RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of October 29, 2018 No. 246

About modification and amendments in some regulatory legal acts of the Republic of Kazakhstan concerning regulation of the financial market

List of amending documents

For the purpose of implementation of the Law of the Republic of Kazakhstan of July 2, 2018 "About modification and amendments in some legal acts of the Republic of Kazakhstan concerning currency control and currency exchange control, risk - the oriented supervision of activities of the financial organizations, consumer protection of financial services and enhancement of activities of National Bank of the Republic of Kazakhstan" and according to the subitem 2) of Item 3 of article 16 of the Law of the Republic of Kazakhstan of March 19, 2010 "About the state statistics" the Board of National Bank of the Republic of Kazakhstan DECIDES:

1. Approve the List of regulatory legal acts of the Republic of Kazakhstan concerning regulation of the financial market to which changes and amendment are made (further - the List), according to appendix to this resolution.

2. To department of supervision of banks (Kizatov O. T.) 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 its direction 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) within ten working days after state registration of this resolution submission to Legal department of data on execution of the actions provided by subitems 2), 3) of this Item and Item 3 of this resolution.

3. 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.

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

5. This resolution becomes effective after day of its first official publication, except for Items 2, of 4, of 5, of 6, 7 and 8 Lists which become effective since January 1, 2019.

It is approved Committee according to the statistics Ministries of national economy of the Republic of Kazakhstan _______________________ "___" _________ 2018

Appendix

to the Resolution of Board of National Bank of the Republic of Kazakhstan of October 29, 2018 No. 246

The list of regulatory legal acts of the Republic of Kazakhstan concerning regulation of the financial market to which changes and amendment are made

1. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of November 15, 1999 No. 396 "About approval of Rules of accounting of bills of exchange by banks of the second level of the Republic of Kazakhstan" (it is registered in the Register of state registration of regulatory legal acts at No. 1015) the following changes:

change in state language is made to heading, the text in Russian does not change;

change in state language is made to Item 1, the text in Russian does not change;

in Rules of accounting of the bills of exchange by banks of the second level of the Republic of Kazakhstan approved by the specified resolution:

change in state language is made to heading, the text in Russian does not change;

change in state language is made to preamble, the text in Russian does not change;

in paragraph one of Item 1 change in state language is made, the text in Russian does not change;

state Item 6 in the following edition:

"6. Forfaiting - acceptance (purchase) of the bill of exchange by bank according to the endorsement with payment of the bill amount without the regress right to the client (the endorsee). The bank has the right to perform forfaiting operations in the presence of the license of authorized body on regulation, control and supervision of the financial market and the financial organizations (further - authorized body) on carrying out forfaiting transactions. When implementing forfaiting the bank also has the right to hold discount from the bill amount.";

change in state language is made to Item 8, the text in Russian does not change;

change in state language is made to Item 11, the text in Russian does not change;

change in state language is made to the subitem 2) of Item 15, the text in Russian does not change;

changes in state language are made to Items 21 and 22, the text in Russian does not change;

change in state language is made to Item 26, the text in Russian does not change;

in paragraph one of Item 27 change in state language is made, the text in Russian does not change;

in paragraph one of Item 31 change in state language is made, the text in Russian does not change;

state Item 47 in the following edition:

"47. The bank has the right to perform the following transactions with the bills of exchange accepted to accounting and which are in its portfolio:

1) in case of maturity to receive payment on the bill of exchange;

2) to endorse bill.";

exclude Item 50;

state Item 51 in the following edition:

"51. Accounting offices (banks) having the license of National Bank of the Republic of Kazakhstan for carrying out currency transactions can use debt repayments before it.";

change in state language is made to Item 53, the text in Russian does not change.

2. Ceased to be valid according to the Resolution of Board of National Bank of the Republic of Kazakhstan of 19.11.2019 No. 196.

3. Bring in the resolution of Board of the Agency of the Republic of Kazakhstan on regulation and supervision of the financial market and the financial organizations of March 29, 2010 No. 41 "About approval of Rules of calculation of values of prudential standard rates for the organizer of the biddings" (it is registered in the Register of state registration of regulatory legal acts at No. 6207) the following changes:

state heading in the following edition:

"About approval of Rules and method of calculation of values of prudential standard rates for the organizer of the biddings";

state Item 1 in the following edition:

"1. Approve the enclosed Rules and method of calculation of values of prudential standard rates for the organizer of the biddings.";

in Rules of calculation of values of prudential standard rates for the organizer of the biddings approved by the specified resolution:

state heading in the following edition:

"Rules and method of calculation of values of prudential standard rates for the organizer of the biddings";

state Item 1 in the following edition:

"1. These rules and method of calculation of values of prudential standard rates are developed for the organizer of the biddings according to the laws of the Republic of Kazakhstan 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 establish procedure and method of calculation of values of prudential standard rates for the organizer of the biddings.

