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

of February 3, 2020 No. 3

About approval of Rules of position assignment and the termination of the employment contract with employees of the Agency of the Republic of Kazakhstan on regulation and development of the financial market

According to Article 145-1 of the Labor code of the Republic of Kazakhstan and the subitem 12) article 6-5 of the Law of the Republic of Kazakhstan "About state regulation, control and supervision of the financial market and the financial organizations" Board of the Agency of the Republic of Kazakhstan on regulation and development of the DECIDES: financial market

1. Approve the enclosed Rules of position assignment and the termination of the employment contract with employees of the Agency of the Republic of Kazakhstan on regulation and development of the financial market.

2. To provide to development department of human capital 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 and Item 3 of this resolution.

3. To management of the international relations and external communications to provide within ten calendar days after state registration of this resolution the direction it to the copy on official publication in periodic printing editions.

4. I reserve control of execution of this resolution.

5. This resolution becomes effective from the date of its first official publication.

Approved by the Resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of the Republic of Kazakhstan of February 3, 2020 No. 3

Rules of position assignment and the termination of the employment contract with employees of the Agency of the Republic of Kazakhstan on regulation and development of the financial market

1. These rules of position assignment and termination of the employment contract with employees of the Agency of the Republic of Kazakhstan on regulation and development of the financial market (further - Rules) are developed according to the Labor code of the Republic of Kazakhstan (further - the Labor code) and the Law of the Republic of Kazakhstan "About state regulation, control and supervision of the financial market and the financial organizations".

2. Norma Pravil do not extend to political government employees of the Agency of the Republic of Kazakhstan on regulation and development of the financial market (further - the Agency), procedure for appointment and which release is regulated by the legislation on public service.

Chapter 2. The basic concepts used in Rules

3. In Rules the following concepts are used:

1) the commission on out-of-competition holding the post of the employee of the Agency - collegiate organ of the Agency which makes the decision on out-of-competition occupation of vacant position of the employee of the Agency;

2) candidates for occupation of vacant position of the employee of the Agency (further - candidates) - the participants of tender allowed to testing and interview based on the solution of tender committee;

3) employees of the Agency - person, except for political government employees, the holding positions in the Agency which compensation is made from means of the republican budget;

4) employees of the Agency are the persons which are not belonging to government employees, performing the ex-officio full powers in the Agency directed to realization of tasks and functions of the state;

5) departments - the abolished departments of National Bank of the Republic of Kazakhstan (The committee on development of regional financial center of the city of Almaty of National Bank of the Republic of Kazakhstan abolished by the Presidential decree of the Republic of Kazakhstan of December 29, 2012 No. 458 "About some questions of National Bank of the Republic of Kazakhstan", Committee on control and supervision of the financial market and the financial organizations of National Bank of the Republic of Kazakhstan and the Committee on consumer protection of financial services of National Bank of the Republic of Kazakhstan abolished by the Presidential decree of the Republic of Kazakhstan of January 30, 2014 No. 744 "About some questions of National Bank of the Republic of Kazakhstan");

6) personnel service - division on work with personnel of the Agency;

7) personnel reserve - the list of persons which successfully underwent tender or selection for the subsequent occupation of vacant position of the employee of the Agency;

8) the commission on forming of personnel reserve - collegiate organ of the Agency which performs selection for the purpose of forming of personnel reserve;

9) tender - the procedures which are carried out for occupation of vacant position of the employee of the Agency;

10) participants of tender - persons who filed documents to the Agency after publication of the announcement of tender;

11) tender committee - the collegiate organ of the Agency which considers the documents filed by participants of tender conducts interview with candidates and performs final candidate screen on occupation of vacant position of the employee of the Agency;

12) documents - the documents submitted to personnel service by persons wishing to take part in tender;

13) requirements - the Agencies developed by the Agency taking into account its main activities of divisions, ex-officio full powers of employees shown to persons applying for holding the post of the employee of the Agency by training, to work experience and competences;

14) the abolished Agency - Agency of the Republic of Kazakhstan on regulation and supervision of the financial market and the financial organizations (it is abolished by the Presidential decree of the Republic of Kazakhstan of April 12, 2011 No. 25 "About further enhancement of system of state regulation of the financial market of the Republic of Kazakhstan");

15) National Bank - central office, branches and representative office of National Bank;

16) the affiliated organizations of National Bank - legal entities, fifty and more percent of shares (share in the authorized capital) which belong to National Bank;

17) the organizations of National Bank - the republican state companies of National Bank;

18) selection - the procedures which are carried out for the purpose of forming of personnel reserve of employees of the Agency.

