RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of August 27, 2013 No. 230

About approval of the list, forms, terms and Rules of submission of the reporting by the organizations exercising control of investment portfolio, broker and (or) dealer activities

According to the Law of the Republic of Kazakhstan of July 4, 2003 "About state regulation, control and supervision of the financial market and the financial organizations" the Board of National Bank of the Republic of Kazakhstan DECIDES:

1. Approve:

1) the list of the reporting of the organizations exercising control of investment portfolio, broker and (or) dealer activities according to appendix 1 to this resolution;

2) the report on the securities acquired at the expense of own assets on form according to appendix 2 to this resolution;

3) the operations statement "the return repo" and "repo", made at the expense of own assets, in form according to appendix 3 to this resolution;

4) the report on deposits and money on current accounts in the banks of the second level and the organizations performing separate types of the banking activities placed at the expense of own assets in form according to appendix 4 to this resolution;

5) the report on investments into the capital of other legal entities on form according to appendix 5 to this resolution;

6) data on investment funds in form according to appendix 6 to this resolution;

7) the report on structure of the investment portfolio acquired for the asset account of clients on form according to appendix 7 to this resolution;

8) the report on structure of other property of investment fund on form according to appendix 8 to this resolution;

9) the report on the investments of investment fund into the capital of legal entities which are not joint-stock companies on form according to appendix 9 to this resolution;

10) the report on the cost of pension assets on form according to appendix 10 to this resolution;

11) the report on structure of investment portfolio of pension assets on form according to appendix 11 to this resolution;

12) the report on observance by the organizations exercising control of investment portfolio, the prudential standard rate "Investment limits" of form according to appendix 12 to this resolution;

13) the report on amounts of pension accruals and the number of investors / receivers of voluntary pension contributions on form according to appendix 13 to this resolution;

14) the report on retirement benefits on form according to appendix 14 to this resolution;

15) the report on committed transactions on investment of assets of clients on form according to appendix 15 to this resolution;

16) the report on committed transactions on investment of own assets on form according to appendix 16 to this resolution;

17) the report on committed transactions on investment of assets of clients and own assets in derivative financial instruments in form according to appendix 17 to this resolution;

18) the report on committed transactions on investment of assets of clients and own assets with affiliates in form according to appendix 18 to this resolution;

19) the report on bargains (transactions) with financial instruments concluded (registered) on unorganized market securities of the Republic of Kazakhstan on form according to appendix 19 to this resolution;

20) data on the organization having the license for implementation of broker and (or) dealer activities in the security market of the Republic of Kazakhstan for form according to appendix 20 to this resolution;

21) the report on the bargains with financial instruments concluded in the international (foreign) security markets on form according to appendix 21 to this resolution;

22) the report on transactions with derivative financial instruments on form according to appendix 22 to this resolution;

23) the report on committed transactions with affiliates on form according to appendix 23 to this resolution;

24) the report on remaining balance of the money which is on accounts of the broker on form according to appendix 24 to this resolution;

25) the report on rendering services by the broker and (or) the dealer on form according to appendix 25 to this resolution;

26) the report on the securities which are in nominal continence on form according to appendix 26 to this resolution;

27) the report on the securities issued according to the legislation of foreign state, which are in nominal continence on form according to appendix 27 to this resolution;

28) Rules of submission of the reporting by the organizations exercising control of investment portfolio, broker and (or) dealer activities according to appendix 28 to this resolution.

2. The organizations exercising control of investment portfolio, broker and (or) dealer activities (further - the Organization) represent to National Bank of the Republic of Kazakhstan (further - authorized body) in electronic format, monthly, no later than the fifth working day of the month following month under report, the reporting according to appendices 2, of 3, of 4, 5 to this resolution.

In addition to the reporting provided by part one of this Item, the organizations exercising control of investment portfolio (further - the managing director of investment portfolio), represent to authorized body in electronic format, monthly, no later than the fifth working day of the month following month under report, the reporting according to appendices 6, of 7, of 8, of 9, of 15, of 16, of 17, 18 to this resolution.

