RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of January 28, 2016 No. 25

About modification and amendments in the resolution of Board of National Bank of the Republic of Kazakhstan of February 3, 2014 No. 9 "About approval of Rules of implementation of broker and (or) dealer activities in the security market"

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 National Bank of the Republic of Kazakhstan of February 3, 2014 No. 9 "About approval of Rules of implementation of broker and (or) dealer activities in the security market" (registered in the Register of state registration of regulatory legal acts at No. 9249, published on April 16, 2014 in information system of law of Ad_let of the republican state company on the right of economic maintaining "The republican center of legal information of the Ministry of Justice of the Republic of Kazakhstan") the following changes and amendments:

in the Rules of implementation of broker and (or) dealer activities in the security market approved by the specified resolution:

state Item 3 in the following edition:

"3. The broker and (or) the dealer has the license for implementation of broker and (or) dealer activities:

1) the first category - with the right of account management of clients as the nominee holder (with the right of registration of security transactions);

2) the second category - without the right of account management of clients (without the right of registration of security transactions).";

9, 10 and 14 to exclude Items;

16, 17 and 18 to state Items in the following edition:

"16. In easily accessible for clients, and also persons intending to enter contractual relations with this broker and (or) the dealer, places in premises of its head office and branches notarially attested copies of licenses for implementation of broker and (or) dealer activities issued to this broker and (or) the dealer are placed.

Disclaimer! This text was translated by AI translator and is not a valid juridical document. No warranty. No claim. More info