RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of September 10, 2019 No. 151

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

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

2. To provide to department of methodology and regulation of the financial organizations in the procedure established by the legislation of the Republic of Kazakhstan:

1) together with Legal department state registration of this resolution in the Ministry of Justice of the Republic of Kazakhstan;

2) placement of this resolution on official Internet resource of National Bank of the Republic of Kazakhstan after its official publication;

3) within ten working days after state registration of this resolution submission to Legal department of data on execution of the actions provided by the subitem 2) of this Item and Item 3 of this resolution.

3. To department of external communications - the press service of National Bank 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 paragraphs of third, fourth and sixth Item 5 of the List which become effective since January 1, 2023, paragraphs of the ninth - the twenty eighth, thirty sixth - the hundred first, hundred tenth - the hundred twenty sixth, hundred thirty fourth, hundred thirty eighth - the hundred ninetieth Item 9 and Item 18 of the List which become effective since January 1, 2020.

It is approved Committee according to the statistics Ministries of national economy of the Republic of Kazakhstan "___" _____________ 2019

Appendix

to the Resolution of Board of National Bank of the Republic of Kazakhstan of September 10, 2019 No. 151

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

1. 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 July 16, 2007 No. 210 "About establishment of the list and procedure for acquisition of underlying assets of derivative securities and derivative financial instruments with which banks of the second level can perform broker and (or) dealer activities in the security market and also cases of the conclusion of transactions with government securities and non-state securities in the secondary market, derivative financial instruments in the unorganized market of securities" (it is registered in the Register of state registration of regulatory legal acts at No. 4892) the following changes:

state Item 2-1 in the following edition:

"2-1. Banks of the second level for inclusion in the register of transactions with the derivative financial instruments concluded in the unorganized market which maintaining is performed by the central depositary (further - the register), no later than 14-00 hours on time of the city of Nour-Sultan of the first working day of the week following reporting week provide in the central depositary information according to requirements of the Rules of implementation of activities of the central depositary approved by the resolution of Board of National Bank of the Republic of Kazakhstan of November 29, 2018 No. 307, registered in the Register of state registration of regulatory legal acts at No. 17920, and internal documents of the central depositary. Information is provided according to all transactions with the derivative financial instruments concluded in the organized and unorganized markets existing for date of submission of information, and also concluded and the performed bargains in the accounting period.";

2) of Item 3-1 to state the subitem in the following edition:

"2) the conclusions of transactions with government securities of the Republic of Kazakhstan, and also security transactions on which the state warranty of the Government of the Republic of Kazakhstan is had;".

2. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of July 26, 2013 No. 182 "About approval of Rules of application of limited corrective actions to the single accumulation pension fund, the Voluntary accumulation pension fund" (it is registered in the Register of state registration of regulatory legal acts at No. 8696, it is published on October 2, 2013 in the Yuridicheskaya Gazeta newspaper No. 148 (2523) the following change:

in Rules of application of the limited corrective actions to the single accumulation pension fund, the Voluntary accumulation pension fund approved by the specified resolution:

state Item 5 in the following edition:

"5. The authorized body takes out to the single accumulation pension fund, the Voluntary accumulation pension fund the written instruction about acceptance of the remedial measures, obligatory to execution, directed to elimination of the revealed violations at the scheduled time and (or) the reasons, and also the conditions promoting their making, and (or) on need of provision at the scheduled time of the actions plan on elimination established violations and (or) the reasons, and also conditions promoting their making with indication of the description of violations, the reasons which led to their origin, the list of the planned actions, terms of their implementation and also the officials responsible for acceptance of remedial measures.".

3. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of August 27, 2013 No. 214 "About approval of Rules of forming of risk management system and internal control for the organizations performing broker and dealer activities in the security market, activities for management of investment portfolio" (it is registered in the Register of state registration of regulatory legal acts at No. 8796, it is published on December 5, 2013 in the Yuridicheskaya Gazeta newspaper No. 183 (2558) the following changes and amendments:

in Rules of forming of risk management system and internal control for the organizations performing broker and dealer activities in the security market, activities for management of investment portfolio, approved by the specified resolution:

state item 4 in the following edition:

"4. By terms of the contract on broker servicing, concluded by the broker and (or) the dealer or to the Managing director who are the broker and (or) the dealer whose risk management system does not conform to the requirements established by paragraphs the eighth, ninth and tenth the subitem 3) of Item 11, subitems 9) and 10) of Item 15, paragraphs to the fifth, sixth and seventh part two of Item 28, Items 29 and 30, subitems 2), 8), 9) of Item 68, Items 73, of 74, of 75, of 76, of 77, of 78, of 79 and 80 Rules it is provided that the client order is taken by it to execution only in the presence of money and (or) securities at the client on bank and (or) personal account of this broker and (or) dealer or Managing director who is the broker and (or) the dealer in the amount of at least an amount of the money and (or) securities specified in the client order.

In case of observance of the terms of the contract on broker servicing established by part one of this Item calculations of values of coverage ratio of the risks and risks on one client established by Rules by the broker and (or) the dealer or to the Managing director who are the broker and (or) the dealer are not performed.";

state Item 8 in the following edition:

"8. The stress testing on risks to which activities of the broker and (or) dealer or Managing director who is the broker and (or) the dealer for own assets of the Managing director and broker and (or) dealer who is the Managing director are subject and to the assets of clients accepted in investment management is calculated at least once in half a year.

Results stress testing on risks to which activities of the broker and (or) dealer or Managing director who is the broker and (or) the dealer are subject are drawn up according to internal documents of the Managing director and broker and (or) dealer who is the Managing director and contain the following information:

description of the scenario of stress test;

reasons for the chosen scenario of stress test;

recommendations about results stress testing.";

exclude Item 9;

state Item 9-1 in the following edition:

"9-1. The managing director, the broker and (or) the dealer who is the Managing director provide reservation and storage of information stated in Item 8 of Rules, on paper and (or) in electronic form, providing confidentiality and not adjustability of data.";

the second Item 37 to state part in the following edition:

"Requirements to the investment declaration of investment funds are established by the Law of the Republic of Kazakhstan of July 7, 2004 "About investment and venture funds".";

the paragraph one of Item 40 to state in the following edition:

"40. For the purpose of ensuring effective management of assets of the clients accepted in management including pension assets, assets of investment funds, and (or) own assets of the Managing director or broker and (or) dealer, being Managing, responsible division of the Managing director or broker and (or) dealer who is the Managing director are carried out:";

state Item 41 in the following edition:

"41. On the basis of the analytical researches specified in Item 40 of Rules, the responsible division of the Managing director or broker and (or) dealer who is the Managing director develops the recommendations containing the detailed list of the factors which formed the basis for provision of these recommendations.";

state Item 42 in the following edition:

"42. Recommendations are provided in case of:

1) development of corporate strategy, the investment declaration and policy of investment of own assets of the Managing director or broker and (or) dealer who is the Managing director and also modification and amendments in the specified documents;

2) determination and review of limits of investment;

3) decision making about transactions for the asset account of the clients accepted in investment management and (or) own assets of the Managing director or broker and (or) dealer who is the Managing director;

4) decision making about investment of assets of the clients accepted in investment management and (or) own assets of the broker and (or) dealer, Managing director, broker and (or) dealer who is the Managing director, with use of the automated system of placement and management of requests for the conclusion of transactions on financial instruments on the set algorithm (algorithmic trading).

The recommendation provided by the subitem 3) of this Item is developed for adoption of investment decisions concerning making of both one, and several transactions with financial instruments.";

4) of Item 43 to state the subitem in the following edition:

"4) analysis results of information used for issue of the recommendation including without limitation information about:

influence of the made transaction on expected change of the income on the assets and (or) own assets of the Managing director or broker and (or) dealer who is the Managing director accepted in management;

the risks connected with acquisition of this financial instrument (financial instruments);

influence of the made transaction on change of values of the prudential standard rates established by authorized body;";

6) of Item 43 to state the subitem in the following edition:

"6) the description of the financial instrument (financial instruments) with indication of type, amount, price range, the level of profitability and other characteristics (conditions) of this financial instrument (financial instruments);";

add with Item 43-1 of the following content:

"43-1. The recommendation about investment of assets of the clients accepted in investment management and (or) own assets of the broker and (or) dealer, Managing director, broker and (or) dealer who is the Managing director with use of algorithmic trading contains the following data:

1) date of issue and its number;

2) the information about the client concerning which assets application of algorithmic trading, or specifying that the recommendation is constituted concerning own assets is supposed;

3) the name of the algorithmic strategy recommended for application;

4) the recommended amount for investment;

5) list of financial instruments (if necessary);

6) recommended effective period of algorithmic strategy;

7) the expected extent of profitability from application of this algorithmic strategy;

8) the most admissible size of loss from the amount recommended for investment;

9) signatures of persons which constituted the recommendation with indication of their posts.

Algorithmic strategy (algorithmic strategy) affirms (affirm) investment committee of the broker and (or) dealer, Managing director, broker and (or) dealer who is the Managing director.

The document containing conditions of algorithmic strategy includes, but is not limited to the following:

1) detailed description of algorithmic strategy;

2) the list of the financial instruments used within this algorithmic strategy;

3) results of check (testing) of efficiency of this algorithmic strategy with use of historical financial data;

4) information on the main risks connected with investment using algorithmic trading;

5) data on the additional expenses and the commissions arising in case of application of this algorithmic strategy.";

state Item 53 in the following edition:

"53. The protocol is signed by all members of investment committee, attendees at meeting, and stored on paper and (or) in electronic form, the investment committee certified by digital signatures of members, by attendees at meeting, when ensuring confidentiality and not adjustability of data, together with the investment decisions made by investment committee within five years.";

4) of Item 55 to state the subitem in the following edition:

"4) the identifier of the financial instrument (financial instruments) on which, (which) the transaction shall be made;";

add with Item 56-1 of the following content:

"56-1. The investment decision on investment of assets of the clients accepted in investment management and (or) own assets of the broker and (or) dealer, Managing director, broker and (or) dealer who is the Managing director with use of algorithmic trading, in addition to the data specified in subitems 1), 2), 10), 11) of 12) of Item 55 of Rules contains:

1) the name of the applied algorithmic strategy;

2) the amount, subject to investment using algorithmic strategy;

3) types of financial instruments (if necessary);

4) effective period of algorithmic strategy;

5) expected return from application of this algorithmic strategy;

6) the most admissible size of loss from the amount determined for investment.

Adoption of separate investment decisions for transactions within the investment decision specified in part one of this Item is not required.";

state Item 73 in the following edition:

"73. The division of the broker and (or) dealer or Managing director who is the broker and (or) the dealer exercising risk management, perfroms calculations of values of coverage ratio of risks and risks on one client during the trading day on measure implementation of the following transactions:

1) execution of the client purchase order (sale) of securities in the international (foreign) security markets;

2) applications for purchase (sale) of securities in trade system of the organizer of the biddings;

3) adoptions of the order on write-off of money from the bank account of the client;

4) transfer of money for the bank account of the client;

5) adoptions of the order on input (conclusion) of securities in (from) nominal (nominal) continence (continence);

6) opening of transaction of direct and return repo;

7) execution of the client sales order of the bonds issued by the organization - resident of the Republic of Kazakhstan, in the territory of foreign state, in trade system of the organizer of the biddings according to the legislation of the Republic of Kazakhstan on the security market.";

state Item 75 in the following edition:

"75. Value of coverage ratio of risks characterizes sufficiency of means of the broker and (or) dealer or Managing director who is the broker and (or) the dealer for covering of its contingent and possible obligations resulting from the conclusion of transactions and makes at least one.

