of April 27, 2023 No. 13
About modification and amendments in the resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of November 23, 2020 No. 108 "About approval of Rules of licensing of microfinancial activities, Qualification requirements on implementation of microfinancial activities and the list of the documents confirming compliance to them
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 the Agency of the Republic of Kazakhstan on regulation and development of the financial market of November 23, 2020 No. 108 "About approval of Rules of licensing of microfinancial activities, Qualification requirements on implementation of microfinancial activities and the list of the documents confirming compliance to them" (it is registered in the Register of state registration of regulatory legal acts at No. 21731) the following changes and amendments:
in the Rules of licensing of microfinancial activities approved by the specified resolution:
state Items 2 and 3 in the following edition:
"2. The list of the main requirements to rendering the state service is given in appendix 1 to Rules. In case of the direction uslugopoluchately statements through the portal in "personal account" the status about acceptance of request for rendering the state service with indication of date and time of receipt of result is automatically displayed.
Information on stage of rendering the state service is updated in the automatic mode in information system of monitoring of rendering the state services.
3. For receipt of the license for implementation of microfinancial activities the uslugopoluchatel submits to the service provider the application for licensing for implementation of microfinancial activities in form according to appendix 2 to Rules (further – the statement for licensing) and documents, stipulated in Item 8 Lists of the main requirements to rendering the state service.";
exclude item 4;
add with Item 4-1 of the following content:
"4-1. The large participant (large shareholder) owning directly or indirectly ten or more percent of shares in the authorized capital or voting (less exclusive) shares of the organization performing microfinancial activities (further – the large participant (large shareholder), provides information according to appendices 2-1 and 2-2 to Rules.";
add with Item 5-1 of the following content:
"5-1. The service provider performs verification of the data provided by uslugopoluchatel for receipt of the license for implementation of microfinancial activities from open and other sources.";
state Item 8 in the following edition:
"8. In case of factual determination of completeness of the submitted documents the employee of responsible division during the term of rendering the state service considers the submitted documents regarding their compliance to requirements of Item 5 of Rules, subitems 1), 2), 3), 4), 5), 6), 7), 8), 9), 10), 11) and 12) of Item 8 of the List of the main requirements to rendering the state service, prepares and sends for consideration to the authorized person of the service provider the draft of the warrant of surrender of the license for implementation of microfinancial activities or motivated refusal in licensing for implementation of microfinancial activities.
In case of identification of the bases for refusal in licensing for implementation of microfinancial activities the authorized body notifies uslugopoluchatel on the provisional solution about refusal in licensing, and also time and the place (method) of carrying out hearing for provision to uslugopoluchatel of opportunity to express line item according to the provisional solution.
The notification on hearing goes at least in 3 (three) working days prior to completion of term of rendering the state service. Hearing is carried out no later than 2 (two) working days from the date of the notification.
The authorized person of the service provider signs the draft of the warrant of surrender of the license for implementation of microfinancial activities or motivated refusal in licensing for implementation of microfinancial activities.";
state Item 12 in the following edition:
"12. In case of renewal of the license the uslugopoluchatel files to the service provider petition for renewal of the license for implementation of microfinancial activities in form according to appendix 4 to Rules (further – the statement for renewal of the license), or the statement for renewal of the license for implementation of microfinancial activities in form according to appendix 4-1 to Rules, in case of change of the location attracting increase in the authorized capital, change of type of microfinancial activities, change of form of business (transformation), reorganization in the form of separation or allocation of uslugopoluchatel in electronic form through the portal.";
state Items 17 and 18 in the following edition:
"17. The employee of responsible division within 1 (one) working day following behind day of acceptance by the authorized person of the service provider of the relevant decision (within the term of rendering the state service), on the portal sends to uslugopoluchatel the notification on renewal of the license for implementation of microfinancial activities with appendix of the electronic copy of the renewed license or motivated refusal in renewal of the license for implementation of microfinancial activities to "personal account" in electronic form, the authorized person of the service provider certified by the EDS.
18. In case of receipt of the statement on issue of the duplicate of the license for implementation of microfinancial activities (if earlier granted license was drawn up in paper form) the worker of the service provider, the representative on acceptance and registration of correspondence, in day of receipt of the statement on issue of the duplicate of the license for implementation of microfinancial activities performs its acceptance, registration and the direction on execution in responsible division.
In case of receipt of the statement of uslugopoluchatel after the termination of working hours, in days off and holidays, according to the labor law of the Republic of Kazakhstan reception of an application is performed the next working afternoon.
The responsible division within 2 (two) working days (within the term of rendering the state service) considers the submitted documents regarding their compliance to requirements of the legislation of the Republic of Kazakhstan, prepares the draft of the duplicate of the license for implementation of microfinancial activities (further – the duplicate of the license) or refusal, signs the duplicate of the license or refusal of the authorized person of the service provider, on the portal sends to uslugopoluchatel the notification on issue of the duplicate of the license with appendix of the electronic copy of the duplicate of the license or refusal in issue of the duplicate of the license in "personal account" in electronic form certified by the EDS of the authorized person of the service provider.";
state Item 22 in the following edition:
"22. The following documents in electronic form through the portal are enclosed to the application for cancellation of the license:
1) decision of authorized body of uslugopoluchatel on the voluntary address to the service provider on cancellation of the license for implementation of microfinancial activities;
2) letter on confirmation of execution of all obligations;
3) the balance sheet and the explanatory note to it constituted as of the last working day preceding day of the direction of the statement for cancellation of the license. In the explanatory note to the balance sheet information on creditors of uslugopoluchatel (reveals in case of their availability) with indication of the amounts of accounts payable and the bases of its origin;
4) information confirming accomplishment of conditions of Item 23 of Rules.";
state appendix 1 according to appendix 1 to this resolution;
state appendix 2 according to appendix 2 to this resolution;
add with appendix 2-1 according to appendix 3 to this resolution;
add with appendix 2-2 according to appendix 4 to this resolution;
add with appendix 2-3 according to appendix 5 to this resolution;
state appendix 4 according to appendix 6 to this resolution;
state appendix 4-1 according to appendix 7 to this resolution;
in Qualification requirements on implementation of microfinancial activities and the list of the documents confirming compliance to them, approved by the specified resolution:
state lines 10 and 11 in the following edition:
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10. |
The physical person cannot be the leading employee: 1) not having faultless goodwill; 2) earlier being the head, the member of governing body, the head, the member of executive body, the chief accountant of the financial organization, the head or the deputy manager of branch of nonresident bank of the Republic of Kazakhstan, branch of the insurance (reinsurance) nonresident organization of the Republic of Kazakhstan, branch of the insurance nonresident broker of the Republic of Kazakhstan, the large participant – physical person, the head of the large participant (bank holding) – the legal entity of the financial organization during the period no more than in one year prior to acceptance by authorized body on regulation, control and supervision of the financial market and the financial organizations (further – authorized body) decisions on reference of bank, branch of nonresident bank of the Republic of Kazakhstan to category of insolvent banks, branches of nonresident banks of the Republic of Kazakhstan, preservation of the insurance (reinsurance) organization or the forced redemption of its shares, the deprivation of the license of the financial organization, branch of nonresident bank of the Republic of Kazakhstan, branch of the insurance (reinsurance) nonresident organization of the Republic of Kazakhstan, branch of the insurance nonresident broker of the Republic of Kazakhstan which entailed their liquidation and (or) the termination of implementation of activities in the financial market or introductions in legal force of the judgment about involuntary liquidation of the financial organization or recognition by her bankrupt in the procedure established by the legislation of the Republic of Kazakhstan, or the introduction in legal force of the judgment about the forced termination of activities of branch of nonresident bank of the Republic of Kazakhstan, branch of the insurance (reinsurance) nonresident organization of the Republic of Kazakhstan in the cases established by the laws of the Republic of Kazakhstan; At which 3) consent to appointment (election) to leading employee position in this and (or) other financial organization, this and (or) other branch of nonresident bank of the Republic of Kazakhstan, branch of the insurance (reinsurance) nonresident organization of the Republic of Kazakhstan, branch of the insurance nonresident broker of the Republic of Kazakhstan was withdrawn; 4) the committed corruption crime or subjected to administrative punishment before date of appointment (election) for making of corruption offense. |
