RESOLUTION OF BOARD OF NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN

of December 26, 2016 No. 315

About approval of the list, forms, terms and Rules of submission of the reporting by large members of banks of the second level, bank holdings, banks of the second level, large members of the insurance (reinsurance) organizations, insurance holdings, large members of managing directors of investment portfolio

According to subitem 65-2) of part two of article 15 of the Law of the Republic of Kazakhstan "About National Bank of the Republic of Kazakhstan", Item 1 of Article 54 and Item 1 of article 54-1 of the Law of the Republic of Kazakhstan "About banks and banking activity in the Republic of Kazakhstan", Item 1 of article 74-1 of the Law of the Republic of Kazakhstan "About insurance activity", Item 1 of the article 72-4 "About the Security Market" and the subitem 2) of Item 3 of article 16 of the Law of the Republic of Kazakhstan "About the state statistics" the Board of National Bank of the Republic of Kazakhstan DECIDES:

1. Approve:

1) the list of the reporting of large members of banks of the second level, bank holdings, large members of the insurance (reinsurance) organizations, insurance holdings, large members of managing directors of investment portfolio, banks of the second level according to appendix 1 to this resolution;

2) report form about the income and property of the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is physical person according to appendix 2 to this resolution;

3) report form about the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of the investment portfolio which is physical person according to appendix 3 to this resolution;

4) report form about officials of the large member of bank of the second level, the insurance (reinsurance) organization who is the legal entity, bank holding, insurance holding according to appendix 4 to this resolution;

5) report form about the organizations in which the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is the legal entity bank holding and insurance holding is participant (shareholder), according to appendix 5 to this resolution;

6) report form about large members (shareholders) of the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is the legal entity, bank holding, insurance holding, and also the information about persons exercising control over the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio, being the legal entity, bank holding, insurance holding according to appendix 6 to this resolution;

7) report form about transactions with connected, including affiliates, concluded during the accounting period, and also acting as of reporting date, and the register connected, including affiliates, according to appendix 7 to this resolution;

8) report form about disaggregation of working tables on creation of consolidated financial statements according to appendix 8 to this resolution;

9) form of the consolidated and unconsolidated financial reporting and the explanatory note to it according to appendix 9 to this resolution;

10) report form about the change of quantity and (or) percentage ratio of bank shares of the second level, the insurance (reinsurance) organization belonging to the large member of bank of the second level, the insurance (reinsurance) organization, being legal entity or physical person, to bank holding, insurance holding and also sources of the means used for share acquisition according to appendix 10 to this resolution;

11) report form about all obligations of members of insurance group to the third parties (group of persons), components ten and more percent from equity of insurance group acting as of reporting date according to appendix 11 to this resolution;

12) report form about the intra group bargains of insurance group concluded during the accounting period, and also existing as of reporting date according to appendix 12 to this resolution;

13) report form about the rights to claim transferred the affiliated organization acquiring doubtful and bad assets of parent bank according to appendix 13 to this resolution;

14) report form about the property transferred to the affiliated organization acquiring doubtful and bad assets of parent bank as doubtful and bad asset and to independently acquired property, according to appendix 14 to this resolution;

15) report form about the property which carried over the affiliated organization acquiring doubtful and bad assets of parent bank as a result of the address of collection on pledged property according to appendix 15 to this resolution;

16) Rules of submission of the reporting by large members of banks of the second level, bank holdings, large members of the insurance (reinsurance) organizations, insurance holdings, large members of managing directors of investment portfolio, banks of the second level according to appendix 16 to this resolution.

2. Large members of banks of the second level, bank holdings, large members of the insurance (reinsurance) organizations, insurance holdings, large members of managing directors of investment portfolio, banks of the second level represent to National Bank of the Republic of Kazakhstan in electronic format the following reporting:

1) the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is physical person, the reporting provided by subitems 2) and 3) of Item 1 of this resolution, annually, no later than 120 (hundred twenty) calendar days upon termination of financial year;

2) the large member of bank of the second level who is legal resident person of the Republic of Kazakhstan, the bank holding which is resident of the Republic of Kazakhstan, except for the banks of the second level having the status of the large member of bank of the second level or bank holding:

the reporting provided by subitems 4), 5) and 7) of Item 1 of this resolution, quarterly, no later than 30 (thirty) calendar days following reporting quarter;

the reporting provided by the subitem 6) of Item 1 of this resolution, quarterly, no later than 10 (tenth) following reporting quarter;

3) the insurance holding which is resident of the Republic of Kazakhstan, except for the banks of the second level having the status of insurance holding, and also the insurance (reinsurance) organization having the status of insurance holding, the reporting provided by subitems 4), 5), 6) and 7) of Item 1 of this resolution, quarterly, no later than 30 (thirty) calendar days following reporting quarter;

