Resolution of the Board of the National Bank of the Republic of Kazakhstan dated October 29, 2018 No. 263 "On Approval of the List, Forms, and Reporting Deadlines for the Central Depository and Rules for Their Submission"

REPUBLICAN STATE INSTITUTION
"NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN"		RESOLUTION OF THE BOARD

On approval of the list, forms, deadlines for reporting by the central depository and Rules for their submission

In accordance with the Laws of the Republic of Kazakhstan of August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan", of July 2, 2003 "On the Securities Market", of July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations", of March 19, 2010 "On State Statistics" and for the purpose of improving the normative legal acts of the Republic of Kazakhstan, the Board of the National Bank of the Republic of Kazakhstan RESOLVES:

1. Approve
2. the list of reporting by the central depository according to Appendix 1 to this resolution;
3. the form of the report on client accounts according to Appendix 2 to this resolution;
4. the form of the report on transactions with persons having special relations with the central depository concluded during the reporting quarter, as well as those in effect on the reporting date, and the register of persons having special relations with the central depository according to Appendix 3 to this resolution;
5. the form of the report on operations in the secondary market for securities with state securities of the Republic of Kazakhstan according to Appendix 4 to this resolution;
6. the form of the report on operations with state securities of the Republic of Kazakhstan by sectors and sub-sectors of the economy according to Appendix 5 to this resolution;
7. the form of the report on operations conducted in the accounting system of the central depository with non-state securities by sectors and sub-sectors of the economy according to Appendix 6 to this resolution;
8. the form of the report on holders of short-term notes of the National Bank of the Republic of Kazakhstan according to Appendix 7 to this resolution;
9. the form of the report on operations with securities of local executive bodies according to Appendix 8 to this resolution;
10. the form of the report on balances of securities of the Ministry of Finance of the Republic of Kazakhstan held on main accounts of non-residents of the Republic of Kazakhstan according to Appendix 9 to this resolution;
11. the form of the report on depositors of the central depository according to Appendix 10 to this resolution;
12. the form of the report on depositors and their clients according to Appendix 11 to this resolution;
13. the form of the report on securities held in nominal custody by the central depository according to Appendix 12 to this resolution;
14. the form of the report on securities issued in accordance with the legislation of a foreign country held in nominal custody by the central depository according to Appendix 13 to this resolution;
15. the form of the report on the number of holders of shares (stocks) of investment funds according to Appendix 14 to this resolution;
16. the form of the report on transactions with financial instruments held in nominal custody by the central depository according to Appendix 15 to this resolution;
17. the form of the report on operations with state securities of the Republic of Kazakhstan according to Appendix 16 to this resolution;
18. the form of the report on operations for the transfer of financial instruments according to Appendix 17 to this resolution;
19. the form of the report on the results of activities for maintaining the registry system of security holders according to Appendix 18 to this resolution;
20. the form of the report on voting shares of issuers according to Appendix 19 to this resolution;
21. the form of the report on the register of share holders according to Appendix 20 to this resolution;
22. Rules for the submission of reporting by the central depository according to Appendix 21 to this resolution.
23. Recognize as losing force certain resolutions of the Board of the National Bank of the Republic of Kazakhstan according to Appendix 22 to this resolution.
24. The Central Depository submits to the National Bank of the Republic of Kazakhstan in electronic format:
25. weekly - reporting provided for in subparagraph 16) of paragraph 1 of this resolution, by the third working day following the reporting week;
26. monthly - reporting provided for in subparagraph 11) of paragraph 1 of this resolution, by the fifth working day of the month following the reporting month;
27. monthly - reporting provided for in subparagraphs 4), 5), 6), 7), 8), 15) and 19) of paragraph 1 of this resolution, by the tenth day of the month following the reporting month;
28. monthly - reporting provided for in subparagraph 20) of paragraph 1 of this resolution, by the twentieth day of the month following the reporting month;
29. quarterly - reporting provided for in subparagraphs 9), 10), 12), 13) and 14) of paragraph 1 of this resolution, by the fifth working day of the month following the reporting quarter;
30. quarterly - reporting provided for in subparagraphs 2) and 3) of paragraph 1 of this resolution, by the twentieth day of the month following the reporting quarter;
31. quarterly - reporting provided for in subparagraphs 17) and 18) of paragraph 1 of this resolution, by the thirtieth day of the month following the reporting quarter.

4. The Department of Regulation of Non-Bank Financial Organizations (Koшерbaeva A.M.) shall ensure in the manner established by the legislation of the Republic of Kazakhstan:

1) jointly with the Legal Department (Sarsenova N.V.) the state registration of this resolution in the Ministry of Justice of the Republic of Kazakhstan;

2) within ten calendar days from the date of state registration of this resolution, its sending in Kazakh and Russian languages to the Republican State Enterprise on the right of economic management "Republican Center for Legal Information" for official publication and inclusion in the Reference Control Bank of Normative Legal Acts of the Republic of Kazakhstan;

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

4) within ten working days after the state registration of this resolution, submitting to the Legal Department information on the execution of measures provided for in subparagraphs 2), 3) of this paragraph, and paragraph 5 of this resolution.

5. The Department for Protection of Rights of Consumers of Financial Services and External Communications (Terentyev A.L.) shall ensure within ten calendar days after the state registration of this resolution the sending of its copy for official publication in periodic printed editions.

6. Control over the implementation of this resolution is entrusted to the Deputy Chairman of the National Bank of the Republic of Kazakhstan Kurmanov Zh.B.

7. This resolution enters into force on January 1, 2019.

Chairman

of the National Bank D. Akishev

"AGREED"

Chairman of the Committee for Statistics
Ministry of National Economy
Republic of Kazakhstan

______ N. Aidapkellov

"__" ______ 2018

Appendix 1

to Resolution of the Board

National Bank of

the Republic of Kazakhstan

of October 29, 2018 No. 263

List of reporting by the central depository

The list of reporting by the central depository includes:

• 1. report on client accounts;
  2. report on transactions with persons having special relations with the central depository concluded during the reporting quarter, as well as those in effect on the reporting date, and the register of persons having special relations with the central depository;
• 1. report on operations in the secondary market for securities with state securities of the Republic of Kazakhstan;
  2. report on operations with state securities of the Republic of Kazakhstan by sectors and sub-sectors of the economy;
  3. report on operations conducted in the accounting system of the central depository with non-state securities by sectors and sub-sectors of the economy;
  4. report on holders of short-term notes of the National Bank of the Republic of Kazakhstan;
  5. report on operations with securities of local executive bodies;
  6. report on balances of securities of the Ministry of Finance of the Republic of Kazakhstan held on main accounts of non-residents of the Republic of Kazakhstan;
  7. report on depositors of the central depository;
  8. report on depositors and their clients;
  9. report on securities held in nominal custody by the central depository;
  10. report on securities issued in accordance with the legislation of a foreign country held in nominal custody by the central depository;
  11. report on the number of holders of shares (stocks) of investment funds;
  12. report on transactions with financial instruments held in nominal custody by the central depository;
  13. report on operations with state securities of the Republic of Kazakhstan;
  14. report on operations for the transfer of financial instruments;
  15. report on the results of activities for maintaining the registry system of security holders;
  16. report on voting shares of issuers;
  17. report on the register of share holders.

Appendix 2

to Resolution of the Board

National Bank of

the Republic of Kazakhstan

of October 29, 2018 No. 263

Form intended for the collection of administrative data

Report on Client Accounts

Reporting period: as of "_" ______ 20 year

Index: OSC_2

Frequency: quarterly

Submitted by: central depository

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

Submission deadline: quarterly, by the twentieth day (inclusive) of the month following the reporting quarter

Form

---

(full name of the organization)

(in thousands of tenge)

No. p/p	Client Accounts		Legal Entities
Resident Banks	Non-resident Banks	Other Legal Entities
1	2		3	4	5
1	Current Accounts	Total, including
in foreign currency
2	Correspondent Accounts	Total, including
in foreign currency
3	Other Accounts	Total, including
in foreign currency
4	Total	Total, including
in foreign currency

First Head or Person Authorized by Him to Sign the Report

---

surname, first name, patronymic (if any) (signature)

Chief Accountant or Person Authorized by Him to Sign the Report

---

surname, first name, patronymic (if any) (signature)

Head of the Responsible Unit or Person Authorized by Him to Sign the Report

---

surname, first name, patronymic (if any) (signature)

Executor: ______ ______

surname, first name, patronymic (if any) (signature)

Phone Number ______

Date of signing the report "" ______ 20 year

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

Appendix

to the form of the report on client accounts

Explanation for filling out the form intended for the collection of administrative data

Report on Client Accounts

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines uniform requirements for filling out the form intended for the collection of administrative data "Report on Client Accounts" (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan of July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".

3. The Form is compiled by the central depository quarterly as of the end of the reporting period. Data in the Form are filled in thousands of tenge. An amount less than 500 (five hundred) tenge is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (one thousand) tenge.

4. The Form is signed by the first head, chief accountant, head of the responsible unit or persons authorized by them to sign the report, and the executor.

Chapter 2. Explanation for Filling out the Form

5. The Form indicates information on current, correspondent and other accounts opened in the central depository, broken down by legal entities, in tenge and in foreign currency.

6. Columns 3, 4, 5 indicate money balances on accounts.

7. In the absence of information, the Form is submitted with zero balances.

Appendix 3

to Resolution of the Board

National Bank of

the Republic of Kazakhstan

of October 29, 2018 No. 263

Form intended for the collection of administrative data

Report on Transactions with Persons Having Special Relations with the Central Depository Concluded During the Reporting Quarter, as Well as Those in Effect on the Reporting Date, and Register of Persons Having Special Relations with the Central Depository

Reporting period: as of "" "_" 20 year

Index: SR_3

Frequency: quarterly

Submitted by: central depository

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

Submission deadline: quarterly, by the twentieth day (inclusive) of the month following the reporting quarter

Form

---

(full name of the organization)

Table 1. Transactions with persons having special relations with the central depository concluded during the reporting quarter, as well as those in effect as of "" "_" 20 year.

No. p/p	Name/Surname, First Name, Patronymic (if any) of the person	Business Identification Number (for a legal entity), Individual Identification Number (for a physical person, including individual entrepreneur)	Country of Residence	Sign according to which the person is classified as a person having special relations with the central depository	Type of Operation	Purpose of Transaction	Contract No.	Date of Conclusion (date of commencement of performance of conditions) of the contract
1	2	3	4	5	6	7	8	9
	Total

continuation of the table

Date of Expiration (date of completion of performance of conditions) of the contract	Details of the decision of the Board of Directors of the central depository or general meeting of shareholders (in case of absence of a board of directors)	Transaction Amount under the Contract (in thousands of tenge)	Currency Type	Type of Collateral	Value of Collateral (in thousands of tenge)		Remuneration (as a percentage per annum)
Total	of which the value of collateral included in the calculation of reserves (provisions) in accordance with the requirements of international financial reporting standards	by a person having special relations with the central depository	by the central depository in favor of a person having special relations with the central depository	in accordance with internal documents of the central depository
10	11	12	13	14	15	16	17	18	19

continuation of the table

Accrued Income/Expenses		Current Balance on the Reporting Date		Amount of Created Reserves (Provisions) in accordance with the requirements of International Financial Reporting Standards	Details of the decision of the Board of Directors of the organization carrying out certain types of banking operations or general meeting of shareholders (in cases provided for by the legislation of the Republic of Kazakhstan)	Note
Amount (in thousands of tenge)	Balance Sheet Account	Amount (in thousands of tenge)	Balance Sheet Account
20	21	22	23	24	25	26

The total amount of transactions of the central depository with persons having special relations with it, amounts of which for each type of operation of the central depository with a person having special relations with it, does not exceed 0.01 percent in aggregate of the size of the own capital of the central depository as of "__" _____ 20 __ year, amounts to ______ thousand tenge.