Chapter 3. Occupation of vacant position of the employee of the Agency

4. Occupation of vacant position of the employee of the Agency is performed in the way:

1) out-of-competition occupation;

2) tender.

5. Person is not appointed to position of the employee of the Agency:

1) recognized as incapacitated or it is limited by capable;

2) which within three years before position assignment of the employee of the Agency was brought to disciplinary responsibility for making of corruption offense;

3) the committed corruption crime;

4) discharged from office for making of corruption offense;

5) having not extinguished or not removed criminal record by the time of holding the post of the employee of the Agency;

6) not received positive results of obligatory special check.

6. Holding the post of the employee of the Agency is performed after receipt of positive results of obligatory special check and submission to bodies of state revenues of the declaration in the form approved by the order of the Minister of Finance of the Republic of Kazakhstan of June 21, 2018 No. 617 "About approval of form of the declaration on assets and liabilities of physical person and Rules of its creation" (it is registered in the Register of state registration of regulatory legal acts at No. 17163).

6-1. Out-of-competition holding the post of the employee of the Agency is performed according to the decision of the commission on out-of-competition holding the post of the employee of the Agency.

6-2. The commission on out-of-competition holding the post of the employee of the Agency affirms the Chairman of the Agency or the chief of staff of the Agency.

The commission on out-of-competition holding the post of the employee of the Agency consists of the commission chairman, members and the secretary of the commission (the representative of personnel service).

The commissions on out-of-competition holding the post of the employee of the Agency are included the head of personnel service, the division manager in whom there is vacant position of the employee of the Agency, or their deputies.

The total quantity of members of the commission on out-of-competition holding the post of the employee of the Agency constitutes odd number, at least three people. In case of absence of the commission chairman on out-of-competition holding the post of the employee of the Agency, its obligation are assigned to one of members of the commission on out-of-competition holding the post of the employee of the Agency.

Organizational activities of the commission on out-of-competition holding the post of the employee of the Agency are provided with the secretary of the commission on out-of-competition holding the post of the employee of the Agency. The secretary of the commission on out-of-competition holding the post of the employee of the Agency is not member of the commission on out-of-competition holding the post of the employee of the Agency and has no right to vote in case of acceptance by the commission on out-of-competition holding the post of the employee of the Agency of decisions.

6-3. The decision of the commission on out-of-competition holding the post of the employee of the Agency is considered competent if is present at meeting at least 2/3 (two third) from its structure.

6-4. Person receives the positive decision if most of attendees of structure of the commission on out-of-competition holding the post of the employee of the Agency voted for it. In case of equality of votes the commission chairman's voice on out-of-competition holding the post of the employee of the Agency is decisive.

6-5. The decision of the commission on out-of-competition holding the post of the employee of the Agency is drawn up in the form of the minutes of the commission on out-of-competition holding the post of the employee of the Agency which are signed by the chairman, members and the secretary of the commission on out-of-competition holding the post of the employee of the Agency.

6-6. Lists of persons appointed to vacant post of the employee of the Agency are placed at the information stand of the Agency in the place available to public inspection, and on official Internet resource of the Agency within 7 (seven) working days from the date of decision making of the commission on out-of-competition holding the post of the employee of the Agency.

6-7. The decision of the commission on out-of-competition holding the post of the employee of the Agency is appealed according to the procedure and the terms established by the Administrative procedural Procedure Code of the Republic of Kazakhstan.

7. Out-of-competition holding the post of the employee of the Agency is performed:

1) the employees of the Agency conforming to requirements by transfer into vacant position of the employee of the Agency;

2) the faces consisting in personnel reserve;

3) persons having high skill level and professional training:

knowing foreign language (availability of the international certificate IELTS - not lower than 6 of 9, TOEFL of IBT - 80 of 120, TCF 400 (In 2) from 699, CILS 1, HSK 6 level from 11);

and (or) having academic degree;

and (or) completed training in foreign higher educational institutions;

and (or) the certificates having international accounting (CMA, CPA, CIPA, CAP, ACCA, IAB) or financial (CFM, CFA, IFA, CIMA), international certificates in the field of information technologies (CISA, CISM) and internal audit (CIA, CCSA, CRMA, CGAP, CFSA), the international certificate in the field of counteraction of legalization (washing) of income gained in the criminal way and to financing of terrorism (ACAMS);

and (or) at least 2 (two) years having length of service in the organizations and the affiliated organizations of National Bank, national managing holding, institutes of development, the financial organizations in the areas corresponding to the functional directions of vacant position of the employee of the Agency;

and (or) having length of service on executive positions in state bodies at least 1 (one) year;

