of September 26, 2023 No. 67
About modification and amendments in some regulatory legal acts of the Republic of Kazakhstan concerning submission of the reporting by members of the financial market
The board of National Bank of the Republic of Kazakhstan DECIDES:
1. Approve the List of some resolutions of Board of National Bank of the Republic of Kazakhstan to which changes and additions concerning submission of the reporting by members of the financial market are made (further – the List), according to appendix to this resolution.
2. To department of statistics of the financial market (Buranbayeva A. M.) in the procedure established by the legislation of the Republic of Kazakhstan to provide:
1) together with Legal department (Kosbayev N. K.) state registration of this resolution in the Ministry of Justice of the Republic of Kazakhstan;
2) placement of this resolution on official Internet resource of National Bank of the Republic of Kazakhstan after its official publication;
3) within ten working days after state registration of this resolution submission to Legal department of data on execution of the action provided by the subitem 2) of this Item.
3. To impose control of execution of this resolution on the vice-chairman of National Bank of the Republic of Kazakhstan Baymagambetov A. M.
4. This resolution becomes effective after ten calendar days after day of its first official publication, except for paragraphs twenty, forty five, forty six, forty seven and sixty six Item 3 of the List which become effective since December 1, 2023.
Determine what paragraphs nineteen, forty four and sixty five Item 3 of the List, is effective till December 1, 2023.
Chairman of National Bank of Kazakhstan
T. Suleymenov
|
It is approved Bureau of national statistics of the Agency on strategic planning and reforms of the Republic of Kazakhstan |
|
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It is approved Agency of the Republic of Kazakhstan on regulation and development of the financial market |
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Appendix
to the Resolution of Board of National Bank of the Republic of Kazakhstan of September 26, 2023 No. 67
1. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of December 26, 2016 No. 315 "About approval of the list, forms, terms of the reporting of large members of banks, bank holdings, large members of the insurance (reinsurance) organizations, insurance holdings, large members of the managing director of investment portfolio, banks of the second level and Rules of their representation" (it is registered in the Register of state registration of regulatory legal acts at No. 14832) the following changes:
state heading in the following edition:
"About approval of the list, forms, terms and Rules of submission of the reporting by large members of banks of the second level, bank holdings, banks of the second level, large members of the insurance (reinsurance) organizations, insurance holdings, large members of managing directors of investment portfolio";
state preamble in the following edition:
"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 1 of Article 54 and Item 1 of article 54-1 of the Law of the Republic of Kazakhstan "About banks and banking activity in the Republic of Kazakhstan", Item 1 of article 74-1 of the Law of the Republic of Kazakhstan "About insurance activity", Item 1 of the article 72-4 "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:";
in Item 2:
third the subitem 7) to state the paragraph in the following edition:
"annually, not later 31 on the (thirty first) of May (inclusive) the year following after accounting year;";
in the subitem 8):
third to state the paragraph in the following edition:
"annually, not later 31 on the (thirty first) of May (inclusive) the year following after accounting year;";
to state the paragraph of the sixth in the following edition:
"annually, not later 31 on the (thirty first) of May (inclusive) the year following after accounting year;";
state appendix 2 in edition according to appendix 1 to this List of some resolutions of Board of National Bank of the Republic of Kazakhstan to which changes and additions concerning submission of the reporting by members of the financial market are made (further – the List);
state appendix 3 in edition according to appendix 2 to this List;
state appendix 4 in edition according to appendix 3 to this List;
state appendix 5 in edition according to appendix 4 to this List;
state appendix 6 in edition according to appendix 5 to this List;
state appendix 7 in edition according to appendix 6 to this List;
state appendix 8 in edition according to appendix 7 to this List;
state appendix 9 in edition according to appendix 8 to this List;
state appendix 10 in edition according to appendix 9 to this List;
state appendix 11 in edition according to appendix 10 to this List;
state appendix 12 in edition according to appendix 11 to this List;
state appendix 13 in edition according to appendix 12 to this List.
2. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of December 27, 2019 No. 258 "About establishment of the list, forms, terms of submission of the reporting on accomplishment of prudential standard rates by banking conglomerates and Rules of its representation" (it is registered in the Register of state registration of regulatory legal acts at No. 19834) the following changes:
state heading in the following edition:
"About establishment of the list, forms, terms and Rules of submission of the reporting on accomplishment of prudential standard rates by banking conglomerates";
state preamble in the following edition:
"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 42 of the Law of the Republic of Kazakhstan "About banks and banking activity in the Republic of Kazakhstan" 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:";
2) of Item 2 to state the subitem in the following edition:
"2) annually the reporting provided by subitems 2), 3), 4), 5), 6) and 7) of Item 1 of this resolution, not later 31 on the (thirty first) of May (inclusive) the year following after accounting year.";
state appendix 2 in edition according to appendix 13 to this List;
state appendix 3 in edition according to appendix 14 to this List;
state appendix 4 in edition according to appendix 15 to this List;
state appendix 5 in edition according to appendix 16 to this List;
state appendix 6 in edition according to appendix 17 to this List;
state appendix 7 in edition according to appendix 18 to this List;
state appendix 8 in edition according to appendix 19 to this List.
3. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of April 21, 2020 No. 54 "About approval of the list, forms, terms and Rules of submission of the reporting by banks of the second level" (it is registered in the Register of state registration of regulatory legal acts at No. 20474) the following changes and amendments:
state preamble in the following edition:
"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 1 of article 54 of the Law of the Republic of Kazakhstan "About banks and banking activity in the Republic of Kazakhstan" 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:";
state Items 1 and 2 in the following edition:
"1. Approve:
1) the list of the reporting of banks of the second level according to appendix 1 to this resolution;
2) report form about remaining balance on balance and off-balance sheet accounts according to appendix 2 to this resolution;
3) report form about separate indicators of activities of bank according to appendix 3 to this resolution;
4) report form about off-exchange transactions with foreign currency according to appendix 4 to this resolution;
5) report form on interbank assets and liabilities according to appendix 5 to this resolution;
6) report form about structure of securities portfolio according to appendix 6 to this resolution;
7) report form about investments of bank into the capital of other legal entities according to appendix 7 to this resolution;
8) report form about the other classified assets and large debtors according to appendix 8 to this resolution;
9) report form about the issued loans and rates of remuneration on them according to appendix 9 to this resolution;
10) report form about the faces tied with bank the special relations and transactions with them according to appendix 10 to this resolution;
11) report form about transactions with cash according to appendix 11 to this resolution;
12) report form on accounts and deposits of resident clients according to appendix 12 to this resolution;
13) report form about the main sources of the attracted money according to appendix 13 to this resolution;
14) report form on amounts and rates of remunerations of deposits of physical persons according to appendix 14 to this resolution;
15) report form on amounts and rates of remunerations (including to maximum rates of remuneration) deposits of physical persons according to appendix 15 to this resolution;
16) report form about monitoring of the events of operational risk which entailed losses according to appendix 16 to this resolution;
17) report form about the income paid to leading employees of bank according to appendix 17 to this resolution;
18) report form about bank of the second level, clients of bank of the second level, products and services of bank of the second level, cash and non-cash transactions, the external economic contracts of clients of bank of the second level and measures for counteraction of legalization (washing) of income gained in the criminal way and to financing of terrorism according to appendix 18 to this resolution;
19) report form about outflows and inflows according to schedules of execution of requirements and obligations according to appendix 19 to this resolution;
20) Rules of submission of the reporting by banks of the second level according to appendix 20 to this resolution.
2. Banks of the second level represent in electronic format to National Bank of the Republic of Kazakhstan:
1) the report provided by the subitem 2) of Item 1 of this resolution – daily, no later than three working days following behind reporting day, except for:
reports for the first, second and last working days of month which are represented no later than four working days following behind reporting day;
the additional report for the last working day of year (taking into account final turnovers on intra banking activities) which is represented (including in the absence of turnovers on intra banking activities) no later than January thirty first of the year following complete financial year;
2) the report provided by the subitem 3) of Item 1 of this resolution – monthly, no later than the seventh working day of the month following month under report.
