RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of August 16, 2019 No. 132

About modification and amendments in some resolutions of Board of National Bank of the Republic of Kazakhstan concerning rendering the state services

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. Approve the List of some resolutions of Board of National Bank of the Republic of Kazakhstan to which changes and additions concerning rendering the state services are made (further - the List), according to appendix to this resolution.

2. To department of risks (Izbasarov A. O.) 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 in the Kazakh and Russian languages in the Republican state company on the right of economic maintaining "Institute of the legislation and legal information of the Republic of Kazakhstan" 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 department of external communications press services to 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 ten calendar days after day of its first official publication, except for:

1) the paragraph of third Item 1 of the List which becomes effective since July 1, 2019;

2) paragraphs of the eighth-thirty eighth, ninety fifth-hundred twentieth Item 1, Items 2 and 3 of the List which become effective after twenty one calendar days after day of its first official publication.

Appendix

to the Resolution of Board of National Bank of the Republic of Kazakhstan of August 16, 2019 No. 132

The list of some resolutions of Board of National Bank of the Republic of Kazakhstan to which changes and additions concerning rendering the state services are made

1. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of April 30, 2015 No. 71 "About approval of standards of the state services of National Bank of the Republic of Kazakhstan" (it is registered in the Register of state registration of regulatory legal acts at No. 11534, it is published on July 15, 2015 in information system of law of Ad_let) the following changes and amendments:

in Item 1:

1) and 2) to exclude subitems;

16) and 17) to exclude subitems;

19) to exclude the subitem;

41) to exclude the subitem;

60) to exclude the subitem;

in the standard of the state service "Issue of Consent to Acquisition of the Status of the Large Member of the Managing Director of Investment Portfolio" approved according to appendix 11 to the specified resolution:

state item 4 in the following edition:

"4. Terms of rendering the state service:

1) from the moment of delivery of document package to the service provider, and also in case of the address on the portal - within 50 (fifty) working days after day of representation of complete document package;

2) the most allowed time of servicing of uslugopoluchatel on receiving and delivery of documents - 15 (fifteen) minutes.

The service provider within 5 (five) working days from the moment of receipt of documents of uslugopoluchatel checks completeness of the submitted documents.

In case of factual determination of incompleteness of the submitted documents the service provider within 5 (five) working days from the moment of receipt of documents of uslugopoluchatel gives written motivated refusal in further review of the statement.

The service provider stops the term of consideration of the application and the documents submitted for receipt of the state service if in the course of their consideration it is revealed that these documents contain false information on the uslugopoluchatel or its activities, discrepancy of contents of the submitted documents to requirements of the legislation, and also in need of check of reliability of the data provided to the service provider.

After elimination by uslugopoluchatel of notes and submission of documents the term of their consideration is resumed. The subsequent consideration of documents by the service provider is performed in the terms established by part one of this Item.";

1) to state the subitem to part one of Item 8 in the following edition:

"1) the service provider - Monday through Friday from 9:00 till 18:30 o'clock with lunch break from 13:00 till 14:30 o'clock, except days off and holidays, according to the labor law of the Republic of Kazakhstan;

the schedule of reception of applications and issue of results of rendering the state service from 9:00 till 17:30 o'clock with lunch break from 13:00 till 14:30 o'clock;";

in Item 24:

1) to state subitem paragraph two in the following edition:

"earlier being the head, the member of governing body, the head, the member of executive body (person solely performing functions of executive body transfer agent and its deputy), the chief accountant of the financial organization, the large participant - physical person, the head of the large participant - the legal entity of the financial organization during the period no more than in one year prior to adoption by authorized body of the decision on reference of bank to category of insolvent banks, about preservation of the insurance (reinsurance) organization or the forced redemption of its shares, the deprivation of the license of the financial organization which entailed its liquidation and (or) the termination of implementation of activities in the financial market or introductions in legal force of the judgment about involuntary liquidation of the financial organization or recognition by her bankrupt in the procedure established by the legislation of the Republic of Kazakhstan. The specified requirement is applied within five years after adoption by authorized body of the decision on reference of bank to category of insolvent banks, about preservation of the insurance (reinsurance) organization or the forced redemption of its shares, the deprivation of the license of the financial organization which entailed its liquidation and (or) the termination of implementation of activities in the financial market or introductions in legal force of the judgment about involuntary liquidation of the financial organization or recognition by her bankrupt in the procedure established by the legislation of the Republic of Kazakhstan;";

3) to state the subitem in the following edition:

"3) unstable financial position of uslugopoluchatel.

Sign of unstable financial position uslugopoluchatelya-the legal entity is availability of one of the following conditions:

legal person-uslugopoluchatel is created less than in two years prior to day of filing of application;

obligations of uslugopoluchatel exceed its assets less the amount of the assets placed in shares and shares in the authorized capital of other legal entities, and assumed to share acquisition of the managing director of investment portfolio;

the property value of uslugopoluchatel (less obligations of uslugopoluchatel) is insufficient for share acquisition of the managing director of investment portfolio;

losses by results of each of two complete financial years;

the size of obligations of uslugopoluchatel represents significant risk for the financial condition managing investment portfolio;

availability of the managing director of investment portfolio of debt of uslugopoluchatel delayed and (or) carried for balance before the managing director of investment portfolio;

the analysis of financial effects of acquisition by uslugopoluchatel of the status of the large member of the managing director of investment portfolio assumes deterioration in financial condition of uslugopoluchatel;

other bases testimonial of availability of unstable financial position of uslugopoluchatel and (or) possibility of causing damage to the managing director of investment portfolio and (or) to investors (receivers) of the Voluntary accumulation pension fund;";

14) to state the subitem in the following edition:

"14) cases when person was or is large participating physical person or the first head of the large participant earlier - the legal entity and (or) the leading employee of the financial organization during the period no more than in one year prior to adoption by authorized body of the decision on reference of bank to category of insolvent banks, about preservation of the insurance (reinsurance) organization, the forced redemption of its shares, deprivation of the license of the financial organization, and also involuntary liquidation of the financial organization or recognition by her bankrupt in the procedure established by the legislation of the Republic of Kazakhstan. The specified requirement is applied within five years after adoption by authorized body of the decision on reference of bank to category of insolvent banks, about preservation of the insurance (reinsurance) organization, the forced redemption of its shares, deprivation of the license of the financial organization, and also involuntary liquidation of the financial organization or recognition by her bankrupt in the procedure established by the legislation of the Republic of Kazakhstan.";

Short data on uslugopoluchatel - physical person, the leading employee of the uslugopoluchatelya-legal entity according to appendix 1 to state in edition according to appendix 1 to this List of some resolutions of Board of National Bank of the Republic of Kazakhstan to which changes and additions concerning rendering the state services are made (further - the List);

Data on faultless goodwill of uslugopoluchatel - physical person, the leading employee of uslugopoluchatel - the legal entity according to appendix 2 to state in edition according to appendix 2 to the List;

Data on the income and property, and also information on the available debt on all obligations of uslugopoluchatel according to appendix 3 to state in edition according to appendix 3 to the List;

in the standard 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" approved according to appendix 46 to the specified resolution:

state item 4 in the following edition:

"4. Term of rendering the state service: within 8 (eight) working days from the date of their representation.";

state Item 9 in the following edition:

"9. List of the documents necessary for rendering the state service:

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