JOINT ORDER OF I.O. THE MINISTER OF TRADE AND INTEGRATION OF THE REPUBLIC OF KAZAKHSTAN AND THE DEPUTY PRIME MINISTER - THE MINISTER OF NATIONAL ECONOMY OF THE REPUBLIC OF KAZAKHSTAN

of March 20, 2025 No. 117-HK, 20 of March, 2025 No. 12

About modification and amendments in the order of the Minister of national economy of the Republic of Kazakhstan of March 5, 2016 No. 128 "About approval of criteria for evaluation of risk degree and checking leaf behind compliance with law of the Republic of Kazakhstan about commodity exchanges"

WE ORDER:

1. Bring in the order of the Minister of national economy of the Republic of Kazakhstan of March 5, 2016 No. 128 "About approval of criteria for evaluation of risk degree and checking leaf behind compliance with law of the Republic of Kazakhstan about commodity exchanges" (it is registered in the Register of state registration of regulatory legal acts at No. 13584) the following changes and amendments:

in Criteria for evaluation of risk degree behind compliance with law of the Republic of Kazakhstan about the commodity exchanges approved by the specified order:

add Item 2 with subitems 2-1) and 2-2) of the following content:

"2-1) considerable violations – violations by commodity exchanges, exchange brokers and clearing centers of commodity exchanges of requirements imposed to activities of subjects (objects) of control established by these Criteria which will lead to distribution of trade secret and will entail violation of natural pricing and destabilization of the goods market;

2-2) gross violations – violations by commodity exchanges, exchange brokers and clearing centers of commodity exchanges of requirements imposed to activities of subjects (objects) of control established by these Criteria which involve distribution of trade secret, intervention in natural pricing and destabilization of the goods market, and also violation of the rights and legitimate interests of physical persons and legal entities, the states;";

third of Item 3 to state part in the following edition:

"For fields of activity of the subjects of control carried to high risk preventive control without visit of the subject of control and unscheduled inspection is performed on compliance to qualification requirements, preventive control with visit of the subject of control.";

state Item 5 in the following edition:

"5. By objective criteria commodity exchanges, exchange brokers and clearing centers of commodity exchanges treat high risk.";

state Item 11 in the following edition:

"11. Forming of the database and information collection are necessary for identification of the subjects of control violating the law of the Republic of Kazakhstan on commodity exchanges.

For assessment of degree of risks for the purpose of implementation of preventive control with visit of the subject of control the following sources of information are used:

1) results of the previous checks and preventive control with visit of subjects of control;

2) analysis results of the data represented by state bodies and the organizations;

3) results of preventive control without visit of the subject of control (the resulting documents issued following the results of preventive control without visit of subject (object) of control).

For assessment of degree of risks for the purpose of implementation of check on compliance to qualification requirements, the following sources of information are used:

1) results of the previous checks;

2) analysis results of the data represented by state bodies and the organizations.";

to be reworded as follows appendix to Criteria for evaluation of risk degree behind compliance with law of the Republic of Kazakhstan about commodity exchanges, according to appendix 1 to this joint order;

to be reworded as follows the appendices 1,2 and 3 to the specified order according to appendices 2, 3 and 4 to this joint order;

add with appendices 4, of 5, 6 and 7 according to appendices 5, of 6, 7 and 8 to this joint order.

2. To provide to department of electronic and stock exchange trading of the Ministry of Trade and integration of the Republic of Kazakhstan in the procedure established by the legislation:

1) state registration of this joint order in the Ministry of Justice of the Republic of Kazakhstan;

2) placement of this joint order on Internet resource of the Ministry of Trade and integration of the Republic of Kazakhstan;

3) the direction of this joint order in Committee on legal statistics and special accounting of the Prosecutor General's Office of the Republic of Kazakhstan.

3. To impose control of execution of this joint order on the supervising vice-Ministers of Trade and integration, national economy of the Republic of Kazakhstan.

4. This joint order becomes effective since July 10, 2025 and is subject to official publication.

Appendix 1

to the joint Order of the deputy. The Minister of Trade and integration of the Republic of Kazakhstan and the Deputy prime minister - the Minister of national economy of the Republic of Kazakhstan of March 20, 2025 No. 117-HK, 20 of March, 2025 No. 12

Appendix

to Criteria for evaluation of risk degree behind compliance with law of the Republic of Kazakhstan about commodity exchanges

Extents of violations of requirements imposed to activities of subjects (objects) of control

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