The Central Depository confirms that preferential terms were not provided to persons having special relations with the central depository in the reporting quarter and no other transactions were carried out by the central depository other than those indicated in Table 1.

Table 2. Register of persons having special relations with the central depository as of "" "_" 20 year

No. p/p	Business Identification Number (for a legal entity), Individual Identification Number (for a physical person, including individual entrepreneur)	Name/Surname, First Name, Patronymic (if any) of the person	Country of Residence	Sign according to which the person is classified as a person having special relations with the central depository
1	2	3	4	5

First Head or Person Authorized by Him to Sign the Report

---

surname, first name, patronymic (if any) (signature)

Chief Accountant or Person Authorized by Him to Sign the Report

---

surname, first name, patronymic (if any) (signature)

Head of the Responsible Unit or Person Authorized by Him to Sign the Report

---

surname, first name, patronymic (if any) (signature)

Executor: ______ ______

surname, first name, patronymic (if any) (signature)

Phone Number ______

Date of signing the report "" ______ 20 year

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

Appendix

to the form of the report on transactions with persons having special relations with the central depository concluded during the reporting quarter, as well as those in effect on the reporting date, and register of persons having special relations with the central depository

Explanation for filling out the form intended for the collection of administrative data

Report on Transactions with Persons Having Special Relations with the Central Depository Concluded During the Reporting Quarter, as Well as Those in Effect on the Reporting Date, and Register of Persons Having Special Relations with the Central Depository

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines uniform requirements for filling out the form intended for the collection of administrative data "Report on Transactions with Persons Having Special Relations with the Central Depository Concluded During the Reporting Quarter, as Well as Those in Effect on the Reporting Date, and Register of Persons Having Special Relations with the Central Depository" (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan of July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".

3. The Form is compiled by the central depository quarterly and indicates data on transactions concluded during the reporting period, as well as on transactions in effect as of the end of the reporting period. Data in the Form are filled in thousands of tenge. An amount less than 500 (five hundred) tenge is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (one thousand) tenge.

4. The Form is signed by the first head, chief accountant, head of the responsible unit or persons authorized by them to sign the report, and the executor.

Chapter 2. Explanation for Filling out the Form

5. The Form indicates information on all transactions of the central depository with persons having special relations with the central depository concluded during the reporting period, as well as those in effect on the reporting date (Table 1), and on persons having special relations with the central depository (Table 2) on the reporting date, except for information on legal entities in which the National Bank of the Republic of Kazakhstan, officials of the National Bank of the Republic of Kazakhstan and (or) their spouses and close relatives are major participants or officials in said legal entities.

6. The sign of a person's connection with the central depository is determined in accordance with the Law of the Republic of Kazakhstan of August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan".

7. Persons may have one or several signs of connection with special relations with the central depository and when filling out Table 2 all signs are indicated.

8. In Table 1, information is indicated on all transactions of the central depository with persons having special relations with it, the sum of which for each type of operation of the central depository with a person having special relations with it, exceeds 0.01 percent in aggregate of the size of the own capital of the central depository.

9. If the own capital of the central depository has a negative value, in Table 1, information is indicated on all transactions of the central depository with persons having special relations with it, the sum of which for each type of operation of the central depository with a person having special relations with it, exceeds 0.001 percent in aggregate of the size of assets of the central depository.

10. In column 2 of Table 1, for a physical person, surname and first name are indicated mandatory, patronymic - if available.

11. In columns 14, 15 and 16 of Table 1, information is indicated on transactions whose conditions imply the presence of collateral.

12. In columns 17, 18 and 19 of Table 1, information is indicated on transactions whose conditions imply the payment of remuneration.

13. In column 20 of Table 1, the amount of accrued income or expense accumulated since the beginning of the current year is indicated.

14. If at the time of concluding the transaction the person was not a person related to the central depository by special relations, in column 2 of Table 1 it is indicated: “the person is related to the central depository by special relations from ______ (date indicating day, month and year)”.

15. Table 2 lists all persons related to the central depository by special relations, including those with whom transactions were not concluded.

16. In the absence of information, the Form is submitted with zero balances.

Appendix 4
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated October 29, 2018 No. 263

Form intended for the collection of administrative data

Report on operations in the secondary market of securities with state securities of the Republic of Kazakhstan

Reporting period: as of “” “_” 20 year

Index: OVRGSB_4

Frequency: monthly

Submitted by: central depository

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

Submission deadline: monthly, by the tenth day (inclusive) of the month following the reporting month

Form

---

(full name of the organization)

for the period from ___ to _____

in thousands of tenge

No. p/p	Type of security	Security issue number	Volume of security	Quantity of security	Annual yield of security	Maturity date of security
1	2	3	4	5	6	7
1
2
3

First head or person authorized by him to sign the report

---

surname, first name, patronymic (if any) (signature)

Chief accountant or person authorized by him to sign the report

---

surname, first name, patronymic (if any) (signature)

Head of the responsible department or person authorized by him to sign the report

---

surname, first name, patronymic (if any) (signature)

Executor: ______ ______

surname, first name, patronymic (if any) (signature)

Phone number ______

Date of signing the report “” ______ 20 year

Note: an explanation on how to fill out the form intended for the collection of administrative data is provided in the appendix to this form.

Appendix
to the report form on operations in the secondary market of securities with state securities of the Republic of Kazakhstan

Explanation on filling out the form intended for the collection of administrative data

Report on operations in the secondary market of securities with state securities of the Republic of Kazakhstan

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the form intended for the collection of administrative data “Report on operations in the secondary market of securities with state securities of the Republic of Kazakhstan” (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 15) of paragraph 2 of Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 “On the Securities Market” and subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 “On State Regulation, Control and Supervision of the Financial Market and Financial Organizations.”

3. The Form is compiled by the central depository monthly as of the end of the reporting period. Data in the Form are filled in thousands of tenge. An amount less than 500 (five hundred) tenge is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (one thousand) tenge.

4. The Form is signed by the first head, chief accountant, head of the responsible department or persons authorized by them to sign the report, and the executor.

Chapter 2. Explanation on Filling out the Form

5. The Form indicates information about the volume of transactions carried out in the secondary market with state securities of the Republic of Kazakhstan during the reporting period.

6. Column 4 indicates the volume of transactions carried out in the secondary market with state securities of the Republic of Kazakhstan during the reporting period.

7. In the absence of information, the Form is submitted with zero balances.

Appendix 5
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated October 29, 2018 No. 263

Form intended for the collection of administrative data

Report on operations with state securities of the Republic of Kazakhstan by sectors and sub-sectors of the economy

Reporting period: as of “” “_” 20 year

Index: OOGSE_5

Frequency: monthly

Submitted by: central depository

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

Submission deadline: monthly, by the tenth day (inclusive) of the month following the reporting month

Form

---

(full name of the organization)

for the period from ______ to ______

(in thousands of tenge)

No. p/p	Type of securities/Economic sectors and sub-sectors	Balance on main accounts at the beginning		Acquired
Total		On the primary market
Quantity (pieces)	Amount at par value	Quantity (pieces)	Amount at discounted value	Quantity (pieces)	Amount at discounted value
	1	2	3	4	5	6	7
1
…
n
	Total securities
	Economic sectors and sub-sectors
	Non-residents
	Total residents-non-residents
	Depositors

continuation of the table:

Acquired
Direct purchase		By REPO operations		By pledge operations		Credited to main account
Quantity (pieces)	Amount at discounted value	Quantity (pieces)	Amount at discounted value	Quantity (pieces)	Amount at discounted value	Quantity (pieces)	Amount at discounted value
8	9	10	11	12	13	14	15
…

continuation of the table:

Realized
Total		Direct sale		By REPO operations
Quantity (pieces)	Amount at discounted value	Quantity (pieces)	Amount at discounted value	Quantity (pieces)	Amount at discounted value
16	17	18	19	20	21
…

continuation of the table:

Realized
Redeemed		Written off		By pledge operations
Quantity (pieces)	Amount at discounted value	Quantity (pieces)	Amount at discounted value	Quantity (pieces)	Amount at discounted value
22	23	24	25	26	27
…

continuation of the table:

Balance of pledge amount at the end of the period		Balance on main accounts at the end of the period		Yield
on the primary market	on the secondary market	by REPO operations
quantity (pieces)	amount (at par value)	quantity (pieces)	amount (at par value)	weighted average rate	weighted average duration
28	29	30	31	32	33	34	35
…

First head or person authorized by him to sign the report

---

surname, first name, patronymic (if any) (signature)

Chief accountant or person authorized by him to sign the report

---

surname, first name, patronymic (if any) (signature)

Head of the responsible department or person authorized by him to sign the report

---

surname, first name, patronymic (if any) (signature)

Executor: ______ ______

surname, first name, patronymic (if any) (signature)

Phone number ______

Date of signing the report “” ______ 20 year

Note: an explanation on how to fill out the form intended for the collection of administrative data is provided in the appendix to this form.

Appendix
to the report form on operations with state securities of the Republic of Kazakhstan by sectors and sub-sectors of the economy

Explanation on filling out the form intended for the collection of administrative data

Report on operations with state securities of the Republic of Kazakhstan by sectors and sub-sectors of the economy

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the form intended for the collection of administrative data “Report on operations with state securities of the Republic of Kazakhstan by sectors and sub-sectors of the economy” (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 15) of paragraph 2 of Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 “On the Securities Market” and subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 “On State Regulation, Control and Supervision of the Financial Market and Financial Organizations.”

3. The Form is compiled by the central depository monthly as of the end of the reporting period. Data in the Form are filled in thousands of tenge. An amount less than 500 (five hundred) tenge is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (one thousand) tenge.

4. The Form is signed by the first head, chief accountant, head of the responsible department or persons authorized by them to sign the report, and the executor.

Chapter 2. Explanation on Filling out the Form

5. The Form indicates information about operations with state securities of the Republic of Kazakhstan by sectors and sub-sectors of the economy during the reporting period.

6. The residency indicator is determined in accordance with the Law of the Republic of Kazakhstan dated June 13, 2005 “On Currency Regulation and Currency Control.”

