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The document ceased to be valid since January 1, 2019 according to Item 2 of the Resolution of Board of National Bank of the Republic of Kazakhstan of August 27, 2018 No. 201

RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of November 28, 2016 No. 282

About approval of Rules of maintaining the State register of issued securities

According to the Law of the Republic of Kazakhstan of July 2, 2003 "About the security market" the Board of National Bank of the Republic of Kazakhstan DECIDES:

1. Approve the enclosed Rules of maintaining the State register of issued securities.

2. Recognize invalid regulatory legal acts of the Republic of Kazakhstan, and also structural elements of some regulatory legal acts of the Republic of Kazakhstan according to the list according to appendix 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" 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 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

Approved by the Resolution of Board of National Bank of the Republic of Kazakhstan of November 28, 2016 No. 282

Rules of maintaining the State register of issued securities

1. These rules of maintaining the State register of issued securities (further - Rules) are developed according to the Law of the Republic of Kazakhstan of July 2, 2003 "About the security market" and determine conditions and procedure for maintaining the State register of issued securities (further - the State register).

2. Maintaining the State register is performed electronically.

3. Data on state registration of releases of issued securities, changes and amendments to avenues of releases of issued securities, consideration and approval of reports on results of placement (repayment) of issued securities, changes and amendments in reports on share placing results, cancellation of releases of issued securities and their issuers, issue of permissions to release and (or) placement of issued securities in the territory of foreign state (further - Data) are entered in the State register by the authorized body performing regulation, control and supervision of the financial market and the financial organizations (further - authorized body), no later than 3 (three) working days from the date of registration of release of issued securities, changes and amendments to the avenue of release of issued securities, consideration and approval of the report on results of placement (repayment) of issued securities, changes and amendments in the report on results of share placing, cancellation of release of issued securities, issue of permission to release and (or) placement of issued securities in the territory of foreign state.

4. Data are entered in the State register on the basis:

1) the data containing in the documents submitted by issuers of securities according to requirements of the legislation of the Republic of Kazakhstan about the security market of state registration of release of issued securities, changes and amendments to the avenue of release of issued securities, consideration and approval of the report on results of placement (repayment) of release of issued securities, changes and amendments in the report on share placing results, cancellation of release of issued securities for receipt of permission to release and (or) placement of issued securities in the territory of foreign state;

2) decisions of authorized body on state registration of release of issued securities, changes and amendments to the avenue of release of issued securities, approval of the report on results of placement (repayment) of issued securities, changes and amendments in the report on share placing results, cancellation of release of issued securities, issue of permission to release and (or) placement of issued securities in the territory of foreign state;

3) decisions of authorized body on suspension and renewal of placement and circulation of non-state issued securities and derivative securities;

4) decisions of authorized body on cancellation of share issue in case of idea by court or legal executives of the judgment of recognition of invalid state registration of release of the announced shares or involuntary liquidation of the joint-stock company which took legal effect;

5) decisions of authorized body on cancellation of share issue of joint-stock companies, data on liquidation or reorganization (except as specified accessions to this joint-stock company of other legal entity or allocation from this joint-stock company of new joint-stock company) which contain in the National register of business and identification numbers;

6) decisions of authorized body on cancellation of bond issue of issuers, data on which liquidation contain in the National register of business and identification numbers;

7) the judgments about recognition invalid state registration of release of non-state issued securities and derivative securities.

5. The state register consists from:

1) share register;

2) bond register;

3) register of shares;

4) register of the Kazakhstan depositary receipts;

5) register of Islamic securities;

6) the magazine of the assigned national identification numbers to the government issued securities;

7) the magazine of the issued permissions to release and (or) placement of issued securities of the resident organizations of the Republic of Kazakhstan in the territory of foreign state.

6. In case of state registration of share issue the following data are entered in the share register:

1) name of the issuer;

2) form of business of the issuer;

3) status of the issuer (financial agency);

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