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RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of December 26, 2016 No. 309

About establishment of normative values and techniques of calculations of prudential standard rates and other regulations and limits, obligatory to observance, size of the capital of banking conglomerate

(as amended on 28-12-2020)

According to the laws of the Republic of Kazakhstan of August 31, 1995 "About banks and banking activity in the Republic of Kazakhstan", 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. Establish normative values and technique of calculations of prudential standard rates and other regulations and limits, obligatory to observance, the size of the capital of banking conglomerate according to appendix 1 to this resolution.

2.  No. 214 is excluded according to the Resolution of Board of National Bank of the Republic of Kazakhstan of 28.11.2019.

3. 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 10 to this resolution.

4. To department of methodology of the financial market (Abdrakhmanov N. A.) 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.

5. 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.

6. To impose control of execution of this resolution on the vice-chairman of National Bank of the Republic of Kazakhstan Smolyakov O. A.

7. This resolution becomes effective after ten calendar days after day of its first official publication.

Chairman of National Bank

D. Akishev

It is approved

Chairman of Committee according to the statistics Ministries of national economy of the Republic of Kazakhstan

January 11, 2017

 

Aydapkelov N. S.

Appendix 1

to the Resolution of Board of National Bank of the Republic of Kazakhstan of December 26, 2016 No. 309

Normative values and technique of calculations of prudential standard rates and other regulations and limits, obligatory to observance, size of the capital of banking conglomerate

1. Normative values and technique of calculations of prudential standard rates and other regulations and limits, obligatory to observance, the size of the capital of banking conglomerate (further - Standard rates) are developed according to the laws of the Republic of Kazakhstan of August 31, 1995 "About banks and banking activity in the Republic of Kazakhstan" (further - the Law on banks), of July 4, 2003 "About state regulation, control and supervision of the financial market and the financial organizations" and establish normative values and technique of calculations of prudential standard rates and other regulations and limits, obligatory to observance, the size of the capital of banking conglomerate.

2. In structure of prudential standard rates and other regulations and limits, obligatory to observance, the size of the capital of banking conglomerate for obligatory observance by banking conglomerate enter:

1) minimum size of the authorized capital;

2) coefficient of sufficiency of equity;

3) the maximum extent of risk on one borrower.

3. For the purposes of calculation of prudential standard rates for banking conglomerates the following concepts are used:

1) one borrower of banking conglomerate - physical person or legal entity to which members of banking conglomerate have risks or there can be risks on which members of banking conglomerate assumed liability for the debtor for benefit of the third parties, and also to the bases provided by legal acts of the Republic of Kazakhstan or the signed agreements;

2) members of banking conglomerate - the group of legal entities consisting of bank holding (in the presence) and bank, and also the affiliated organizations of bank holding and (or) the affiliated organizations of bank, and (or) the organizations in which the bank holding and (or) its affiliated organizations, and (or) bank have considerable equity participation;

3) risks - the assets, contingent and possible obligations of members of banking conglomerate calculated according to the resolution of Board of National Bank of the Republic of Kazakhstan of September 13, 2017 No. 170 "About establishment of normative values and techniques of calculations of prudential standard rates and other regulations and limits, obligatory to observance, the size of the capital of bank and Rules of calculation and limits of open foreign exchange position" registered in the Register of state registration of regulatory legal acts at No. 15886 (further - the resolution No. 170);

4) group of persons - group of the physical persons and legal entities, owing to certain relations exerting impact at each other;

5) authorized body - the state body performing state regulation, control and supervision of the financial market and the financial organizations.

For the purposes of calculation of prudential standard rates for banking conglomerates:

in addition to rating assessment of the Standard & Poor agency "s, authorized body are also recognized rating estimates of the Moody agencies" to s Investors Service and Fitch;

data from the unconsolidated financial reporting of members of banking conglomerate constituted according to the standards of financial and (or) other reporting used by authorized body of the country of finding of the member of banking conglomerate for the purpose of prudential regulation are used.

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