Resolution of the Board of the National Bank of the Republic of Kazakhstan dated November 26, 2019 No. 211 "On Approval of the List, Forms, Deadlines for Submission of Reporting by Licensees Operating in the Securities Market, the Single Operator, and Rules for Its Submission"

Registered in the Ministry of Justice of the Republic of Kazakhstan on December 3, 2019 under No. 19672

REPUBLICAN STATE INSTITUTION"NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN"		REPUBLICAN STATE INSTITUTION"NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN"
RESOLUTION OF THE BOARD		RESOLUTION OF THE BOARD
November 26, 2019 Almaty city		No. 211 Almaty city

On Approval of the List, Forms, Deadlines for Submission of Reporting by Licensees Operating in the Securities Market, the Single Operator, and Rules for Its Submission

In accordance with the Laws of the Republic of Kazakhstan of March 30, 1995 "On the National Bank of the Republic of Kazakhstan", of July 2, 2003 "On the Securities Market", and of March 19, 2010 "On State Statistics", the Board of the National Bank of the Republic of Kazakhstan RESOLVES:

1. Approve:

1. the list of reporting by licensees operating in the securities market, the single operator according to Appendix 1 to this Resolution;

2. the form of the report on securities acquired at the expense of own assets according to Appendix 2 to this Resolution;

3. the form of the report on reverse repo and repo transactions carried out at the expense of own assets according to Appendix 3 to this Resolution;

4. the form of the report on deposits and funds accounted for as part of own assets according to Appendix 4 to this Resolution;

5. the form of the report on investments in the capital of other legal entities at the expense of own assets according to Appendix 5 to this Resolution;

6. the form of the report on loans issued and accounts receivable accounted for as part of own assets and client assets according to Appendix 6 to this Resolution;

7. the form of the report on investment funds according to Appendix 7 to this Resolution;

8. the form of the report on the structure of the investment portfolio acquired at the expense of client assets according to Appendix 8 to this Resolution;

9. the form of the report on the structure of other property of the investment fund according to Appendix 9 to this Resolution;

10. the form of the report on investments of the investment fund and other clients in the capital of legal entities that are not joint-stock companies according to Appendix 10 to this Resolution;

11. the form of the report on the value of pension assets according to Appendix 11 to this Resolution;

12. the form of the report on the structure of the investment portfolio of pension assets according to Appendix 12 to this Resolution;

13. the form of the report on the volumes of pension savings and the number of contributors/recipients of voluntary pension contributions according to Appendix 13 to this Resolution;

14. the form of the report on pension payments according to Appendix 14 to this Resolution;

15. the form of the report on concluded transactions on investing client assets according to Appendix 15 to this Resolution;

16. the form of the report on concluded transactions on investing own assets according to Appendix 16 to this Resolution;

17. the form of the report on completed transactions on investing client assets and own assets in derivative financial instruments according to Appendix 17 to this Resolution;

18. the form of the report on completed transactions on investing client assets and own assets with affiliated persons according to Appendix 18 to this Resolution;

19. the form of the report on transactions (operations) with financial instruments carried out (registered) on the unorganized market of the Republic of Kazakhstan and international (foreign) securities markets according to Appendix 19 to this Resolution;

20. the form of information on the organization holding a license to carry out brokerage and (or) dealing activities on the securities market of the Republic of Kazakhstan according to Appendix 20 to this Resolution;

21. the form of the report on transactions with derivative financial instruments according to Appendix 21 to this Resolution;

22. the form of the report on balances of funds held in broker accounts according to Appendix 22 to this Resolution;

23. the form of the report on services provided by a broker and (or) dealer according to Appendix 23 to this Resolution;

24. the form of the report on securities held in nominal custody according to Appendix 24 to this Resolution;

25. the form of the report on securities issued in accordance with the legislation of a foreign state held in nominal custody according to Appendix 25 to this Resolution;

26. the form of the report on compliance with prudential standards by organizations carrying out investment portfolio management and (or) brokerage and (or) dealing activities on the securities market according to Appendix 26 to this Resolution;

27. the form of the report on compliance with investment limits according to Appendix 27 to this Resolution;

28. the form of the report on blocked (unexecuted) client orders according to Appendix 28 to this Resolution;

29. the form of the report on the number of custodian clients according to Appendix 29 to this Resolution;

30. the form of the report on the movement of pension assets on the investment account in national currency according to Appendix 30 to this Resolution;

31. the form of the report on the movement of pension assets on the investment account in foreign currency according to Appendix 31 to this Resolution;

32. the form of the report on the structure of the investment portfolio of pension assets according to Appendix 32 to this Resolution;

33. the form of the report on accrued and paid commission fees according to Appendix 33 to this Resolution;

34. the form of the report on buy/sell orders for securities according to Appendix 34 to this Resolution;

35. the form of the report on the results of securities trading with indication of the parties to the transactions according to Appendix 35 to this Resolution;

36. the form of the report on orders for repo transactions with securities according to Appendix 36 to this Resolution;

37. the form of the report on repo transactions with securities with indication of their participants according to Appendix 37 to this Resolution;

38. the form of the report on orders for buy/sell of derivative financial instruments according to Appendix 38 to this Resolution;

39. the form of the report on the results of trading in derivative financial instruments with indication of the parties to the transactions according to Appendix 39 to this Resolution;

40. the form of the report on orders for buy/sell of foreign currencies according to Appendix 40 to this Resolution;

41. the form of the report on the results of trading in foreign currencies according to Appendix 41 to this Resolution;

42. the form of the report on unexecuted transactions/operations according to Appendix 42 to this Resolution;

43. the form of the report on the transfer of obligations for settlement execution with the participation of a custodian according to Appendix 43 to this Resolution;

44. the form of the report on members of the trading organizer according to Appendix 44 to this Resolution;

45. the form of the report on securities included in separate sectors (categories) of the trading organizer's list according to Appendix 45 to this Resolution;

46. the form of the report on financial instruments, excluding securities included in the trading organizer's list, according to Appendix 46 to this Resolution;

47. the form of the report on transaction volumes according to Appendix 47 to this Resolution;

48. the form of the report on the capitalization of the securities market according to Appendix 48 to this Resolution;

49. the form of the report on client accounts according to Appendix 49 to this Resolution;

50. the form of the report on transactions with persons related to the trading organizer by special relations, concluded during the reporting month, as well as acting on the reporting date, and the register of persons related to the trading organizer by special relations according to Appendix 50 to this Resolution;

51. the form of the report on completed transactions on investing own assets according to Appendix 51 to this Resolution;

52. the form of the credit risk calculation according to Appendix 52 to this Resolution;

53. the form of the breakdown of the current liquidity coefficient according to Appendix 53 to this Resolution;

54. the form of the report on compliance with prudential standards according to Appendix 54 to this Resolution;

55. the form of the report on net claims and net obligations of entities using the services of a clearing organization according to Appendix 55 to this Resolution;

56. the form of the report on entities using the services of a clearing organization according to Appendix 56 to this Resolution;

57. the form of the report on financial instruments accepted for clearing services according to Appendix 57 to this Resolution;

58. the form of the report on entities using the services of a clearing organization, improperly fulfilling their obligations under transactions according to Appendix 58 to this Resolution.

59. Rules for the submission of reporting by licensees operating in the securities market, the single operator according to Appendix 59 to this Resolution.

2. Organizations carrying out activities in investment portfolio management (hereinafter – investment portfolio manager), brokerage and (or) dealing activities on the securities market (hereinafter – brokers and (or) dealers), trading organizers submit to the National Bank of the Republic of Kazakhstan (hereinafter – National Bank) in electronic format, monthly, no later than the fifth working day of the month following the reporting month, reporting in accordance with Appendices 2, 3, 4, 5 to this Resolution.

