JOINT ORDER OF I.O. MINISTER OF JUSTICE OF THE REPUBLIC OF KAZAKHSTAN AND I.O. MINISTER OF NATIONAL ECONOMY OF THE REPUBLIC OF KAZAKHSTAN

of November 28, 2022 No. 970, on November 28, 2022 No. 93

About introduction of amendments to the joint order of the Minister of Justice of the Republic of Kazakhstan of July 5, 2019 No. 350 and the Minister of national economy of the Republic of Kazakhstan of July 9, 2019 No. 61 "About approval of criteria for evaluation of risk degree and checking leaf in the field of registration of the legal entities, branches and representations which are the commercial organizations"

WE ORDER:

1. Bring in the joint order of the Minister of Justice of the Republic of Kazakhstan of July 5, 2019 No. 350 and the Minister of national economy of the Republic of Kazakhstan of July 9, 2019 No. 61 "About approval of criteria for evaluation of risk degree and checking leaf in the field of registration of the legal entities, branches and representations which are the commercial organizations" (it is registered in the Register of state registration of regulatory legal acts No. 18998) the following changes:

state preamble in the following edition:

"According to Item 5 of Article 141 and Item 1 of article 143 of the Entrepreneurial code of the Republic of Kazakhstan, we ORDER:";

to be reworded as follows appendices 1 and 2 to the joint order according to appendices 1 and 2 to this joint order.

2. To provide to department of registration service and organization of legal services of the Ministry of Justice of the Republic of Kazakhstan in the procedure established by the legislation of the Republic of Kazakhstan state registration of this joint order.

3. To impose control of execution of this joint order on the supervising vice-Minister of Justice of the Republic of Kazakhstan.

4. This joint order becomes effective since January 1, 2023 and is subject to official publication.

Acting Minister of national economy of the Republic of Kazakhstan

__________ T. Zhaksylykov

Deputy. Minister of Justice of the Republic of Kazakhstan

__________ A. Mukanova

It is approved Committee on legal statistics and special accounting of the Prosecutor General's Office of the Republic of Kazakhstan

Appendix 1

to the joint Order of the deputy. The Minister of Justice of the Republic of Kazakhstan and the Acting Minister of national economy of the Republic of Kazakhstan of November 28, 2022 No. 970, on November 28, 2022 No. 93

Appendix 1

to the joint Order of the Minister of Justice of the Republic of Kazakhstan and the Minister of national economy of the Republic of Kazakhstan of July 5, 2019 No. 350, on July 9, 2019 No. 61

Criteria for evaluation of risk degree in the field of registration of the legal entities, branches and representations which are the commercial organizations

Chapter 1. General provisions

1. These Criteria for evaluation of risk degree in the field of registration of the legal entities, branches and representations which are the commercial organizations (further - Criteria) are developed according to the Entrepreneurial Code of the Republic of Kazakhstan (further - the Code), the Law of the Republic of Kazakhstan "About state registration of legal entities and accounting registration of branches and representations" and Rules of forming by the regulatory state agencies of system of assessment and risk management approved by the order of the acting minister of national economy of the Republic of Kazakhstan of June 22, 2022 No. 48 (it is registered in the Register of state registration of regulatory legal acts No. 28577) and forms of checking sheets, approved by the order of the acting minister of national economy of the Republic of Kazakhstan of July 31, 2018 No. 3 (it is registered in the Register of state registration of regulatory legal acts No. 17371).

2. In these Criteria the following concepts are used:

1) the subject of control - branches of Non-commercial joint-stock company "The Government for Citizens state corporation, performing state registration in place of registration of subject to taxation (further - registering body);

2) insignificant violations - violation of the requirements established by the legislation of the Republic of Kazakhstan in case of registration actions;

3) considerable violations - violations of the requirements established by the legislation of the Republic of Kazakhstan in case of registration actions;

4) gross violations - violations of the requirements established by the legislation of the Republic of Kazakhstan in registration actions which can lead to fundamental breaches of the rights, freedoms and legitimate interests of uslugopoluchatel;

5) risk – probability of damnification as a result of activities of the subject of control to legitimate interests of physical persons and legal entities, valuable interests of the state taking into account severity of its effects;

6) objective criteria for evaluation of risk degree (further - objective criteria) – the criteria for evaluation of risk degree used for selection of subjects of control depending on risk degree in certain field of activity and which are not depending directly on the certain subject of control;

7) subjective criteria for evaluation of risk degree (further – subjective criteria) – the criteria for evaluation of risk degree used for selection of subjects of control depending on results of activities of the specific subject of control;

8) registration actions – state registration of legal entities, accounting registration of branches and representations; the state re-registration of legal entities, accounting re-registration of branches and representations, state registration of modification and amendments in constituent documents, state registration of the termination of activities of legal entities, registration of removal from accounting of the branches and representations relating to the commercial organizations, their branches and representations.

