RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of June 17, 2015 No. 102

About modification and amendments in some regulatory legal acts of the Republic of Kazakhstan concerning approval of leading employees of the financial organizations, holdings and "Fund of Guaranteeing Insurance Payments" Joint-stock company

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. 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 1, 2010 No. 26 "About approval of the regulatory legal acts regulating activities of "Fund of Guaranteeing Insurance Payments" Joint-stock company (registered in the Register of state registration of regulatory legal acts at No. 6167, the following change published on September 25, 2010 in the Kazakhstanskaya Pravda newspaper No. 253-254 (26314-26315)):

state appendix 4 in edition according to appendix 1 to this resolution.

2. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of February 24, 2012 No. 95 "About approval of Rules of issue of consent to appointment (election) of leading employees of the financial organizations, bank, insurance holdings and the list of the documents necessary for receipt of consent" (registered in the Register of state registration of regulatory legal acts at No. 7561, the following changes and the amendment published on August 4, 2012 in the Kazakhstanskaya Pravda newspaper No. 251-253 (27070-27072)):

in Rules of issue of consent to appointment (election) of leading employees of the financial organizations, bank, insurance holdings and the list of the documents necessary for receipt of consent approved by the specified resolution:

state Item 2 in the following edition:

"2. The leading employee of the financial organization, holding, the appointed (electee) for new term the decision of authorized body of the financial organization, holding is not subject to approval provided that this candidate was earlier approved with authorized body to this position in this financial organization or holding or is translated from the approved position to subordinate position within one body of this financial organization, holding, and on condition of compliance of this candidate to requirements, the stipulated in Clause 20 Laws on banks, article 34 of the Law on insurance activity, the subitem 20) Articles 1, by item 4 of Article 54, Item 2 of Article 59 of the Join-stock companies law, article 54 of the Law on the security market, article 9 of the Law on financial accounting, article 55 of the Law on provision of pensions and Rules.

In this case the financial organization, holding represent the copy of the statement from the decision of authorized body of this financial organization, holding on appointment (election) of the leading employee to the corresponding position with the cover letter in which it is specified about compliance of this candidate to the requirements established by legal acts of the Republic of Kazakhstan. Submission of other documents is not required.

The representative of authorized body who is part of the board of directors of the financial organization is not subject to approval of authorized body.";

state item 4 in the following edition:

"4. The financial organization, holding represent to authorized body for review candidates the following documents:

1) the petition constituted in any form with indication of that the candidate for leading employee position of the financial organization, holding (further - the candidate) conforms to requirements imposed to leading employees of the financial organization, holding and also that the information about the candidate is documentary checked by the financial organization, holding, and signed:

the first head of the board of directors of the financial organization, holding, and in case of its absence one of board members according to the solution of the board of directors (with submission of the copy of this solution of the board of directors), one of shareholders of the financial organization, holding, insurance broker, one of members of the financial organization, holding authorized on signing of this document (for the financial organization, holding created in form of business of limited liability partnership) - in case of appointment (election) of the first head of board (person solely performing functions of executive body);

the first head of board of the financial organization, holding (person solely performing functions of executive body) or person fulfilling its duties (with submission of the copy of the decision on assignment of fulfillment of duties) - in other cases;

2) the copy of the job description of the candidate for position of the board member of the financial organization, holding or to position of other head of the financial organization, the holding conforming to requirements, the stipulated in Clause 20 Laws on banks, article 34 of the Law on insurance activity, article 54 of the Law on the security market, article 55 of the Law on provision of pensions which contains:

powers of this candidate (with indication of surname, name, middle name (in case of its availability), positions, its signatures and date of acquaintance with the job description);

data on the name of structural divisions and the list of the questions which are within their competence which are supervised by this candidate;

responsibility when implementing the functions;

3) if the candidate for position of the board member of the financial organization, holding works in other organization - the statement from the solution of the board of directors of this financial organization, holding - joint-stock company about consent to the candidate for work in other organization;

4) if the candidate is board member of joint-stock company - the statement from the solution of the board of directors of this society on consent to the candidate for work in the financial organization, holding;

5) the statement from the decision of authorized body of the financial organization, holding or the copy of the order on appointment of the candidate (in case of approval of two and more candidates - on each candidate in one copy statements from the decision or the copy of the order) with indication of date of appointment (election) of the candidate for executive position of the financial organization, holding.

If date of appointment (election) is absent, then decision date (order) of authorized body of the financial organization, holding or date of approach of the event specified in the decision (order) is considered date of appointment (election) of the candidate.

In case of approach of the event specified in the decision (order), the financial organization, the holding is represented by copies of supporting documents.

The statement from the decision of authorized body of the financial organization, holding contains the following data:

full name of the financial organization, holding and location of board of the financial organization, holding;

date, time and venue of general shareholder meeting (meeting of the Board of Directors);

information about persons participating in meeting (for meeting of the Board of Directors);

quorum of general shareholder meeting (meeting of the Board of Directors);

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