On Approval of the Rules for Submission by Digital Financial Assets Platform Operators and Digital Assets Trading Platform Operators of Information to the Central Securities Depository

REPUBLICAN STATE INSTITUTION "NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN"		REPUBLICAN STATE INSTITUTION "AGENCY OF THE REPUBLIC OF KAZAKHSTAN FOR REGULATION AND DEVELOPMENT OF THE FINANCIAL MARKET"
April 29, 2026 No. 46 Astana city		May 5, 2026 No. 90 Almaty city

JOINT DECISION

On Approval of the Rules for Submission by Digital Financial Assets Platform Operators and Digital Assets Trading Platform Operators of Information to the Central Securities Depository

In accordance with subparagraph 9) of part two of paragraph 1 of Article 4 and part two of paragraph 6 of Article 6 of the Law of the Republic of Kazakhstan "On Digital Assets in the Republic of Kazakhstan", the Board of the National Bank of the Republic of Kazakhstan and the Board of the Agency of the Republic of Kazakhstan for Regulation and Development of the Financial Market DECIDE:

1. Approve the attached Rules for Submission by Digital Financial Assets Platform Operators and Digital Assets Trading Platform Operators of Information to the Central Securities Depository.

2. The Department of Payment Systems and Digital Financial Technologies of the National Bank of the Republic of Kazakhstan shall, in the manner established by the legislation of the Republic of Kazakhstan, ensure:

1) jointly with the Legal Department of the National Bank of the Republic of Kazakhstan, the state registration of this joint decision in the Ministry of Justice of the Republic of Kazakhstan;

2) placement of this joint decision on the official website of the National Bank of the Republic of Kazakhstan after its official publication;

3) within ten working days after the state registration of this joint decision, submission to the Legal Department of the National Bank of the Republic of Kazakhstan of information on the implementation of the activity provided for in subparagraph 2) of this paragraph.

3. Supervision over the implementation of this joint decision shall be entrusted to the Deputy Chairmen of the National Bank of the Republic of Kazakhstan and the Deputy Chairman of the Agency of the Republic of Kazakhstan for Regulation and Development of the Financial Market responsible for the relevant areas.

4. This joint decision enters into force on May 1, 2026 and is subject to official publication.

Chairman Chairman		Suleimenov T.M. Abylkasymova M.E.

Approved by joint decision of the Board of the National Bank of the Republic of Kazakhstan of April 29, 2026 No. 46 and the Board of the Agency of the Republic of Kazakhstan for Regulation and Development of the Financial Market of May 5, 2026 No. 90

Rules for Submission by Digital Financial Assets Platform Operators and Digital Assets Trading Platform Operators of Information to the Central Securities Depository

Chapter 1. General Provisions

1. These Rules for Submission by Digital Financial Assets Platform Operators and Digital Assets Trading Platform Operators of Information to the Central Securities Depository (hereinafter – the Rules) are developed in accordance with subparagraph 9) of part two of paragraph 1 of Article 4 and part two of paragraph 6 of Article 6 of the Law of the Republic of Kazakhstan "On Digital Assets in the Republic of Kazakhstan" (hereinafter – the Digital Assets Law) and define:

1) the procedure for submission by Digital Financial Assets platform operators and Digital Assets Trading platform operators of information to the Central Securities Depository (hereinafter – the Central Depository);

2) the procedure for maintaining by Digital Financial Assets platform operators of a registry of holders of digital financial assets, the list of other information subject to accounting and storage in the registry of holders of digital financial assets;

3) other issues of interaction between Digital Financial Assets platform operators, Digital Assets Trading platform operators and the Central Depository.

2. The Rules use the concepts provided for by the Digital Assets Law, the Law of the Republic of Kazakhstan "On the Securities Market".

Chapter 2. Procedure for Submission by Digital Financial Assets Platform Operators, Digital Assets Trading Platform Operators of Information to the Central Securities Depository

3. A Digital Financial Assets platform operator submits to the Central Depository information on the issuance of digital financial assets, which includes the registration number, quantity and type of digital financial assets, the volume of issuance of digital financial assets and other information established by the code of rules of the Central Depository.

4. A Digital Financial Assets platform operator and a Digital Assets Trading platform operator submit to the Central Depository information on holders of digital financial assets, which includes the surname, first name and patronymic (if any), individual identification number, business identification number of the holder of the digital financial asset with indication of the name (if available), registration number, quantity and type of digital financial assets, quantity of announced and placed digital financial assets, as well as other information established by the code of rules of the Central Depository.

5. A Digital Financial Assets platform operator submits the information provided for in paragraph 3 of the Rules no later than 1 (one) working day following the day of registration of the issuance of digital financial assets.

6. A Digital Financial Assets platform operator, a Digital Assets Trading platform operator submit the information provided for in paragraph 3 of the Rules no less than 1 (one) time per day as of 00:00 hours Astana time.

