The instruction about procedure for maintaining the register of licenses and operating authorities in the security market

Approved by the order of the Chairman of the National commission of the Republic of Kazakhstan on securities of September 27, 1999 No. 268

This Instruction is developed according to the Law of the Republic of Kazakhstan "About the security market" of March 05, 1997, the Presidential decree of the Republic of Kazakhstan which is valid the law "About licensing" of April 17, 1995 and Regulations on the National commission of the Republic of Kazakhstan on the securities approved by the presidential decree of the Republic of Kazakhstan of November 13, 1997 N 3755, and establishes procedure for maintaining the register of licenses and operating authorities in the security market.

Chapter 1. General terms

1. The concepts used in this Instruction mean the following:

1) "Register system" - the register of licenses and operating authorities in the security market;

2) "License" - the license or the operating authority in the security market;

3) "The national commission" - National commission of the Republic of Kazakhstan on securities;

4) "Head of department" - the head of department of licensing and supervision of central office of the National commission or his deputy;

5) "Responsible" - the employee of Management of licensing and supervision of central office of the National commission responsible for maintaining Register system;

6) "RNL" - registration license number.

2. The register system consists from:

1) magazines registers on paper "The register of the granted licenses and permissions to implementation [the name of type of activity in the security market according to the current legislation] N [issue of the magazine register in the hkh.khkh format where the first two figures designate type of activity in the security market according to Appendix 1 to this Instruction, and the second dveporyadkovy issue of the magazine register]" (further the granted licenses which are referred to as "Registers");

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