№ of payment order

List of requirements

Yes

No

1.

Availability of electronic trading system of the commodity exchange meeting the general requirements established by the Government of the Republic of Kazakhstan to electronic trading systems of commodity exchanges (according to Item 1 of Qualification requirements to activities of the commodity exchanges, exchange brokers and stock dealers approved by the order of the Government of the Republic of Kazakhstan of December 21, 2012 No. 1653)

2.

Availability of the structural division equipped with necessary means on providing the mode of privacy (confidentiality), and also safety of the data which are trade secret at commodity exchange, including on electronic media (according to Item 2 of Qualification requirements to activities of the commodity exchanges, exchange brokers and stock dealers approved by the order of the Government of the Republic of Kazakhstan of December 21, 2012 No. 1653)

3.

Availability of the rules of stock exchange trading developed on the basis of the standard rules of stock exchange trading approved by the Government of the Republic of Kazakhstan (according to Item 3 of Qualification requirements to activities of the commodity exchanges, exchange brokers and stock dealers approved by the order of the Government of the Republic of Kazakhstan of December 21, 2012 No. 1653)

4.

Compliance of staff of commodity exchange to the qualification requirements established by the legislation of the Republic of Kazakhstan (according to item 4 of Qualification requirements to activities of the commodity exchanges, exchange brokers and stock dealers approved by the order of the Government of the Republic of Kazakhstan of December 21, 2012 No. 1653)

5.

Availability of structural divisions on the organization of trade and work with clients (according to Item 5 of Qualification requirements to activities of commodity exchanges, exchange brokers and stock dealers and the list of the documents confirming compliance to them, approved by the order of the Government of the Republic of Kazakhstan of December 21, 2012 No. 1653)

6.

Availability of clearing center or the usage agreement of services of clearing center (according to Item 6 of Qualification requirements to activities of commodity exchanges, exchange brokers and stock dealers and the list of the documents confirming compliance to them, approved by the order of the Government of the Republic of Kazakhstan of December 21, 2012 No. 1653)

7.

Availability at least seven members of commodity exchange (according to Item 2 of article 11 of the Law of the Republic of Kazakhstan of May 4, 2009 "About commodity exchanges")

8.

Availability of own Internet resource in the state and Russian languages containing information on commodity exchange and procedure for carrying out the biddings by it and also the special Section for placement of results of the exchange biddings (according to Item 8 of Qualification requirements to activities of the commodity exchanges, exchange brokers and stock dealers approved by the order of the Government of the Republic of Kazakhstan of December 21, 2012 No. 1653)

9.

Availability of the approved amount of payments: admission and annual fees of members of commodity exchange, for use of property of the exchange, and also registration and registration of stock exchange transactions, other receipts which are not prohibited by the legislation (according to Item 9 of Qualification requirements to activities of the commodity exchanges, exchange brokers and stock dealers approved by the order of the Government of the Republic of Kazakhstan of December 21, 2012 No. 1653)

10.

Availability at commodity exchange of exchange arbitration (according to Item 1 of article 8 of the Law of the Republic of Kazakhstan of May 4, 2009 "About commodity exchanges")

11.

Availability of guarantee and insurance fund (according to article 16-1 of the Law of the Republic of Kazakhstan of May 4, 2009 "About commodity exchanges")

12.

Observance of requirements about impossibility of implementation by commodity exchange of the trading and other activity which is not connected with the organization of stock exchange trading (according to Item 3 of article 13 of the Law of the Republic of Kazakhstan of May 4, 2009 "About commodity exchanges")

13.

Observance of requirements about impossibility of participation of employees of commodity exchange in stock exchange transactions or uses of the commercial information to own advantage (according to Item 2 of article 12 of the Law of the Republic of Kazakhstan of May 4, 2009 "About commodity exchanges")

14.

Observance of requirements about impossibility of making of stock exchange transactions from name and at the expense of commodity exchange (according to item 4 of article 15 of the Law of the Republic of Kazakhstan of May 4, 2009 "About commodity exchanges")

15.

Accomplishment of obligation by commodity exchange on publication of daily quotations on exchange goods in mass media (according to Item 2 of article 18 of the Law of the Republic of Kazakhstan of May 4, 2009 "About commodity exchanges")

16.

The availability of rules of internal control and the program of its implementation developed for the purpose of prevention of legalization (washing) of income gained in the illegal way and terrorism financing (according to article 11 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")