RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of February 29, 2016 No. 59

About approval of the list, forms, terms of the reporting of the organizer of the biddings and Rules of their representation

List of amending documents

According to the laws of the Republic of Kazakhstan of July 2, 2003 "About the security market", of July 4, 2003 "About state regulation, control and supervision of the financial market and the financial organizations" and of March 19, 2010 "About the state statistics" the Board of National Bank of the Republic of Kazakhstan DECIDES:

1. Approve:

1) the list of the reporting of the organizer of the biddings according to appendix 1 to this resolution;

2) report form about requests for purchase/security sale according to appendix 2 to this resolution;

3) report form about results of the biddings by securities with indication of the parties of transactions according to appendix 3 to this resolution;

4) report form about requests for transactions of "repo" with securities according to appendix 4 to this resolution;

5) report form about transactions of "repo" with securities with indication of their participants according to appendix 5 to this resolution;

6) report form about requests for purchase/sale of derivative financial instruments according to appendix 6 to this resolution;

7) report form about results of the biddings by derivative financial instruments with indication of the parties of transactions according to appendix 7 to this resolution;

8) report form about requests for purchase/sale of foreign currencies according to appendix 8 to this resolution;

9) report form about results of the biddings by foreign currencies according to appendix 9 to this resolution;

10) report form about members of the organizer of the biddings according to appendix 10 to this resolution;

11) report form about the securities entering certain sectors (categories) of the list of the organizer of the biddings according to appendix 11 to this resolution;

12) report form about financial instruments, except for the securities entering the list of the organizer of the biddings according to appendix 12 to this resolution;

12-1) report form about amounts of transactions according to appendix 12-1) to this resolution;

13) report form about capitalization of the security market according to appendix 13 to this resolution;

14) report form about customer accounts according to appendix 14 to this resolution;

15) report form about transactions with the faces tied with the organizer of the biddings by the special relations concluded during month under report, and also operating on reporting date, and the register of faces tied with the organizer of the biddings by the special relations according to appendix 15 to this resolution;

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

17) report form about the securities acquired at the expense of own assets according to appendix 17 to this resolution;

18) report form about structure of transactions "the return repo" and the "repo" made at the expense of own assets according to appendix 18 to this resolution;

19) report form about the deposits and money placed at the expense of own assets according to appendix 19 to this resolution;

20) report form about investments into the capital of other legal entities according to appendix 20 to this resolution;

21) rules of submission of the reporting by the organizer of the biddings according to appendix 21 to this resolution.

2. The organizer of the biddings represents to National Bank of the Republic of Kazakhstan in electronic format:

1) the reporting for the reporting working day provided by subitems 2), 3), 4), 5), 6), 7), 8), 9) of Item 1 of this resolution - daily, until the end of the next working day;

2) the reporting for month under report provided by subitems 10), 11), 12), 12-1), 13), 14), 16), 17), 18), 19) and 20) of Item 1 of this resolution - monthly no later than the fifth working day of the month following month under report.

The organizer of the biddings having the license for implementation of separate types of banking activities in addition represents to National Bank of the Republic of Kazakhstan in electronic format the reporting for month under report provided by the subitem 15) of Item 1 of this resolution - monthly no later than the fifth working day of the month following month under report.

Submission of the reporting provided by subitems 17), 18), 19) and 20) of Item 1 of this resolution does not extend to the organizer of the biddings, 50 (fifty) and more percent of shares of which belong to National Bank of the Republic of Kazakhstan.

3. Recognize invalid regulatory legal acts of the Republic of Kazakhstan according to appendix 22 to this resolution.

4. To department of researches and statistics (Tutushkin V. A.) in the procedure established by the legislation of the Republic of Kazakhstan to provide:

1) together with Legal department (Sarsenov N. V.) state registration of this resolution in the Ministry of Justice of the Republic of Kazakhstan;

2) the direction of this resolution in 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":

on official publication in information system of law of Ad_let within ten calendar days after its state registration in the Ministry of Justice of the Republic of Kazakhstan;

for inclusion in the State register of regulatory legal acts of the Republic of Kazakhstan, Reference control bank of regulatory legal acts of the Republic of Kazakhstan within five working days from the date of its obtaining by National Bank of the Republic of Kazakhstan after state registration in the Ministry of Justice of the Republic of Kazakhstan;

3) placement of this resolution on official Internet resource of National Bank of the Republic of Kazakhstan after its official publication.