In addition to the reporting provided for in the first part of this paragraph, the investment portfolio manager submits to the National Bank in electronic format, monthly, no later than the fifth working day of the month following the reporting month, reporting in accordance with Appendices 6, 7, 8, 9, 10, 15, 16, 17, 18, 26 to this Resolution.

The investment portfolio manager with the right to attract voluntary pension contributions (hereinafter – voluntary accumulated pension fund) additionally submits to the National Bank in electronic format, monthly, no later than the fifth working day of the month following the reporting month, reporting in accordance with Appendices 11, 12, 13, 14, 27 to this Resolution.

In case of management of voluntary accumulated pension fund pension assets by the single accumulated pension fund in accordance with an asset investment management agreement concluded with the National Bank, the voluntary accumulated pension fund submits reporting in accordance with Appendices 11, 12, 13, 14 separately for the assets of the single accumulated pension fund and pension assets under management.

In addition to the reporting provided for in the first part of this paragraph, brokers and (or) dealers submit to the National Bank in electronic format, monthly, no later than the fifth working day of the month following the reporting month, reporting in accordance with Appendices 6, 19, 22 and 26 to this Resolution.

Brokers and (or) dealers additionally submit to the National Bank in electronic format, quarterly, no later than the last day of the month following the reporting quarter, reporting in accordance with Appendices 20, 21, 23, 24 and 25 to this Resolution.

The single operator submits to the National Bank in electronic format, quarterly, no later than the last day of the month following the reporting quarter, reporting in accordance with Appendices 24 and 25 to this Resolution.

The custodian submits to the National Bank in electronic format quarterly, no later than the last working day of the month following the reporting quarter, reporting in accordance with Appendices 24, 25, 28 and 29 to this Resolution.

The custodian of the voluntary accumulated pension fund additionally submits to the National Bank in electronic format, monthly, no later than the fifth working day of the month following the reporting month, reporting in accordance with Appendices 30, 31, 32 and 33 to this Resolution.

The trading organizer submits to the National Bank in electronic format, daily, by the end of the next working day, reporting in accordance with Appendices 34, 35, 36, 37, 38, 39, 40, 41, 42 and 43 to this Resolution.

The trading organizer submits to the National Bank in electronic format, monthly, no later than the fifth working day of the month following the reporting month, reporting in accordance with Appendices 44, 45, 46, 47, 48, 49, 50, 51, 52, 53 and 54 to this Resolution.

The clearing organization submits to the National Bank in electronic format, daily, by the end of the next working day, reporting in accordance with Appendix 55 to this Resolution.

The clearing organization submits to the National Bank in electronic format, monthly, no later than the fifth working day of the month following the reporting month, reporting in accordance with Appendices 56, 57 and 58 to this Resolution.

The voluntary accumulated pension fund holding a license to carry out brokerage and (or) dealing activities does not submit to the National Bank reporting in accordance with Appendices 21, 22, 23, 24, 25 to this Resolution.

Second-tier banks and the National Post Operator holding a license to carry out brokerage and (or) dealing activities on the securities market do not submit to the National Bank reporting in accordance with Appendices 2, 3, 4, 5, 6 to this Resolution.

Brokers and (or) dealers without the right to maintain client accounts do not submit to the National Bank reporting in accordance with Appendices 24 and 25 to this Resolution.

The investment portfolio manager holding a license to engage in brokerage and (or) dealing activities on the securities market does not submit to the National Bank reporting in accordance with Table 1 of Appendix 16 to this Resolution.

The trading organizer, at least twenty-five percent of the total number of voting shares of which belong to the National Bank, does not submit to the National Bank reporting in accordance with Appendices 2, 3, 4 and 5 to this Resolution.

Insurance (reinsurance) organizations holding a license to carry out activities in investment portfolio management do not submit to the National Bank reporting in accordance with this Resolution.

Foreign exchange assets of the National Bank and assets of the National Fund of the Republic of Kazakhstan transferred to trust management are not indicated by the investment portfolio manager when filling out the forms established by Appendices 7, 8, 9, 10, 15, 16, 17 and 18 to this Resolution.

3. Recognize as invalid the normative legal acts of the Republic of Kazakhstan, as well as structural elements of some normative legal acts of the Republic of Kazakhstan according to the list according to Appendix 60 to this Resolution.

4. The Department of Financial Market Statistics shall ensure in the manner established by the legislation of the Republic of Kazakhstan:

1. jointly with the Legal Department the state registration of this Resolution in the Ministry of Justice of the Republic of Kazakhstan;

2. placement of this Resolution on the official Internet resource of the National Bank after its official publication;

3. within ten working days after the state registration of this Resolution, submission to the Legal Department of information on the implementation of measures provided for in sub-paragraph 2) of this paragraph and paragraph 5 of this Resolution.

5. The Department of External Communications – Press Service of the National Bank shall ensure within ten calendar days after the state registration of this Resolution the sending of its copy for official publication in periodical print editions.

6. Control over the implementation of this Resolution shall be entrusted to the Deputy Chairman of the National Bank M.E. Abylkasymova.

7. This Resolution enters into force on January 1, 2020 and is subject to official publication.

Chairman
National Bank E. Dosayev

"APPROVED"

Committee on Statistics
Ministry of National Economy
Republic of Kazakhstan

"___" ______ 2019

Appendix 1
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan of November 26, 2019 No. 211

List of reporting by licensees operating in the securities market, the single operator

Reporting by licensees operating in the securities market, the single operator includes:

1. report on securities acquired at the expense of own assets;

2. report on reverse repo and repo transactions carried out at the expense of own assets;

3. report on deposits and funds accounted for as part of own assets;

4. report on investments in the capital of other legal entities at the expense of own assets;

5. report on loans issued and accounts receivable accounted for as part of own assets and client assets;

6. report on investment funds;

7. report on the structure of the investment portfolio acquired at the expense of client assets;

8. report on the structure of other property of the investment fund;

9. report on investments of the investment fund and other clients in the capital of legal entities that are not joint-stock companies;

10. report on the value of pension assets;

11. report on the structure of the investment portfolio of pension assets;

12. report on the volumes of pension savings and the number of contributors/recipients of voluntary pension contributions;

13. report on pension payments;

14. report on concluded transactions on investing client assets;

15. report on concluded transactions on investing own assets;

16. report on completed transactions on investing client assets and own assets in derivative financial instruments;

17. report on completed transactions on investing client assets and own assets with affiliated persons;

18. report on transactions (operations) with financial instruments carried out (registered) on the unorganized market of the Republic of Kazakhstan and international (foreign) securities markets;

19. information on the organization holding a license to carry out brokerage and (or) dealing activities on the securities market of the Republic of Kazakhstan;

20. report on transactions with derivative financial instruments;

21. report on balances of funds held in broker accounts;

22. report on services provided by a broker and (or) dealer;

23. report on securities held in nominal custody;

24. report on securities issued in accordance with the legislation of a foreign state held in nominal custody;

25. report on compliance with prudential standards by organizations carrying out investment portfolio management and (or) brokerage and (or) dealing activities on the securities market;

26. report on compliance with investment limits;

27. report on blocked (unexecuted) client orders;

28. report on the number of custodian clients;

29. report on the movement of pension assets on the investment account in national currency;

30. report on the movement of pension assets on the investment account in foreign currency;

31. report on the structure of the investment portfolio of pension assets;

32. report on accrued and paid commission fees;

33. report on buy/sell orders for securities;

34. report on the results of securities trading with indication of the parties to the transactions;

35. report on orders for repo transactions with securities;

36. report on repo transactions with securities with indication of their participants;

37. report on orders for buy/sell of derivative financial instruments;

38. report on the results of trading in derivative financial instruments with indication of the parties to the transactions;

39. report on orders for buy/sell of foreign currencies;

40. report on the results of trading in foreign currencies;

41. report on unexecuted transactions/operations;

42. report on the transfer of obligations for settlement execution with the participation of a custodian;

43. report on members of the trading organizer;

44. report on securities included in separate sectors (categories) of the trading organizer's list;

45. report on financial instruments, excluding securities included in the trading organizer's list;

46. report on transaction volumes;

47. report on the capitalization of the securities market;

48. report on client accounts;

49. report on transactions with persons related to the trading organizer by special relations, concluded during the reporting month, as well as acting on the reporting date, and the register of persons related to the trading organizer by special relations;

50. report on completed transactions on investing own assets;

51. credit risk calculation;

52. breakdown of the current liquidity coefficient;

53. report on compliance with prudential standards;

54. report on net claims and net obligations of entities using the services of a clearing organization;

55. report on entities using the services of a clearing organization;

56. report on financial instruments accepted for clearing services;

57. report on entities using the services of a clearing organization, improperly fulfilling their obligations under transactions.