Information about the leading employee of uslugopoluchatel in form, according to appendix 2-3 to Rules, is provided as of the date preceding date of submission of documents with appendix: copies of the identity document of the leading employee (for foreigners and stateless persons); the document confirming data on absence at the leading employee of uslugopoluchatel of not removed or unspent conviction for crimes in the country of nationality (for foreigners) or in the country of the permanent residence (for stateless persons) issued by state body of the country of their nationality (the country of their permanent residence - for stateless persons) or the countries where the leading employee of uslugopoluchatel constantly lived within the last 15 (fifteen) years. Date of issue of the specified documents does not exceed 3 (three) months preceding date of filing of application (except as specified when in the submitted documents other term of their action is specified). If the legislation of the country which state body is authorized to confirm data on lack of not removed or unspent conviction for crimes, does not provide issue of supporting documents to persons concerning which the specified data are requested, then the corresponding confirmation goes the letter of state body of the country of nationality (for foreigners) or the countries of permanent residence (for stateless persons) to authorized body. The data specified in the statement for licensing for implementation of microfinancial activities in form according to appendix 2 to Rules. The data specified in the statement for renewal of the license for implementation of microfinancial activities in form according to appendix 4-1 to Rules. The organization which is performing microfinancial activities, having the license for implementation of microfinancial activities in case of change of information about the leading employee of the organization performing microfinancial activities submits the changed and (or) added documents (data) to authorized body on regulation, control and supervision of the financial market and the financial organizations (further – authorized body) within 10 (ten) calendar days from the date of change of data with application of copies of the supporting documents certified by the signature of the head of executive body of the organization performing microfinancial activities or person fulfilling its duties (with submission of the copy of the supporting document about assignment of fulfillment of duties), with indication of surname, name, middle name (in case of its availability) the official and mark on fidelity of the copy. |
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11. |
1. Cannot be the large member of the microfinancial organization person who: 1) is the physical person having the outstanding or not removed criminal record; 2) has registration, the residence or the location in offshore zones which list is established by the resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of February 24, 2020 No. 8 "About establishment of the List of offshore zones for the purposes of banking and insurance activity, activities of professional participants of the security market and other licensed types of activity in the security market, activities of joint-stock investment funds and the organization activity performing microfinancial activities" (it is registered in the Register of state registration of regulatory legal acts No. 20095); 3) is legal entity, the founder (the shareholder, the participant) or the leading employee of which was the first head or the founder (participant) of the microfinancial organization during the period no more than in one year prior to adoption by authorized body of the decision on deprivation of this microfinancial organization of the license for implementation of microfinancial activities for the bases provided by subitems 1), 2), 3), 4), 5), 6), 7) and 9) of Item 2 of article 16 of the Law of the Republic of Kazakhstan "About microfinancial activities" earlier; 4) was or is large participant earlier – physical person or the first head of the large participant – the legal entity and (or) the leading employee of the financial organization, the head or the deputy manager of branch of nonresident bank of the Republic of Kazakhstan, branch of the insurance (reinsurance) nonresident organization of the Republic of Kazakhstan, branch of the insurance nonresident broker of the Republic of Kazakhstan during the period no more than in one year prior to adoption by authorized body of the decision on reference of bank, branch of nonresident bank of the Republic of Kazakhstan to category of insolvent banks, branches of nonresident banks of the Republic of Kazakhstan, preservation of the insurance (reinsurance) organization, the forced redemption of its shares, deprivation of the license of the financial organization, branch of nonresident bank of the Republic of Kazakhstan, branch of the insurance (reinsurance) nonresident organization of the Republic of Kazakhstan, branch of the insurance nonresident broker of the Republic of Kazakhstan, or the introduction in legal force of the judgment about involuntary liquidation of the financial organization or recognition by her bankrupt in the procedure established by the legislation of the Republic of Kazakhstan, or the introduction in legal force of the judgment about the forced termination of activities of branch of nonresident bank of the Republic of Kazakhstan, branch of the insurance (reinsurance) nonresident organization of the Republic of Kazakhstan. 2. The large member of the microfinancial organization cannot be appointed (is elected) to position of the head of executive body of the microfinancial organization (does not extend to the microfinancial organization created in the form of economic partnership). |
Information about the large participant (large shareholder), the being legal entity, is provided in form according to appendix 2-1 to Rules, as of the date preceding date of submission of documents with appendix: the information about the first head of executive body (person, the executive body solely performing functions) and governing body (the supervisory board, in the presence) the large participant (large shareholder) – the legal entity in form according to appendix 2-2 to Rules; copies of the identity document of the first head of executive body (person solely performing functions of executive body) and governing body (the supervisory board, in the presence) the large participant (large shareholder) – the legal entity (for foreigners and stateless persons); the document confirming data on absence at the first head of executive body (person solely performing functions of executive body) and governing body (the supervisory board, in the presence) the large participant (large shareholder) – the legal entity of not removed or unspent conviction for crimes in the country of nationality (for foreigners) or in the country of the permanent residence (for stateless persons) issued by state body of the country of their nationality (the country of their permanent residence - for stateless persons) or the countries where the large participant (large shareholder) of uslugopoluchatel – physical person constantly lived within the last 15 (fifteen) years. Date of issue of the specified documents does not exceed 3 (three) months preceding date of filing of application (except as specified when in the provided document other term of its action is specified). If the legislation of the country which state body is authorized to confirm data on lack of not removed or unspent conviction for crimes, does not provide issue of supporting documents to persons concerning which the specified data are requested, then the corresponding confirmation goes the letter of state body of the country of nationality (for foreigners) or the countries of permanent residence (for stateless persons) to authorized body. Information about the large participant (large shareholder) of uslugopoluchatel, the being physical person, according to appendix 2-2 to Rules, as of the date preceding date of submission of documents with appendix: copies of the identity document of the large participant (large shareholder) – physical person (for foreigners and stateless persons); the document confirming data on absence at the large participant (large shareholder) – physical person of uslugopoluchatel of not removed or unspent conviction for crimes in the country of nationality (for foreigners) or in the country of the permanent residence (for stateless persons) issued by state body of the country of their nationality (the country of their permanent residence - for stateless persons) or the countries where the large participant (large shareholder) of uslugopoluchatel – physical person constantly lived within the last 15 (fifteen) years. Date of issue of the specified documents does not exceed 3 (three) months preceding date of filing of application (except as specified when in the provided document other term of its action is specified). If the legislation of the country which state body is authorized to confirm data on lack of not removed or unspent conviction for crimes, does not provide issue of supporting documents to persons concerning which the specified data are requested, then the corresponding confirmation goes the letter of state body of the country of nationality (for foreigners) or the countries of permanent residence (for stateless persons) to authorized body. The data specified in the statement for licensing for implementation of microfinancial activities in form according to appendix 2 to Rules; The data specified in the statement for renewal of the license for implementation of microfinancial activities in form according to appendix 4-1 to Rules. The organization which is performing microfinancial activities, having the license for implementation of microfinancial activities in case of change of information about the large member (large shareholder) of the organization performing microfinancial activities submits the changed and (or) added documents (data) to authorized body within 10 (ten) calendar days from the date of change of data with application of copies of the supporting documents certified by the signature of the head of executive body of the organization performing microfinancial activities or person fulfilling its duties (with submission of the copy of the supporting document about assignment of fulfillment of duties), with indication of surname, name, middle name (in case of its availability) the official and mark on fidelity of the copy. |
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2. To provide to department of supervision of the non-bank organizations in the procedure established by the legislation of the Republic of Kazakhstan:
1) together with Legal department 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 the Agency of the Republic of Kazakhstan on regulation and development of the financial market 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 actions provided by the subitem 2) of this Item.