The method of transmission of information and the procedure for interaction between the Digital Financial Assets platform operator and the Digital Assets Trading platform operator with the Central Depository are determined by the Rules and the code of rules of the Central Depository.

7. The Central Depository uses information received from Digital Financial Assets platform operators and Digital Assets Trading platform operators for the formation and maintenance of the registry system of holders of digital financial assets.

8. Upon receipt of information from a Digital Financial Assets platform operator and a Digital Assets Trading platform operator, the Central Depository carries out reconciliation of information between the total volume of digital financial assets fixed at issuance (less redeemed ones) and the total quantity of digital financial assets in the digital asset wallets of users of Digital Financial Assets platform operators, Digital Assets Trading platform operators, issuers of digital financial assets and own digital asset wallets of Digital Financial Assets platform operators, Digital Assets Trading platform operators. In the event of detection of an excess of the quantity of digital financial assets held by holders of digital financial assets over the total volume of issued digital financial assets, the Central Depository informs in writing about such excess within 3 (three) working days from the date of detection of the excess:

the authorized body for regulation, control and supervision of the financial market and financial organizations – for digital financial assets provided for in subparagraphs 2) and 3) of Article 5 of the Digital Assets Law;

Digital Financial Assets platform operators;

Digital Assets Trading platform operators.

9. The Central Depository, if necessary, requests from a Digital Financial Assets platform operator, a Digital Assets Trading platform operator additional information necessary for the formation of an up-to-date registry system of holders of digital financial assets.

A Digital Financial Assets platform operator, a Digital Assets Trading platform operator within 3 (three) working hours from the moment of receipt of the notification sends the requested information to the Central Depository.

10. Upon request of the Central Depository, a Digital Financial Assets platform operator and a Digital Assets Trading platform operator provide information (extract) on transactions of a specific holder of a digital financial asset for the requested period within a term of no more than 2 (two) working days for the purpose of conducting a selective reconciliation or execution of requests from law enforcement and special state bodies.

11. In the event of a technical failure in the transmission of information, a Digital Financial Assets platform operator and a Digital Assets Trading platform operator notify the Central Depository within 5 (five) hours from the moment of detection of such failure, but no later than the deadline for submission of information.

12. A Digital Financial Assets platform operator and a Digital Assets Trading platform operator are responsible for the completeness and accuracy of the submitted information.

13. A Digital Financial Assets platform operator and a Digital Assets Trading platform operator, when transmitting information to the Central Depository, ensure the confidentiality of information in compliance with the requirements of the Law of the Republic of Kazakhstan "On Personal Data and Their Protection".

Chapter 3. Procedure for Maintenance by Digital Financial Assets Platform Operators of the Registry of Holders of Digital Financial Assets, List of Other Information Subject to Accounting and Storage in the Registry of Holders of Digital Financial Assets

14. The registry of holders of digital financial assets contains the following information:

1) on holders of digital financial assets and digital financial assets owned by them;

2) on the issuer of digital financial assets, on the organization for storage of the base asset of the digital financial asset (if any) and issuances of digital financial assets of the issuer;

3) on registered restrictions (encumbrances) on the circulation or realization of rights to digital financial assets;

4) on the addresses of digital asset wallets of holders of digital financial assets;

5) on the type, quantity of digital financial assets accounted for in digital asset wallets;

6) on claims to obligations of the issuer on digital financial assets;

7) on transactions conducted in the registry of holders of digital financial assets and the grounds for their conduct;

8) on the transaction amount in the event of execution by the Digital Financial Assets platform operator of an order to debit (credit) digital financial assets (claims to obligations of the issuer on digital financial assets) from (to) wallets (wallets) of digital asset holders of digital financial assets.

15. A Digital Financial Assets platform operator ensures the accuracy of the information contained in the registry of holders of digital financial assets in online mode.

16. Information contained in the registry of holders of digital financial assets must be sufficient for the Digital Financial Assets platform operator to transmit all necessary information to the Central Depository for the purpose of its maintenance of the registry system of holders of digital financial assets.

Chapter 4. Other Issues of Interaction between Digital Financial Assets Platform Operators, Digital Assets Trading Platform Operators and the Central Depository

17. The procedure for interaction between a Digital Financial Assets platform operator and a Digital Assets Trading platform operator with the Central Depository, including the procedure for storage of transmitted information and history of information exchange, is determined by the code of rules of the Central Depository.

18. A Digital Financial Assets platform operator and a Digital Assets Trading platform operator, when interacting with the Central Depository, ensure the immutability of transmitted information and prevent unauthorized access to information.

19. Changes to the formats of transmitted information are initiated by a Digital Financial Assets platform operator, a Digital Assets Trading platform operator and/or the Central Depository.

20. To ensure uninterrupted interaction, a Digital Financial Assets platform operator, a Digital Assets Trading platform operator and the Central Depository appoint responsible employees for technical support and information exchange.

21. Technical regulations for the interaction of the Central Depository with a Digital Financial Assets platform operator, a Digital Assets Trading platform operator are established by the code of rules of the Central Depository.