3. Criteria for evaluation of risk degree for preventive control with visit of the subject of control are created by means of determination of objective and subjective criteria.

Chapter 2. Objective criteria

4. By objective criteria activities of registering body belong to high risk.

Activities of registering body belong to high risk depending on probability of damnification to legitimate interests of physical persons and legal entities, interests of the state as a result of activities of the subjects of control connected with ensuring safety of information on legal entities (personal data), except for the data determined by Item 13 of article 28 of the Code which can lead to illegal distribution of information on legal entities (personal data) and founders (participants, members) and to entail violation of the rights guaranteed by the state and freedoms of citizens.

5. Concerning registering bodies unscheduled inspections and preventive control with visit of the subject of control are carried out.

Chapter 3. Subjective criteria.

6. Determination of subjective criteria is performed using the following stages:

1) forming of the database and information collection;

2) information analysis and risk assessment.

7. Forming of the database and information collection are necessary for identification of the subjects of control violating the law of the Republic of Kazakhstan.

For assessment of risk degree the following sources of information are used:

1) results of monitoring of the reporting and the data represented by the subject of control including by means of the automated information systems, carried out by state bodies, organizations and the industry organizations;

2) results of the previous checks of preventive control with visit of subjects of control;

3) availability and the number of the confirmed claims and addresses;

4) results of preventive control without visit of the subject of control (the resulting documents issued following the results of preventive control without visit of the subject of control);

5) the analysis official the Internet - resources of state bodies, mass media;

6) analysis results of the data represented by authorized bodies and the organizations.

8. Based on the available information sources, regulatory state agencies create the subjective criteria which are subject to assessment.

The following measure calculation of risk degree is applied to reference of the subject of control to risk degree.

In case of identification of one gross violation, to the subject of control the exponent of risk 100 is equated and concerning it preventive control with visit of the subject of control is carried out.

If gross violations are not revealed, for measure definition of risk degree the total indicator on violations of considerable and insignificant degree is calculated.

In case of measure definition of considerable violations the coefficient of 0,7 is applied and this indicator is calculated by the following formula:

SRZ = (SP2 x 100/SP1) x 0,7 where:

SRZ – indicator of considerable violations;

SP1 – the required number of considerable violations;

SP2 – the number of the revealed considerable violations;

In case of measure definition of insignificant violations the coefficient of 0,4 is applied and this indicator is calculated by the following formula:

SRN = (SP2 x 100/SP1) x 0,4, where:

SRN-indicator of insignificant violations;

SP1 – the required number of insignificant violations;

SP2 – the number of the revealed insignificant violations;

The general exponent of risk (SP) is calculated on scale from 0 to 100 and is determined by summing of indicators of considerable and insignificant violations by the following formula:

SP = SRZ + SRN, where:

SP – general exponent of risk;

SRZ – indicator of considerable violations;

SRN – indicator of insignificant violations.

Subjective criteria to assessment of risk degree of activities of subjects of control are given in appendix to these Criteria.

On risk exponents the subject of control belongs:

1) to high risk – in case of exponent of risk from 71 to 100 inclusive;

2) to average risk degree – in case of exponent of risk from 41 to 70 inclusive;

3) to low risk degree – in case of exponent of risk from 0 to 40 inclusive.

In the analysis and assessment the data of subjective criteria which are earlier considered and used concerning the specific subject of control or data according to which the term of limitation period according to the legislation of the Republic of Kazakhstan expired are not applied.

Frequency rate of carrying out preventive control with visit of the subject of control is determined by results of the carried-out analysis and assessment of the received data on subjective criteria and cannot be more often than two times a year.

Preventive control with visit of the subject of control is carried out based on semi-annual lists of preventive control with visit of the subject of control.

Lists of preventive control with visit of the subject of control are constituted taking into account priority of the subject of control with the greatest exponent of risk by subjective criteria.