Value of coverage ratio of risks (further - KPR) is calculated by the following formula:

KPR = SK / (KR + Shouting), where:

1) SK - equity of the broker and (or) dealer or Managing director who is the broker and (or) the dealer behind minus:

intangible assets, except for the licensed software acquired for the purposes of the main activities of the broker and (or) the dealer or the Managing director who is the broker and (or) the dealer corresponding to the International Financial Reporting Standard 38 "Intangible assets";

investments of the broker and (or) dealer or Managing director who is the broker and (or) the dealer in the share (shares in the authorized capital) the legal entity, except for shares of the issuers who are part of the following settlement indicators (indexes):

AIX (Astana International Exchange);

CAC 40 (Compagnie des Agents de Change 40 Index);

DAX (Deutscher Aktienindex);

DJIA (Dow Jones Industrial Average);

EURO STOXX 50 (EURO STOXX 50 Price Index);

FTSE 100 (Financial Times Stock Exchange 100 Index);

HSI (Hang Seng Index);

KASE (Kazakhstan Stock Exchange Index);

MSCI World Index (Morgan Stanley Capital International World Index);

MOEX Russia (Moscow Exchange Russia Index);

NIKKEI 225 (Nikkei-225 Stock Average Index);

RTSI (Russian Trade System Index);

S&P 500 (Standard and Poor "s 500 Index);

TOPIX 100 (Tokyo Stock Price 100 Index);

NASDAQ-100 (Nasdaq-100 Index);

2) the KR - the risk of insolvency calculated as the amount amount (in tenge):

the active purchasing requests and security sale submitted on behalf of the broker and (or) the dealer or the Managing director who is the broker and (or) the dealer and his clients to trade system of the organizer of the biddings;

the active purchasing requests and security sale submitted on behalf of the broker and (or) the dealer or the Managing director who is the broker and (or) the dealer and his clients in the international (foreign) security markets;

not calculated security transactions concluded on behalf of the broker and (or) the dealer or the Managing director who is the broker and (or) the dealer and his clients in the international (foreign) security markets;

open transactions of repo which is calculated as the amount:

differences between market value of the securities taking into account discount which are providing on open transactions of direct repo, and amount of money, attracted as a result of opening of the specified transactions of direct repo;

differences between amount of money, the transactions of the return repo placed as a result of opening and market value of the securities taking into account discount which are providing on these transactions of repo;

behind minus:

money of the clients who are on the bank account of the broker and (or) dealer or Managing director who is the broker and (or) the dealer on behalf of whom the purchasing requests specified in paragraphs second and third this subitem were submitted (within the amount of amount of the applications submitted on behalf of these clients);

the money of the broker and (or) dealer or Managing director who is the broker and (or) the dealer, which are on its bank account (within the amount of amount of the purchasing requests specified in the paragraphs second and third this subitem submitted the broker and (or) the dealer or to the Managing director who are the broker and (or) the dealer on its own behalf);

money of the clients who are on the bank account of custodian on behalf of which the broker and (or) the dealer, or the Managing director who is the broker and (or) the dealer submitted the purchasing requests specified in paragraphs second and third this subitem (within the amount of amount of the applications submitted on behalf of these clients);

the securities which are on personal accounts (sub-accounts) of clients opened in system of accounting of nominal continence of the broker and (or) dealer or Managing director who is the broker and (or) the dealer on behalf of whom the requests for sale specified in paragraphs second and third this subitem were submitted, and these requests which are subject (within the amount of amount of the applications submitted on behalf of these clients);

the securities of the broker and (or) dealer or Managing director who is the broker and (or) the dealer, which are on its personal account (within the amount of amount of the requests for sale specified in the paragraphs second and third this subitem submitted the broker and (or) the dealer or to the Managing director who are the broker and (or) the dealer on its own behalf);

the securities which are on personal accounts (sub-accounts) of the clients of the broker and (or) dealer or Managing director who is the broker and (or) the dealer, opened in system of accounting of nominal continence of custodian on behalf of which the requests for sale specified in paragraphs second and third this subitem were submitted, and these requests which are subject (within the amount of amount of the applications submitted on behalf of these clients);

3) the Shouting - the operational risk calculated as

the work of average size of the annual trading volume of the broker and (or) dealer or Managing director who is the broker and (or) the dealer with securities on organized and the international (foreign) security markets for the expired last three years on coefficient of the operational risk equal to 0,0015 and the settlement coefficient equal to 0,035.

The annual trading volume of the broker and (or) dealer or Managing director who is the broker and (or) the dealer with securities on organized and the international (foreign) markets joins the bargains concluded in the secondary security market.

The bargains of closing of transactions of repo concluded by "automatic method" do not join in calculation of the annual trading volume of the broker and (or) dealer or Managing director who is the broker and (or) the dealer with securities on organized and the international (foreign) markets.

Transactions on purchase and security sale, calculations for which are perfromed after day of their conclusion, concluded until the end of calendar year, are considered when calculating the annual trading volume of the broker and (or) dealer or Managing director who is the broker and (or) the dealer with securities on organized and the international (foreign) markets by date of the conclusion of the transaction.

For the newly created broker and (or) the dealer or the Managing director who is the broker and (or) the dealer, the operational risk is calculated after financial year and the average size of the annual trading volume in trade system of the organizer of the biddings is calculated proceeding from the number of the expired years.";

state Item 88 in the following edition:

"88. Checks of activities of divisions, branches and representations of the broker and (or) the dealer or the Managing director are performed by service of internal audit according to the plan of checks approved by governing body (supervisory board) of the broker and (or) dealer, Managing director.

Checks of activities of the Managing investment committee or the broker and (or) the dealer who is the Managing director are performed by service of internal audit with frequency at least once a year.";

state Item 94 in the following edition:

"94. The governing body (supervisory board) of the broker and (or) dealer Managing for implementation of the functions receives the following documentation from responsible divisions:

reports on the current results of financial and economic activities of the broker and (or) the dealer Managing in comparison with the same period for the last accounting period and with the planned activities indicators - on quarterly basis;

the reports on results of checks containing conclusions about the available shortcomings and the recommendation about improvement of activities of the broker and (or) the dealer, the Managing director - in process of preparation of reports;

the report on results of control of accomplishment of recommendations of service of internal audit on improvement of activities of the broker and (or) the dealer, Managing director - on quarterly basis.

Documentation specified in part one of this Item is considered at meeting of governing body (supervisory board) of the broker and (or) dealer, Managing director or goes to his members the cover letter certified by the signature of the first head of the broker and (or) dealer, Managing director or person replacing it.";

state Item 95 in the following edition:

"95. The governing body of the Managing director or broker and (or) dealer who is the Managing director for implementation of the functions in addition to documentation specified in Item 94 of Rules receives the following documentation from responsible divisions:

1) results stress testings and bek-testings - at least once in half a year;

2) the report on results of investment asset management of the clients transferred to investment management and (or) own assets, - on quarterly basis;

3) the report on the made investment decisions - at least, than time in half a year.";

state Item 98 in the following edition:

"98. The investment committee of the Managing director or broker and (or) dealer who is the Managing director for implementation of the functions obtains the following information from responsible divisions:

the macroeconomic analysis on degree of attractiveness of the markets of investment depending on the developing geopolitical situation, currency of investment and the sector of economy - at least once a half-year;

the analysis of issuers and issued (provided) them financial instruments, including financial analysis of issuers, reports on emergence of information which exerts impact on the cost of financial instruments of the issuer or capability to fulfill it the obligations, and also the risks connected with investment into financial instruments of these issuers - at least once a quarter;

the analysis of investment portfolio including data on structure of portfolio, dynamics of change of profitability, the analysis of unprofitable line items and the offer on optimization of structure of portfolio - at least once a quarter;

the analysis containing the forecast of the size of the assets assumed to acceptance in investment management, and also structures of obligations investment (investment) the portfolio (portfolios) accepted (accepted) in management, on terms of their execution (on the basis of the analysis of structure of clients, including unitholders, shareholders of the investment fund including information on amount of money and (or) the assets transferred in investment management) - at least once a quarter;

information on management of cash flows (liquidity) including the overview of observance of limits gap line items taking into account change of capability to mobilize the quick assets necessary for repayment of obligations during fixed terms, including monitoring of capability to create quick assets in foreign currency, necessary for repayment of obligations in foreign currency - on daily basis;

the report on detection of the negative information on activities of counterpartners and clients - in process of detection;

recommendations and the conclusions on establishment (review) of the following transaction limits with financial instruments:

limits of the amount of investment into financial instruments of one issuer, and also of types of financial instruments of this issuer with indication of the risks connected with investment into financial instruments of this issuer, and influence of these risks on values of the prudential standard rates established by regulatory legal acts of authorized body within limits on making of the financial instrument transactions approved by investment committee and also the limits set by regulatory legal acts of authorized body - at least once a quarter;

limits "stop - loss" and "take - profit" - at least once a quarter;

limits gap line item based on the analysis which is carried out by the division exercising risk management - at least once a quarter;

the conclusion about exposure to credit, percentage, currency, share risks, on risk of loss of liquidity of investment portfolio on assets of clients (investment funds) accepted in investment management and (or) to own assets - on monthly basis;

results stress testing on risks to which activities of the broker and (or) dealer or Managing director who is the broker and (or) the dealer for own assets of the Managing director and broker and (or) dealer who is the Managing director on the assets of clients accepted in investment management - at least once in half a year are subject;

results of bek-testings - at least once in half a year;

the report on detection of the negative information on activities of counterpartners and clients - in process of detection of the negative information about activities of counterpartners and clients;

information on execution of investment decisions on weekly basis.";

state Item 100 in the following edition:

"100. The division of the broker and (or) dealer, Managing director exercising risk management for implementation of the functions receives documents and information necessary for implementation of the functions from all divisions and workers of the broker and (or) dealer, Managing director, in the terms specified in requests of the division exercising risk management and also receives on permanent basis:

1) information on observance (use) of the set investment limits - on daily basis;

2) information on observance (use) of the set limits "stop - loss" and "take - profit" - on weekly basis;

3) the report on results of investment asset management of the clients transferred to investment management and (or) own assets, - at least once a quarter;

4) the data necessary for preparation of the conclusion about exposure to credit, percentage, currency and share risks of investment portfolio on the assets of clients (investment funds) accepted in investment management and (or) own assets;

5) the quarterly financial reporting, in the amount determined by internal documents of the broker and (or) dealer, Managing director;

6) information on structure of portfolio - on daily basis;

7) monthly settlement of the income and losses received as a result of investing activities for the asset account of the clients transferred to investment management and (or) own assets.

Information specified in the subitem 1) to part one of this Item in addition to data on the set limits of investment contains data on the actual amount of investments, made in the accounting period, and it is represented separately on the assets of each client accepted in investment management and own assets.

Information specified in the subitem 2) to part one of this Item in addition to data on the set limits "stop - loss" and "take - profit" contains data on the suffered losses (taking into account the gained income) and the taken measures in case of exceeding of limit in the accounting period, and it is represented separately on the assets of each client accepted in investment management and own assets.";

To state the report on assessment of fulfillment of requirements to risk management systems according to appendix 1 in edition according to appendix 1 to the List of regulatory legal acts of the Republic of Kazakhstan concerning regulation of the financial market to which changes and additions are made (further - the List);

2, 3 and 4 to exclude appendices.

4. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of August 27, 2013 No. 236 "About approval of the List of prudential standard rates, their normative values and techniques of calculations for the Voluntary accumulation pension funds, and also forms and terms of submission of the reporting" (it is registered in the Register of state registration of regulatory legal acts at No. 8794, it is published on November 7, 2013 in the Yuridicheskaya Gazeta newspaper No. 167 (2542) the following changes and amendment:

state preamble in the following edition:

"According to the laws of the Republic of Kazakhstan of June 21, 2013 "About provision of pensions in the Republic of Kazakhstan" and of March 19, 2010 "About the state statistics" the Board of National Bank of the Republic of Kazakhstan DECIDES:";

in the List of prudential standard rates, their normative values and technique of calculations for the Voluntary accumulation pension funds, and also the forms and terms of submission of the reporting approved by the specified resolution:

the second preambles to state part in the following edition:

"Calculation and procedure for submission of the reporting under other prudential standard rates to authorized body for the regulation, control and supervision of the financial market and the financial organizations (further - authorized body) which is not specified in the List for the organizations combining types of professional activity in the security market is established by the resolution of Board of National Bank of the Republic of Kazakhstan of April 27, 2018 No. 80 "About establishment of types of prudential standard rates, and also the indicators characterizing respect for their values, for the organizations performing broker and (or) dealer activities in the security market, approval of Rules of calculation of values of the prudential standard rates which are subject to observance by the organizations performing broker and (or) dealer activities in the security market", registered in the Register of state registration of regulatory legal acts at No. 17005.";

add with Item 2-1 of the following content:

"2-1. For the purposes of the List the main stock indexes are understood as the following settlement indicators (indexes):

CAC 40 (Compagnie des Agents de Change 40 Index);

DAX (Deutscher Aktienindex);

DJIA (Dow Jones Industrial Average);

EURO STOXX 50 (EURO STOXX 50 Price Index);

FTSE 100 (Financial Times Stock Exchange 100 Index);

HSI (Hang Seng Index);

KASE (Kazakhstan Stock Exchange Index);

MSCI World Index (Morgan Stanley Capital International World Index);

MOEX Russia (Moscow Exchange Russia Index);

NIKKEI 225 (Nikkei-225 Stock Average Index);

RTSI (Russian Trade System Index);

S&P 500 (Standard and Poor "s 500 Index);

TOPIX 100 (Tokyo Stock Price 100 Index);

NASDAQ-100 (Nasdaq-100 Index).";

state Item 5 in the following edition:

"5. As quick assets of Fund the assets specified in calculation of values of prudential standard rates of Fund for form according to appendix 1 to the List are recognized the corresponding amounts.";

third Item 6 to state the paragraph in the following edition:

"the securities issued by the legal entities who are affiliates in relation to Fund, except for the shares entering the official listing of stock exchange which parameters are used for the purpose of calculation of index of the stock market of stock exchange (the representative list of stock exchange);";

2) of Item 35 to state the subitem in the following edition:

"2) investment limits of form according to appendix 2 to the List.";

To state calculation of value of coefficient of K1 for form according to appendix 1 in edition according to appendix 2 to the List;

To state additional data for calculation of the prudential standard rate of coefficient of K1 for form according to appendix 2 in edition according to appendix 3 to the List.

5. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of August 27, 2013 No. 237 "About approval of Rules of implementation of activities of the single accumulation pension fund and (or) the Voluntary accumulation pension funds" (it is registered in the Register of state registration of regulatory legal acts at No. 8815, it is published on November 28, 2013 in the Yuridicheskaya Gazeta newspaper No. 180 (2555) the following changes and amendments:

in the Rules of implementation of activities of the single accumulation pension fund and (or) the Voluntary accumulation pension funds approved by the specified resolution:

add with Item 5-1 of the following content:

"5-1. The single accumulation pension fund makes calculation of cost of conventional unit of pension liabilities according to appendix 1-1 to Rules.";

To state calculation of cost of conventional unit of pension assets according to appendix 1 in edition according to appendix 4 to the List;

add with appendix 1-1 in edition according to appendix 5 to the List;

To state the list of the financial instruments permitted to acquisition at the expense of pension assets according to appendix 2 in edition according to appendix 6 to the List.

6. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of December 19, 2015 No. 252 "About approval of Rules of forming of risk management system and internal control for stock exchange" (it is registered in the Register of state registration of regulatory legal acts at No. 12999, it is published on February 29, 2016 in information system of law of Ad_let) following from meneniye and amendment:

in the Rules of forming of risk management system and internal control for stock exchange approved by the specified resolution:

8) of Item 10 to exclude the subitem;

exclude Item 20;

add with Item 48-1 of the following content:

"48-1. The recommendation is developed for adoption of investment decisions concerning making of both one, and several transactions with financial instruments.";

6) of Item 50 to state the subitem in the following edition:

"6) the description of the financial instrument with indication of type, the range of amounts, the prices and (or) levels of profitability and other characteristics (conditions) of this tool;";

4) of Item 52 to state the subitem in the following edition:

"4) is prepared by the conclusion about assessment of level of the credit, percentage, currency and price risks connected with acquisition of financial instruments and represents this conclusion to investment committee;";

5) of Item 58 to state the subitem in the following edition:

"5) the range of amounts, the prices and (or) levels of profitability of the transaction which is subject to the conclusion;".

7. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of January 28, 2016 No. 11 "About approval of Requirements to risk management system of the central partner, to conditions and procedure for monitoring, control and risk management of the central partner" (it is registered in the Register of state registration of regulatory legal acts at No. 13314, it is published on March 14, 2016 in information system of law of Ad_let) the following changes:

in the Requirements to risk management system of the central partner, conditions and procedure for monitoring, control and risk management of the central partner approved by the specified resolution:

state Item 18 in the following edition:

"18. The total size clearing (warranty and reserve) the funds of the central partner created on each market is determined by the central partner proceeding from need of maintenance of their sizes at the level not lower than the size of potential losses of the central partner in case of non-execution of obligations by two participants of clearing with the greatest amount of the specified obligations.

The central partner places money, components clearing (warranty or reserve) funds, mid-flight fees and money of clearing participants according to internal documents of the central partner.

The central partner estimates line items of participants on the current market value and levies mid-flight providing from clearing participants at least once a day to limit accumulating of the current risks.

Requirements of the central partner to the amount of providing clearing participants it is determined with assumption of the probability corresponding to the level of reliability, at least ninety nine percent.";

state Items 39 and 40 in the following edition:

"39. The division of the central partner on risk management notifies the board of directors and board on the technical failures and other circumstances which entailed violation of process of the conclusion of transactions with financial instruments in trade system of stock exchange no later than the working day following behind day of emergence of such violation.

40. The board of directors of the central partner provides provision of information on the technical failures and other circumstances which entailed violation of process of the conclusion of transactions with financial instruments in trade system of stock exchange in authorized body no later than the working day following behind day of emergence of such violation.";

2) of Item 49 to state the subitem in the following edition:

"2) reliability, completeness and timeliness of financial and management information. This purpose assumes check of creation of the authentic and high-quality financial reporting and other financial records used by the central partner in case of decision making;".

8. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of May 30, 2016 No. 144 "About establishment of prudential standard rates and other regulations and limits, obligatory to observance, for Islamic banks, their normative values and technique of calculations of prudential standard rates and other regulations and limits, obligatory to observance, for Islamic banks" (it is registered in the Register of state registration of regulatory legal acts at No. 13939, it is published on July 22, 2016 in information system of law of Ad_let) the following changes:

in Normative values and technique of calculations of prudential standard rates and other regulations and limits, obligatory to observance, for the Islamic banks approved by the specified resolution:

state Item 6 in the following edition:

"6. The equity is calculated as capital sum of the first level and the capital of the second level.

For the purposes of Standard rates, in addition to long-term credit rating evaluations of the Standard & Poor agency "s, authorized body are also recognized long-term credit rating evaluations of other rating agencies.

For the purposes of Standard rates the following organizations treat international financial institutions:

Asian Development Bank (Asian Development Bank);

Inter-American Development Bank (Inter-American Development Bank);

African development bank (African Development Bank);

Eurasian Development Bank;

European Investment Bank (European Investment Bank);

Development bank of the European Council (Council of Europe Development Bank);

European Bank for Reconstruction and Development (European Bank for Reconstruction and Development);

Islamic corporation on private sector development (ICD);

Multilateral agency of guarantee of investments;

International Centre for Settlement of Investment Disputes;

Islamic development bank (Islamic Development Bank);

Scandinavian investment bank (Nordic Investment Bank);

International Monetary Fund;

International Development Association;

International Bank for Reconstruction and Development (International Bank for Reconstruction and Development);

International Finance Corporation (International Finance Corporation).";

1) of Item 7 to state the subitem in the following edition:

"1) fixed capital is calculated as the amount:

the paid common shares corresponding to criteria of the financial instruments of fixed capital provided by Criteria for classification of tools within equity of bank according to appendix 1-1 to Standard rates;

since January 1, 2018 the paid common shares issued by subsidiary banks belonging to minority shareholders (third parties);

supplementary paid-in capital;

retained net profit of last years;

retained net profit of the current year;

the cumulative opened reserve determined as the amount of remaining balance on the balance sheet accounts 3510 "Reserve capital" as of January 1, 2014 and 3400 "Dynamic reserves" of the Standard chart of accounts of financial accounting in banks of the second level, the mortgage organizations and Development Bank of Kazakhstan joint-stock company approved by the resolution of Board of National Bank of the Republic of Kazakhstan of January 31, 2011 No. 3, registered in the Register of state registration of regulatory legal acts at No. 6793;

reserves on revaluation of fixed assets and the cost of financial assets, available for sale;

minus the following regulatory adjustments:

own redeemed common shares;

intangible assets, including goodwill;

losses of last years;

losses of the current year;

deferred tax asset minus deferred tax liabilities, except for parts of the deferred tax assets recognized concerning deductible temporary differences;

reserves on other revaluation;

the sales returns connected with transactions on securitization of assets. The deferred revenue in connection with the expectation of the complete or partial income in the future received from securitization conditions belongs to such income;

the income or losses from change of fair value of the financial liability, in connection with change of credit risk according to such obligation;

the regulatory adjustments which are deductible from the added capital, but in connection with its insufficient level subtracted from fixed capital;

the investments specified in Item 8 of Standard rates.";

state Item 10 in the following edition:

"10. Sufficiency of equity of bank is characterized by the following coefficients:

1) coefficient of sufficiency of fixed capital (k 1):

relation of fixed capital to the amount:

assets, contingent and possible obligations weighed on degree of credit risk;

assets, conditional and possible requirements and obligations calculated taking into account market risk;

operational risk;

2) capital adequacy ratio of the first level (k1-2):

relation of the capital of the first level to the amount:

assets, contingent and possible obligations weighed on degree of credit risk;

assets, conditional and possible requirements and obligations calculated taking into account market risk;

operational risk;

3) coefficient of sufficiency of equity (k 2):

equity relation to the amount:

assets, contingent and possible obligations weighed on degree of credit risk;

assets, conditional and possible requirements and obligations calculated taking into account market risk;

operational risk.

The assets, contingent and possible obligations weighed on the risk degrees taken into consideration of coefficients of k 1, k1-2 and k2 join less the reserves created according to IFRS.

Values of coefficients of sufficiency of equity and Value of capital adequacy ratios taking into account the conservation buffer and the system buffer are established by appendix 3 to Standard rates.

In addition to values of coefficients of sufficiency of equity the following values of buffers of equity are established:

the requirement to the conservation buffer is fulfilled on permanent basis and constitutes:

since January 1, 2015 - 1 (one) percent;

since January 1, 2016 - 1 (one) percent;

since January 1, 2017 - 2 (two) percent;

for systemically important banks:

since January 1, 2015 - 2,5 (two whole five tenth) percent;

since January 1, 2016 - 2,5 (two whole five tenth) percent;

since January 1, 2017 - 3 (three) percent;

which counter-cyclical buffer, the size and terms of introduction are established by authorized body at least in 12 (twelve) months prior to start date of calculation of the counter-cyclical buffer. The range of the size of the counter-cyclical buffer constitutes from 0 (zero) percent to 3 (three) percent from the amount of assets, contingent and possible obligations weighed taking into account risks;

the system buffer, the requirement to which calculation extends to the systemically important banks recognized as those according to the resolution of Board of National Bank of the Republic of Kazakhstan of December 24, 2014 No. 257 "About approval of Rules of reference of the financial organizations to number backbone" registered in the Register of state registration of regulatory legal acts at No. 10210. The requirement to the system buffer is fulfilled since January 1, 2017 on permanent basis and constitutes 1 (one) percent from the amount of assets, contingent and possible obligations weighed taking into account risks;

the regulatory buffer is calculated as the relation of positive difference between provisions (reserves) calculated according to the Management on forming of provisions (reserves) under asset impairment of bank in the form of loans and receivables according to appendix 1 to Standard rates and the provisions (reserves) created and reflected in financial accounting of bank according to IFRS and requirements of the legislation of the Republic of Kazakhstan about financial accounting and the financial reporting (further - positive difference) to the amount:

assets, contingent and possible obligations weighed on degree of credit risk;

assets, conditional and possible requirements and obligations calculated taking into account market risk;

operational risk.

For the purposes of calculation of positive difference of provisions (reserves) calculated according to the Management on forming of provisions (reserves) under asset impairment of bank in the form of loans and receivables according to appendix 1 to Standard rates monthly decrease by the amount of provisions (reserves) on completely extinguished and (or) written off loans and receivables after the last settlement date of provisions (reserves) according to the Management on forming of provisions (reserves) under asset impairment of bank in the form of loans and receivables according to appendix 1 to Standard rates.

The positive difference is calculated on loans and receivables on which provisions (reserves) according to the Management on forming of provisions (reserves) under asset impairment of bank in the form of loans and receivables according to appendix 1 to Standard rates are expected the last date of their calculation.

When calculating positive difference the sum of provisions calculated according to the Management for forming of provisions (reserves) under asset impairment of bank in the form of loans and receivables according to appendix 1 to Standard rates joins in the amount of, not exceeding debt on loan and (or) receivables without provisions (reserves).

The positive difference corrected by results of check of authorized body is considered when calculating the regulatory buffer from the reporting date following month under report.

If the actual values of coefficients k 1, k1-2 and k2 are not lower than the established Values of capital adequacy ratios according to appendix 3 to Standard rates, but at the same time any of the provided coefficients below, than the established values of coefficients taking into account equity buffers (except for the regulatory buffer), then on use of retained net income of bank restriction according to the Minimum amount of restriction of retained net income according to appendix 4 to Standard rates, regarding the termination of dividend payout and the return share repurchase, except as specified, provided by the Law of the Republic of Kazakhstan of May 13, 2003 "About joint-stock companies" is imposed.

On the banks having positive difference, and the actual values of capital adequacy ratios (which k 1, k1-2 and k 2) any of the provided coefficients below what, the established values of capital adequacy ratios taking into account equity buffers is not lower than the capital adequacy ratios established according to Values according to appendix 3 to Standard rates, but at the same time, restriction for use of retained net income according to the Minimum amount of restriction of retained net income according to appendix 4 to Standard rates, regarding the termination of dividend payout and the return share repurchase, except as specified, provided by the Law of the Republic of Kazakhstan of May 13, 2003 "About joint-stock companies" is imposed.

