THE RESOLUTION OF BOARD OF THE AGENCY OF THE REPUBLIC OF KAZAKHSTAN ON REGULATION AND DEVELOPMENT OF THE FINANCIAL MARKET

of December 13, 2021 No. 104

About modification of some regulatory legal acts of the Republic of Kazakhstan concerning regulation of the security market and provision of pensions

According to Item 9 of Article 11, item 4 of Article 22-1, Item 8 of Article 24, Item 2 of Article 28, Item 3 of Article 30, Items 1 and 2 of Article 34, Item 1 of Article 36, item 4 of Article 45, Item 1 of Article 62, Item 1 of Article 63, Item 1 of Article 69, Item 2 of Article 76, Item 5 of Article 80, Item 6 of article 86 of the Law of the Republic of Kazakhstan "About the security market", the subitem 2) Articles 8, Item 3 of Article 43, the subitem 3) item 4 of article 50 of the Law of the Republic of Kazakhstan "About provision of pensions in the Republic of Kazakhstan", the subitem 2) Article 6-5, the subitem 4) article 12 of the Law of the Republic of Kazakhstan "About state regulation, control and supervision of the financial market and the financial organizations" Board of the Agency of the Republic of Kazakhstan on regulation and development of the DECIDES: financial market

1. Approve the List of regulatory legal acts of the Republic of Kazakhstan concerning regulation of the security market and provision of pensions to which changes, according to appendix to this resolution are made.

2. To provide to department of the security market 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 the Agency of the Republic of Kazakhstan on regulation and development of the financial market 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 action provided by the subitem 2) of this Item.

3. To impose control of execution of this resolution on the supervising vice-chairman of the Agency of the Republic of Kazakhstan on regulation and development of the financial market.

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

"Is approved" Bureau of national statistics of the Agency on strategic planning and reforms of the Republic of Kazakhstan

"Is approved" Ministry of digital development, innovations and aerospace industry of the Republic of Kazakhstan

Appendix

to the Resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of December 13, 2021 No. 104

The list of regulatory legal acts of the Republic of Kazakhstan concerning regulation of the security market and provision of pensions to which changes are made

1. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of February 13, 2012 No. 33 "About the list and terms of provision by members of stock exchange of the financial reporting and other information to stock exchange" (it is registered in the Register of state registration of regulatory legal acts at No. 7466) the following changes:

state Items 1 and 2 in the following edition:

"1. Members of stock exchange (except for banks of the second level and the national operator of mail) quarterly no later than the last calendar day of the month following reporting quarter provide to stock exchange the quarterly financial reporting (in case of availability affiliated (affiliated) the organizations (organizations) - the consolidated and separate financial reportings) in forms according to appendices 10, of 11, 14 and 16 to the Rules of accounts presentation by the financial organizations approved by the resolution of Board of National Bank of the Republic of Kazakhstan of January 28, 2016 No. 41, registered in the Register of state registration of regulatory legal acts at No. 13504 (further - Rules No. 41).

The national operator of mail quarterly no later than the 25th following reporting quarter provides to stock exchange the quarterly financial reporting (in case of availability affiliated (affiliated) the organizations (organizations) - the consolidated and separate financial reportings) in forms according to appendices 14 and 15 to Rules No. 41.

2. Members of stock exchange, being banks of the second level, monthly no later than the 10th working day of the month following month under report provide to stock exchange the report on remaining balance on balance and off-balance sheet accounts in form according to appendix 2 to the resolution of Board of National Bank of the Republic of Kazakhstan of April 21, 2020 No. 54 "About approval of the list, forms, terms of submission of the reporting by banks of the second level and Rules of its representation", registered in the Register of state registration of regulatory legal acts at No. 20474.".

2. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of September 21, 2012 No. 298 "About approval of Rules of implementation transfer - agency activities in the security market" (the following change is registered in the Register of state registration of regulatory legal acts at No. 8051):

in Rules of implementation transfer - agency activities in the security market, approved by the specified resolution:

state Item 5 in the following edition:

"5. In case of the conclusion of the agreement the client submits transfer agent the following documents:

1) for the professional participant of the security market:

the forms of documents which are subject to filling in the course of transactions in the security market, and the instruction (explanations, instructions) on their filling with persons using or intended to use services of the professional participant of the security market - the client transfer agent;

forms of the documents necessary for the purposes of the conclusion of the contract with persons, intended to use services of the professional participant of the security market - the client transfer agent with appendix of the list of the documents necessary for the conclusion of such agreement;

the document containing notarially attested specimen signatures of representatives of the professional participant of the security market - the client transfer agent, having rights to sign documents on behalf of the professional participant of the security market - the client transfer agent;

