Resolution of Board of the Agency of the Republic of Kazakhstan on regulation "About approval of Rules of submission of the reporting on accomplishment..."

The document ceased to be valid since June 13, 2015 according to item 4 of the Resolution of Board of National Bank of the Republic of Kazakhstan of May 8, 2015 No. 75

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 June 17, 2006 No. 136

About approval of Rules of submission of the reporting on accomplishment of prudential standard rates by banks of the second level

(as amended on 06-02-2017)

According to the subitem 6) of Item 1 of article 9 of the Law of the Republic of Kazakhstan "About state regulation and supervision of the financial market and the financial organizations", Item 3 of article 42 of the Law of the Republic of Kazakhstan "About banks and banking activity in the Republic of Kazakhstan" the Board of the Agency of the Republic of Kazakhstan on regulation and supervision of the financial market and the financial organizations (further - the Agency) DECIDES:

1. Approve the enclosed Rules of submission of the reporting on accomplishment of prudential standard rates by banks of the second level (dalee-Pravila).

2. This resolution becomes effective after fourteen days from the date of state registration in the Ministry of Justice of the Republic of Kazakhstan and its action extends to the relations which arose since July 1, 2006.

3. Banks of the second level represent disaggregation of the maximum limit of short-term obligations before nonresidents of the Republic of Kazakhstan as of April 1, 2006 according to appendix 22 to Rules with the reporting on accomplishment of prudential standard rates as of August 1, 2006 for fixing of the standard rate.

4. To department of strategy and analysis (Edenbayev E. S.):

1) together with Legal department (Baysynov M. B.) to take measures to state registration in the Ministry of Justice of the Republic of Kazakhstan of this resolution;

2) in ten-day time from the date of state registration in the Ministry of Justice of the Republic of Kazakhstan to bring this resolution to the attention of the interested divisions of the Agency, consolidation of legal entities "Association of Financiers of Kazakhstan", banks of the second level.

5. To department of the international relations and public relations (Pernebayev T. Sh.) take measures to the publication of this resolution in mass media of the Republic of Kazakhstan.

6. To impose control of execution of this resolution on the vice-chairman of the Agency Bakhmutova E. L.

Chairman

A. Dunayev

Approved by 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 June 17, 2006 No. 136

Rules of submission of the reporting on accomplishment of prudential standard rates by banks of the second level

These rules are developed according to the Law of the Republic of Kazakhstan of August 31, 1995 "About banks and banking activity in the Republic of Kazakhstan", the Law of the Republic of Kazakhstan of July 4, 2003 "About state regulation and supervision of the financial market and the financial organizations" and determine procedure for submission to Committee on control and supervision of the financial market and the financial organizations of National Bank of the Republic of Kazakhstan (further - authorized body) banks of the second level (further - banks) reports on accomplishment of the prudential standard rates obligatory to observance by banks.

1. Banks represent the following of the reporting on accomplishment of prudential standard rates by banks of the second level:

1) the report on accomplishment of prudential standard rates on form according to appendix 1 to these rules;

2) disaggregation of the assets weighed taking into account credit risk in form according to appendix 2 to these rules;

3) disaggregation of the contingent and possible obligations weighed taking into account credit risk in form according to appendix 3 to these rules;

4) disaggregation of conditional and possible requirements and obligations for the derivative financial instruments weighed taking into account credit risk in form according to appendix 4 to these rules;

5) disaggregation of calculation of specific interest risk (by currencies) in form according to appendix 5 to these rules;

6) distribution of open line items on time frames (by currencies) in form according to appendix 6 to these rules;

7) disaggregation of calculation of general interest risk (by currencies) in form according to appendix 7 to these rules;

8) disaggregation of the maximum risk on one borrower of risk in form according to appendix 11 to these rules;

9) disaggregation of the maximum risk on one borrower (by borrowers) in form according to appendix 11-1 to these rules;

10) disaggregation of coefficient of urgent liquidity of k4-1 in form according to appendix 12 to these rules;

11) disaggregation of coefficient of current liquidity of k4 in form according to appendix 12-1 to these rules;

12) disaggregation of coefficient of urgent liquidity of k4-2 in form according to appendix 13 to these rules;

13) disaggregation of coefficient of urgent liquidity of k4-3 in form according to appendix 14 to these rules;

14) disaggregation of coefficient of urgent currency liquidity of k4-4 in form according to appendix 15 to these rules;

15) disaggregation of coefficient of urgent currency liquidity of k4-5 in form according to appendix 16 to these rules;

16) disaggregation of coefficient of urgent currency liquidity of k4-6 in form according to appendix 16-1 to these rules;

17) the report on foreign exchange positions on each foreign currency and currency net position for each working day of week (month) in form according to appendix 20 to these rules;

18) calculation of average monthly size of internal assets and coefficient of placement of part of means in internal assets in form according to appendix 20-1 to these rules;

19) calculation of average monthly size of internal and other obligations for form according to appendix 20-2 to these rules;

20) additional data for calculation of prudential standard rates for form according to appendix 23 to these rules.