3. To impose control of execution of this resolution on the supervising vice-chairman of the Agency of the Republic of Kazakhstan on regulation and development of the financial market.
4. This resolution becomes effective after sixty calendar days after day of its first official publication.
The chairman of the Agency of the Republic of Kazakhstan on regulation and development of the financial market
M. Abylkasymova
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It is approved Ministry of national economy of the Republic of Kazakhstan |
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It is approved Ministry of digital development, innovations and aerospace industry of the Republic of Kazakhstan |
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to the Resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of April 27, 2023 No. 13
Appendix 1
to Rules of licensing of microfinancial activities
List of the main requirements to rendering the state service
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Name of the state service "Licensing for Implementation of Microfinancial Activities" Name of subspecies of the state service: 1) receipt of the license; 2) receipt of the duplicate of the license; 3) renewal of the license | ||
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1. |
Name of the service provider |
Agency of the Republic of Kazakhstan on regulation and development of the financial market |
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2. |
Methods of provision of the state service |
On all subspecies of the state service: the web portal of "the electronic government" www.egov.kz (further – the portal) |
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3. |
Term of rendering the state service |
From the date of the address on the portal: when licensing for implementation of microfinancial activities (further – the license) – within 30 (thirty) working days; in case of renewal of the license – within 3 (three) working days; in case of renewal of the license in case of reorganization uslugopoluchatel in the form of allocation or separation – no later than 30 (thirty) working days; in case of issue of the duplicate of the license – within 2 (two) working days |
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4. |
Form of rendering the state service |
On all subspecies of the state service: electronic (completely automated) |
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5. |
Result of rendering the state service |
The notification on licensing, the duplicate of the license, renewal of the license or the motivated answer about refusal in rendering the state service |
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6. |
The amount of the payment levied from uslugopoluchatel when rendering the state service and methods of its collection in cases, stipulated by the legislation the Republic of Kazakhstan |
License fees: 1) for licensing is constituted by 30 (thirty) monthly settlement indicators; 2) for renewal of the license is made by 10 (ten) percent from rate for licensing; 3) for issue of the duplicate of the license is made by 100 (hundred) percent from rate for licensing. Payment of the license fee is performed in cash or non-cash form through the banks of the second level, branches of nonresident banks or the organizations performing separate types of banking activities in non-cash form through payment gateway of "the electronic government". |
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7. |
Working schedule of the service provider and subjects of information |
1) the service provider – Monday through Friday from 9:00 till 18:30 o'clock with lunch break from 13:00 till 14:30 o'clock, except days off and holidays, according to Articles 80 and 81 of the Labor code of the Republic of Kazakhstan (further – the Labor code) and articles 3 and 5 of the Law of the Republic of Kazakhstan "About holidays in the Republic of Kazakhstan" (further – the Law on holidays); the schedule of reception of applications and the direction of results of rendering the state service from 9:00 till 17:30 o'clock with lunch break from 13:00 till 14:30 o'clock; 2) the portal – round the clock, except for technical breaks in connection with carrying out repair work (in case of the address of uslugopoluchatel after the termination of working hours, in days off and holidays according to the Labor code and the Law on holidays, reception of an application and the direction of results of rendering the state service is performed the next working afternoon). |
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8. |
The list of the documents and data requested at uslugopoluchatel for rendering the state service |
In case of the address of uslugopoluchatel for receipt of the license for the portal: 1) the electronic statement for licensing for implementation of microfinancial activities in form according to appendix 2 to Rules; 2) electronic copies of the documents confirming payment of the minimum size of the authorized capital. As the documents confirming payment of the minimum size of the authorized capital the following documents are submitted: the document of bank of the second level (including the statement about movement of money according to bank accounts of the client) confirming transfer on the bank account of money as fee in the authorized capital of uslugopoluchatel, and issued not earlier than 30 (thirty) calendar days before date of the request for receipt of the license; 3) data on observance of the minimum size of equity in form according to appendix 6 to Rules (in the form of the electronic copy of the document); 4) the electronic copy of the document confirming payment of the license fee for the occupation right by separate types of activity, except as specified payments through payment gateway of "the electronic government"; 5) the electronic copy of the charter and, in the presence, the register of participants of economic partnership, or the statement from it issued by the professional participant of the security market performing activities for maintaining system of registers of security holders; 6) the information about the large participant (large shareholder) who owns directly or indirectly ten or more percent of shares in the authorized capital or voting (less exclusive) shares of uslugopoluchatel, the being legal entity, according to appendix 2-1 to Rules, as of the date preceding date of submission of documents with appendix: the information about the first head of executive body (person solely performing functions of executive body) and governing body (the supervisory board, in the presence) the large participant (large shareholder) of uslugopoluchatel in form according to appendix 2-2 to Rules; copies of the identity document of the first head of executive body (person solely performing functions of executive body) and governing body (the supervisory board, in the presence) the large participant – the legal entity (for foreigners and stateless persons); the document confirming data on absence at the first head of executive body (person solely performing functions of executive body) and governing body (the supervisory board, in the presence) the large participant (large shareholder) – the legal entity of not removed or unspent conviction for crimes in the country of nationality (for foreigners) or in the country of the permanent residence (for stateless persons) issued by state body of the country of their nationality (the country of their permanent residence - for stateless persons) or the countries where the first head of executive body (person solely performing functions of executive body) and governing body (the supervisory board, in the presence) the large participant (large shareholder) – the legal entity constantly lived within the last 15 (fifteen) years. Date of issue of the specified documents does not exceed 3 (three) months preceding date of filing of application (except as specified when in the submitted documents other term of their action is specified). If the legislation of the country which state body is authorized to confirm data on lack of not removed or unspent conviction for crimes, does not provide issue of supporting documents to persons concerning which the specified data are requested, then the corresponding confirmation goes the letter of state body of the country of nationality (for foreigners) or the countries of permanent residence (for stateless persons) to authorized body; 7) the information about the large participant (large shareholder) who owns directly or indirectly ten or more percent of shares in the authorized capital or voting (less exclusive) shares of uslugopoluchatel, the being physical person, according to appendix 2-2 to Rules as of the date preceding date of submission of documents with appendix: copies of the identity document of the large participant (large shareholder) – physical person (for foreigners and stateless persons); the document confirming data on absence at the large participant (large shareholder) – physical person of uslugopoluchatel of not removed or unspent conviction for crimes in the country of nationality (for foreigners) or in the country of the permanent residence (for stateless