank of the Republic of Kazakhstan of August 8, 2016 No. 171

The list of the documents which are subject to obligatory storage and terms of their storage by professional participants of the insurance market (the insurance (reinsurance) organizations, branches of the insurance (reinsurance) nonresident organizations of the Republic of Kazakhstan)

Number of Item	Document type (including the electronic documents certified by the digital signature)	Document storage duration		Note
Number of Item		in executive body of the insurance (reinsurance) organization, branch of the insurance (reinsurance) nonresident organization of the Republic of Kazakhstan (further – the organization)	in branches and representative offices of the organization	Note
1	2	3	4	5
1. Organization of management system 1.1. Administrative activities
1	Protocols, shorthand reports (audiovisual records) of meetings, decisions of general meetings of shareholders of the organization and documents to them (references, the conclusions, reports, information, reports, reports, statements, voting ballots and other documents)	Constantly *	To need minovaniye *	* Directed for data - to need minovaniye. Voting ballots - before the organization activity termination
2	Protocols, shorthand reports (audiovisual records) of meetings of the Board of Directors of the organization, documents to them (references, the conclusions, reports, information, reports, reports, statements, voting ballots and other documents)	Constantly *	To need minovaniye *	* Directed for data - to need minovaniye. Voting ballots - before the organization activity termination
3	Protocols, shorthand reports (audiovisual records) of meetings, resolutions of executive body of the organization, documents to them (references, the conclusions, reports, information, reports, reports, statements, voting ballots and other documents)	Constantly *	To need minovaniye *	* Directed for data - to need minovaniye. Voting ballots - before the organization activity termination
4	Orders, orders of heads of the organization and documents to them (references, reports, information, reports and other documents): 1) on the main activities (except for normative legal orders);	Constantly	Constantly *	* Directed for data - to need minovaniye
	2) on staff (confirming labor activity of workers), on certification, advanced training, assignment of ranks (ranks), change of surnames, encouragement, rewarding, compensation, awarding, payments, benefits, leaves of workers with heavy, harmful (especially harmful) and dangerous (especially dangerous) working conditions, to annual labor leaves, social leaves, long abroad travels, business trips of workers with heavy, harmful (especially harmful) and dangerous (especially dangerous) working conditions;	75 years of EPK	75 years of EPK
	3) on organizational administrative and administrative questions;	5 years	5 years
	4) on republican and abroad travels short-term inside	5 years EPK	5 years EPK
5	Drafts of orders, orders of the head of the organization, the basis to orders of the head of the organization	1 year	1 year
6	Rules, provisions, instructions, the methodical instructions, recommendations developed by the organization	Constantly	Before replacement new
7	The initiative offers made in state bodies, documents (reports, the conclusions, references and other documents) on their development	Constantly	-
8	Documents (references, reports, reports, correspondence and other documents) on accomplishment of orders, orders of the head of the organization	5 years of EPK	5 years of EPK
9	Documents on execution of consular documents for employees of the organization and foreign consultants (the request, the reference, the order of the organization)	10 years	10 years
10	Powers of attorney on representation of interests of the organization in relations with the third parties and in courts	3 years *	3 years *	* After the expiration of the power of attorney
11	Correspondence on application of rules, provisions, instructions, methodical instructions, recommendations and standards of quality management on the main (industry, profile) to activities of the organization	5 years of EPK	-
12	Correspondence with higher state bodies, bodies of local public administration on the main (industry, profile) to activities of the organization	Constantly	Constantly
13	Correspondence with other organizations for the main (industry, profile) to activities	5 years of EPK	5 years of EPK
1.2. Control
14	Documents of audits and checks of organization activity, its structural divisions which are carried out by authorized state bodies, auditing organizations and internal audit (reports, reports, references, acts, the conclusions, reports, objections, correspondence)	Constantly	Constantly
15	Documents on accomplishment of offers on results of checks, audits (reports, reports, references, correspondence)	5 years of EPK	5 years of EPK
16	Documents of audits, the inspections which are carried out by the organization (acts, references, correspondence)	5 years of EK	5 years of EK
17	Documents on office investigations (acts, references, correspondence)	5 years of EK	5 years of EK
18	Documents (actions for declaration, powers of attorney, acts, petitions, claims (appeal and supervising), protocols and other documents) on legal proceedings, one of the parties which the organization is	5 years *	5 years *	* After decision

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