Appendix 2
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan of November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the Internet resource: www.nationalbank.kz

Report on securities acquired at the expense of own assets

Administrative data form index: 1- RCB_CBSA

Frequency: monthly

Reporting period: as of "_____" ______ 20 __ year

Circle of persons submitting: investment portfolio managers; brokers and (or) dealers; trading organizers

Form

Table "Securities acquired at the expense of own assets

(in thousands of tenge)

No.	Name of Issuer	Issuer's Country	Type of Security	Identification Number	Number of Securities
Total	Encumbered Securities
Encumbered Securities, Total	Including Securities Transferred in Repo
1	2	3	4	5	6	7	8
1	Government Securities of the Republic of Kazakhstan
1.1.
…
2	Non-governmental Issued Securities of Organizations of the Republic of Kazakhstan
2.1.	Securities of second-level banks
2.1.1.
…
2.2.	Securities of legal entities, excluding second-level banks
2.2.1.
…
3	Securities of Foreign States
3.1.
…
4	Non-governmental Securities of Non-resident Issuers of the Republic of Kazakhstan
4.1.
…
5	Securities of International Financial Organizations
5.1.
…
6	Units
6.1.
…
7	Total

continuation of the table:

Currency of Acquisition	Purchase Price per Security	Period		Purchase Cost of Securities	Nominal Value
Date of Registration	Maturity Date	Currency	Cost per Security
9	10	11	12	13	14	15
…

continuation of the table:

Book Value of Securities
Total	Discount/Premium	Accrued Reward	Positive/Negative Adjustment	Encumbered Securities, Total	Including Securities Transferred in Repo	Reference: Formed Reserves (Provisions)
16	17	18	19	20	21	22
…

continuation of the table:

Accounting Category	Rating		Current Coupon Rate in Portfolio
At Date of Registration	At Reporting Date
23	24	25	26
…

Name ______ Address______

Phone ______

Email Address ______

Executor______ ______

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

Chief Accountant or Person Authorized to Sign the Report

---

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

Head or Person Authorized by Him to Sign the Report

---

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

Date “____” ______ 20__ year

Appendix
to form of the report on securities acquired from own assets

Explanation for filling out the administrative data form

“Report on Securities Acquired from Own Assets” (index: 1- RCB_CBSA, frequency: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for the collection of administrative data “Report on Securities Acquired from Own Assets” (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 “On the Securities Market”.

3. The Form is compiled monthly by the investment portfolio manager, broker and (or) dealer, trading organizer 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 or persons authorized to sign the report, and the executor.

Chapter 2. Explanation for Filling out the Form

5. In columns 2 and 3, the name of the issuer of the security and the country of its residency are indicated.

6. In column 4, the type of acquired security is indicated, specifying its type.

7. In column 5, the identification number of the security is indicated; for issued securities whose term of circulation has expired and for which the issuer has not fulfilled the obligations for their redemption - the identifier of claim rights.

8. In column 6, the number of acquired securities in pieces is indicated. Debt securities are indicated at nominal value in the currency of issue.

9. In column 7, the number of encumbered securities as of the reporting date is indicated, including the number of securities transferred in repo as of the reporting date. Debt securities are indicated at nominal value in the currency of issue.

10. In column 8, the number of encumbered securities transferred in repo as of the reporting date is indicated. Debt securities are indicated at nominal value in the currency of issue.

11. In columns 9 and 14, currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 “Codes for Designation of Currencies and Funds”.

12. In column 10, the price, with an accuracy of four decimal places, reflected in the primary document confirming the transaction (broker’s report and (or) dealer’s confirmation, confirmation received via the international interbank system for transferring information and making payments (SWIFT), in tenge. The price of debt securities is reflected in percent of the nominal value, with an accuracy of four decimal places, taking into account accrued and unpaid reward. In case of payment for the acquired security (except for debt securities) in foreign currency, this amount is reflected at the market exchange rate established on the date of settlement of the transaction.

13. In column 11, the date of initial recognition in accounting is indicated.

14. In column 12, the maturity date of debt securities is indicated.

15. In column 13, the purchase cost of securities is indicated, including expenses directly related to the acquisition, including rewards and commissions paid to agents, consultants, brokers (dealers), fees of stock exchanges, as well as banking services for transfer, reduced by the amount of the percentage paid by the buyer to the seller (if any). In case of payment for the acquired security in foreign currency, this amount is reflected at the market exchange rate established on the date of settlement of the transaction.

16. Columns 14 and 15 are filled for debt securities. In column 15, the monetary expression of the bond’s value determined at its issuance, on which a reward in percent is accrued for the coupon bond, as well as the amount payable to the bondholder upon its redemption, is indicated. The amount is indicated in the currency of issue.

17. In column 16, the value of securities reflected in accounting is indicated.

18. In column 17, the unamortized part of the discount (with a minus sign) or premium (in absolute value) is indicated.

19. In column 18, accrued but not received rewards are indicated. When filling out this column for debt securities - the coupon is indicated; for shares, dividends are indicated.

20. In column 19, positive or negative adjustment is indicated.

21. In column 20, the value of encumbered securities is indicated, including the value of securities transferred in repo as of the reporting date, indicated in accounting.

22. In column 21, the value of securities transferred in repo as of the reporting date, indicated in accounting, is indicated.

23. In column 22, the size of reserves (provisions) formed in accordance with international financial reporting standards is indicated. The size of reserves (provisions) is indicated in absolute value.

24. In column 23, the security category “measured at fair value through other comprehensive income”, “measured at fair value through profit or loss” or “measured at amortized cost” is indicated.

25. When filling out columns 24 and 25, the rating of the security for bonds, the rating of the issuer for shares, the rating of the country for government securities, assigned by one of the rating agencies specified in point 3 of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 24, 2012 No. 385 “On Establishing the Minimum Rating for Legal Entities and Countries, the Necessity of Which is Required in accordance with the Legislation of the Republic of Kazakhstan Regulating the Activities of Financial Organizations, the List of Rating Agencies Assigning this Rating” (registered in the Registry of State Registration of Normative Legal Acts under No. 8318). In the absence of a rating in columns 24 and 25, “no rating” is indicated. These columns are not filled for government securities of the Republic of Kazakhstan.

