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RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of December 26, 2016 No. 315

About approval of the list, forms, terms of the reporting of large members of banks, bank holdings, large members of the insurance (reinsurance) organizations, insurance holdings, large members of the managing director of investment portfolio, the large participants owning (having opportunity to vote) in twenty five or more percent of voting shares of the managing director of investment portfolio, and Rules of their representation

(as amended of the Resolution of Board of National Bank of the Republic of Kazakhstan of 30.07.2018 No. 159)

According to the laws of the Republic of Kazakhstan of March 30, 1995 "About National Bank of the Republic of Kazakhstan", of August 31, 1995 "About banks and banking activity in the Republic of Kazakhstan", of December 18, 2000 "About insurance activity", of July 2, 2003 "About the security market", 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. Approve:

1) the list of the reporting of large members of banks of the second level, bank holdings, large members of the insurance (reinsurance) organizations, insurance holdings, large members of managing directors of investment portfolio, the large participants owning (having opportunity to vote) in twenty five or more percent of voting shares of the managing director of investment portfolio according to appendix 1 to this resolution;

2) form of data on the income and property of the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is physical person according to appendix 2 to this resolution;

3) form of information about the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of the investment portfolio which is physical person according to appendix 3 to this resolution;

4) form of information about officials of the large member of bank of the second level, the insurance (reinsurance) organization who is the legal entity, bank holding, insurance holding according to appendix 4 to this resolution;

5) form of data on the organizations in which the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is the legal entity, the bank holding, insurance holding and the large participant who is the legal entity, owning (having opportunity to vote) in twenty five or more percent of voting shares of the managing director of investment portfolio is participant (shareholder) according to appendix 5 to this resolution;

6) form of information about large members (shareholders) of the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is the legal entity of the bank holding, insurance holding, the large participant who is the legal entity, owning (having opportunity to vote) twenty five or more percent of voting shares of the managing director of investment portfolio and also the information about persons exercising control over the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio being the legal entity, bank holding, insurance holding, the large participant who is the legal entity owning (having opportunity to vote) in twenty five or more percent of voting shares of the managing director of the investment portfolio according to appendix 6 to this resolution;

7) form of data on the transactions with the connected, including affiliirovanny persons concluded during the accounting period, and also existing as of reporting date and the register of the connected, including affiliirovanny persons according to appendix 7 to this resolution;

8) report form about disaggregation of working tables on creation of consolidated financial statements according to appendix 8 to this resolution;

9) form of the consolidated (unconsolidated) financial reporting and the explanatory note to it according to appendix 9 to this resolution;

10) form of data on change of quantity and (or) percentage ratio of the bank shares of the second level, the insurance (reinsurance) organization belonging to the large member of bank of the second level, the insurance (reinsurance) organization, being legal entity or physical person, to bank holding, insurance holding and also sources of the means used for share acquisition according to appendix 10 to this resolution;

11) form of data on all obligations of members of insurance group to the third parties (group of persons), components ten and more percent from equity of insurance group acting as of reporting date according to appendix 11 to this resolution;

12) form of data on the intra group bargains of insurance group concluded during the accounting period, and also existing as of reporting date according to appendix 12 to this resolution;

13) Rules of submission of the reporting by large members of banks of the second level, bank holdings, large members of the insurance (reinsurance) organizations, insurance holdings, large members of managing directors of investment portfolio, the large participants owning (having opportunity to vote) in twenty five or more percent of voting shares of the managing director of investment portfolio according to appendix 13 to this resolution.

2. Large members of banks of the second level, bank holdings, large members of the insurance (reinsurance) organizations, insurance holdings, large members of managing directors of investment portfolio, the large participants owning (having opportunity to vote) in twenty five or more percent of voting shares of the managing director of investment portfolio, represent to National Bank of the Republic of Kazakhstan in electronic format the following reporting:

1) the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is physical person the reporting provided by subitems 2) and 3) of Item 1 of this resolution, annually, within hundred twenty calendar days upon termination of financial year;

2) the large member of bank of the second level who is legal resident person of the Republic of Kazakhstan, the bank holding which is resident of the Republic of Kazakhstan, except for the banks of the second level having the status of the large member of bank of the second level or bank holding the reporting provided by subitems 4), 5), 6) and 7) of Item 1 of this resolution:

quarterly, within ninety calendar days following reporting quarter;

annually, within hundred twenty calendar days upon termination of financial year;

3) the insurance holding which is resident of the Republic of Kazakhstan, except for the banks of the second level having the status of insurance holding, and also the insurance (reinsurance) organization having the status of insurance holding the reporting provided by subitems 4), 5), 6) and 7) of Item 1 of this resolution:

quarterly, within ninety calendar days following reporting quarter;

annually, within hundred twenty calendar days upon termination of financial year;

4) the large member of the insurance (reinsurance) organization who is legal resident person of the Republic of Kazakhstan, except for the banks of the second level having the status of the large member of the insurance (reinsurance) organization, and also the insurance (reinsurance) organization having the status of the large member of the insurance (reinsurance) organization the reporting provided by subitems 4), 5), 6), 7) and 9) of Item 1 of this resolution annually within hundred twenty calendar days upon termination of financial year;