In case of the case provided in parts ten of this Item, bank and (or) its shareholders, bank holding and (or) its large participants develop and represent to authorized body for approval the actions plan which, without being limited to following, contains the following information about (about):

the actions for capitalization of bank to the level sufficient for covering of positive difference including including replenishment of the authorized capital, and (or) increase in net retained earnings, and (or) the redemption by shareholders of doubtful and (or) bad assets;

actions no more than 5 years for step-by-step improvement of quality of assets and return of problem debt, including the following measures:

repayment of problem debt for the account of mortgage providing and subsequent its realization or acceptance of collateral mortgage security;

realization and (or) concession of the right (requirement) for the agreement of bank loan of the affiliated organization of bank acquiring doubtful and bad assets of parent bank, to the collection agencies, banks, the organizations performing separate types of banking activities, to the organizations, specializing in improvement of quality of credit portfolios of banks of the second level, the special finance company created according to the legislation of the Republic of Kazakhstan on project financing and securitization in case of the transaction of securitization;

realization and (or) transfer of assets to the third parties;

the financial model of bank for at least 5 years by every year constituted taking into account the development strategy of bank approved by authorized body of bank;

obligations assumed by bank and (or) its shareholders, bank holding and (or) large participants during action of the actions plan;

completion dates of the actions plan on each its Item;

the list of the leading employees responsible for execution of the actions plan (with indication of the leading employees responsible for execution for each Item of the actions plan).

In case of actions plan overfulfillment in the accounting period offsetting of execution of the actions plan in the next accounting period is allowed.

In case of non-compliance with the actions plan the authorized body applies measures of supervising reaction according to the legislation of the Republic of Kazakhstan.

Values of coefficients of sufficiency of equity taking into account equity buffers, are reached at the expense of components of fixed capital according to Item 7 of Standard rates.

The size of buffers of equity calculated according to requirements of this Item of Standard rates is not reflected in financial accounting.

Values of standard rates of sufficiency of equity and buffers of equity (except for the regulatory buffer) are reviewed by authorized body at least once in 3 (three) years.";

in the Management on forming of provisions (reserves) under asset impairment of bank in the form of loans and receivables according to appendix 1:

the fifth Item 1 to state part in the following edition:

"The subsequent calculation of provisions (reserves) for assets of bank is perfromed as of July 1, 2018 with frequency at least 1 (one) time in six months.";

Tables at the assets of bank weighed on degree of credit risk according to appendix 2 to state in edition according to appendix 7 to the List;

The table of the contingent and possible obligations of bank weighed on degree of credit risk according to appendix 5 to state in edition according to appendix 8 to the List.

9. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of December 26, 2016 No. 304 "About establishment of normative values and techniques of calculations of prudential standard rates of the insurance (reinsurance) organization and insurance group and other regulations and limits, the list, forms, obligatory to observance, terms of submission of the reporting on accomplishment of prudential standard rates by the insurance (reinsurance) organizations and insurance groups, Rules of submission of the reporting on accomplishment of prudential standard rates by the insurance (reinsurance) organizations and insurance groups, requirements to the shares acquired by the insurance (reinsurance) organizations, the affiliated organizations of the insurance (reinsurance) organizations or insurance holdings (to shares in the authorized capital) legal entities, the list of bonds of the international financial institutions acquired by insurance holdings, the minimum required rating for bonds acquired by insurance holdings, and the list of rating agencies, and also the list of the financial instruments (except for shares and shares in the authorized capital) acquired by the insurance (reinsurance) organizations" (it is registered in the Register of state registration of regulatory legal acts at No. 14794, it is published on February 24, 2017 in Reference control bank of regulatory legal acts of the Republic of Kazakhstan) the following changes:

in the Normative values and technique of calculations of prudential standard rates of the insurance (reinsurance) organization and insurance group and other regulations and limits, obligatory to observance, approved by the specified resolution:

state Item 9 in the following edition:

"9. The minimum size of margin of solvency of the insurance (reinsurance) organization increases by the amount of the obligations transferred (transferred) to reinsurance to the insurance (reinsurance) organizations - residents and nonresidents of the Republic of Kazakhstan according to current agreements of reinsurance depending on rating assessment of the overcautious person or value of the standard rate of sufficiency of margin of solvency of the reinsurance resident organization of the Republic of Kazakhstan on the previous reporting date according to the amount of increase in the minimum size of margin of solvency in form according to the table 2 of appendix 1 to the List, the forms, terms of submission of the reporting on accomplishment of prudential standard rates by the insurance (reinsurance) organizations and insurance groups established by this resolution.";

state Item 25 in the following edition:

"25. The minimum size of guarantee fund for the insurance (reinsurance) organizations decreases by 30 (thirty) percent if the share of the amount of insurance premiums on the classes "sickness insurance" and "compulsory insurance of the tourist", constitutes more than 80 (eighty) percent in total amount of insurance premiums on current agreements of insurance (reinsurance) on reporting date.";

to state part one of Item 32 in the following edition:

"32. Bonds are recognized subordinated debt of the insurance (reinsurance) organization and join in calculation of actual margin of solvency only based on the report on results of placement of the bond issue approved according to the resolution of Board of National Bank of the Republic of Kazakhstan of October 29, 2018 No. 248 "About approval of Rules of state registration of release of non-state bonds (the bonded program), registration of changes and (or) amendments to the avenue of release of non-state bonds (the prospectus of the bonded program), representations and considerations of the notification on results of repayment of non-state bonds, cancellations of release of non-state bonds, Requirements to documents for state registration of release of non-state bonds (the bonded program), registration of changes and (or) amendments to the avenue of release of non-state bonds (the prospectus of the bonded program) considerations of the notification on results of repayment of non-state bonds, the List of documents for cancellation of release of non-state bonds and requirements to them, Rules of creation and execution of the prospectus of release of non-state bonds (prospectus of the bonded program), changes and (or) amendments to the avenue of release of non-state bonds (the prospectus of the bonded program), the notification on results of repayment of non-state bonds", registered in the Register of state registration of regulatory legal acts at No. 17884.";

to state part one of Item 34 in the following edition:

"34. In calculation of insurance value (reinsurance) organization taking into account their classification by quality and liquidity, join:

1) money:

money in cash desk in the amount which is not exceeding 1 (one) percent from the amount of assets of the insurance (reinsurance) organization minus reinsurance assets - of 100 (hundred) percent from book value;

money in transit in the banks of the second level of the Republic of Kazakhstan conforming to requirements of the subitem 5) of Item 38 of Standard rates - of 100 (hundred) percent from book value;

money on current accounts in the banks of the second level of the Republic of Kazakhstan conforming to requirements of the subitem 5) of Item 38 of Standard rates - in the amounts specified in Calculation of assets of the insurance (reinsurance) organization taking into account their classification by quality and liquidity by form according to the table 5 of appendix 1 to the List, the forms, terms of submission of the reporting on accomplishment of prudential standard rates by the insurance (reinsurance) organizations and insurance groups established by this resolution;

the money of the insurance (reinsurance) organization on accounts at the organization performing broker and (or) dealer activities in the security market which is in banks of the second level of the Republic of Kazakhstan, and in the central depositary - of 100 (hundred) percent from book value;

the money of the insurance (reinsurance) organization on accounts at the organization performing activities for management of investment portfolio which is in banks of the second level of the Republic of Kazakhstan - of 100 (hundred) percent from book value;

2) the deposits placed in the banks of the second level of the Republic of Kazakhstan conforming to requirements of the subitem 5) of Item 38 of Standard rates - in the amounts specified in Calculation of assets of the insurance (reinsurance) organization taking into account their classification by quality and liquidity by form according to the table 5 of appendix 1 to the List, the forms, terms of submission of the reporting on accomplishment of prudential standard rates by the insurance (reinsurance) organizations and insurance groups established by this resolution;

3) the deposits placed in the international financial institutions conforming to requirements of the subitem 6) of Item 38 of Standard rates - in the amounts specified in Calculation of assets of the insurance (reinsurance) organization taking into account their classification by quality and liquidity by form according to the table 5 of appendix 1 to the List, the forms, terms of submission of the reporting on accomplishment of prudential standard rates by the insurance (reinsurance) organizations and insurance groups established by this resolution;

4) the deposits placed in the nonresident banks conforming to requirements of the subitem 7) of Item 38 of Standard rates - in the amounts specified in Calculation of assets of the insurance (reinsurance) organization taking into account their classification by quality and liquidity by form according to the table 5 of appendix 1 to the List, the forms, terms of submission of the reporting on accomplishment of prudential standard rates by the insurance (reinsurance) organizations and insurance groups established by this resolution;

5) the financial instruments specified in subitems 8), 9), 10), 11), 12), 13), 14), 15), 16), 17), 18), 19), 20), 21), 22), 23), 24), 25), 26) and 27) Item 38 of Standard rates - in the amounts specified in Calculation of assets of the insurance (reinsurance) organization taking into account their classification by quality and liquidity by form according to the table 5 of appendix 1 to the List, the forms, terms of submission of the reporting on accomplishment of prudential standard rates by the insurance (reinsurance) organizations and insurance groups established by this resolution.

6) shares of "Fund of Guaranteeing Insurance Payments" joint-stock company - of 100 (hundred) percent from book value;

7) loans to insurers of the insurance (reinsurance) organization performing activities for industry "life insurance" - of 100 (hundred) percent from the amount of principal debt;

8) fixed assets in the form of real estate in the amount which is not exceeding 5 (five) percent from the amount of highly liquid assets of the insurance (reinsurance) organization - of 100 (hundred) percent from the smallest size from balance sheet and market costs.

For the purpose of determination of market value of the fixed assets considered when calculating prudential standard rates, the insurance (reinsurance) organization carries out assessment of their cost at the appraiser at least once a year;

9) till January 1, 2022:

intangible assets: the software acquired for the purposes of main insurance activity (reinsurance) organization - in the amount of cost taking into account accumulated depreciation and not exceeding 10 (ten) percent from the amount of highly liquid assets of the insurance (reinsurance) organization;

10) the amounts to obtaining from overcautious persons, insurance premiums to obtaining from insurers (reinsurers) and intermediaries in the amount which is not exceeding 10 (ten) percent from the amount of highly liquid assets of the insurance (reinsurance) organization;

11) the requirements to issuers of securities on payment of nominal value of securities which arose in connection with the expiration of their address provided by the prospectus of issue of securities (are not delayed under the terms of the prospectus of issue of securities) - of 100 (hundred) percent from book value.";

state Item 35 in the following edition:

"35. The insurance (reinsurance) organization observes the standard rate of sufficiency of highly liquid assets calculated as the relation of cost of highly liquid assets to the amount of insurance reserves minus the overcautious person's share, on formula:

              WA

Nva =-------------> 1, where:

              WEDNESDAY

Nva - the standard rate of sufficiency of highly liquid assets;

VA - the cost of the highly liquid assets specified in Item 38 of Standard rates (less obligations on repo operations);

WEDNESDAY - the amount of insurance reserves of the insurance (reinsurance) organization, minus the overcautious person's share for the end of the last month under report, calculated according to Requirements to forming, method of calculation of insurance reserves and their structure. The amount of insurance reserves is used about day of provision of monthly financial and other reporting in authorized body (to the fifth following month under report the amount of insurance reserves for last month under report is used).

The standard rate of sufficiency of highly liquid assets shall be at least 1 (units).";

state Items 38 and 39 in the following edition:

"38. As highly liquid assets the following assets of the insurance (reinsurance) organization are recognized:

1) money in cash desk in the amount which is not exceeding 1 (one) percent from the amount of assets of the insurance (reinsurance) organization minus reinsurance assets;

2) the money of the insurance (reinsurance) organization on accounts at the organization performing broker and (or) dealer activities in the security market which is in banks of the second level of the Republic of Kazakhstan, and in the central depositary;

3) money on current accounts in the banks of the second level of the Republic of Kazakhstan conforming to requirements of the subitem 5) of this Item of Standard rates;

4) the money of the insurance (reinsurance) organization on accounts at the organization performing activities for management of investment portfolio which is in banks of the second level of the Republic of Kazakhstan;

5) the deposits placed in the banks of the second level of the Republic of Kazakhstan corresponding to one of the following requirements:

are issuers whose shares are included in category "premium" of the sector of "share" of the Main platform of the official listing of stock exchange or are in the representative list of the stock exchange index;

have long-term credit rating not below "In -" on the international scale of the Standard & Poor agency "s or the rating of similar level of one of other rating agencies, or rating assessment not below "kzBB-" on national scale of Standard & Poor" s, or the rating of similar level on national scale of one of other rating agencies;

are affiliated resident banks of the Republic of Kazakhstan which parent nonresident banks of the Republic of Kazakhstan have long-term credit rating in foreign currency not below "And -" on the international scale of the Standard & Poor agency "s or the rating of similar level of one of other rating agencies;

6) the deposits placed in the international financial institutions having long-term rating is not lower than "AA-" of the Standard & Poor agency "s or the rating of similar level of one of other rating agencies, the deposits placed in Eurasian Development Bank in national currency of the Republic of Kazakhstan;

7) the deposits placed in the nonresident banks having long-term rating is not lower than "VVV-" on the international scale of the Standard & Poor agency "s or the rating of similar level of one of other rating agencies;

