RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of December 24, 2024 No. 78

About modification and amendments in some resolutions of Board of National Bank of the Republic of Kazakhstan concerning submission of the reporting by the single accumulation pension fund and members of the security market

The board of National Bank of the Republic of Kazakhstan DECIDES:

1. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of August 28, 2017 No. 167 "About approval of the list, forms, terms of the reporting of the single accumulation pension fund and Rules of their representation" (it is registered in the Register of state registration of regulatory legal acts at No. 15863) the following changes:

in Item 1:

subitems 10) to exclude 11) and 12);

third the subitem 1) of Item 2 to state the paragraph in the following edition:

"the reporting provided by subitems 3), 5), 6), 7), 9), 13), 15), 16) and 19) of Item 1 of this resolution no later than 7 (seventh) working days of the month following month under report;";

state appendix 1 in edition according to appendix 1 to this resolution;

state appendix 3 in edition according to appendix 2 to this resolution;

state appendix 5 in edition according to appendix 3 to this resolution;

state appendix 6 in edition according to appendix 4 to this resolution;

state appendix 9 in edition according to appendix 5 to this resolution;

state appendix 13 in edition according to appendix 6 to this resolution;

state appendix 14 in edition according to appendix 7 to this resolution;

state appendix 16 in edition according to appendix 8 to this resolution.

2. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of November 28, 2019 No. 211 "About approval of the list, forms, terms of submission of the reporting by the licensees performing activities in the security market, the single operator and Rules of its representation" (it is registered in the Register of state registration of regulatory legal acts at No. 19672) the following changes and amendment:

state appendix 2 in edition according to appendix 9 to this resolution;

state appendix 7 in edition according to appendix 10 to this resolution;

state appendix 12 in edition according to appendix 11 to this resolution;

state appendix 17 in edition according to appendix 12 to this resolution;

state appendix 21 in edition according to appendix 13 to this resolution;

state appendix 25 in edition according to appendix 14 to this resolution;

state appendix 26 in edition according to appendix 15 to this resolution;

state appendix 27 in edition according to appendix 16 to this resolution;

state appendix 32 in edition according to appendix 17 to this resolution;

state appendix 34 in edition according to appendix 18 to this resolution;

state appendix 35 in edition according to appendix 19 to this resolution;

state appendix 36 in edition according to appendix 20 to this resolution;

state appendix 37 in edition according to appendix 21 to this resolution;

state appendix 45 in edition according to appendix 22 to this resolution;

state appendix 47 in edition according to appendix 23 to this resolution;

state appendix 48 in edition according to appendix 24 to this resolution;

state appendix 51 in edition according to appendix 25 to this resolution;

in appendix 59:

in Rules of submission of the reporting by the licensees performing activities in the security market, the single operator:

add with Item 8 of the following content:

"8. In the presence of the branch including registered in the territory of the International financial center "Astana", the organizations performing activities for management of investment portfolio and broker and (or) dealer activities in the security market represent the reporting taking into account activities of branches.".

3. To provide to department of statistics of the financial market of National Bank of the Republic of Kazakhstan in the procedure established by the legislation of the Republic of Kazakhstan:

1) together with Legal department of National Bank of the Republic of Kazakhstan 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 National Bank of the Republic of Kazakhstan of data on execution of the action provided by the subitem 2) of this Item.

4. To impose control of execution of this resolution on the supervising vice-chairman of National Bank of the Republic of Kazakhstan.

5. This resolution becomes effective after ten calendar days after day of its first official publication.

It is approved Bureau of national statistics of the Agency on strategic planning and reforms of the Republic of Kazakhstan

It is approved Agency of the Republic of Kazakhstan on regulation and development of the financial market

 

Appendix 1

to the Resolution of the Chairman of National Bank of the Republic of Kazakhstan of December 24, 2024 No. 78

Appendix 1

to the Resolution of Board of National Bank of the Republic of Kazakhstan of August 28, 2017 No. 167

List of the reporting of the single accumulation pension fund

The reporting of the single accumulation pension fund includes:

1) report on the cost of pension assets;

2) report on structure of investment portfolio of pension assets;

3) the report on the pension assets which are in external management;

4) report on amounts of pension accruals and number of individual retirement accounts (sub-accounts) of investors (receivers);

5) the report on amounts of pension accruals and the number of individual retirement accounts (sub-accounts) of investors (receivers) on the areas of the Republic of Kazakhstan (at the place of residence of the investor (receiver));

6) report on retirement benefits on the compulsory pension contributions compulsory for professional pension contributions, voluntary pension contributions;

7) the report on amounts of pension payments and pension accruals to working (members of the family) of state members of the Eurasian Economic Union in the territory of the Republic of Kazakhstan;

8) the report on the securities acquired at the expense of own assets;

9) report on committed transactions on investment of own assets;

10) the report on the financial instruments of the issuers who allowed default, acquired at the expense of pension assets;

11) the report on the cost of one conventional unit of the pension assets created at the expense of compulsory pension contributions, compulsory professional pension contributions and voluntary pension contributions;

12) report on the cost of one conventional unit of contingent pension liabilities;

13) the report on the assets and liabilities classified by sectors of economy (on own assets of the single accumulation pension fund);

14) the report on the assets and liabilities classified by sectors of economy (on pension assets of the single accumulation pension fund);

15) report on payments and return of target accumulatings;

16) report on target requirements.

