RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of February 28, 2022 No. 14

About modification and amendments in some resolutions of Board of National Bank of the Republic of Kazakhstan concerning submission of the reporting

The board of National Bank of the Republic of Kazakhstan DECIDES:

1. Approve the List of some resolutions of Board of National Bank of the Republic of Kazakhstan to which changes and amendment concerning submission of the reporting, according to appendix to this resolution are made.

2. To department of statistics of the financial market (Buranbayeva A. M.) in the procedure established by the legislation to provide:

1) together with Legal department (Kasenov A. S.) 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 action provided by the subitem 2) of this Item.

3. To impose control of execution of this resolution on the vice-chairman of National Bank of the Republic of Kazakhstan Baymagambetov A. M.

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

It is approved Agency of the Republic of Kazakhstan on regulation and development of the financial market

It is approved Bureau of national statistics of the Agency on strategic planning and reforms of the Republic of Kazakhstan

Appendix

to the Resolution of Board of National Bank of the Republic of Kazakhstan of February 28, 2022 No. 14

The list of some resolutions of Board of National Bank of the Republic of Kazakhstan to which changes and amendment concerning submission of the reporting are made

1. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of December 26, 2016 No. 315 "About approval of the list, forms, terms of the reporting of large members of banks, bank holdings, large members of the insurance (reinsurance) organizations, insurance holdings, large members of the managing director of investment portfolio, banks of the second level and Rules of their representation" (it is registered in the Register of state registration of regulatory legal acts at No. 14832) the following changes:

state Items 1 and 2 in the following edition:

"1. Approve:

1) the list of the reporting of large members of banks of the second level, bank holdings, large members of the insurance (reinsurance) organizations, insurance holdings, large members of managing directors of investment portfolio, banks of the second level according to appendix 1 to this resolution;

2) report form about the income and property of the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is physical person according to appendix 2 to this resolution;

3) report form about the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of the investment portfolio which is physical person according to appendix 3 to this resolution;

4) report form about officials of the large member of bank of the second level, the insurance (reinsurance) organization who is the legal entity, bank holding, insurance holding according to appendix 4 to this resolution;

5) report form about the organizations in which the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is the legal entity bank holding and insurance holding is participant (shareholder), according to appendix 5 to this resolution;

6) report form about large members (shareholders) of the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is the legal entity, bank holding, insurance holding, and also the information about persons exercising control over the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio, being the legal entity, bank holding, insurance holding according to appendix 6 to this resolution;

7) report form about transactions with connected, including affiliates, concluded during the accounting period, and also acting as of reporting date, and the register connected, including affiliates, according to appendix 7 to this resolution;

8) report form about disaggregation of working tables on creation of consolidated financial statements according to appendix 8 to this resolution;

9) form of the consolidated and unconsolidated financial reporting and the explanatory note to it according to appendix 9 to this resolution;

10) report form about the change of quantity and (or) percentage ratio of bank shares of the second level, the insurance (reinsurance) organization belonging to the large member of bank of the second level, the insurance (reinsurance) organization, being legal entity or physical person, to bank holding, insurance holding and also sources of the means used for share acquisition according to appendix 10 to this resolution;

11) report form about all obligations of members of insurance group to the third parties (group of persons), components ten and more percent from equity of insurance group acting as of reporting date according to appendix 11 to this resolution;

12) report form about the intra group bargains of insurance group concluded during the accounting period, and also existing as of reporting date according to appendix 12 to this resolution;

13) Rules of submission of the reporting by large members of banks of the second level, bank holdings, large members of the insurance (reinsurance) organizations, insurance holdings, large members of managing directors of investment portfolio, banks of the second level according to appendix 13 to this resolution.