Managing directors of investment portfolio with the right of attraction of voluntary pension contributions (further - the Voluntary accumulation pension fund), in addition represent to authorized body in electronic format, monthly, no later than the fifth working day of the month following month under report, the reporting according to appendices 10, of 11, of 12, of 13, 14 to this resolution.

In case of management of the Voluntary accumulation pension fund of pension assets of the single accumulation pension fund according to the contract for investment asset management signed with National Bank of the Republic of Kazakhstan, the Voluntary accumulation pension fund represents the reporting according to appendices 10, of 11, of 12, of 13, 14 separately on the assets of the single accumulation pension fund and pension assets which are in management.

In addition to the reporting provided by part one of this Item, the organizations performing broker and (or) dealer activities represent to authorized body in electronic format, monthly, no later than the fifth working day of the month following month under report, the reporting according to appendices 19, 21 and 24 to this resolution.

The organizations performing broker and (or) dealer activities (further - brokers and (or) dealers), in addition represent to authorized body in electronic format, quarterly, no later than the last date following reporting quarter, the reporting according to appendices 20, of 22, of 23, 25 to this resolution.

The Voluntary accumulation pension fund having the license for implementation of broker and (or) dealer activities does not represent to authorized body the reporting according to appendices 22, of 23, of 24, 25 to this resolution.

The banks of the second level having licenses for implementation of broker and (or) dealer activities do not represent to authorized body the reporting according to appendices 2, of 3, of 4, of 5, 23 to this resolution.

The financial agencies, the National operator of mail having licenses for implementation of broker and (or) dealer activities do not represent to authorized body the reporting according to appendices 2, of 3, of 4, 5 to this resolution.

The brokers and (or) dealers having the license with the account management right as the nominee holder in addition represent to authorized body in electronic format, quarterly, no later than the last date following reporting quarter, the reporting according to appendices 26 and 27 to this resolution.

The gold and exchange assets of authorized body and assets of National fund of the Republic of Kazakhstan delivered in trust management are not specified by managing directors of investment portfolio when filling the forms established by appendices 6, of 7, of 8, of 9, of 15, of 16, 17 and 18 to this resolution.

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

It is approved Chairman of the Agency of the Republic of Kazakhstan according to the statistics September 25, 2013

A. Smailov _________________

Appendix 1

to the Resolution of Board of National Bank of the Republic of Kazakhstan of August 27, 2013 No. 230

The list of the reporting of the organizations exercising control of investment portfolio, broker and (or) dealer activities

The reporting of the organizations exercising control of investment portfolio, broker and (or) dealer activities includes:

1) the report on the securities acquired at the expense of own assets;

2) the operations statement "the return repo" and "repo", made at the expense of own assets;

3) the report on deposits and money on current accounts in the banks of the second level and the organizations performing separate types of the banking activities placed at the expense of own assets;

4) report on investments into the capital of other legal entities;

5) data on investment funds;

6) the report on structure of the investment portfolio acquired for the asset account of clients;

7) report on structure of other property of investment fund;

8) the report on the investments of investment fund into the capital of legal entities which are not joint-stock companies;

9) report on the cost of pension assets;

10) report on structure of investment portfolio of pension assets;

11) the report on observance by the organizations exercising control of investment portfolio, the prudential standard rate "Investment limits";

12) report on amounts of pension accruals and number of investors/receivers of voluntary pension contributions;

13) report on retirement benefits;

14) report on committed transactions on investment of assets of clients;

15) report on committed transactions on investment of own assets;

16) the report on committed transactions on investment of assets of clients and own assets in derivative financial instruments;

17) the report on committed transactions on investment of assets of clients and own assets with affiliates;

18) the report on bargains (transactions) with financial instruments concluded (registered) on unorganized market securities of the Republic of Kazakhstan;

19) data on the organization having the license for implementation of broker and (or) dealer activities in the security market of the Republic of Kazakhstan;

20) the report on the bargains with financial instruments concluded in the international (foreign) security markets;

21) report on transactions with derivative financial instruments;

22) report on committed transactions with affiliates;

23) the report on remaining balance of the money which is on accounts of the broker;

24) report on rendering services by the broker and (or) dealer;

25) the report on the securities which are in nominal continence;

26) the report on the securities issued according to the legislation of foreign state, which are in nominal continence.