26. In column 26, the coupon rate for debt financial instruments as of the date of submission of the Form is indicated.

27. Columns 7, 8, 20 and 21 are filled with respect to securities specified in columns 6 and 16.

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

Appendix 3

to the Resolution of the Board

of the National Bank

of the Republic of Kazakhstan

dated November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the internet resource: www.nationalbank.kz

Report on Reverse Repo and Repo Operations Conducted from Own Assets

Index of administrative data form: 1- RCB_REPO_SA

Frequency: monthly

Reporting period: as of “_____” ______ 20 __ year

Circle of persons submitting: investment portfolio managers; brokers and (or) dealers; trading organizers

Form

Table “Reverse Repo and Repo Operations Conducted from Own Assets” (in thousands of tenge)

No.	Name of Issuer	Issuer's Country	Type of Security	Identification Number	Number of Securities	Nominal Value Currency	Period
Date of Operation Opening	Date of Operation Closing
1	2	3	4	5	6	7	8	9
1	Reverse Repo Operations
1.1.	Direct Method
1.1.1.
1.2.	Automatic Method
1.2.1.
2	Repo Operations
2.1.	Direct Method
2.1.1.
2.2.	Automatic Method
2.2.1.

continuation of the table:

Operation Term in Days	Reward Rate	Book Value	Reference: Formed Reserves (Provisions)	Rating		Stock Exchange List Category
At Date of Transaction	At Reporting Date	At Date of Transaction	At Reporting Date
10	11	12	13	14	15	16	17
…

Name ______ Address______

Phone ______

Email Address ______

Executor______ ______

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

Chief Accountant or Person Authorized to Sign the Report

---

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

Head or Person Authorized by Him to Sign the Report

---

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

Date “____” ______ 20__ year

Appendix
to the report form on operations

reverse repo and repo, conducted

from own assets

Explanation for filling out the administrative data form

“Report on Reverse Repo and Repo Operations Conducted from Own Assets” (index: 1- RCB_REPO_SA, frequency: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for the collection of administrative data “Report on Reverse Repo and Repo Operations Conducted from Own Assets” (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 “On the Securities Market”.

3. The Form is compiled monthly by the investment portfolio manager, broker and (or) dealer, trading organizer 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 or persons authorized to sign the report, and the executor.

Chapter 2. Explanation for Filling out the Form

5. In column 4, the type of security transferred and (or) acquired under repo and (or) reverse repo operations is indicated, specifying its type.

6. In column 6, the number of securities transferred and (or) acquired under repo and (or) reverse repo operations is indicated.

7. In column 7, currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 “Codes for Designation of Currencies and Funds”.

8. When filling out columns 14 and 15, the rating of the security for bonds, the rating of the issuer for shares, the rating of the country for government securities, assigned by one of the rating agencies specified in point 3 of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 24, 2012 No. 385 “On Establishing the Minimum Rating for Legal Entities and Countries, the Necessity of Which is Required in accordance with the Legislation of the Republic of Kazakhstan Regulating the Activities of Financial Organizations, the List of Rating Agencies Assigning this Rating” (registered in the Registry of State Registration of Normative Legal Acts under No. 8318) is reflected. In the absence of a rating in columns 14 and 15, “no rating” is indicated. These columns are not filled for government securities of the Republic of Kazakhstan.

9. In columns 16 and 17, the category of securities of residents of the Republic of Kazakhstan according to the official list of the stock exchange of the Republic of Kazakhstan is indicated. In the absence of a stock exchange list category of the Republic of Kazakhstan in columns 16 and 17, “no listing” is indicated. These columns are not filled for securities of non-residents of the Republic of Kazakhstan and government securities of the Republic of Kazakhstan.

10. 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 November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the internet resource: www.nationalbank.kz

Report on Deposits and Cash Included in Own Assets

Index of administrative data form: 1- RCB_Vklady_SA

Frequency: monthly

Reporting period: as of “_____” ______ 20 __ year

Circle of persons submitting: investment portfolio managers; brokers and (or) dealers; trading organizers

Form

Table “Deposits and Cash Included in Own Assets”

(in thousands of tenge)

No.	Name of Bank/Organization	Rating		Deposit Currency	Date of Conclusion and Number of Bank Deposit Contract		Term of Deposit (in days)
At Date of Deposit Placement	At Reporting Date	Date	Number
1	2	3	4	5	6	7	8
1.	Money in Accounts at Second-Level Banks
1.1.
…
2	Demand Deposits
2.1.
…
3	Time Deposits
3.1.
…
4	Conditional Deposits
4.1.
…
5.	Money in Accounts at Organizations Carrying Out Separate Types of Banking Operations
5.1.
…
6.	Money in Accounts at Organizations Providing Services in the Securities Market
6.1.
…
7.	Money in Transit
7.1.
…
8	Total

continuation of the table:

Reward Rate on Deposit (in percent per annum)	Principal Amount of Deposit		Book Value		Reference: Formed Reserves (Provisions)	Note
in tenge	in foreign currency	Total	Including Accrued Reward on Deposit
9	10	11	12	13	14	15
…

Name ______ Address______

Phone ______

Email Address ______

Executor______ ______

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

Chief Accountant or Person Authorized to Sign the Report

---

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

Head or Person Authorized by Him to Sign the Report

---

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

Date “____” ______ 20__ year

Appendix
to the report form on deposits and

cash, included in

own assets

Explanation for filling out the administrative data form

“Report on Deposits and Cash Included in Own Assets” (index: 1- RCB_Vklady_SA, frequency: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for the collection of administrative data “Report on Deposits and Cash Included in Own Assets” (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 “On the Securities Market”.

3. The Form is compiled monthly by the investment portfolio manager, broker and (or) dealer, trading organizer 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 or persons authorized to sign the report, and the executor.

Chapter 2. Explanation for Filling out the Form

5. When filling out columns 3 and 4, the rating of the second-level bank and the organization carrying out separate types of banking operations, assigned by one of the rating agencies specified in point 3 of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 24, 2012 No. 385 “On Establishing the Minimum Rating for Legal Entities and Countries, the Necessity of Which is Required in accordance with the Legislation of the Republic of Kazakhstan Regulating the Activities of Financial Organizations, the List of Rating Agencies Assigning this Rating” (registered in the Registry of State Registration of Normative Legal Acts under No. 8318) is reflected. In the absence of a rating in columns 3 and 4, “no rating” is indicated. These columns are not filled for deposits in the National Bank of the Republic of Kazakhstan.

6. In column 5, currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 “Codes for Designation of Currencies and Funds”.

7. In column 8, the term of the deposit under the bank deposit contract is indicated; in case of deposit extension, the term is reflected taking into account the extension.

8. In columns 10 and 11, the amount of placement of own assets in a deposit in the National Bank of the Republic of Kazakhstan, in second-level banks and organizations carrying out separate types of banking operations is indicated. In case of placement of assets in a deposit in foreign currency, column 11 is filled with simultaneous reflection of the equivalent in national currency - tenge in column 10; in case of placement of assets in a deposit in national currency - tenge, column 10 is filled.

9. If there are restrictions on the right of ownership of the deposit, the word “yes” is indicated in column 15.

10. The table is filled by indicating the amount of deposits and cash separately for each currency, second-level bank, organization carrying out separate types of banking operations, and organization providing services in the securities market under the corresponding contract. Own money of the investment portfolio manager, broker and (or) dealer in accounts at the central depository Astana International Exchange, intended for settlements on securities at Astana International Exchange (hereinafter – AIX), are indicated in line 6 of the Form.

11. 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 November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the internet resource: www.nationalbank.kz

Report on Investments in the Capital of Other Legal Entities from Own Assets

Index of administrative data form: 1- RCB_IKDU

Frequency: monthly

Reporting period: as of “_____” ______ 20 __ year

Circle of persons submitting: investment portfolio managers; brokers and (or) dealers; trading organizers

Form

Table “Investments in the Capital of Other Legal Entities from Own Assets” (in thousands of tenge)

No.	Name of Legal Entity	Purchase Cost	Book Value		Share in Authorized Capital (in %)	Date of Acquisition	Note
Total	Including Accrued Dividends
1	2	3	4	5	6	7	8
1
2
…

Name ______ Address______

Phone ______

Email Address ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date "____" ______ 20__ year

Appendix

to the investment report form

in the capital of other legal

entities from own assets

Explanation for filling out the administrative data form

"Report on investments in the capital of other legal entities from own assets" (index: 1- RCB_IKDU, frequency: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for collecting administrative data "Report on investments in the capital of other legal entities from own assets" (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled monthly by the investment portfolio manager, broker and/or dealer, organizer of trading 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 (thousand) tenge.