persons) issued by state body of the country of their nationality (the country of their permanent residence - for stateless persons) or the countries where the large participant (large shareholder) of uslugopoluchatel – physical person constantly lived within the last 15 (fifteen) years. Date of issue of the specified documents does not exceed 3 (three) months preceding date of filing of application (except as specified when in the submitted documents other term of their action is specified). If the legislation of the country which state body is authorized to confirm data on lack of not removed or unspent conviction for crimes, does not provide issue of supporting documents to persons concerning which the specified data are requested, then the corresponding confirmation goes the letter of state body of the country of nationality (for foreigners) or the countries of permanent residence (for stateless persons) to authorized body; 8) the information about the leading employee of uslugopoluchatel, according to appendix 2-3 to Rules, as of the date preceding date of submission of documents with appendix: copies of the identity document of the leading employee (for foreigners and stateless persons); the document confirming data on absence at the leading employee of uslugopoluchatel of not removed or unspent conviction for crimes in the country of nationality (for foreigners) or in the country of the permanent residence (for stateless persons) issued by state body of the country of their nationality (the country of their permanent residence - for stateless persons) or the countries where the leading employee of uslugopoluchatel constantly lived within the last 15 (fifteen) years. Date of issue of the specified documents does not exceed 3 (three) months preceding date of filing of application (except as specified when in the submitted documents other term of their action is specified). If the legislation of the country which state body is authorized to confirm data on lack of not removed or unspent conviction for crimes, does not provide issue of supporting documents to persons concerning which the specified data are requested, then the corresponding confirmation goes the letter of state body of the country of nationality (for foreigners) or the countries of permanent residence (for stateless persons) to authorized body; 9) data on system of safety and technical reinforcement of rooms of pawnshop in form according to appendix 7 to Rules (for pawnshops) (in the form of the electronic copy of the document); 10) electronic copies of the documents confirming employment and (or) appointment (election) of leading employees, employees of service of internal control (in the presence); 11) electronic copy of rules of provision of the microcredits; 12) electronic copies of the documents confirming availability at leading employees of the higher education. The documents submitted in foreign language are translated into the Kazakh and Russian languages and are subject to the notarial attestation according to the subitem 9) of Item 1 of Article 34, the subitem 7) of Item 1 of article 36 of the Law of the Republic of Kazakhstan "About notariate"; 13) electronic copies of regulations on branches and representations (in case of their availability). In case of the address of uslugopoluchatel for receipt of the duplicate of the license (if earlier granted license was drawn up in paper form) for the portal: 1) the electronic statement for issue of the duplicate of the license in any form; 2) the electronic copy of the document confirming payment of the license fee for the occupation right with separate types of activity in case of issue of the duplicate of the license, except as specified payments through payment gateway of "the electronic government". In case of the address of uslugopoluchatel for renewal of the license for the portal in case of change of the name (which is not attracting change of type of microfinancial activities, form of business), the location (which is not attracting increase in the authorized capital of the organization performing microfinancial activities), reorganization in the form of merge or accession: 1) the electronic statement for renewal of the license for implementation of microfinancial activities in form according to appendix 4 to Rules; 2) the electronic copy of the document confirming payment of the license fee for renewal of the license, except as specified payments through payment gateway of "the electronic government"; 3) electronic copies of the documents containing information on changes, which formed the basis for renewal of the license, except for documents from which information contains in the state information systems; 4) data on observance of the minimum size of equity in form according to appendix 6 to Rules. In case of the address of uslugopoluchatel for renewal of the license for the portal in case of change of the location (attracting increase in the authorized capital), change of type of microfinancial activities, change of form of business (transformation), reorganization in the form of separation or allocation: 1) the electronic statement for renewal of the license for implementation of microfinancial activities in form according to appendix 4-1 to Rules; 2) electronic copies of the documents confirming payment of the minimum size of the authorized capital. As the documents confirming payment of the minimum size of the authorized capital the following documents are submitted: the document of bank of the second level (including the statement about movement of money according to bank accounts of the client) confirming transfer on the bank account of money as fee in the authorized capital of uslugopoluchatel, and issued not earlier than 30 (thirty) calendar days before date of the request for receipt of the license; 3) data on observance of the minimum size of equity in form according to appendix 6 to Rules (in the form of the electronic copy of the document); 4) the electronic copy of the document confirming payment of the license fee for renewal of the license, except as specified payments through payment gateway of "the electronic government"; 5) the electronic copy of the charter and, in the presence, the register of participants of economic partnership, or the statement from it issued by the professional participant of the security market performing activities for maintaining system of registers of security holders; 6) the information about the large participant (large shareholder) of uslugopoluchatel, the being legal entity, according to appendix 2-1 to Rules, as of the date preceding date of submission of documents with appendix: the information about the first head of executive body (person solely performing functions of executive body) and governing body (the supervisory board, in the presence) the large participant (large shareholder) of uslugopoluchatel in form according to appendix 2-2 to Rules; copies of the identity document of the first head of executive body (person solely performing functions of executive body) and governing body (the supervisory board, in the presence) the large participant (large shareholder) – the legal entity (for foreigners and stateless persons); the document confirming data on absence at the first head of executive body (person solely performing functions of executive body) and governing body (the supervisory board, in the presence) the large participant (large shareholder) – the legal entity of not removed or unspent conviction for crimes in the country of nationality (for foreigners) or in the country of the permanent residence (for stateless persons) issued by state body of the country of their nationality (the country of their permanent residence - for stateless persons) or the countries where the first head of executive body (person solely performing functions of executive body) and governing body (the supervisory board, in the presence) the large participant (large shareholder) – the legal entity constantly lived within the last 15 (fifteen) years. Date of issue of the specified documents does not exceed 3 (three) months preceding date of filing of application (except as specified when in the submitted documents other term of their action is specified). If the legislation of the country which state body is authorized to confirm data on lack of not removed or unspent conviction for crimes, does not provide issue of supporting documents to persons concerning which the specified data are requested, then the corresponding confirmation goes the letter of state body of the country of nationality (for foreigners) or the countries of permanent residence (for stateless persons) to authorized body; 7) the information about the large participant (large shareholder) of uslugopoluchatel, the being physical person, according to appendix 2-2 to Rules as of the date preceding date of submission of documents with appendix: copies of the identity document of the large participant (large shareholder) – physical person (for foreigners and stateless persons); the document confirming data on absence at the large participant (large shareholder) – physical person of uslugopoluchatel of not removed or unspent conviction for crimes in the country of nationality (for