4) the former employees of National Bank, departments or the abolished Agency having length of service in National Bank, departments or the abolished Agency at least two years (except for persons with whom employment contract is terminated for negative motives);

5) graduates of the Magistracy of National Bank and AOO "Nazarbaev Universitet";

6) the faces consisting in the Presidential youth personnel reserve.

8. Persons participate in tender:

1) is not younger than eighteen years;

2) conforming to requirements.

9. Tender includes number of consecutive stages:

1) announcement of carrying out tender;

2) statement of structure of tender committee;

3) acceptance and consideration of documents of participants of tender on compliance to requirements;

4) testing of candidates;

5) interview with candidates;

6) final meeting of tender committee;

7) forming of personnel reserve.

10. Participants of tender make expenses on participation in tender (journey to the venue of interview and back, employment of premises, accommodation, use of services of means of communication of all types and another) at the expense of own means.

11. The announcement of carrying out tender is placed on official Internet resource of the Agency in the Kazakh and Russian languages.

12. The announcement of carrying out tender contains the following data:

1) the name, the location, the postal address of the Agency, phone numbers and the fax of personnel service (in case of the announcement of external tender);

2) the name of vacant position of the employee of the Agency with indication of the fundamental functional obligations;

3) requirements;

4) documents acceptance term. Documents acceptance is performed within 10 (ten) working days from the date of placement of the announcement of carrying out tender;

5) terms and venue of tender.

13. The tender committee affirms the Chairman of the Agency or the chief of staff of the Agency.

14. The tender committee consists of the chairman of tender committee, members and the secretary of tender committee (the representative of personnel service).

Tender committee the head of personnel service, division managers in whom there is vacant position of the employee of the Agency, and also legal division, or their deputies are included.

The total quantity of members of tender committee constitutes odd number, at least three people. In case of absence of the chairman of tender committee, its obligation are assigned to one of members of tender committee.

15. Organizational activities of tender committee are provided with the secretary of tender committee. The secretary of tender committee is not member of tender committee and has no right to vote in case of acceptance by tender committee of decisions.

16. Persons wishing to take part in tender represent on paper and (or) in electronic and digital form to personnel service the following documents:

1) the summary with photo (with indication of the address of the actual residence, phone numbers, data on education and work experience);

2) the statement in form according to appendix 1 to Rules. The participant of tender has the right to submit applications no more than for three vacancies of the employee of the Agency;

3) the completed questionnaire in form according to appendix 2 to Rules;

4) copies of education documents (in the absence of information in single system of accounting of employment contracts).

In case of education in foreign states and the international or foreign educational institutions (their branches) the copy of the certificate of recognition of the education document in the territory of the Republic of Kazakhstan is attached. This requirement does not extend to the education documents issued by the foreign organizations of the higher and (or) postgraduate education, scientific centers and laboratories to citizens of the Republic of Kazakhstan - to owners of the international grant of Bolashak;

5) the copy of the document confirming labor activity (in the absence of information in single system of accounting of employment contracts).

17. Persons wishing to take part in tender provide the additional information concerning their education, length of service, the professional training level (copies of documents on advanced training, assignment of academic degrees and ranks, scientific publications, characteristics, recommendations from prior workplace) in case of its availability.

18. The documents submitted by persons wishing to take part in tender no later than the term of the documents acceptance established by the subitem 4) of Item 12 of Rules are taken cognizance.

19. Lack of one of the documents specified in Item 16 of Rules is the basis for refusal in consideration of documents tender committee.

20. Consideration of documents of participants of tender is performed by tender committee within 5 (five) working days after the end of documents acceptance.

21. The tender committee makes the decision on the admission of participants of tender to testing within 5 (five) working days from end date of consideration of documents of participants of tender which is drawn up in the form of the protocol signed by the chairman, members and the secretary of tender committee.