2. The reports specified in appendices 1, 20-1 and 20-2 to these rules are represented to authorized body on paper monthly no later than 18:00 hours of time of the city of Astana of the seventh working day of the month following month under report.

The reports specified in appendices 2, of 3, of 4, of 5, of 6, of 7, of 11, 11-1, 12, 12-1, 13, of 14, of 15, of 16, 16-1, 20, 23 to these rules are represented to authorized body on the electronic medium monthly no later than 18:00 hours of time of the city of Astana of the seventh working day of the month following month under report.

The report specified in appendix 20 to these rules is submitted in authorized body in addition on the electronic medium without confirmation on paper weekly no later than 18:00 hours of time of the city of Astana for the fifth working day of the week following reporting week.

The report specified in appendix 23 to these rules is submitted in authorized body in addition on the electronic medium without confirmation on paper daily no later than 18:00 hours of time of the city of Astana for the seventh working day following reporting date.

The reports specified in appendices 1, of 2, of 3, of 4, of 5, of 6, of 7, of 11, 11-1, 12, 12-1, 13, of 14, of 15, of 16, 16-1, 20, 20-1, 20-2, 23 to these rules as of reporting date are signed on paper by the first head of bank (for its absence - replacement his face), the chief accountant of bank, are certified by seal and stored in bank.

Upon the demand of authorized body the bank no later than two working days from the date of receipt of request represents the reporting as of certain date on paper.

3. Reports on the electronic medium are provided with use of transport system of the guaranteed delivery information with cryptographic remedies providing confidentiality and not adjustability of the represented data.

Identity of the data represented on the electronic medium on paper is provided to data with the first head of bank (in the period of its absence - person, it replacing) and the chief accountant.

3-1. In case of lack of data according to reports on accomplishment of prudential standard rates, the corresponding appendices are not represented.

3-2. In case of need modification and (or) amendments of the report, bank within three working days from the date of submission of the report represents to authorized body the written petition with explanation of the reasons of need of modification and (or) amendments.

In case of detection of incomplete and (or) unreliable information in the reporting provided by bank, the authorized body notifies on it bank. The bank no later than two working days from the date of the notification authorized body represents the reporting finished taking into account notes of authorized body.

4. Data in reports are specified in national currency of the Republic of Kazakhstan - tenge.

5. The unit of measure used in case of creation of reports is established in thousands of tenges. The amount less than five hundred tenges is rounded to zero, and the amount equal of five hundred tenges and above, is rounded to one thousand tenges. Coefficients are represented with three signs after comma.

6. The questions which are not settled by these rules are permitted according to the procedure, established by the legislation of the Republic of Kazakhstan.

Appendix 1

to Rules of submission of the reporting on accomplishment of prudential standard rates by banks of the second level

Form

Report on accomplishment of prudential standard rates
on "___" ___________ 20 __ years
________________________________________
(short bank name)

