RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of October 28, 2016 No. 258

About modification and amendments in some regulatory legal acts of the Republic of Kazakhstan concerning provision of pensions and regulation of 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. Approve the List of regulatory legal acts of the Republic of Kazakhstan concerning provision of pensions and regulation of the security market to which changes and amendment are made (further – the List), according to appendix to this resolution.

2. To department of the security market (Hadzhiyeva M. Zh.) 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":

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 ten calendar days from the date of its 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.

3. 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.

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

5. This resolution becomes effective after twenty one calendar days after day of its first official publication, except for paragraphs of the thirteenth, fourteenth and fifteenth Item 7 of the List which become effective since March 1, 2017.

Appendix

to the Resolution of Board of National Bank of the Republic of Kazakhstan of October 28, 2016 No. 258

The list of regulatory legal acts of the Republic of Kazakhstan concerning provision of pensions and regulation of the security market to which changes and amendment are made

1. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of February 13, 2012 No. 33 "About the list and terms of provision by members of stock exchange of the financial reporting and other information to stock exchange" (registered in the Register of state registration of regulatory legal acts at No. 7466, published on May 24, 2012 in the Kazakhstanskaya Pravda newspaper No. 150-151 (26969-26970)) the following changes:

change in state language is made to heading, the text in Russian does not change;

state Item 1 in the following edition:

"1. Members of stock exchange (except for banks of the second level and the national operator of mail) quarterly no later than the last calendar day of the month following reporting quarter provide to stock exchange the quarterly financial reporting (in case of availability affiliated (affiliated) the organizations (organizations) - the consolidated and separate financial reportings) in forms according to appendices 10, of 11, 14 and 16 to the Rules of accounts presentation by the financial organizations, special finance companies, Islamic special finance companies, microfinancial organizations approved by the resolution of Board of National Bank of the Republic of Kazakhstan of January 28, 2016 No. 41, registered in the Register of state registration of regulatory legal acts at No. 13504 (further – Rules No. 41).

The national operator of mail quarterly no later than the last calendar day of the month following reporting quarter provides to stock exchange the quarterly financial reporting (in case of availability affiliated (affiliated) the organizations (organizations) - the consolidated and separate financial reportings) in forms according to appendices 14 and 15 to Rules No. 41.";

state Item 5 in the following edition:

"5. Members of stock exchange provide to stock exchange:

1) information on changes in activities, stipulated in Item 2 articles 102 of the Law of the Republic of Kazakhstan of July 2, 2003 "About the security market", within 15 (fifteen) calendar days from the date of its origin - if the member of stock exchange is issuer whose securities are not included in the list of stock exchange;

2) information on violation of the prudential standard rate on sufficiency of equity within 1 (one) working day from the date of emergence of such violation;

3) information on changes in the list of the traders of the member of stock exchange allowed by stock exchange to participation in the biddings on the securities and other financial instruments addressing in trade system of stock exchange with indication of data on the basis of such changes, within 3 (three) working days from the date of their origin;

4) data on the commission agreements signed by the member of stock exchange within rendering broker services as of reporting date in the amount established by stock exchange rules, in time no later than 5 (fifth) working days of the month following reporting quarter;

5) other information which list and terms of provision are determined by stock exchange rules according to Item 6 of article 86 of the Law of the Republic of Kazakhstan of July 2, 2003 "About the security market".".

2. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of July 26, 2013 No. 184 "About approval of Rules of implementation of custodial activities in the security market of the Republic of Kazakhstan" (registered in the Register of state registration of regulatory legal acts at No. 8692, the following change published on October 17, 2013 in the Kazakhstanskaya Pravda newspaper No. 295 (27569)):

in the Rules of implementation of custodial activities in the security market of the Republic of Kazakhstan approved by the specified resolution:

state Item 50 in the following edition:

"50. Control of target placement (use) of pension assets of the single accumulation pension fund is exercised by the custodian by verification of the submitted documents and orders (orders) on making of account transactions opened in system of accounting of custodian and (or) by monitoring of the concluded bargains with participation of pension assets of the single accumulation pension fund on compliance to the requirements established:

1) legislation of the Republic of Kazakhstan on provision of pensions and on the security market;

2) investment declaration of the single accumulation pension fund;

3) agreement on trust management of pension assets;

4) the limited corrective actions or sanctions applied by authorized body, directed to restriction of investing activities of the single accumulation pension fund on pension assets.".

3. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of July 26, 2013 No. 187 "About approval of Rules of transfer of pension assets and obligations of the accumulation pension funds according to pension provision agreements in the single accumulation pension fund" (registered in the Register of state registration of regulatory legal acts at No. 8671, published on September 25, 2013 in the Yuridicheskaya Gazeta newspaper No. 144 (2519)) the following changes:

change in state language is made to heading, the text in Russian does not change;

change in state language is made to Item 1, the text in Russian does not change;

in Rules of transfer of pension assets and obligations of the accumulation pension funds according to pension provision agreements in the single accumulation pension fund approved by the specified resolution:

change in state language is made to heading, the text in Russian does not change;

change in state language is made to preamble, the text in Russian does not change;

state Item 32 in the following edition:

"32. Document storage which were not contributed to the single accumulation pension fund according to Items 9 and 25 of Rules and were not destroyed according to Item 31 of Rules is performed according to the order of the Minister for Culture and Sports of the Republic of Kazakhstan of December 22, 2014 No. 144 "About approval of Standard rules of documentation and management of documentation in the state and non-state organizations", registered in the Register of state registration of regulatory legal acts at No. 10129.".

4. Bring in the resolution of Board of National Bank of the Republic of Kazakhstan of July 26, 2013 No. 201 "About approval of Rules of accounting of pension accruals at the expense of compulsory pension contributions, compulsory professional pension contributions and voluntary pension contributions on individual retirement accounts of investors (receivers)" (registered in the Register of state registration of regulatory legal acts at No. 8654, the following changes and the amendment published on October 2, 2013 in the Yuridicheskaya Gazeta newspaper No. 148 (2523)):

change in state language is made to heading, the text in Russian does not change;

change in state language is made to Item 1, the text in Russian does not change;

in Rules of accounting of pension accruals at the expense of compulsory pension contributions, compulsory professional pension contributions and voluntary pension contributions on individual retirement accounts of investors (receivers) approved by the specified resolution:

change in state language is made to heading, the text in Russian does not change;

change in state language is made to preamble, the text in Russian does not change;

state Item 2 in the following edition:

"2. The bases for opening of the individual retirement account are:

on accounting of compulsory pension contributions - the statement of the investor constituted in the form approved by the internal document ENPF which is placed on the ENPF Internet resource;

on accounting of compulsory professional pension contributions - the statement of the agent on payment of compulsory professional pension contributions (further – the agent) and physical person for which compulsory professional pension contributions, in the form approved by the internal document ENPF which is placed on the ENPF Internet resource are listed;

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