The additional report for the last working day of year (taking into account final turnovers on intra banking activities) is submitted (in the presence of turnovers on intra banking activities) no later than January thirty first of the year following complete financial year;
3) the report provided by the subitem 4) of Item 1 of this resolution – daily, no later than the working day following behind reporting day;
4) the reports provided by subitems 5), 6), 7) and 19) of Item 1 of this resolution – monthly, no later than the seventh working day of the month following month under report;
5) the report provided by the subitem 8) of Item 1 of this resolution:
regarding data on the other classified assets – monthly, no later than the eleventh working day of the month following month under report, except for the additional report on the other classified assets for December (taking into account final turnovers on intra banking activities) which is submitted (in the presence of turnovers on intra banking activities) no later than January thirty first of the year following complete financial year;
regarding the information about large debtors – quarterly, no later than the fifteenth following reporting quarter;
6) the report provided by the subitem 9) of Item 1 of this resolution – monthly, no later than the eleventh working day of the month following month under report;
7) the report provided by the subitem 10) of Item 1 of this resolution:
regarding the register of faces tied with bank the special relations – monthly, no later than the seventh working day of the month following month under report;
regarding data on transactions with the faces tied with bank the special relations and the additional information about persons connected with bank the special relations and transactions with them – monthly, no later than the fifteenth working day of the month following month under report;
8) the report provided by the subitem 11) of Item 1 of this resolution – monthly, no later than the thirtieth following month under report;
9) the report provided by the subitem 12) of Item 1 of this resolution – monthly, no later than the eighth working day of the month following month under report;
10) the report provided by the subitem 13) of Item 1 of this resolution – monthly, no later than the fifteenth following month under report;
11) the report provided by the subitem 14) of Item 1 of this resolution – monthly, no later than the tenth working day of the month following month under report;
12) the report provided by the subitem 15) of Item 1 of this resolution:
monthly, no later than the twelfth working day of the month following month under report;
regarding data on maximum rates on the attracted household deposits with fixed interest rate in national currency – monthly, no later than the second working day after the twentieth calendar day of month under report;
13) the report provided by the subitem 16) of Item 1 of this resolution – quarterly, no later than the thirtieth following reporting quarter;
14) the report provided by the subitem 17) of Item 1 of this resolution – annually, within hundred twenty calendar days upon termination of financial year;
15) the report provided by the subitem 18) of Item 1 of this resolution – annually, no later than thirty six calendar days upon termination of financial year;
The additional reports for December (taking into account final turnovers on intra banking activities) provided by subitems 5), 6), 7), 9), 12) and 15) of Item 1 of this resolution are represented by banks of the second level (in the presence in month under report of turnovers on intra banking activities) no later than January thirty first of the year following complete financial year.";
state appendix 1 in edition according to appendix 20 to this List;
state appendix 2 in edition according to appendix 21 to this List;
state appendix 3 in edition according to appendix 22 to this List;
state appendix 4 in edition according to appendix 23 to this List;
state appendix 5 in edition according to appendix 24 to this List;
state appendix 6 in edition according to appendix 25 to this List;
state appendix 7 in edition according to appendix 26 to this List;
state appendix 8 in edition according to appendix 27 to this List;
state appendix 9 in edition according to appendix 28 to this List;
state appendix 10 in edition according to appendix 29 to this List;
state appendix 11 in edition according to appendix 30 to this List;
state appendix 12 in edition according to appendix 31 to this List;
state appendix 13 in edition according to appendix 32 to this List;
state appendix 14 in edition according to appendix 33 to this List;
state appendix 15 in edition according to appendix 34 to this List;
state appendix 16 in edition according to appendix 35 to this List;
state appendix 17 in edition according to appendix 36 to this List;
add with appendix 18 according to appendix 37 to this List;
add with appendix 19 according to appendix 38 to this List;
add with appendix 20 according to appendix 39 to this List.
4. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of March 2, 2021 No. 22 "About approval of the list, forms, terms of submission of the reporting by branches of nonresident banks of the Republic of Kazakhstan and Rules of its representation" (it is registered in the Register of state registration of regulatory legal acts at No. 22323) the following changes:
state heading in the following edition:
"About approval of the list, forms, terms and Rules of submission of the reporting by branches of nonresident banks of the Republic of Kazakhstan";
state preamble in the following edition:
"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 1 of article 54 of the Law of the Republic of Kazakhstan "About banks and banking activity in the Republic of Kazakhstan" 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:";
state appendix 2 in edition according to appendix 40 to this List;
state appendix 3 in edition according to appendix 41 to this List;
state appendix 4 in edition according to appendix 42 to this List;
state appendix 5 in edition according to appendix 43 to this List;
state appendix 6 in edition according to appendix 44 to this List;
state appendix 7 in edition according to appendix 45 to this List;
state appendix 8 in edition according to appendix 46 to this List;
state appendix 9 in edition according to appendix 47 to this List;
state appendix 10 in edition according to appendix 48 to this List;
state appendix 11 in edition according to appendix 49 to this List;
state appendix 12 in edition according to appendix 50 to this List;
state appendix 13 in edition according to appendix 51 to this List;
state appendix 14 in edition according to appendix 52 to this List;
state appendix 15 in edition according to appendix 53 to this List.
5. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of March 2, 2021 No. 23 "About approval of the list, forms, terms of submission of the reporting on accomplishment of prudential standard rates by branches of nonresident banks of the Republic of Kazakhstan (including branches of Islamic nonresident banks of the Republic of Kazakhstan) and Rules of its representation" (it is registered in the Register of state registration of regulatory legal acts at No. 22321) the following changes:
state heading in the following edition:
"About approval of the list, forms, terms and Rules of submission of the reporting on accomplishment of prudential standard rates by branches of nonresident banks of the Republic of Kazakhstan (including branches of Islamic nonresident banks of the Republic of Kazakhstan)";
state preamble in the following edition:
"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 1 of article 54 of the Law of the Republic of Kazakhstan "About banks and banking activity in the Republic of Kazakhstan" 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:";
state appendix 2 in edition according to appendix 54 to this List;
state appendix 3 in edition according to appendix 55 to this List;
state appendix 4 in edition according to appendix 56 to this List;
state appendix 5 in edition according to appendix 57 to this List;
state appendix 6 in edition according to appendix 58 to this List;
state appendix 7 in edition according to appendix 59 to this List;
state appendix 8 in edition according to appendix 60 to this List;
state appendix 9 in edition according to appendix 61 to this List;
state appendix 10 in edition according to appendix 62 to this List;
state appendix 11 in edition according to appendix 63 to this List;
state appendix 12 in edition according to appendix 64 to this List;
state appendix 13 in edition according to appendix 65 to this List;
state appendix 14 in edition according to appendix 66 to this List;
state appendix 15 in edition according to appendix 67 to this List;
state appendix 16 in edition according to appendix 68 to this List;
state appendix 17 in edition according to appendix 69 to this List;
state appendix 18 in edition according to appendix 70 to this List;
state appendix 19 in edition according to appendix 71 to this List;
state appendix 20 in edition according to appendix 72 to this List.
