THE JOINT ORDER OF THE CHAIRMAN OF THE AGENCY OF THE REPUBLIC OF KAZAKHSTAN ON FINANCIAL MONITORING AND THE MINISTER OF NATIONAL ECONOMY OF THE REPUBLIC OF KAZAKHSTAN

of August 16, 2021 No. 7, on August 16, 2021 No. 80

About approval of criteria for evaluation of risk degree and checking leaf behind compliance with law of the Republic of Kazakhstan about counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing

According to Item 5 of Article 141, Item 1 of article 143 of the Entrepreneurial code of the Republic of Kazakhstan, the form of checking leaf approved by the order of the acting minister of national economy of the Republic of Kazakhstan of July 31, 2018 No. 3 (it is registered in the Register of state registration of regulatory legal acts No. 17371), Rules of forming by the regulatory state agencies of system of assessment and risk management approved by the order of the acting minister of national economy of the Republic of Kazakhstan of June 22, 2022 No. 48 (it is registered in the Register of state registration of regulatory legal acts No. 28577) we ORDER:

1. Approve:

1) criteria for evaluation of risk degree behind compliance with law of the Republic of Kazakhstan about counteraction of legalization (washing) of income gained in the criminal way and to financing of terrorism according to appendix 1 to this joint order;

2) checking leaf in the field of the state control of compliance with law of the Republic of Kazakhstan about counteraction of legalization (washing) of income gained in the criminal way and to financing of terrorism concerning legal consultants, independent legal issues specialists; the individual entrepreneurs and legal entities performing leasing activities as the lessor without license; the individual entrepreneurs and legal entities rendering intermediary services when implementing transactions of purchase and sale of real estate; the individual entrepreneurs and legal entities performing transactions with precious metals and gemstones, jewelry from them according to appendix 2 to this joint order;

3) checking leaf in the field of the state control of compliance with law of the Republic of Kazakhstan about counteraction of legalization (washing) of income gained in the criminal way and to financing of terrorism concerning the accounting organizations and professional accountants performing business activity in the field of financial accounting according to appendix 3 to this joint order.

2. Declare invalid the joint order of the Minister of Finance of the Republic of Kazakhstan of October 13, 2020 No. 999 and the Minister of national economy of the Republic of Kazakhstan of October 13, 2020 No. 77 "About approval of criteria for evaluation of risk degree and checking leaf behind compliance with law of the Republic of Kazakhstan about counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing" (it is registered in the Register of state registration of regulatory legal acts at No. 21422).

3. To provide to department on work with subjects of financial monitoring of the Agency of the Republic of Kazakhstan on financial monitoring in the procedure established by the legislation:

1) state registration of this joint order in the Ministry of Justice of the Republic of Kazakhstan;

2) placement of this joint order on Internet resource of the Agency of the Republic of Kazakhstan on financial monitoring.

4. This joint order becomes effective after ten calendar days after day of its first official publication.

Appendix 1

to the Joint Order of the Chairman of the Agency of the Republic of Kazakhstan on financial monitoring and the Minister of national economy of the Republic of Kazakhstan of August 16, 2021 No. 7, on August 16, 2021 No. 80

Criteria for evaluation of risk degree behind compliance with law of the Republic of Kazakhstan about counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing

Chapter 1. General provisions

1. These criteria for evaluation of risk degree behind compliance with law of the Republic of Kazakhstan about counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing (further – Criteria) are developed according to Item 5 of article 141 of the Entrepreneurial code of the Republic of Kazakhstan, Rules of forming by the regulatory state agencies of system of assessment and risk management approved by the order of the acting minister of national economy of the Republic of Kazakhstan of June 22, 2022 No. 48 (it is registered in the Register of state registration of regulatory legal acts No. 28577) and are intended for selection of subjects of control for the purpose of carrying out preventive control with visit of the subject of control.

2. In these Criteria the following concepts are used:

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