8) the government securities of the Republic of Kazakhstan (including emitted according to the legislation of other states) issued by the Ministry of Finance of the Republic of Kazakhstan and National Bank of the Republic of Kazakhstan;

9) the debt securities issued by local executive bodies of the Republic of Kazakhstan, included in the official listing of the stock exchange performing activities in the territory of the Republic of Kazakhstan;

10) the debt securities issued by the legal entity performing the redemption of mortgage loans of the physical persons which are not connected with business activity which hundred percent of shares belong to National Bank of the Republic of Kazakhstan;

11) the debt securities issued by joint-stock companies "Development Bank of Kazakhstan", "National welfare fund "Samruk-Kazyna", "National managing holding "Bayterek", "Fund of the Problem Credits" according to the legislation of the Republic of Kazakhstan and other states;

12) the non-state debt securities of legal entities of the Republic of Kazakhstan issued according to the legislation of the Republic of Kazakhstan and other states, included in the official listing of the stock exchange performing activities in the territory of the Republic of Kazakhstan;

13) the non-state debt securities of legal entities of the Republic of Kazakhstan nominated in foreign currency and admitted to public trading on the stock exchange functioning in the territory of the International financial center "Astana";

14) the non-state debt securities of legal entities of the Republic of Kazakhstan issued according to the legislation of the Republic of Kazakhstan and other states, having (which issuer has) rating assessment not below "In -" on the international scale of the Standard & Poor agency "s or the rating of similar level of one of other rating agencies, or rating is not lower than "kzBB-" on national scale of Standard & Poor" s, or the rating of similar level on national scale of one of other rating agencies;

15) the non-state debt securities issued by the international financial institutions having international rating is not lower than "AA-" of the Standard & Poor agency "s or the rating of similar level of one of other rating agencies, and also debt securities issued by Eurasian Development Bank and nominated in national currency of the Republic of Kazakhstan;

16) debt securities of the foreign states having sovereign rating is not lower than "B-" on the international scale of the Standard & Poor agency "s or the rating of similar level of one of other rating agencies;

17) the non-state debt securities of foreign issuers having (which issuer has) rating assessment not below "In -" on the international scale of the Standard & Poor agency "s or the rating of one of other rating agencies;

18) shares of legal entities of the Republic of Kazakhstan and the foreign issuers who are part of the main stock indexes, and depositary receipts which underlying asset are these shares;

19) the shares of legal entities included in the official listing of the stock exchange performing activities in the territory of the Republic of Kazakhstan and depositary receipts basic assets of which are these shares;

20) shares of legal entities - residents of the Republic of Kazakhstan, nominated in foreign currency, admitted to public trading on the stock exchange functioning in the territory of the International financial center "Astana";

21) shares of legal entities of the Republic of Kazakhstan and the foreign issuers having rating assessment not below "In -" on the international scale of the Standard & Poor agency "s or the rating of similar level of one of other rating agencies, and depositary receipts which underlying asset are these shares;

22) the securities of investment funds included in the official listing of stock exchange;

23) shares of Exchange Traded Funds (ETF) which structure of assets repeats structure of one of the main stock indexes or pricing on shares of which is tied to the main stock indexes;

24) shares of Exchange Traded Funds (ETF), Exchange Traded Commodities (ETC), Exchange Traded Notes (ETN) having rating assessment not below "3 stars" of Morningstar rating agency;

25) the instruments of Islamic financing of legal entities of the Republic of Kazakhstan issued according to the legislation of the Republic of Kazakhstan and other states, having (which issuer has) rating assessment not below "In -" on the international scale of the Standard & Poor agency "s or the rating of similar level of one of other rating agencies, or rating is not lower than "kzBB-" on national scale of Standard & Poor" s, or the rating of similar level on national scale of one of other rating agencies;

26) the instruments of Islamic financing of legal entities of the Republic of Kazakhstan issued according to the legislation of the Republic of Kazakhstan and other states which parent organizations have rating assessment not below "VVV-" on the international scale of the Standard & Poor agency "s or rating assessment of similar level of one of other rating agencies;

27) the affined precious metals and metal deposits;

28) the requirements to issuers of securities on payment of nominal value of securities which arose in connection with the expiration of their address provided by the prospectus of issue of securities (are not delayed under the terms of the prospectus of issue of securities).

For the purposes of Standard rates the main stock indexes are understood as the following settlement indicators (indexes):

CAC 40 (Compagnie des Agents de Change 40 Index);

DAX (Deutscher Aktienindex);

DJIA (Dow Jones Industrial Average);

EURO STOXX 50 (EURO STOXX 50 Price Index);

FTSE 100 (Financial Times Stock Exchange 100 Index);

HSI (Hang Seng Index);

KASE (Kazakhstan Stock Exchange Index);

MSCI World Index (Morgan Stanley Capital International World Index);

MOEX Russia (Moscow Exchange Russia Index);

NIKKEI 225 (Nikkei-225 Stock Average

S&P 500 (Standard and Poor "s 500 Index);

TOPIX 100 (Tokyo Stock Price 100 Index);

NASDAQ-100 (Nasdaq-100 Index).

The financial instruments specified in this Item turn on in calculation of highly liquid assets in the amounts specified in Calculation of the standard rate of sufficiency of highly liquid assets for form according to the table 6 of appendix 1 to the List, the forms, terms of submission of the reporting on accomplishment of prudential standard rates by the insurance (reinsurance) organizations and insurance groups established by this resolution.

39. For the purposes of Standard rates international financial institutions are understood as the following organizations:

Asian Development Bank (Asian Development Bank);

Inter-American Development Bank (Inter-American Development Bank);

African development bank (African Development Bank);

Eurasian Development Bank;

European Bank for Reconstruction and Development (European Bank for Reconstruction and Development);

European Investment Bank (European Investment Bank);

Development bank of the European Council (Council of Europe Development Bank);

Islamic corporation on private sector development (the Islamic Corporation for the Development of the Private Sector);

Islamic development bank (Islamic Development Bank);

Multilateral agency of guarantee of investments (Multilateral Investment Guarantee Agency);

Scandinavian investment bank (Nordic Investment Bank);

International Monetary Fund (International Monetary Fund);

International Development Association (International Development Association);

International settlements bank (Bank for International Settlements);

International Centre for Settlement of Investment Disputes (International Centre for Settlement of Investment Disputes);

International Bank for Reconstruction and Development (International Bank for Reconstruction and Development);

International Finance Corporation (International Finance Corporation).";

state Item 40 in the following edition:

"40. For calculation of the amount of assets of the insurance (reinsurance) organization for quality and liquidity and highly liquid assets of the insurance (reinsurance) organization are not considered:

1) the assets which are providing according to obligations of the insurance (reinsurance) organization and (or) on which the property right of the insurance (reinsurance) organization is limited (except for repo operations).

The securities which are subject of transaction of the return repo join in calculation of insurance value (reinsurance) organization taking into account their classification by quality and liquidity in the amounts specified in Calculation of assets of the insurance (reinsurance) organization taking into account their classification by quality and liquidity by form according to the table 5 of appendix 1 to the List, the forms, terms of submission of the reporting on accomplishment of prudential standard rates by the insurance (reinsurance) organizations and insurance groups established by this resolution.

The securities which are subject of transaction of the return repo join in calculation of highly liquid assets of the insurance (reinsurance) organization in the amounts specified in Calculation of the standard rate of sufficiency of highly liquid assets for form according to the table 6 of appendix 1 to the List, the forms, terms of submission of the reporting on accomplishment of prudential standard rates by the insurance (reinsurance) organizations and insurance groups established by this resolution;

2) deposits and current accounts in banks of the second level which according to the Law are large members of the insurance (reinsurance) organization or insurance holdings or in which the insurance (reinsurance) organization is large participant or bank holding, except as specified, when such banks of the second level have long-term credit rating not below "ВB" on the international scale of the Standard & Poor agency" s or the rating of similar level of one of other rating agencies, or rating assessment not below "kzA+" on national scale of Standard & Poor "s, or the rating of similar level on national scale of one of other rating agencies;

3) the securities issued by legal entities being the faces tied with the insurance (reinsurance) organization the special relations.";

exclude Item 41;

state Item 42 in the following edition:

"42. The insurance (reinsurance) organization observes the following standard rates of asset diversification:

Total 1) book value of investments into securities (taking into account transactions "the return repo") which deposits and money in one bank of the second level having long-term credit rating are not lower than "VV-" on the international scale of the Standard & Poor agency "s or the rating of similar level of one of other rating agencies, or being affiliated resident bank of the Republic of Kazakhstan which parent nonresident bank of the Republic of Kazakhstan has long-term credit rating in foreign currency not below "And -" the Standard & Poor agencies "s or the rating of similar level of one of other rating agencies, and affiliates of this bank - no more than 20 (twenty) percent from the amount of the assets calculated according to Item 34 of Standard rates;

Total 2) book value of investments into securities (taking into account transactions "the return repo"), deposits and money in one bank of the second level having long-term credit rating from "In" to "In +" on the international scale of the Standard & Poor agency "s or the rating of similar level of one of other rating agencies and affiliates of this bank - no more than 15 (fifteen) percent from the amount of the assets calculated according to Item 34 of Standard rates;

Total 3) book value of investments into securities (taking into account transactions "the return repo"), deposits and money in one bank of the second level having long-term credit rating "In -" on the international scale of the Standard & Poor agency "s or the rating of similar level of one of other rating agencies, and affiliates of this bank - no more than 10 (ten) percent from the amount of the assets calculated according to Item 34 of Standard rates;

Total 4) book value of investments into securities (taking into account transactions "the return repo") and money in one legal entity, not being bank of the second level, and affiliates of this legal entity - no more than 10 (ten) percent from the amount of the assets calculated according to Item 34 of Standard rates;

5) transactions "the return repo", made with participation of assets of the insurance (reinsurance) organization, concluded for the term of no more than 30 (thirty) calendar days (in trade system of stock exchange) - no more than 30 (thirty) percent from the amount of the assets calculated according to Item 34 of Standard rates;

Total 6) placement in the affined precious metals and metal deposits, for the term of no more than 12 (twelve) months - no more than 10 (ten) percent from the amount of the assets calculated according to Item 34 of Standard rates;

Total 7) the size of loans to insurers of the insurance (reinsurance) organization performing activities for industry "life insurance" - no more than 10 (ten) percent from the amount of the assets calculated according to Item 34 of Standard rates;

8) total book value of investments into the securities (taking into account transactions "the return repo") having the status state, issued by the central government of foreign state - no more than 10 (ten) percent from the amount of the assets calculated according to Item 34 of Standard rates;

Total 9) book value of investments into securities (taking into account transactions "the return repo") international financial institution which is included into the list, stipulated in Item 39 Standard rates, - no more than 10 (ten) percent from the amount of the assets calculated according to Item 34 of Standard rates;

Total 10) book value of investments into the shares conforming to requirements of subitems 23) and 24) of Item 38 of Standard rates less reserve under impairment - no more than 10 (ten) percent from the amount of the assets calculated according to Item 34 of Standard rates;

Total 11) book value of investments into shares of open and interval mutual investment funds, less reserve under impairment - no more than 5 (five) percent from the amount of the assets calculated according to Item 34 of Standard rates;

Total 12) book value of investments into the debt securities issued by local executive bodies of the Republic of Kazakhstan taking into account the amounts of principal debt and the added remuneration, less reserve under impairment - no more than 10 (ten) percent from the amount of the assets calculated according to Item 34 of Standard rates;

Total 13) book value of investments into the instruments of Islamic financing conforming to requirements of subitems 25) and 26) of Item 38 of Standard rates less reserve under impairment - no more than 10 (ten) percent from the amount of the assets calculated according to Item 34 of Standard rates.

Investments of the insurance (reinsurance) organization into debt securities do not exceed 25 (twenty five) percent from the total amount of bonds of one issue of bank of the second level of the Republic of Kazakhstan.