Appendix 1
to the List
Appendix 2
to the Resolution of Board of National Bank of the Republic of Kazakhstan of December 26, 2016 No. 315
The form intended for collection of administrative data
It is represented: in National Bank of the Republic of Kazakhstan
The form of administrative data is placed on Internet resource: www.nationalbank.kz
Index of form of administrative data: KUFL_F2
Frequency: annual
Accounting period: as of "___" "__________" 20 __ years of c "___" "________" 20 ___ years on "___" "________" 20 ___ years
The group of people, providing information: the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is physical person
Term of representation of form of administrative data: annually, no later than 120 (hundred twenty) calendar days upon termination of financial year
Form
Table 1. The gained income and other cash receipts
(in thousands of tenges)
|
№ |
Name of income type and other cash receipts |
Amount |
|
1 |
2 |
3 |
|
1. |
Income and other cash receipts, everything, including: |
|
|
1.1 |
salary and other remuneration of labor activity |
|
|
1.2 |
dividends and the income from shares in the authorized capital (shares) of the organizations which are owned by the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio (with disaggregation) |
|
|
1.2.1 |
||
|
1.2.n |
||
|
1.3 |
the paid remuneration on deposits |
|
|
1.4 |
the paid remuneration on the securities, shares which are in management of mutual investment fund |
|
|
1.5 |
income from leasing of property |
|
|
1.6 |
other entrepreneurial incomes (with disaggregation) |
|
|
1.6.1 |
||
|
1.6.n |
||
|
1.7 |
sale of property |
|
|
1.8 |
receipt of loans |
|
|
1.9 |
receipt of the financial, financial and sponsor's aid |
|
|
1.10 |
receipt of property in gift |
|
|
1.11 |
other (with disaggregation) |
|
|
1.11.1 |
||
|
1.11.n |
Table 2. Data on property
|
№ |
Name of type of property |
Property value (in thousands of tenges) by the end of the reporting period |
Liquidity degree |
|
1 |
2 |
3 |
4 |
|
1. |
Property, everything, including: |
||
|
1.1 |
money of everything, including: 1) cash: in national currency; in foreign currency; 2) on bank accounts in banks of the second level: in national currency; in foreign currency; 3) on bank accounts in foreign banks in foreign currency; 4) in other form (with disaggregation) |
||
|
1.1.4.1 |
|||
|
1.1.4.n |
|||
|
1.2 |
the affined precious metals and products from them |
||
|
1.3 |
real estate (with disaggregation) |
||
|
1.3.1 |
|||
|
1.3.n |
|||
|
1.4 |
shares in the authorized capital (share) of the organizations which is owned by the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio |
||
|
1.4.1 |
including being in trust management |
||
|
1.5 |
the securities, shares which are in management of mutual investment fund |
||
|
1.6 |
other property, including: |
||
|
1.6.1 |
objektirovanny results of creative intellectual activities |
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|
1.6.2 |
trade names, trademarks and other means of individualization of products |
||
|
1.6.3 |
other property rights |
||
|
1.6.4 |
other |
||
|
1.7 |
property, right of possession, uses and orders which it is limited (with disaggregation and specifying of the basis of restriction) |
||
|
1.7.1 |
|||
|
1.7.n |
|||
|
2 |
The maximum property value provided by the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio as recapitalization of the financial organization, in case of deterioration in financial position of the financial organization |
X | |
|
2.1 |
|||
|
2.n |
|||
|
3 |
For information only: short-term obligations |
X | |
|
3.1 |
X | ||
|
3.n |
X |
Table 3. Data about belonging large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is physical person, shares in the authorized capital (shares) of the organizations and also about sources of means for their acquisition
|
№ |
Business - identification number or other identification number (for nonresidents of the Republic of Kazakhstan) |
The name of the organization, share in the authorized capital or stocks of which is owned by the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio |
The amount of participation in the authorized capital (the current share market value), to belonging large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio, (in thousands of tenges) |
Number of shares | |
|
Simple |
Exclusive | ||||
|
1 |
2 |
3 |
4 |
5 |
6 |
continuation of the table:
|
Ratio of number of the shares belonging to the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio, to total quantity placed (less exclusive and redeemed) shares of the organization or share in its authorized capital (as a percentage) |
Sources of means for acquisition to belonging large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio, share in the charter of number the capital or shares of the organizations in the report of number the period |
The received dividends | |||
|
For the previous accounting periods |
For the period, preceding the accounting period | ||||
|
The amount (in thousands of tenges) |
Period (year) |
The amount (in thousands of tenges) |
Period (year) | ||
|
7 |
8 |
9 |
10 |
11 |
12 |
Note:
________________________________________________________________
(property cost type)
_________________________________________________________ ______
(surname, name and middle name (in case of its availability) the large participant) (signature)
Date "____" ______________ 20 __ years
to report form about the income and property of the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is physical person
The explanation on filling of form of administrative data
The income statement and property of the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is physical person (index - KUFL_F 2, frequency - annual)
1. This explanation determines single requirements for filling of form of the administrative Data "The Income Statement and Property of the Large Member of Bank of the Second Level, the Insurance (Reinsurance) Organization, the Managing Director of Investment Portfolio Who Is Physical Person" (further - the Form).
2. The form is developed 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 1 of Article 54 and Item 1 of article 54-1 of the Law of the Republic of Kazakhstan "About banks and banking activity in the Republic of Kazakhstan", Item 1 of article 74-1 of the Law of the Republic of Kazakhstan "About insurance activity", Item 1 of article 72-4 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".
3. The form is constituted by annually large member of bank of the second level, the insurance (reinsurance) organization, the managing director of the investment portfolio which is physical person.
4. The form is signed by the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio.
5. As the accounting period accounting year is specified. If the reporting person initially acquired the status of the large participant within accounting year, as the accounting period the period is specified from the moment of acquisition of the status of the large participant before the termination of accounting year.
6. In column 3 of Table 1 income and other cash receipts which are actually gained in the accounting period are specified (taking into account the retained taxes and other deduction at source of payments).
7. Data in column 3 on line 1.2 of Table 1 correspond to the amount of data in columns 9 and 11 of Table 3.
8. In column 3 of Table 2 the market value of property confirmed with the independent appraiser in case of its absence is specified the cost of similar property from different information resources is specified, according to the large member of the financial organization. In the absence of similar property original or book value of property is specified.
At the same time, in the note to the reporting the reporting person it is necessary to specify property cost type.
9. In column 4 of Table 2 degree of liquidity of each property according to the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio (from 1 to 3 points) is specified, depending on the term of its possible realization: 1 - low (realization term - over a year), 2 - average (realization term - from 30 days to 1 year), 3 - high (realization term - up to 30 days).
10. In line 1.1 of Table 2 the remaining balance of money for reporting date is specified.
11. In line 1.2 of Table 2 the affined precious metals and products from them which cost exceeds the amount equivalent to the nine hundredfold size of the monthly settlement indicator established by the law on the republican budget for the corresponding financial year are specified.
12. Data in line 1.4 of Table 2 correspond to the amount of data in column 4 of Table 3.
13. In lines 1.6.3 of Table 2 other property rights which are not specified in lines 1.1, 1 are specified. 2, 1.3, 1.4, 1.5 and 1.6 of the Table 2, including subsurface use rights.
14. In line 1.6.4 of Table 2 other property which is not specified in lines 1.1, 1 is specified. 2, 1.3, 1.4, 1.5 and 1.6 of the Table 2, including objects of art, luxury goods and so forth which cost exceeds the amount equivalent to the nine hundredfold size of the monthly settlement indicator established by the law on the republican budget for the corresponding financial year.
15. If the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is physical person at the same time is member of several financial organizations, in lines 2.1 and 2.n Table 2 data on each financial organization separately are specified.
16. In line 3 of Table 2 all available obligations which are subject to payment during the period (with remaining period of repayment) till 1 year are specified.
