of February 28, 2022 No. 15
About modification and amendments in some resolutions of Board of National Bank of the Republic of Kazakhstan concerning submission of the reporting by participants of the insurance market and the security market
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 by participants of the insurance market and the security market, 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 of the Republic of Kazakhstan 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.
Chairman of the board of National Bank of the Republic of Kazakhstan
G. Pirmatov
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It is approved Agency of the Republic of Kazakhstan on regulation and development of the financial market |
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It is approved Bureau of national statistics of the Agency on strategic planning and reforms of the Republic of Kazakhstan |
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Appendix
to the Resolution of Board of National Bank of the Republic of Kazakhstan of February 28, 2022 No. 15
1. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of November 26, 2019 No. 211 "About approval of the list, forms, terms of submission of the reporting by the licensees performing activities in the security market, the single operator and Rules of its representation" (it is registered in the Register of state registration of regulatory legal acts at No. 19672) the following changes and amendment:
in Chapter 2 of the explanation on filling of form of administrative data of appendix 25:
state Item 7 in the following edition:
"7. In column 6 the final owner of valuable papers clients of the broker and (or) the dealer, the single operator, custodian who is the nominee holder (surname, name and middle name (is specified in case of its availability) - for physical person, the name - for the legal entity).";
add with Item 7-1 of the following content:
"7-1. In column 7 the number of securities in pieces is specified. Debt securities are specified at par value in release currency.";
state appendix 26 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 by participants of the insurance market and the security market are made (further - the List).
2. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of November 28, 2019 No. 223 "About approval of the list, forms, terms of submission of the reporting on accomplishment of prudential standard rates by the insurance (reinsurance) organization, insurance group and the Islamic insurance (reinsurance) organization and Rules of its representation" (the following change is registered in the Register of state registration of regulatory legal acts at No. 19701):
state appendix 2 in edition according to appendix 2 to the List.
3. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of December 31, 2019 No. 275 "About approval of the list, forms, terms of submission of the reporting by the insurance (reinsurance) organization and insurance broker and Rules of its representation" (it is registered in the Register of state registration of regulatory legal acts at No. 19927) the following changes:
state appendix 18 in edition according to appendix 3 to the List;
state appendix 23 in edition according to appendix 4 to the List;
state appendix 31 in edition according to appendix 5 to the List;
state appendix 33 in edition according to appendix 6 to the List;
in Chapter 2 of the explanation on filling of form of administrative data of appendix 38:
state Item 6 in the following edition:
"6. In shape insurance premiums minus the expenses connected with insurance agreement cancelation and the insurance payments performed from the beginning of the accounting period under agreements of direct insurance are specified.";
state Item 8 in the following edition:
"8. The total sum of insurance premiums in column 3 corresponds to the amount of the insurance premiums accepted according to insurance contracts, specified in column 4 reports on insurance premiums minus the expenses connected with agreement cancelation of insurance, specified in column 19 of the report on insurance premiums.";
in Chapter 2 of the explanation on filling of form of administrative data of appendix 39:
state Item 5 in the following edition:
"5. In shape the amount of the insurance premiums accepted according to insurance contracts minus the expenses connected with insurance agreement cancelation is specified.";
state Item 7 in the following edition:
"7. The total sum of insurance premiums in column 39 corresponds to the amount of the insurance premiums accepted according to insurance contracts, specified in column 4 reports on insurance premiums minus the expenses connected with agreement cancelation of insurance, specified in column 19 of the report on insurance premiums.";
state appendix 41 in edition according to appendix 7 to the List.