7. For the purposes of classifying institutional units by economic sectors, the following structure and concepts of economic sectors and sub-sectors are applied:

1) Government of the Republic of Kazakhstan includes ministries, agencies funded from the republican budget funds, research institutes, institutional units - agents of the Government of the Republic of Kazakhstan, funds controlled by state management bodies and funded from the republican budget funds, as well as other organizations under state control performing functions characteristic of state bodies and not engaged in market production;

2) regional and local authorities include institutional units carrying out management functions at the oblast, city and district level, and organizations funded from local budgets;

3) central (national) bank - an institutional unit that exercises control over key aspects of the financial system and carries out such activities as the issuance of national currency, management of international reserves;

4) other deposit-taking institutions - institutional units whose main activity is financial intermediation and whose liabilities take the form of deposits or their analogues (close substitutes for deposits included in the national definition of broad money);

5) other financial corporations - all other institutional units of this sector that carry out intermediary or auxiliary financial activities or whose activities are closely related to financial intermediation, but they themselves do not perform intermediary functions;

6) government non-financial corporations - institutional units engaged primarily in market production and controlled by state management bodies;

7) private non-financial corporations - institutional units engaged primarily in market production and not controlled by state management bodies;

8) non-profit institutions serving households - institutional units producing goods or services but not generating income or other financial benefits for institutional units controlling such organizations, which are created by associations of persons to provide goods or services to members of these associations (such services are usually provided free of charge or financed through regular membership fees) or whose main activity is charitable assistance;

9) households - institutional units consisting of individuals, as well as small groups of individuals (families) living together, combining (fully or partially) their incomes and property, and jointly consuming certain types of goods and services (housing, food products, etc.).

8. Columns 4 to 15 indicate operations on acquired state securities of the Republic of Kazakhstan by sectors and sub-sectors of the economy for the reporting month. Columns 14 and 15 also include operations related to the transfer of securities from one personal account to another.

9. Columns 16 to 27 indicate realized state securities of the Republic of Kazakhstan by sectors and sub-sectors of the economy for the reporting month. Columns 24 and 25 also include operations related to the transfer of securities from one personal account to another.

10. Column 29 indicates the amount of the balance at par value of pledges in circulation at the end of the reporting period, specified in the sub-account section where the pledge is accounted for.

11. The amount in column 4 equals the sum of columns 6, 8, 10, 12, 14.

12. The amount in column 5 equals the sum of columns 7, 9, 11, 13, 15.

13. The amount in column 16 equals the sum of columns 18, 20, 22, 24, 26.

14. The amount in column 17 equals the sum of columns 19, 21, 23, 25, 27.

15. The amount in column 30 equals the sum of columns 2, 4 minus the amount in column 16.

16. In the absence of information, the Form is submitted with zero balances.

Appendix 6
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated October 29, 2018 No. 263

Form intended for the collection of administrative data

Report on operations conducted in the central depository accounting system with non-state securities by sectors and sub-sectors of the economy

Reporting period: as of “_” ______ 20 year

Index: OOGSE_6

Frequency: monthly

Submitted by: central depository

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

Submission deadline: monthly, by the tenth day (inclusive) of the month following the reporting month

Form

---

(full name of the organization)

for the period from ______ to ______

(in thousands of tenge)

No. p/p	Type of securities/Economic sectors and sub-sectors	Balance on main accounts at the beginning		Acquired
Total		On the primary market
Quantity (pieces)	Amount at par value	Quantity (pieces)	Amount at discounted value	Quantity (pieces)	Amount at discounted value
	1	2	3	4	5	6	7
1
…
n
	Total securities
	Economic sectors and sub-sectors
	Non-residents
	Total residents-non-residents
	Depositors

continuation of the table:

Acquired
Direct purchase		By REPO operations		By pledge operations		Credited to main account
Quantity (pieces)	Amount at discounted value	Quantity (pieces)	Amount at discounted value	Quantity (pieces)	Amount at discounted value	Quantity (pieces)	Amount at discounted value
8	9	10	11	12	13	14	15
...

continuation of the table:

Realized
Total		Direct sale		By REPO operations		Redeemed		Written off
Quantity (pieces)	Amount at discounted value	Quantity (pieces)	Amount at discounted value	Quantity (pieces)	Amount at discounted value	Quantity (pieces)	Amount at discounted value	Quantity (pieces)	Amount at discounted value
16	17	18	19	20	21	22	23	24	25
…

continuation of the table:

By pledge operations		Balance of pledge amount at the end of the period		Balance on main accounts at the end of the period		Yield
on the primary market	on the secondary market	by REPO operations
Quantity (pieces)	Amount at discounted value	quantity (pieces)	Amount at par value	quantity (pieces)	Amount at par value	weighted average rate	weighted average duration.
26	27	28	29	30	31	32	33	34	35
…

First head or person authorized by him to sign the report

---

surname, first name, patronymic (if any) (signature)

Chief accountant or person authorized by him to sign the report

---

surname, first name, patronymic (if any) (signature)

Head of the responsible department or person authorized by him to sign the report

---

surname, first name, patronymic (if any) (signature)

Executor: ______ ______

surname, first name, patronymic (if any) (signature)

Phone number ______

Date of signing the report “” ______ 20 year

Note: an explanation on how to fill out the form intended for the collection of administrative data is provided in the appendix to this form.

Appendix
to the report form on operations conducted in the central depository accounting system with non-state securities by sectors and sub-sectors of the economy

Explanation on filling out the form intended for the collection of administrative data

Report on operations conducted in the central depository accounting system with non-state securities by sectors and sub-sectors of the economy

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the form intended for the collection of administrative data “Report on operations conducted in the central depository accounting system with non-state securities by sectors and sub-sectors of the economy” (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 15) of paragraph 2 of Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 “On the Securities Market” and subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 “On State Regulation, Control and Supervision of the Financial Market and Financial Organizations.”

3. The Form is compiled by the central depository monthly as of the end of the reporting period. Data in the Form are filled in thousands of tenge. An amount less than 500 (five hundred) tenge is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (one thousand) tenge.

4. The Form is signed by the first head, chief accountant, head of the responsible department or persons authorized by them to sign the report, and the executor.

Chapter 2. Explanation on Filling out the Form

5. The Form indicates information about operations conducted in the central depository accounting system with non-state securities of the Republic of Kazakhstan by sectors and sub-sectors of the economy for the reporting month.

6. The residency indicator is determined in accordance with the Law of the Republic of Kazakhstan dated June 13, 2005 “On Currency Regulation and Currency Control.”

7. For the purposes of classifying institutional units by economic sectors, the following structure and concepts of economic sectors and sub-sectors are applied:

1) Government of the Republic of Kazakhstan includes ministries, agencies funded from the republican budget funds, research institutes, institutional units - agents of the Government of the Republic of Kazakhstan, funds controlled by state management bodies and funded from the republican budget funds, as well as other organizations under state control performing functions characteristic of state bodies and not engaged in market production;

2) regional and local authorities include institutional units carrying out management functions at the oblast, city and district level, and organizations funded from local budgets;

3) central (national) bank - an institutional unit that exercises control over key aspects of the financial system and carries out such activities as the issuance of national currency, management of international reserves;

4) other deposit-taking institutions - institutional units whose main activity is financial intermediation and whose liabilities take the form of deposits or their analogues (close substitutes for deposits included in the national definition of broad money);

5) other financial corporations - all other institutional units of this sector that carry out intermediary or auxiliary financial activities or whose activities are closely related to financial intermediation, but they themselves do not perform intermediary functions;

6) government non-financial corporations - institutional units engaged primarily in market production and controlled by state management bodies;

7) private non-financial corporations - institutional units engaged primarily in market production and not controlled by state management bodies;

8) non-profit institutions serving households - institutional units producing goods or services but not generating income or other financial benefits for institutional units controlling such organizations, which are created by associations of persons to provide goods or services to members of these associations (such services are usually provided free of charge or financed through regular membership fees) or whose main activity is charitable assistance;

9) households - institutional units consisting of natural persons, as well as small groups of natural persons (families), living together, combining their incomes and property (fully or partially), and jointly consuming certain types of goods and services (housing, food products, etc.).

8. Columns 4 through 15 indicate transactions involving purchased non-state securities broken down by economic sectors and sub-sectors for the reporting month. Columns 14 and 15 also include transactions related to the transfer of securities from one account to another.

9. Columns 16 through 27 indicate realized non-state securities of the Republic of Kazakhstan broken down by economic sectors and sub-sectors for the reporting month. Columns 26 and 27 also include transactions related to the transfer of securities from one account to another.

10. Column 29 indicates the amount of the balance of the nominal value of collateral in circulation at the end of the reporting period, as indicated in the sub-account section where the collateral is accounted for.

11. The amount in column 4 equals the sum of columns 6, 8, 10, 12, 14.

12. The amount in column 5 equals the sum of columns 7, 9, 11, 13, 15.

13. The amount in column 16 equals the sum of columns 18, 20, 22, 24, 26.

14. The amount in column 17 equals the sum of columns 19, 21, 23, 25, 27.

15. The amount in column 30 equals the sum of columns 2, 4 minus the amount in column 16.

16. In the absence of information, the Form is submitted with zero balances.

Appendix 7
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated October 29, 2018 No. 263

Form intended for the collection of administrative data

Report on Holders of Short-Term Notes of the National Bank of the Republic of Kazakhstan

Reporting period: as of "___"____20 year

Index: KNNB_7

Frequency: monthly

Submitted by: central depository

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

Submission deadline: monthly, by the tenth day (inclusive) of the month following the reporting month

Form

---

(full name of the organization)

as of "" "_" 20 year

No. p/p	Name/Surname, First Name, Patronymic (if available) of the holder	Type of sub-account	Type of holder	Country of holder	Sector and sub-sector of the economy	Residency indicator	Security identifier (National Identification Number (NIN) or International Securities Identification Number (ISIN) or other security identifier is indicated)	Quantity (pieces)	Amount (in thousands of tenge)
1	2	3	4	5	6	7	8	9	10
1
…
n

First Head or Person Authorized by Him to Sign the Report

---

Surname, First Name, Patronymic (if available) (Signature)

Chief Accountant or Person Authorized by Him to Sign the Report

---

Surname, First Name, Patronymic (if available) (Signature)

Head of the Responsible Department or Person Authorized by Him to Sign the Report

---

Surname, First Name, Patronymic (if available) (Signature)

Executor: ______ ______

Surname, First Name, Patronymic (if available) (Signature)

Phone number ______

Date of signing the report "" ______ 20 year

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

Appendix
to the form of the report on holders of short-term notes of the National Bank of the Republic of Kazakhstan

Explanation on filling out the form intended for the collection of administrative data

Report on Holders of Short-Term Notes of the National Bank of the Republic of Kazakhstan

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the form intended for the collection of administrative data "Report on Holders of Short-Term Notes of the National Bank of the Republic of Kazakhstan" (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 15) of paragraph 2 of Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market" and subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".

3. The Form is compiled by the central depository monthly as of the end of the reporting period. Data in the Form is filled in thousands of tenge. An amount less than 500 (five hundred) tenge is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (one thousand) tenge.

4. The Form is signed by the first head, chief accountant, head of the responsible department or persons authorized by them to sign the report, and the executor.

Chapter 2. Explanation on Filling Out the Form

5. The Form indicates information about holders of short-term notes of the National Bank of the Republic of Kazakhstan.

6. Column 2 indicates the name of a legal entity or the surname, first name, and if available, patronymic of a natural person who are holders of short-term notes of the National Bank of the Republic of Kazakhstan.