2. Large members of banks of the second level, bank holdings, large members of the insurance (reinsurance) organizations, insurance holdings, large members of managing directors of investment portfolio, banks of the second level represent to National Bank of the Republic of Kazakhstan in electronic format the following reporting:

1) the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is physical person, the reporting provided by subitems 2) and 3) of Item 1 of this resolution, annually, no later than 120 (hundred twenty) calendar days upon termination of financial year;

2) the large member of bank of the second level who is legal resident person of the Republic of Kazakhstan, the bank holding which is resident of the Republic of Kazakhstan, except for the banks of the second level having the status of the large member of bank of the second level or bank holding:

the reporting provided by subitems 4), 5) and 7) of Item 1 of this resolution, quarterly, no later than 30 (thirty) calendar days following reporting quarter;

the reporting provided by the subitem 6) of Item 1 of this resolution, quarterly, no later than 10 (tenth) following reporting quarter;

3) the insurance holding which is resident of the Republic of Kazakhstan, except for the banks of the second level having the status of insurance holding, and also the insurance (reinsurance) organization having the status of insurance holding, the reporting provided by subitems 4), 5), 6) and 7) of Item 1 of this resolution, quarterly, no later than 30 (thirty) calendar days following reporting quarter;

4) the large member of the insurance (reinsurance) organization who is legal resident person of the Republic of Kazakhstan, except for the banks of the second level having the status of the large member of the insurance (reinsurance) organization, and also the insurance (reinsurance) organization having the status of the large member of the insurance (reinsurance) organization, the reporting provided by subitems 4), 5), 6), 7) and 9) of Item 1 of this resolution, annually, no later than 30 (thirty) calendar days upon termination of financial year;

5) the large member of the insurance (reinsurance) organization who is legal resident person of the Republic of Kazakhstan in case of absence at the insurance (reinsurance) organization of insurance holding, except for the banks of the second level having the status of the large member of the insurance (reinsurance) organization, and also the insurance (reinsurance) organization having the status of the large member of the insurance (reinsurance) organization or insurance holding, the reporting provided by subitems 4), 5), 6) and 7) of Item 1 of this resolution, quarterly, no later than 30 (thirty) calendar days following reporting quarter;

6) the large member of the managing director of investment portfolio who is legal resident person of the Republic of Kazakhstan, except for the banks of the second level having the status of the large member of the managing director of the investment portfolio, the reporting provided by subitems 5), 6) and 7) of Item 1 of this resolution:

quarterly, no later than 30 (thirty) calendar days following reporting quarter;

annually, no later than 30 (thirty) calendar days upon termination of financial year;

7) the bank holding, the bank of the second level which does not have bank holding which are part of banking conglomerate, insurance holding, being part of insurance group, the reporting provided by the subitem 8) of Item 1 of this resolution:

quarterly, no later than 60 (sixty) calendar days following reporting quarter;

annually, no later than 120 (hundred twenty) calendar days upon termination of financial year;

8) the large member of bank of the second level who is legal resident person of the Republic of Kazakhstan, the bank holding which is resident of the Republic of Kazakhstan, the bank of the second level which does not have bank holding, being part of banking conglomerate, the insurance holding which is resident of the Republic of Kazakhstan, the large member of the managing director of investment portfolio who is legal resident person of the Republic of Kazakhstan, except for banks of the second level, the reporting provided by the subitem 9) of Item 1 of this resolution regarding consolidated financial statements:

quarterly, no later than 60 (sixty) calendar days following reporting quarter;

annually, no later than 120 (hundred twenty) calendar days upon termination of financial year;

regarding the unconsolidated financial reporting:

quarterly, no later than 30 (thirty) calendar days following reporting quarter;

annually, no later than 120 (hundred twenty) calendar days upon termination of financial year;

9) the large member of the insurance (reinsurance) organization who is legal resident person in case of absence at the insurance (reinsurance) organization of insurance holding, the reporting provided by the subitem 9) of Item 1 of this resolution regarding the unconsolidated financial reporting:

quarterly, no later than 30 (thirty) calendar days following reporting quarter;

annually, no later than 120 (hundred twenty) calendar days upon termination of financial year;

10) the large member of bank of the second level, the insurance (reinsurance) organization, being legal entity or physical person, bank holding, insurance holding the reporting provided by the subitem 10) of Item 1 of this resolution within 30 (thirty) calendar days from the date of decision making about change of quantity and (or) percentage ratio of the stocks owned by it;

11) the insurance holding which is part of insurance group, the reporting provided by subitems 11) and 12) of Item 1 of this resolution, quarterly no later than 60 (sixty) calendar days following reporting quarter;

12) the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is the legal entity, bank holding, insurance nonresident holding of the Republic of Kazakhstan, annually, no later than 150 (hundred fifty) calendar days upon termination of financial year, consolidated, in the presence the unconsolidated annual financial reporting and the explanatory note to it certified by auditing organization in the Kazakh or Russian languages.