17. The cells noted by symbol "X" are not filled.
18. Data in Table 3 are specified as of the end of the accounting period.
Appendix 2
to the List
Appendix 3
to the Resolution of Board of National Bank of the Republic of Kazakhstan of December 26, 2016 No. 315
The form intended for collection of administrative data
It is represented: in National Bank of the Republic of Kazakhstan
The form of administrative data is placed on Internet resource: www.nationalbank.kz
Index of form of administrative data: KUFL_F3
Frequency: annual
Accounting period: as of "___" "________________" 20 __ years of c "___" "________" 20 ___ years on "___" "________" 20 ___ years
The group of people, providing information: the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is physical person
Term of representation of form of administrative data: annually, no later than 120 (hundred twenty) calendar days upon termination of financial year
Form
Table 1. The information about the reporting person
|
1. |
Residence (address, phone, e-mail address) |
||
|
2. |
The bank name of the second level, the insurance (reinsurance) organizations managing investment portfolio in which the reporting person has the status of the large participant |
||
|
3. |
The identity certificate (passport) (series, number by whom and when it is issued) |
||
|
4. |
Individual identification number or other identification number (for nonresidents of the Republic of Kazakhstan) |
||
|
5. |
Data on implementation by the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of the investment portfolio which is physical person of influence on accepted by bank of the second level, the insurance (reinsurance) organization, managing investment portfolio of the decision: |
together with other persons owing to the contract between them |
otherwise |
|
1 |
2 |
3 | |
|
5.1 |
|||
|
5.n. |
|||
Table 2. Data about the occupied large member of bank of the second level, the insurance (reinsurance) organization, the managing director of the investment portfolio which is physical person, positions in the organizations with indication of the shares belonging to it in the authorized capital (shares)
|
№ |
Business identification number or other identification number (for nonresidents of the Republic of Kazakhstan) |
Name of the organization |
Post |
Book value of shares (the participation amount) (in thousands of tenges |
|
1 |
2 |
3 |
4 |
5 |
|
1 |
continuation of the table:
|
Ratio of number of the shares belonging to the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is physical person, to total quantity placed (less exclusive and redeemed) shares of the organization and (or) share in its authorized capital (as a percentage) | ||||||
|
individually |
jointly | |||||
|
directly |
indirectly |
directly |
indirectly | |||
|
percent |
percent |
the name of the organization, surname, name and middle name (in case of its availability) through which physical person (which) indirect possession is performed by shares |
percent |
the name of the organization, surname, name and middle name (in case of its availability) together with which physical person is performed shareholding |
percent |
the name of the organization, surname, name and middle name (in case of its availability) through which physical person (which) indirect possession is performed by shares |
|
6 |
7 |
8 |
9 |
10 |
11 |
12 |
Table 3. The information about close relatives, the spouse (spouse) and (or) close relatives of the spouse (spouse) of the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is physical person and also the organizations controlled by these persons
|
№ |
Individual identification number or other identification number (for nonresidents of the Republic of Kazakhstan) |
Surname, name and middle name, (in case of its availability) the close relative, the spouse (spouses) of the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio, or the close relative of the spouse (spouse) |
Relationship degree |
The organizations controlled by the close relative, the spouse (spouse) or the close relative of the spouse (spouse) | |
|
Name of the organization |
Ratio of quantity of the owned shares to total quantity placed (less exclusive and redeemed) shares of the organization or share in its authorized capital (as a percentage) | ||||
|
1 |
2 |
3 |
4 |
5 |
6 |
continuation of the table:
|
The position occupied by the close relative, the spouse (spouse) of the large participant or the close relative of the spouse (spouse) in the bank of the second level, the insurance (reinsurance) organization managing investment portfolio |
Book value of shares (the amount of participation of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio) (in thousands of tenges) |
Ratio of number of the shares belonging to the close relative, the spouse (spouse) or the close relative of the spouse (spouse), to total quantity placed (less exclusive and redeemed) bank shares of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio (as a percentage) | ||
|
individually | ||||
|
directly |
indirectly | |||
|
percent |
percent |
the name of the organization, surname, name and middle name (in case of its availability) through which physical person (which) indirect possession is performed by shares | ||
|
7 |
8 |
9 |
10 |
11 |
continuation of the table:
|
Ratio of number of the shares belonging to the close relative, the spouse (spouse) or the close relative of the spouse (spouse), to total quantity placed (less exclusive and redeemed) bank shares of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio (as a percentage) | |||
|
jointly | |||
|
directly |
indirectly | ||
|
percent |
the name of the organization, surname, name and middle name (in case of its availability) together with which physical person is performed indirect possession by shares |
percent |
the name of the organization, surname, name and middle name (in case of its availability) through which physical person (which) indirect possession is performed by shares |
|
12 |
13 |
14 |
15 |
________________________________________________________ _______
(surname, name and middle name (in case of its availability) the large participant) (signature)
Date "____" ______________ 20 __ years
to report form about the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of the investment portfolio which is physical person
The explanation on filling of form of administrative data
The report on the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of the investment portfolio which is physical person (index - KUFL_F 3, frequency - annual)
1. This explanation determines single requirements for filling of form of the administrative Data "The Report on the Large Member of Bank of the Second Level, the Insurance (Reinsurance) Organization, the Managing Director of the Investment Portfolio Which Is Physical Person" (further - the Form).
2. The form is developed 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 1 of Article 54 and Item 1 of article 54-1 of the Law of the Republic of Kazakhstan "About banks and banking activity in the Republic of Kazakhstan", Item 1 of article 74-1 of the Law of the Republic of Kazakhstan "About insurance activity", Item 1 of article 72-4 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".
3. The form is constituted by annually large member of bank of the second level, the insurance (reinsurance) organization, the managing director of the investment portfolio which is physical person.
4. The form is signed by the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio.
5. As the accounting period accounting year is specified. If the reporting person initially acquired the status of the large participant within accounting year, as the accounting period the period is specified from the moment of acquisition of the status of the large participant before the termination of accounting year.
6. On line 5 of Table 1 of the data are not filled if the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio, independently exerts impact on acceptance of the second level by bank, the insurance (reinsurance) organization, managing investment portfolio of decisions.
7. If the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio, independently does not exert impact on acceptance of the second level by bank, the insurance (reinsurance) organization, managing investment portfolio of decisions:
1) in the column 1 of line 5 of Table 1 bank names of the second level, the insurance (reinsurance) organizations managing investment portfolio in which the reporting person is large participant are specified;
2) if the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio, exerts impact on acceptance of the second level by bank, the insurance (reinsurance) organization, managing investment portfolio, decisions together with other persons owing to the contract between them, in the column 2 of line 5 of Table 1 these persons are specified;
3) if the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio, exerts impact on acceptance of the second level by bank, the insurance (reinsurance) organization, managing investment portfolio of decisions otherwise, including the authority delegation determining possibility of such influence, in the column 3 of line 5 of Table 1 it is specified the corresponding data.
8. In Table 3 data in cases are specified if the close relative, the spouse (spouse) and (or) the close relative of the spouse (spouse) of the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio holds position in the financial organization and (or) has share in its authorized capital (share).
