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

8.

List of documents necessary for rendering the state service

The list of the documents necessary for rendering the state service (for receipt of the license):

1) the statement in electronic form certified by the EDS of the authorized person of uslugopoluchatel in form according to appendix 1 to Rules;

2) the electronic copy of the document on payment of the license fee, except as specified payments through payment gateway of "the electronic government";

3) electronic copies of the documents confirming payment of the minimum size of the authorized capital of uslugopoluchatel;

4) the information about the shareholder (participant) (for the legal entity) in electronic form according to appendix 6 to Rules and the information about the shareholder (participant) (for physical person) in electronic form according to appendix 7 to Rules as of the date preceding date of submission of documents;

5) the electronic copy of the legalized statement from the trade register or other legalized document with notarially attested transfer into the state and Russian languages, certifying that the participant (shareholder) the uslugopoluchatelya-nonresident of the Republic of Kazakhstan is legal entity by the legislation of foreign state and containing information on the body which registered legal nonresident person, registration number, date and place of registration;

6) electronic copies of the documents submitted for review leading employees, according to Rules of issue of consent of authorized body on regulation, control and supervision of the financial market and the financial organizations on appointment (election) of the leading employee of the applicant (licensee), the single accumulation pension fund, Voluntary accumulation pension fund, including the criteria of lack of faultless goodwill and documents necessary for receipt of consent, approved by the resolution of Board of the Agency of the Republic of Kazakhstan on regulation and development of the financial market of October 28, 2022 No. 79, registered in the Register of state registration of regulatory legal acts at No. 30383;

7) the staff list with indication of surnames, names and in the presence of middle names of workers, positions held by them in electronic form;

8) regulations on structural divisions to which functions on implementation of activities in the security market in electronic form will be assigned;

9) electronic copies of the documents confirming availability at uslugopoluchatel of the program technical means and other equipment necessary for implementation of activities in the security market according to the legislation of the Republic of Kazakhstan:

delivery agreement of the equipment;

delivery-acceptance certificate of the equipment;

the development agreement and (or) delivery of the software with indication of the number of licenses;

delivery-acceptance certificate of the software;

documents on the organization of protection and safety (the description of procedure for reservation of information, the description of the mechanism of separation of access to data, the plan of recovery, mechanisms of internal control).

In case of independent development of software product uslugopoluchatel or voluntary conveyance the documents specified in paragraphs the second, the third, fourth, fifth this subitem are not represented to uslugopoluchatel of software product by other person.

In the submitted documents also following information is reflected: the name of the used software (server operating systems, database management systems), versions, data on license availability;

10) the balance sheet of uslugopoluchatel for the end of the last quarter preceding filing of application in electronic form;

11) the electronic copy of the financial reporting of uslugopoluchatel for the last complete year signed by the first head of executive body of uslugopoluchatel and his chief accountant, confirmed with the audit report, except for the joint-stock companies created in the current year;

12) the business plan for the next three years approved by the board of directors (business - the plan the transfer agent, created in other, except joint-stock company, form of business, affirms executive body of the legal entity, business - the plan of branch of nonresident bank of the Republic of Kazakhstan affirms the decision of nonresident bank of the Republic of Kazakhstan) in electronic form.

In the business plan the following questions are reflected:

purposes of receipt of the license;

the description of the main activities and the overview of segment of the market to which the uslugopoluchatel is oriented;

information on expected services within activities, procedure for their assessment, and also plans under the terms and to amount of their sale;

information on the main risks connected with activities, methods of their assessment and compensation for the account of equity, value of sufficiency of equity, procedures of risk management and internal control; the financial plan, including the forecast of the income and expenses for the first three financial (operational) years, admissible coefficients of unprofitability for the specified period;

investment policy, sources of financing of activities of the company;

organizational structure of the applicant, including investment committee and service of internal audit, the description of methods of implementation of procedures of corporate management, and also the requirement to the education level of specialists;

13) the internal regulations of implementation of activities for the organization of trade with securities and other financial instruments determining relations of the organizer of the biddings with the subjects using services of the organizer of the biddings (for the uslugopoluchatel applying for receipt of license for activities on the organization of trade with securities and other financial instruments) in electronic form;

14) the internal regulations of implementation of clearing activities for transactions with financial instruments determining relations of the clearing organization with the subjects using services of the clearing organization (for the uslugopoluchatel applying for receipt of the license, for implementation of clearing activities for transactions with financial instruments) in electronic form.

The legal entities having the license for implementation of types of professional activity in the security market for receipt of the license for implementation of auxiliary view of activities present the documents specified in subitems 1), 2), 8), and 12) to part one of this Item at the security market.

The central depositary for receipt of the license for implementation of custodial activities presents the documents specified in subitems 1), 2), 8), and 12) to part one of this Item at the security market.

The organizer of the biddings registered in the territory of the Republic of Kazakhstan for receipt of the license for implementation of clearing activities for transactions with financial instruments submits the documents specified in subitems 1), 2), 13) and 14) to part one of this Item.

For rendering the state service for receipt of the license for implementation of types of professional activity in the security market the bank, branch of nonresident bank of the Republic of Kazakhstan, Islamic bank, branch of Islamic nonresident bank of the Republic of Kazakhstan submits in authorized body the application for licensing for implementation of activities in the security market in form according to appendix 1 to Rules with application of documents, specified in subitems 2), 7), 8), 9), 12) to part one of this Item.

For rendering the state service for receipt of license for activities in management of investment portfolio in the security market of the insurance company performing activities in industry "life insurance" to authorized body submits the documents specified in subitems 1), 2) 8) and 9) parts one of this Item, and also regulations on investment committee, including the information about its structure and the internal regulations determining functioning of risk management system according to Rules of forming of risk management system and internal control for the insurance (reinsurance) organizations, branches of the insurance (reinsurance) nonresident organizations of the Republic of Kazakhstan approved by the resolution of Board of National Bank of the Republic of Kazakhstan of August 27, 2018 No. 198, registered in the Register of state registration of regulatory legal acts at No. 17462, in the form of electronic documents.

The list of the documents necessary for rendering the state service (for receipt of the duplicate of the license (if earlier granted license was drawn up in paper form)):

1) the request in electronic form certified by the EDS of uslugopoluchatel;

2) the electronic copy of the document on payment of the license fee, except as specified payments through payment gateway of "the electronic government".

The list of the documents necessary for rendering the state service (for renewal of the license):

1) the statement in electronic form certified by the EDS of uslugopoluchatel in form according to appendix 8 to Rules;

2) the electronic copy of the document on payment of the license fee, except as specified payments through payment gateway of "the electronic government";

3) copies of the documents containing information on changes, which formed the basis for renewal of the license, except for documents, information on which contains in the state information systems (in the form of electronic copies of documents).

The authorized body receives from the corresponding state information systems through lock of "the electronic government" of the data, specified in documents:

proving the identity of physical person - the resident of the Republic of Kazakhstan;

confirming absence at physical person - the resident of the Republic of Kazakhstan of not removed or unspent conviction;

about state registration (re-registration) of legal resident person of the Republic of Kazakhstan.