Candidate lists, allowed to testing, are placed at the information stand of the Agency in the place available to public inspection

22. The purpose of testing is assessment of knowledge of candidates of the legislation of the Republic of Kazakhstan.

The program of testing includes tests for knowledge of the Constitution of the Republic of Kazakhstan (ten questions), the Administrative procedural Procedure Code of the Republic of Kazakhstan (ten questions), the laws of the Republic of Kazakhstan "About state regulation, control and supervision of the financial market and the financial organizations" (ten questions), "About anti-corruption" (ten questions).

Threshold values of passing of testing make at least 20 (twenty) correct answers from total quantity of questions (forty questions) on all regulatory legal acts and at least 5 (five) correct answers on each regulatory legal act.

General time for accomplishment of tests for knowledge of the legislation of the Republic of Kazakhstan constitutes 30 (thirty) minutes.

Candidates pass test within 5 (five) working days from the date of decision making about the admission to testing.

23. The candidates who received when passing testing assessment equal or above threshold values are allowed to interview.

24. The decision on the admission of candidates to interview is drawn up in the form of the protocol and signed by the chairman, members and the secretary of tender committee. Candidate lists, allowed to interview, are placed at the information stand of the Agency in the place available to public inspection.

25. The purpose of interview is assessment of professional and personal qualities of candidates.

26. The candidates allowed to interview pass it within 10 (ten) working days from the date of the end of testing. Candidates are notified on time, date and the venue of interview by personnel service by e-mail and (or) means of telephone communication.

27. In case of assessment of professional and personal qualities of candidates the tender committee proceeds from requirements and the job description of the corresponding vacant position of the employee of the Agency.

28. The interview course with each candidate is fixed by means of technical means of record. Carriers of records are stored at the secretary of tender committee. The mark about application by tender committee of technical means of record is made in the protocol of final meeting of tender committee.

29. Documents of the candidates who had interview are considered by tender committee at its final meeting.

30. The final meeting of tender committee is held no later than two working days from the date of holding interview.

31. At final meeting the tender committee estimates candidates based on the submitted documents, results of testing, interview and selects from their number persons for occupation of vacant position of the employee of the Agency and transfer in personnel reserve.

32. The solution of tender committee is considered competent if is present at meeting at least 2/3 from its structure.

33. The candidate receives the positive decision if most of attendees of structure of tender committee voted for it. In case of equality of votes the voice of the chairman of tender committee is decisive.

34. The solution of tender committee is drawn up in the form of the protocol of final meeting of tender committee which is signed by the chairman and members of tender committee and the secretary.

35. Candidate lists, received the positive decision of tender committee and enlisted in personnel reserve, are placed at the information stand of the Agency in the place available to public inspection within seven working days after carrying out tender.

36. Registration for work of the candidates who received the positive decision of tender committee on holding the post of the employee of the Agency is performed according to the labor law of the Republic of Kazakhstan.

37. The solution of tender committee is appealed according to the procedure and the terms established by the Administrative procedural Procedure Code of the Republic of Kazakhstan.

Chapter 4. Forming of personnel reserve

39. The personnel reserve is created of number of the candidates who received the positive decision of tender committee and persons which underwent selection.

40. The announcement of carrying out selection for transfer in personnel reserve is placed on official Internet resource of the Agency in the Kazakh and Russian languages.

41. Persons who showed willingness to take part in selection fill in the electronic version of the summary on official Internet resource of the Agency.

The term of acceptance of the summary comes to the end after 1 (one) month from the date of placement of the announcement.

42. Within 5 (five) working days from the date of completion of acceptance of the summary the personnel service creates the list of persons which provided the summary.

Information on time, date and the venue of interview is carried by personnel service by e-mail and (or) means of telephone communication to data of persons from the list created by personnel service.

43. The commission on forming of personnel reserve conducts interview with persons from the list created by personnel service for the purpose of identification of persons having knowledge in the areas corresponding to activity of division of the Agency within 10 (ten) working days from the date of forming of the list.

43-1. The interview course with each person is fixed by means of technical means of record. Carriers of records are stored at the secretary of the commission on forming of personnel reserve. The mark about application by the commission on forming of personnel reserve of technical means of record is made in the protocol of the commission on forming of personnel reserve.

43-2. The commission on forming of personnel reserve affirms the Chairman of the Agency or the chief of staff of the Agency.

The commission on forming of personnel reserve consists of the commission chairman, members and the secretary of the commission (the representative of personnel service).

The commissions on forming of personnel reserve are included heads and employees of personnel service.

