RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of December 19, 2022 No. 118

About approval of the list, forms, terms of submission of the reporting of the central depositary and Rules of its representation

According to subitem 65-2) of part two of article 15 of the Law of the Republic of Kazakhstan "About National Bank of the Republic of Kazakhstan", Item 3 of article 3 of the Law of the Republic of Kazakhstan "About the security market" and the subitem 2) of Item 3 of article 16 of the Law of the Republic of Kazakhstan "About the state statistics" the Board of National Bank of the Republic of Kazakhstan DECIDES:

1. Approve:

1) the list of the reporting of the central depositary according to appendix 1 to this resolution;

2) report form about the transactions with the faces tied with the central depositary the special relations, concluded during reporting quarter, and also existing on reporting date, and the register of faces tied with the central depositary the special relations according to appendix 2 to this resolution;

3) report form about the operations performed in system of accounting of the central depositary with non-state securities by sectors and splits of economy according to appendix 3 to this resolution;

4) report form about the register of shareholders according to appendix 4 to this resolution;

5) report form about the register of holders of financial instruments according to appendix 5 to this resolution;

6) Rules of submission of the reporting by the central depositary according to appendix 6 to this resolution.

2. The central depositary represents to National Bank of the Republic of Kazakhstan in electronic format:

1) monthly – the reporting provided by the subitem 3) of Item 1 of this resolution, in time no later than the tenth following month under report;

2) is not valid from July 1, 2023.

3) monthly – the reporting provided by the subitem 5) of Item 1 of this resolution, in time no later than the twentieth following month under report;

4) quarterly – the reporting provided by the subitem 2) of Item 1 of this resolution, in time no later than the twentieth following reporting quarter.

3. Recognize invalid:

1) the resolution of Board of National Bank of the Republic of Kazakhstan of October 29, 2018 No. 263 "About approval of the list, forms, terms of the reporting of the central depositary and Rules of their representation" (it is registered in the Register of state registration of regulatory legal acts at No. 17813);

2) item 4 of the List of some resolutions of Board of National Bank of the Republic of Kazakhstan to which changes and additions concerning the submission of the reporting approved by the resolution of Board of National Bank of the Republic of Kazakhstan of February 22, 2021 No. 11 "About modification and amendments in some resolutions of Board of National Bank of the Republic of Kazakhstan concerning submission of the reporting and suspension of action of separate regulations of some resolutions of Board of National Bank of the Republic of Kazakhstan" are made (it is registered in the Register of state registration of regulatory legal acts at No. 22309).

4. 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.

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

6. This resolution becomes effective since January 1, 2023 and is subject to official publication, except for the subitem 5) of Item 1 and the subitem 3) of Item 2 of this resolution which become effective since July 1, 2023.

Determine that the subitem 4) of Item 1 and the subitem 2) of Item 2 of this resolution are effective till July 1, 2023.

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