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

of May 30, 2022 No. 40

About introduction of amendments to the resolution of Board of National Bank of the Republic of Kazakhstan of December 28, 2018 No. 318 "About approval of Rules of forming of risk management system and internal control for the central depositary"

Board of the Agency of the Republic of Kazakhstan on regulation and development of the DECIDES: financial market

1. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of December 28, 2018 No. 318 "About approval of Rules of forming of risk management system and internal control for the central depositary" (it is registered in the Register of state registration of regulatory legal acts of the Republic of Kazakhstan at No. 18180) the following changes:

in the Rules of forming of risk management system and internal control for the central depositary approved by the specified resolution:

in Requirements to internal documents of risk management system and internal control according to appendix 5:

state Item 1 in the following edition:

"1. Risk management system of the central depositary provides, but is not limited to availability of the following internal documents:

1) policy of the central depositary on risk management;

2) procedure for investment of own assets of the central depositary;

3) procedures of implementation of internal control and internal audit;

4) the procedures directed to counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing;

5) procedures of management of the existing and potential conflicts of interest in the central depositary;

6) procedures of ensuring safety of data, components the commercial and (or) protected by the laws of the Republic of Kazakhstan other secret (further - confidential information), their uses directed to prevention to own advantage the central depositary, his workers or the third parties;

7) procedures of implementation of clearing for transactions with financial instruments;

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