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

Chapter 2. Explanation for filling out the Form

5. The Form reflects information on the size of the organization's investments in the capital of associated organizations, as well as other legal entities.

6. All data of the Form are presented by the nature of the activity of the legal entity, in the capital of which the organization participates.

7. In column 4, the book value of investments in the capital of legal entities reflected in accounting is indicated.

8. In column 5, the amount of dividends accrued on investments in the capital of legal entities is indicated.

9. In column 7, the date of initial recognition reflected in accounting is reflected.

10. 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 November 26, 2019 No. 211

Form

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the Internet resource: www.nationalbank.kz

Report on issued loans and receivables included in own assets and client assets

Administrative data form index: 1- RCB_ DZ

Frequency: monthly

Reporting period: as of "_____" ______ 20 __ year

Persons submitting: investment portfolio managers; brokers and/or dealers

Form

Table "Issued loans and receivables included in own assets and client assets" (in thousands of tenge)

No.	Client name (own assets)/type of claim		Counterparty name (debtor)	Date of issuance (occurrence)	Date of repayment (closure)	Currency	Reward rate
1	2		3	4	5	6	7
1.	Total for own assets
1.1.
…
2.	Total for investment fund assets
2.1.
…
3.	Total for other clients' assets
3.1.
…

continuation of the table:

Current value of claim as of the reporting date		Reference: formed reserves (provisions)	Basis of the transaction
total (in tenge)	including accrued reward
8	9	10	11
…

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date "____" ______ 20__ year

Appendix

to form of the report on issued

loans and receivables,

included in own

assets and client assets

Explanation for filling out the administrative data form

"Report on issued loans and receivables included in own assets and client assets" (index: 1- RCB_ DZ, frequency: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for collecting administrative data "Report on issued loans and receivables included in own assets and client assets" (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled monthly by the investment portfolio manager, broker and/or dealer 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 (thousand) tenge.

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

Chapter 2. Explanation for filling out the Form

5. The Form reflects information on issued loans and receivables included in the own assets of the broker and/or dealer and/or investment portfolio manager, and client assets of the investment portfolio manager, including claims under assignment agreements.

Amounts of receivables associated with the provision of services by the broker and/or dealer and/or investment portfolio manager in the framework of professional activities in the securities market, as well as with administrative and economic activities, are presented in aggregated form. For receivables associated with the provision of services by the broker and/or dealer and/or investment portfolio manager in the framework of professional activities in the securities market, as well as with administrative and economic activities, columns 3, 4, 5, 6, 7 and 11 are not filled.

6. In column 3, the name of the counterparty (debtor) is indicated.

7. In column 4, the date of issuance of the loan or the date of occurrence of the receivable (claim under assignment agreements) is indicated.

When reflecting the issuer's debt on the payment of rewards for securities, the date of compilation of the list of security holders entitled to receive rewards for securities, established by the securities issue prospectus and/or the decision of the general meeting of shareholders of the issuer, is indicated.

8. In column 5, the date of repayment of the loan or the date of fulfillment of obligations on receivables is indicated.

9. In column 6, the currency of the loan or receivable is indicated. Currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 "Codes for the designation of currencies and funds".

10. In columns 8-9, the current value of the claim is indicated, with the accrued reward indicated if any.

11. In column 10, the amount of reserves (provisions) for the asset is reflected in case of presence.

12. In column 11, the primary accounting document (loan issuance agreement, assignment of claim agreement, agreements and others) on the basis of which the loan was issued or the receivable arose is indicated.

13. 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 November 26, 2019 No. 211

Form

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the Internet resource: www.nationalbank.kz

Report on investment funds

Administrative data form index: 1- RCB_IF

Frequency: monthly

Reporting period: as of "_____" ______ 20 __ year

Persons submitting: investment portfolio managers

Form

Table "Investment Funds" (in thousands of tenge)

Name of investment fund	Number of shares (stocks) in circulation	Net asset value per share (for unit investment fund)		Return on share (for unit investment fund), in % per annum
at the beginning of the reporting period	at the end of the reporting period
1	2	3	4	5

continuation of the table:

Stock value (for joint-stock investment fund)	Number of unit holders legal entities (for unit investment fund)	Number of unit holders natural persons (for unit investment fund)	Name of bank - custodian	Note
6	7	8	9	10

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date "____" ______ 20__ year

Appendix

to the report form on

investment funds

Explanation for filling out the administrative data form

"Report on investment funds" (index: 1- RCB_IF, frequency: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for collecting administrative data "Report on investment funds" (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled monthly by the investment portfolio manager and filled in as of the end of the reporting period. Data in the Form is filled in thousands of tenge.

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

Chapter 2. Explanation for filling out the Form

5. Column 5 is filled according to the formula ((P1/P2-1)/N x 365 days x 100), where:

P1 - net asset value per share at the end of the reporting period (column 4);

P2 - net asset value per share at the beginning of the reporting period (column 3);

N - number of days in the reporting period.

6. Columns 3, 4, 5 and 6 are reflected with four decimal places.

7. 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 November 26, 2019 No. 211

Form

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the Internet resource: www.nationalbank.kz

Report on the structure of the investment portfolio acquired from client assets

Administrative data form index: 1- RCB_СП_client

Frequency: monthly

Reporting period: as of "_____" ______ 20 __ year

Persons submitting: investment portfolio managers

Form

Table 1. Securities acquired from client assets

(in thousands of tenge)

No.	Client/issuer name		Issuer country	Type of security	Identification number	Number of securities (pieces)
total	including encumbered securities
encumbered securities, total	including securities transferred to repo
1	2		3	4	5	6	7	8
1.	Total for investment funds
1.1.
…
2.	Total for all other clients
2.1.
…
	Total:

continuation of the table:

Nominal value		Payment currency	Purchase price per security	Period		Purchase cost of security
currency	cost of one security	date of registration	date of maturity
9	10	11	12	13	14	15
…

continuation of the table:

Book value of securities
Total		including encumbered securities		Reference: formed reserves (provisions)
total (in tenge)	including accrued reward	encumbered securities, total	including securities transferred to repo
16	17	18	19	20
…

continuation of the table:

Rating		Category of stock exchange list		Current coupon rate in portfolio
at the date of registration	at the reporting date	at the date of registration	at the reporting date
21	22	23	24	25
…

Table 2. Securities acquired through reverse repo operations from client assets

(in thousands of tenge)

No.	Client/issuer name		Issuer country	Type of security	Identification number	Number of securities (pieces)	Nominal value currency	Transaction currency	Opening price per security
total (in tenge)	in nominal value currency
1	2		3	4	5	6	7	8	9	10
1.	Total for investment funds
1.1.
…
2.	Total for all other clients
2.1.
…
	Total:

continuation of the table:

Closing price per security		Period		Book value of securities	Yield rate on transaction	Rating		Category of stock exchange list
total (in tenge)	in nominal value currency	Date of opening of transaction	Date of closing of transaction	at the date of registration	at the reporting date	at the date of registration	at the reporting date
11	12	13	14	15	16	17	18	19	20
…

Table 3. Deposits in second-level banks

(in thousands of tenge)

No.	Client/bank name		Bank rating		Deposit currency	Date of conclusion and number of bank deposit contract		Deposit term (in days)
at the date of deposit placement	at the reporting date	date	number
1	2		3	4	5	6	7	8
1.	Total for investment funds
1.1.
…
2.	Total for all other clients
2.1.
…
	Total:

continuation of the table:

Reward payment period		Reward rate (in percent per annum)		Principal amount of deposit		Book value		Reference: formed reserves (provisions)
frequency	date	nominal	effective	total (in tenge)	foreign currency	total	including, accrued reward
9	10	11	12	13	14	15	16	17
…

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date "____" ______ 20__ year

Appendix

to the report form on the structure

of the investment portfolio,

acquired from

client assets

Explanation for filling out the administrative data form

"Report on the structure of the investment portfolio acquired from client assets" (index: 1- RCB_СП_client, frequency: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for collecting administrative data "Report on the structure of the investment portfolio acquired from client assets" (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled monthly by the investment portfolio manager and filled in 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 (thousand) tenge.