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 by participants of the insurance market and the security market are made
Appendix 26
to the Resolution of Board of National Bank of the Republic of Kazakhstan of November 26, 2019 No. 211
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 report on accomplishment of prudential standard rates by the organizations exercising control of investment portfolio and (or) broker and (or) dealer activities in the security market
Index of form of administrative data: K1_BD-UIP
Frequency: monthly
Accounting period: as of "_____" _______________ 20 __ years
The group of people, submitting the report: managing directors of investment portfolio, brokers and (or) dealers
Term of representation of form of administrative data: monthly, no later than 5 (fifth) working days of the month following month under report
Form
Table. Data on accomplishment of prudential standard rates by the organizations exercising control of investment portfolio and (or) broker and (or) dealer activities in the security market
(in thousands of tenges)
|
№ |
Name of indicator |
The amount on balance |
The considered amount (as a percentage) |
The amount to calculation |
|
1 |
2 |
3 |
4 |
5 |
|
1 |
Money and deposits of everything, including: |
|
|
|
|
1.1 |
money in cash desk in the amount which is not exceeding 10 (ten) percent from the amount of assets on balance of the organization performing activities for management of investment portfolio, broker and (or) dealer activities in the security market (further – the Organization) |
|
100 |
|
|
1.2 |
money on current accounts in the banks of the second level of the Republic of Kazakhstan specified in lines 1.9 and 1.10 of this appendix |
|
100 |
|
|
1.3 |
money on current accounts in the banks of the second level of the Republic of Kazakhstan specified in line 1.11 of this appendix |
|
90 |
|
|
1.4 |
money on accounts in the central depositary |
|
100 |
|
|
1.5 |
the money of the Organization which is fees in guarantee or reserve funds of the clearing organization (the central partner), mid-flight fees, complete and (or) partial ensuring obligation fulfillment according to the bargains concluded in trade system of stock exchange by method of open tenderings and (or) with participation of the central partner |
|
100 |
|
|
1.6 |
money on current accounts in the nonresident banks of the Republic of Kazakhstan having long-term credit rating is not lower than "VVV-" on the international scale of the agency Standard энд Purs (Standard & Poor "s) or the rating of similar level of one of other rating agencies |
|
100 |
|
|
1.7 |
money on accounts in the nonresident organizations of the Republic of Kazakhstan performing functions, stipulated in Item 1 article 59 of the Law of the Republic of Kazakhstan "About the security market", having long-term credit rating is not lower than "VVV" on the international scale of the agency Standard энд Purs (Standard & Poor "s) or the rating of similar level of one of other rating agencies |
|
100 |
|
|
1.8 |
money on accounts in the nonresident organizations of the Republic of Kazakhstan which are the member of International association concerning servicing of securities |
|
100 |
|
|
1.9 |
deposits in banks of the second level of the Republic of Kazakhstan provided that these banks are the issuers included in category "premium" of the sector of "share" of the Main platform of the official listing of stock exchange or issuers whose shares are in the representative list of the stock exchange index |
|
100 |
|
|
1.10 |
deposits in the banks of the second level of the Republic of Kazakhstan corresponding to one of the following requirements: have long-term credit rating not below "B" on the international scale of the agency Standard энд Purs (Standard & Poor "s) or the rating of similar level of one of other rating agencies, or rating assessment not below "kzBB+" on national scale Standard энд Purs (Standard & Poor" s) or the rating of similar level on national scale of one of other rating agencies; are affiliated resident banks of the Republic of Kazakhstan which parent nonresident banks of the Republic of Kazakhstan have long-term credit rating in foreign currency not below "And -" on the international scale of the agency Standard энд Purs (Standard & Poor "s) or the rating of similar level of one of other rating agencies |
|
100 |
|
|
1.11 |
deposits in the banks of the second level of the Republic of Kazakhstan having long-term credit rating "In -" on the international scale of the agency Standard энд Purs (Standard & Poor "s) or the rating of similar level of one of other rating agencies, or rating from "kzBB" to "kzBB-" on national scale Standard энд Purs (Standard & Poor" s) or the rating of similar level on national scale of one of other rating agencies |
|
90 |
|
|
1.12 |