2) for the physical persons who are clients of the professional participant of the security market or intended to use services transfer agent for the purposes of the conclusion of the contract with the professional participant of the security market who is the client transfer agent - the copy of the identity certificate or the electronic document from service of digital documents (for identification);

3) for the legal entities who are clients of the professional participant of the security market or intended to use services transfer agent for the purposes of the conclusion of the contract with the professional participant of the security market who is the client transfer agent:

the document containing notarially attested specimen signatures of the representatives of the legal entity having rights to sign documents from his name;

the documents necessary for the conclusion of the contract with the professional participant of the security market established by the Law of the Republic of Kazakhstan "About the security market" (for persons, intended to use services transfer agent for the purposes of the conclusion of the contract with the professional participant of the security market who is the client transfer agent).".

3. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of August 27, 2013 No. 234 "About approval of form of the standard custodial agreement signed between bank custodian and the Voluntary accumulation pension fund" (it is registered in the Register of state registration of regulatory legal acts at No. 8795) the following changes:

in the form of the standard custodial agreement signed between bank custodian and the Voluntary accumulation pension fund, approved by the specified resolution:

25, 26 and 27 to state Items in the following edition:

"25. In case of untimely execution by Custodian of orders (orders) of Fund sent them in accordance with the terms of the Agreement, the Custodian pays Fonda, the order (order) of which is not performed in time, the penalty in the amount of 1,5 of the base rate established by National Bank of the Republic of Kazakhstan on payment date charged on the amount specified in the order unexecuted in time for each day of delay, including day of payment.

26. In case of untimely payment of accounts, stipulated in the subitem 6) of Item 6 of the Agreement, the Fund shall pay to Custodian penalty in the amount of _______ the base rate established by National Bank of the Republic of Kazakhstan on payment date, charged on outstanding amount for each day of delay, including day of payment.

27. The party which caused damage to other party as a result of non-execution, the wrong or untimely execution of the agreement obligations by it shall within five working days after emergence of such circumstances indemnify loss to this party and pay it the penalty in the amount of 1,5 of the base rate established by National Bank of the Republic of Kazakhstan on payment date expected the amount of damage of each of the parties separately.".

4. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of February 3, 2014 No. 9 "About approval of Rules of implementation of broker and (or) dealer activities in the security market, procedure for carrying out by the broker and (or) dealer of banking activities" (it is registered in the Register of state registration of regulatory legal acts at No. 9249) the following changes:

in Rules of implementation of broker and (or) dealer activities in the security market, procedure for carrying out by the broker and (or) dealer of the banking activities approved by the specified resolution:

state Item 26 in the following edition:

"26. In case of the conclusion of the broker agreement the client represents to the broker and (or) the dealer the following documents:

1) for physical persons:

the copy of the identity certificate or the electronic document from service of digital documents (for identification);

2) for legal entities - residents of the Republic of Kazakhstan:

copy of the charter (in the presence);

copy of the certificate of state registration (re-registration) of the legal entity;

notarially attested document with specimen signatures (including representatives of the legal entity, having rights to sign client orders) including data about (about):

name of the nominee holder;

the name of the legal entity - the client of the nominee holder granting the right to signing of the document;

positions, surnames, name, middle name (in case of its availability) the representative of the client of the nominee holder, data of the identity document;

specifying on the fact that the specimen signatures containing in this document are considered obligatory when implementing all transactions on the personal account of the client opened in system of nominal continence;

3) for legal entities - nonresidents of the Republic of Kazakhstan:

copy of the charter (in the presence);

the copy of the document confirming state registration of the legal entity issued by authorized body of the state of the nonresident;

the document with specimen signatures (including the representatives of the legal entity having rights to sign client orders);

the power of attorney or the decision of authorized body of the legal entity issued concerning the representative of the legal entity who will sign the broker agreement and to perform other actions;

the documents provided by internal documents of the broker and (or) dealer.