	Name	Amount
1	2	3
1	Authorized capital
2	Supplementary capital
3	Retained net income of last years
4	Funds the reserves created for the income account of last years
5	Intangible assets
6	Loss of the current year
7	Loss of last years
8
9	Total intermediate capital of 1 level
10	Termless financial instruments, and also the preferred shares included in calculation of the capital of 1 level
11	Total capital of 1 level
12	Retained net income of the current year
13	Income of the current year gained in financial year in which restructuring is complete
14	Expenses on the financial instruments issued (acquired) within restructuring
15
16	Revaluation of fixed assets and securities
17
17-1	The size of dynamic reserves which is not exceeding 1,25 of percent of the amount of the assets which are subject to weighing taking into account risk less not invested remaining balance of the means accepted on the terms of the custodial agreement
18	Termless financial instruments, and also the preferred shares included in 2 levels in calculation of the capital
19	The subordinated debt of bank minus the redeemed own subordinated debt of bank included in 2 levels in the capital according to Items 11 and 12 of the Instruction on normative values and the technique of calculations of prudential standard rates for banks of the second level approved by 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 September 30, 2005 No. 358 (registered in the Register of state registration of regulatory legal acts of the Republic of Kazakhstan on November 7, 2005 at No. 3924) (further - the Instruction), part which does not exceed 50% of the capital of the first level
20	Total capital 2 levels
21	Subordinated debt 3 levels according to Item 14 of the Instruction
22	The subordinated debt of bank minus the redeemed own subordinated debt of bank included in 2 levels in the capital according to Items 11 and 12 of the Instruction, part which is not included in the capital 2 levels
23	Total capital 3 levels
24	Part of the capital of 1 level intended for covering of market risk
25	Total the capital 3 levels included in equity
26	Investments of bank into shares and subordinated debt of the legal entity according to Item 3 of the Instruction
27	Total equity
28	Assets
29	Total the assets weighed taking into account credit risk
30	Not invested remaining balance of the means accepted on the terms of the custodial agreement
31	Total the contingent and possible obligations weighed taking into account credit risk
32	Total the derivative financial instruments weighed taking into account credit risk
33	Specific interest risk
34	General interest risk
35	Total the market risk connected with change of rate of remuneration
36	Specific risk
37	General risk
38	Total the market risk connected with change of share market value and market value of derivative financial instruments which underlying asset are shares or index on the share
39	Total the market risk connected with change of the exchange rate of foreign currencies (market value of precious metals)
40	The average size of annual gross income according to Item 31 of the Instruction
41	Operational risk
42	The assets and conditional and possible requirements and obligations calculated taking into account market risk
43	Coefficient of sufficiency of equity (k1-1)
44	Coefficient of sufficiency of equity (k1-2)
45	Coefficient of sufficiency of equity (k 2)
46	Total debt of one borrower or group of the interconnected borrowers who are not connected with bank the special relations on any kind of obligations to bank according to Chapter 3 of the Instruction
47	Coefficient of the maximum extent of risk on one borrower who is not connected with bank the special relations - (k 3)
48	Total debt of one borrower or group of the interconnected borrowers connected with bank the special relations on any kind of obligations to bank according to Chapter 3 of the Instruction
49	Coefficient of the maximum extent of risk on one borrower (group of borrowers) connected with bank the special relations - (k3. 1)
50	The amount of risks on all borrowers connected with bank the special relations
51	Coefficient of the amount of risks on the borrowers connected with bank the special relations (Ро)
52	The maximum amount of blank loan, unsecured contingent obligations before the borrower or for the borrower for benefit of the third parties on whom the bank can have requirements to the borrower during current and two next months, according to obligations of the corresponding borrowers specified in Item 35-1 of the Instruction, and also obligations of the nonresidents of the Republic of Kazakhstan registered or who are citizens of offshore zones, except for requirements to residents of the Republic of Kazakhstan with the rating of the Standard & Poor agency "s or the rating of similar level of the Fitch or Moody agencies" s Investors Service (further - other rating agencies) is no more than one Item lower than the sovereign rating of the Republic of Kazakhstan and nonresidents having rating s or the rating of similar level of one of other rating agencies is not lower "And" the Standard & Poor agencies", except for is not lower than nonresidents with rating "And" the Standard & Poor agencies "s or the rating of similar level of one of other rating agencies, concerning one borrower or group of the interconnected borrowers
53	Coefficient of the maximum size of blank credit (Bq)
54	The cumulative amount of risks of bank on one borrower, the size of each of which exceeds 10 percent from equity of bank
55	The coefficient of the cumulative amount of risks on one borrower, the size of each of which exceeds 10% of equity (Рк)
56	The cumulative amount of the securitized credits transferred to special finance company of Fund of Stressful Assets joint-stock company, the cumulative amount of the credits transferred to Fund of the Problem Credits joint-stock company
57	Coefficient of the cumulative amount of the securitized credits transferred to the special finance company of Fund of Stressful Assets joint-stock company and the credits transferred to Fund of the Problem Credits joint-stock company
58	The cumulative amount of the doubtful and bad assets transferred to the affiliated organizations acquiring doubtful and bad assets of parent bank
59	Coefficient of the cumulative amount of the doubtful and bad assets transferred to the affiliated organizations acquiring doubtful and bad assets of parent bank
60	Highly liquid assets according to Items 43, 44-2 Instructions
61	Obligations poste restante
62	Coefficient of current liquidity of k4
63	Urgent obligations with remaining period before repayment up to seven days inclusive according to Items 44-1, 44-2 of the Instruction
64	k4-1 liquidity rate
65	Quick assets with remaining period before repayment up to one month inclusive, including highly liquid assets, according to Items 44, 44-2 Instructions