7. Column 6 indicates affiliation with the sector and sub-sector of the economy. For the purposes of classifying institutional units by economic sectors, the following structure and concepts of economic sectors and sub-sectors are applied:

1) Government of the Republic of Kazakhstan includes ministries, agencies financed from the republican budget, research institutes, institutional units - agents of the Government of the Republic of Kazakhstan, funds controlled by state authorities and financed from the republican budget, as well as other organizations under state control performing functions characteristic of state bodies and not engaged in market production;

2) regional and local authorities include institutional units exercising management functions at the region, city, and district levels, and organizations financed from local budgets;

3) central (national) bank - an institutional unit that exercises control over key aspects of the financial system and conducts such activities as issuing national currency, managing international reserves;

4) other deposit-taking corporations - institutional units whose main activity is financial intermediation and whose liabilities take the form of deposits or their equivalents (close substitutes for deposits included in the national definition of broad money);

5) other financial corporations - all other institutional units of this sector that carry out intermediary or auxiliary financial activities or whose activities are closely linked to financial intermediation, but they themselves do not perform intermediary functions;

6) government non-financial corporations - institutional units primarily engaged in market production and controlled by government authorities;

7) private non-financial corporations - institutional units primarily engaged in market production and not controlled by government authorities;

8) non-profit institutions serving households - institutional units producing goods or services but not generating income or other financial benefits for institutional units controlling such organizations, which are created by associations of persons to provide goods or services to members of these associations (such services are usually provided free of charge or financed through regular membership fees) or whose main activity is providing charitable assistance;

9) households - institutional units consisting of natural persons, as well as small groups of natural persons (families), living together, combining their incomes and property (fully or partially), and jointly consuming certain types of goods and services (housing, food products, etc.).

8. Column 7 indicates the residency indicator of the holder of short-term notes of the National Bank of the Republic of Kazakhstan. The residency indicator is determined in accordance with the Law of the Republic of Kazakhstan dated June 13, 2005 "On Currency Regulation and Currency Control".

9. Column 8 indicates the identifier (National Identification Number (NIN) or International Securities Identification Number (ISIN) or other security identifier) of the note of the National Bank of the Republic of Kazakhstan.

10. Column 9 indicates the quantity of short-term notes of the National Bank of the Republic of Kazakhstan held by the holder.

11. Column 10 indicates the volume of short-term notes of the National Bank of the Republic of Kazakhstan.

12. In the absence of information, the Form is submitted with zero balances.

Appendix 8
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated October 29, 2018 No. 263

Form intended for the collection of administrative data

Report on Transactions with Securities of Local Executive Bodies

Reporting period: as of "___"____20 year

Index: OOMCBRK_8

Frequency: monthly

Submitted by: central depository

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

Submission deadline: monthly, by the tenth day (inclusive) of the month following the reporting month

Form

---

(full name of the organization)

for the period from ___ to _____

No. p/p	Date of Issue	Type of Security	Quantity of Securities (pieces)	Security Identifier (National Identification Number (NIN) or International Securities Identification Number (ISIN) or other security identifier is indicated)	Transaction Date	Type of Transaction	Cost per Security	Volume of Securities (in thousands of tenge)	Maturity Date of Security
1	2	3	4	5	6	7	8	9	10
1
…
n
Total

First Head or Person Authorized by Him to Sign the Report

---

Surname, First Name, Patronymic (if available) (Signature)

Chief Accountant or Person Authorized by Him to Sign the Report

---

Surname, First Name, Patronymic (if available) (Signature)

Head of the Responsible Department or Person Authorized by Him to Sign the Report

---

Surname, First Name, Patronymic (if available) (Signature)

Executor: ______ ______

Surname, First Name, Patronymic (if available) (Signature)

Phone number ______

Date of signing the report "" ______ 20 year

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

Appendix
to the form of the report on transactions with securities of local executive bodies

Explanation on filling out the form intended for the collection of administrative data

Report on Transactions with Securities of Local Executive Bodies

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the form intended for the collection of administrative data "Report on Transactions with Securities of Local Executive Bodies" (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 15) of paragraph 2 of Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market" and subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".

3. The Form is compiled by the central depository monthly as of the end of the reporting period.

4. The Form is signed by the first head, chief accountant, head of the responsible department or persons authorized by them to sign the report, and the executor.

Chapter 2. Explanation on Filling Out the Form

5. The Form indicates information about transactions with securities of local executive bodies.

6. Column 2 indicates the date of issue of the security.

7. Column 3 indicates the type of security.

8. Column 4 indicates the quantity of securities held by the security holder.

9. Column 5 indicates the security identifier (National Identification Number (NIN) or International Securities Identification Number (ISIN) or other security identifier is indicated).

10. Column 7 indicates the type of transaction (exchange, over-the-counter).

11. Column 8 indicates the weighted average cost per security for each transaction.

12. Column 9 indicates the volume of securities in thousands of tenge.

13. In the absence of information, the Form is submitted with zero balances.

Appendix 9
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated October 29, 2018 No. 263

Form intended for the collection of administrative data

Report on Balances of Securities of the Ministry of Finance of the Republic of Kazakhstan Held on Main Accounts of Non-Residents of the Republic of Kazakhstan

Reporting period: as of "___"____20 year

Index: OCBMFN_9

Frequency: quarterly

Submitted by: central depository

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

Submission deadline: quarterly, by the fifth working day (inclusive) of the month following the reporting quarter

Form

---

(full name of the organization)

as of "" "_" 20 year

No. p/p	Holder Name	Country	Security Identifier (National Identification Number (NIN) or International Securities Identification Number (ISIN) or other security identifier is indicated)	Quantity (pieces)	Volume (in thousands of tenge)
1	2	3	4	5	6
1
2
n

First Head or Person Authorized by Him to Sign the Report

---

Surname, First Name, Patronymic (if available) (Signature)

Chief Accountant or Person Authorized by Him to Sign the Report

---

Surname, First Name, Patronymic (if available) (Signature)

Head of the Responsible Department or Person Authorized by Him to Sign the Report

---

Surname, First Name, Patronymic (if available) (Signature)

Executor: ______ ______

Surname, First Name, Patronymic (if available) (Signature)

Phone number ______

Date of signing the report "" ______ 20 year

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

Appendix
to the form of the report on balances of securities of the Ministry of Finance of the Republic of Kazakhstan, held on main accounts of non-residents of the Republic of Kazakhstan

Explanation on filling out the form intended for the collection of administrative data

Report on Balances of Securities of the Ministry of Finance of the Republic of Kazakhstan Held on Main Accounts of Non-Residents of the Republic of Kazakhstan

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the form intended for the collection of administrative data "Report on Balances of Securities of the Ministry of Finance of the Republic of Kazakhstan Held on Main Accounts of Non-Residents of the Republic of Kazakhstan" (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 15) of paragraph 2 of Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market" and subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".

3. The Form is compiled by the central depository quarterly as of the end of the reporting period. Data in the Form is filled in thousands of tenge. An amount less than 500 (five hundred) tenge is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (one thousand) tenge.

4. The Form is signed by the first head, chief accountant, head of the responsible department or persons authorized by them to sign the report, and the executor.

Chapter 2. Explanation on Filling Out the Form

5. The Form indicates information about non-resident holders of securities of the Ministry of Finance of the Republic of Kazakhstan. The residency indicator is determined in accordance with the Law of the Republic of Kazakhstan dated June 13, 2005 "On Currency Regulation and Currency Control".

6. Column 2 indicates the name of a legal entity or the surname, first name, and if available, patronymic of a natural person who are holders of securities of the Ministry of Finance of the Republic of Kazakhstan.

7. Column 3 indicates the country of the holder of securities of the Ministry of Finance of the Republic of Kazakhstan.

8. Column 4 indicates the identifier of the securities (National Identification Number (NIN) or International Securities Identification Number (ISIN) or other security identifier is indicated) of the Ministry of Finance of the Republic of Kazakhstan.

9. Column 5 indicates the quantity of securities of the Ministry of Finance of the Republic of Kazakhstan held by the security holder at the end of the reporting period.

10. Column 6 indicates the volume of securities of the Ministry of Finance of the Republic of Kazakhstan held by the security holder at the end of the reporting period.

11. In the absence of information, the Form is submitted with zero balances.

Appendix 10
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated October 29, 2018 No. 263

Form intended for the collection of administrative data

Report on Depositors of the Central Depository

Reporting period: as of "_" ______ 20 year

Index: OCD_10

Frequency: quarterly

Submitted by: central depository

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

Submission deadline: quarterly, by the fifth working day (inclusive) of the month following the reporting quarter

Form

---

(full name of the organization)

as of ""___ 20__ year

p/p	Name of Depositor	Type and Details of License (Country Name for Foreign Depositors)	Date		Quantity of Sub-accounts in the Nominee Holding System of the Depositor at the End of the Reporting Period
Conclusion of Nominee Holding Agreement	Termination of Nominee Holding Agreement	Total	Unified Accumulative Pension Fund and Voluntary Accumulative Pension Funds of the Republic of Kazakhstan (from pension and own assets)	Investment Funds of the Republic of Kazakhstan	Second-Level Banks of the Republic of Kazakhstan (from own assets)
1	2	3	4	5	6	7	8	9
Total

continuation of table:

Quantity of Sub-accounts in the Nominee Holding System of the Depositor at the End of the Reporting Period
Insurance (Reinsurance) Organizations of the Republic of Kazakhstan (from own assets)	Brokers-Dealers of the Republic of Kazakhstan (from own assets)	Other Licensees of the Financial Market of the Republic of Kazakhstan (from own assets)	Nominee Holders Residents of the Republic of Kazakhstan	Nominee Holders Non-Residents of the Republic of Kazakhstan	Other Legal Entities Residents of the Republic of Kazakhstan	Natural Persons Residents of the Republic of Kazakhstan	Other Legal Entities Non-Residents of the Republic of Kazakhstan	Natural Persons Non-Residents of the Republic of Kazakhstan	Holders of Securities for Which Information is Not Disclosed
10	11	12	13	14	15	16	17	18	19
…

First Head or Person Authorized by Him to Sign the Report

---

Surname, First Name, Patronymic (if available) (Signature)

Chief Accountant or Person Authorized by Him to Sign the Report

---

Surname, First Name, Patronymic (if available) (Signature)

Head of the Responsible Department or Person Authorized by Him to Sign the Report

---

Surname, First Name, Patronymic (if available) (Signature)

Executor: ______ ______

Surname, First Name, Patronymic (if available) (Signature)

Phone number ______

Date of signing the report "" ______ 20 year

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

Appendix
to the form of the report on depositors of the central depository

Explanation on filling out the form intended for the collection of administrative data

Report on Depositors of the Central Depository

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the form intended for the collection of administrative data "Report on Depositors of the Central Depository" (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 15) of paragraph 2 of Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market" and subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".

3. The Form is compiled by the central depository quarterly as of the end of the reporting period.

4. The Form is signed by the first head, chief accountant, head of the responsible department or persons authorized by them to sign the report, and the executor.

Chapter 2. Explanation on Filling Out the Form

5. The Form indicates information about depositors of the central depository.

6. Column 3 indicates the type and details of the depositor's license.

7. Columns 4, 5 indicate the date of conclusion and the date of termination of the nominee holding agreement with the depositor.