Appendix 2

to the Resolution of the Chairman of National Bank of the Republic of Kazakhstan of December 24, 2024 No. 78

 Appendix 3

to the Resolution of Board of National Bank of the Republic of Kazakhstan of August 28, 2017 No. 167

The form intended for collection of administrative data

It is represented: in National Bank of the Republic of Kazakhstan

The form intended for collection of administrative data on a grant basis is placed on Internet resource: www.nationalbank.kz

Report on structure of investment portfolio of pension assets

Index of the form intended for collection of administrative data on a grant basis: 1-ENPF_SPPA

Frequency: monthly

Accounting period: as of "__" ________ 20 ___ years

The group of people, representing the form intended for collection of administrative data on a grant basis: single accumulation pension fund

The term of representation of the form intended for collection of administrative data on a grant basis: monthly, no later than 7 (seventh) working days of the month following month under report

BIN: _______________________

Collection method: in electronic form

Table 1. The securities acquired at the expense of pension assets

The pension assets created for the account ____________________________

№	Name of the trustee	Name of the issuer	Type of economic activity	Country of the issuer	Security type	Security identification number
1	2	3	4	5	6	7
1.	Government securities of the Republic of Kazakhstan
1.1.			x
…			x
2.	Non-state issued securities of the organizations of the Republic of Kazakhstan
2.1.	securities of banks of the second level
2.1.1.
…
2.2.	securities of legal entities, except for banks of the second level
2.2.1.
…
3.	Securities of foreign states
3.1.			x
…			x
4.	Non-state securities of nonresident issuers of the Republic of Kazakhstan
4.1.			x
…			x
5.	Securities of international financial institutions
5.1.			x
…			x
6.	Shares of investment funds
6.1.
…
7.	Total:		x

continuation of the table:

Number of securities (pieces)	Nominal value		Payment currency code	Purchase price for one security		Period		The purchase value of security (in tenge)
	Currency code	the cost of one security (in tenge)		in total (in tenge)	clean price	date of registration	repayment date
8	9	10	11	12	13	14	15	16

continuation of the table:

Current value of securities			For information only (in tenge):
in total (in tenge)	in currency of nominal value	including the added remuneration (in tenge)	the created reserves (provisions)	receivables on securities	overdue receivables on securities	the created reserves (provisions) on overdue receivables
17	18	19	20	21	22	23

continuation of the table:

Category of securities	Security rating		Category of the list of stock exchange		The current coupon rate in portfolio (as a percentage)
	for date of registration	on reporting date	for date of registration	on reporting date
24	25	26	27	28	29

Table 2. The securities acquired and placed on transactions "the return by repo" and repo

№	Name of the trustee	Name of the issuer	Country of the issuer	Security type	Security identification number	Number of securities (pieces)	Currency code of nominal value	Transaction currency code
1	2	3	4	5	6	7	8	9
1	Transaction "the return repo"
1.1.	direct method
1.1.1.
…
1.2.	automatic method
1.2.1.
…
	Total:
2	Transaction of repo
2.1.	direct method
2.1.1.
…
2.2	automatic method
2.2.1.
…
	Total:

continuation of the table:

Opening price for one security		Closing price for one security		Period		Current value of securities (in tenge)	Return rate on transaction (as a percentage)	Note
in tenge	in currency of nominal value	in tenge	in currency of nominal value	date of opening of transaction	closing date of transaction
10	11	12	13	14	15	16	17	18

Table 3. The deposits placed at the expense of pension assets

№	Name of the trustee	Bank name	Bank rating		Contribution currency code	Date of the conclusion and agreement number of bank deposit
			for date of placement of contribution	on reporting date		date	number
1	2	3	4	5	6	7	8
	Total:

continuation of the table:

Deposit term (in days)	Remuneration payment period		Remuneration rate (as a percentage annual)		The amount of principal debt on contribution
	frequency	date	nominal	effective	in total (in tenge)	in foreign currency
9	10	11	12	13	14	15

continuation of the table:

