RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of July 27, 2012 No. 224

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

According to the Law of the Republic of Kazakhstan of July 2, 2003 "About the security market", the Board of National Bank of the Republic of Kazakhstan DECIDES:

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

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.

Approved by the Resolution of Board of National Bank of the Republic of Kazakhstan of July 27, 2012 No. 224

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

These rules of submission of reports by the organizations having licenses for implementation of broker and (or) dealer activities in the security market of the Republic of Kazakhstan (further - Rules), are developed according to the laws of the Republic of Kazakhstan of July 2, 2003 "About the security market", of July 4, 2003 "About state regulation and supervision of the financial market and the financial organizations" and establish procedure, forms and terms of submission of reports by the organizations having licenses for implementation of broker and (or) dealer activities in the security market in Committee on control and supervision of the financial market and the financial organizations of National Bank of the Republic of Kazakhstan (further - authorized body).

1. For the purpose of Rules the following concepts are used:

1) the head - person who is the first head of executive body of the Organization or the person which is the member of executive body of the Organization, having right to sign of the reports provided by Rules;

2) the Organization - the organization having the license for implementation of broker and (or) dealer activities in the security market of the Republic of Kazakhstan.

2. Rules extend to all Organizations, and also to the Organizations performing combination of broker and (or) dealer activities in the security market with other types of activity in the financial market.

3. The organizations represent to authorized body electronically, monthly, no later than 18:00 hours of time of the city of Astana of the fifth working day of the month following month under report, the reporting including the report forms constituted according to appendices 1, of 2, 3 to Rules.

4. The organizations represent to authorized body electronically, quarterly, no later than 18:00 hours of time of the city of Astana of the last date following reporting quarter, the reporting including the report forms constituted according to appendices 4, of 5, of 6, of 7, of 8, of 9, of 10, 11 to Rules.

5. The accumulation pension funds which are independently exercising investment control of pension assets, and the organizations which are exercising investment control of pension assets, having licenses for implementation of broker and (or) dealer activities in the security market do not represent to authorized body the reporting including the report forms constituted according to appendices 3, of 6, of 8, of 9, of 10, 11 to Rules.

6. The banks of the second level having licenses for implementation of broker and (or) dealer activities in the security market do not submit the report constituted according to appendix 6 to Rules in authorized body.

7. The organizations having licenses for implementation of broker and (or) dealer activities in the security market with the account management right as the nominee holder in addition represent to authorized body electronically, quarterly, no later than 18:00 hours of time of the city of Astana of the last date following reporting quarter, the report constituted according to appendix 12 to Rules.

8. The organizations created in form of business of limited liability partnership in addition represent to authorized body electronically, quarterly, no later than 18:00 hours of time of the city of Astana of the last date following reporting quarter, the report constituted according to appendix 13 to Rules.

9. The reporting constituted electronically is submitted the Organization 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.

10. The reporting is on paper signed by the head (for its absence - person, it replacing), the chief accountant (for its absence - person, it replacing) and the contractor, is certified by seal and stored at the Organization. Upon the demand of the Organization authorized body no later than two working days from the date of receipt of request represents to authorized body the reporting on paper.

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

12. In case of modification and (or) amendments in the represented reporting the Organization within three working days from the date of submission of the reporting represents to authorized body the written petition with explanation of the reasons of need of modification and (or) amendments.

13. In case of detection of incomplete and (or) unreliable information in the reporting submitted by the Organization, the authorized body in time no later than five calendar days from the date of detection of incomplete and (or) unreliable information in the reporting in writing notifies on it the Organization. The organization no later than ten calendar days from the date of receipt of the notification of authorized body represents the reporting finished taking into account notes of authorized body.

14. By consideration of reports of the Organization the authorized body in writing requests from the Organization of the data and the documents necessary for verification of information specified in reports.

Appendix 1

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

Form

The report on bargains (transactions) with financial instruments concluded (registered) on unorganized market securities of the Republic of Kazakhstan (the name of the organization having the license for implementation of broker and (or) dealer activities in the security market of the Republic of Kazakhstan) from ______________ on _______________

continuation of the table

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