8. Column 6 indicates the total number of sub-accounts in the nominee holding system of the depositor.

9. Columns 7 through 19 indicate the number of sub-accounts in the nominee holding system of the depositor.

10. In the absence of information, the Form is submitted with zero balances.

Appendix 11
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated October 29, 2018 No. 263

Form intended for the collection of administrative data

Report on Depositors and Their Clients

Reporting period: as of "_" ______ 20 year

Index: ODK_11

Frequency: monthly

Submitted by: central depository

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

Submission deadline: monthly, by the fifth working day (inclusive) of the month following the reporting month

Form

---

(full name of the organization)

as of "" "_" 20 year

Item No.	Sub-account Number	Name of Depositor (Depositor's Client)	Residency Status of Depositor (Depositor's Client)	Type of Depositor's Client	Sub-account Type	Date of Sub-account Opening	Date of Sub-account Closure	Individual Identification Number of an Individual (hereinafter - IIN)/Business Identification Number of a Legal Entity (hereinafter - BIN)
1	2	3	4	5	6	7	8	9
1

First Head or Person Authorized by Him to Sign the Report

---

surname, first name, patronymic (if any) (signature)

Chief Accountant or Person Authorized by Him to Sign the Report

---

surname, first name, patronymic (if any) (signature)

Head of the Responsible Department or Person Authorized by Him to Sign the Report

---

surname, first name, patronymic (if any) (signature)

Executor: ______ ______

surname, first name, patronymic (if any) (signature)

Phone number ______

Date of signing the report "" ______ 20 year

Note: instructions for filling out the form intended for the collection of administrative data are provided in the appendix to this form.

Appendix

to the report form on depositors and their clients

Instructions for filling out the form intended for the collection of administrative data

Report on Depositors and Their Clients

Chapter 1. General Provisions

1. These Instructions (hereinafter - Instructions) define the uniform requirements for filling out the form intended for the collection of administrative data "Report on Depositors and Their Clients" (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 15) of paragraph 2 of Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market" and subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".

3. The Form is compiled by the central depository monthly as of the end of the reporting period.

4. The Form is signed by the first head, chief accountant, head of the responsible department or persons authorized by them to sign the report, and the executor.

Chapter 2. Instructions for Filling out the Form

5. The Form indicates information about the depositors of the central depository and their clients, including those whose accounts (sub-accounts) have been closed.

6. Column 4 indicates the residency status of the depositor (depositor's client). Residency status is determined in accordance with the Law of the Republic of Kazakhstan dated June 13, 2005 "On Currency Regulation and Currency Control".

7. Column 5 indicates the type of depositor's client on whose behalf the sub-account is opened.

8. Column 6 indicates the type of sub-account.

9. Column 9 indicates the IIN of an individual or the BIN of a legal entity.

10. In the absence of information, the Form is submitted with zero balances.

Appendix 12

to the resolution of the Board

of the National Bank

of the Republic of Kazakhstan

dated October 29, 2018 No. 263

Form intended for the collection of administrative data

Report on Securities Held in Nominal Custody of the Central Depository

Reporting period: as of "___"______20__year

Index: OCBND_12

Frequency: quarterly

Submitted by: central depository

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

Submission deadline: quarterly, by the fifth working day (inclusive) of the month following the reporting quarter

Form

---

(full name of the organization)

as of "_" ______ 20 year

Item No.	Security Identifier (National Identification Number (NIN) or International Securities Identification Number (ISIN) or other security identifier is indicated)	Type of Security	Name of Issuer	Quantity and Balance of Securities Held in Nominal Custody of the Central Depository as of the End of the Reporting Period, and Number of Security Holders
Total			Banks of the Second Level of the Republic of Kazakhstan (Owners)
Quantity (pieces)	Balance (tenge)	Number of Security Holders	Quantity (pieces)	Balance (tenge)	Number of Security Holders
1	2	3	4	5	6	7	8	9	10
Total

continuation of the table:

Quantity and Balance of Securities Held in Nominal Custody of the Central Depository as of the End of the Reporting Period, and Number of Security Holders
Insurance (Reinsurance) Organizations of the Republic of Kazakhstan (Owners)			Brokers and/or Dealers of the Republic of Kazakhstan (Owners, not being Banks of the Second Level of the Republic of Kazakhstan)			Other Licensees of the Financial Market of the Republic of Kazakhstan (Owners)
Quantity (pieces)	Balance (tenge)	Number of Security Holders	Quantity (pieces)	Balance (tenge)	Number of Security Holders	Quantity (pieces)	Balance (tenge)	Number of Security Holders
11	12	13	14	15	16	17	18	19
…

continuation of the table:

Quantity and Balance of Securities Held in Nominal Custody of the Central Depository as of the End of the Reporting Period, and Number of Security Holders
Other Legal Entities Residents of the Republic of Kazakhstan			Other Legal Entities Non-Residents of the Republic of Kazakhstan			Physical Persons Residents of the Republic of Kazakhstan			Physical Persons Non-Residents of the Republic of Kazakhstan
Quantity (pieces)	Balance (tenge)	Number of Security Holders	Quantity (pieces)	Balance (tenge)	Number of Security Holders	Quantity (pieces)	Balance (tenge)	Number of Security Holders	Quantity (pieces)	Balance (tenge)	Number of Security Holders
20	21	22	23	24	25	26	27	28	29	30	31
…

First Head or Person Authorized by Him to Sign the Report

---

surname, first name, patronymic (if any) (signature)

Chief Accountant or Person Authorized by Him to Sign the Report

---

surname, first name, patronymic (if any) (signature)

Head of the Responsible Department or Person Authorized by Him to Sign the Report

---

surname, first name, patronymic (if any) (signature)

Executor: ______ ______

surname, first name, patronymic (if any) (signature)

Phone number ______

Date of signing the report "" ______ 20 year

Note: instructions for filling out the form intended for the collection of administrative data are provided in the appendix to this form.

Appendix

to the report form on securities held in nominal custody of the central depository

Instructions for filling out the form intended for the collection of administrative data

Report on Securities Held in Nominal Custody of the Central Depository

Chapter 1. General Provisions

1. These Instructions (hereinafter - Instructions) define the uniform requirements for filling out the form intended for the collection of administrative data "Report on Securities Held in Nominal Custody of the Central Depository" (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 15) of paragraph 2 of Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market" and subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".

3. The Form is compiled by the central depository quarterly as of the end of the reporting period.

4. The Form is signed by the first head, chief accountant, head of the responsible department or persons authorized by them to sign the report, and the executor.

Chapter 2. Instructions for Filling out the Form

5. The Form is filled out for each type of security held in nominal custody.

6. Column 2 indicates the security identifier (National Identification Number (NIN) or International Securities Identification Number (ISIN) or other security identifier is indicated).

7. Column 3 indicates the type of security.

8. Column 4 indicates the name of the issuer of the securities.

9. Columns 5, 8, 11, 14, 17, 20, 23, 26, 29 indicate the quantity of securities held in nominal custody of the central depository as of the end of the reporting period.

10. Columns 6, 9, 12, 15, 18, 21, 24, 27, 30 indicate the balance of securities in the central depository's accounting system at the end of the reporting period, in tenge. The value of the security balance is calculated in accordance with the internal documents of the central depository.

11. In the absence of information, the Form is submitted with zero balances.

Appendix 13

to the resolution of the Board

of the National Bank

of the Republic of Kazakhstan

dated October 29, 2018 No. 263

Form intended for the collection of administrative data

Report on Securities Issued in Accordance with the Legislation of a Foreign State, Held in Nominal Custody of the Central Depository

Reporting period: as of "_" ______ 20 year

Index: IGNd_13

Frequency: quarterly

Submitted by: central depository

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

Submission deadline: quarterly, by the fifth working day (inclusive) of the month following the reporting quarter

Form

---

(full name of the organization)

as of "" "_" 20 year

Item No.	Security Identifier (National Identification Number (NIN) or International Securities Identification Number (ISIN) or other security identifier is indicated)	Name of Issuer	Name of Foreign Nominal Custodian	Name of the Nominal Custodian Providing Nominal Custody Services for Securities Issued in Accordance with the Legislation of a Foreign State	Name of the Owner of Securities Issued in Accordance with the Legislation of a Foreign State	Quantity of Securities Issued in Accordance with the Legislation of a Foreign State Held on the Accounts of the Broker's Clients, Who is the Nominal Custodian as of the End of the Reporting Period (pieces)
1	2	3	4	5	6	7
1
Total

First Head or Person Authorized by Him to Sign the Report

---

surname, first name, patronymic (if any) (signature)

Chief Accountant or Person Authorized by Him to Sign the Report

---

surname, first name, patronymic (if any) (signature)

Head of the Responsible Department or Person Authorized by Him to Sign the Report

---

surname, first name, patronymic (if any) (signature)

Executor: ______ ______

surname, first name, patronymic (if any) (signature)

Phone number ______

Date of signing the report "" ______ 20 year

Note: instructions for filling out the form intended for the collection of administrative data are provided in the appendix to this form.

Appendix

to the report form on securities issued in accordance with the legislation of a foreign state, held in nominal custody of the central depository

Instructions for filling out the form intended for the collection of administrative data

Report on Securities Issued in Accordance with the Legislation of a Foreign State, Held in Nominal Custody of the Central Depository

Chapter 1. General Provisions

1. These Instructions (hereinafter - Instructions) define the uniform requirements for filling out the form intended for the collection of administrative data "Report on Securities Issued in Accordance with the Legislation of a Foreign State, Held in Nominal Custody of the Central Depository" (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 15) of paragraph 2 of Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market" and subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".

3. The Form is compiled by the central depository quarterly as of the end of the reporting period.

4. The Form is signed by the first head, chief accountant, head of the responsible department or persons authorized by them to sign the report, and the executor.

Chapter 2. Instructions for Filling out the Form

5. Column 4 indicates the name of the foreign nominal custodian providing nominal custody services for securities of issuers who are non-residents of the Republic of Kazakhstan to the central depository.

6. Column 5 indicates the name of the broker acting as the nominal custodian, to whom the central depository provides nominal custody services for securities of issuers who are non-residents of the Republic of Kazakhstan.

7. Column 6 indicates the name of the ultimate owner of securities issued in accordance with the legislation of a foreign state (surname, first name, if available - patronymic for an individual, name for a legal entity) - the client of the broker acting as the foreign nominal custodian specified in column 4.

8. In the absence of information, the Form is submitted with zero balances.

Appendix 14

to the resolution of the Board

of the National Bank

of the Republic of Kazakhstan

dated October 29, 2018 No. 263

Form intended for the collection of administrative data

Report on the Number of Holders of Units (Shares) of Investment Funds

Reporting period: as of "_" ______ 20 year

Index: IFND_14

Frequency: quarterly

Submitted by: central depository

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

Submission deadline: quarterly, by the fifth working day (inclusive) of the month following the reporting quarter

Form

---

(full name of the organization)

as of "" "_" 20 year

Item No.	Name of Investment Fund	Name of Management Company	Name of Custodian	Unit (Share) Identifier (National Identification Number (NIN) or International Securities Identification Number (ISIN) or other security identifier is indicated)	Total Number of Holders of Units (Shares) of Investment Funds	Number of Holders of Units (Shares) of Investment Funds
Physical Persons		Legal Entities
Residents	Non-residents	Residents	Non-residents
1	2	3	4	5	6	7	8	9	10
1
Total total number of security holders of investment funds:
Total number of unit holders:
Total number of share holders:

First Head or Person Authorized by Him to Sign the Report

---

surname, first name, patronymic (if any) (signature)

Chief Accountant or Person Authorized by Him to Sign the Report

---

surname, first name, patronymic (if any) (signature)

Head of the Responsible Department or Person Authorized by Him to Sign the Report

---

surname, first name, patronymic (if any) (signature)

Executor: ______ ______

surname, first name, patronymic (if any) (signature)

Phone number ______

Date of signing the report "" ______ 20 year

Note: instructions for filling out the form intended for the collection of administrative data are provided in the appendix to this form.

