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

of June 25, 2007 No. 168

About approval of Rules of licensing of the banking activities performed by the organizations performing separate types of banking activities, Qualification requirements on carrying out banking activities by the organizations performing separate types of banking activities, and the list of the documents confirming compliance to them

For the purpose of enhancement of the regulatory legal acts regulating organization activity, performing separate types of banking activities, Board of the Agency of the Republic of Kazakhstan on regulation and supervision of the financial market and the financial organizations (further - the Agency) DECIDES:

1. Approve:

1) Rules of licensing of the banking activities performed by the organizations performing separate types of banking activities according to appendix 1 to this resolution;

2) Qualification requirements on carrying out banking activities by the organizations performing separate types of banking activities, and the list of the documents confirming compliance to them according to appendix 2 to this resolution.  

2. Recognize to invalid:

1) the resolution of Board of the Agency of February 25, 2006 No. 34 "About the approval of Rules of creation, licensing, the termination of organization activity performing separate types of banking activities" (registered in the Register of state registration of regulatory legal acts at No. 4176);

2) the resolution of Board of the Agency of May 27, 2006 No. 118 "About introduction of amendments to the resolution of Board of the Agency of the Republic of Kazakhstan on regulation and supervision of the financial market and the financial organizations of February 25, 2006 No. 34 "About the approval of Rules of creation, licensing, regulation, the termination of organization activity performing separate types of banking activities" (registered in the Register of state registration of regulatory legal acts at No. 4252).

3. Ceased to be valid according to the Resolution of Board of National Bank of the Republic of Kazakhstan of 26.03.2012 No. 127

4. This resolution becomes effective after fourteen days from the date of its state registration in the Ministry of Justice of the Republic of Kazakhstan.

5. To the organizations performing separate types of banking activities within six months from the date of enforcement of this resolution to bring the activities into accord with requirements of Rules.

6. To management of licensing (Nazhimedenova A. Zh.):

1) together with Legal department (Baysynov M. B.) to take measures to state registration in the Ministry of Justice of the Republic of Kazakhstan of this resolution;

2) in ten-day time from the date of state registration in the Ministry of Justice of the Republic of Kazakhstan to bring this resolution to the attention of National Bank of the Republic of Kazakhstan, the interested divisions of the Agency, Consolidation of legal entities "Association of financiers of Kazakhstan".

7. To service of the Chairman of the Agency (Zabortseva E. N.) take measures to the publication of this resolution in mass media of the Republic of Kazakhstan.

8. To impose control of execution of this resolution on the vice-chairman of the Agency Bakhmutova E. L.

Approved by the Resolution of Board of the Agency of the Republic of Kazakhstan on regulation and supervision of the financial market and the financial organizations of June 25, 2007 No. 168

Rules of licensing of the banking activities performed by the organizations performing separate types of banking activities

Chapter 1. General provisions

1. These rules of licensing of the banking activities performed by the organizations performing separate types of banking activities (further - Rules), are developed according to the laws of the Republic of Kazakhstan of August 31, 1995 "About banks and banking activity in the Republic of Kazakhstan" (further - the Law on banks), of December 23, 1995 "About mortgage of real estate", of July 2, 2003 "About the security market", of July 4, 2003 "About state regulation, control and supervision of the financial market and the financial organizations", of April 15, 2013 "About the state services" (further - the Law on the state services), of May 16, 2014 "About permissions and notifications" (further - the Law on permissions and notifications) and determine procedure for licensing by authorized body by regulation, control and supervision of the financial market and the financial organizations (further - the service provider) the banking activities performed by the organizations performing separate types of banking activities (further - uslugopoluchatel), except for the organizations which exclusive type of activity is the organization of exchange transactions with cash foreign currency, and also the organizations performing activities for collection of banknotes, coins and values.

Chapter 2. Licensing procedure on carrying out banking activities

2. Documents are provided by uslugopoluchatel on paper or in electronic form by means of the web portal of "the electronic government" www.egov.kz, www.elicense.kz (further - the portal) according to the standard of the state service "Licensing to the Organizations Performing Separate Types of Banking Activities on Banking Activities" according to appendix 1 to Rules (further - the Standard).

In case of the direction uslugopoluchately statements through the portal in "personal account" the status about acceptance of request for rendering the state service with indication of date and time of receipt of result is automatically displayed.

Information on stage of rendering the state service is updated in the automatic mode in information system of monitoring of rendering the state services.

3. The documents provided on paper, consisting of several sheets are represented numbered and stitched with indication of the number of the stitched sheets on the label pasted on the back of the last leaf on insertion node.

Copies of documents are certified by the signature of the head of executive body of the uslugopoluchatel or person fulfilling its duties (with submission of the copy of the supporting document about assignment of fulfillment of duties), with indication of surname, name, middle name (in case of its availability) with indication of on fidelity of the copy.

The documents issued by competent authorities or officials of foreign states are subject to legalization or apostilization according to the requirements of the legislation of the Republic of Kazakhstan or international treaties ratified by the Republic of Kazakhstan (except for identity documents of the physical person - the nonresident of the Republic of Kazakhstan). The specified documents are translated into the Kazakh and Russian languages and are subject to the notarial attestation according to the legislation of the Republic of Kazakhstan on notariate.

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

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

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

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

4. Payment of the license fee is performed by uslugopoluchatel in cash or non-cash form through the banks of the second level or the organization performing separate types of banking activities and also in non-cash form through payment gateway of "the electronic government".

5. For receipt of the license for carrying out banking activities the uslugopoluchatel submits to the service provider the application for licensing for carrying out banking activities in form according to appendix 2 to Rules (further - the statement for licensing) and documents, stipulated in Item 8 Standards.

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