ORDER OF THE MINISTER OF FINANCE OF THE REPUBLIC OF KAZAKHSTAN

of February 16, 2010 No. 59

About approval of Rules of provision by subjects of financial monitoring of data and information on the transactions which are subject to financial monitoring

According to Item 2 of article 10 of the Law of the Republic of Kazakhstan of August 28, 2009 "About counteraction of legalization (washing) of income gained in the illegal way and to terrorism financing", I ORDER:

1. Approve the enclosed Rules of provision by subjects of financial monitoring of data and information on the transactions which are subject to financial monitoring.

2. (Utebayev M. S.) to provide to committee on financial monitoring of the Ministry of Finance of the Republic of Kazakhstan state registration of this order in the Ministry of Justice of the Republic of Kazakhstan and its official publication in mass media.

3. To impose control of execution of this order on the Vice-Minister of Finance of the Republic of Kazakhstan Dalenov R. E.

4. This order becomes effective since March 9, 2010 and is subject to official publication.

Rules of provision by subjects of financial monitoring of data and information on the transactions which are subject to financial monitoring

1. These rules of provision by subjects of financial monitoring of data and information on the transactions which are subject to financial monitoring (further - Rules) are developed according to Item 2 of article 10 of the Law of the Republic of Kazakhstan of August 28, 2009 "About counteraction of legalization (washing) of the income received in the illegal way and to terrorism financing" (further - the Law) and establish single procedure for provision by subjects of financial monitoring in Committee on financial monitoring of the Ministry of Finance of the Republic of Kazakhstan (further - Committee) the data and information on the transactions which are subject to financial monitoring.

2. On the transactions which are subject to financial monitoring, subjects of financial monitoring documentary fix and provide in Committee the information and information on the transaction which is subject to financial monitoring in form according to Appendix of 1 these rules (daleeinformation).

3. The banks, the organizations performing separate types of banking activities (except for legal entities whose exclusive type of activity is the organization of exchange transactions with foreign currency), the exchanges, the insurance (reinsurance) organizations, insurance brokers, the accumulation pension funds, professional participants of the security market, the central depositary provide information by electronic method.

Other subjects of financial monitoring, and also legal entities which exclusive type of activity is the organization of exchange transactions with foreign currency provide information by electronic method or on paper.

4. Information provided by electronic method goes to Committee:

the banks, the organizations performing separate types of banking activities (except for legal entities whose exclusive type of activity is the organization of exchange transactions with foreign currency), the exchanges, the insurance (reinsurance) organizations, insurance brokers, the accumulation pension funds, professional participants of the security market, the central depositary by means of use of electronic communication channels of the Republican company on the right of economic maintaining "The Kazakhstan center of interbank calculations of National Bank of the Republic of Kazakhstan" or the web portal of Committee;

other subjects of financial monitoring, and also legal entities which exclusive type of activity is the organization of exchange transactions with foreign currency, by means of electronic communication channels of the web portal of Committee.

5. Information provided on paper goes subjects of financial monitoring to Committee the mailing with the assurance of receipt or purposely, with observance of the measures excluding uncontrolled access to documents to delivery time. At the same time documents are packed into envelopes by the method excluding possibility of their damage or extraction of information from them without violation of integrity of packaging.

6. Information provided by electronic method is certified by the digital signature of the subject of financial monitoring.

Information provided on paper is signed by the subject of financial monitoring or the responsible official (the person replacing it, appointed the first head of the subject of financial monitoring) and certified by seal of the subject of financial monitoring.

7. Information on the transactions which are subject to financial monitoring according to Items 1 and 2 of article 4 of the Law is provided in Committee no later than 24 hours from the moment of transaction making.

Information on suspicious transactions is provided by subjects of financial monitoring in Committee without delay before its making. If suspicious transaction cannot be suspended, information on such transaction is provided no later than 3 hours after its making, or within 24 hours from the moment of identification of suspicious transaction.

8. The committee does not accept in processing information in case of provision by subjects of financial monitoring of information:

other than form of data and information on the transaction which is subject to financial monitoring;

constituted without the requirements stated in Items 6 and 7 of these rules.

9. In case of representation by subjects of financial monitoring of information by the electronic method Committee within 4 hours from the moment of obtaining directs the notice on adoption (rejection) of information (further - the Notice) in the form established by Appendix of 2 these rules by means of use of electronic communication channels.

In case of representation by subjects of financial monitoring of information on paper the Committee directs the Notice the mailing within 3 working days from the moment of obtaining.

10. In case of receipt of the Notice on rejection of information the subject of financial monitoring within 1 working day takes measures for elimination of the causes of failure in adoption of information specified in the Notice and sends corrected information to Committee.

11. In case of entering by subjects of financial monitoring of changes or amendments into information which is earlier provided and accepted by Committee, the subject of financial monitoring sends to Committee new information instead of earlier provided information no later than 24 hours.

The notice on adoption (rejection) of new information by Committee goes subjects of financial monitoring according to procedure, certain Item 10 of these rules.

12. For the purpose of receipt of the additional information Committee sends to the subject of financial monitoring inquiry for provision of the additional information and documents (or the copies of documents certified in accordance with the established procedure) by the transactions which are subject to financial monitoring in the form specified in Appendix of 3 these rules on electronic or paper carriers.

13. The additional information and documents (or the copies of documents certified in accordance with the established procedure) on the transactions which are subject to financial monitoring according to Items 1 and 2 of article 4 of the Law are provided in Committee within 3 working days from the date of receipt of the corresponding request.

The additional information and documents (or the copies of documents certified in accordance with the established procedure) on transactions on which reasons to believe are had that as a result of its making income gained in the illegal way is involved in legal turnover or implementation of this transaction is directed to financing of terrorism and (or) extremism, are provided in Committee within 24 hours from the moment of receipt of the corresponding request.

14. The required additional information on the transaction which is subject to financial monitoring goes to Committee according to the procedure determined by Items 4-6 of these rules.

15. When filling information help data according to Appendices of 4-8 these rules are used.

16. The documents, confirmatory data and information on the transactions which are subject to financial monitoring, sent by subjects of financial monitoring to Committee at least 5 (five) years from the date of the termination of the relations with the client are subject to storage by subjects of financial monitoring.

Appendix 1

to Rules of provision by subjects of financial monitoring of data and information on the transactions which are subject to financial monitoring

Form of data and information on the transaction which is subject to financial monitoring (further - the FM-1) form

+--------------------------------------------------------------------+
¦ №   ¦         Наименование          ¦           Содержание         ¦
¦п/п  ¦                               ¦                              ¦
+-----+-------------------------------+------------------------------¦
¦1    ¦Сведения о форме ФМ-1          ¦                              ¦
+-----+-------------------------------+------------------------------¦
¦1.1  ¦Номер формы ФМ-1*              ¦                              ¦
+-----+-------------------------------+------------------------------¦
¦1.2  ¦Дата формы ФМ-1*               ¦                              ¦
+-----+-------------------------------+------------------------------¦
¦1.3  ¦Вид документа           (нужное¦1. Новое сообщение            ¦
¦     ¦подчеркнут�

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