RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of December 24, 2014 No. 244

About modification of some regulatory legal acts of the Republic of Kazakhstan concerning the official listing of securities of stock exchange

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 list of regulatory legal acts of the Republic of Kazakhstan concerning the official listing of securities of stock exchange to which changes, according to appendix to this resolution are made.

2. This resolution becomes effective after ten calendar days after day of its first official publication and extends to the relations which arose since January 1, 2015.

It is approved Committee according to the statistics Ministries of national economy of the Republic of Kazakhstan _________________ ___ _____________ 2015

Appendix

to the Resolution of Board of National Bank of the Republic of Kazakhstan of December 24, 2014 No. 244

The list of regulatory legal acts of the Republic of Kazakhstan concerning the official listing of securities of stock exchange to which changes are made

1. Ceased to be valid according to the Resolution of Board of National Bank of the Republic of Kazakhstan of 29.02.2016 No. 76

2. Ceased to be valid according to the Resolution of Board of National Bank of the Republic of Kazakhstan of 29.04.2016 No. 115

3. Ceased to be valid according to the Resolution of Board of National Bank of the Republic of Kazakhstan of 26.12.2016 No. 304

4. Ceased to be valid according to the Resolution of Board of National Bank of the Republic of Kazakhstan of 27.08.2018 No. 198

5. Bring 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 March 29, 2010 No. 41 "About approval of Rules of calculation of prudential standard rates for the organizer of the biddings" (the following change registered in the Register of state registration of regulatory legal acts at No. 6207):

in Rules of calculation of prudential standard rates for the organizer of the biddings approved by the specified resolution:

state Item 11 in the following edition:

"11. Calculations of value of coefficient of K1 according to appendices 1, of 2, 3 to these rules, K2 coefficient according to appendix 4 to these rules, and also the report on accomplishment of prudential standard rates, according to appendix 5 to these rules are provided by the organizer of the biddings in authorized body quarterly no later than the fifth working day of the month following reporting quarter in the following forms of appendices to these rules:

1) on paper - appendix 5 to these rules;

2) on the electronic medium - appendices 1, 2, 3, 4, 5 to these rules.

Data in calculations are specified in national currency of the Republic of Kazakhstan - tenge. The unit of measure used in case of their creation is established in thousands of tenges. The amount less than five hundred tenges is rounded to zero, and the amount equal of five hundred tenges and above, is rounded to one thousand tenges. Coefficients are represented with four signs after comma.";

state appendix 1 in edition according to appendix 11 to the List.

6. Ceased to be valid according to the Resolution of Board of National Bank of the Republic of Kazakhstan of 27.05.2015 No. 81

7. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of February 13, 2012 No. 38 "About approval of requirements to implementation of investment of the money which is part of the allocated assets, and the list of the financial instruments permitted to acquisition at the expense of the allocated assets in case of project financing and securitization" (registered in the Register of state registration of regulatory legal acts at No. 7475, published on May 24, 2012 in the Kazakhstanskaya Pravda newspaper No. 150-151 (26969-26970) following changes:

in Item 1:

1) and 2) to state subitems in the following edition:

"1) the debt securities included in the official listing of stock exchange and conforming to the requirements provided by the resolution of Board of National Bank of the Republic of Kazakhstan of October 22, 2014 No. 189 "About approval of Requirements to the issuers and their securities allowed (allowed) to the address on the stock exchange, and also to separate categories of the list of stock exchange", registered in the Register of state registration of regulatory legal acts at No. 9871 (further - the resolution No. 189);

2) the shares included in the official listing of stock exchange and conforming to the requirements provided by the resolution No. 189;";

the fifth the subitem 10) to state the paragraph in the following edition:

"the securities included in the official listing of stock exchange and conforming to the requirements provided by the resolution No. 189;".

8. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of February 24, 2012 No. 60 "About approval of Rules of investment of financial instruments and other property which is part of assets of investment fund, and the list of financial instruments which can be part joint-stock and mutual investment funds" (registered in the Register of state registration of regulatory legal acts at No. 7540, published on July 4, 2012 in the Kazakhstanskaya Pravda newspaper No. 211-212 (27030-27031) following change:

state appendix 2 in edition according to appendix 12 to the List.

9. Ceased to be valid according to the Resolution of Board of National Bank of the Republic of Kazakhstan of 08.04.2019 No. 57

10. Ceased to be valid according to the Resolution of Board of National Bank of the Republic of Kazakhstan of 19.08.2019 No. 131

11. Ceased to be valid according to the Resolution of Board of National Bank of the Republic of Kazakhstan of 26.12.2016 No. 304

12. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of August 27, 2013 No. 236 "About approval of the List of prudential standard rates, their normative values and techniques of calculations for the Voluntary accumulation pension funds, and also forms and terms of submission of the reporting" (registered in the Register of state registration of regulatory legal acts at No. 8794, published on November 7, 2013 in the Yuridicheskaya Gazeta newspaper No. 167 (2542) the following changes:

in the List of prudential standard rates, their normative values and techniques of calculations for the Voluntary accumulation pension funds, and also the forms and terms of submission of the reporting approved by the specified resolution:

in Item 5:

9) to state the subitem in the following edition:

"9) the shares of the organizations of the Republic of Kazakhstan included in the official listing of stock exchange, conforming to the requirements of the first category of the sector of "share" provided by the resolution of Board of National Bank of the Republic of Kazakhstan of October 22, 2014 No. 189 "About approval of requirements to the issuers and their securities allowed (allowed) to the address on the stock exchange, and also to separate categories of the list of stock exchange", registered in the Register of state registration of regulatory legal acts at No. 9871, (further - the resolution No. 189) or the shares of legal entities which are in the representative list of the stock exchange index and depositary receipts which underlying asset are these shares;";

subitems 11) to state 12) and 13) in the following edition:

"11) the non-state debt securities having rating assessment is lower than the level, this Item specified in the subitem 10), and also the categories "debt securities of subjects of the quasi-public sector" which do not have rating assessment, included in the official listing of stock exchange according to the resolution No. 189;

12) the non-state debt securities included in the official listing of stock exchange, except for the securities specified in subitems 10), 11) of this Item, issued by the organizations of the Republic of Kazakhstan according to the legislation of the Republic of Kazakhstan and other states, conforming to the following requirements:

state registration of the issuer of debt securities is performed at least in two years prior to day of filing of application about inclusion of its securities in the official listing of stock exchange;

the issuer of debt securities constitutes the financial reporting according to international accounting standards (International Financial Reporting Standards - IFRS) (further - IFRS) or the accounting standards operating in the United States of America (General Accepted Accounting Principles - GAAP) (further - the SFD of the USA);

financial records audit of the issuer of debt securities is made by one of the auditing organizations entering the list of the auditing organizations recognized by stock exchange;

the financial reporting of the issuer of debt securities confirmed with the audit report was represented at least, than for two complete financial years;

the equity of the issuer of debt securities constitutes the amount, the equivalent at least two million fifty thousandfold sizes of the monthly settlement indicator established by the law on the republican budget for the corresponding financial year according to the financial reporting on the last reporting date confirmed with the audit report;

the net profit of the issuer of debt securities for one of two last years constitutes the amount, equivalent at least eighty five thousand of the six hundredfold size of the monthly settlement indicator established by the law on the republican budget for the corresponding financial year according to the financial reporting on the last reporting date confirmed with the audit report;

the sales volume of the issuer of debt securities - the organization which is not the financial organization, except for the leasing organization and credit partnership for the main activities for each of two last years according to the financial reporting confirmed with the audit report constitutes the amount, the equivalent at least two million fifty thousandfold sizes of the monthly settlement indicator established by the law on the republican budget for the corresponding financial year;

availability of the code of corporate governance approved by general meeting of shareholders of the issuer of debt securities;

the market maker's availability according to debt securities in the time spent of these securities in the official listing of stock exchange;

constituent documents of the issuer of debt securities and (or) the prospectus of issue of securities do not contain regulations which infringe or limit the rights of owners of securities to their alienation (transfer);

13) the non-state debt securities included in the official listing of stock exchange, except for the securities specified in subitems 10), the 11) and 12) this Item issued by the organizations of the Republic of Kazakhstan according to the legislation of the Republic of Kazakhstan and other states, conforming to the following requirements:

state registration of the issuer of debt securities is performed at least in one year prior to day of filing of application about inclusion of its securities in the official listing of stock exchange;

the issuer of debt securities constitutes the financial reporting according to IFRS or the SFD of the USA;

financial records audit of the issuer of debt securities is made by one of the auditing organizations entering the list of the auditing organizations recognized by stock exchange;

the issuer of debt securities represented the financial reporting confirmed with the audit report for the last complete financial year;

the equity of the issuer of debt securities cannot be less than its authorized capital, according to the financial reporting on the last reporting date confirmed with the audit report;

the equity of the issuer of debt securities constitutes the amount, the equivalent at least three hundred forty thousandfold sizes of the monthly settlement indicator established by the law on the republican budget for the corresponding financial year according to the financial reporting on the last reporting date confirmed with the audit report;

availability of net profit of the issuer of debt securities for one of three complete financial years, according to the financial reporting on the last reporting date confirmed with the audit report;

the sales volume of the issuer of debt securities - the organization which is not the financial organization, except for the leasing organization and credit partnership for the main activities for the last financial year according to the financial reporting confirmed with the audit report constitutes the amount, the equivalent at least three hundred forty thousandfold sizes of the monthly settlement indicator established by the law on the republican budget for the corresponding financial year;

availability of the code of corporate governance approved by general meeting of shareholders of the issuer of debt securities;

constituent documents of the issuer of debt securities and (or) the prospectus of issue of securities do not contain regulations which infringe or limit the rights of owners of securities to their alienation (transfer);";

state appendix 1 in edition according to appendix 14 to the List.

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