5. To management on consumer protection of financial services and external communications (Terentyev A. L.) provide the direction of this resolution on official publication in periodic printing editions within ten calendar days after its state registration in the Ministry of Justice of the Republic of Kazakhstan.

6. To impose control of execution of this resolution on the vice-chairman of National Bank of the Republic of Kazakhstan Smolyakov O. A.

7. This resolution becomes effective since January 1, 2017 and is subject to official publication.

It is approved Committee according to the statistics Ministries of national economy of the Republic of Kazakhstan Acting Chairman April 4, 2016

________________ B. Imanaliyev

Appendix 1

to the Resolution of Board of National Bank of the Republic of Kazakhstan of February 29, 2016 No. 59

List of the reporting of the organizer of the biddings

The reporting of the organizer of the biddings includes:

1) report on requests for purchase/security sale;

2) the report on results of the biddings by securities with indication of the parties of transactions;

3) the report on requests for transactions of "repo" with securities;

4) the operations statement "repo" with securities with indication of their participants;

5) report on requests for purchase/sale of derivative financial instruments;

6) the report on results of the biddings by derivative financial instruments with indication of the parties of transactions;

7) report on requests for purchase/sale of foreign currencies;

8) report on results of the biddings by foreign currencies;

9) report on members of the organizer of the biddings;

10) the report on the securities entering certain sectors (categories) of the list of the organizer of the biddings;

11) the report on financial instruments, except for the securities entering the list of the organizer of the biddings;

11-1) report on amounts of transactions;

12) report on capitalization of the security market;

13) report on customer accounts;

14) the report on transactions with the faces tied with the organizer of the biddings by the special relations concluded during month under report, and also operating on reporting date, and the register of faces tied with the organizer of the biddings by the special relations;

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

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

17) the report on structure of transactions "the return repo" and the "repo" made at the expense of own assets;

18) the report on the deposits and money placed at the expense of own assets;

19) report on investments into the capital of other legal entities.

Appendix 2

to the Resolution of Board of National Bank of the Republic of Kazakhstan of February 29, 2016 No. 59

The form intended for collection of administrative data

Report on requests for purchase/security sale

Accounting period: on condition for ____________ 20 __ years

Index: 1 - KASE_PSS

Frequency: daily

Represents: organizer of the biddings

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

Representation term: daily, until the end of the next working day

Form

__________________________________________________________

                  (name of the Organization)

 

Requisition number	Date and time of application		Request type	Direction of the request	Market type	Category	Subcategory
	date	time
1	2	3	4	5	6	7	8

 

continuation of the table:

Security code	Security identification number	Quoting currency	Price	Clean price	Profitability according to debt securities
9	10	11	12	13	14

 

continuation of the table:

Quantity	Amount	Code of the member of the organizer of the biddings	Custody account	Account type	Sub-account type	Type of the account holder
15	16	17	18	19	20	21

 

continuation of the table:

Personal identification number (ID)	Request sign	Status of request	Date and time of removal of the request		Market price	Weighted average price
			date	time
22	23	24	25	26	27	28

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

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

Appendix

to report form about requests for purchase/security sale

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

Report on requests for purchase/security sale

Chapter 1. General provisions

1. This explanation (further - the Explanation) determines single requirements for filling of the "Report on Requests for Purchase/security Sale" form (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 daily by the organizer of the biddings and filled for each reporting day. Data in shape are filled in in tenge with two signs after comma.

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

Chapter 2. The explanation on filling of the Form

5. In column 1 the sequence number of the request is specified.

6. In columns 2 and 25 date of giving and date of removal of the request in the dd.mm.gggg format are specified.

7. In columns 3 and 26 time of giving and time of removal of the request in the chasy:minuty:sekunda format are specified.

8. In column 4 the request type is specified: "limit" - the limited request, "market" - the market request, "nego" - the direct request.

9. In column 5 as the direction of the request purchase or sale is specified.

10. In column 6 the market type is specified: "Tbills" - the market of government securities, "Equities" - the stock market, "Debts" - the bond market.

11. In columns 7 and 8 categories and subcategories of types of the markets provided by trade system of stock exchange are specified.

12. In column 9 the security code determined by the organizer of the biddings according to the procedure for the coding of securities provided by its internal documents is specified.

13. In column 11 the currency of quoting of security is specified.

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