5) the large member of bank of the second level, the insurance (reinsurance) organization who is the legal entity - the resident of the Republic of Kazakhstan, in case of absence at bank of the second level of bank holding, the insurance (reinsurance) organization of insurance holding, except for the banks of the second level having the status of the large member of bank of the second level / the insurance (reinsurance) organization, and also the insurance (reinsurance) organization having the status of the large member of the insurance (reinsurance) organization or insurance holding the reporting provided by subitems 4), 5), 6) and 7) of Item 1 of this resolution:

quarterly, no later than forty five calendar days following reporting quarter;

annually, within hundred twenty calendar days upon termination of financial year;

6) the large member of the managing director of investment portfolio who is legal resident person of the Republic of Kazakhstan, except for the banks of the second level having the status of the large member of the managing director of the investment portfolio, the reporting provided by subitems 5), 6) and 7) of Item 1 of this resolution, annually, within hundred twenty calendar days upon termination of financial year;

7) the large participant who is the legal entity, owning (having opportunity to vote) twenty five or more percent of voting shares of the managing director of investment portfolio, being resident of the Republic of Kazakhstan, except for the banks of the second level having the status of the large member of the managing director of the investment portfolio, the reporting provided by subitems 5), 6) and 7) of Item 1 of this resolution:

quarterly, within ninety calendar days following reporting quarter;

annually, within hundred twenty calendar days upon termination of financial year;

8) in case of absence at the managing director of investment portfolio, the large participant owning (having opportunity to vote) in twenty five or more percent of voting shares of the managing director of investment portfolio, the large member of the managing director of investment portfolio who is the legal entity and resident of the Republic of Kazakhstan, except for the banks of the second level having the status of the large member of the managing director of the investment portfolio, the reporting provided by subitems 5) and 6) of Item 1 of this resolution:

quarterly, no later than forty five calendar days following reporting quarter;

annually, within hundred twenty calendar days upon termination of financial year;

9) bank holding, the bank of the second level which does not have bank holding, being part of banking conglomerate, the insurance holding which is part of insurance group the reporting provided by the subitem 8) of Item 1 of this resolution:

quarterly, no later than ninety calendar days following reporting quarter;

annually, within hundred twenty calendar days upon termination of financial year;

10) the large member of bank of the second level who is legal resident person of the Republic of Kazakhstan, the bank holding, insurance holding which are residents of the Republic of Kazakhstan, the bank of the second level having the affiliated organization, and not having bank holding the reporting provided by the subitem 9) of Item 1 of this resolution regarding consolidated financial statements:

quarterly, no later than ninety calendar days following reporting quarter;

annually, within hundred twenty calendar days upon termination of financial year;

regarding the unconsolidated financial reporting:

quarterly, within thirty calendar days following reporting quarter:

annually, within hundred twenty calendar days upon termination of financial year;

11) the large member of bank of the second level, the insurance (reinsurance) organization who is the legal entity in case of absence at bank of the second level of bank holding, the insurance (reinsurance) organization of insurance holding the reporting provided by the subitem 9) of Item 1 of this resolution:

quarterly, no later than forty five calendar days following reporting quarter;

annually, within hundred twenty calendar days upon termination of financial year;

12) the large member of the managing director of investment portfolio who is legal resident person of the Republic of Kazakhstan, the reporting provided by the subitem 9) of Item 1 of this resolution, annually, within hundred twenty calendar days upon termination of financial year;

13) the large member of the managing director of investment portfolio who is legal nonresident person of the Republic of Kazakhstan, the reporting provided by the subitem 9) of Item 1 of this resolution annually within hundred eighty calendar days upon termination of financial year;

14) the large participant who is the legal entity, owning (having opportunity to vote) twenty five or more percent of voting shares of the managing director of investment portfolio, being resident of the Republic of Kazakhstan, the reporting provided by the subitem 9) of Item 1 of this resolution:

quarterly, within ninety calendar days following reporting quarter;

annually, within hundred twenty calendar days upon termination of financial year;

15) in case of absence at the managing director of investment portfolio, the large participant owning (having opportunity to vote) in twenty five or more percent of voting shares of the managing director of investment portfolio, the large member of the managing director of investment portfolio who is legal resident person of the Republic of Kazakhstan, the reporting provided by the subitem 9) of Item 1 of this resolution:

quarterly, no later than forty five calendar days following reporting quarter;

annually, within hundred twenty calendar days upon termination of financial year;

16) the large member of bank of the second level, the insurance (reinsurance) organization, being legal entity or physical person, bank holding, insurance holding the reporting provided by the subitem 10) of Item 1 of this resolution within thirty calendar days from the date of decision making about change of quantity and (or) percentage ratio of the stocks owned by it;

17) the insurance holding which is part of insurance group the reporting provided by subitems 11) and 12) of Item 1 of this resolution, quarterly within ninety calendar days following reporting quarter.

3. Declare invalid the resolution of Board of National Bank of the Republic of Kazakhstan of August 27, 2013 No. 229 "About approval of Rules of submission of the reporting by large members of banks, bank holdings, large members of the insurance (reinsurance) organizations, insurance holdings and reporting forms" (registered in the Register of state registration of regulatory legal acts No. 8855, published on December 10, 2013 in the Yuridicheskaya Gazeta newspaper No. 185 (2560).

4. To department of researches and statistics (Tutushkin V. 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 Pirmatov G. O.

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

Chairman of National Bank

D. Akishev

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