4) the large member of the insurance (reinsurance) organization who is legal resident person of the Republic of Kazakhstan, except for the banks of the second level having the status of the large member of the insurance (reinsurance) organization, and also the insurance (reinsurance) organization having the status of the large member of the insurance (reinsurance) organization, the reporting provided by subitems 4), 5), 6), 7) and 9) of Item 1 of this resolution, annually, no later than 30 (thirty) calendar days upon termination of financial year;

5) the large member of the insurance (reinsurance) organization who is legal resident person of the Republic of Kazakhstan in case of absence at the insurance (reinsurance) organization of insurance holding, except for the banks of the second level having the status of the large member of the insurance (reinsurance) organization, and also the insurance (reinsurance) organization having the status of the large member of the insurance (reinsurance) organization or insurance holding, the reporting provided by subitems 4), 5), 6) and 7) of Item 1 of this resolution, quarterly, no later than 30 (thirty) calendar days following reporting quarter;

6) the large member of the managing director of investment portfolio who is legal resident person of the Republic of Kazakhstan, except for the banks of the second level having the status of the large member of the managing director of the investment portfolio, the reporting provided by subitems 5), 6) and 7) of Item 1 of this resolution:

quarterly, no later than 30 (thirty) calendar days following reporting quarter;

annually, no later than 30 (thirty) calendar days upon termination of financial year;

7) the bank holding, the bank of the second level which does not have bank holding which are part of banking conglomerate, insurance holding, being part of insurance group, the reporting provided by the subitem 8) of Item 1 of this resolution:

quarterly, no later than 60 (sixty) calendar days following reporting quarter;

annually, not later 31 on the (thirty first) of May (inclusive) the year following after accounting year;

8) the large member of bank of the second level who is legal resident person of the Republic of Kazakhstan, the bank holding which is resident of the Republic of Kazakhstan, the bank of the second level which does not have bank holding, being part of banking conglomerate, the insurance holding which is resident of the Republic of Kazakhstan, the large member of the managing director of investment portfolio who is legal resident person of the Republic of Kazakhstan, except for banks of the second level, the reporting provided by the subitem 9) of Item 1 of this resolution regarding consolidated financial statements:

quarterly, no later than 60 (sixty) calendar days following reporting quarter;

annually, not later 31 on the (thirty first) of May (inclusive) the year following after accounting year;

regarding the unconsolidated financial reporting:

quarterly, no later than 30 (thirty) calendar days following reporting quarter;

annually, not later 31 on the (thirty first) of May (inclusive) the year following after accounting year;

9) the large member of the insurance (reinsurance) organization who is legal resident person in case of absence at the insurance (reinsurance) organization of insurance holding, the reporting provided by the subitem 9) of Item 1 of this resolution regarding the unconsolidated financial reporting:

quarterly, no later than 30 (thirty) calendar days following reporting quarter;

annually, no later than 120 (hundred twenty) calendar days upon termination of financial year;

10) the large member of bank of the second level, the insurance (reinsurance) organization, being legal entity or physical person, bank holding, insurance holding the reporting provided by the subitem 10) of Item 1 of this resolution within 30 (thirty) calendar days from the date of decision making about change of quantity and (or) percentage ratio of the stocks owned by it;

11) the insurance holding which is part of insurance group, the reporting provided by subitems 11) and 12) of Item 1 of this resolution, quarterly no later than 60 (sixty) calendar days following reporting quarter;

12) the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is the legal entity, bank holding, insurance nonresident holding of the Republic of Kazakhstan, annually, no later than 150 (hundred fifty) calendar days upon termination of financial year, consolidated, in the presence the unconsolidated annual financial reporting and the explanatory note to it certified by auditing organization in the Kazakh or Russian languages.

The explanatory note is constituted according to requirements of the relevant supervisory authority of the country of the location;

13) bank nonresident holding of the Republic of Kazakhstan the reporting provided by the subitem 6) of Item 1 of this resolution, quarterly no later than 10 (tenth) following reporting quarter.

14) the banks of the second level having the affiliated organization acquiring doubtful and bad assets of parent bank, the reporting provided by subitems 13), 14) and 15) of Item 1 of this resolution, quarterly, no later than 30 (thirty) calendar days following reporting quarter.

3. Declare invalid the resolution of Board of National Bank of the Republic of Kazakhstan of August 27, 2013 No. 229 "About approval of Rules of submission of the reporting by large members of banks, bank holdings, large members of the insurance (reinsurance) organizations, insurance holdings and reporting forms" (registered in the Register of state registration of regulatory legal acts No. 8855, published on December 10, 2013 in the Yuridicheskaya Gazeta newspaper No. 185 (2560).