9. Data in Tables 2 and 3 are specified as of the end of the accounting period.
Appendix 3
to the List
Appendix 4
to the Resolution of Board of National Bank of the Republic of Kazakhstan of December 26, 2016 No. 315
The form intended for collection of administrative data
It is represented: in National Bank of the Republic of Kazakhstan
The form of administrative data is placed on Internet resource: www.nationalbank.kz
Index of form of administrative data: KU BSH YuL_F4
Frequency: quarterly, annual
Accounting period: as of "___" "________________" 20 __ years
The group of people, providing information: the large member of bank of the second level, the insurance (reinsurance) organization who is legal resident person of the Republic of Kazakhstan, the bank holding, insurance holding which are residents of the Republic of Kazakhstan
Term of representation of form of administrative data:
quarterly, no later than 30 (thirty) calendar days following reporting quarter
annually, no later than 30 (thirty) calendar days upon termination of financial year, except for the large member of bank of the second level who is legal resident person of the Republic of Kazakhstan, the large member of the insurance (reinsurance) organization who is legal resident person of the Republic of Kazakhstan in case of absence at the insurance (reinsurance) organization of insurance holding, bank holding, insurance holding which are residents of the Republic of Kazakhstan
Form
Table 1. Information about officials of the large member of bank of the second level, insurance (reinsurance) organization, bank holding, insurance holding
|
№ |
Individual identification number or other identification number (for nonresidents of the Republic of Kazakhstan) |
Surname, name and middle name (in case of its availability) the official |
Resident, nonresident |
Business - identification number |
|
1 |
2 |
3 |
4 |
5 |
continuation of the table:
|
Name of the organization |
Post in the organization |
Date of position assignment |
Book value of shares (the participation amount) (in thousands of tenges) |
|
6 |
7 |
8 |
9 |
continuation of the table:
|
Ratio of number of the shares belonging to the official, to total quantity placed (less exclusive and redeemed) shares or share in the authorized capital of the organization (as a percentage) | ||||||
|
individually |
jointly | |||||
|
directly |
indirectly |
directly |
indirectly | |||
|
percent |
percent |
the name of the legal entity, surname, name and middle name (in case of its availability) through which physical person is performed shareholding |
percent |
the name of the legal entity, surname, name and middle name (in case of its availability) together with which physical person is performed indirect possession by shares |
percent |
the name of the legal entity, surname, name and middle name (in case of its availability) through which physical person is performed indirect possession by shares |
|
10 |
11 |
12 |
13 |
14 |
15 |
16 |
Table 2. Data on receipt by the large member of bank of the second level, the insurance (reinsurance) organization, bank holding, insurance holding of loans for acquisition of shares in the authorized capital (shares) of the organizations
|
№ |
The organization, the physical person who granted loan |
The organization, shares (shares in the authorized capital) by which are acquired at the expense of loan | ||
|
Business - identification number, individual identification number or other identification number (for nonresidents of the Republic of Kazakhstan) |
The name of the organization, surname, name and middle name (in case of its availability) physical person |
Business - identification number or other identification number (for nonresidents of the Republic of Kazakhstan) |
Name of the organization | |
|
1 |
2 |
3 |
4 |
5 |
continuation of the table:
|
Loan amount (in thousands of tenges) |
Book value of shares (the participation amount) (in thousands of tenges) |
Number of shares |
Ratio of the number of the shares acquired by the large member of bank of the second level, the insurance (reinsurance) organization, bank holding, insurance holding, to total quantity placed (less exclusive and redeemed) shares of the organization or share in its authorized capital (as a percentage) |
|
6 |
7 |
8 |
9 |
Name _______________________________________________________
Адрес_______________________________________________________________
________________________________________ phone
E-mail address _________________________
Contractor of ____________________________________ ________________
surname, name and middle name (in case of its availability) the signature, phone
The head or person to who function on signing of the report is assigned
________________________________________________ ________________
surname, name and middle name (in case of its availability) the signature
Date "______" ______________ 20 __ years
to report form about officials of the large member of bank of the second level, the insurance (reinsurance) organization who is the legal entity, bank holding, insurance holding
The explanation on filling of form of administrative data
The report on officials of the large member of bank of the second level, the insurance (reinsurance) organization who is the legal entity, bank holding, insurance holding (index - KU BSH YUL_F 4, frequency - quarterly, annual)
1. This explanation determines single requirements for filling of form of the administrative Data "The Report on Officials of the Large Member of Bank of the Second Level, the Insurance (Reinsurance) Organization Who Is the Legal Entity, Bank Holding, Insurance Holding" (further - the Form).
2. The form is developed 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 1 of Article 54 and Item 1 of article 54-1 of the Law of the Republic of Kazakhstan "About banks and banking activity in the Republic of Kazakhstan", Item 1 of article 74-1 of the Law of the Republic of Kazakhstan "About insurance activity", Item 1 of article 72-4 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".
3. The form is constituted:
quarterly – the large member of bank of the second level who is legal resident person of the Republic of Kazakhstan, the bank holding, insurance holding which are residents of the Republic of Kazakhstan, the large member of the insurance (reinsurance) organization who is legal resident person of the Republic of Kazakhstan in case of absence at the insurance (reinsurance) organization of insurance holding;
annually – the large member of the insurance (reinsurance) organization who is legal resident person of the Republic of Kazakhstan.
4. The form is signed by the head or person to who function on signing of the report, and the contractor is assigned.
5. If the official of the large member of bank of the second level, the insurance (reinsurance) organization, bank holding, insurance holding in column 6 of the Table 1, does not hold position in the organization specified or does not hold its shares (shares), column 7 and 8 or columns 9, of 10, of 11, of 12, of 13, of 14, 15 and 16 Tables 1 are not filled in.
In column 9 the amount of book value on which the financial asset is recognized balance after deduction of the provisions (reserves) created on them is specified
6. In Table 1 for bank holding, insurance holding and the financial organizations are specified, including, leading employees.
7. Column 8 of Table 2 is filled in if the large member of bank of the second level, the insurance (reinsurance) organization, bank holding, the insurance holding is created in form of business of joint-stock company.
Appendix 4
to the List
Appendix 5
to the Resolution of Board of National Bank of the Republic of Kazakhstan of December 26, 2016 No. 315
The form intended for collection of administrative data
It is represented: in National Bank of the Republic of Kazakhstan
The form of administrative data is placed on Internet resource: www.nationalbank.kz
Index of form of administrative data: KU BSH YuL_F5
Frequency: quarterly, annual
Accounting period: as of "___" "______________" 20 __ years
The group of people, providing information: the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is legal resident person of the Republic of Kazakhstan, the bank holding and insurance holding which are residents of the Republic of Kazakhstan
Term of representation of form of administrative data:
quarterly, no later than 30 (thirty) calendar days following reporting quarter, the large member of bank of the second level, the insurance (reinsurance) organization in case of absence at the insurance (reinsurance) organization of insurance holding, the large member of the managing director of investment portfolio, the being legal resident persons of the Republic of Kazakhstan, the bank holding, insurance holding which are residents of the Republic of Kazakhstan
annually, no later than 30 (thirty) calendar days upon termination of financial year, the large member of the insurance (reinsurance) organization, the managing director of investment portfolio, being legal resident person of the Republic of Kazakhstan
Form
Table. Data on the organizations in which the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is the legal entity, bank holding insurance holding is participant (shareholder)
|
№ |
Business - identification number or other identification number (for nonresidents of the Republic of Kazakhstan) |
Name of the legal entity |
Description of type of activity |
The participation amount (cost of the acquired shares) (in thousands of tenges) | ||
|
Nominal (purchased) |
Balance sheet (less reserves) |
For information only: reserves (provisions) | ||||
|
1 |
2 |
3 |
4 |
5 |
6 |
7 |
continuation of the table:
|
Number of shares (pieces) |
Date of acquisition |
Ratio of number of the shares belonging to the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is the legal entity, to bank holding, insurance holding to total quantity placed (less exclusive and redeemed by society) shares of the issuer or share in the authorized capital of the legal entity (as a percentage) | |||
|
simple |
exclusive |
individually | |||
|
Directly (percent) |
indirectly | ||||
|
percent |
the name of the organization, surname, name and middle name (in case of its availability) through which physical person is performed indirect possession by shares | ||||
|
8 |
9 |
10 |
11 |
12 |
13 |
continuation of the table:
|
Ratio of number of the shares belonging to the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is the legal entity, to bank holding, insurance holding to total quantity placed (less exclusive and redeemed by society) shares of the issuer or share in the authorized capital of the legal entity (as a percentage) |
The dividends received in the accounting period (thousands of tenges) | ||||
|
jointly |
|||||
|
directly |
indirectly |
||||
|
percent |
the name of the organization, surname, name and middle name (in case of its availability) physical person together with which indirect possession is performed by shares |
percent |
the name of the organization, surname, name and middle name (in case of its availability) physical person through which indirect possession is performed by shares |
||
|
14 |
15 |
16 |
17 |
18 |
19 |
Name _______________________________________________________
Адрес_______________________________________________________________
________________________________________ phone
E-mail address _________________________
Contractor of ____________________________________ ________________
surname, name and middle name (in case of its availability) the signature, phone
The head or person to who function on signing of the report is assigned
________________________________________________ ________________
surname, name and middle name (in case of its availability) the signature
Date "______" ______________ 20 __ years
to report form about the organizations in which the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is the legal entity, bank holding insurance holding is participant (shareholder)
The explanation on filling of form of administrative data
The report on the organizations in which the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is the legal entity, bank holding insurance holding is participant (shareholder) (index - KU BSH YUL_F 5, frequency - quarterly, annual)
1. This explanation determines single requirements for filling of form of the administrative Data "The Report on the Organizations in Which the Large Member of Bank of the Second Level, the Insurance (Reinsurance) Organization, the Managing Director of Investment Portfolio Who Is the Legal Entity, Bank Holding Insurance Holding Is Participant (Shareholder)" (further - the Form).