Appendix 2

to the Resolution of Board of National Bank of the Republic of Kazakhstan of August 27, 2013 No. 230

The form intended for collection of administrative data

The report on the securities acquired at the expense of own assets

Accounting period: on "___" ________ 20 __ years

Index: 1 RCB_CBSA

Frequency: monthly

Represent: managing directors of investment portfolio; brokers and (or) dealers

Where the form is represented: National Bank of the Republic of Kazakhstan

Representation term: monthly, no later than the fifth working day of the month following month under report

Form

________________________________________________

(full name of the organization)

(in thousands of tenges)

№ of payment order	Name of the issuer	Country of the issuer	Security type	National identification number or international identification number	Number of securities
					in total	including the encumbered securities
						the encumbered securities, all	including the securities transferred to repo
1	2	3	4	5	6	7	8
1	Government securities of the Republic of Kazakhstan
1.1.
…
2	Non-state issued securities of the organizations of the Republic of Kazakhstan
2.1.	securities of banks of the second level
2.1.1.
…
2.2.	securities of legal entities, except for banks of the second level
2.2.1.
…
3	Securities of foreign states
3.1.
…
4	Non-state securities of issuers of nonresidents of the Republic of Kazakhstan
4.1.
…
5	Securities of international financial institutions
5.1.
…
6	Shares of investment funds
6.1.
…
7	Total

 

continuation of the table

Currency of acquisition of security	Purchase price for one security	Period		Purchase value of securities	Nominal value
		date of registration	repayment date		currency	cost of one security
9	10	11	12	13	14	15
…

 

continuation of the table

Book value of securities							Accounting category
in total	discount / award	the added remuneration	positive / negative adjustment	the encumbered securities, all	including the securities transferred to repo	the created reserves (provisions)
16	17	18	19	20	21	22	23
…

 

continuation of the table:

Rating		The current coupon rate in portfolio
for date of registration	on reporting date
24	25	26
…

 

The first head or person authorized by it on signing of the report

___________________________________________ ____________

      surname, name, middle name (in case of its availability)              the signature

The chief accountant or person authorized by it on signing of the report

___________________________________________ ____________

      surname, name, middle name (in case of its availability)              the signature

Contractor of ______________________________________ ____________

                          surname, name, middle name (in case of its availability)     the signature

Phone number: _________________________

Signature date of the report "___" __________ 20 ___ years

Locus sigilli (in the presence)

Note: the explanation on filling of the form intended for collection of administrative data is given in appendix to this form.

Appendix

to the Report form about the securities acquired at the expense of own assets

The explanation on filling of the form intended for collection of administrative data

The report on the securities acquired at the expense of own assets

Chapter 1. General provisions

1. This explanation (further - the Explanation) determines single requirements for filling of the form intended for collection of the administrative data "The Report on the Securities Acquired at the expense of Own Assets" (further - the Form).

2. The form is developed in compliance with the subitem 6) of Item 1 of article 9 of the Law of the Republic of Kazakhstan of July 4, 2003 "About state regulation, control and supervision of the financial market and the financial organizations".

3. The form is constituted by monthly managing investment portfolio, the broker and (or) the dealer as of the end of the accounting period. Data in shape are filled in in thousands of tenges. The amount less than 500 (five hundred) tenges is rounded to 0 (zero), and the amount equal of 500 (five hundred) tenges and above, is rounded to 1000 (thousand) tenges.

4. The form is signed by the first head, the chief accountant or persons authorized by them on signing of the report and the contractor.

Chapter 2. The explanation on filling of the Form

5. In columns 2 and 3 the name of the issuer of security and the country of its residence is specified.

6. In column 4 the type of the acquired security with indication of its type is specified.

7. In column 5 national identification number (concerning foreign securities - the international identification number (ISIN), concerning the rights of requirements for obligations of the issuer on issued securities which circulation period expired, and the issuer does not fulfill obligations on their repayment - the identifier of rights to claim) is specified.