66	Urgent obligations with remaining period before repayment up to one month inclusive according to Items 44-1, 44-2 of the Instruction
67	k4-2 liquidity rate
68	Quick assets with remaining period before repayment up to three months inclusive, including highly liquid assets, according to Items 44, 44-2 Instructions
69	Urgent obligations with remaining period before repayment up to three months inclusive according to Items 44-1, 44-2 of the Instruction
70	k4-3 liquidity rate
71	Assets for calculation of coefficient of urgent currency liquidity of k4-4
	1) on foreign currencies of the countries having sovereign rating is not lower "And" the Standard&Poor agencies "s or the rating of similar level of one of other rating agencies, and currency "Euro" (with indication of the amount/coefficient on this group of currencies in total):
72	2) on foreign currencies of the countries having sovereign rating is lower "And" the Standard&Poor agencies "s or the rating of similar level of one of other rating agencies or not having the corresponding rating assessment:
	(the currency type is specified)
	(the currency type is specified)
	Obligations for calculation of coefficient of urgent currency liquidity of k4-4
73	1) on foreign currencies of the countries having sovereign rating is not lower "And" the Standard&Poor agencies "s or the rating of similar level of one of other rating agencies, and currency "Euro" (with indication of the amount/coefficient on this group of currencies in total):
	2) on foreign currencies of the countries having sovereign rating is lower "And" the Standard&Poor agencies "s or the rating of similar level of one of other rating agencies or not having the corresponding rating assessment:
	(the currency type is specified)
	(the currency type is specified)
	Coefficient of urgent currency liquidity of k4-4
74	1) on foreign currencies of the countries having sovereign rating is not lower "And" the Standard&Poor agencies "s or the rating of similar level of one of other rating agencies, and currency "Euro" (with indication of the amount/coefficient on this group of currencies in total):
	2) on foreign currencies of the countries having sovereign rating is lower "And" the Standard&Poor agencies "s or the rating of similar level of one of other rating agencies or not having the corresponding rating assessment:
	(the currency type is specified)
	(the currency type is specified)
	Assets for calculation of coefficient of urgent currency liquidity of k4-5
75	1) on foreign currencies of the countries having sovereign rating is not lower "And" the Standard&Poor agencies "s or the rating of similar level of one of other rating agencies, and currency "Euro" (with indication of the amount/coefficient on this group of currencies in total):
	2) on foreign currencies of the countries having sovereign rating is lower "And" the Standard&Poor agencies "s or the rating of similar level of one of other rating agencies or not having the corresponding rating assessment:
	(the currency type is specified)
	(the currency type is specified)
	Obligations for calculation of coefficient of urgent currency liquidity of k4-5
76	1) on foreign currencies of the countries having sovereign rating is not lower "And" the Standard&Poor agencies "s or the rating of similar level of one of other rating agencies, and currency "Euro" (with indication of the amount/coefficient on this group of currencies in total):
	2) on foreign currencies of the countries having sovereign rating is lower "And" the Standard&Poor agencies "s or the rating of similar level of one of other rating agencies or not having the corresponding rating assessment:
	(the currency type is specified)
	(the currency type is specified)
	Coefficient of urgent currency liquidity of k4-5
77	1) on foreign currencies of the countries having sovereign rating is not lower "And" the Standard&Poor agencies "s or the rating of similar level of one of other rating agencies, and currency "Euro" (with indication of the amount/coefficient on this group of currencies in total):
	2) on foreign currencies of the countries having sovereign rating is lower "And" the Standard&Poor agencies "s or the rating of similar level of one of other rating agencies or not having the corresponding rating assessment:
	(the currency type is specified)
	(the currency type is specified)
	Assets for calculation of coefficient of urgent currency liquidity of k4-6
1)	on foreign currencies of the countries having sovereign rating s or the rating of similar level of one of other rating agencies, and currency "Euro" is not lower "And" than the Standard&Poor agency "(with indication of the amount/coefficient on this group of currencies in total):
2)	on foreign currencies of the countries having sovereign rating s or the rating of similar level of one of other rating agencies or not having the corresponding rating assessment is lower "And" than the Standard&Poor agency ":
	(the currency type is specified)
	(the currency type is specified)
78	Obligations for calculation of coefficient of urgent currency liquidity of k4-6
1)	on foreign currencies of the countries having sovereign rating s or the rating of similar level of one of other rating agencies, and currency "Euro" is not lower "And" than the Standard&Poor agency "(with indication of the amount/coefficient on this group of currencies in total):
2)	on foreign currencies of the countries having sovereign rating s or the rating of similar level of one of other rating agencies or not having the corresponding rating assessment is lower "And" than the Standard&Poor agency ":
	(the currency type is specified)
	(the currency type is specified)
79	Coefficient of urgent currency liquidity of k4-6
1)	on foreign currencies of the countries having sovereign rating s or the rating of similar level of one of other rating agencies, and currency "Euro" is not lower "And" than the Standard&Poor agency "(with indication of the amount/coefficient on this group of currencies in total):
2)	on foreign currencies of the countries having sovereign rating s or the rating of similar level of one of other rating agencies or not having the corresponding rating assessment is lower "And" than the Standard&Poor agency ":
	(the currency type is specified)
	(the currency type is specified)
80	Investments of bank into fixed assets and other non-financial assets
81	Coefficient of the maximum amount of investments of bank - (k 6)
82	Short-term obligations before nonresidents
83	Coefficient of the maximum limit of short-term obligations before nonresidents
84	The obligations to nonresidents included in calculation of coefficient of k8
85	Capitalization ratio of banks to obligations to nonresidents of the Republic of Kazakhstan (k 8)
86	Obligations to nonresidents and the debt securities included in calculation of coefficient of k9
87	Capitalization ratio of banks to obligations to nonresidents of the Republic of Kazakhstan (k 9)
88	Coefficient of placement of part of means in internal assets

