RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of February 24, 2012 No. 67

About approval of Rules of issue, withdrawal of consent to acquisition of the status of the large member of bank, bank holding, the large member of the insurance (reinsurance) organization, insurance holding, the large member of the managing director of investment portfolio and requirements to the documents submitted for receipt of the specified consent

For the purpose of enhancement of regulatory legal acts of the Republic of Kazakhstan the Board of National Bank of the Republic of Kazakhstan DECIDES:

1. Approve the enclosed Rules of issue, withdrawal of consent to acquisition of the status of the large member of bank, bank holding, the large member of the insurance (reinsurance) organization, insurance holding, the large member of the managing director of investment portfolio and requirements to the documents submitted for receipt of the specified consent.

2. Recognize invalid regulatory legal acts of the Republic of Kazakhstan according to appendix to this resolution.

3. This resolution becomes effective after ten calendar days after day of its first official publication.

Appendix

to the Resolution of Board of National Bank of the Republic of Kazakhstan of February 24, 2012 No. 67

The list of the regulatory legal acts recognized invalid

1. 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 January 25, 2008 No. 7 "About approval of Rules of issue, refusal in issue and withdrawal of consent to acquisition of the status of the large member of bank, bank holding, the large member of the insurance (reinsurance) organization, insurance holding, the large member of the open-end accumulation pension fund" (registered in the Register of state registration of regulatory legal acts at No. 5165).

2. 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 October 29, 2008 No. 174 "About entering of amendment and change into 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 January 25, 2008 No. 7 "About approval of Rules of issue, refusal in issue and withdrawal of consent to acquisition of the status of the large member of bank, bank holding, the large member of the insurance (reinsurance) organization, the large member of the open-end accumulation pension fund" (registered in the Register of state registration of regulatory legal acts at No. 5397).

3. 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 27, 2009 No. 33 "About modification and amendments in 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 January 25, 2008 No. 7 "About approval of Rules of issue, refusal in issue and withdrawal of consent to acquisition of the status of the large member of bank, bank holding, the large member of the insurance (reinsurance) organization, the large member of the open-end accumulation pension fund" (registered in the Register of state registration of regulatory legal acts at No. 5618, published on May 1, 2009 in the Yuridicheskaya Gazeta newspaper No. 65 (1662)).

4. Item 9 of the List of amendments and changes which are made to some regulatory legal acts of the Agency of the Republic of Kazakhstan on regulation and supervision of the financial market and the financial organizations 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 March 29, 2010 No. 49 "About entering of amendments and changes into some regulatory legal acts of the Agency of the Republic of Kazakhstan on regulation and supervision of the financial market and the financial organizations" (registered in the Register of state registration of regulatory legal acts at No. 6204, is published in the Kazakhstanskaya Pravda newspaper of September 25, 2010 No. 253254 (26314-26315)).

5. 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 November 29, 2010 No. 172 "About entering of amendments and changes into 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 January 25, 2008 No. 7 "About approval of Rules of issue, refusal in issue and withdrawal of consent to acquisition of the status of the large member of bank, bank holding, the large member of the insurance (reinsurance) organization, the large member of the open-end accumulation pension fund" (registered in the Register of state registration of regulatory legal acts at No. 6720, published in 2011 in the Collection of acts of the central executive and other central state bodies of the Republic of Kazakhstan No. 7).

Approved by the Resolution of Board of National Bank of the Republic of Kazakhstan of February 24, 2012 No. 67

Rules of issue, withdrawal of consent to acquisition of the status of the large member of bank, bank holding, the large member of the insurance (reinsurance) organization, insurance holding, the large member of the managing director of investment portfolio and requirements to the documents submitted for receipt of the specified consent

