RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of July 31, 2017 No. 149

About approval of regulations of the state services of National Bank of the Republic of Kazakhstan

List of amending documents

According to the subitem 2) of article 10 of the Law of the Republic of Kazakhstan of April 15, 2013 "About the state services" the Board of National Bank of the Republic of Kazakhstan DECIDES:

1. Approve:

1)  No. 169 is excluded according to the Resolution of Board of National Bank of the Republic of Kazakhstan of 14.10.2019;

2)  No. 169 is excluded according to the Resolution of Board of National Bank of the Republic of Kazakhstan of 14.10.2019;

3) regulations of the state service "Accounting Registration of the Microfinancial Organizations" according to appendix 3 to this resolution;

4) regulations of the state service "Issue of consent to appointment (election) of leading employees of the financial organizations, bank, insurance holdings, "Fund of Guaranteeing Insurance Payments" joint-stock company according to appendix 4 to this resolution;

5) ceased to be valid according to the Resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of 30.03.2020 No. 35

6) ceased to be valid according to the Resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of 30.03.2020 No. 35

7) ceased to be valid according to the Resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of 30.03.2020 No. 35

8) ceased to be valid according to the Resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of 30.03.2020 No. 42

9) ceased to be valid according to the Resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of 30.03.2020 No. 41

10) regulations of the state service "State Registration of Release of Shares of Mutual Investment Funds" according to appendix 10 to this resolution;

11) ceased to be valid according to the Resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of 30.03.2020 No. 42

12)  No. 169 is excluded according to the Resolution of Board of National Bank of the Republic of Kazakhstan of 14.10.2019;

13)  No. 169 is excluded according to the Resolution of Board of National Bank of the Republic of Kazakhstan of 14.10.2019;

14) regulations of the state service "Issue of the Act of Input of Management System of the Database of Credit Stories in Commercial Operation of Credit Bureau" according to appendix 14 to this resolution;

15)  No. 169 is excluded according to the Resolution of Board of National Bank of the Republic of Kazakhstan of 14.10.2019;

16) regulations of the state service "Licensing to the Organizations Performing Separate Types of Banking Activities on Collection of Banknotes, Coins and Values" according to appendix 16 to this resolution;

17) ceased to be valid according to the Resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of 30.03.2020 No. 36

18) regulations of the state service "Licensing to the Organizations Performing Separate Types of Banking Activities on Banking Activities" according to appendix 18 to this resolution;

19) ceased to be valid according to the Resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of 30.03.2020 No. 36

20) ceased to be valid according to the Resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of 30.03.2020 No. 36

21) regulations of the state service "Issue of Permission to Voluntary Reorganization of Bank (Bank Holding)" according to appendix 21 to this resolution;

22) regulations of the state service "Licensing for Implementation of Actuarial Activities" according to appendix 22 to this resolution;

23) regulations of the state service "Licensing for implementation of insurance activity or the right of implementation of Islamic insurance activity on industry "life insurance" according to appendix 23 to this resolution;

24) regulations of the state service "Licensing for the right of implementation of insurance (reinsurance) activity or Islamic insurance (reinsurance) activity on industry "general insurance" according to appendix 24 to this resolution;

25) regulations of the state Service "Licensing for the Types of Compulsory Insurance Established by the Laws of the Republic of Kazakhstan and Which Are Separate Classes of Insurance or the Right of Implementation of Islamic Insurance Activity by the Types of Compulsory Insurance Established by the Laws of the Republic of Kazakhstan and Which Are Separate Classes of Insurance" according to appendix 25 to this resolution;

26) regulations of the state service "Licensing for Activities for Reinsurance or Right of Implementation of Activities for Islamic Reinsurance" according to appendix 26 to this resolution;

27) regulations of the state service "Licensing for the Right of Implementation of Activities of Insurance Broker" according to appendix 27 to this resolution;

28) ceased to be valid according to the Resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of 30.03.2020 No. 40

29) regulations of the state service "Issue of Permission to Creation of the Insurance (Reinsurance) Organization" according to appendix 29 to this resolution;

30) regulations of the state service "Issue of Permission to Voluntary Reorganization of the Insurance (Reinsurance) Organization and (or) Insurance Holding" according to appendix 30 to this resolution;