Appendix

to Criteria for evaluation of risk degree in the field of registration of legal entities, being the commercial organizations

Subjective criteria to assessment of risk degree of activities of subjects of control

№	Criteria for evaluation of risk degree in the field of registration of legal entities and accounting registration of branches and representations	Extent of violation
1. Results of monitoring of the reporting and the data represented by the subject of control including by means of the automated information systems, carried out by state bodies, organizations and the industry organizations
1)	doubtful filling of data in the National register of business and identification numbers	Rough
2. Results of the previous preventive control with visit of subjects of control (severity of violation is established in case of non-compliance with the listed requirements)
1)	non-admission of carrying out registration actions in case of discrepancy of the provided documents to requirements of the Law "About State Registration of Legal Entities and Accounting Registration of Branches and Representations"	Rough
2)	non-admission of carrying out registration actions in the presence of court resolutions and resolutions (prohibitions, arrests) of legal executives and law enforcement agencies	Rough
3)	non-admission of carrying out registration actions in case of violation of procedure for creation, re-registration and reorganization of the legal entity identified by legal acts of the Republic of Kazakhstan, discrepancy of constituent documents to the law of the Republic of Kazakhstan	Rough
4)	non-admission of carrying out registration actions in case of non-presentation of the transfer act or separation balance sheet or lack in them of regulations on legal succession of the reorganized legal entity	Rough
5)	non-admission of carrying out registration actions if the legal entity or the single founder (participant) of the legal entity is the idle legal entity	Rough
6)	non-admission of carrying out registration actions if the physical person which is the founder (the participant, the member) and (or) the head of the legal entity is the single founder (the participant, the member) and (or) the head of the idle legal entities	Rough
7)	non-admission of carrying out registration actions if the physical person which is the founder (the participant, the member) and (or) the head of the legal entity acknowledged incapacitated or is limited by capable	Rough
8)	non-admission of carrying out registration actions if the physical person which is the founder (the participant, the member) and (or) the head of the legal entity is acknowledged unknown absent, is announced by the dead, registered as the dead or his status is not determined	Rough
9)	non-admission of carrying out registration actions if the physical person which is the founder (the participant, the member) and (or) the head of the legal entity has the outstanding or not removed criminal record for crimes under Articles 237, 238 Criminal Codes of Kazakhstan	Rough
10)	non-admission of carrying out registration actions if in case of state registration the founder (physical person and (or) the legal entity), his founders, the head of the legal entity, the founder and (or) the head of the legal entity who is the founder (the participant, the member) of the legal entity are debtors according to the executive document, except for the person which is the debtor on enforcement proceeding about collection of periodical payments and who does not have debt on enforcement proceeding about periodic penalties more than three months	Rough
11)	non-admission of carrying out registration actions if the physical person which is the founder (participant) and (or) the head of the legal entity is included in the list of the organizations and faces tied with financing of distribution of weapons of mass destruction and (or) in the list of the organizations and faces tied with financing of terrorism and extremism according to the legislation of the Republic of Kazakhstan, except for the shares (shares in the authorized capital) confiscated and (or) collected by a court decision	Rough
12)	non-admission of carrying out registration actions in case of registration with the lost and (or) invalid documents, the heads / founders (members, participants) proving the identity	Rough
13)	non-admission of carrying out registration actions in case of incomplete document package, necessary for registration actions	Rough
14)	non-admission of unreasonable refusal in registration actions	Rough
15)	non-compliance with terms of carrying out registration actions	Rough
16)	non-admission of reclamation from uslugopoluchatel of documents which can be received from information systems	Considerable
17)	non-compliance by the service provider business - processes of rendering the state service	Considerable
18)	non-admission of unreasonable break of term of registration actions	Considerable
19)	inadequate conducting and storage of registration cases	Rough
20)	availability of one and more confirmed claim or address	Considerable
3. The analysis official the Internet - resources of state bodies, mass media.
1)	availability on official Internet resources and in printing editions of information on the facts of illegal registration of legal entities and accounting registration of branches and representations	Insignificant
2)	availability on official Internet resources and in printing editions of information on disclosure of personal data of citizens, including the mystery of private life in case of registration of legal entities and accounting registration of branches and representations	Rough
4. Analysis results of the data represented by authorized bodies and the organizations
1)	availability of the facts of pronouncement by courts of private resolutions or determinations concerning the subject of control	Rough
2)	availability of the facts of removal by court of the decision on recognition of the fact of registration which took legal effect invalid in which his fault is specified	Rough
3)	availability of the facts of removal by court of the decision which took legal effect, concerning the subject of control, according to reasonable complaints about actions or failure to act of officials in which his fault is specified	Rough