When calculating the standard rates of asset diversification specified in subitems 1), 2) and 3) of this Item, total placement in assets of bank of the second level and its affiliates is reflected in one of standard rates depending on the greatest admissible limit of placement of assets in this group of affiliates.";

2) of Item 45 to state the subitem in the following edition:

"2) repo transactions are made by automatic method.";

third of Item 46 to state part in the following edition:

"In case of group insurance, and also under agreements of compulsory insurance of the worker from accidents in case of execution of labor (office) obligations by it, compulsory insurance of the tourist, the calculation specified in part two of this Item is performed on everyone insured separately.";

state Item 56 in the following edition:

"56. The stabilization reserve on the classes "accidents insurance", "sickness insurance", "compulsory insurance of the tourist", "life insurance", "annuity insurance" is equal to 0 (zero).";

in the List, forms, terms of submission of the reporting on accomplishment of the prudential standard rates by the insurance (reinsurance) organizations and insurance groups approved by the specified resolution:

To state the report on accomplishment of prudential standard rates by the insurance (reinsurance) organization on form according to appendix 1 in edition according to appendix 9 to the List;

To state the report on calculation of reserve of unexpected risks on form according to appendix 2 in edition according to appendix 10 to the List;

To state the report on calculation of stabilization reserve on form according to appendix 3 in edition according to appendix 11 to the List;

To state the report on accomplishment of the standard rate of sufficiency of margin of solvency of insurance group on form according to appendix 4 in edition according to appendix 12 to the List;

in Requirements to the shares acquired by the insurance (reinsurance) organizations, the affiliated organizations of the insurance (reinsurance) organizations or insurance holdings (to shares in the authorized capital) the legal entities approved by the specified resolution:

state Item 2 in the following edition:

"2. The insurance (reinsurance) organizations, the affiliated organizations of the insurance (reinsurance) organizations or insurance holdings acquire shares (shares in the authorized capital) legal entities in case of compliance of the acquired shares (shares in the authorized capital) legal entities to the following requirements:

1) shares of legal entities - nonresidents of the Republic of Kazakhstan, the having price quotations of the active market necessary for assessment of fair value and depositary receipts which underlying asset are these shares;

2) shares of legal entities - residents of the Republic of Kazakhstan, included in the official listing of stock exchange, included in the official listing of the stock exchange performing activities in the territory of the Republic of Kazakhstan and depositary receipts, basic assets of which are these shares;

3) shares of legal entities - residents of the Republic of Kazakhstan, nominated in foreign currency, admitted to public trading on the stock exchange functioning in the territory of the International financial center "Astana" and depositary receipts, basic assets of which are these shares;

4) the shares of legal entities of the Republic of Kazakhstan and foreign issuers which are part of the main stock indexes, and depositary receipts which underlying asset are these shares;

5) shares of "Fund of Guaranteeing Insurance Payments." joint-stock company;

in the Minimum required rating for the bonds acquired by insurance holdings, and the list of rating agencies approved by the specified resolution:

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

"3) rating assessment is not lower "In -" on the international scale or not below "kzBB-" on national scale of Standard & Poor rating agency "s, or rating assessment of similar level of Moody rating agencies" of s Investors Service, Fitch, and also their affiliated rating organizations, on the bonds issued by the organizations of the Republic of Kazakhstan according to the legislation of the Republic of Kazakhstan and other states.";

in the List of the financial instruments (except for shares and shares in the authorized capital) acquired by the insurance (reinsurance) organizations, approved by the specified resolution:

state Item 1 in the following edition:

"1. According to the subitem 2) of item 4 of article 48 of the Law of the Republic of Kazakhstan of December 18, 2000 "About insurance activity" the following financial instruments are resolved the insurance (reinsurance) organizations to acquisition (except for shares and shares in the authorized capital):

1) deposits in banks of the second level of the Republic of Kazakhstan in case of compliance to one of the following conditions:

banks are issuers whose shares are included in category "premium" of the sector of "share" of the Main platform of the official listing of stock exchange or are in the representative list of the stock exchange index;

banks have long-term credit rating not below "In -" on the international scale of the Standard & Poor agency "s or the rating of similar level of one of other rating agencies, or rating assessment not below "kzBB-" on national scale of Standard & Poor" s, or the rating of similar level on national scale of the Moody agencies "s Investors Service, Fitch, and also their affiliated rating organizations (further - other rating agencies);

banks are affiliated resident banks of the Republic of Kazakhstan which parent nonresident bank of the Republic of Kazakhstan has long-term credit rating not below "And -" on the international scale of the Standard & Poor agency "s or the rating of similar level of one of other rating agencies;

2) the deposits placed in the international financial institutions having long-term rating is not lower than "AA-" of the Standard & Poor agency "s or the rating of similar level of one of other rating agencies, the deposits placed in Eurasian Development Bank in national currency of the Republic of Kazakhstan;

3) the deposits placed in the nonresident banks having long-term rating is not lower than "VVV-" on the international scale of the Standard & Poor agency "s or the rating of similar level of one of other rating agencies;

4) government securities of the Republic of Kazakhstan, including emitted according to the legislation of other states, issued by the Ministry of Finance of the Republic of Kazakhstan and National Bank of the Republic of Kazakhstan;

5) the debt securities issued by local executive bodies of the Republic of Kazakhstan, included in the official listing of the stock exchange performing activities in the territory of the Republic of Kazakhstan;

6) the debt securities issued by the legal entity performing the redemption of mortgage loans of the physical persons which are not connected with business activity which hundred percent of shares belong to National Bank of the Republic of Kazakhstan;

7) the debt securities issued by joint-stock companies "Development Bank of Kazakhstan", "National welfare fund "Samruk-Kazyna", "National managing holding "Bayterek", "Fund of the Problem Credits" according to the legislation of the Republic of Kazakhstan and other states;

8) debt securities according to which the state warranty of the Government of the Republic of Kazakhstan is had;

9) the non-state debt securities of legal entities of the Republic of Kazakhstan included in the official listing of the stock exchange performing activities in the territory of the Republic of Kazakhstan;

10) the non-state debt securities of legal entities of the Republic of Kazakhstan nominated in foreign currency and admitted to public trading on the stock exchange functioning in the territory of the International financial center "Astana";

11) the debt securities issued by the following international financial institutions:

Asian Development Bank (Asian Development Bank);

 Inter-American Development Bank (Inter-American Development Bank);

African development bank (African Development Bank);

Eurasian Development Bank;

European Bank for Reconstruction and Development (European Bank for Reconstruction and Development);

European Investment Bank (European Investment Bank);

Development bank of the European Council (Council of Europe Development Bank);

Islamic corporation on private sector development (the Islamic Corporation for the Development of the Private Sector);

Islamic development bank (Islamic Development Bank);

Multilateral agency of guarantee of investments (Multilateral Investment Guarantee Agency);

Scandinavian investment bank (Nordic Investment Bank);

International Monetary Fund (International Monetary Fund);

International Development Association (International Development Association);

International settlements bank (Bank for International Settlements);

International Centre for Settlement of Investment Disputes (International Centre for Settlement of Investment Disputes);

International Bank for Reconstruction and Development (International Bank for Reconstruction and Development);

International Finance Corporation (International Finance Corporation);

12) the debt securities having the status state, issued by the central governments of the foreign states having sovereign rating is not lower "In -" on the international scale of the Standard & Poor agency "s or the rating of similar level of one of other rating agencies;

13) the non-state debt securities issued by foreign issuers, having rating assessment not below "In -" on the international scale of the Standard & Poor agency "s or the rating of similar level of one of other rating agencies;

14) the affined precious metals and metal deposits;

15) the securities of investment funds included in the official listing of stock exchange;

16) shares of Exchange Traded Funds (ETF) which structure of assets repeats structure of one of the main stock indexes or pricing on shares of which is tied to the main stock indexes;

17) shares of Exchange Traded Funds (ETF), Exchange Traded Commodities (ETC), Exchange Traded Notes (ETN) having rating assessment not below "3 stars" of Morningstar rating agency;

18) instruments of Islamic financing with rating security valuation and (or) the issuer not below "B-" on the international scale of the Standard & Poor agency "s or rating assessment of similar level of one of other rating agencies;

19) the instruments of Islamic financing of legal entities of the Republic of Kazakhstan issued according to the legislation of the Republic of Kazakhstan and other states which parent organizations have rating assessment not below "VVV-" on the international scale of the Standard & Poor agency "s or rating assessment of similar level of one of other rating agencies.".

10. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of December 26, 2016 No. 307 "About establishment of the prudential standard rate for the National operator of mail, and also form, term of submission of the reporting on its accomplishment" (it is registered in the Register of state registration of regulatory legal acts at No. 14786, it is published on February 28, 2017 in Reference control bank of regulatory legal acts of the Republic of Kazakhstan) the following changes:

state Item 7 in the following edition:

"7. The report on paper as of reporting date is signed by the first head, the chief accountant of the National operator of mail or persons replacing them and stored at the National operator of mail.

Identity of the data represented in electronic format, to data on paper is provided with the first head, the chief accountant of the National operator of mail or persons replacing them.";

To state the report on accomplishment of the prudential standard rate on form according to appendix 1 in edition according to appendix 13 to the List.

11. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of December 26, 2016 No. 308 "About establishment of prudential standard rates and others obligatory to observance by the mortgage organizations and affiliated organizations of national managing holding in the field of agro-industrial complex of regulations and limits, and also the list, forms and rules of submission of the reporting on their accomplishment" (it is registered in the Register of state registration of regulatory legal acts at No. 14788, it is published on February 28, 2017 in Reference control bank of regulatory legal acts of the Republic of Kazakhstan) the following changes:

in Prudential standard rates and others obligatory to observance by the mortgage organizations and affiliated organizations of national managing holding in the field of agro-industrial complex the regulations and limits approved by the specified resolution:

1) of Item 43 to state the subitem in the following edition:

"1) short-term obligations before branches and representative offices of the foreign companies performing the activities in the territory of the Republic of Kazakhstan which enter sectors of economy the code "5" - other financial organizations, the code "6" - the state non-financial organizations, the code "7" - the non-state non-financial organizations and the code "8" - the non-profit organizations servicing households, according to the Instruction for representation of the second level by banks, Development bank of Kazakhstan and the mortgage organizations in National Bank of the Republic of Kazakhstan of data for forming of the overview of the financial sector approved by the resolution of Board of National Bank of the Republic of Kazakhstan of June 29, 2018 No. 139, registered the Register of state registration of regulatory legal acts at No. 17274 (further - the Instruction No. 139);";

third to state the paragraph to part two of Item 44 in the following edition:

"obligations to branches and representative offices of the foreign companies performing the activities in the territory of the Republic of Kazakhstan which enter sectors of economy the code "5" - other financial organizations, the code "6" - the state non-financial organizations, the code "7" - the non-state non-financial organizations and the code "8" - the non-profit organizations servicing households according to the Instruction No. 139;";

third to state the paragraph to part two of Item 45 in the following edition:

"obligations to branches and representative offices of the foreign companies performing the activities in the territory of the Republic of Kazakhstan which enter sectors of economy the code "5" - other financial organizations, the code "6" - the state non-financial organizations, the code "7" - the non-state non-financial organizations and the code "8" - the non-profit organizations servicing households according to the Instruction No. 139;";

To state the report on accomplishment of prudential standard rates on form according to appendix 3 to the specified resolution in edition according to appendix 14 to the List;

On form according to appendix 4 to the specified resolution to state the report on disaggregation of the assets weighed taking into account credit risk in edition according to appendix 15 to the List;

On form according to appendix 5 to the specified resolution to state the report on disaggregation of the contingent and possible obligations weighed taking into account credit risk in edition according to appendix 16 to the List.

12. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of August 28, 2017 No. 167 "About approval of the list, forms, terms of the reporting of the single accumulation pension fund and Rules of their representation" (it is registered in the Register of state registration of regulatory legal acts at No. 15863, it is published on October 20, 2017 in Reference control bank of regulatory legal acts of the Republic of Kazakhstan) the following changes:

To state the report on the cost of pension assets on form according to appendix 2 in edition according to appendix 17 to the List;

To state the report on structure of investment portfolio of pension assets on form according to appendix 3 in edition according to appendix 18 to the List;

On form according to appendix 4 to state the report on the assets which are in external management in edition according to appendix 19 to the List;

To state the report on amounts of pension accruals and the number of individual retirement accounts of investors/receivers of compulsory pension contributions on form according to appendix 5 in edition according to appendix 20 to the List;

To state the report on amounts of compulsory pension contributions of the employer and the number of conditional retirement accounts of physical persons on form according to appendix 6 in edition according to appendix 21 to the List;

To state the report on amounts of pension accruals and the number of individual retirement accounts of investors/receivers of voluntary pension contributions on form according to appendix 7 in edition according to appendix 22 to the List;

To state the report on amounts of pension accruals and the number of individual retirement accounts of investors/receivers of compulsory professional pension contributions on form according to appendix 8 in edition according to appendix 23 to the List;

In form according to appendix 9 to state the report on amounts of pension accruals and the number of individual retirement accounts of investors/receivers of compulsory pension contributions on the areas of the Republic of Kazakhstan (at the place of residence of the investor/receiver) in edition according to appendix 24 to the List;

In form according to appendix 10 to state the report on amounts of compulsory pension contributions of the employer and the number of conditional retirement accounts of physical persons on the areas of the Republic of Kazakhstan (at the place of residence of physical person) in edition according to appendix 25 to the List;

In form according to appendix 11 to state the report on amounts of pension accruals and the number of individual retirement accounts of investors/receivers of voluntary pension contributions on the areas of the Republic of Kazakhstan (at the place of residence of the investor/receiver) in edition according to appendix 26 to the List;

In form according to appendix 12 to state the report on amounts of pension accruals and the number of individual retirement accounts of investors/receivers of compulsory professional pension contributions on the areas of the Republic of Kazakhstan (at the place of residence of the investor/receiver) in edition according to appendix 27 to the List;

To state the report on retirement benefits on the compulsory pension contributions compulsory for professional pension contributions, voluntary pension contributions on form according to appendix 13 in edition according to appendix 28 to the List;

To state the report on retirement benefits on compulsory pension contributions of the employer on form according to appendix 14 in edition according to appendix 29 to the List;

On form according to appendix 15 to state the report on the securities acquired at the expense of own assets in edition according to appendix 30 to the List;

The return repo and repo made at the expense of own assets in form according to appendix 16 to state the operations statement in edition according to appendix 31 to the List;

And the cash equivalents placed at the expense of own assets in form according to appendix 17 to state the report on deposits and money in edition according to appendix 32 to the List;

To state the report on investments into the capital of other legal entities on form according to appendix 18 in edition according to appendix 33 to the List;

To state the report on committed transactions on investment of own assets on form according to appendix 19 in edition according to appendix 34 to the List;

On form according to appendix 20 to state the report on the financial instruments of the issuers who allowed default, acquired at the expense of pension assets in edition according to appendix 35 to the List.

13. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of September 13, 2017 No. 170 "About establishment of normative values and techniques of calculations of prudential standard rates and other regulations, obligatory to observance, and limits of the size of the capital of bank for certain date and Rules of calculation and limits of open foreign exchange position" (it is registered in the Register of state registration of regulatory legal acts at No. 15886, it is published on October 25, 2017 in Reference control bank of regulatory legal acts of the Republic of Kazakhstan) the following changes:

in Normative values and techniques of calculations of prudential standard rates and other regulations, obligatory to observance, and the limits of the size of the capital of bank for certain date approved by the specified resolution:

state Items 6 and 7 in the following edition:

"6. Sufficiency of equity of bank is characterized by the following coefficients:

1) coefficient of sufficiency of fixed capital of k1:

relation of fixed capital to the amount:

assets, contingent and possible obligations weighed on degree of credit risk;

assets, conditional and possible requirements and obligations calculated taking into account market risk;

operational risk;

2) capital adequacy ratio of the first k1-2 level:

relation of the capital of the first level to the amount:

assets, contingent and possible obligations weighed on degree of credit risk;

assets, conditional and possible requirements and obligations calculated taking into account market risk;

operational risk;

3) coefficient of sufficiency of equity of k2:

equity relation to the amount:

assets, contingent and possible obligations weighed on degree of credit risk;

assets, conditional and possible requirements and obligations calculated taking into account market risk;

operational risk.

The assets, contingent and possible obligations weighed on the risk degrees taken into consideration of coefficients of k 1, k1-2 and k2 join less the reserves created according to international accounting standards (further - IFRS).

Values of capital adequacy ratios are determined as the amount of the values established according to Values of capital adequacy ratios according to appendix 2 to Standard rates.

In addition to values of coefficients of sufficiency of equity the following values of buffers of equity are established:

the requirement to the conservation buffer is fulfilled on permanent basis and constitutes:

for all banks:

since January 1, 2015 - 1 (one) percent;

since January 1, 2016 - 1 (one) percent;

since January 1, 2017 - 2 (two) percent;

for systemically important banks:

since January 1, 2015 - 2,5 (two whole five tenth) percent;

since January 1, 2016 - 2,5 (two whole five tenth) percent;

since January 1, 2017 - 3 (three) percent;

which counter-cyclical buffer, the size and terms of introduction are established by Standard rates at least in 12 (twelve) months prior to start date of calculation of the counter-cyclical buffer. The range of the size of the counter-cyclical buffer constitutes from 0 (zero) percent to 3 (three) percent from the amount of assets, contingent and possible obligations weighed taking into account risks;

the system buffer, the requirement to which calculation extends to the systemically important banks recognized as those according to Rules of reference of the financial organizations to number backbone, approved by the resolution of Board of National Bank of the Republic of Kazakhstan of December 24, 2014 No. 257, registered in the Register of state registration of regulatory legal acts at No. 10210. The requirement to the system buffer is fulfilled since January 1, 2017 on permanent basis and constitutes 1 (one) percent from the amount of assets, contingent and possible obligations weighed taking into account risks;

the regulatory buffer is calculated as the relation of positive difference between provisions (reserves) calculated according to the Management on forming of provisions (reserves) under asset impairment of bank in the form of loans and receivables according to appendix 1 to Standard rates and the provisions (reserves) created and reflected in financial accounting of bank according to IFRS and requirements of the legislation of the Republic of Kazakhstan about financial accounting and the financial reporting (further - positive difference) to the amount:

assets, contingent and possible obligations weighed on degree of credit risk;

assets, conditional and possible requirements and obligations calculated taking into account market risk;

operational risk.

For the purposes of calculation of positive difference of provisions (reserves) calculated according to the Management on forming of provisions (reserves) under asset impairment of bank in the form of loans and receivables according to appendix 1 to Standard rates monthly decrease by the amount of provisions (reserves) on completely extinguished and (or) written off loans and receivables after the last settlement date of provisions (reserves) according to the Management on forming of provisions (reserves) under asset impairment of bank in the form of loans and receivables according to appendix 1 to Standard rates.

The positive difference is calculated on loans and receivables on which provisions (reserves) according to the Management on forming of provisions (reserves) under asset impairment of bank in the form of loans and receivables according to appendix 1 to Standard rates are expected the last date of their calculation.

When calculating positive difference the sum of provisions calculated according to the Management for forming of provisions (reserves) under asset impairment of bank in the form of loans and receivables according to appendix 1 to Standard rates joins in the amount of, not exceeding debt on loan and (or) receivables without provisions (reserves).

The positive difference corrected by results of check of authorized body is considered when calculating the regulatory buffer from the reporting date following month under report.

If the actual values of coefficients of the capital of k 1, k1-2 and k2 bank are not lower than the capital adequacy ratios established according to Values according to appendix 2 to Standard rates, but at the same time any of the provided coefficients below what the established values of capital adequacy ratios taking into account equity buffers (except for the regulatory buffer), then on use of retained net income of bank restriction according to the Minimum amount of restriction of retained net income according to appendix 3 to Standard rates, regarding the termination of dividend payout and the return share repurchase, except as specified, provided by the Law of the Republic of Kazakhstan of May 13, 2003 "About joint-stock companies" is imposed.

On the banks having positive difference, and the actual values of capital adequacy ratios (which k 1, k1-2 and k 2) any of the provided coefficients below what the established values of capital adequacy ratios taking into account equity buffers is not lower than the capital adequacy ratios established according to Values according to appendix 2 to Standard rates, but at the same time, restriction for use of retained net income according to the Minimum amount of restriction of retained net income according to appendix 3 to Standard rates, regarding the termination of dividend payout and the return share repurchase, except as specified, provided by the Law of the Republic of Kazakhstan of May 13, 2003 "About joint-stock companies" is imposed.

In case of the case provided in parts ten of this Item, bank and (or) its shareholders, bank holding and (or) its large participants develop and represent to authorized body for approval the actions plan which, without being limited to following, contains the following information about (about):

the actions for capitalization of bank to the level sufficient for covering of positive difference including including replenishment of the authorized capital, and (or) increase in net retained earnings, and (or) the redemption by shareholders of doubtful and (or) bad assets;

actions no more than 5 years for step-by-step improvement of quality of assets and return of problem debt, including the following measures:

repayment of problem debt for the account of mortgage providing and subsequent its realization or acceptance of collateral mortgage security;

realization and (or) concession of the right (requirement) for the agreement of bank loan of the affiliated organization of bank acquiring doubtful and bad assets of parent bank, to the collection agencies, banks, the organizations performing separate types of banking activities, to the organizations, specializing in improvement of quality of credit portfolios of banks of the second level, the special finance company created according to the legislation of the Republic of Kazakhstan on project financing and securitization in case of the transaction of securitization;

realization and (or) transfer of assets to the third parties;

the financial model of bank for at least 5 years by every year constituted taking into account the development strategy of bank approved by authorized body of bank;

obligations assumed by bank and (or) its shareholders, bank holding and (or) large participants during action of the actions plan;

completion dates of the actions plan on each its Item;

the list of the leading employees responsible for execution of the actions plan (with indication of the leading employees responsible for execution for each Item of the actions plan).

In case of actions plan overfulfillment in the accounting period offsetting of execution of the actions plan in the next accounting period is allowed.

In case of non-compliance with the actions plan the authorized body applies measures of supervising reaction according to the bank law of the Republic of Kazakhstan.

Values of coefficients of sufficiency of equity taking into account buffers of equity are reached at the expense of components of fixed capital which list is stipulated in Item 10 Standard rates.

The size of buffers of equity calculated according to requirements of Standard rates is not reflected in financial accounting.

Values of coefficients of sufficiency of equity and buffers of equity, except for the regulatory buffer, are reviewed by authorized body at least 1 (one) time in 3 (three) years.

7. The equity is calculated as capital sum of the first level and the capital of the second level.";

1) of Item 10 to state the subitem in the following edition:

"1) fixed capital is calculated as the amount:

the paid common shares corresponding to the criteria established in Criteria for classification of tools within equity of bank according to appendix 4 to Standard rates;

supplementary paid-in capital;

retained net profit of last years;

retained net profit of the current year;

the cumulative opened reserve determined as the amount of remaining balance on the balance sheet account 3510 "Reserve capital" of the Standard chart of accounts of financial accounting in banks of the second level, the mortgage organizations and Development Bank of Kazakhstan joint-stock company approved by the resolution of Board of National Bank of the Republic of Kazakhstan of January 31, 2011 No. 3, registered in the Register of state registration of regulatory legal acts at No. 6793 (further - the Standard chart of accounts);

reserves of revaluation of fixed assets and reserves of revaluation of cost of the securities carried at fair value through other comprehensive income;

reserves of revaluation of cost of the loans carried at fair value through other comprehensive income;

minus the following regulatory adjustments:

own redeemed common shares;

intangible assets, including goodwill;

losses of last years and losses of the current year;

deferred tax asset, except for parts of the deferred tax assets recognized concerning deductible temporary differences;

reserves on other revaluation;

the sales returns connected with transactions on securitization of assets. The deferred revenue in connection with the expectation of the complete or partial income in the future received from securitization conditions belongs to such income;

the income or losses from change of fair value of the financial liability in connection with change of credit risk according to such obligation;

the regulatory adjustments which are deductible from the added capital, but in connection with its insufficient level subtracted from fixed capital;

the investments specified in Item 11 of Standard rates.";

1) to state the subitem to part one of Item 25 in the following edition:

"1) on coefficient 0 (zero) percent - the financial instruments with market risk connected with change of rate of remuneration in the form of the government securities of the Republic of Kazakhstan issued by the Government of the Republic of Kazakhstan and National Bank of the Republic of Kazakhstan (further - National Bank), securities on which the state warranty of the Government of the Republic of Kazakhstan, the securities having the status state, issued by the central governments and Central Banks of foreign states which sovereign rating is not lower than "AA-" of the Standard & Poor agency" s or the rating of similar level of one of other rating agencies, securities issued by joint-stock company "National welfare fund "Samruk-Kazyna" and National Managing Holding Bayterek; joint-stock company is had;

state Item 55 in the following edition:

"55. If the state (on behalf of authorized body, authorized body on state-owned property) or the foreign state is large member of 2 (two) and more legal entities, the extent of risk concerning such group is not calculated as the extent of risk on one borrower if there are no other large participants, and also circumstances, stipulated in Item 54 Standard rates according to which the extent of risk concerning this group of borrowers should be expected in total as the extent of risk one borrower.";

the second Item 57 to state part in the following edition:

"On one borrower do not join in calculation of risk:

requirements to the Government of the Republic of Kazakhstan, National Bank, the legal entity performing the redemption of mortgage loans of the physical persons which are not connected with business activity which hundred percent of shares belong to National Bank, joint-stock company "National welfare fund "Samruk-Kazyna", to joint-stock company "National managing holding "Bayterek", special finance company of Fund of Stressful Assets joint-stock company, the requirements of bank to the borrower which are written off from balance of bank, the requirement of bank to the borrower on which hundred percent of reserves according to IFRS are created;

requirements for securities according to which the state warranty of the Government of the Republic of Kazakhstan is had;

requirements of bank to the affiliated organization;

requirements of bank to the legal entity, earlier being the subsidiary bank which performed restructuring and transaction on simultaneous transfer of assets and obligations to parent bank according to the Law on banks.";

state Item 65 in the following edition:

"65. Join in calculation of highly liquid assets:

1) cash;

2) money on accounts in the central depositary;

3) the money of bank which is fees in guarantee or reserve funds of the clearing organization (the central partner), mid-flight fees, complete and (or) partial ensuring obligation fulfillment according to the bargains concluded in trade system of stock exchange by method of open tenderings and (or) with participation of the central partner;

4) the affined precious metals;