Current value			Country of residence	For information only (in tenge):
in total (in tenge)	including the added remuneration			the created reserves	receivables on deposits	overdue receivables on deposits	the created reserves (provisions) on overdue receivables
	in tenge	in foreign currency
16	17	18	19	20	21	22	23

Table 4. The affined precious metals

№	Name of the trustee	The name of the affined precious metal	Number of troy ounces	Payment currency code	Purchase price for one troy ounce		Total purchase value		Current value
					in tenge	in foreign currency	in tenge	in foreign currency	in tenge	in foreign currency
1	2	3	4	5	6	7	8	9	10	11
	Total:

Table 5. Conditional requirements and obligations

№	Name of the trustee	Name of type of the derivative financial instrument	Underlying asset	Currency code	Security identification number	The amount of requirements (obligations) for transaction date with the derivative tool (in tenge)	Current value on reporting date (in tenge)
1	2	3	4	5	6	7	8
1.	Conditional requirements for derivative financial instruments
1.1
1.1.1
…
	Total:
2.	Contingent obligations on derivative financial instruments
2.1
2.1.1
…
	Total:

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

Note: the form is filled according to the explanation on filling of the form intended for collection of administrative data on a grant basis "The report on structure of investment portfolio of pension assets".

Appendix

to the form intended for collection of administrative data on a grant basis "The report on structure of investment portfolio of pension assets"

The explanation on filling of the form intended for collection of administrative data on a grant basis "The report on structure of investment portfolio of pension assets" (index – 1-ENPF_SPPA, frequency – monthly)

Chapter 1. General provisions

1. This explanation determines single requirements for filling of the form intended for collection of administrative data on a grant basis "The report on structure of investment portfolio of pension assets" (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" 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 filled with the single accumulation pension fund monthly as of the end of the accounting period. The Form does not join data on financial instruments according to which it is derecognized. Data in shape are specified in tenge.

4. The form is signed by the head or person to who function on signing of the report, and the contractor is assigned.

Chapter 2. The explanation on filling of the Form

5. The form is represented separately on the pension assets created at the expense of compulsory pension contributions, compulsory professional pension contributions and voluntary pension contributions and on the pension assets created at the expense of compulsory pension contributions of the employer.

In the line "The Pension Assets Created for the Account _____" data on the pension assets created depending on pension contributions are specified: "compulsory pension contributions, compulsory professional pension contributions and voluntary pension contributions" and "compulsory pension contributions of the employer".

6. According to Table 1:

1) data on securities in shape are specified;

2) in column 2 the National Bank of the Republic of Kazakhstan or the name of the managing director of investment portfolio to which pension assets are delivered in trust management are specified;

3) in column 3 the name of the issuer of security is specified;

4) in the column 4 the type of economic activity is specified according to the national qualifier of the Republic of Kazakhstan to PK 03 Oil Company "General qualifier of types of economic activity". This column is filled in on non-state securities of resident issuers of the Republic of Kazakhstan;

5) in column 6 the type of the acquired security with indication of its type is specified;

6) in column 7 the international identification number (ISIN code) or other identifier of security is specified;

7) in column 8 the quantity of the acquired securities is specified;

8) in columns 9 and 11 currency codes are specified according to the national qualifier of the Republic of Kazakhstan to RK 07 ISO 4217 Oil Company "Codes for representation of currencies and funds";

9) in column 10 on bonds the monetary value of bond value determined in case of its release on which the remuneration expressed as a percentage according to the coupon bond, and also the amount which is subject to payment to the bondholder in case of its repayment is charged is specified. The amount is specified in release currency;

10) in columns 12 and 13 the price reflected in the source document which confirms implementation of the transaction (the exchange certificate, the report of the broker and (or) dealer, the confirmation received on the international interbank translation system of information and making payments SWIFT) is specified. In column 13 it is specified: according to debt securities clean price as a percentage of nominal value, according to equity securities – in absolute value;

11) in column 14 date of initial recognition in financial accounting is reflected;

12) in column 15 repayment date of debt securities is specified;

13) in column 16 the purchase value of security, including the expenses which are directly connected with acquisition, including the remunerations and commission charges paid to agents, consultants, brokers and (or) dealers, charges of stock exchanges, and also banking services on transfer and reduced by the size of the percent paid by the buyer to the seller is specified (in the presence of that);

14) in column 17 the cost of securities reflected in financial accounting is specified;

15) in column 20 the amount of reserves (provisions) reflected in financial accounting is specified;

16) in column 21 receivables amount on securities, subjects for payment in time, established by the prospectus of release is specified;

17) in column 22 the overdue receivables on securities which are not paid in time, provided by the prospectus of release are specified;

18) in column 23 the amount of reserves (provisions) on debit and overdue debt, reflected in financial accounting is specified;

19) in column 24 the category of security "estimated at fair value", "estimated on depreciated cost" is specified;

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