In case of the conclusion the broker and (or) the dealer of the broker contract with the client in electronic form, the client provide electronic copies of the documents provided by this Item or data of the identity document of physical person, and its individual identification number.";

state Item 46 in the following edition:

"46. Transactions of the broker and (or) the dealer, being bank, branch of nonresident bank of the Republic of Kazakhstan, with financial instruments consist in the organized market of securities, except for the following cases of the conclusion of transactions which can be performed as in the organized market of securities, and the unorganized market of securities:

1) the conclusions of transactions according to 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, branches of nonresident banks of the Republic of Kazakhstan can perform broker and (or) dealer activities in the security market, 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, and also criteria according to which banks of the second level can perform broker activities", registered in the Register of state registration of regulatory legal acts at No. 4892;

2) the conclusions of transactions with government securities of the Republic of Kazakhstan in case of their placement in the primary market;

3) the conclusions of transactions with the bonds having the status of government securities, issued by the central governments of foreign states having the rating established by the resolution of Board of National Bank of the Republic of Kazakhstan 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, in case of their placement in the primary market;

4) the conclusions of transactions with the non-state securities permitted to acquisition by banks according to article 8 of the Law of the Republic of Kazakhstan "About banks and banking activity in the Republic of Kazakhstan" in case of their placement in the primary market;

5) realization of the right of preferential purchase.";

state Item 55 in the following edition:

"55. The broker and (or) the dealer does not conclude the bargain (does not submit the application for the conclusion of the transaction) with securities, calculations for which are perfromed by the principle "delivery against payment" (obligation fulfillment by one party of the transaction on delivery of the financial instrument or money is performed with execution by other party of the transaction of counter obligations on delivery of money or the financial instrument), in the absence of the necessary number of securities or money on the corresponding account of the broker and (or) dealer or his client at the request of which the conclusion of the transaction is planned.

Action of part one of this Item does not extend to the bargains concluded with use of services of the central partner and (or) concluded according to the order for the account and for the benefit of the client, in case of compliance of the measure value characterizing risk on this client to requirements of 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 the internal control for the organizations performing broker and dealer activities in the security market, activities for management of investment portfolio" registered in the Register of state registration of regulatory legal acts at No. 8796, and also on the security transactions concluded by banks of the second level, branches of nonresident banks of the Republic of Kazakhstan.

The broker and (or) the dealer concludes security transaction, calculation for which is perfromed after date of the conclusion of the transaction, in case of absence at the time of the conclusion of the transaction of necessary quantity of securities or money on the corresponding account of the broker and (or) dealer or his client at the request of which the conclusion of the transaction is planned if the securities or money which are subject of the transaction are enlisted into the account of the broker and (or) dealer or his client based on earlier concluded bargain until carrying out calculations.";

state Item 63-11 in the following edition:

"63-11. When implementing by the broker and (or) dealer of the first category of the transactions provided by subitems 1), 2), 3) and 4) of Item 63-7 of Rules, the broker and (or) the dealer observes the minimum sizes authorized and equity, the Boards of National Bank of the Republic of Kazakhstan established by the resolution of April 27, 2018 No. 80 "About establishment of types of prudential standard rates for the organizations performing broker and (or) dealer activities in the security market, approval of rules and method of calculation of values of the prudential standard rates obligatory 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.";

state Item 75-1 in the following edition:

"75-1. If subject of the marginal transaction are securities of nonresidents of the Republic of Kazakhstan, these securities are part of one of the following settlement indicators (indexes):

AIX (Astana International Exchange) (Astana International of Ekscheyndzh);

CAC 40 (Compagnie des Agents de Change 40 Index) (Company дэ Ezhon дэ Shanzh 40 Index);

DAX (Deutscher Aktienindex) (Doytche Aktsiyenindeks);

DJIA (Dow Jones Industrial Average) (Dow Jones of Indastrial Everedzh);

EURO STOXX 50 (EURO STOXX 50 Price Index) (Yurop Es Ti Ou Eks of Eks 50 Price Indeks);

FTSE 100 (Financial Times Stock Exchange 100 Index) (Faynenshl Tayms Stock Ekscheyndzh 100 Index);

HSI (Hang Seng Index) (Hang Seng Index);

KASE (Kazakhstan Stock Exchange Index) (Kazakstan Stock Ekscheyndzh Indeks);

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

MOEX Russia (Moscow Exchange Russia Index) (Moskou Ekscheyndzh Russia Index);

NIKKEI 225 (Nikkei-225 Stock Average Index) (Stock Everedzh Indeks's Nikkey-225);

RTSI (Russian Trade System Index) (Russian Trade of the Index Systems);

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

TOPIX 100 (Tokyo Stock Price 100 Index) (Tokyo Stock Price 100 Index);

NASDAQ-100 (Nasdaq-100 Index) (Nasdak-100 Index).

The broker and (or) the dealer does not provide money to the client for making of marginal security transaction, issued according to the legislation of the states specified in the list of the offshore zones established by the resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of February 24, 2020 No. 8 "About establishment of the List of offshore zones for the purposes of banking and insurance activity, activities of professional participants of the security market and other licensed types of activity in the security market, to the activities of the joint-stock investment funds and organization activity performing microfinancial activities", registered in the Register of state registration of regulatory legal acts at No. 20095.".

5. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of February 3, 2014 No. 10 "About approval of Rules of implementation of activities for management of investment portfolio" (the following change is registered in the Register of state registration of regulatory legal acts at No. 9248):

in the Rules of implementation of activities for management of investment portfolio approved by the specified resolution:

state Item 11 in the following edition:

"11. In case of the conclusion of the agreement the client submits to the managing director of investment portfolio the following documents:

1) the copy of the identity certificate or the electronic document from service of digital documents (for identification) the client - physical person;

2) for clients - legal entities (residents of the Republic of Kazakhstan):

copies of the charter (in the presence), certificates of state registration (re-registration) of the legal entity;

notarially attested document with specimen signatures (including the representatives of the legal entity having rights to sign on behalf of the client of change and amendment in the agreement, delivery-acceptance certificates of assets in investment management and documents in the course of interaction of the client and the managing director of investment portfolio);

3) for clients - legal entities (nonresidents of the Republic of Kazakhstan):

copy of the charter (in the presence);

the copy of the document confirming state registration of the legal entity issued by authorized body of the state of the nonresident of the Republic of Kazakhstan;

the document with specimen signatures (including the representatives of the legal entity having rights to sign changes and amendments in the agreement, acts of transmit-receive and assets in investment management and documents in the course of interaction of the client and the managing director of investment portfolio);

the power of attorney or the decision of authorized body of the legal entity, concerning the representative of the legal entity who will sign the agreement and (or) to perform actions;

the documents provided by internal documents of the managing director of investment portfolio.

The documents specified in the subitem 3) of this Item of Rules are represented by the client with notarially attested transfer into the Kazakh and (or) Russian languages.".

6. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of February 26, 2014 No. 31 "About approval of Translation rules of pension accruals from the single accumulation pension fund in the Voluntary accumulation pension fund, from the Voluntary accumulation pension fund in the single accumulation pension fund, and also from one Voluntary accumulation pension fund in other Voluntary accumulation pension fund" (it is registered in the Register of state registration of regulatory legal acts at No. 9326) the following changes:

in Translation rules of pension accruals from the single accumulation pension fund in the Voluntary accumulation pension fund, from the Voluntary accumulation pension fund in the single accumulation pension fund, and also from one Voluntary accumulation pension fund in other Voluntary accumulation pension fund approved by the specified resolution:

state Item 2 in the following edition:

"2. The investor (receiver) for the purpose of transfer of pension savings submits the following documents to Fund sender:

1) the statement for transfer of pension savings in form according to appendix 1 to Rules;

2) the copy of the identity document of the investor (receiver), and its original or the electronic document from service of digital documents for review;

3) in case of change of surname, name, in the presence of middle name of the investor (receiver) - the copy of the documents confirming these changes (the certificate on the conclusion or annulment of marriage, on change of surname, name, in the presence of middle name, the judgment which took legal effect) and their originals or electronic documents from service of digital documents for review;

4) the copy of the pension provision agreement at the expense of voluntary pension contributions signed with Fund receiver.";

state item 4 in the following edition:

"4. The attorney provides in Fund - the sender the following documents:

1) the statement for transfer of pension savings in form according to appendix 2 to Rules;

2) the original of the power of attorney or its notarially attested copy if the power of attorney contains powers on representation of interests of the principal at the same time in several organizations;

3) notarially attested copy of the identity document of the investor (receiver);

4) in case of change of surname, name, in the presence of middle name of the investor (receiver) - notarially attested copies of the documents confirming these changes (the certificate on the conclusion or annulment of marriage, on change of surname, name, in the presence of middle name, the judgment which took legal effect);

5) the copy of the pension provision agreement at the expense of voluntary pension contributions signed by the investor (receiver) with fund receiver;

6) the copy of the identity document of the attorney and his original or the electronic document from service of digital documents for review.".

7. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of February 26, 2014 No. 32 "About approval of Translation rules of pension accruals in insurance company under the agreement of retirement annuity" (it is registered in the Register of state registration of regulatory legal acts at No. 9325) the following changes:

in Translation rules of the pension accruals in insurance company under the agreement of retirement annuity approved by the specified resolution:

state Item 2 in the following edition:

"2. The investor (receiver) for the purpose of transfer of pension savings in insurance company submits the following documents to Fund sender:

1) the statement for transfer of pension savings in the form approved by the internal document of Fund sender;

2) the copy of the identity document of the investor (receiver), and its original or the electronic document from service of digital documents for review;

3) the original of the agreement of the retirement annuity signed by the investor (receiver) with insurance company.";

state item 4 in the following edition:

"4. The attorney for the purpose of transfer of pension savings in insurance company in addition to the documents specified in subitems 1) and 3) of Item 2 of Rules, in addition provides in Fund sender:

1) the original of notarially certified power of attorney or its notarially attested copy if the power of attorney contains powers on representation of interests of the principal at the same time in several organizations;

2) notarially attested copy of the identity document of the investor (receiver);

3) the copy of the identity document of the attorney and his original or the electronic document from service of digital documents for review.".

8. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of October 22, 2014 No. 210 "About approval of Rules of registration of transactions with issued securities, concessions of rights to claim according to obligations of issuers on issued securities in system of accounting of the central depositary, provision of the statement from personal account of the registered person in system of accounting of the central depositary and (or) in system of accounting of nominal continence and provision by the nominee holder of customer information which securities are in its nominal continence upon the demand of the central depositary and the issuer" (the following change is registered in the Register of state registration of regulatory legal acts at No. 9876):

in Rules of registration of transactions with issued securities, concessions of rights to claim according to obligations of issuers on issued securities in system of accounting of the central depositary, provision of the statement from personal account of the registered person in system of accounting of the central depositary and (or) in system of accounting of nominal continence and provision by the nominee holder of customer information which securities are in its nominal continence, upon the demand of the central depositary and the issuer approved by the specified resolution:

state Item 8 in the following edition:

"8. Opening of personal account to physical person in system of accounting of nominal continence is performed by the nominee holder based on the order on opening of personal account, the identity certificate or electronic document from service of digital documents (for identification) and agreements on nominal continence.

In case of submission of the order on opening of personal account to physical person in the electronic form or other electronic and digital form certified by means of dynamic and (or) biometric identification of the client (in case of the request of the client of the nominee holder for receipt of electronic services) with use of information systems, the electronic copy of the identity certificate or the electronic document from service of digital documents (for identification) this physical person, or data of the identity document of physical person, and its individual identification number is attached to the electronic order of physical person.".

9. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of March 27, 2017 No. 54 "About approval of Requirements to the issuers and their securities allowed (allowed) to the address on the stock exchange and also to separate categories of the list of stock exchange and modification of some regulatory legal acts of the Republic of Kazakhstan concerning regulation of the security market" (the following change is registered in the Register of state registration of regulatory legal acts at No. 15175):

in the Requirements to the issuers and their securities allowed (allowed) to the address on the stock exchange, and also to separate categories of the list of stock exchange, approved by the specified resolution:

state Item 2 in the following edition:

"2. For the purposes of Requirements the following concepts are used:

1) the sector of the platform - part of the platform of the official listing of stock exchange in which are included (in which are allowed to the address) the issued securities conforming to Requirements and (or) internal documents of stock exchange;

2) the debt security - the security certifying the right of its owner to obtaining from the issuer of the amount of principal debt in the amount of and in the terms established by release conditions;

3) bonds of local executive bodies - the government securities of the Republic of Kazakhstan issued by local executive bodies of area, city of republican value, the capital;

4) Islamic securities - the Islamic rent certificates, Islamic participation certificates and other securities recognized by Islamic securities according to the legislation of the Republic of Kazakhstan;

5) the official listing of stock exchange - part of the list of stock exchange, for inclusion in which and stay in which securities and issuers of securities conform to Requirements;

6) the list of stock exchange - the list of the financial instruments permitted to the address in trade system of stock exchange constituted according to internal documents of stock exchange;

7) the listing company - the legal entity whose securities are included in the official listing of stock exchange (are allowed to the address in the official listing of stock exchange);

8) the platform of the official listing - the part of the official listing of stock exchange consisting of sectors;

9) the initiator of the admission - the issuer, the stock exchange or the member of stock exchange at the initiative of which securities join (are allowed) in the official listing of stock exchange;

10) trading floor - part of software and hardware complex of stock exchange by means of which bargains with separate types of the financial instruments included in the official listing (allowed to the address on the stock exchange) are concluded;

11) restructuring of obligations of the issuer - complex of the administrative, legal, financial, organizational and technical and other actions and procedures realized by the issuer based on the restructuring plan approved according to the procedure, established by the Law of the Republic of Kazakhstan "About banks and banking activity in the Republic of Kazakhstan", or the plan of rehabilitation approved according to the procedure, established by the Law of the Republic of Kazakhstan "About rehabilitation and bankruptcy".".

10. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of October 29, 2018 No. 249 "About approval of Rules of implementation of activities for maintaining system of the register of security holders" (it is registered in the Register of state registration of regulatory legal acts at No. 17803) the following changes:

in Rules of implementation of activities for maintaining system of the register of the security holders approved by the specified resolution:

state Item 6 in the following edition:

"6. The system of registers is constituted by the following documents:

1) orders on carrying out transactions;

2) performance reports of orders (the notification on the performed operations);

3) refusals of execution of orders;

4) copies of the identity certificate or the electronic document from service of digital documents (for identification) the registered person who is physical person or the documents established by subitems 2) and 3) of Item 13 of the Rules provided by the registered person who is the legal entity;

5) copies of property trust management agreements with all changes and amendments in them;

6) the documents specified in Items 10, of 11, of 12, of 13, of 14, of 16, of 40, of 42, of 43, of 44, of 45, of 48, of 49, of 51, of 52, of 53, of 54, of 56, of 59, of 60, of 61, of 62, of 63, of 64, of 65, of 67, of 68, of 69, of 70, of 72, of 73, of 74, of 75, of 76, of 77, of 78, of 79, of 80, of 81 and 82 Rules based on which operations in system of registers were performed;

7) the documents received by the central depositary (the organization which was earlier performing maintaining system of registers) from the issuer and sent by the central depositary (the organization which was earlier performing maintaining system of registers) to the issuer during validity;

8) copies of notifications of authorized body on approval of reports on results of share placing and Islamic securities (about results of repayment of non-state bonds, Islamic securities);

9) magazine of registration of transactions;

10) magazine of registration of incoming documents;

11) magazine of registration of outgoing documents;

12) magazine of maintaining archive;

13) delivery-acceptance certificates of the documents constituting system of registers.";

state Item 12 in the following edition:

"12. Opening of personal account to physical person in system of registers is performed based on the following documents:

1) the order on opening of personal account;

2) the identity certificate, or the electronic document from service of digital documents (for identification) physical person, or notarially attested copy of the identity certificate of physical person (in case of submission of documents mail service or through the courier), or the copy of the identity certificate of physical person with application of a copy of the request for acquisition of shares of mutual investment fund (in case of transfer of documents by managing company on behalf of the physical person who submitted the application for acquisition of shares).

In case of submission of the order on opening of personal account to physical person in electronic form with use of information systems according to the Law of the Republic of Kazakhstan "About the electronic document and the digital signature" the electronic copy of the identity certificate or the electronic document from service of digital documents (for identification) this physical person is attached to the electronic order of physical person.";

state Items 42 and 43 in the following edition:

"42. On the personal accounts opened according to Item 15 of Rules the operations specified in subitems 2), 3), 5), 7) and 8) Item 36 of Rules (except for transfer of securities from one personal account on other personal account in case of inheritance or transition of the property right on securities are not performed in case of liquidation of the legal entity, write-off of shares by managing company in case of the termination of existence of mutual investment fund), before provision to the central depositary by the registered person of the identity certificate or electronic document from service of digital documents (for identification) the registered person who is physical person or the documents established by subitems 2) and 3) of Item 13 of Rules if the registered person is legal entity.

43. On the personal account opened according to the subitem 1) of Item 15 of Rules the operations specified in subitems 2), 3), 5), 7) of Item 36 of Rules, except for to transaction on transfer of securities (rights to claim according to obligations of the issuer on issued securities) on personal account of the registered person, before representation by the registered person to the central depositary are not performed:

1) the identity certificate or the electronic document from service of digital documents (for identification) (for physical person);

2) the documents specified in subitems 2) and 3) of Item 13 of Rules (for the legal entity).".

11. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of December 13, 2019 No. 235 "About approval of selection criteria and Rules of consideration of documents for the conclusion of the agreement on implementation of activities within specific mode of regulation" (the following change is registered in the Register of state registration of regulatory legal acts at No. 19773):

state Item 1 in the following edition:

"1. Approve the following selection criteria for participation in specific mode of regulation:

1) the applicant is the financial resident organization of the Republic of Kazakhstan and (or) the legal resident person of the Republic of Kazakhstan performing activities in the financial sphere, the activities connected with concentration of financial resources and (or) with payment services, at least 2 (two) years;

2) obligations of the applicant for date of filing of application for participation within specific mode of regulation do not exceed its assets;

3) the applicant has no losses by results of 2 (two) complete financial years;

4) the founder - physical person or the first head of executive body or governing body of the founder - the legal entity of the applicant has no not removed or unspent conviction and (or) concerning them criminal prosecution for criminal offenses in the field of economic activity was not performed;