2. The form is developed 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 1 of Article 54 and Item 1 of article 54-1 of the Law of the Republic of Kazakhstan "About banks and banking activity in the Republic of Kazakhstan", Item 1 of article 74-1 of the Law of the Republic of Kazakhstan "About insurance activity", Item 1 of article 72-4 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".
3. The form is constituted:
quarterly – the large member of bank of the second level, the insurance (reinsurance) organization, in case of absence at the insurance (reinsurance) organization of insurance holding, the large member of the managing director of investment portfolio, the being legal resident persons of the Republic of Kazakhstan, the bank holding, insurance holding which are residents of the Republic of Kazakhstan;
annually – the large member of the insurance (reinsurance) organization, the managing director of investment portfolio, being legal resident person of the Republic of Kazakhstan.
4. The form is signed by the head or person to who function on signing of the report, and the contractor is assigned.
5. Column 4 is filled in by the form activities of the legal entity specified the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is the legal entity, bank and (or) insurance holding participates in the column 3, in the capital of which.
6. In the column 7 the amount of reserves (provisions) is reflected in absolute value and with plus.
7. In shape data on all organizations in which the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is the legal entity, bank holding, insurance holding are participants (directly or indirectly) are reflected.
Appendix 5
to the List
Appendix 6
to the Resolution of Board of National Bank of the Republic of Kazakhstan of December 26, 2016 No. 315
The form intended for collection of administrative data
It is represented: in National Bank of the Republic of Kazakhstan
The form of administrative data is placed on Internet resource: www.nationalbank.kz
Index of form of administrative data: KU BSH YuL_F6
Frequency: quarterly, annual
Accounting period: as of "___" "______________" 20 __ years
The group of people, providing information:
the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is legal resident person of the Republic of Kazakhstan, bank holding, including the nonresident of the Republic of Kazakhstan, the insurance holding which is resident of the Republic of Kazakhstan
Term of representation of form of administrative data:
quarterly, no later than 10 (tenth) following reporting quarter, the large member of bank of the second level who is legal resident person of the Republic of Kazakhstan, bank nonresident holding of the Republic of Kazakhstan
quarterly no later than 30 (thirty) calendar days following the reporting quarter, insurance holding which is resident of the Republic of Kazakhstan, the large member of the insurance (reinsurance) organization in case of absence at the insurance (reinsurance) organization of insurance holding, the large member of the managing director of investment portfolio, the being legal resident persons of the Republic of Kazakhstan
annually, no later than 30 (thirty) calendar days upon termination of financial year, the large member of the insurance (reinsurance) organization, the managing director of investment portfolio, being legal resident person of the Republic of Kazakhstan
Form
Table 1. The information about large members (shareholders) of the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is the legal entity, bank holding and insurance holding
|
№ |
Business - identification number (for the legal entity), individual identification number (for physical person) or other identification number (for nonresidents of the Republic of Kazakhstan) |
Resident, nonresident |
The name (for the legal entity), surname, name and middle name (in case of its availability) (for physical person) large participant |
Description of type of activity |
Book value of the share (the participation amount) (in thousands of tenges) |
The number of the owned stocks (pieces) | |||
|
1 |
2 |
3 |
4 |
5 |
6 |
7 | |||
continuation of the table:
|
Ratio of number of the shares belonging to the large member (shareholder) of the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio, bank holding, insurance holding to total quantity placed (less exclusive and redeemed) shares of the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio, bank holding, insurance holding, or share in its authorized capital (as a percentage) | ||||||
|
individually |
jointly | |||||
|
directly (percent) |
indirectly |
directly |
indirectly | |||
|
percent |
the name of the organization, surname, name and middle name (in case of its availability) through which physical person is performed indirect possession by shares |
percent |
the name of the organization, surname, name and middle name (in case of its availability) together with which physical person is performed indirect possession by shares |
percent |
the name of the organization, surname, name and middle name (in case of its availability) through which physical person is performed indirect possession by shares | |
|
8 |
9 |
10 |
11 |
12 |
13 |
14 |
Table 2. The register of persons exercising control over the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio being the legal entity, bank holding, insurance holding
|
№ |
Business - identification number (for the legal entity), individual identification number (for physical person) or other identification number (for nonresidents of the Republic of Kazakhstan) |
Name of person |
Control bases |
Data on the organizations in which person controlling the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is the legal entity, bank holding the insurance holding owns more than 20 (twenty) percent of voting shares (shares in the authorized capital) | |
|
name of the affiliated organization |
name of other organizations | ||||
|
1 |
2 |
3 |
4 |
5 |
6 |
Name _______________________________________________________
Адрес_______________________________________________________________
________________________________________ phone
E-mail address _________________________
Contractor of ____________________________________ ________________
surname, name and middle name (in case of its availability) the signature, phone
The head or person to who function on signing of the report is assigned
________________________________________________ ________________
surname, name and middle name (in case of its availability) the signature
Date "______" ______________ 20 __ years
to report form about large members (shareholders) of the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is the legal entity of bank holding, insurance holding, and also the information about persons exercising control over the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio being the legal entity, bank holding, insurance holding
The explanation on filling of form of administrative data
The report on large members (shareholders) of the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is the legal entity, bank holding, insurance holding, and also the information about persons exercising control over the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio, being the legal entity, bank holding, insurance holding (index - KU BSH YUL_F 6, frequency - quarterly, annual)
1. This explanation determines single requirements for filling of form of the administrative Data "The Report on Large Members (Shareholders) of the Large Member of Bank of the Second Level, the Insurance (Reinsurance) Organization, the Managing Director of Investment Portfolio Who Is the Legal Entity of Bank Holding, Insurance Holding, and also the Information about Persons Exercising Control over the Large Member of Bank of the Second Level, the Insurance (Reinsurance) Organization, the Managing Director of Investment Portfolio Being the Legal Entity, Bank Holding, Insurance Holding" (further - the Form).
2. The form is developed 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 1 of Article 54 and Item 1 of article 54-1 of the Law of the Republic of Kazakhstan "About banks and banking activity in the Republic of Kazakhstan", Item 1 of article 74-1 of the Law of the Republic of Kazakhstan "About insurance activity", Item 1 of article 72-4 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".
3. The form is constituted:
quarterly – the large member of bank of the second level, the large member of the insurance (reinsurance) organization, in case of absence at the insurance (reinsurance) organization of insurance holding, the large member of the managing director of investment portfolio, the being legal resident persons of the Republic of Kazakhstan, the bank holding, insurance holding which are residents of the Republic of Kazakhstan, bank nonresident holding of the Republic of Kazakhstan;
annually – the large member of the insurance (reinsurance) organization, the managing director of investment portfolio, being legal resident person of the Republic of Kazakhstan.
4. The form is signed by the head or person to who function on signing of the report, and the contractor is assigned.
5. In column 4 of Table 1 persons owning ten or more percent placed (less exclusive and redeemed) shares of the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio, bank holding, insurance holding are specified.
6. Column 5 of Table 1 is filled in by the form activities of person specified in column 4.
7. Columns 7 and 8 of Table 1 are filled in if the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio, bank holding, the insurance holding is created in form of business of joint-stock company.
8. In column 4 of Table 2 the bases for control according to article 2 of the Law of the Republic of Kazakhstan "About banks and banking activity in the Republic of Kazakhstan", article 3 of the Law of the Republic of Kazakhstan "About insurance activity" and article 72-1 of the Law of the Republic of Kazakhstan "About the security market" are specified.