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

Chapter 2. Explanation for filling out the Form

5. The Form is filled out in respect of each investment fund and for all clients who are not investment funds.

6. For Table 1:

1. in column 2, the surname, first name and patronymic (if any) or name of the client of the investment portfolio manager and the issuer of the security is indicated;

2. in column 4, the type of acquired security is indicated with its type specified;

3. in column 6, the number of acquired securities in pieces is indicated. Debt securities are indicated at nominal value in the currency of issue;

4. in column 7, the number of encumbered securities as of the reporting date is indicated, including the number of securities transferred to repo as of the reporting date. Debt securities are indicated at nominal value in the currency of issue;

5. in column 8, the number of securities transferred to repo as of the reporting date is indicated. Debt securities are indicated at nominal value in the currency of issue;

6. in columns 9 and 11, currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 "Codes for the designation of currencies and funds";

7. column 10 is filled for debt securities;

8. in column 12, the price is indicated with an accuracy of four decimal places, reflected in the primary document confirming the transaction (broker and/or dealer report, confirmation received via the international interbank system for transmitting information and making payments (SWIFT), in tenge. The price of debt securities is reflected in percent of nominal value, with an accuracy of four decimal places, taking into account accrued and unpaid reward. In case of payment for the acquired security (except for debt securities) in foreign currency, this amount is reflected at the market exchange rate prevailing on the date of settlement of the transaction;

9. in column 13, the date of initial recognition in accounting is reflected;

10. in column 14, the maturity date of debt securities is indicated;

11. in column 15, the purchase cost of financial instruments is indicated, including expenses directly related to acquisition, including rewards and commissions paid to agents, consultants, brokers (dealers), fees of stock exchanges, as well as banking services for transfer, reduced by the amount of the percentage paid by the buyer to the seller (if any). In case of payment for the acquired security in foreign currency, this amount is reflected at the market exchange rate prevailing on the date of settlement of the transaction;

12. in column 16, the value of securities reflected in accounting is indicated;

13. in column 18, the value of encumbered securities is indicated, including the value of securities transferred to repo as of the reporting date, indicated in accounting;

14. in column 19, the value of securities transferred to repo as of the reporting date is indicated, indicated in accounting;

15. in column 20, the amount of formed reserves (provisions) reflected in accounting is indicated;

16. when filling columns 21 and 22, the rating of the security for bonds, the rating of the issuer for stocks, the rating of the country for government securities, assigned by one of the rating agencies specified in paragraph 3 of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 24, 2012 No. 385 "On establishing the minimum rating for legal entities and countries, the presence of which is required in accordance with the legislation of the Republic of Kazakhstan regulating the activities of financial organizations, the list of rating agencies assigning this rating" (registered in the Registry of State Registration of Regulatory Legal Acts under No. 8318). In the absence of a rating in columns 21 and 22, "no rating" is indicated. These columns are not filled for government securities of the Republic of Kazakhstan. Column 21 reflects the rating at the date of initial recognition in accounting;

17. in columns 23 and 24, the category of securities of residents of the Republic of Kazakhstan is indicated according to the official list of the stock exchange of the Republic of Kazakhstan. In the absence of a stock exchange list category of the Republic of Kazakhstan in columns 23 and 24, "no listing" is indicated. These columns are not filled for securities of non-residents of the Republic of Kazakhstan and government securities of the Republic of Kazakhstan. Column 23 reflects the stock exchange list category at the date of initial recognition in accounting;

18. in column 25, the coupon rate for debt financial instruments as of the date of submission of the Form is indicated;

19. columns 7, 8, 18 and 19 are filled in respect of securities specified in columns 6 and 16;

20. The table does not include securities acquired using pension assets.

7. Regarding Table 2:

1. In column 2, the surname, first name, and patronymic (if any) or the name of the client of the investment portfolio manager and the issuer of the security is indicated;

2. In column 4, the type of security acquired through reverse repo operations is indicated, specifying its type;

3. In columns 7 and 8, currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 "Codes for the designation of currencies and funds";

4. In columns 9 and 10, the price is indicated with an accuracy of four decimal places, reflected in the primary document confirming the execution of the reverse repo operation. In case of payment for the acquired security in foreign currency, columns 10 and 12 are filled with simultaneous reflection of the equivalent in the national currency - tenge in columns 9 and 11; in case of payment for the acquired security in the national currency - tenge, columns 9 and 11 are filled;

5. In column 15, the value reflected in accounting is indicated;

6. When filling in columns 17 and 18, the rating of the security for bonds, the rating of the issuer for shares, the country rating for government securities, assigned by one of the rating agencies specified in paragraph 3 of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 24, 2012 No. 385 "On establishing the minimum rating for legal entities and countries, the presence of which is required in accordance with the legislation of the Republic of Kazakhstan regulating the activities of financial organizations, the list of rating agencies assigning this rating" (registered in the Registry of State Registration of Regulatory Legal Acts under No. 8318) is reflected. In the absence of a rating, "no rating" is indicated in columns 17 and 18. These columns are not filled for government securities of the Republic of Kazakhstan. Column 17 reflects the rating on the date of initial recognition in accounting;

7. In columns 19 and 20, the category of securities of residents of the Republic of Kazakhstan is indicated according to the official list of the stock exchange of the Republic of Kazakhstan. In the absence of a category from the list of the stock exchange of the Republic of Kazakhstan, "no listing" is indicated in columns 19 and 20. These columns are not filled for securities of non-residents of the Republic of Kazakhstan and government securities of the Republic of Kazakhstan. Column 19 reflects the category on the date of initial recognition in accounting;

8. The table does not include securities acquired through reverse repo operations using pension assets.

8. Regarding Table 3:

1. In column 2, the surname, first name, and patronymic (if any) or the name of the client of the investment portfolio manager and the bank is indicated;

2. When filling in columns 3 and 4, the rating of the second-tier bank assigned by one of the rating agencies specified in paragraph 3 of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 24, 2012 No. 385 "On establishing the minimum rating for legal entities and countries, the presence of which is required in accordance with the legislation of the Republic of Kazakhstan regulating the activities of financial organizations, the list of rating agencies assigning this rating" (registered in the Registry of State Registration of Regulatory Legal Acts under No. 8318) is reflected. In the absence of a rating, "no rating" is indicated in columns 3 and 4. These columns are not filled for deposits in the National Bank of the Republic of Kazakhstan;

3. In column 5, currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 "Codes for the designation of currencies and funds";

4. In column 8, the term of the deposit under the bank deposit agreement is indicated; in case of deposit extension, the term is reflected taking into account the extension;

5. In columns 9 and 10, the date and frequency of payment of accrued remuneration are indicated in accordance with the terms of the bank deposit agreement;