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" 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.

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 Pirmatov G. O.

7. This resolution becomes effective after ten calendar days after day of its first official publication.

It is approved Deputy chairman of Committee according to the statistics Ministries of national economy of the Republic of Kazakhstan January 23, 2017

G. Kerimkhanova

Appendix 1

to the Resolution of Board of National Bank of the Republic of Kazakhstan of December 26, 2016 No. 315

List of the reporting of large members of banks of the second level, bank holdings, large members of the insurance (reinsurance) organizations, insurance holdings, large members of managing directors of investment portfolio, banks of the second level

The reporting of large members of banks of the second level, bank holdings, large members of the insurance (reinsurance) organizations, insurance holdings, large members of managing directors of investment portfolio, banks of the second level includes:

1) report form about the income and property of the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is physical person;

2) report form about the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of the investment portfolio which is physical person;

3) report form about officials of the large member of bank of the second level, the insurance (reinsurance) organization who is the legal entity, bank holding, insurance holding;

4) report form about the organizations in which the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is the legal entity bank holding and insurance holding is participant (shareholder);

5) report form about large members (shareholders) of the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is the legal entity of bank holding, insurance holding, and also the information about persons exercising control over the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio being the legal entity, bank holding, insurance holding;

6) report form about transactions with connected, including affiliates, concluded during the accounting period, and also acting as of reporting date, and the register connected, including affiliates;

7) report form about disaggregation of working tables on creation of consolidated financial statements;

8) form of the consolidated and unconsolidated financial reporting and the explanatory note to it;

9) report form about the change of quantity and (or) percentage ratio of bank shares of the second level, the insurance (reinsurance) organization belonging to the large member of bank of the second level, the insurance (reinsurance) organization, being legal entity or physical person, to bank holding, insurance holding and also sources of the means used for share acquisition;

10) report form about all obligations of members of insurance group to the third parties (group of persons), components ten and more percent from equity of insurance group acting as of reporting date;

11) report form about the intra group bargains of insurance group concluded during the accounting period, and also existing as of reporting date;

12) report form about the rights to claim transferred the affiliated organization acquiring doubtful and bad assets of parent bank;

13) report form about the property transferred to the affiliated organization acquiring doubtful and bad assets of parent bank as doubtful and bad asset and to independently acquired property;

14) report form about the property which carried over the affiliated organization acquiring doubtful and bad assets of parent bank as a result of the address of collection on pledged property.

Appendix 2

to the Resolution of Board of National Bank of the Republic of Kazakhstan of December 26, 2016 No. 315

The form intended for collection of administrative data

It is represented: in National Bank of the Republic of Kazakhstan

The form of administrative data is placed on Internet resource: www.nationalbank.kz

The income statement and property of the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is physical person

Index of form of administrative data: KUFL_F2

Frequency: annual

Accounting period: as of "___" "__________" 20 __ years of c "___" "________" 20 ___ years on "___" "________" 20 ___ years

The group of people, providing information: the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio who is physical person

Term of representation of form of administrative data: annually, no later than 120 (hundred twenty) calendar days upon termination of financial year

Form

Table 1. The gained income and other cash receipts

(in thousands of tenges)

№	Name of income type and other cash receipts	Amount
1	2	3
1.	Income and other cash receipts, everything, including:
1.1	salary and other remuneration of labor activity
1.2	dividends and the income from shares in the authorized capital (shares) of the organizations which are owned by the large member of bank of the second level, the insurance (reinsurance) organization, the managing director of investment portfolio (with disaggregation)
1.2.1
1.2.n
1.3	the paid remuneration on deposits
1.4	the paid remuneration on the securities, shares which are in management of mutual investment fund
1.5	income from leasing of property
1.6	other entrepreneurial incomes (with disaggregation)
1.6.1
1.6.n
1.7	sale of property
1.8	receipt of loans
1.9	receipt of the financial, financial and sponsor's aid
1.10	receipt of property in gift
1.11	other (with disaggregation)
1.11.1
1.11.n

Table 2. Data on property

№	Name of type of property	Property value (in thousands of tenges) by the end of the reporting period	Liquidity degree
1	2	3	4
1.	Property, everything, including:
1.1	money of everything, including: 1) cash: in national currency; in foreign currency; 2) on bank accounts in banks of the second level: in national currency; in foreign currency; 3) on bank accounts in foreign banks in foreign currency; 4) in other form (with disaggregation)
1.1.4.1
1.1.4.n
1.2	the affined precious metals and products from them
1.3	real estate (with disaggregation)
1.3.1
1.3.n

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