foreigners) or in the country of the permanent residence (for stateless persons) issued by state body of the country of their nationality (the country of their permanent residence - for stateless persons) or the countries where the large participant (large shareholder) of uslugopoluchatel – physical person constantly lived within the last 15 (fifteen) years. Date of issue of the specified documents does not exceed 3 (three) months preceding date of filing of application (except as specified when in the submitted documents other term of their action is specified). If the legislation of the country which state body is authorized to confirm data on lack of not removed or unspent conviction for crimes, does not provide issue of supporting documents to persons concerning which the specified data are requested, then the corresponding confirmation goes the letter of state body of the country of nationality (for foreigners) or the countries of permanent residence (for stateless persons) to authorized body; 8) the information about the leading employee of uslugopoluchatel, according to appendix 2-3 to Rules as of the date preceding date of submission of documents with appendix: copies of the identity document of the leading employee (for foreigners and stateless persons); the document confirming data on absence at the leading employee of uslugopoluchatel of not removed or unspent conviction for crimes in the country of nationality (for foreigners) or in the country of the permanent residence (for stateless persons) issued by state body of the country of their nationality (the country of their permanent residence - for stateless persons) or the countries where the leading employee of uslugopoluchatel constantly lived within the last 15 (fifteen) years. Date of issue of the specified documents does not exceed 3 (three) months preceding date of filing of application (except as specified when in the submitted documents other term of their action is specified). If the legislation of the country which state body is authorized to confirm data on lack of not removed or unspent conviction for crimes, does not provide issue of supporting documents to persons concerning which the specified data are requested, then the corresponding confirmation goes the letter of state body of the country of nationality (for foreigners) or the countries of permanent residence (for stateless persons) to authorized body; 9) data on system of safety and technical reinforcement of rooms of pawnshop in form according to appendix 7 to Rules (for pawnshops) (in the form of the electronic copy of the document) in case of change of type of microfinancial activities from the microfinancial organization or credit partnership on pawnshop; 10) electronic copies of the documents confirming employment and (or) appointment (election) of leading employees, employees of service of internal control (in the presence); 11) electronic copy of rules of provision of the microcredits; 12) electronic copies of the documents confirming availability at leading employees of the higher education. In case of the address of uslugopoluchatel for renewal of the license in cases of change of form of business (transformation) the documents and data confirming compliance of uslugopoluchatel to qualification requirements are not represented, except as specified changes of data and (or) contents of documents and (or) expiration of documents. Data (date, number of the outgoing document) about the documents and data which are earlier submitted to the service provider are specified in the statement for renewal of the license for implementation of microfinancial activities. |
|
9. |
The bases for refusal in rendering the state service established by the laws of the Republic of Kazakhstan |
The bases for refusal in licensing: 1) discrepancy of the submitted documents to the requirements established by Rules and also provisions of false information and information which is subject to reflection in these documents; 2) if the uslugopoluchatel within 6 (six) months from the date of its state registration (re-registration) in The Government for Citizens State corporation did not file petition for licensing for implementation of microfinancial activities; 3) non-compliance with one of the requirements established by Articles 11, of 12, of 13, Items 5 and 6 of Article 14, Item 3 of article 14-1 of the Law of the Republic of Kazakhstan "About microfinancial activities" (further - the Law); 4) non-compliance with term of the state re-registration, stipulated in Item 1 article 31 of the Law; 5) non-compliance with term, stipulated in Item 2-1 article 31 of the Law, for filing of application about licensing for implementation of microfinancial activities; 6) if occupation type of activity is forbidden by the Law for uslugopoluchatel whose object of activity is rendering financial services; 7) the license fee is not brought; 8) the uslugopoluchatel does not conform to qualification requirements; 9) concerning uslugopoluchatel there is decision (sentence) of court on suspension or prohibition of the activities which are subject to licensing took legal effect; 10) court based on representation of the legal executive the uslugopoluchatel is temporarily forbidden to grant the license; 11) unauthenticity of the documents submitted by uslugopoluchatel for receipt of the license, and (or) these (data) containing in them is established. The bases for refusal in renewal of the license: 1) non-presentation or inadequate document creation, the main requirements to rendering the state service specified in Item 8 of the List; 2) discrepancy to qualification requirements. |
|
10. |
Other requirements taking into account features of rendering the state service |
Uslugopoluchatel has possibility of receipt of information on procedure and the status of rendering the state service in the mode of remote access by means of portal "personal account", and also Single contact center concerning rendering the state services. Contact telephone numbers of service desks concerning rendering the state service are placed on official Internet resource of the service provider. Single contact center concerning rendering the state services: 8-800-080-7777, 1414. |
";
to the Resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of April 27, 2023 No. 13
Appendix 2
to Rules of licensing of microfinancial activities
Statement for licensing for implementation of microfinancial activities
I ask to grant the license for implementation of microfinancial activities:
___________________________________________________________________________________________
(type of microfinancial activities)
Data on uslugopoluchatel:
1. Name, location and actual address
___________________________________________________________________________________________
(index, area, city, area, street, house number, office)
___________________________________________________________________________________________
(business and identification number (in the presence)
___________________________________________________________________________________________
(phone number, number of the fax, e-mail address, Internet resource)
2. Number and date of the certificate on state registration of release of the announced shares (for the legal entities created in form of business of joint-stock company) and the size of the authorized capital of uslugopoluchatel
__________________________________________________________________________________________
__________________________________________________________________________________________
3. Whether the requirement about accession to unified information system in the field of counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing is fulfilled
__________________________________________________________________________________________
_________________________________________________________________________________________.
yes (is not present)
4. Whether the requirement for establishment of the information system providing automation of conducting financial accounting is fulfilled
_________________________________________________________________________________________
_________________________________________________________________________________________.
yes (is not present)
5. Whether the requirement about the conclusion of the agreement on provision of information in credit bureau with the state participation is fulfilled
________________________________________________________________________________________
yes (is not present).
6. The list of the directed documents, number of copies and sheets on each of them:
________________________________________________________________________________________
________________________________________________________________________________________.
Uslugopoluchatel confirms reliability and completeness of the documents enclosed to the application and information. Uslugopoluchatel provides consent to use of the data which are the secret protected by the law, containing in information systems.
Surname, name, middle name (in case of its availability) the head of executive body of the uslugopoluchatel or person authorized on filing of application (with appendix of supporting documents).