31) regulations of the state service "Issue of Permission to Voluntary Liquidation of the Insurance (Reinsurance) Organization" according to appendix 31 to this resolution;

32)  No. 86 is excluded according to the Resolution of Board of National Bank of the Republic of Kazakhstan of 17.05.2018;

33)  No. 169 is excluded according to the Resolution of Board of National Bank of the Republic of Kazakhstan of 14.10.2019;

34) regulations of the state service "Issue of Permission to Creation or Acquisition by Bank and (or) Bank Holding of the Affiliated Organization and (or) Considerable Participation of Bank and (or) Bank Holding in the Authorized Capital of the Organizations" according to appendix 34 to this resolution;

35) regulations of the state service "Issue of Permission to Creation or Acquisition of Insurance Affiliated Company (Reinsurance) Organization and (or) Insurance Holding, Considerable Participation of the Insurance (Reinsurance) Organization and (or) Insurance Holding in the Capital of the Organizations" according to appendix 35 to this resolution;

36) regulations of the state service "Issue of Permission to Placement of Issued Securities of the Resident Organization of the Republic of Kazakhstan in the territory of Foreign State" according to appendix 36 to this resolution;

37) regulations of the state service "Issue of Permission to Release of Issued Securities of the Resident Organization of the Republic of Kazakhstan in the territory of Foreign State" according to appendix 37 to this resolution;

38) regulations of the state service "Issue of Permission to the Right of Implementation of Activities of Credit Bureau and the Act of Compliance of Credit Bureau to Requirements Imposed to Credit Bureau on Protection and Ensuring Safety of the Database of Credit Stories, the Used Information Systems and Rooms" according to appendix 38 to this resolution;

39) regulations of the state service "Issue of Permission to Voluntary Liquidation of Bank" according to appendix 39 to this resolution;

40) ceased to be valid according to the Resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of 30.03.2020 No. 39

41) ceased to be valid according to the Resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of 30.03.2020 No. 38

42) regulations of the state service "Licensing for Implementation of Activities for the Organization of Exchange Transactions with Cash Foreign Currency to Authorized Organizations" according to appendix 42 to this resolution;

43) regulations of the state service "Issue of Information on Condition of Pension Accruals (taking into account Investment Revenue) the Investor (Receiver) of the Single Accumulation Pension Fund" according to appendix 43 to this resolution;

44)  No. 169 is excluded according to the Resolution of Board of National Bank of the Republic of Kazakhstan of 14.10.2019.

2. Recognize to invalid:

1) the resolution of Board of National Bank of the Republic of Kazakhstan of May 29, 2015 No. 96 "About approval of regulations of the state services of National Bank of the Republic of Kazakhstan" (registered in the Register of state registration of regulatory legal acts at No. 11665, published on July 29, 2015 in information system of law of Ad_let);

2) the resolution of Board of National Bank of the Republic of Kazakhstan of January 6, 2016 No. 1 "About modification and amendments in the resolution of Board of National Bank of the Republic of Kazakhstan of May 29, 2015 No. 96 "About approval of regulations of the state services of National Bank of the Republic of Kazakhstan" (registered in the Register of state registration of regulatory legal acts at No. 13108, published on March 30, 2016 in information system of law of Ad_let).

3. To management of organizational work and control (Syrymbayev M. K.) 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) within ten calendar days from the date of state registration of this resolution the direction it the copy in paper and electronic type in the Kazakh and Russian languages in the Republican state company on the right of economic maintaining "The republican center of legal information" for official publication and inclusion in Reference control bank of regulatory legal acts 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 within ten calendar days after state registration of this resolution the direction it to the copy on official publication in periodic printing editions.

5. To impose control of execution of this resolution on the vice-chairman of National Bank of the Republic of Kazakhstan Galiyeva D. T.

6. This resolution becomes effective after ten calendar days after day of its first official publication, except for subitems 3), 5), 6), 7), 13), 14), 16), 17), 18), 19), 20), 21), 22), 23), 24), 25), 26), 27), 28), 29), 30), 31), 32), 34), 35), 38), 39), 40), 41), 42) and 44) of Item 1 of this resolution which become effective after twenty one calendar days after day of its first official publication.