The explanatory note is constituted according to requirements of the relevant supervisory authority of the country of the location;

13) bank nonresident holding of the Republic of Kazakhstan the reporting provided by the subitem 6) of Item 1 of this resolution, quarterly no later than 10 (tenth) following reporting quarter.";

state appendix 1 in edition according to appendix 1 to the List of some resolutions of Board of National Bank of the Republic of Kazakhstan to which changes and amendment concerning submission of the reporting are made (further - the List);

state appendix 2 in edition according to appendix 2 to the List;

state appendix 3 in edition according to appendix 3 to the List;

state appendix 4 in edition according to appendix 4 to the List;

state appendix 5 in edition according to appendix 5 to the List;

state appendix 6 in edition according to appendix 6 to the List;

state appendix 7 in edition according to appendix 7 to the List;

state appendix 8 in edition according to appendix 8 to the List;

state appendix 9 in edition according to appendix 9 to the List;

state appendix 10 in edition according to appendix 10 to the List;

state appendix 11 in edition according to appendix 11 to the List;

state appendix 12 in edition according to appendix 12 to the List;

state appendix 13 in edition according to appendix 13 to the List;

2. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of June 30, 2017 No. 112 "About approval of the list, forms, terms and Rules of submission of the reporting by the collection agency" (it is registered in the Register of state registration of regulatory legal acts at No. 15481) the following changes and amendment:

state Item 1 in the following edition:

"1. Approve:

1) the list of the reporting of the collection agency according to appendix 1 to this resolution;

2) report form about structure of the debt accepted in work (under the agreement on pre-judicial debt collection) according to appendix 2 to this resolution;

3) report form about structure of the acquired debt according to appendix 3 to this resolution;

4) report form about the main sources of the attracted money according to appendix 4 to this resolution;

5) report form about the accepted loans, including on which overdue debt on principal debt and (or) the added remuneration according to appendix 5 to this resolution is had;

6) report form about the authorized capital according to appendix 6 to this resolution;

7) Rules of submission of the reporting by the collection agency according to appendix 7 to this resolution.";

state appendix 1 in edition according to appendix 14 to the List;

state appendix 2 in edition according to appendix 15 to the List;

state appendix 3 in edition according to appendix 16 to the List;

state appendix 4 in edition according to appendix 17 to the List;

state appendix 5 in edition according to appendix 18 to the List;

state appendix 6 in edition according to appendix 19 to the List;

add with appendix 7 in edition according to appendix 20 to the List.

3. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of December 27, 2019 No. 258 "About establishment of the list, forms, terms of submission of the reporting on accomplishment of prudential standard rates by banking conglomerates and Rules of its representation" (it is registered in the Register of state registration of regulatory legal acts at No. 19834) the following changes:

state appendix 2 in edition according to appendix 21 to the List;

state appendix 3 in edition according to appendix 22 to the List;

state appendix 4 in edition according to appendix 23 to the List;

state appendix 5 in edition according to appendix 24 to the List;

state appendix 6 in edition according to appendix 25 to the List;

state appendix 7 in edition according to appendix 26 to the List;

state appendix 8 in edition according to appendix 27 to the List.

Appendix 1

to the List of some Resolutions of Board of National Bank of the Republic of Kazakhstan to which changes and amendment concerning submission of the reporting are made

Appendix 1

to the Resolution of Board of National Bank of the Republic of Kazakhstan of December 26, 2016 No. 315

List of the reporting of large members of banks of the second level, bank holdings, large members of the insurance (reinsurance) organizations, insurance holdings, large members of managing directors of investment portfolio, banks of the second level

The reporting of large members of banks of the second level, bank holdings, large members of the insurance (reinsurance) organizations, insurance holdings, large members of managing directors of investment portfolio, banks of the second level includes:

1) report form about the income and property of the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is physical person;