5) the applicant has for date of filing of application for participation within specific mode of regulation no operating measures of supervising reaction and the sanction applied by authorized body on regulation, control and supervision of the financial market and the financial organizations and (or) National Bank of the Republic of Kazakhstan within their competence;

6) the activities of the applicant planned to implementation within specific mode of regulation correspond to one or several of following conditions:

promotes improvement of competition in the market of financial services;

promotes development of the financial market and corresponds to consumer interests;

promotes increase in geographical and financial availability;

provides implementation of new technologies and innovations in the financial market;

it is directed to cost reduction and it is risk for consumers of financial services and members of the financial market;

7) the business plan provided by the applicant for participation in specific mode of regulation answers the purpose of specific mode of regulation.

Requirements of subitems 3) and 5) of this Item do not extend to the applicant planning the activities within specific mode of regulation in the security market.".

12. Bring in the resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of March 30, 2020 No. 37 "About approval of Rules of issue of permission to release and (or) placement of issued securities of the resident organization of the Republic of Kazakhstan in the territory of foreign state, the notification on release of depositary receipts or other securities which underlying asset are issued securities of the resident organizations of the Republic of Kazakhstan and also submissions of the report on results of their placement" (it is registered in the Register of state registration of regulatory legal acts at No. 20252) the following changes:

in Rules of issue of permission to release and (or) placement of issued securities of the resident organization of the Republic of Kazakhstan in the territory of foreign state, the notification on release of depositary receipts or other securities which underlying asset are issued securities of the resident organizations of the Republic of Kazakhstan, and also submissions of the report on the results of their placement approved by the specified resolution:

state Item 7 in the following edition:

"7. The employee of authorized body authorized on acceptance and registration of correspondence in day of receipt of the statement performs its acceptance, registration and the direction on execution in the division of authorized body responsible for rendering the state service (further - responsible division). In case of the appeal of the resident organization of the Republic of Kazakhstan after the termination of working hours, in days off and holidays, according to the Labor code of the Republic of Kazakhstan documents acceptance is performed the next working afternoon.

The employee of responsible division within 2 (two) working days from the date of registration of a statement checks completeness of the submitted documents.

In case of factual determination of incompleteness of the submitted documents the employee of responsible division within the specified term prepares and directs to the resident organization of the Republic of Kazakhstan motivated refusal in further review of the statement.

In case of compliance of the resident organization of the Republic of Kazakhstan and the documents submitted for receipt of the state service, to requirements of the Law and Rules, the employee of responsible division sends to the resident organization of the Republic of Kazakhstan to "personal account" in electronic form, the authorized person of authorized body certified by the digital signature result of rendering the state service:

permission to release of issued securities of the organization - resident of the Republic of Kazakhstan in the territory of foreign state in form according to appendix 5 to Rules;

and (or) permission to placement of issued securities of the resident organization of the Republic of Kazakhstan in the territory of foreign state in form according to appendix 6 to Rules.

In case of identification of the bases for refusal in rendering the state service the authorized body notifies the resident organization of the Republic of Kazakhstan on the provisional solution about refusal in rendering the state service, and also time and the place (method) of carrying out hearing for provision to the resident organization of the Republic of Kazakhstan of opportunity to express line item according to the provisional solution.

The notification on hearing goes at least in 3 (three) working days prior to completion of term of rendering the state service. Hearing is carried out no later than 2 (two) working days from the date of the notification.

By results of hearing, the employee of responsible division sends to the resident organization of the Republic of Kazakhstan to "personal account" in electronic form, the authorized person of authorized body certified by the digital signature result of rendering the state service:

permission to release of issued securities of the organization - resident of the Republic of Kazakhstan in the territory of foreign state in form according to appendix 5 to Rules;

and (or) permission to placement of issued securities of the resident organization of the Republic of Kazakhstan in the territory of foreign state in form according to appendix 6 to Rules;

or motivated refusal in rendering the state service.";

state Item 11 in the following edition:

"11. Consideration of the claim concerning rendering the state service is made by the higher official of authorized body, authorized body by assessment and control of quality of rendering the state services taking into account features, the stipulated in Article 25 Laws on the state services.

The claim is submitted in authorized body and (or) to the official of authorized body whose decision, action (failure to act) are appealed.

If other is not provided by the Law, the Law on the state services, appeal to the court is performed after appeal in pre-judicial procedure.".