6. In columns 13 and 14, the amount of placement of client assets in a deposit in the National Bank of the Republic of Kazakhstan and in second-tier banks is indicated. In case of placement of pension assets in a deposit in foreign currency, column 14 is filled with simultaneous reflection of the equivalent in the national currency - tenge in column 13; in case of placement of pension assets in a deposit in the national currency - tenge, column 13 is filled;

7. In column 15, the value reflected in accounting is indicated;

8. The table is filled with the amount of deposits separately for each bank and for each deposit currency;

9. The table does not include deposits placed using pension assets.

9. 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 November 26, 2019 No. 211

Form
Form intended for the collection of administrative data Submitted to: National Bank of the Republic of Kazakhstan The administrative data form is posted on the website: www.nationalbank.kz

Report on the structure of other assets of the investment fund Administrative data form index: 1- RCB_PROPERTY Frequency: monthly Reporting period: as of "_____" ______ 20 __ year Entities submitting: investment portfolio managers

Form
Table "Structure of other assets of the investment fund"
(in thousands of tenge)

No.	Name of investment fund	Name of asset	Acquisition cost	Book value	Date of registration	Note
1	2	3	4	5	6	7
1.	x	Land plots
1.1.
…
2	x	Buildings and structures
2.1.
…
3.	x	Other fixed assets
3.1.
…
	Total

Name ______ Address______

Phone ______

Email ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date "____" ______ 20__ year

Appendix
to form of the report on the structure of other assets of the investment fund

Explanation for filling out the administrative data form "Report on the structure of other assets of the investment fund" (index: 1- RCB_PROPERTY, frequency: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for the collection of administrative data "Report on the structure of other assets of the investment fund" (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled monthly by the investment portfolio manager and filled out as of the end of the reporting period. Data in the Form are filled out 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 or persons authorized to sign the report, and the executor.

Chapter 2. Explanation for filling out the Form

5. In column 3, the name of other assets and their location are indicated.

6. In column 4, information that is evaluated at actual costs is indicated. Costs incurred in making the transaction (directly related to the acquisition of other assets), including remuneration and commission fees paid to agents, suppliers, as well as bank expenses for transfer, are included in the cost of this asset. The cost of other assets on this date also includes remuneration accrued for the period prior to the acquisition (if any).

7. In column 5, the value of the asset reflected in accounting is indicated.

8. 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 November 26, 2019 No. 211

Form
Form intended for the collection of administrative data Submitted to: National Bank of the Republic of Kazakhstan The administrative data form is posted on the website: www.nationalbank.kz

Report on investments of the investment fund and other clients in the capital of legal entities that are not joint-stock companies Administrative data form index: 1- RCB_IKDU_client Frequency: monthly Reporting period: as of "_____" ______ 20 __ year Entities submitting: investment portfolio managers

Form
Table "Investments of the investment fund and other clients in the capital of legal entities that are not joint-stock companies"
(in thousands of tenge)

No.	Name of client of the investment portfolio manager	Name of issuer	Purchase cost (in thousands of tenge)	Payment date	Book value (in thousands of tenge)	Share in the authorized capital of the issuer (%)	Date of registration of ownership rights	Note
1	2	3	4	5	6	7	8	9
1.	Total for investment funds
1.1.
...
2.	Total for all other clients
2.1.
...
	Total:

Name ______ Address______

Phone ______

Email ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date "____" ______ 20__ year

Appendix
to the report form on investments of the investment fund and other clients in the capital of legal entities that are not joint-stock companies

Explanation for filling out the administrative data form "Report on investments of the investment fund and other clients in the capital of legal entities that are not joint-stock companies" (index: 1- RCB_IKDU_client, frequency: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for the collection of administrative data "Report on investments of the investment fund and other clients in the capital of legal entities that are not joint-stock companies" (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled monthly by the investment portfolio manager and filled out as of the end of the reporting period. Data in the Form are filled out 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 or persons authorized to sign the report, and the executor.

Chapter 2. Explanation for filling out the Form

5. In column 2, the surname, first name, and patronymic (if any) of a physical person, the name of the investment fund or legal entity that is a client of the investment portfolio manager are indicated.

6. In column 4, the purchase cost of shares on the date of acquisition is reflected.

7. In column 6, the value of investments reflected in accounting is indicated.

8. The Form is filled out for each client separately.

9. 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 November 26, 2019 No. 211

Form
Form intended for the collection of administrative data Submitted to: National Bank of the Republic of Kazakhstan The administrative data form is posted on the website: www.nationalbank.kz

Report on the value of pension assets
Administrative data form index: 1- RCB_PA
Frequency: monthly
Reporting period: for ______ 20 __ year
Entities submitting: voluntary accumulated pension fund

Form
Table "Value of pension assets" (in tenge)

No.	Indicator	date, month, year	…	date, month, year
1.	2.	3.	…	…
1.	Balance on investment accounts at the beginning of the day, including:
1.1	in tenge
1.2	in foreign currencies
2.	Money received into investment accounts by the end of the day, including:
2.1	in tenge
2.2	in foreign currencies
3.	Money withdrawn from investment accounts by the end of the day, including:
3.1	in tenge
3.2	in foreign currencies
4.	Balance on investment accounts at the end of the day ((1)+(2)-(3)), including:
4.1	in tenge
4.2	in foreign currencies
5.	Value of other assets at the beginning of the day, including:
5.1	in tenge
5.2	in foreign currencies
6.	Value of other assets at the end of the day, including:
6.1	in tenge
6.2	in foreign currencies
7.	Total value of financial investments at the beginning of the day, including:
7.1	derivative financial instruments
8.	Financial instruments received by the end of the day
9.	Financial instruments withdrawn by the end of the day
10.	Total value of financial investments at the end of the day ((7)+(8)-(9)+(11)-(11.4.1)), including:
10.1	derivative financial instruments
11.	Accrued investment income (expense) at the end of the day, including
11.1	income (expenses) related to receiving remuneration on financial instruments
11.2	income (expenses) from changes in the value of securities evaluated at fair value
11.3	income (expenses) from changes in the value of other assets
11.4	income (expenses) from foreign currency revaluation, including:
11.4.1	income (expenses) from revaluation of money in the investment account and other assets
11.4.2	income (expenses) from revaluation of financial investments
11.5	income (expenses) related to the restoration (formation) of reserves (provisions) to cover possible losses from impairment of securities
11.6	other income (expenses)
12.	Total current value of pension assets at the end of the day ((4)+(6)+(10))
13.	Commission remuneration from pension assets at the end of the day, including:
13.1	accrued
13.2	paid
14.	Balance of debt on commission remuneration from pension assets
15.	Commission remuneration from investment income at the end of the day, including:
15.1	accrued
15.2	paid
16.	Balance of debt on commission remuneration from investment income
17.	Accrued pension obligations related to pension assets at the end of the day, including:
17.1	erroneous (incorrectly credited) amounts
17.2	payments and transfers
17.3	other
18.	Pension obligations related to pension assets executed by the voluntary accumulated pension fund at the end of the day:
18.1	erroneous (incorrectly credited) amounts from the investment account
18.2	payments and transfers
18.3	other
19.	Balance of pension obligations at the end of the day
20.	Total obligations for pension assets at the end of the day ((15)+(17)+(19)):
21.	Total value of "net" pension assets at the end of the day ((12)-(20))

Name ______ Address______

Phone ______

Email ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date "____" ______ 20__ year

Appendix
to the report form on the value of pension assets

Explanation for filling out the administrative data form "Report on the value of pension assets" (index: 1- RCB_PA, frequency: monthly)

Chapter 1. General Provisions,

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for the collection of administrative data "Report on the value of pension assets" (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled monthly by the voluntary accumulated pension fund and filled out for the reporting period. Data in the Form are filled out in tenge.

