RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of December 18, 2002 No. 486

About approval of Rules of submission of reports by the organizations having licenses for implementation of broker and dealer activities in the security market of the Republic of Kazakhstan

For the purpose of increase in degree of transparency and efficiency of functioning of the security market, and also for the purpose of protection of the rights and the interests of investors protected by the law in the Board of National Bank of the Republic of Kazakhstan DECIDES: security market

1. Approve the enclosed Rules of submission of reports by the organizations having licenses for implementation of broker and dealer activities in the security market of the Republic of Kazakhstan.

2. Enact this resolution after fourteen days from the date of its state registration in the Ministry of Justice of the Republic of Kazakhstan.

3. To department of financial supervision (Bakhmutova E. L.):

1) together with Legal department (Sharipov S. 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 the interested divisions of central office of National Bank of the Republic of Kazakhstan, the organizer of the biddings and the organizations performing broker and dealer activities in the security market, not being members of the organizer of the biddings.

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

Approved by the resolution of Board of National Bank of the Republic of Kazakhstan of December 18, 2002 No. 486

Rules of submission of reports by the organizations having licenses for implementation of broker and dealer activities in the security market of the Republic of Kazakhstan

Chapter 1. General provisions

1. The concepts used in these rules mean the following:

1) the head - person who is the head of collegiate executive body of the organization having the license for implementation of broker and dealer activities in the security market; or

person who is the official of the organization having the license for implementation of broker and dealer activities in the security market and to which according to its internal regulations monitoring of implementation of broker and dealer activities is assigned;

2) authorized body - the state body exercising regulation and supervision of the security market.

Chapter 2. Procedure for creation and submission of the report

2. The report is subject to submission by the organization having the license for implementation of broker and dealer activities in the security market to authorized body quarterly in time no later than the last date following reporting quarter.

3. The report is submitted in authorized body on paper and electronic carriers.

The report constituted electronically is submitted on the electronic medium with use of transport system of the guaranteed delivery of information with cryptographic remedies providing confidentiality and not adjustability of the represented data.

The report constituted on paper is signed by the head (for its absence - person, it replacing) and the chief accountant, is certified by seal and goes the cover letter constituted in any form.

All sheets of the report are numbered, their total quantity is specified in the cover letter in case of the direction of the report in authorized body.

The data in the report provided on paper shall be identical to the data in the report provided on the electronic medium.

The report is on paper constituted in duplicate, one copy of the report is represented in authorized body, the second copy remains at the organization having the license for implementation of broker and dealer activities in the security market.

Identity of the data represented on the electronic medium, to data on paper is provided with the first head (for its absence - person, it replacing) and the chief accountant.

In case of need modification and (or) amendments of the reporting, the broker and the dealer within three working days from the date of submission of the report represents to authorized body the written petition with explanation of the reasons of need of modification and (or) amendments.

In case of detection of incomplete and (or) unreliable information in the reporting provided by the broker and the dealer, the authorized body notifies on it the broker and the dealer. The broker and the dealer no later than two working days from the date of the notification authorized body represents the reporting finished taking into account notes of authorized body.

4. The report includes the forms constituted according to appendices 1-9 to these rules.

The report constituted according to Appendix 4 to these rules is provided by the organizations having licenses of authorized body for implementation of broker and dealer activities in the security market with the account management right as the nominee holder.

4-1. The organizations having the license for implementation of broker and dealer activities in the security market represent to authorized body no later than 10:00 hours of time of the city of Astana of the fifth working day of the month following for reporting, the report on the unexecuted bargains with non-state securities of the organizations of the Republic of Kazakhstan concluded in the unorganized market of securities, on the electronic medium according to appendix 4-1 to these rules, the report on own assets pledged or encumbered otherwise on paper and electronic carriers according to appendix 4-3 to these rules (except for the organizations exercising investment control of pension assets and the accumulation pension funds which are independently exercising investment control of pension assets), the report on the cost of remaining balance of the assets of the client which are on accounts at the broker at the request of which in trade system of stock exchange transaction of opening of "repo" by "direct method", on paper and electronic carriers according to appendix 7 to these rules according to the procedure, stipulated in Item 3 these rules was made.

4-2. The organizations having the license for implementation of broker and dealer activities in the security market, created in other in addition to joint-stock company, form of business, quarterly no later than the last date following reporting quarter represent in time to authorized body on paper according to the procedure, established by paragraphs third, the fourth, the sixth, seventh, eighth Item 3 of these rules, the information about the following persons according to appendix 4-2 to these rules:

1) participants;

2) the physical persons consisting in close relationship (the parent, the brother, the sister, the son, the daughter), scrap, and also property (the brother, the sister, the parent, the son or the daughter of the spouse (spouse)) with the physical person who is the participant or the member of executive body, the supervisory board of the organization having the license for implementation of broker and dealer activities in the security market;

3) members of executive body, the supervisory board of the organization having the license for implementation of broker and dealer activities in the security market;

4) members of executive body, governing body, the supervisory board of the legal entity specified in subitems 1), 5) - 9) this Item;

5) legal entities who are controlled by person who is the participant or the member of executive body, the supervisory board of the organization having the license for implementation of broker and dealer activities in the security market;

6) legal entities in relation to whom person who is the participant or the member of executive body of the supervisory board of the organization having the license for implementation of broker and dealer activities in the security market is large shareholder or has the right to share in property in the amount of ten and more percent;

7) legal entities in relation to whom the organization having the license for implementation of broker and dealer activities in the security market is large shareholder or has the right to share in property in the amount of ten and more percent;

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