Appendix 1

to the Resolution of Board of National Bank of the Republic of Kazakhstan of July 31, 2017 No. 149

Regulations of the state service "Confirmation of the Notification on Currency Transaction or about Opening of the Bank Account in Foreign Bank"

 No. 169 is excluded according to the Resolution of Board of National Bank of the Republic of Kazakhstan of 14.10.2019

 

Appendix 2

to the Resolution of Board of National Bank of the Republic of Kazakhstan of July 31, 2017 No. 149

Regulations of the state service "Registration of Currency Transaction"

 No. 169 is excluded according to the Resolution of Board of National Bank of the Republic of Kazakhstan of 14.10.2019

Appendix 3

to the Resolution of Board of National Bank of the Republic of Kazakhstan of July 31, 2017 No. 149

Regulations of the state service "Accounting Registration of the Microfinancial Organizations"

Chapter 1. General provisions

1. Name of the service provider: National Bank of the Republic of Kazakhstan.

The state service "Accounting Registration of the Microfinancial Organizations" (further - the state service) appears National Bank of the Republic of Kazakhstan (further - the service provider) through the web portal of "the electronic government": www.egov.kz (further - the portal).

2. Form of rendering the state service: electronic.

3. Result of rendering the state service: the notification of the microfinancial organization on its entering into the register of the microfinancial organizations (further - the register), or the motivated answer about refusal in rendering the state service (further - refusal) in cases and on the bases, stipulated in Item the 11th standard of the state service "Accounting Registration of the Microfinancial Organizations" approved by the resolution of Board of National Bank of the Republic of Kazakhstan of April 30, 2015 No. 71, registered in the Register of state registration of regulatory legal acts at No. 11534 (further - the standard).

Form of provision of result of rendering the state service: electronic (completely automated).

On the portal the result of rendering the state service goes to uslugopoluchatel to "personal account" in electronic form, certified by the digital signature (further - the EDS) the authorized person of the service provider.

Chapter 2. The description of operations procedure of structural divisions (workers) of the service provider in the course of rendering the state service

4. Basis for the procedure (action) for rendering the state service: representation by uslugopoluchatel for receipt of the state service of documents, stipulated in Item the 9th standard.

5. Contents of each procedure (action) which is part of process of rendering the state service, duration of its accomplishment, and also result of the procedure (action) for rendering the state service which forms the basis for accomplishment of the following procedure (action):

1) acceptance and document registration, submitted by uslugopoluchatel, document transfer for review to the head of the service provider by the responsible person of the service provider, the representative on acceptance and registration of correspondence - in day of receipt of the statement;

2) consideration of documents, imposing of the resolution by the head of the service provider - in day of receipt of the statement;

3) consideration of documents, determination of the ranking officer by the division manager responsible for rendering the state service (further - responsible division) - in day of receipt of the statement;

the procedures provided by subitems 1), 2) and 3) of this Item are performed within 1 (one) working day;

4) check of completeness of the submitted documents:

in case of factual determination of incompleteness of the submitted documents preparation of written motivated refusal in further review of the statement of uslugopoluchatel (further - refusal in consideration of the application), signing of refusal in consideration of the application at the head of the service provider, the direction of refusal in consideration of the application to uslugopoluchatel on the portal the ranking officer of responsible division - within 4 (four) working days;

in case of factual determination of completeness of documents, their consideration regarding compliance to requirements of the standard, preparation of drafts of the order on inclusion of the microfinancial organization in the register (further - the order), notifications of the microfinancial organization on its entering into the register (further - the notification) or refusal, the direction on approval to the head of responsible division the ranking officer - within 2 (two) working days;

5) approval of drafts of the order, notification or refusal, the direction for legal examination to the legal expert the head of responsible division - within 2 (two) working days from the moment of receipt of documents for approval;

6) consideration by the legal expert of the arrived documents regarding compliance to requirements of the standard, approval of drafts of the order, notification or refusal - within 2 (two) working days from the moment of receipt of documents for approval;

7) transfer of the drafts of the order, the notification or refusal approved with the legal expert to the ranking officer by the head of responsible division - within 1 (one) working day from the moment of receipt of documents from the legal expert;

8) execution of the order, notification or refusal on the form the ranking officer of responsible division - within 1 (one) working day from the moment of receipt of documents for execution;

9) signing of the order, notification or refusal on the form the head of the service provider - within 1 (one) working day;

10) entering of the microfinancial organization into the register, the direction into Department of supervision of banks of the service provider (further - DNB) information on entering of the microfinancial organization into the register for placement on Internet resource of the service provider, informing uslugopoluchatel on readiness of result of rendering the state service (by phone), the direction of result of rendering the state service to uslugopoluchatel on the portal, the ranking officer of responsible division - within 1 (one) working day.