2) report form about the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of the investment portfolio which is physical person;

3) report form about officials of the large member of bank of the second level, the insurance (reinsurance) organization who is the legal entity, bank holding, insurance holding;

4) report form about the organizations in which the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is the legal entity bank holding and insurance holding is participant (shareholder);

5) report form about large members (shareholders) of the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is the legal entity of bank holding, insurance holding, and also the information about persons exercising control over the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio being the legal entity, bank holding, insurance holding;

6) report form about transactions with connected, including affiliates, concluded during the accounting period, and also acting as of reporting date, and the register connected, including affiliates;

7) report form about disaggregation of working tables on creation of consolidated financial statements;

8) form of the consolidated and unconsolidated financial reporting and the explanatory note to it;

9) report form about the change of quantity and (or) percentage ratio of bank shares of the second level, the insurance (reinsurance) organization belonging to the large member of bank of the second level, the insurance (reinsurance) organization, being legal entity or physical person, to bank holding, insurance holding and also sources of the means used for share acquisition;

10) report form about all obligations of members of insurance group to the third parties (group of persons), components ten and more percent from equity of insurance group acting as of reporting date;

11) report form about the intra group bargains of insurance group concluded during the accounting period, and also existing as of reporting date.

Appendix 2

to the List of some Resolutions of Board of National Bank of the Republic of Kazakhstan to which changes and amendment concerning submission of the reporting are made

Appendix 2

to the Resolution of Board of National Bank of the Republic of Kazakhstan of December 26, 2016 No. 315

The form intended for collection of administrative data

It is represented: in National Bank of the Republic of Kazakhstan

The form of administrative data is placed on Internet resource: www.nationalbank.kz

The income statement and property of the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is physical person

Index of form of administrative data: KUFL_F2

Frequency: annual

Accounting period: as of "___" "__________" 20 __ years

c "___" "________" 20 ___ on "___" "________" 20 ___.

The group of people, submitting the report: the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is physical person.

Term of representation of form of administrative data: annually, no later than 120 (hundred twenty) calendar days upon termination of financial year.

Form

Table 1. The gained income and other cash receipts

№	Name of income type and other cash receipts	The amount (in thousands of tenges)
1	2	3
1.	Income and other cash receipts, everything, including:
1.1	salary and other remuneration of labor activity
1.2	dividends and the income from shares in the authorized capital (shares) of the organizations which are owned by the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio (with disaggregation)
1.2.1
1.2.n
1.3	the paid remuneration on deposits
1.4	the paid remuneration on the securities, shares which are in management of mutual investment fund
1.5	income from leasing of property
1.6	other entrepreneurial incomes (with disaggregation)
1.6.1
1.6.n
1.7	sale of property
1.8	receipt of loans
1.9	receipt of the financial, financial and sponsor's aid
1.10	receipt of property in gift
1.11	other (with disaggregation)
1.11.1
1.11.n

Table 2. Data on property

№	Name of type of property	Property value (in thousands of tenges) by the end of the reporting period	Liquidity degree
1	2	3	4
1.	Property, everything, including:
1.1	money of everything, including: 1) cash: in national currency; in foreign currency; 2) on bank accounts in banks of the second level: in national currency; in foreign currency; 3) on bank accounts in foreign banks in foreign currency; 4) in other form (with disaggregation)
1.1.4.1
1.1.4.n
1.2	the affined precious metals and products from them
1.3	real estate (with disaggregation)
1.3.1
1.3.n
1.4	shares in the authorized capital (share) of the organizations which is owned by the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio
1.4.1	including being in trust management
1.5	the securities, shares which are in management of mutual investment fund
1.6	other property, including:
1.6.1	objektirovanny results of creative intellectual activities
1.6.2	trade names, trademarks and other means of individualization of products
1.6.3	other property rights
1.6.4	other
1.7	property, right of possession, uses and orders which it is limited (with disaggregation and specifying of the basis of restriction)
1.7.1
1.7.n
2	The maximum property value provided by the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio as recapitalization of the financial organization, in case of deterioration in financial position of the financial organization		X
2.1
2.n
3	For information only: short-term obligations		X
3.1			X
3.n			X

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