These rules extend to the organizer of the biddings whose at least twenty five percent from total quantity of voting shares belong to National Bank of the Republic of Kazakhstan regarding requirements, stipulated in Item 3.";

to state heading of Chapter 2 in the following edition:

"Chapter 2. Prudential standard rate "The minimum size of the capital";

to state heading of Chapter 3 in the following edition:

"Chapter 3. Method of calculation of the prudential standard rate "Sufficiency of equity";

the paragraph one of the subitem 2) to state parts two of Item 6 in the following edition:

"2) the KR - the credit risk calculated as the amount of assets, contingent and possible obligations, the derivative financial instruments weighed on degree of credit risk according to the Table of assets of the organizer of the biddings weighed on degree of credit risk of investments, in form according to appendix 1 (further - appendix 1) to these rules, the Table of contingent and possible obligations of the organizer of the biddings weighed on degree of credit risk, in form according to appendix 2 (further - appendix 2) to these rules Disaggregation of the derivative financial instruments weighed taking into account credit risk in form according to appendix 3 (further - appendix 3) to these rules.";

to state heading of Chapter 4 in the following edition:

"Chapter 4. Method of calculation of the prudential standard rate "Current liquidity";

state Item 7 in the following edition:

"7. Coefficient of current liquidity of the organizer of the biddings - K2 constitutes at least 0,015.

The organizer of the biddings makes calculations of value of coefficient of K2 monthly as of the end of the last working day of month under report according to Disaggregation of coefficient of current liquidity of K2 in form according to appendix 4 (further - appendix 4) to these rules.";

exclude Item 10;

to state part one of Item 11 in the following edition:

"11. Calculations of value of coefficient of K1 according to appendices 1, 2, 3 to these rules, K2 coefficient according to appendix 4 to these rules, and also the Report on accomplishment of prudential standard rates on form according to appendix 5 (further - appendix 5) to these rules are provided by the organizer of the biddings in authorized body quarterly no later than the fifth working day of the month following reporting quarter in the following forms of appendices to these rules:";

to state part one of Item 12 in the following edition:

"12. Calculations of values of coefficients K1, K2, and also the report on accomplishment of prudential standard rates on paper as of reporting date are signed by the first head of the organizer of the biddings, the chief accountant or persons authorized on signing of the report and the contractor and are represented to authorized body, and also are stored at the organizer of the biddings.";

In form according to appendix 1 to state the table of assets of the organizer of the biddings weighed on degree of credit risk of investments in edition according to appendix 2 to the List;

In form according to appendix 2 to state the table of contingent and possible obligations of the organizer of the biddings weighed on degree of credit risk in edition according to appendix 3 to the List;

In form according to appendix 3 to state disaggregation of the derivative financial instruments weighed taking into account credit risk in edition according to appendix 4 to the List;

In form according to appendix 4 to state disaggregation of coefficient of current liquidity of K2 in edition according to appendix 5 to the List;

To state the report on accomplishment of prudential standard rates on form according to appendix 5 in edition according to appendix 6 to the List.

4. Ceased to be valid according to the Resolution of Board of National Bank of the Republic of Kazakhstan of 31.12.2019 No. 261.

5. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of May 8, 2015 No. 77 "About approval of Rules of carrying out transaction on simultaneous transfer of assets and obligations of bank in part or in complete size to another (another) to bank (banks), including transaction on simultaneous transfer of assets and obligations between parent bank and subsidiary bank, and approvals of these transactions by authorized body, and also the asset types and obligations which are subject to transfer when carrying out the specified transactions" (it is registered in the Register of state registration of regulatory legal acts at No. 11158, it is published on May 27, 2015 in information system of law of Ad_let) the following changes:

in Rules of carrying out transaction on simultaneous transfer of assets and obligations of bank in part or in complete size to another (another) to bank (banks), including transaction on simultaneous transfer of assets and obligations between parent bank and subsidiary bank, and approvals of these transactions by authorized body, and also asset types and the obligations which are subject to transfer when carrying out the specified transactions approved by the specified resolution:

3) of Item 8 to state the subitem in the following edition:

"3) has no the operating administrative punishments for the administrative offenses provided by parts six, the eighth Article 213, article 227 of the Code of the Republic of Kazakhstan about administrative offenses of July 5, 2014, measures of supervising reaction (except referral measures of supervising reaction) and the sanctions applied by National Bank of the Republic of Kazakhstan;";

state Item 12 in the following edition:

"12. The announcement of transfer of assets and obligations in part or in complete size is published by the transferring bank at the expense of its means in the periodic printing editions distributed in all territory of the Republic of Kazakhstan in the Kazakh and Russian languages within one month from date of issue authorized body of consent to carrying out transaction on transfer of assets and obligations, with indication of the term of the representation of objections established by part two of item 4 of article 61-2 of the Law on banks and the address to which they are accepted.

Transfer of obligations of the transferring bank is performed with the consent of his depositors and (or) creditors, except as specified, by the provided part four of item 4 of article 61-2 of the Law on banks.

Relations of the transferring bank and depositors and (or) creditors in the presence of objections of depositors and (or) creditors against transfer of obligations of the transferring bank before them are regulated by article 61-2 of the Law on banks and prisoners between the transferring bank and depositors and (or) creditors agreements.

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