5) the government securities of the Republic of Kazakhstan issued by the Government of the Republic of Kazakhstan and National Bank, the securities issued by joint-stock company "National welfare fund "Samruk-Kazyna" and joint-stock company "National managing holding "Bayterek", securities issued by the legal entity performing the redemption of mortgage loans of the physical persons which are not connected with business activity which hundred percent of shares belong to National Bank;

6) securities on which the state warranty of the Government of the Republic of Kazakhstan is had;

7) on-demand deposits in National Bank, in banks of the Republic of Kazakhstan, and also in the nonresident banks having long-term debt rating is not lower than "VVV-" of the Standard & Poor agency "s or the rating of similar level of one of other rating agencies;

8) the deposits placed for one night in banks of the Republic of Kazakhstan and also in the nonresident banks having long-term debt rating are not lower than "VVV-" of the Standard & Poor agency "s or the rating of similar level of one of other rating agencies;

9) government securities of the countries having sovereign long-term rating in foreign currency is not lower than the level, the Board of National Bank of the Republic of Kazakhstan established by the resolution of November 29, 2017 No. 234 "About establishment of the list of international financial institutions which bonds banks and bank holdings acquire in property, and requirements to bonds which banks and bank holdings acquire in property", registered in the Register of state registration of regulatory legal acts at No. 16149;

10) the bonds of foreign issuers having rating is not lower than "VVV-" (on classification of Standard & Poor rating agencies "s and (or) Fitch) or Vaaz (on classification of Moody rating agency" is not lower than s Investors Service);

11) term deposits in National Bank from repayment period to 7 (seven) calendar days;

12) the loans "overnight" granted the resident banks and nonresidents of the Republic of Kazakhstan having long-term debt rating is not lower than "VVV-" of Standard & Poor rating agency "s or the rating of similar level of one of other rating agencies.";

1) Item 75 to state the subitem to part one in the following edition:

"1) requirements to local executive bodies of the Republic of Kazakhstan, including government securities issued by local executive bodies of the Republic of Kazakhstan (except for the issued local executive bodies of the cities of Nour-Sultan and Almaty), requirements to which are weighed on degree of credit risk of 20 (twenty) percent according to the Table of the assets of bank weighed on degree of credit risk of investments according to appendix 5 to Standard rates;";

the second Item 80 to state part in the following edition:

"The amount of available stable funding is calculated as the amount of obligations, according to data of the balance sheet, and equity to deduction of the investments specified in Item 11 of the Standard rates increased by the coefficients of available stable funding established in the Table of obligations of available stable funding according to appendix 15 to Standard rates.";

in the Management on forming of provisions (reserves) under asset impairment of bank in the form of loans and receivables according to appendix 1:

the fifth Item 1 to state part in the following edition:

"The subsequent calculation of provisions (reserves) for assets of bank is perfromed as of July 1, 2018 with frequency at least 1 (one) time in six months.";

Tables at the assets of bank weighed on degree of credit risk of investments according to appendix 5 to state in edition according to appendix 36 to the List;

To state the list of organizers of the biddings recognized by the international stock exchanges according to appendix 8 in edition according to appendix 37 to the List;

The table of obligations of available stable funding according to appendix 15 to state in edition according to appendix 38 to the List.

14. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of April 27, 2018 No. 79 "About establishment of types of prudential standard rates, and also the indicators characterizing respect for their values for the organizations exercising control of investment portfolio, approval of Rules of calculation of values of the prudential standard rates which are subject to observance by the organizations exercising control of investment portfolio" (it is registered in the Register of state registration of regulatory legal acts at No. 17008, it is published on June 12, 2018 in Reference control bank of regulatory legal acts of the Republic of Kazakhstan) the following changes and amendment:

in Rules of calculation of values of the prudential standard rates which are subject to observance by the organizations exercising control of investment portfolio, approved by the specified resolution:

state Item 10 in the following edition:

"10. For the purposes of Rules international financial institutions are understood as the following organizations:

Asian Development Bank (Asian Development Bank);

Inter-American Development Bank (Inter-American Development Bank);

African development bank (African Development Bank);

Eurasian Development Bank;

European Bank for Reconstruction and Development (European Bank for Reconstruction and Development);

European Investment Bank (European Investment Bank);

Development bank of the European Council (Council of Europe Development Bank);

Islamic corporation on private sector development (the Islamic Corporation for the Development of the Private Sector);

Islamic development bank (Islamic Development Bank);

Multilateral agency of guarantee of investments (Multilateral Investment Guarantee Agency);

Scandinavian investment bank (Nordic Investment Bank);

International Monetary Fund (International Monetary Fund);

International Development Association (International Development Association);

International settlements bank (Bank for International Settlements);

International Centre for Settlement of Investment Disputes (International Centre for Settlement of Investment Disputes);

International Bank for Reconstruction and Development (International Bank for Reconstruction and Development);

International Finance Corporation (International Finance Corporation).";

add with Item 10-1 of the following content:

"10-1. For the purposes of Rules the main stock indexes are understood as the following settlement indicators (indexes):

CAC 40 (Compagnie des Agents de Change 40 Index);

DAX (Deutscher Aktienindex);

DJIA (Dow Jones Industrial Average);

EURO STOXX 50 (EURO STOXX 50 Price Index);

FTSE 100 (Financial Times Stock Exchange 100 Index);

HSI (Hang Seng Index);

KASE (Kazakhstan Stock Exchange Index);

MSCI World Index (Morgan Stanley Capital International World Index);

MOEX Russia (Moscow Exchange Russia Index);

NIKKEI 225 (Nikkei-225 Stock Average Index);

RTSI (Russian Trade System Index);

S&P 500 (Standard and Poor "s 500 Index);

TOPIX 100 (Tokyo Stock Price 100 Index);

NASDAQ-100 (Nasdaq-100 Index).";

state Item 14 in the following edition:

"14. In calculation of quick assets, stipulated in Item 11 Rules, do not join:

1) the assets which are providing according to obligations of the managing director of investment portfolio and (or) on which the property right of the managing director of investment portfolio is limited (except for transactions of repo).

The securities which are subject of transaction of the return repo join in calculation of quick assets of the managing director of investment portfolio in the amounts specified in calculation of values of prudential standard rates of the managing director of investment portfolio for form according to appendix to Rules;

2) the securities issued by the legal entities who are affiliates in relation to the managing director of investment portfolio, except for the shares entering the official listing of stock exchange which parameters are used for the purpose of calculation of index of the stock market of stock exchange (the representative list of stock exchange).";

To state calculation of values of prudential standard rates of the managing director of investment portfolio for form according to appendix in edition according to appendix 39 to the List.

15. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of April 27, 2018 No. 80 "About establishment of types of prudential standard rates, and also the indicators characterizing respect for their values for the organizations performing broker and (or) dealer activities in the security market, approval of Rules of calculation of values of the prudential standard rates which are subject to observance by the organizations performing broker and (or) dealer activities in the security market" (it is registered in the Register of state registration of regulatory legal acts at No. 17005, it is published on June 13, 2018 in Reference control bank of regulatory legal acts of the Republic of Kazakhstan) the following changes and amendment:

in Rules of calculation of values of the prudential standard rates which are subject to observance by the organizations performing broker and (or) dealer activities in the security market, approved by the specified resolution:

add with Item 8-1 of the following content:

"8-1. For the purposes of Rules the main stock indexes are understood as the following settlement indicators (indexes):

CAC 40 (Compagnie des Agents de Change 40 Index);

DAX (Deutscher Aktienindex);

DJIA (Dow Jones Industrial Average);

EURO STOXX 50 (EURO STOXX 50 Price Index);

FTSE 100 (Financial Times Stock Exchange 100 Index);

HSI (Hang Seng Index);

KASE (Kazakhstan Stock Exchange Index);

MSCI World Index (Morgan Stanley Capital International World Index);

MOEX Russia (Moscow Exchange Russia Index);

NIKKEI 225 (Nikkei-225 Stock Average Index);

RTSI (Russian Trade System Index);

S&P 500 (Standard and Poor "s 500 Index);

TOPIX 100 (Tokyo Stock Price 100 Index);

NASDAQ-100 (Nasdaq-100 Index).";

state Items 9 and 10 in the following edition:

"9. As quick assets of the broker and (or) dealer the assets specified in calculation of values of prudential standard rates of the organization performing broker and (or) dealer activities in the security market for form according to appendix to Rules are recognized the corresponding amounts.

10. In calculation of quick assets, stipulated in Item 9 Rules, do not join:

1) the assets which are providing according to obligations of the broker and (or) the dealer and (or) on which the property right of the broker and (or) dealer is limited (except for transactions of repo).

The securities which are subject of transaction of the return repo join in calculation of quick assets of the broker and (or) dealer in the amounts specified in calculation of values of prudential standard rates of the organization performing broker and (or) dealer activities in the security market for form according to appendix to Rules;

2) the securities issued by the legal entities who are affiliates in relation to the broker and (or) the dealer, except for the shares entering the official listing of stock exchange which parameters are used for the purpose of calculation of index of the stock market of stock exchange (the representative list of stock exchange).";

state Items 15 and 16 in the following edition:

"15. As quick assets of DNPF own assets of DNPF specified in calculation of values of prudential standard rates of the organization performing broker and (or) dealer activities in the security market for form according to appendix to Rules are recognized the corresponding amounts.

16. In calculation of quick assets, stipulated in Item 15 Rules, do not join:

1) the assets which are providing according to obligations of DNPF and (or) on which the property right of DNPF is limited (except for transactions of repo).

The securities which are subject of transaction of the return repo join in calculation of quick assets of DNPF in the amounts specified in calculation of values of prudential standard rates of the organization performing broker and (or) dealer activities in the security market for form according to appendix to Rules;

2) the securities issued by the legal entities who are affiliates in relation to DNPF;

3) the securities issued by trustees in ten and more percent of the voting shares DNPF belonging to large shareholders of DNPF and affiliates of these trustees;

4) deposits and current accounts in the banks of the second level which are affiliates in relation to DNPF.";

exclude Item 17;

state Items 24 and 25 in the following edition:

"24. As quick assets of UIP1 or UIP2 the assets specified in calculation of values of prudential standard rates of the organization performing broker and (or) dealer activities in the security market for form according to appendix to Rules are recognized the corresponding amounts.

25. In calculation of quick assets of UIP1 or UIP 2, of stipulated in Item 24 Rules, do not join:

1) the assets which are providing according to obligations of UIP1 or UIP2 and (or) on which the property right of UIP1 or UIP2 is limited (except for transactions of repo).

The securities which are subject of transaction of the return repo join in calculation of quick assets of UIP1 or UIP2 in the amounts specified in calculation of values of prudential standard rates of the organization performing broker and (or) dealer activities in the security market for form according to appendix to Rules;

2) the securities issued by the legal entities who are affiliates in relation to UIP1 or UIP 2, except for of the shares entering the official listing of stock exchange which parameters are used for the purpose of calculation of index of the stock market of stock exchange (the representative list of stock exchange).";

state Item 27 in the following edition:

"27. Monthly, no later than 5 (fifth) working days of the month following month under report the broker and (or) the dealer, DNPF, UIP1 or UIP2 represent to authorized body calculation of values of prudential standard rates of the organization performing broker and (or) dealer activities in the security market for form according to appendix to Rules.";

For form according to appendix 1 to state calculation of values of prudential standard rates of the organization performing broker and (or) dealer activities in the security market in edition according to appendix 40 to the List;

exclude appendices 2 and 3.

16. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of December 28, 2018 No. 317 "About establishment of the factors influencing deterioration in financial position of bank and banking conglomerate and also approval of Rules of approval of the actions plan providing measures of early reaction, and the Technique of determination of the factors influencing deterioration in financial position of bank (banking conglomerate)" (it is registered in the Register of state registration of regulatory legal acts at No. 18186, it is published on January 24, 2019 in Reference control bank of regulatory legal acts of the Republic of Kazakhstan) the following changes:

9) parts one of Item 1 to exclude the subitem;

in the Rules of approval of the actions plan providing measures of early reaction, approved by the specified resolution:

subitems 2) and 3) Item 6izlozhit in the following edition:

"2) in case of identification of the factors provided by subitems 1), 2) and 7) of part one of Item 1 of this resolution by results of the stress testing which is carried out annually according to stressful scenarios of authorized body;

3) in case of identification of the factors provided by the subitem 1) of part one of Item 1 of this resolution during execution by bank of requirements imposed by authorized body within the applied measures for improvement of financial condition and (or) risk minimization of bank in connection with violation according to liquidity rates and coefficients of sufficiency of equity, suspension of action of the license for carrying out all banking and other activities and also in case of giving in authorized body of the petition on receipt of permission to voluntary reorganization or liquidation of bank.";

8) of Item 7 to exclude the subitem;

in the Technique of determination of the factors influencing deterioration in financial position of bank (banking conglomerate), approved by the specified resolution:

9) parts one of Item 3 to exclude the subitem.

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