________________________________________________________________________________________
(digital signature) (date)
to the Resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of April 27, 2023 No. 13
Appendix 2-1
to Rules of licensing of microfinancial activities
Information about the large participant (large shareholder) who owns directly or indirectly ten or more percent of shares in the authorized capital or voting (less exclusive) shares of the organization performing microfinancial activities, the being legal entity ______________________________________________________
(full name of the organization performing microfinancial activities)
1. The large member (large shareholder) of the organization performing microfinancial activities (further – the applicant)
___________________________________________________________________________________________
(full name)
2. Location and actual address
___________________________________________________________________________________________
(index, area, city, area, street, house number, office)
___________________________________________________________________________________________
(city code, phone number, number of the fax, e-mail address, Internet resource)
3. Data on state registration (re-registration)
___________________________________________________________________________________________
(the name of the document, number and date of issue by whom it is issued)
4. Business identification number (in the presence)
___________________________________________________________________________________________
5. Type of activity
___________________________________________________________________________________________
(specify core activities)
6. Resident or nonresident of the Republic of Kazakhstan
___________________________________________________________________________________________
7. Share in the authorized capital of the applicant or percentage ratio of number of the voting shares of the applicant belonging to the shareholder to total quantity of voting shares of the applicant
___________________________________________________________________________________________
8. The size of equity of the large participant (large shareholder) of the applicant before entering of money into share in the authorized capital of the applicant (in payment of shares of the applicant) and the sum granted on share in the authorized capital of the applicant (payment of the share of the applicant)
___________________________________________________________________________________________
9. Data on registration availability, the residence or the location in offshore zones which list is established by the resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of February 24, 2020 No. 8 "About establishment of the List of offshore zones for the purposes of banking and insurance activity, activities of professional participants of the security market and other licensed types of activity in the security market activities of joint-stock investment funds and the organization activity performing microfinancial activities" (it is registered in the Register of state registration of regulatory legal acts No. 20095)
___________________________________________________________________________________________
yes (is not present)
10. Data on participation of the large participant (large shareholder) of the applicant in creation and activities of other legal entities as the large participant (large shareholder), with indication of names, types of activity, the location and data on state registration of legal entities, share in the authorized capital or ratios of number of the shares belonging to the large member (large shareholder) of the applicant to total quantity of voting shares of the legal entity (as a percentage)
___________________________________________________________________________________________
11. Data on industrial, banking, financial groups, holdings, concerns, associations, consortia in which the large member (large shareholder) of the applicant, with indication of the name, the location of the organizations participates
__________________________________________________________________________________________
12. The information about the first head of executive body (person, solely performing functions of executive body) and governing body (the supervisory board, in the presence) the large member (large shareholder) of the applicant
__________________________________________________________________________________________
(surname, name, middle name (in case of its availability)
13. Data on whether the applicant was founder (participant) of the organization performing microfinancial activities during the period no more than in one year prior to adoption by authorized body of the decision on deprivation of this organization performing microfinancial activities, licenses for implementation of microfinancial activities on the bases provided by subitems 1), 2), 3), 4), 5), 6), 7) and 9) of Item 2 of article 16 of the Law of the Republic of Kazakhstan "About microfinancial activities"
__________________________________________________________________
(yes (is not present), to specify the name of the organization, position, the work period).
I provide the consent to collection and processing of the personal data and to use of the data which are the secret protected by the law, containing in information systems.
"___" _____________ 20 ___ years
The signature of the head of executive body (person solely performing functions of executive body) of the large member (shareholder) of the applicant or person fulfilling its duties ______________________________________
to the Resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of April 27, 2023 No. 13
Appendix 2-2
to Rules of licensing of microfinancial activities
the place for
photos
Information about the large participant (large shareholder) who owns directly or indirectly ten or more percent of shares in the authorized capital or voting (less exclusive) shares of the organization performing microfinancial activities – physical person, the head, the member of governing body, the head, the member of executive body, the chief accountant of the large participant (large shareholder) of the organization performing microfinancial activities - the legal entity ______________________________________________________
(surname, name, middle name (in case of its availability), position)
1. General information about the large participant (large shareholder) of uslugopoluchatel – physical person, the head, the member of governing body, the head, the member of executive body, the chief accountant of the large participant (large shareholder) of uslugopoluchatel – the legal entity (further – the applicant):
|
Birth date and birth place |
|
|
Nationality |
|
|
Data of the identity document, individual identification number (in the presence) |
|
|
Phone number (city code, working and house) |
2. Education:
|
№ |
Name of educational institution |
Year of receipt - year of the termination |
Specialty |
Diploma details about education (date and number in the presence) |
|
1 |
2 |
3 |
4 |
5 |
3. The information about legal entities in relation to which the applicant is large participant (large shareholder) or has the right to respective share in property:
|
№ |
Name, business and identification number and location of the legal entity |
Type of activity of the legal entity |
Share in the authorized capital or ratio of number of the shares belonging to the applicant, to total quantity placed (less exclusive and redeemed) shares of the legal entity (as a percentage) |
|
1 |
2 |
3 |
4 |
Note: in column 4 it is necessary to specify share taking into account the share which is in trust management of the applicant, and also quantity of shares (shares), as a result of ownership of which the applicant in total with other persons is large participant (large shareholder).
4. Data on labor activity.
In this Item data on labor activity of the applicant, including from end date of higher educational institution, and also the period during which the labor activity was not performed by the applicant are specified.
|
№ |
Work period (date, month, year) |
Place of employment * |
Position |
Availability of authority punishments |
Reasons for leaving, dismissal |
Other data ** |
|
1 |
2 |
3 |
4 |
5 |
6 |
7 |
Note:
1) if the organization is nonresident of the Republic of Kazakhstan, the country of incorporation of the nonresident organization of the Republic of Kazakhstan is specified;
2) in case of holding the post of the head (deputy manager) of independent structural division (department, management, branch) financial the organizations, financial, the manager and (or) the chief executive the supervised divisions, questions connected with rendering financial services in this organization are specified;
3) in case of availability of length of service in the authorized body performing regulation in the field of auditor activities the fundamental functional obligations relating to regulation of services in carrying out audit of the financial organizations are specified.
5. Data on membership in investment committees in the organizations:
|
№ |
Period (date, month, year) |
Name of the organization |
Position |
Reasons for leaving, dismissal |
|
1 |
2 |
3 |
4 |
5 |
6. The information about the spouse, close relatives (parents, the brother, the sister, children) and cousins-in-laws (parents, the brother, the sister, children of the spouse (spouse) (are not filled on leading employees of the microfinancial organizations, pawnshops in form of business of joint-stock company):
|
№ |
Surname, name, middle name (in case of its availability) |
Individual identification number |
Related relations |
Place of employment and position |
|
1 |
2 |
3 |
4 |
5 |
7. Data on registration availability, the residence or the location of the large participant (shareholder) of uslugopoluchatel – physical person in offshore zones which list is established by the resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of February 24, 2020 No. 8 "About establishment of the List of offshore zones for the purposes of banking and insurance activity, activities of professional participants of the security market and other licensed types of activity in the security market activities of joint-stock investment funds and the organization activity performing microfinancial activities" (it is registered in the Register of state registration of regulatory legal acts No. 20095)
____________________________________________________________________
yes (is not present)
8. Data on whether the large participant (large shareholder) of uslugopoluchatel – physical person was the first head or the founder (participant) of the organization performing microfinancial activities during the period no more than in one year prior to adoption by authorized body of the decision on deprivation of this organization performing microfinancial activities, licenses for implementation of microfinancial activities on the bases provided by subitems 1), 2), 3), 4), 5), 6), 7) and 9) of Item 2 of article 16 of the Law of the Republic of Kazakhstan "About microfinancial activities" earlier
__________________________________________________________________
(yes (is not present), to specify the name of the organization, position, the work period).