Chapter 1. General provisions

1. These rules of issue, withdrawal of consent to acquisition of the status of the large member of bank, bank holding, the large member of the insurance (reinsurance) organization, insurance holding, the large member of the managing director of investment portfolio and requirements to the documents submitted for receipt of the specified consent (further – Rules) are developed according to the Administrative procedural Procedure Code of the Republic of Kazakhstan (further – APPK), Item 2 of article 17-1 of the Law of the Republic of Kazakhstan "About banks and banking activity in the Republic of Kazakhstan" (further – the Law on banks), Item 2 of article 26 of the Law of the Republic of Kazakhstan "About insurance activity" (further – the Law on insurance activity), Item 3 of article 72-1 of the Law of the Republic of Kazakhstan "About the security market" (further – the Law on the security market), the subitem 1) of Article 10, the subitem 1) Articles 11, subitem 9-1) of article 12 of the Law of the Republic of Kazakhstan "About state regulation, control and supervision of the financial market and the financial organizations", the subitem 1) of article 10 of the Law of the Republic of Kazakhstan "About the state services" (further – the Law on the state services), Item 2 of article 12 of the Law of the Republic of Kazakhstan "About permissions and notifications" (further – the Law on permissions and notifications) also establish procedure for issue to physical persons or legal entities (further - the applicant, uslugopoluchatel), response authorized body on regulation, control and supervision of the financial market and the financial organizations (further - authorized body, the service provider) the consent to acquisition of the status of the large member of bank, bank holding, the large member of the insurance (reinsurance) organization, insurance holding, the large member of the managing director of investment portfolio (further – the large member of the financial organization, bank or insurance holding) and requirements to the documents submitted for receipt of the specified consent.

Information on the made changes and (or) additions in Rules is placed on official Internet resource of authorized body, also the Single contact center within 3 (three) working days from approval date or change of the corresponding regulatory legal act goes to the operator of information and communication infrastructure of "the electronic government".

2. In Rules the concepts applied in the values specified in the Law on banks, the Law on insurance activity, the Law on the security market, the Law on the state services, the Law on permissions and notifications, the Laws of the Republic of Kazakhstan "About the electronic document and the digital signature" and "About informatization are used".

Chapter 2. Procedure for issue of consent to acquisition of the status of the large member of the financial organization, bank or insurance holding

3. The list of the main requirements to rendering the state service including the form and result of rendering the state service, the list of the documents and data requested at uslugopoluchatel for rendering the state service, the basis for refusal in rendering the state service, established by the laws of the Republic of Kazakhstan, the term of rendering the state service, and also other requirements taking into account features of provision of the state service (further – the List of the main requirements to rendering the state service), is given in appendix 1 to Rules.

Issue to uslugopoluchatel of consent to implementation of the subspecies of the state service specified in the List of the main requirements to rendering the state service is performed according to Rules.

The statement on acquisition of the status of the large member of the insurance (reinsurance) organization, the managing director of investment portfolio, insurance holding in any form with appendix of required documents is submitted in electronic form by means of the web portal of "the electronic government" www.egov.kz (further – the portal).

The application for acquisition of the status of the large member of bank (for physical persons) is submitted in form according to appendix 1-1 and the Statement for acquisition of the status of bank holding or the large member of bank (for legal entities) in form according to appendix 1-2 to Rules with appendix of required documents and data is submitted in electronic form by means of the portal.

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

4. The worker of the service provider, the representative on acceptance and registration of correspondence, in day of receipt of the statement performs its acceptance, registration and the direction on execution in the division responsible for rendering the state service (further – responsible division). In case of receipt of the statement of uslugopoluchatel after the termination of working hours, in days off and holidays according to the labor law of the Republic of Kazakhstan and the Law of the Republic of Kazakhstan "About holidays in the Republic of Kazakhstan" reception of applications is performed the next working afternoon.

5. The employee of responsible division checks completeness of the submitted documents.

In case of factual determination of incompleteness of the submitted documents and (or) documents with the expired effective period the responsible division within 10 (ten) working days from the moment of receipt of documents of uslugopoluchatel for acquisition of the status of the large member of the financial organization, bank or insurance holding prepares and directs by means of the portal to personal account of uslugopoluchatel motivated refusal in further review of the statement.

The authorized body receives from the information systems used for rendering the state services, or service of digital documents 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.

6. After factual determination of completeness of the submitted documents the responsible division within 36 (thirty six) working days considers documents regarding their compliance to requirements of the legislation of the Republic of Kazakhstan.

In case of identification of the bases for refusal in rendering the state service the authorized body notifies uslugopoluchatel on the provisional solution about refusal in rendering the state service, and also time and the place (method) of carrying out hearing for provision to uslugopoluchatel of opportunity to express line item according to the provisional solution.

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