9. The requirement for filling of Table 2 does not extend on bank nonresident holding of the Republic of Kazakhstan.
Appendix 6
to the List
Appendix 7
to the Resolution of Board of National Bank of the Republic of Kazakhstan of December 26, 2016 No. 315
The form intended for collection of administrative data
It is represented: in National Bank of the Republic of Kazakhstan
The form of administrative data is placed on Internet resource: www.nationalbank.kz
Index of form of administrative data: KU BSH YuL_F7
Frequency: quarterly, annual
Accounting period: as of "___" "______________" 20 __ years
The group of people, providing information: the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is legal resident person of the Republic of Kazakhstan, the bank holding, insurance holding which are residents of the Republic of Kazakhstan
Term of representation of form of administrative data:
quarterly, no later than 30 (thirty) calendar days following reporting quarter, the large member of bank of the second level, the large member of the insurance (reinsurance) organization in case of absence at the insurance (reinsurance) organization of insurance holding, the large member of the managing director of investment portfolio, the being legal resident persons of the Republic of Kazakhstan, the bank holding, insurance holding which are residents of the Republic of Kazakhstan
annually, no later than 30 (thirty) calendar days upon termination of financial year, the large member of the insurance (reinsurance) organization, the managing director of investment portfolio, being legal resident person of the Republic of Kazakhstan
Form
Table 1. The report on transactions with connected, including affiliates
|
№ |
The name of the organization or surname, name and middle name (in case of its availability) the connected (affiliated) person |
Business - identification number (for the legal entity), individual identification number (for physical person) or identification number (for nonresidents of the Republic of Kazakhstan) |
Country of residence |
|
1 |
2 |
3 |
4 |
|
Total | |||
continuation of the table:
|
Sign according to which the face is carried to person connected by the special relations (affiliated) |
Transaction type |
Transaction purpose |
Agreement number |
Date of the conclusion of the agreement |
End date of validity |
|
5 |
6 |
7 |
8 |
9 |
10 |
continuation of the table:
|
Details of the decision of authorized body |
The amount of transaction (in thousands of tenges) |
Transaction currency |
Data on providing availability (yes (is not present)) |
Remuneration (as a percentage annual) |
Remaining balance by the form transactions on reporting date (in thousands of tenges) |
The note (other data which are not provided by columns 2, of 3, of 4, of 5, of 6, of 7, of 8, of 9, of 10, of 11, of 12, of 13, of 14, 15 and 16) are specified | |
|
under the terms of the agreement |
according to internal requirements for untied persons | ||||||
|
11 |
12 |
13 |
14 |
15 |
16 |
17 |
18 |
|
Total | |||||||
Table 2. Register connected, including affiliates
|
№ |
Business - identification number (for the legal entity), individual identification number (for physical person) or identification number (for nonresidents of the Republic of Kazakhstan) |
Name of the connected (affiliated) person |
Country of residence |
Sign according to which the face is carried to person connected by the special relations (affiliated) |
|
1 |
2 |
3 |
4 |
5 |
Name _______________________________________________________
Адрес_______________________________________________________________
________________________________________ phone
E-mail address _________________________
Contractor of ____________________________________ ________________
surname, name and middle name (in case of its availability) the signature, phone
The head or person to who function on signing of the report is assigned
________________________________________________ ________________
surname, name and middle name (in case of its availability) the signature
Date "______" ______________ 20 __ years
to report form about transactions with connected, including affiliates, concluded during the accounting period, and also acting as of reporting date and the register connected, including affiliates
The explanation on filling of form of administrative data
The report on transactions with connected, including affiliates, concluded during the accounting period, and also acting as of reporting date and the register connected, including affiliates (index - KU BSH YUL_F 7, frequency - quarterly, annual)
1. This explanation determines single requirements for filling of form of the administrative data "The Report on Transactions with Connected, including Affiliates, Concluded during the Accounting Period, and also Acting as of Reporting Date and the Register Connected, including Affiliates" (further - the Form).
2. The form is developed 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 1 of Article 54 and Item 1 of article 54-1 of the Law of the Republic of Kazakhstan "About banks and banking activity in the Republic of Kazakhstan", Item 1 of article 74-1 of the Law of the Republic of Kazakhstan "About insurance activity", Item 1 of article 72-4 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".
3. The form is constituted
quarterly – the large member of bank of the second level, the large member of the insurance (reinsurance) organization, in case of absence at the insurance (reinsurance) organization of insurance holding, the large member of the managing director of investment portfolio, the being legal resident persons of the Republic of Kazakhstan, the bank holding, insurance holding which are residents of the Republic of Kazakhstan;
annually – the large member of the insurance (reinsurance) organization, the managing director of investment portfolio, being legal resident person of the Republic of Kazakhstan.
4. The form is signed by the head or person to who function on signing of the report, and the contractor is assigned.
5. The sign according to which the face is carried to person connected by the special relations (affiliate) with the reporting person is determined by article 40 of the Law of the Republic of Kazakhstan "About banks and banking activity in the Republic of Kazakhstan", article 12-1 of the Law of the Republic of Kazakhstan "About partnerships with the limited and accessorial liability", article 15-1 of the Law of the Republic of Kazakhstan "About insurance activity", article 64 of the Law of the Republic of Kazakhstan "About joint-stock companies".
6. In Tables 1 and 2:
1) the bank holding, insurance holding reflect the information about persons, related the special relations;
2) the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who are legal entities reflect the information about affiliates.
7. Table 1 opens data on all transactions, the reporting person with persons, the connected, including affiliated special relations with the reporting person whose amount on each transaction type with connected, including affiliated by person exceeds 0,01 (zero whole one 100-th) percent in total from the size of equity of the reporting person on reporting date.
8. If person has one or several signs of coherence the special relations, including affiliation with the reporting person, in Table 2 all signs are specified.
9. Column 11 of Table 1 in case of lack of information is not filled in.
10. In case of creation of quarterly Form for the beginning of year in Table 1 transactions with connected, including affiliates, concluded during the fourth quarter, and also acting as of reporting date are reflected.
Appendix 7
to the List
Appendix 8
to the Resolution of Board of National Bank of the Republic of Kazakhstan of December 26, 2016 No. 315
The form intended for collection of administrative data
It is represented: in National Bank of the Republic of Kazakhstan
The form of administrative data is placed on Internet resource: www.nationalbank.kz
Index of form of administrative data: KU BSH RT_F8
Frequency: quarterly, annual
Accounting period: as of "___" "______________" 20 __ years
The group of people, providing information: the bank holding, the bank of the second level which does not have bank holding which are part of banking conglomerate, insurance holding, being part of insurance group
Term of representation of form of administrative data:
quarterly, no later than 60 (sixty) calendar days following reporting quarter
annually, not later 31 on the (thirty first) of May (inclusive) the year following after accounting year
Form
Table 1. The working table on creation of the consolidated balance sheet
|
№ |
Indicators |
Participant 1 |
Participant of N | ||||
|
Amount |
elimination |
Amount |
elimination | ||||
|
debit |
credit |
debit |
credit | ||||
|
1 |
2 |
3.1.1 |
3.1.2 |
3.1.3 |
3.n.1 |
3.n.2 |
3.n.3 |
|
1 |
Assets |
||||||
|
1.1 |
… |
||||||
|
1.1.1 |
… |
||||||
|
2 |
Obligations |
||||||
|
2.1 |
… |
||||||
|
2.1.1 |
… |
||||||
|
3 |
Capital |
||||||
|
3.1 |
… |
||||||
|
3.2 |
… |
||||||
|
Total obligations and capital |
|||||||
continuation of the table:
|
For information only: the associated (dependent) organizations |
Remaining balance |
Adjustments |
Total | ||
|
Amount |
debit |
credit | |||
|
Participant 1 |
Participant of N | ||||
|
4 |
5 |
6 |
7 |
8 | |
Table 2. The working table on creation of the consolidated income statement and expenses
|
№ |
Indicators |
Participant 1 |
Participant of N | ||||
|
Amount |
elimination |
Amount |
elimination | ||||
|
debit |
credit |
debit |
credit | ||||
|
1 |
2 |
3.1.1 |
3.1.2 |
3.1.3 |
3.n.1 |
3.n.2 |
3.n.3 |
|
4 |
Income |
||||||
|
4.1 |
… |
||||||
|
4.1.1 |
… |
||||||
|
5 |
Expenses |
||||||
|
5.1 |
… |
||||||
|
5.2 |
… |
||||||
|
Net profit (net loss) to the taxation |
|||||||
|
Income tax expenses |
|||||||
|
Profit (loss) after payment of the income tax |
|||||||
|
……… |
|||||||
|
Net profit (net loss) |
|||||||
|
………. |
|||||||
continuation of the table:
|
For information only: the associated (dependent) organizations |
Remaining balance |
Adjustments |
Total | ||
|
Amount | |||||
|
Participant 1 |
Participant of N |
debit |
credit | ||
|
4 |
5 |
6 |
7 |
8 | |
Name _______________________________________________________
Адрес_______________________________________________________________
________________________________________ phone
E-mail address _________________________
Contractor of ____________________________________ ________________
surname, name and middle name (in case of its availability) the signature, phone
The head or person to who function on signing of the report is assigned
________________________________________________ ________________
surname, name and middle name (in case of its availability) the signature
Date "______" ______________ 20 __ years
to report form about disaggregation of working tables on creation of consolidated financial statements
The explanation on filling of form of administrative data
The report on disaggregation of working tables on creation of consolidated financial statements (index - KU BSH RT_F 8, frequency - quarterly, annual)
1. This explanation determines single requirements for filling of form of the administrative data "Report on Disaggregation of Working Tables on Creation of Consolidated Financial Statements" (further - the Form).