deposits in the international financial institutions having long-term rating are not lower than "AA-" of the agency Standard энд Purs (Standard & Poor "s) or the rating of similar level of one of other rating agencies, deposits in Eurasian Development Bank in national currency of the Republic of Kazakhstan |
|
100 |
|
|
1.13 |
deposits in the nonresident banks having long-term rating are not lower than "VVV-" on the international scale of the agency Standard энд Purs (Standard & Poor "s) or the rating of similar level of one of other rating agencies |
|
100 |
|
|
2 |
Debt securities – everything, including: |
|
|
|
|
2.1 |
government securities of the Republic of Kazakhstan, including emitted according to the legislation of other states, issued by the Ministry of Finance of the Republic of Kazakhstan and National Bank of the Republic of Kazakhstan |
|
100 |
|
|
2.2 |
the debt securities issued by local executive bodies of the Republic of Kazakhstan, included in the official listing of the stock exchange performing activities in the territory of the Republic of Kazakhstan |
|
100 |
|
|
2.3 |
the debt securities issued by the legal entity performing the redemption of mortgage loans of the physical persons which are not connected with business activity which hundred percent of shares belong to National Bank of the Republic of Kazakhstan |
|
100 |
|
|
2.4 |
the debt securities issued by joint-stock companies "Development Bank of Kazakhstan", "National welfare fund "Samruk-Kazyna", "National managing holding "Bayterek", "Fund of the Problem Credits" according to the legislation of the Republic of Kazakhstan and other states |
|
100 |
|
|
2.5 |
the non-state debt securities of legal entities of the Republic of Kazakhstan issued according to the legislation of the Republic of Kazakhstan and other states, included in the sector in "debt securities" of the Main platform of the official listing of stock exchange, or the non-state debt securities of legal entities of the Republic of Kazakhstan admitted to public trading on the stock exchange functioning in the territory of the International financial center "Astana", the "debt securities" of the Main platform of the official listing of stock exchange conforming to requirements of stock exchange for inclusion in the sector |
|
90 |
|
|
2.6 |
the non-state debt securities of legal entities of the Republic of Kazakhstan issued according to the legislation of the Republic of Kazakhstan and other states, included in the sector in "debt securities" of the Alternative platform of the official listing of stock exchange, or the non-state debt securities of legal entities of the Republic of Kazakhstan admitted to public trading on the stock exchange functioning in the territory of the International financial center "Astana", the "debt securities" of the Alternative platform of the official listing of stock exchange conforming to requirements of stock exchange for inclusion in the sector |
|
60 |
|
|
2.7 |
the non-state debt securities of legal entities of the Republic of Kazakhstan issued according to the legislation of the Republic of Kazakhstan and other states, having (which issuer has) rating assessment not below "VV-" on the international scale of the agency Standard энд Purs (Standard & Poor "s) or the rating of similar level of one of other rating agencies, or rating are not lower than "kzA-" on national scale Standard энд Purs (Standard & Poor" s) or the rating of similar level on national scale of one of other rating agencies |
|
100 |
|
|
2.8 |
the non-state debt securities of legal entities of the Republic of Kazakhstan issued according to the legislation of the Republic of Kazakhstan and other states, having (which issuer has) rating assessment from "In +" to "In -" on the international scale of the agency Standard энд Purs (Standard & Poor "s) or the rating of similar level of one of other rating agencies, or rating from "kzBBB+" to "kzBB-" on national scale Standard энд Purs (Standard & Poor" s) or the rating of similar level on national scale of one of other rating agencies |
|
85 |
|
|
2.9 |
the non-state debt securities issued by the international financial institutions having the international rating are not lower than "AA-" of the agency Standard энд Purs (Standard & Poor "s) or the rating of similar level of one of other rating agencies, and also securities issued by Eurasian Development Bank and nominated in national currency of the Republic of Kazakhstan |
|
100 |
|
|
2.10 |
debt securities of the foreign states having sovereign rating are not lower than "VVV-" on the international scale of the agency Standard энд Purs (Standard & Poor "s) or the rating of similar level of one of other rating agencies |
|
100 |
|
|
2.11 |