 

Appendix 2

to the joint Order of the deputy. The Minister of Justice of the Republic of Kazakhstan and the Acting Minister of national economy of the Republic of Kazakhstan of November 28, 2022 No. 970, on November 28, 2022 No. 93

Appendix 2

to the joint Order of the Minister of Justice of the Republic of Kazakhstan and the Minister of national economy of the Republic of Kazakhstan of July 5, 2019 No. 350, on July 9, 2019 No. 61

Checking leaf

In the field of registration of legal entities and accounting registration of branches and representations concerning activities of branches of Non-commercial joint-stock company "The Government for Citizens state corporation (further - registering bodies), the legal entities performing registration and accounting registration of branches and representations

_________________________________________________________________________________
                 (name of homogeneous group of subjects of control)

The state body which appointed preventive control with visit of the subject of control

______________________________________________________________________________________

The act of purpose of preventive control with visit of the subject of control

_______________________________________________________________________________________
                                                 (No., date)

Name of the subject of control

_______________________________________________________________________________________
                        (Individual identification number),

_______________________________________________________________________________________

business and identification number of the subject of control

Address location __________________________________________________________________

№	List of requirements	Conforms to requirements	Does not conform to requirements
1	2	3	4
1	non-admission of carrying out registration actions in case of discrepancy of the provided documents
2	non-admission of reclamation from uslugopoluchatel of documents which can be received from information systems
3	non-admission of carrying out registration actions in the presence of court resolutions and resolutions (prohibitions, arrests) of legal executives and law enforcement agencies
4	non-admission of carrying out registration actions in case of violation of procedure for creation, re-registration and reorganization of the legal entity, discrepancy of constituent documents
5	non-admission of carrying out registration actions in case of non-presentation of the transfer act or separation balance sheet or lack in them of regulations on legal succession of the reorganized legal entity
6	non-admission of carrying out registration actions if the legal entity or the single founder (participant) of the legal entity is the idle legal entity
7	non-admission of carrying out registration actions if the physical person which is the founder (the participant, the member) and (or) the head of the legal entity is the single founder (the participant, the member) and (or) the head of the idle legal entities
8	non-admission of carrying out registration actions if the physical person which is the founder (the participant, the member) and (or) the head of the legal entity acknowledged incapacitated or is limited by capable
9	non-admission of carrying out registration actions if the physical person which is the founder (the participant, the member) and (or) the head of the legal entity is acknowledged unknown absent, is announced by the dead, registered as the dead or his status is not determined
10	non-admission of carrying out registration actions if the physical person which is the founder (the participant, the member) and (or) the head of the legal entity has the outstanding or not removed criminal record for crimes
11	non-admission of carrying out registration actions if in case of state registration the founder (physical person and (or) the legal entity), his founders, the head of the legal entity, the founder and (or) the head of the legal entity who is the founder (the participant, the member) of the legal entity are debtors according to the executive document, except for the person which is the debtor on enforcement proceeding about collection of periodical payments and who does not have debt on enforcement proceeding about periodic penalties more than three months
12	non-admission of carrying out registration actions if the physical person which is the founder (participant) and (or) the head of the legal entity is included in the list of the organizations and faces tied with financing of distribution of weapons of mass destruction, and (or) in the list of the organizations and persons connected with financing of terrorism and extremism, except for the shares (shares in the authorized capital) confiscated and (or) collected by a court decision
13	non-admission of carrying out registration actions in case of registration with the lost and (or) invalid documents, the heads / founders (members, participants) proving the identity
14	non-admission of carrying out registration actions in case of incomplete document package, necessary for registration actions
15	non-admission of unreasonable refusal in registration actions
16	non-compliance with terms of carrying out registration actions
17	non-compliance by the service provider business - processes of rendering the state service
18	non-admission of unreasonable break of term in registration actions
19	inadequate conducting and storage of registration cases
20	doubtful filling of data in the National register of business and identification numbers
21	availability of one and more confirmed claim or address

Official person(s): ______________________________________
                                                      position     signature

______________________________________________________________
                    surname, name, middle name (in case of its availability)

Head of the subject of control

______________________________________________________________
                     position                signature

______________________________________________________________
                surname, name, middle name (in case of its availability)

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