Appendix

to the report form on the number of holders of units (shares) of investment funds

Instructions for filling out the form intended for the collection of administrative data

Report on the Number of Holders of Units (Shares) of Investment Funds

Chapter 1. General Provisions

1. These Instructions (hereinafter - Instructions) define the uniform requirements for filling out the form intended for the collection of administrative data "Report on the Number of Holders of Units (Shares) of Investment Funds" (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 15) of paragraph 2 of Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market" and subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".

3. The Form is compiled by the central depository quarterly as of the end of the reporting period.

4. The Form is signed by the first head, chief accountant, head of the responsible department or persons authorized by them to sign the report, and the executor.

Chapter 2. Instructions for Filling out the Form

5. The Form indicates information about the number of holders of units (shares) of investment funds.

6. Column 2 indicates the name of the investment fund.

7. Column 3 indicates the name of the management company.

8. Column 4 indicates the name of the custodian.

9. Column 5 indicates the unit (share) identifier (National Identification Number (NIN) or International Securities Identification Number (ISIN) or other security identifier is indicated).

10. Column 6 indicates the total number of holders of units (shares) of investment funds.

11. Column 7 indicates the number of physical persons - residents who are holders of units (shares) of investment funds.

12. Column 8 indicates the number of physical persons - non-residents who are holders of units (shares) of investment funds.

13. Column 9 indicates the number of legal entities - residents who are holders of units (shares) of investment funds.

14. Column 10 indicates the number of legal entities - non-residents who are holders of units (shares) of investment funds.

15. Residency status is determined in accordance with the Law of the Republic of Kazakhstan dated June 13, 2005 "On Currency Regulation and Currency Control".

16. In the absence of information, the Form is submitted with zero balances.

Appendix 15

to the resolution of the Board

of the National Bank

of the Republic of Kazakhstan

dated October 29, 2018 No. 263

Form intended for the collection of administrative data

Report on Transactions with Financial Instruments Held in Nominal Custody of the Central Depository

Reporting period: for "_" ______ 20 year

Index: FIND_15

Frequency: monthly

Submitted by: central depository

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

Submission deadline: monthly, by the tenth day (inclusive) of the month following the reporting month

Form

---

(full name of the organization)

for the period from ______ to ______

in thousands of tenge

Item No.	Market Segment	Type of Financial Instrument	Volume of Concluded Transactions
With Participation of Residents of the Republic of Kazakhstan	With Participation of Non-Residents of the Republic of Kazakhstan	With Participation of Residents and Non-Residents of the Republic of Kazakhstan	Total
1	2	3	4	5	6	7
1	Organized Securities Market
2	Unorganized Securities Market
	Total

First Head or Person Authorized by Him to Sign the Report

---

surname, first name, patronymic (if any) (signature)

Chief Accountant or Person Authorized by Him to Sign the Report

---

surname, first name, patronymic (if any) (signature)

Head of the Responsible Department or Person Authorized by Him to Sign the Report

---

surname, first name, patronymic (if any) (signature)

Executor: ______ ______

surname, first name, patronymic (if any) (signature)

Phone number ______

Date of signing the report "" ______ 20 year

Note: instructions for filling out the form intended for the collection of administrative data are provided in the appendix to this form.

Appendix

to the report form on transactions with financial instruments held in nominal custody of the central depository

Instructions for filling out the form intended for the collection of administrative data

Report on Transactions with Financial Instruments Held in Nominal Custody of the Central Depository

Chapter 1. General Provisions

1. These Instructions (hereinafter - Instructions) define the uniform requirements for filling out the form intended for the collection of administrative data, "Report on Transactions with Financial Instruments Held in Nominal Custody of the Central Depository" (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 15) of paragraph 2 of Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market" and subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".

3. The Form is compiled by the central depository monthly as of the end of the reporting period.

4. The Form is signed by the head, chief accountant, head of the responsible department or persons authorized by them to sign the report, and the executor.

Chapter 2. Explanation on Filling out the Form

5. The Form indicates information about transactions with financial instruments held in nominee custody by the central depository, as a result of which the (final) owner of the financial instrument changed during the reporting month.

6. Column 3 indicates the type of financial instrument (shares, debt securities issued in accordance with the legislation of the Republic of Kazakhstan, state securities of the Republic of Kazakhstan, securities issued in accordance with the legislation of a foreign state, other financial instruments).

7. Column 5 indicates the volume of transactions (in tenge), up to two decimal places, concluded between owners of sub-accounts – residents of the Republic of Kazakhstan, with financial instruments held in nominee custody by the central depository.

8. Column 6 indicates the volume of transactions (in tenge), up to two decimal places, concluded between owners of sub-accounts – residents of the Republic of Kazakhstan and owners of sub-accounts – non-residents of the Republic of Kazakhstan, with financial instruments held in nominee custody by the central depository.

9. Column 7 indicates the total volume of transactions concluded with financial instruments in each segment of the securities market.

10. The residency status is determined in accordance with the Law of the Republic of Kazakhstan dated June 13, 2005 "On Currency Regulation and Currency Control".

11. In the absence of information, the Form is submitted with zero balances.

Appendix 16
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated October 29, 2018 No. 263

Form intended for the collection of administrative data

Report on Operations with State Securities of the Republic of Kazakhstan

Reporting period: as of "_" ______ 20 year

Index: GS_16

Frequency: weekly

Submitted by: central depository

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

Submission deadline: weekly, no later than the third working day following the reporting week

Form

---

(full name of the organization)

for the period from ______ to ______

No.	Transaction Date	Place of Operation (organized/unorganized)	Market Type (primary/secondary)	Type of Security	Security Identifier (National Identification Number (NIN) or International Securities Identification Number (ISIN) or other security identifier is indicated)	Nominal Value of Securities	Quantity of Securities
	1	2	3	4	5	6	7
1
2
…
n

continuation of table:

Transaction Volume	Issue Currency	Security Issue Date	Security Maturity Date	Coupon Interest Rate	Type of Sender Holder of Securities	Type of Recipient Holder of Securities
8	9	10	11	12	13	14
…

Head or person authorized by him to sign the report

---

surname, first name, patronymic (if any) (signature)

Chief Accountant or person authorized by him to sign the report

---

surname, first name, patronymic (if any) (signature)

Head of the Responsible Department or person authorized by him to sign the report

---

surname, first name, patronymic (if any) (signature)

Executor: ______ ______

surname, first name, patronymic (if any) (signature)

Phone number ______

Date of signing the report "" ______ 20 year

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

Appendix
to the Report on Operations with State Securities of the Republic of Kazakhstan

Explanation on filling out the form intended for the collection of administrative data

Report on Operations with State Securities of the Republic of Kazakhstan

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the form intended for the collection of administrative data, "Report on Operations with State Securities of the Republic of Kazakhstan" (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 15) of paragraph 2 of Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market" and subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".

3. The Form is compiled by the central depository weekly for operations conducted during the week.

4. The Form is signed by the head, chief accountant, head of the responsible department or persons authorized by them to sign the report, and the executor.

Chapter 2. Explanation on Filling out the Form

5. The Form indicates information about operations with state securities of the Republic of Kazakhstan broken down by each separate transaction conducted during the week.

6. In columns 1, 10 and 11, the date of the transaction, the issue date and maturity date of the security are indicated in the format "dd.mm.yyyy".

7. Column 6 indicates the nominal value of securities in the issue currency.

8. Data in column 8 are filled in thousands of tenge. An amount less than 500 (five hundred) tenge is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (one thousand) tenge.

9. Columns 13 and 14 indicate the type of sender or recipient holder of securities (National Bank of the Republic of Kazakhstan, Unified Accumulative Pension Fund or Voluntary Accumulative Pension Fund (investment portfolio), broker and/or dealer, investment fund, nominee holder, insurance organization in the "General Insurance" sector, insurance organization in the "Life Insurance" sector, second-tier banks, other legal entities, natural person, other).

10. In the absence of information, the Form is submitted with zero balances.

Appendix 17
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated October 29, 2018 No. 263

Form intended for the collection of administrative data

Report on Operations for Transfer of Financial Instruments

Reporting period: as of "___" ______20__year

Index: 1-REG_PEREVOD

Frequency: quarterly

Submitted by: central depository

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

Submission deadline: quarterly, by the thirtieth day of the month following the reporting quarter.

Form

Issuer Name	Business Identification Number (hereinafter - BIN) of the issuer	Type of Financial Instrument	Security Identifier (National Identification Number (NIN) or International Securities Identification Number (ISIN) or other security identifier is indicated)	Claim Identifier	Nominal Value
currency	cost of one security
1	2	3	4	5	6	7

continuation of table:

Maturity Date	Type of Transaction	Quantity of Financial Instrument (pieces)	Cost per One Financial Instrument		Transaction Volume (tenge)	Name of Holder of Financial Instrument
currency type	amount	Owner	Individual Identification Number (hereinafter - IIN) / BIN or other identification number (for non-residents of the Republic of Kazakhstan) of the owner	Counterparty	IIN/BIN or other identification number (for non-residents of the Republic of Kazakhstan) of the counterparty
8	9	10	11	12	13	14	15	16	17
…

continuation of table:

Country of Residency of Owner		Country of Residency of Counterparty		Economic Sector		Placement	Date of Registration of Operation
name	country code	name	country code	Owner	Counterparty
18	19	20	21	22	23	24	25
…

continuation of table:

Order Number	Date of Order	Counter-Order Number	Date of Counter-Order	Note
26	27	28	29	30
…

Head or person authorized by him to sign the report

---

surname, first name, patronymic (if any) (signature)

Chief Accountant or person authorized by him to sign the report

---

surname, first name, patronymic (if any) (signature)

Head of the Responsible Department or person authorized by him to sign the report

---

surname, first name, patronymic (if any) (signature)

Executor: ______ ______

surname, first name, patronymic (if any) (signature)

Phone number ______

Date of signing the report "" ______ 20 year

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

Appendix
to the Report on Operations for Transfer of Financial Instruments

Explanation on filling out the form intended for the collection of administrative data

Report on Operations for Transfer of Financial Instruments

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the form intended for the collection of administrative data, "Report on Operations for Transfer of Financial Instruments" (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 15) of paragraph 2 of Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market" and subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".

3. The Form is compiled by the central depository quarterly as of the end of the reporting period.

4. The Form is signed by the head, chief accountant, head of the responsible department or persons authorized by them to sign the report, and the executor.

Chapter 2. Explanation on Filling out the Form

5. The Form indicates data on operations of write-off (credit) of securities (claims under obligations of the issuer on emission securities (hereinafter - claims) from personal accounts/sub-accounts (to personal accounts/sub-accounts) of registered persons.

6. Column 1 indicates the name of the issuer, with securities or claims under whose obligations transactions were concluded.

7. Column 3 indicates the type of financial instrument.

8. Column 4 indicates the assigned security identifier (National Identification Number (NIN) or International Securities Identification Number (ISIN) or other security identifier is indicated).