9. Whether the information about that was or the large participant (large shareholder) of uslugopoluchatel – physical person is large participant – physical person or the first head of the large participant - the legal entity and (or) the leading employee of the financial organization, the head or the deputy manager of branch of nonresident bank of the Republic of Kazakhstan, branch of the insurance (reinsurance) nonresident organization of the Republic of Kazakhstan, branch of the insurance nonresident broker of the Republic of Kazakhstan during the period no more than in one year prior to adoption by authorized body of the decision on reference of bank, branch of nonresident bank of the Republic of Kazakhstan to category of insolvent banks, branches of nonresident banks of the Republic of Kazakhstan, deprivation of the license of the financial organization, branch of nonresident bank of the Republic of Kazakhstan, branch of the insurance (reinsurance) nonresident organization of the Republic of Kazakhstan, branch of the insurance nonresident broker of the Republic of Kazakhstan, or introductions in legal force of the judgment about involuntary liquidation of the financial organization or recognition by her bankrupt in the procedure established by the legislation of the Republic of Kazakhstan, or the introduction in legal force of the judgment about the forced termination of activities of branch of nonresident bank of the Republic of Kazakhstan, branch of the insurance (reinsurance) nonresident organization of the Republic of Kazakhstan in the cases established by the laws of the Republic of Kazakhstan
__________________________________________________________________
(yes (is not present), to specify the name of the organization, position, the work period).
10. Whether the applicant was made for making of corruption crime or to disciplinary responsibility for making of corruption offense before date of appointment (election) responsible
__________________________________________________________________
(yes (is not present), the short description of offense, crime details of the act of imposing of authority punishment or the act of court, with indication of the bases of accountability).
11. This is to confirm lack of and spouses (spouse), close relatives (parents, the brother, the sister, children) and cousins-in-laws (parents, the brother, the sister, children of the spouse (spouse) in the list of persons involved in terrorist activities, the list of the organizations and faces tied with financing of terrorism and extremism and (or) in the list of the organizations and faces tied with financing of distribution of weapons of mass destruction, constituted according to articles 12 and 12-1 of the Law of the Republic of Kazakhstan "About counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing"
____________________________________________________________________
yes (is not present)
I confirm that this information was checked by me and is reliable and complete, and also I confirm availability of faultless goodwill.
I provide the consent to collection and processing of the personal data necessary for rendering the state service and to use of the data which are the secret protected by the law, containing in information systems.
Surname, name, middle name (in case of its availability)
________________________________________________
(it is filled with own hand printing letters)
Signature _________________
Date ____________________
to the Resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of April 27, 2023 No. 13
Appendix 2-3
to Rules of licensing of microfinancial activities
Form
the place for
photos
Information about leading employees of uslugopoluchatel ______________________________________________________
(surname, name, middle name (in case of its availability), position)
1. General information:
|
Birth date and birth place |
|
|
Nationality |
|
|
Data of the identity document, individual identification number |
2. Education:
|
№ |
Name of educational institution |
Year of receipt - year of the termination |
Specialty |
Diploma details about education (date and number (in the presence) |
|
1 |
2 |
3 |
4 |
5 |
3. The information about the spouse, close relatives (parents, the brother, the sister, children) and cousins-in-laws (parents, the brother, the sister, children of the spouse (spouse) (are not filled on leading employees of the microfinancial organizations, pawnshops in form of business of joint-stock company):
|
№ |
Surname, name, middle name (in case of its availability) |
Individual identification number |
Related relations |
Place of employment and position |
|
1 |
2 |
3 |
4 |
5 |
4. Data on participation of the leading employee of uslugopoluchatel in the authorized capital or shareholding of legal entities:
|
№ |
Name and location of the legal entity |
Authorized types of activity of the legal entity |
Share in the authorized capital or ratio of number of the shares belonging to the leading employee of uslugopoluchatel to total quantity of voting shares of the legal entity (as a percentage) |
|
1 |
2 |
3 |
4 |
Note: in column 4 it is necessary to specify share taking into account the share which is in trust management of the leading employee, and also quantity of shares (shares), as a result of ownership of which the leading employee in total with other persons is large participant (large shareholder).
5. Data on labor activity (data on all labor activity of the leading employee of uslugopoluchatel (also membership in governing body are specified), including from the moment of the termination of higher educational institution, with indication of position in the financial organization, bank and (or) insurance holding, and also the period during which the labor activity was not performed by the leading employee of uslugopoluchatel):
|
№ |
Work period (date, month, year) |
Place of employment |
Position |
Reasons for leaving, dismissal |
The supervised divisions, the fundamental functional obligations |
|
1 |
2 |
3 |
4 |
5 |
6 |
Note:
1) if the organization is nonresident of the Republic of Kazakhstan, the country of incorporation of the nonresident organization of the Republic of Kazakhstan in column 3 is specified;
2) in case of holding the post of the head (deputy manager) of independent structural division (department, management, branch) financial the organizations, financial, the manager and (or) the chief executive the supervised divisions, questions connected with rendering financial services in this organization are specified.
6. Data on whether the leading employee of uslugopoluchatel was the head, the member of governing body, the head, the member of executive body, the chief accountant of the financial organization, the head or the deputy manager of branch of nonresident bank of the Republic of Kazakhstan, branch of the insurance (reinsurance) nonresident organization of the Republic of Kazakhstan, branch of the insurance nonresident broker of the Republic of Kazakhstan, the large participant earlier – physical person, the head of the large participant (bank holding) – the legal entity of the financial organization during the period no more than in one year prior to adoption by authorized body of the decision on reference of bank, branch of nonresident bank of the Republic of Kazakhstan to category of insolvent banks, branches of nonresident banks of the Republic of Kazakhstan, deprivation of the license of the financial organization, branch of nonresident bank of the Republic of Kazakhstan, the branch of the insurance (reinsurance) nonresident organization of the Republic of Kazakhstan, branch of the insurance nonresident broker of the Republic of Kazakhstan which entailed their liquidation and (or) the termination of implementation of activities in the financial market or the introduction in legal force of the judgment about involuntary liquidation of the financial organization or recognition by her bankrupt in the procedure established by the legislation of the Republic of Kazakhstan, or the introduction in legal force of the judgment about the forced termination of activities of branch of nonresident bank of the Republic of Kazakhstan, branch of the insurance (reinsurance) nonresident organization of the Republic of Kazakhstan in the cases established by the laws of the Republic of Kazakhstan.