2. The form is developed 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 1 of Article 54 and Item 1 of article 54-1 of the Law of the Republic of Kazakhstan "About banks and banking activity in the Republic of Kazakhstan", Item 1 of article 74-1 of the Law of the Republic of Kazakhstan "About insurance activity", Item 1 of article 72-4 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".
3. The form is constituted quarterly and annually bank holding, bank of the second level which does not have bank holding, being part of banking conglomerate, the insurance holding which is part of insurance group.
4. The form is signed by the head or person to who function on signing of the report, and the contractor is assigned.
5. In column 2 of Table 1 indicators of the consolidated (unconsolidated) balance sheet, the financial status statement and their disaggregation are reflected.
In column 2 of Table 2 disaggregation of the income and expenses by tools is reflected.
6. Data in Table 2 are filled in depending on the performed activities of bank of the second level, the insurance (reinsurance) organization.
7. In Tables 1 and 2 the indicators on all members of banking conglomerate corresponding to the indicators containing in the unconsolidated financial reporting of members of banking conglomerate, (dependent) organizations except for associated are reflected.
Indicators on the associated (dependent) organizations are reflected in columns 4 of Tables 1 and 2 on each member of banking conglomerate, insurance group.
8. In column 5 of Table 1 for indicators "Assets" on the corresponding line it is specified:
amount of columns 3.1. 1, 3.1.2, 3.n. 1, 3.n.2 less the amount of columns 3.1. 3, 3.n.3;
for indicators of "Obligation", "Capital" on the corresponding line is specified:
amount of columns 3.1. 1, 3.1.3, 3.n. 1, 3.n.3 less the amount of columns 3.1. 2, 3.n.2;
symbol n - the number of members of banking conglomerate, insurance group or the affiliated organizations of bank of the second level.
The name of members of banking conglomerate, insurance group or the affiliated organizations of bank of the second level are specified in the columns "Participant of N".
9. Totals according to columns 8 of Tables 1 and 2 shall correspond to the indicators containing in consolidated financial statements, the bank holding, bank of the second level which does not have bank holding which are part of banking conglomerate, the insurance holding which is part of insurance group.
10. Representation of the Form is not required by bank holding if indicators of this bank holding are included in the reporting of other bank holding.
11. Data in Tables 1 and 2 are filled in in thousands of tenges.
Appendix 8
to the List
Appendix 9
to the Resolution of Board of National Bank of the Republic of Kazakhstan of December 26, 2016 No. 315
The form intended for collection of administrative data
It is represented: in National Bank of the Republic of Kazakhstan
The form of administrative data is placed on Internet resource: www.nationalbank.kz
Index of form of administrative data: KU BSH FO_F9
Frequency: quarterly, annual
Accounting period: as of "___" "______________" 20 __ years
The group of people, providing information: the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is legal resident person of the Republic of Kazakhstan, the bank of the second level which does not have bank holding, being the part of banking conglomerate, bank holding, insurance holding which are residents of the Republic of Kazakhstan
Term of representation of form of administrative data:
quarterly, no later than 60 (sixty) calendar days following reporting quarter for consolidated financial statements and the explanatory note to it
quarterly, no later than 30 (thirty) calendar days following reporting quarter for the unconsolidated financial reporting
annually, not later 31 on the (thirty first) of May (inclusive) the year following after accounting year for the consolidated and unconsolidated financial reporting and the explanatory note to it
Form
Table 1. The consolidated and unconsolidated balance sheet, the financial status statement
|
Indicators |
By the end of the reporting period |
|
……….. |
|
|
……….. |
|
|
Total assets |
|
|
……….. |
|
|
……….. |
|
|
Total obligations |
|
|
………… |
|
|
…………. |
|
|
Total capital |
|
|
Total obligations and capital |
Table 2. The consolidated and unconsolidated profit and loss statement, the comprehensive income statement
|
Indicators |
from the beginning of year until the end of the accounting period |
|
……….. |
|
|
……….. |
|
|
………….. |
|
|
…….. |
|
|
……… |
|
|
Net profit (net loss) to the taxation |
|
|
……… |
|
|
Income tax expenses |
|
|
Profit (loss) after payment of the income tax |
|
|
Net profit (net loss) |
|
|
…….. |
Name _______________________________________________________
Адрес_______________________________________________________________
________________________________________ phone
E-mail address _________________________
Contractor of ____________________________________ ________________
surname, name and middle name (in case of its availability) the signature, phone
The head or person to who function on signing of the report is assigned
________________________________________________ ________________
surname, name and middle name (in case of its availability) the signature
Date "______" ______________ 20 __ years
to form to the consolidated and unconsolidated financial reporting and the explanatory note to it
The explanation on filling of form of administrative data
The consolidated and unconsolidated financial reporting and the explanatory note to it (index - KU BSH FO_F 9, frequency - quarterly, annual)
1. This explanation determines single requirements for filling of form of the administrative data "The Consolidated and Unconsolidated Financial Reporting and the Explanatory Note to It" (further - the Form).
2. The form is developed 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 1 of Article 54 and Item 1 of article 54-1 of the Law of the Republic of Kazakhstan "About banks and banking activity in the Republic of Kazakhstan", Item 1 of article 74-1 of the Law of the Republic of Kazakhstan "About insurance activity", Item 1 of article 72-4 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".
3. The form is represented quarterly and annually large member of bank of the second level who is legal resident person of the Republic of Kazakhstan, the bank holding, insurance holding which are the residents of the Republic of Kazakhstan, banks of the second level which do not have bank holding, being part of banking conglomerate, the large member of the managing director of investment portfolio who is legal resident person of the Republic of Kazakhstan, except for:
the large member of the insurance (reinsurance) organization who is the legal entity in case of absence at the insurance (reinsurance) organization of insurance holding, regarding not submission of consolidated financial statements and the explanatory note to it;
the large member of the insurance (reinsurance) organization, the managing director of investment portfolio who is legal resident person of the Republic of Kazakhstan regarding non-presentation of the Form on quarterly basis.
4. The form is signed by the head or person to who function on signing of the report, and the contractor is assigned.
5. The consolidated and unconsolidated financial reporting includes: the consolidated (unconsolidated) balance sheet, the financial status statement according to the Table 1, the consolidated (unconsolidated) profit and loss statement, the comprehensive income statement according to the Table 2, the cash flow statement and the statement of changes in equity in any form.
6. Data are filled in from the consolidated and unconsolidated financial reporting not certified by auditing organization, or the certified auditing organization in case of its availability and are specified in thousands of tenges. The reports provided in any form and also the explanatory note to the consolidated and unconsolidated financial reporting can be provided in millions of tenges.
7. The explanatory note to the consolidated and unconsolidated financial reporting is provided in any form and shall contain the following information:
1) the main data, including for the consolidated statements - the list of the organizations which data join in the financial reporting, the detailed description of methods of creation of the financial reporting, accounting methods of investments into the affiliated and associated (dependent) organizations by each organization;
2) disaggregations and explanations to the financial reporting;
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