The total quantity of members of the commission on forming of personnel reserve constitutes odd number, at least three people. In case of absence of the commission chairman on forming of personnel reserve, its obligation are assigned to one of members of the commission on forming of personnel reserve.

Organizational activities of the commission on forming of personnel reserve are provided with the secretary of the commission on forming of personnel reserve. The secretary of the commission on forming of personnel reserve is not member of the commission on forming of personnel reserve and has no right to vote in case of acceptance by the commission on forming of personnel reserve of decisions.

43-3. The decision of the commission on forming of personnel reserve is considered competent if is present at meeting at least 2/3 (two third) from its structure.

43-4. Person receives the positive decision if most of attendees of structure of the commission on forming of personnel reserve voted for it. In case of equality of votes the commission chairman's voice on forming of personnel reserve is decisive.

43-5. The decision of the commission on forming of personnel reserve is drawn up in the form of the protocol of the commission on forming of personnel reserve which is signed by the chairman, members and the secretary of the commission on forming of personnel reserve.

43-6. Lists of persons enlisted in personnel reserve are placed at the information stand of the Agency in the place available to public inspection, and on official Internet resource of the Agency within 7 (seven) working days from the date of decision making of the commission on forming of personnel reserve.

44. The decision of the commission on forming of personnel reserve is appealed according to the procedure and the terms established by the Administrative procedural Procedure Code of the Republic of Kazakhstan.

45. Persons enlisted in personnel reserve are appointed to position of the employee of the Agency during 1 (one) from the date of their transfer in personnel reserve, in the presence of vacant position of the employee of the Agency.

46. The exception of persons of personnel reserve is performed in cases:

1) giving by person enlisted in personnel reserve, statements for exception of personnel reserve;

2) occupations person enlisted in personnel reserve, vacant position of the employee of the Agency.

47. Work on forming and exception of personnel reserve of the Agency is assigned to personnel service.

Chapter 5. Termination of the employment contract

48. The termination of the employment contract with employees of the Agency is made on the bases provided by the Law of the Republic of Kazakhstan "About state regulation, control and supervision of the financial market and the financial organizations" (further - the Law on state regulation), according to the procedure, established by the Labor code.

Chapter 6. Final provisions

49. The questions which are not settled by Rules are permitted according to the Labor code and the Law on state regulation.

Appendix 1

to Rules of position assignment and termination of the employment contract with employees the Form

Statement

I ask to allow me to participation in tender on occupation of vacant position

employee of the ________________________________________________ Agency

___________________________________________________________________

___________________________________________________________________
                   (name of position, division)

I express the consent to collection and processing of my personal data.

I am responsible for authenticity of the submitted documents.

__________________ ___________________________________
                    signature Surname and initials

"_____" _____________ 20 ___ years.

Appendix 2

to Rules of position assignment and termination of the employment contract with employees of the Agency

Form

Questionnaire
(it is filled with own hand)

Фамилия__________________________________________________________________

Name ______________________________________________________________________

Отчество__________________________________________________________________

If changed surname, name, middle name, then specify the reason and when ______________

__________________________________________________________________________

Гражданство_______________________________________________________________

If changed nationality, then specify when __________________________________

__________________________________________________________________________

ИИН______________________________________________________________________

Whether you were judged when and for что____________________________________________

__________________________________________________________________________

Study or work abroad

Country пребывания________________________________________________________

_________________________________________________________________________

Time пребывания_________________________________________________________

_________________________________________________________________________

Place of employment or studies ___________________________________________________

_________________________________________________________________________

_________________________________________________________________________

Whether you lost the right to hold certain position or to be engaged

certain activities according to the sentence which took legal effect

vessels, when and for what _____________________________________________________________

________________________________________________________________________

Whether you lost the right to hold positions in state bodies during

certain term, when and for что________________________________________________

________________________________________________________________________

________________________________________________________________________

Whether you lost the right to hold positions in the financial organizations during

certain term, when and for что________________________________________________

_________________________________________________________________________

Whether you consist in the relations of close relationship or property (parents, spouses,

brothers, sisters, sons, daughters, and also brothers, sisters, parents and children of spouses) with

employees of the Agency and National Bank of the Republic of Kazakhstan ______________

______________________________________________________________________

"_____" ______ 20 ___ years _______________
                                              (signature)

 

Disclaimer! This text was translated by AI translator and is not a valid juridical document. No warranty. No claim. More info