For claims, the security identifier is indicated (National Identification Number (NIN) or International Securities Identification Number (ISIN) or other security identifier is indicated), the term of circulation of which has expired, and the issuer has not fulfilled its obligations for its redemption.

9. Column 6 indicates the code of the issue currency of bonds and Islamic securities in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 "Codes for Designation of Currencies and Funds".

10. Column 7 indicates the nominal value of bonds and Islamic securities. For bonds, the cost determined at its issuance, on which interest expressed as a percentage is accrued on the coupon bond, as well as the amount payable to the bondholder upon its maturity, is indicated. For Islamic securities, the cost of Islamic securities paid by the investor upon acquisition of Islamic securities within their primary placement on terms established by the offering prospectus of Islamic securities is indicated. The cost is indicated in the issue currency.

11. Column 8 indicates the maturity date of bonds and Islamic securities in the format "dd.mm.yyyy".

12. Column 9 indicates the type of transaction (purchase, sale and other transactions, except for opening and closing repo operations).

13. Column 10 indicates the quantity of securities or claims for which the operation was carried out.

14. Columns 11 and 12 indicate the type of currency and the cost of one security (claim) for which the operation was carried out in the corresponding currency of the operation.

15. Column 13 indicates the volume of transactions in tenge. In case of concluding a transaction in foreign currency, the price in tenge at the official exchange rate established by the National Bank of the Republic of Kazakhstan on the date of the transaction is indicated.

16. Columns 14 and 15 indicate the owner and IIN/BIN or other identification number (for non-residents of the Republic of Kazakhstan) of the holder of the financial instrument from the personal account/sub-account from which securities (claims) were written off. For legal entities, the name of the legal entity is indicated. For natural persons, the surname, first name, patronymic (if any) is indicated.

17. Columns 16 and 17 indicate the counterparty and IIN/BIN or other identification number (for non-residents of the Republic of Kazakhstan) of the registered person to whose personal account/sub-account securities (claims) were credited. For legal entities, the name of the legal entity is indicated. For natural persons, the surname, first name, patronymic (if any) is indicated.

18. Columns 18 and 19 indicate the name and country code of residency of the holder of the financial instrument, from the personal account/sub-account from which securities (claims) were written off, in accordance with the World Countries Classifier posted on the official Internet resource of the Committee for Statistics of the Ministry of National Economy of the Republic of Kazakhstan.

19. Columns 20 and 21 indicate the name and country code of residency of the registered person to whose personal account/sub-account securities (claims) were credited, in accordance with the World Countries Classifier posted on the official Internet resource of the Committee for Statistics of the Ministry of National Economy of the Republic of Kazakhstan.

20. Columns 22 and 23 indicate the name of the economic sector in accordance with the State Classifier of the Republic of Kazakhstan 03-2007 "General Classifier of Types of Economic Activity (OKED)". Column 22 is filled for the holder from the personal account/sub-account from which securities (claims) were written off. Column 23 is filled for the registered person to whose personal account/sub-account securities (claims) were credited.

21. The following symbols are used in column 24:

"1" - primary placement of securities;

"2" - secondary circulation of securities or claims.

22. In the absence of information, the Form is submitted with zero balances.

Appendix 18
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated October 29, 2018 No. 263

Form intended for the collection of administrative data

Report on the Results of Activities on Maintaining the System of Registers of Securities Holders

Reporting period: as of "___" ______20__year

Index: 1-REG_ITOG

Frequency: quarterly

Submitted by: central depository

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

Submission deadline: quarterly, by the thirtieth day (inclusive) of the month following the reporting quarter.

Form

No.	Issuer Name	Security Identifier (National Identification Number (NIN) or International Securities Identification Number (ISIN) or other security identifier is indicated)	Claim Identifier	Type of Financial Instrument
1	2	3	4	5
Total

continuation of table:

Contract Conclusion Date	Contract Termination Date	Quantity of Holders of Financial Instruments and Quantity of Financial Instruments Held on Personal Accounts
Depositors of the Central Depository
6	7	8	9

continuation of table:

Brokers and/or Dealers of the Republic of Kazakhstan – Owners (excluding second-tier banks)		Unified Accumulative Pension Fund – Owners
Financial Instruments (pieces)	Holders of Financial Instruments	Financial Instruments (pieces)	Holders of Financial Instruments
10	11	12	13

continuation of table:

Second-Tier Banks of the Republic of Kazakhstan – Owners		Insurance (Reinsurance) Organizations of the Republic of Kazakhstan – Owners
Financial Instruments (pieces)	Holders of Financial Instruments	Financial Instruments (pieces)	Holders of Financial Instruments
14	15	16	17

continuation of table:

Investment Portfolio Managers – Owners		Other Licensees of the Financial Market of the Republic of Kazakhstan
Financial Instruments (pieces)	Holders of Financial Instruments	Financial Instruments (pieces)	Holders of Financial Instruments
18	19	20	21

continuation of table:

Other Legal Entities
Residents		Non-Residents
Financial Instruments (pieces)	Holders of Financial Instruments	Financial Instruments (pieces)	Holders of Financial Instruments
22	23	24	25

continuation of table:

Natural Persons
Residents		Non-Residents
Financial Instruments (pieces)	Holders of Financial Instruments	Financial Instruments (pieces)	Holders of Financial Instruments
26	27	28	29

continuation of table:

Issuer
For Accounting of Declared Securities (pieces)	For Accounting of Repurchased Securities (pieces)	For Accounting of Repurchased Claims under Obligations of the Issuer on Emission Securities (pieces)	For Accounting of Placed Emission Securities Not Claimed by Their Holders (pieces)
30	31	32	33

continuation of table:

Total
Financial Instruments (pieces)	Holders of Financial Instruments
34	35

Head or person authorized by him to sign the report

---

surname, first name, patronymic (if any) (signature)

Chief Accountant or person authorized by him to sign the report

---

surname, first name, patronymic (if any) (signature)

Head of the Responsible Department or person authorized by him to sign the report

---

surname, first name, patronymic (if any) (signature)

Executor: ______ ______

surname, first name, patronymic (if any) (signature)

Phone number ______

Date of signing the report "" ______ 20 year

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

Appendix
to the Report on the Results of Activities on Maintaining the System of Registers of Securities Holders

Explanation on filling out the form intended for the collection of administrative data

Report on the Results of Activities on Maintaining the System of Registers of Securities Holders

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the form intended for the collection of administrative data, "Report on the Results of Activities on Maintaining the System of Registers of Securities Holders" (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 15) of paragraph 2 of Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market" and subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".

3. The Form is compiled quarterly by the central depository as of the end of the reporting period.

4. The Form is signed by the head, chief accountant, head of the responsible department or persons authorized by them to sign the report, and the executor.

Chapter 2. Explanation on Filling out the Form

5. The Form indicates data on securities and claims under obligations of the issuer on emission securities (hereinafter - claims) serviced by the central depository.

6. Column 3 indicates the assigned security identifier (National Identification Number (NIN) or International Securities Identification Number (ISIN) or other security identifier is indicated).

For claims, the security identifier is indicated (National Identification Number (NIN) or International Securities Identification Number (ISIN) or other security identifier is indicated), the term of circulation of which has expired, and the issuer has not fulfilled its obligations for its redemption.

7. Column 5 indicates the type of financial instrument.

8. Dates in columns 6 and 7 are indicated in the format "day.month.year".

9. In columns 30, 31, 32 and 33, the quantity of financial instruments is indicated depending on which personal account of the issuer the accounting of financial instruments is carried out.

10. Column 34 indicates the quantity of all financial instruments held on the personal accounts of the issuer, owner, or central depository, calculated as the sum of columns 8, 10, 12, 14, 16, 18, 20, 22, 24, 26, 28, 30, 31, 32 and 33.

11. Column 35 indicates the quantity of all holders of financial instruments, calculated as the sum of columns 9, 11, 13, 15, 17, 19, 21, 23, 25, 27 and 29.

12. In the absence of information, the Form is submitted with zero balances.

Appendix 19
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated October 29, 2018 No. 263

Form intended for the collection of administrative data

Report on Voting Shares of Issuers

Reporting period: as of "___" ______20__year

Index: 1-REG_GA

Frequency: Monthly

Submitted by: Central Depository

Form submitted to: National Bank of the Republic of Kazakhstan

Reporting deadline: Monthly, by the 10th day (inclusive) of the month following the reporting month.

Form

No	Issuer Information
Issuer Name	Issuer Location	Legal Entity State Registration (Re-registration) Number	Date of State Registration (Re-registration) of the Legal Entity	Business Identification Number
1	2	3	4	5	6

continuation of the table:

Share Issue Information
Share Identifier (National Identification Number (NIN), International Securities Identification Number (ISIN), or other security identifier must be specified)	Share Type	Number of Authorized Shares	Number of Issued Shares	Number of Shares Repurchased by the Issuer	Number of Voting Shares
7	8	9	10	11	12
…

Head of the Organization or Person Authorized by Him to Sign the Report

---

surname, first name, patronymic (if any) (signature)

Chief Accountant or Person Authorized by Him to Sign the Report

---

surname, first name, patronymic (if any) (signature)

Head of the Responsible Department or Person Authorized by Him to Sign the Report

---

surname, first name, patronymic (if any) (signature)

Executor: ______ ______

surname, first name, patronymic (if any) (signature)

Phone number ______

Date of signing the report “” ______ 20 year

Note: an explanation for filling out the form intended for collecting administrative data is provided in the appendix to this form.

Appendix

to the report form on

voting shares of issuers

Explanation for filling out the form intended for collecting administrative data

Report on Voting Shares of Issuers

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the form intended for collecting administrative data, "Report on Voting Shares of Issuers" (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 15) of paragraph 2 of Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market" and subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".

3. The Form is compiled monthly by the central depository as of the end of the reporting period.

4. The Form is signed by the head of the organization, chief accountant, head of the responsible department, or persons authorized by them to sign the report, and the executor.

Chapter 2. Explanation for Filling Out the Form

5. In the Form, voting shares mean issued shares minus shares repurchased by the issuer.

6. Column 2 specifies the full official name of the issuer.

7. Column 5 indicates the date in the format "day.month.year".

8. Column 8 indicates the type of share.

9. If there is no information, the Form is submitted with zero balances.

Appendix 20

to the resolution of the Board

of the National Bank

of the Republic of Kazakhstan

dated October 29, 2018 No. 263

Form intended for collecting administrative data

Report on the Register of Shareholders

Reporting period: as of “___” ______20__year

Index: 1-REG_RD

Frequency: Monthly

Submitted by: Central Depository

Form submitted to: National Bank of the Republic of Kazakhstan

Reporting deadline: Monthly, by the 20th day of the month following the reporting month.

