RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of July 30, 2018 No. 166

About introduction of amendments to the resolution of Board of National Bank of the Republic of Kazakhstan of October 22, 2014 No. 210 "About approval of Rules of registration of the transactions with the issued securities transferred to nominal continence, concluded in the organized or unorganized market in system of nominal continence (system of accounting of the central depositary), provisions of the statement from personal account of the security holder in system of accounting of nominal continence and (or) in system of accounting of the central depositary and provision by the nominee holder of customer information which securities are in its nominal continence, upon the demand of the registrar, the central depositary and the issuer"

For the purpose of enhancement of regulatory legal acts of the Republic of Kazakhstan the Board of National Bank of the Republic of Kazakhstan DECIDES:

1. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of October 22, 2014 No. 210 "About approval of Rules of registration of the transactions with the issued securities transferred to nominal continence, concluded in the organized or unorganized market in system of nominal continence (system of accounting of the central depositary), provisions of the statement from personal account of the security holder in system of accounting of nominal continence and (or) in system of accounting of the central depositary and provision by the nominee holder of customer information which securities are in its nominal continence upon the demand of the registrar, the central depositary and the issuer" (it is registered in the Register of state registration of regulatory legal acts at No. 9876, it is published on November 28, 2014 in information system of law of Ad_let) the following changes:

in Rules of registration of the transactions with the issued securities transferred to nominal continence, concluded in the organized or unorganized market in system of nominal continence (system of accounting of the central depositary), provisions of the statement from personal account of the security holder in system of accounting of nominal continence and (or) in system of accounting of the central depositary and provision by the nominee holder of customer information which securities are in its nominal continence, upon the demand of the registrar, the central depositary and the issuer approved by the specified resolution:

in the subitem 4) Item 9:

the paragraph one to state in the following edition:

"4) the document containing notarially attested specimen signatures of the representatives of the legal entity having rights to sign documents for registration of transactions on personal accounts and information transactions, the including data about (about):";

the fourth to state the paragraph in the following edition:

"position, surname, name, middle name (in case of its availability) the representative of the client of the nominee holder, data of the document proving his identity;";

in the subitem 2) Item 10:

the paragraph one to state in the following edition:

"2) the document containing notarially attested specimen signatures of the representatives of the managing director of investment portfolio having rights to sign documents for registration of transactions on personal accounts and information transactions, the including data about (about):";

the fifth to state the paragraph in the following edition:

"position, surname, name, middle name (in case of its availability) representatives of the managing director of investment portfolio, data of the document proving his identity;";

4) of Item 11 to state the subitem in the following edition:

"4) the document containing notarially attested specimen signatures of the representatives of the managing director of investment portfolio having rights to sign documents for registration of transactions on personal accounts and information transactions, the including data about (about):

name of the nominee holder;

the name (surname, name, middle name (in case of its availability) the client of the nominee holder granting the right to signing of the document;

name of the managing director of investment portfolio;

position, surname, name, middle name (in case of its availability) representatives of the managing director of investment portfolio, data of the document proving his identity;

specifying on the fact that the specimen signatures containing in this document are considered obligatory when implementing all transactions on the personal account of the client opened in system of nominal continence;";

in Item 15:

1) to state the subitem in the following edition:

"1) the name of the legal entity (surname, name, middle name (in case of its availability) physical person);";

9) to state the subitem in the following edition:

"9) bank details (in the presence);";

state Item 33-2 in the following edition:

"33-2. In case of reorganization of nominee holders in the form of accession the nominee holder to whom accession is made performs submission of the order to the central depositary on making of the transactions specified in the subitem 2) of Item 39-1 Governed No. 254, within 10 (ten) working days from the date of signing of the transfer act by the parties according to the legislation of the Republic of Kazakhstan on joint-stock companies.";

the first and second Item 39 to state parts in the following edition:

"39. The order on carrying out transaction on personal accounts is signed by person participating in the transaction, either his representative, or the nominee holder in the case specified in Item 35 of Rules.

The order of managing company of mutual investment fund on carrying out transactions with shares, except for information, is signed by her representative, and also signed by the division manager of the custodian providing accounting of assets of mutual investment fund or is confirmed by custodian by the direction it to the nominee holder of the confirmation of the order of managing company of mutual investment fund on carrying out transactions with shares in writing or in electronic form with use of information systems according to the legislation of the Republic of Kazakhstan on the electronic document and the digital signature, except for information.";

state Item 49 in the following edition:

"49. The statement from personal account is constituted in form, according to appendix 1 to Rules and contains the following data:

1) number of personal account;

2) the name of the legal entity (surname, name, middle name (in case of its availability) physical person) the security holder;

3) number and date of state (re-registration) of the legal entity (name and details of the identity document of physical person);

4) name of the issuer and his location or name of mutual investment fund, and also managing company of this fund and its location;

5) types and security identification numbers or other identifiers of financial instruments;

6) repayment date of bonds (Islamic securities);

7) total quantity of securities (data on rights to claim according to obligations of the issuer on issued securities) certain type with indication of quantity encumbered and (or) blocked and (or) transferred in the "repo" registered on personal account as of date and time of creation of the statement;

8) the name of the nominee holder, license number on implementation of professional activity in the security market, its legal address, phone number, number of the fax;

9) time and date as of which the statement from personal account is created;

10) other data provided by the internal document of the nominee holder.

The statement from personal account provided by the central depositary is constituted in the form established by the internal document of the central depositary.

The statement from personal account is signed by the head of the structural unit of the nominee holder performing information transactions according to the internal document of the nominee holder, or person replacing it.

Creation of the statement from personal account in electronic form is allowed.";

the first and second Item 56 to state parts in the following edition:

"56. The list of shareholders is constituted in form, according to appendices 2 and 3 to Rules and contains information on owners whose shares are in nominal continence with indication of the number of the stocks owned by them, data on availability of the tax benefits provided to the shareholder according to the Code of the Republic of Kazakhstan of December 25, 2017 "About taxes and other obligatory payments in the budget (Tax code)" and also information on the number of the shares belonging to owners, data on whom are absent in system of accounting of the central depositary.

The list of shareholders is signed by the head of the structural unit of the nominee holder performing accounting of the securities transferred to nominal continence according to the internal document of the nominee holder.";

to state part one of Item 57 in the following edition:

"57. The documents of clients transferred to the nominee holder in case of use of services transfer agent are drawn up in forms according to appendix 4 to Rules.";

To state the statement from personal account in form according to appendix 1 in edition according to appendix 1 to this resolution;

In form according to appendix 2 to state the list of shareholders in edition according to appendix 2 to this resolution;

In form according to appendix 3 to state the list of shareholders in edition according to appendix 3 to this resolution;

state appendix 4 in edition according to appendix 4 to this resolution.

2. To department of regulation of the non-bank financial organizations (Kosherbayeva A. M.) in the procedure established by the legislation of the Republic of Kazakhstan to provide:

Disclaimer! This text was translated by AI translator and is not a valid juridical document. No warranty. No claim. More info