Chapter 3. The description of order of interaction of structural divisions (workers) of the service provider in the course of rendering the state service

6. The list of structural divisions (workers) of the service provider who participate in process of rendering the state service:

1) the responsible person of the service provider authorized on acceptance and registration of correspondence;

2) head of the service provider;

3) head of responsible division;

4) ranking officer of responsible division;

5) legal expert.

7. The description of the sequence of procedures (actions) with indication of duration of each procedure (action) is stated according to appendix 1 to these regulations of the state service.

Chapter 4. The description of procedure for use of information systems in the course of rendering the state service

8. The description of procedure for the address and the sequence of procedures (actions) of the service provider and uslugopoluchatel when rendering the state service through the portal:

1) the uslugopoluchatel performs registration on the portal by means of the registration certificate EDS which is stored in the Internet browser of the computer of uslugopoluchatel;

2) the procedure 1 - input of the password (authorization process) on the portal for receipt of the state service;

3) condition 1 - check on the portal of authenticity of data on the registered uslugopoluchatel through login (individual identification number or business identification number) and the password;

4) the procedure 2 - the choice by uslugopoluchatel of the state service specified in these regulations of the state service, conclusion to the request form screen for rendering the state service and filling with uslugopoluchatel of form (data entry) taking into account its structure and format requirements, attachment to request form of necessary documents electronically;

5) the procedure 3 - payment of the state service by means of payment gateway of "the electronic government", information on payment of the state service arrives on the portal;

6) condition 2 - check in the portal of the fact of payment for rendering the state service;

7) the procedure 4 - the certificate (signing) by uslugopoluchatel of request by means of the EDS;

8) the procedure 1 - input by the worker of the service provider of login and the password (authorization) on the portal;

9) condition 1 - check on the portal of authenticity of data on the registered worker of the service provider through login and the password;

10) the procedure 2 - registration of the electronic document (request of uslugopoluchatel) and its processing on the portal;

11) condition 2 - verification of the documents submitted by uslugopoluchatel regarding compliance to requirements of the standard;

12) the procedure 3 - forming of result of rendering the state service;

13) the procedure 4 - obtaining by uslugopoluchatel of result of rendering the state service.

9. The chart of functional interaction of the information systems involved in rendering the state service is stated according to appendix 2 to these regulations of the state service.

10. The reference book of business processes of rendering the state service is stated according to appendix 3 to these regulations of the state service.

Appendix 1

to Regulations of the state service "Accounting Registration of the Microfinancial Organizations"

The description of the sequence of procedures (actions) with indication of duration of each procedure (action)

 

Appendix 2

to Regulations of the state service "Accounting Registration of the Microfinancial Organizations"

The chart of functional interaction of the information systems involved in rendering the state service

 

Appendix 3

to Regulations of the state service "Accounting Registration of the Microfinancial Organizations"

Reference book of business processes of rendering the state service

 

 

 Appendix 4

to the Resolution of Board of National Bank of the Republic of Kazakhstan of July 31, 2017 No. 149

Regulations of the state service "Issue of consent to appointment (election) of leading employees of the financial organizations, bank, insurance holdings, "Fund of Guaranteeing Insurance Payments" joint-stock company

Chapter 1. General provisions

1. Name of the service provider: National Bank of the Republic of Kazakhstan.

The state service "Issue of consent to appointment (election) of leading employees of the financial organizations, bank, insurance holdings, "Fund of Guaranteeing Insurance Payments" joint-stock company (further - the state service) appears National Bank of the Republic of Kazakhstan (further - the service provider), including through the web portal of "the electronic government": www.egov.kz (further - the portal).

2. Form of rendering the state service: electronic (partially automated) and paper.

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