The first head (for its absence - person, it replacing):

___________________________________________________________ _________

(surname, name, in the presence - middle name) (signature)

Chief accountant: ________________________________________ _________

(surname, name, in the presence - middle name) (signature)

Contractor: ________________ ________________________________________

(position) (surname, name, in case of - availability middle name)

__________________ _____________________

(signature) (phone number)

Signature date of the report "____" _____________ 20 __ years

Locus sigilli

Appendix 2

to Rules of submission of the reporting on accomplishment of prudential standard rates by banks of the second level

Form

Disaggregation of the assets weighed taking into account credit risk
on "___" ___________ 200 __ years _________________________________________________
(short bank name)

№	Name of Articles	Amount	Risk degree as a percentage	The amount to calculation
1	2	3	4	5
I group
1	Cash tenges		0
2	The cash foreign currency of the countries having 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		0
3	The affined precious metals		0
4	The loans granted the Government of the Republic of Kazakhstan		0
5	The loans granted the central governments of the countries having sovereign rating are not lower than "AA-" of the Standard&Poor agency "s or the rating of similar level of one of other rating agencies		0
6	The loans granted National Bank of the Republic of Kazakhstan		0
7	The loans granted Central Banks of the countries with sovereign rating not below "AA-" of the Standard&Poor agency "s or the rating of similar level of one of other rating agencies		0
8	The loans granted international financial institutions with debt rating not below "AA-" of the Standard&Poor agency "s or the rating of similar level of one of other rating agencies		0
9	Deposits in National Bank of the Republic of Kazakhstan		0
10	Deposits in Central Banks of the countries, with sovereign rating not below "AA-" of the Standard&Poor agency "s or the rating of similar level of one of other rating agencies		0
11	Deposits in international financial institutions, with debt rating not below "AA-" of the Standard&Poor agency "s or the rating of similar level of one of other rating agencies		0
12	Receivables of the Government of the Republic of Kazakhstan		0
13	Receivables of regional authorities of the Republic of Kazakhstan on taxes and other payments in the budget		0
14	The government securities of the Republic of Kazakhstan issued by the Government of the Republic of Kazakhstan and National Bank, weighed on degree of credit risk		0
14-1	The securities issued by joint-stock companies "National welfare fund "Samruk-Kazyna", "Fund of the Problem Credits"		0
15	The securities having the status state, issued by the central governments of foreign states which sovereign rating is not lower than "AA-" of the Standard&Poor agency "s or the ratings of similar level of one of other rating agencies weighed on degree of credit risk		0

free document

Full text available after Login.

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

Effectively work with search system

Database include more 50000 documents. You can find needed documents using search system. For effective work you can mix any on documents parameters: country, documents type, date range, teams or tags.
More about search system

Get help

If you cannot find the required document, or you do not know where to begin, go to Help section.

In this section, we’ve tried to describe in detail the features and capabilities of the system, as well as the most effective techniques for working with the database.

You also may open the section Frequently asked questions. This section provides answers to questions set by users.