Form

Table 1. Information on Issuers and Share Issues

| | | | | |
| --- | --- | --- | --- |
| No | Issuer Name | Business Identification Number (hereinafter - BIN) of the Issuer | Number of Authorized Shares | |
| Ordinary Shares | Preferred Shares | | | |
| 1 | 2 | 3 | 4 | 5 |
| | | | | |

continuation of the table

| | | | | |
| --- | --- | --- | --- |
| Number of Issued Shares | | Number of Voting Shares | Number of Shares Repurchased by the Issuer | |
| Ordinary Shares | Preferred Shares | Ordinary Shares | Preferred Shares | |
| 6 | 7 | 8 | 9 | 10 |
| | | | | |

Table 2. Shareholder Register

No	Issuer Name	Issuer BIN	Surname, First Name, Patronymic (if any) of a Physical Person or Name of a Legal Entity - Shareholder	Physical / Legal Entity	Individual Identification Number (hereinafter - IIN) / BIN or other identification number (for non-residents of the Republic of Kazakhstan)
1	2	3	4	5	6

continuation of the table

Type of Shareholder	Country of Residence			Type of Shares	Security Identifier (National Identification Number (NIN) or International Securities Identification Number (ISIN) or other security identifier must be specified)
Name	Country Code	Offshore Zone (Yes/No)
7	8	9	10	11	12

continuation of the table

Number of Issuer Shares on the Shareholder's Personal Account				Ratio of the Number of Shares Owned by the Shareholder to the Number of Issuer Shares (in percent)			Additional Information
Total	Including:
Number of Issuer Shares on the Shareholder's Personal Account Encumbered	Number of Blocked Issuer Shares on the Shareholder's Personal Account	Number of Issuer Shares on the Shareholder's Personal Account Transferred to Trust Management	Total	Voting	Issued (excluding preferred and repurchased company shares)
13	14	15	16	17	18	19	20

Table 3. Information on Shares That Were Encumbered, Blocked, or Transferred to Trust Management

| | | | | | | |
| --- | --- | --- | --- | --- | --- |
| No | Issuer Name | Issuer BIN | Surname, First Name, Patronymic (if any) of a Physical Person or Name of a Legal Entity - Shareholder | IIN / BIN or other identification number (for non-residents of the Republic of Kazakhstan) | Security Identifier (National Identification Number (NIN) or International Securities Identification Number (ISIN) or other security identifier must be specified) | Number of Shares |
| 1 | 2 | 3 | 4 | 5 | 6 | 7 |
| | | | | | | |

continuation of the table:

| | | | | | |
| --- | --- | --- | --- | --- |
| Status | Surname, First Name, Patronymic (if any) or Name of the Person in Whose Favor the Encumbrance Was Made | IIN/BIN or other identification number (for non-residents of the Republic of Kazakhstan) | Surname, First Name, Patronymic (if any) or Name of the Trustee | IIN/BIN or other identification number (for non-residents of the Republic of Kazakhstan) | Grounds |
| 8 | 9 | 10 | 11 | 12 | 13 |
| | | | | | |

Table 4. Report on Transactions with Issuer Shares

| | | | | | | | | | | |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| Item No | Issuer Name | Issuer BIN | Share Type | ISIN | Transaction Type | Number of Shares | Cost per Share | | Transaction Volume (tenge) | Share Owner |
| Currency Type | Amount | | | | | | | | | |
| 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 | 11 |
| | | | | | | | | | | |

continuation of the table:

| | | | | | | | | |
| --- | --- | --- | --- | --- | --- | --- |
| IIN / BIN or other identification number (for non-residents of the Republic of Kazakhstan) of the Share Owner | Country of Residence of the Share Owner | | Counterparty | IIN / BIN or other identification number (for non-residents of the Republic of Kazakhstan) of the Counterparty | Country of Residence of the Counterparty | | Date of Transaction Registration | Note |
| Name | Country Code | Name | Country Code | | | | | |
| 12 | 13 | 14 | 15 | 16 | 17 | 18 | 19 | 20 |
| | | | | | | | | |

Head of the Organization or Person Authorized by Him to Sign the Report

---

surname, first name, patronymic (if any) (signature)

Chief Accountant or Person Authorized by Him to Sign the Report

---

surname, first name, patronymic (if any) (signature)

Head of the Responsible Department or Person Authorized by Him to Sign the Report

---

surname, first name, patronymic (if any) (signature)

Executor: ______ ______

surname, first name, patronymic (if any) (signature)

Phone number ______

Date of signing the report “” ______ 20 year

Note: an explanation for filling out the form intended for collecting administrative data is provided in the appendix to this form.

Appendix

to the report form on the register of shareholders

Explanation for filling out the form intended for collecting administrative data

Report on the Register of Shareholders

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the form intended for collecting administrative data "Report on the Register of Shareholders" (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 15) of paragraph 2 of Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market" and subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".

3. The Form is compiled monthly by the central depository as of the end of the reporting period.

4. The Form is signed by the head of the organization, chief accountant, head of the responsible department, or persons authorized by them to sign the report, and the executor.

Chapter 2. Explanation for Filling Out the Form

5. The Form discloses the structure of shareholders of the following financial organizations:

1) second-tier banks;

2) organizations carrying out certain types of banking operations, excluding legal entities whose exclusive activity is organizing exchange operations with cash foreign currency, legal entities whose exclusive activity is the cashing of banknotes, coins, and valuables, and organizations providing services for ensuring informational, telecommunication, and technological interaction between participants in banking settlement activities, including settlements for payment card operations;

3) insurance (reinsurance) organizations;

4) investment portfolio managers.

6. The Form is filled out separately for each type of financial organization listed in paragraph 5.

7. Table 1 specifies the names of issuers, business identification numbers, as well as the number of authorized, issued, voting, and repurchased shares of the issuer.

8. Regarding Table 2:

1) Column 4 specifies the owner and/or nominee holder of the share, taking into account disclosure of information about owners whose shares are held in nomination and information available in the central depository's accounting system.

If there is information about owners whose shares are held in nomination, the table must be filled out using this information without indicating the nominal holder;

2) Column 5 specifies the subject of civil law: physical or legal entity;

3) Column 6 specifies the IIN/BIN or other identification number of the shareholder (for non-residents of the Republic of Kazakhstan). Completion of the IIN/BIN of the shareholder - resident of the Republic of Kazakhstan is mandatory;

4) Column 7 specifies the type of shareholder: owner or nominal holder;

5) Columns 8 and 9 specify the country name and code according to the World Countries Classifier published on the official Internet resource of the Committee for Statistics of the Ministry of National Economy of the Republic of Kazakhstan;

6) Column 10 information is determined in accordance with the Resolution of the Board of the Agency for Regulation and Supervision of the Financial Market and Financial Organizations of the Republic of Kazakhstan dated October 2, 2008 No. 145 "On Approval of the List of Offshore Zones for Banking and Insurance Activities, Professional Participants in the Securities Market and Other Licensed Types of Activities on the Securities Market, Accumulative Pension Funds and Joint Investment Funds Activities" (registered in the Registry of State Registration of Normative Legal Acts under No. 5371);

7) Column 11 specifies the type of share: ordinary or preferred;

8) Column 20 specifies information about the details of the shareholder's document, place of registration, and place of residence (or location) of the shareholder.

9. Table 3 specifies information on all issuer shares that, as of the reporting date, according to the Shareholder Register, are encumbered, blocked, or transferred to trust management.

10. Regarding Table 3:

1) Column 8 uses the following symbols:

“1” - Information on issuer shares that are encumbered;

“2” - Information on blocked issuer shares;

“3” - Information on issuer shares transferred to trust management;

“4” - Information on shares that are objects of repo operations.

2) Columns 9 and 10 specify the surname, first name, and patronymic (if any) or name, IIN/BIN or other identification number (for non-residents of the Republic of Kazakhstan) of the person in whose favor the encumbrance was made;

3) Columns 11 and 12 specify the surname, first name, and patronymic (if any) or name, IIN/BIN or other identification number (for non-residents of the Republic of Kazakhstan) of the person in whose favor the transfer to trust management was made;

4) Column 13 specifies the grounds for encumbrance, blocking, and transfer to trust management, indicating the name and details of supporting documents.

In Table 3, information on shares that are objects of repo operations must also be indicated.

11. Regarding Table 4:

1) Column 2 specifies the name of the issuer, with respect to whose shares transactions were concluded;

2) Column 6 specifies the type of transaction (purchase, sale, and other transactions, excluding opening and closing repo operations);

3) Column 7 specifies the number of shares for which the transaction was conducted;

4) Columns 8 and 9 specify the currency type and the cost of one share for which the transaction was conducted in the corresponding transaction currency;

5) Column 10 specifies the volume of transactions (in tenge);

6) Column 11 specifies the owner of the share from whose personal account the shares were debited. For legal entities, the name of the legal entity is specified. For physical persons, the surname, first name, and patronymic (if any) are specified;

7) Columns 13 and 14 specify the name and code of the country of residence of the holder of the share, from whose personal account the shares were debited, in accordance with the World Countries Classifier published on the official Internet resource of the Committee for Statistics of the Ministry of National Economy of the Republic of Kazakhstan;

8) Column 15 specifies the counterparty to whom the shares were credited to their personal account. For legal entities, the name of the legal entity is specified. For physical persons, the surname, first name, and patronymic (if any) are specified;

9) Columns 17 and 18 specify the name and code of the country of residence of the registered person to whom the shares were credited to their personal account, in accordance with the World Countries Classifier published on the official Internet resource of the Committee for Statistics of the Ministry of National Economy of the Republic of Kazakhstan;

10) Column 19 specifies the date of transaction registration in the format "dd.mm.yyyy".

Table 4 specifies data on transactions involving the debit (credit) of shares from (to) personal accounts of registered persons, excluding data on opening and closing repo operations.

12. If there is no information, the Form is submitted with zero balances.

Appendix 21

to the resolution of the Board

of the National Bank

of the Republic of Kazakhstan

dated October 29, 2018 No. 263

Rules for Submission of Reports by the Central Depository

1. The Rules for Submission of Reports by the Central Depository are developed in accordance with the laws of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market" and dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations" and define the procedure for submitting reports by the central depository to the National Bank of the Republic of Kazakhstan (hereinafter - the authorized body).

2. The Central Depository submits reports to the authorized body in electronic format.

3. Data in the reports are indicated in the national currency of the Republic of Kazakhstan - tenge.

Appendix 22

to the resolution of the Board

of the National Bank

of the Republic of Kazakhstan

dated October 29, 2018 No. 263

List of Certain Resolutions of the Board of the National Bank of the Republic of Kazakhstan Declared Invalid

1. Resolution of the Board of the National Bank of the Republic of Kazakhstan dated July 17, 2015 No. 130 "On Approval of the List, Forms, Reporting Deadlines for the Central Depository and Rules for Their Submission" (registered in the Registry of State Registration of Normative Legal Acts under No. 12071, published on October 28, 2015 in the information and legal system "Adilet");
2. Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 19, 2015 No. 256 "On Approval of the List, Forms, Reporting Deadlines for the Registrar and Rules for Their Submission" (registered in the Registry of State Registration of Normative Legal Acts under No. 13140, published on March 4, 2016 in the information and legal system "Adilet");
3. Paragraphs 4 and 5 of the List of Normative Legal Acts of the Republic of Kazakhstan to Which Amendments and Additions Are Made Regarding the Submission of Reports by Professional Participants in the Securities Market, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated January 29, 2018 No. 5 "On Making Amendments and Additions to Some Normative Legal Acts of the Republic of Kazakhstan Regarding the Submission of Reports by Professional Participants in the Securities Market" (registered in the Registry of State Registration of Normative Legal Acts under No. 16498, published on March 19, 2018 in the Reference Control Bank of Normative Legal Acts of the Republic of Kazakhstan).