8. In column 6 the quantity of the acquired securities in pieces is specified. Debt financial instruments are specified in pieces taking into account nominal value of one security.

9. In column 7 the quantity of the encumbered securities is specified reporting date.

10. In column 8 the quantity of the encumbered securities transferred to repo on reporting date is specified.

11. In columns 9 and 14 currency codes are specified according to the national qualifier of the Republic of Kazakhstan to RK 07 ISO 4217-2012 Oil Company "Codes for designation of currencies and funds".

12. In column 10 the price reflected in the source document which confirms implementation of the transaction (the exchange certificate, the report of the broker and (or) dealer, the confirmation received on the international interbank translation system of information and making payments (SWIFT)), in tenge is specified. In case of payment of acquisition of security in foreign currency this amount is reflected at the market rate of currency exchange which developed for date of transaction.

13. In column 11 date of initial recognition in financial accounting is specified.

14. In column 12 repayment date of debt securities is specified.

15. In column 13 the purchase value of securities, including the expenses which are directly connected with acquisition, including the remunerations and commission charges paid to agents, consultants, brokers (dealers), charges of stock exchanges, and also banking services on transfer, and reduced by the size of the percent paid by the buyer to the seller is specified (in the presence of that).

16. Columns 14 and 15 are filled in according to debt securities. In column 15 the monetary value of bond value determined in case of its release on which the remuneration expressed as a percentage according to the coupon bond, and also the amount which is subject to payment to the bondholder in case of its repayment is charged is specified. The amount is specified in release currency.

17. In column 16 the cost of securities reflected in financial accounting is specified.

18. In column 17 unamortized part of discount (with minus sign) or awards is specified (in absolute expression).

19. In column 18 it is specified the added, but not earned rewards, when filling this column according to debt securities - the coupon is specified, according to shares dividends are specified.

20. In column 19 positive or negative adjustment is specified.

21. In column 20 the cost of the encumbered securities specified in financial accounting is specified.

22. In column 21 the cost of the securities encumbered with repurchase agreements, specified in financial accounting is specified.

23. In column 22 the size of reserves (provisions) created according to international accounting standards is specified. The size of reserves (provisions) is specified in absolute expression.

24. In column 23 the category of security "carried at fair value through other comprehensive income", "carried at fair value through profit or loss" or "considered on depreciated cost" is specified.

25. When filling columns 24 and 25 security rating on bonds, the rating of the issuer according to shares, score of the country on government securities assigned to one of the rating agencies specified in Item 3 of the resolution of Board of National Bank of the Republic of Kazakhstan of December 24, 2012 to No. 385 "About establishment of the minimum rating for legal entities and the countries which need of availability is required according to the legislation of the Republic of Kazakhstan regulating activities of the financial organizations, the list of the rating agencies assigning this score", registered in the Register of state registration of regulatory legal acts No. 8318 is specified. In the absence of rating in columns 24 and 25 it is specified "there is no rating". These columns are not filled in on government securities of the Republic of Kazakhstan.

26. In column 26 the coupon rate on debt financial instruments is specified date of representation of the Form.

27. In case of lack of data the Form is represented with zero balances.

 

Appendix 3

to the Resolution of Board of National Bank of the Republic of Kazakhstan of August 27, 2013 No. 230

The form intended for collection of administrative data

The operations statement "the return repo" and "repo", made at the expense of own assets

Accounting period: on "___" ________ 20 __ years

Index: 2 - RCB_REPO_SA

Frequency: monthly

Represent: managing directors of investment portfolio; brokers and (or) dealers

Where the form is represented: National Bank of the Republic of Kazakhstan

Representation term - monthly no later than the fifth working day of the month following month under report

Form

________________________________________________
(name of the Organization)

 

(in thousands of tenges)

№ of payment order	Name of the issuer	Country of the issuer	Security type	National identification number or international identification number	Number of securities	Currency of nominal value	Period
							Date of opening of transaction	Closing date of transaction
1	2	3	4	5	6	7	8	9
1	Transactions "the return repo"
1.1.	Direct method
1.1.1.
1.2.	Automatic method

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