13. Bring in the resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of March 30, 2020 No. 42 "About approval of Rules of state registration of release of the announced shares, registration of changes and (or) amendments to the avenue of share issue, approval of the report on results of share placing of joint-stock company, the report on exchange of placed shares of joint-stock company of one type for shares of this joint-stock company of other type, cancellation of release of the announced shares, Requirements to documents for state registration of release of the announced shares, registration of changes and (or) amendments to the avenue of share issue, approval of the report on results of share placing of joint-stock company, the report on exchange of placed shares of joint-stock company of one type for shares of this joint-stock company of other type, the List of documents for cancellation of release of the announced shares and requirements to them, Rules of creation and execution of the prospectus of share issue, changes and (or) amendments to the avenue of share issue, the report on results of share placing of joint-stock company, the report on exchange of placed shares of joint-stock company of one type for shares of this joint-stock company of other type" (it is registered in the Register of state registration of regulatory legal acts at No. 140829) the following changes:

in Rules of state registration of release of the announced shares, registration of changes and (or) amendments to the avenue of share issue, approval of the report on results of share placing of joint-stock company, the report on exchange of placed shares of joint-stock company of one type for shares of this joint-stock company of other type, cancellation of release of the announced shares approved by the specified resolution:

state Item 1 in the following edition:

"1. These rules of state registration of release of the announced shares, registration of changes and (or) amendments to the avenue of share issue, approval of the report on results of share placing of joint-stock company, the report on exchange of placed shares of joint-stock company of one type for shares of this joint-stock company of other type, cancellation of release of the announced shares (further - Rules) are developed according to the Administrative procedural Procedure Code of the Republic of Kazakhstan, the laws of the Republic of Kazakhstan "About joint-stock companies" (further - the Join-stock companies law), "About the security market" (further - the Law on the security market), "About state regulation, control and supervision of the financial market and the financial organizations", "About investment and venture funds" (further - the Law on investment funds) and "About the state services" (further - the Law on the state services).

Rules determine conditions and procedure for state registration of release of the announced shares, registration of changes and (or) amendments to the avenue of share issue, approval of the report on results of share placing of joint-stock company, the report on exchange of placed shares of joint-stock company of one type for shares of this joint-stock company of other type, cancellation of release of the announced shares.";

state Item 7 in the following edition:

"7. In case of factual determination of completeness and (or) lack of expiration of the submitted documents the employee of responsible division within 12 (twelve) working days considers documents on compliance to requirements of the Law on the security market and prepares the draft of the letter (certificate) or refusal in rendering the state service, signs result of rendering the state service at the authorized person of authorized body.

In case of identification of the bases for refusal in rendering the state service the authorized body notifies society on the provisional solution about refusal in rendering the state service, and also time and the place (method) of carrying out hearing for provision to society of opportunity to express line item according to the provisional solution.

The notification on hearing goes at least in 3 (three) working days prior to completion of term of rendering the state service. Hearing is carried out no later than 2 (two) working days from the date of the notification.

By results of hearing the authorized body issues the letter (certificate) or motivated refusal in rendering the state service.

The employee of responsible division within one working day after signing of result of rendering the state service directs him to society in "personal account" in electronic form certified by the EDS of the authorized person of authorized body.";

state Item 19 in the following edition:

"19. In case of factual determination of completeness and (or) lack of expiration of the submitted documents the employee of responsible division within 5 (five) working days considers documents on compliance to requirements of the Law on the security market and prepares the draft of the letter (certificate) or refusal in rendering the state service, signs result of rendering the state service at the authorized person of authorized body.

In case of identification of the bases for refusal in rendering the state service the authorized body notifies society on the provisional solution about refusal in rendering the state service, and also time and the place (method) of carrying out hearing for provision to society of opportunity to express line item according to the provisional solution.

The notification on hearing goes at least in 3 (three) working days prior to completion of term of rendering the state service. Hearing is carried out no later than 2 (two) working days from the date of the notification.

By results of hearing the authorized body issues the letter (certificate) or motivated refusal in rendering the state service.

The employee of responsible division within one working day after signing of result of rendering the state service directs him to society in "personal account" in electronic form certified by the EDS of the authorized person of authorized body.";

state Item 31 in the following edition:

"31. Consideration of the claim concerning rendering the state service is made by the higher official of authorized body, authorized body by assessment and control of quality of rendering the state services taking into account features, the stipulated in Article 25 Laws on the state services.

The claim is submitted in authorized body and (or) to the official of authorized body whose decision, action (failure to act) are appealed.

If other is not provided by the Law on the security market, the Law on the state services, appeal to the court is performed after appeal in pre-judicial procedure.".

 

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