The specified requirement is applied within five years after adoption by authorized body of the decision on reference of bank, branch of nonresident bank of the Republic of Kazakhstan to category of insolvent banks, branches of nonresident banks of the Republic of Kazakhstan, preservation of the insurance (reinsurance) organization or the forced redemption of its shares, deprivation of the license of the financial organization, branch of nonresident bank of the Republic of Kazakhstan, branch of the insurance (reinsurance) nonresident organization of the Republic of Kazakhstan, branch of the insurance nonresident broker of the Republic of Kazakhstan which entailed their liquidation and (or) the termination of implementation of activities in the financial market or introductions in legal force of the judgment about involuntary liquidation of the financial organization or recognition by her bankrupt in the procedure established by the legislation of the Republic of Kazakhstan, or introductions in legal force of the judgment about the forced termination of activities of branch of nonresident bank of the Republic of Kazakhstan, branch of the insurance (reinsurance) nonresident organization of the Republic of Kazakhstan in the cases established by the laws of the Republic of Kazakhstan
_________________________________________________________________________________________
(name of the financial organization, position,
_________________________________________________________________________________________
work period)
7. Whether consent to appointment (election) to leading employee position in this and (or) other financial organization, this and (or) other branch of nonresident bank of the Republic of Kazakhstan, branch of the insurance (reinsurance) nonresident organization of the Republic of Kazakhstan, branch of the insurance nonresident broker of the Republic of Kazakhstan responded at the leading employee. The specified requirement is applied within the last twelve consecutive months after adoption by authorized body of the decision on withdrawal of consent to appointment (election) to leading employee position.
_________________________________________________________________________________да (is not present).
8. Whether the leading employee of uslugopoluchatel was made for making of corruption crime responsible or whether it was subjected to administrative punishment before date of appointment (election) for making of corruption offense
_______________________________________________________________________________________
yes (is not present)
_______________________________________________________________________________________
short description of offense, crime, judgment,
_______________________________________________________________________________________
with indication of the bases of accountability.
9. Data on whether the leading employee of uslugopoluchatel was head, the member of governing body, the head, the member of executive body, the chief accountant of the financial organization, the large participant (large shareholder) earlier - physical person, the head, the member of governing body, the head, the member of executive body, the chief accountant of the large participant (large shareholder) - the legal person issuer who allowed default on payment of coupon remuneration for issued issued securities within four and more consecutive periods or outstanding amount of which on payment of coupon remuneration for issued issued securities on which the default was allowed, constitutes quadruple and (or) more than a size of coupon remuneration, or the default size on payment of principal debt for issued issued securities constitutes the amount, in ten thousands-fold times exceeding size of monthly settlement indicator established by the law on the republican budget on payment date
_________________________________________________________________________________________
yes (is not present)
(name of the legal entity,
_________________________________________________________________________________________
position, work period)
10. Data on availability of the outstanding or not removed criminal record
_______________________________________________________________________________________
11. Data on availability concerning the leading employee who took legal effect of the judgment about application of criminal penalty in the form of deprivation of the right to hold leading employee position of the financial organization, bank and (or) insurance holding and to be large member (large shareholder) of the financial organization for life.
to the Resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of April 27, 2023 No. 13
Appendix 4
to Rules of licensing of microfinancial activities
Statement for renewal of the license for implementation of microfinancial activities
I ask to renew the license for implementation of microfinancial activities
_____________________________________________________________________________
(specify the reason of renewal of the license)
1. Name, location of uslugopoluchatel
_____________________________________________________________________________
(index, area, city, area, street, house number, office)
_____________________________________________________________________________
(phone number, number of the fax, e-mail address, Internet resource)
2. Data on the license for implementation of microfinancial activities
_____________________________________________________________________________
(number, date of issue, the name of the state body which issued
_____________________________________________________________________________
license)
3. Data on reorganization of legal entities:
|
№ |
Information on reorganization |
Name |
BIN |
|
1. |
Data on the legal entities reorganized in the form of merge | ||
|
1.1. |
The name of the legal entities reorganized in the form of merge |
||
|
1.2. |
The name of the legal entity formed in the form of merge |
||
|
2. |
Data on the legal entities reorganized in the form of accession | ||
|
2.1. |
The name of the attached legal entity |
||
|
2.2. |
The name of the legal entity to which the legal entity is attached |
||
____________________________________________________________________________________________
________________________________________________________________
4. The list of the directed documents, number of copies and sheets on each of them
____________________________________________________________________________________________
Uslugopoluchatel confirms reliability of the documents (information) enclosed to the application.
Uslugopoluchatel provides consent to use of the data which are the secret protected by the law, containing in information systems.
Surname, name, middle name (in case of its availability) the head of executive body of the uslugopoluchatel or person authorized on filing of application (with appendix of supporting documents).
_____________________________________________________________________________________________
(digital signature) (date)
to the Resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of April 27, 2023 No. 13
Appendix 4-1
to Rules of licensing of microfinancial activities
Statement for renewal of the license for implementation of microfinancial activities
I ask to renew the license for implementation of microfinancial activities
_____________________________________________________________________________________________.
(specify the reason of renewal of the license)
1. Data on the license for implementation of microfinancial activities
_____________________________________________________________________________________________.
(number, date of issue, the name of the state body which granted the license)
Data on uslugopoluchatel:
2. Name, location and actual address
_____________________________________________________________________________________________
(index, area, city, area, street, house number, office)
_____________________________________________________________________________________________
(business and identification number (in the presence)
_____________________________________________________________________________________________.
(phone number, number of the fax, e-mail address, Internet resource)
3. Number and date of the certificate on state registration of release of the announced shares (for the legal entities created in form of business of joint-stock company and also the legal entities reorganized in the form of transformation of economic partnership to joint-stock company) and the size of the authorized capital of uslugopoluchatel
____________________________________________________________________________________________
____________________________________________________________________________________________
4. Whether the requirement about accession to unified information system in the field of counteraction of legalization (washing) of income gained in the criminal way and to terrorism financing is fulfilled
____________________________________________________________________________________________.
yes (is not present)
5. Whether the requirement about the conclusion of the agreement on provision of information in credit bureau with the state participation is fulfilled
__________________________________________________________________да (is not present)
6. Whether the requirement for establishment of information system is fulfilled,
providing automation of conducting financial accounting
__________________________________________________________________.
yes (is not present)
7. Data on reorganization of legal entities:
|
№ |
Information on reorganization |
Name |
BIN |
|
1. |
Data on the legal entities reorganized in the form of allocation | ||
|
1.1 |
The name of the legal entity reorganized in the form of allocation |
||
|
1.2 |
The name of the legal entities formed after reorganization in the form of allocation |
||
|
2. |
Data on the legal entities reorganized in the form of separation | ||
|
2.1 |
The name of the legal entity reorganized in the form of separation |
||
|
2.2 |
The name of the legal entities formed after reorganization in the form of separation |
||
|
3. |
Data on the legal entities reorganized in the form of transformation | ||
|
3.1. |
The name of the legal entity reorganized in the form of transformation |
||
|
3.2. |
The name of the legal entity formed after reorganization in the form of transformation |
||
8. The list of the directed documents, number of copies and sheets on each of them:
___________________________________________________________________________________________
___________________________________________________________________________________________
Uslugopoluchatel confirms reliability and completeness of the documents enclosed to the application and information.
Uslugopoluchatel provides consent to use of the data which are the secret protected by the law, containing in information systems.
Surname, name, middle name (in case of its availability) the head of executive body of the uslugopoluchatel or person authorized on filing of application (with appendix of supporting documents).
___________________________________________________________________________________________.
(digital signature) (date)
Disclaimer! This text was translated by AI translator and is not a valid juridical document. No warranty. No claim. More info
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