debt securities of the foreign states having sovereign rating from "BB+" to "VV-" on the international scale of the agency Standard энд Purs (Standard & Poor "s) or the rating of similar level of one of other rating agencies |
|
90 |
|
|
2.12 |
debt securities of the foreign states having sovereign rating from "In +" to "In -" on the international scale of the agency Standard энд Purs (Standard & Poor "s) or the rating of similar level of one of other rating agencies |
|
80 |
|
|
2.13 |
the non-state debt securities of foreign issuers having (which issuer has) rating assessment not below "VVV-" on the international scale of the agency Standard энд Purs (Standard & Poor "s) or the rating of one of other rating agencies |
|
100 |
|
|
2.14 |
the non-state debt securities of foreign issuers having (which issuer has) rating assessment from "BB+" to "VV-" on the international scale of the agency Standard энд Purs (Standard & Poor "s) or the rating of one their other rating agencies |
|
85 |
|
|
2.15 |
the non-state debt securities of foreign issuers having (which issuer has) rating assessment from "In +" to "In -" on the international scale of the agency Standard энд Purs (Standard & Poor "s) or the rating of one their other rating agencies |
|
70 |
|
|
3 |
Shares and depositary receipts – everything, including: |
|
|
|
|
3.1 |
shares of legal entities of the Republic of Kazakhstan and the foreign issuers who are part of the main stock indexes, and depositary receipts which underlying asset are these shares |
|
100 |
|
|
3.2 |
the shares of legal entities included in the official listing of stock exchange, conforming to requirements of category "premium" of the sector of "share" of the Main platform of the official listing of stock exchange and depositary receipts basic assets of which are these shares |
|
100 |
|
|
3.3 |
shares of legal entities – residents of the Republic of Kazakhstan, the sectors of "share" of the Main platform of the official listing of stock exchange, or the share of legal entities included in category "standard" – residents of the Republic of Kazakhstan, included in the official listing of the stock exchange functioning in the territory of the International financial center "Astana", admitted to public trading, and depositary receipts which underlying asset are these shares, except for shares and depositary receipts which underlying asset are these shares, 3.4 presents of appendix specified in line |
|
80 |
|
|
3.4 |
the shares of legal entities of the Republic of Kazakhstan included in the sector of "share" of the Alternative platform of the official listing of stock exchange, or the shares of legal entities of the Republic of Kazakhstan included in subsection of the official listing "Segment of the Regional Stock Market" of the stock exchange functioning in the territory of the International financial center "Astana", admitted to public trading and depositary receipts which underlying asset are these shares |
|
60 |
|
|
3.5 |
shares of legal entities of the Republic of Kazakhstan and the foreign issuers having rating assessment not below "VVV-" on the international scale of the agency Standard энд Purs (Standard & Poor "s) or the rating of similar level of one of other rating agencies, and depositary receipts which underlying asset are these shares |
|
100 |
|
|
3.6 |
shares of legal entities of the Republic of Kazakhstan and the foreign issuers having rating assessment from "BB+" to "VV-" on the international scale of the agency Standard энд Purs (Standard & Poor "s) or the rating of similar level of one of other rating agencies, and depositary receipts which underlying asset are these shares |
|
80 |
|
|
3.7 |
shares of legal entities of the Republic of Kazakhstan and the foreign issuers having rating assessment from "In +" to "In -" on the international scale of the agency Standard энд Purs (Standard & Poor "s) or the rating of similar level of one of other rating agencies, and depositary receipts which underlying asset are these shares |
|
60 |
|
|
4 |
Other securities – everything, including: |
|
|
|
|
4.1 |
the securities of investment funds included in the official listing of stock exchange |
|
70 |
|
|
4.2 |
shares Ekscheyndzh Treyded of Fands (Exchange Traded Funds) the structure of assets of which repeats structure of one of the main stock indexes, or pricing on shares of which is tied to the main stock indexes |
|
90 |
|
|
4.3 |
shares Exchange Traded of Fands (Exchange Traded Funds), Exchange Traded Commodities, Exchange Traded of Nouts (Exchange Traded Notes) having rating assessment not below "3 stars" of Morningstar rating agency |
|
80 |
|
|
4.4 |
the securities which are the transaction subject of "the return repo" concluded with participation of the central partner |
|
100 |
|
|
5 |
Other assets – everything, including: |
|
|
|
|
5.1 |
the affined precious metals and metal accounts |
|
100 |
|
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