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

Chapter 2. Explanation for filling out the Form

5. The Form is filled out for each day of the reporting month. Information on the indicators "date, month, year" is indicated in the format "dd.mm.yyyy".

6. In rows 1.2, 2.2, 3.2, 4.2, 5.2 and 6.2, amounts equivalent to tenge are reflected.

7. The list of other assets at the end of the reporting period, reflected in row 6, is indicated in the note to the Form.

8. When filling in row 8, information on financial instruments that are evaluated at actual costs is indicated. Costs incurred in making the transaction (directly related to the acquisition of financial instruments), including remuneration and commissions paid to agents, consultants, brokers (dealers), fees of stock exchanges, as well as bank expenses for transfer, are included in the cost of these financial instruments. The cost of financial instruments also includes remuneration accrued for the period prior to the acquisition (if any).

9. When filling in row 9, information on realized or redeemed financial instruments at the actual cost of realization or redemption is indicated.

10. Information on row 10 is indicated in accordance with the data of the Report on the structure of the investment portfolio of pension assets.

11. When filling in row 11.5, reserves (provisions) are reflected once a month at the end of the day of their formation.

12. When filling in row 11.6, a list of sources of received income and information on incurred losses included in the value of pension assets is attached.

13. In rows 13 and 15, the amount of commission remuneration of the voluntary accumulated pension fund is indicated.

14. When filling in rows 14 and 16, the cumulative balance of debt on commission remuneration is indicated, taking into account data at the end of the reporting period.

15. When filling in rows 17.2 and 18.2, amounts of transfers of pension accumulations to the unified accumulated pension fund, other voluntary accumulated pension funds, to insurance organizations, amounts paid to recipients and other persons, amounts of personal income tax from pension payments are indicated.

16. When filling in rows 17.3 and 18.3, a list of obligations included in the value of pension assets is attached.

17. 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 November 26, 2019 No. 211

Form
Form intended for the collection of administrative data Submitted to: National Bank of the Republic of Kazakhstan The administrative data form is posted on the website: www.nationalbank.kz

Report on the structure of the investment portfolio of pension assets Administrative data form index: 1- RCB_SPPA Frequency: monthly Reporting period: as of "_____" ______ 20 __ year Entities submitting: voluntary accumulated pension fund

Form
Table 1. Securities acquired using pension assets
(in tenge)

No.	Name of issuer	Type of economic activity	Country of issuer	Type of security	Identification number
1	2	3	4	5	6
1	Government securities of the Republic of Kazakhstan
1.1.		x
…		x
2	Non-governmental issue securities of organizations of the Republic of Kazakhstan
2.1.	securities of second-tier banks
2.1.1.
…
2.2.	securities of legal entities, excluding second-tier banks
2.2.1.
…
3.	Securities of foreign states
3.1.		x
…		x
4.	Non-governmental securities of non-resident issuers of the Republic of Kazakhstan
4.1.		x
…		x
5.	Securities of international financial organizations
5.1.		x
…		x
6	Shares
6.1.
…
7	Total:	x

continuation of the table:

Number of securities	Nominal value		Payment currency	Purchase price per one security		Period		Purchase cost of security
currency	cost of one security	total	in the currency of nominal value	date of registration	date of maturity
7	8	9	10	11	12	13	14	15
…

continuation of the table:

Current value of securities				Category of securities	Rating		Category of stock exchange list		Current coupon rate in portfolio
Total			Reference: formed reserves (provisions)	at the date of initial recognition	at the reporting date	at the date of initial recognition	at the reporting date
total (in tenge)	in nominal currency	including accrued remuneration, in tenge
16	17	18	19	20	21	22	23	24	25
…

Table 2. Securities acquired through reverse repo operations

(in tenge)

No. p/p	Name of issuer	Issuer country	Type of security	Identification number	Number of securities (pieces)	Currency of nominal value	Currency of transaction
1	2	3	4	5	6	7	8
	Total:

continuation of the table:

Opening price per security		Closing price per security		Period		Current value of securities	Yield rate on transaction
total (in tenge)	in nominal currency	total (in tenge)	in nominal currency	Date of opening transaction	Date of closing transaction
9	10	11	12	13	14	15	16
…

Table 3. Deposits in the National Bank of the Republic of Kazakhstan and in second-tier banks

(in tenge)

No. p/p	Name of bank	Bank rating		Currency of deposit	Date of conclusion and number of bank deposit contract		Term of deposit (in days)	Period of remuneration payment
at the date of deposit placement	at the reporting date	date	number	frequency	date
1	2	3	4	5	6	7	8	9	10
	Total:

continuation of the table:

Remuneration rate (percent per annum)		Principal amount of deposit		Current value			Reference: formed reserves (provisions)
nominal	effective	total (in tenge)	in foreign currency	total (in tenge)	including, accrued remuneration
in tenge	in foreign currency
11	12	13	14	15	16	17	18
…

Table 4. Refined precious metals

(in tenge)

No.	Name of refined precious metal	Quantity in troy ounces	Currency of payment	Purchase price per troy ounce		Total purchase cost		Current value
in tenge	in currency	in tenge	in currency	in tenge	in currency
1	2	3	4	5	6	7	8	9	10
	Total:

Table 5. Contingent claims (obligations)

(in tenge)

No.	Name of type of derivative financial instrument	Underlying asset	Currency	Identification number	Amount of claims (obligations) at the date of transaction with derivative instrument	Current value at reporting date
1	2	3	4	5	6	7
1	Contingent claims on derivative financial instruments
1.1
1.1.1
1.1.n
2	Contingent obligations on derivative financial instruments
2.1
2.1.1
2.1.n

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date “____” ______ 20__ year

Appendix
to the form of the report on the structure of the investment portfolio of pension assets

Explanation on filling out the administrative data form

“Report on the structure of the investment portfolio of pension assets” (index: 1- RCB_SPPA, frequency: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for the collection of administrative data “Report on the structure of the investment portfolio of pension assets” (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 “On the Securities Market”.

3. The Form is compiled monthly by the voluntary accumulation pension fund and filled out as of the end of the reporting period. Data in the Form is filled out in tenge.

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

Chapter 2. Explanation on filling out the Form

5. For Table 1:

1. Table 1 contains data on securities and claims rights on the obligations of the issuer on issue securities;

2. in column 3, the type of economic activity is indicated in accordance with the General Classifier of Types of Economic Activity of the RC 03-2007. This column is filled out for non-state securities of issuers-residents of the Republic of Kazakhstan;

3. in column 5, the type of acquired security is indicated with its type specified;

4. in column 6, the identification number of the security is indicated;

5. in column 7, the number of acquired securities in pieces is indicated. Debt securities are indicated at their nominal value in the currency of issue;

6. in columns 8 and 10, currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 “Codes for the designation of currencies and funds”;

7. in column 9, for bonds, the monetary expression of the bond's value determined at its issue, on which remuneration expressed in percent is accrued on the coupon bond, as well as the amount payable to the bondholder upon its redemption, is indicated. The amount is indicated in the currency of issue;

8. in columns 11 and 12, the price is indicated with an accuracy of four decimal places, reflected in the primary document confirming the transaction (exchange certificate, broker and/or dealer report, confirmation received via the international interbank system for information transfer and payment transactions (SWIFT). In case of payment for the acquired security in foreign currency, column 11 is filled out with simultaneous reflection of the equivalent in the national currency - tenge in column 12; in case of payment for the acquired security in the national currency - tenge, column 11 is filled out. In column 11, the price of debt securities is reflected in percent of the nominal value with an accuracy of four decimal places, taking into account accrued remuneration;

9. in column 13, the date of initial recognition in accounting is reflected;

10. in column 14, the maturity term of debt securities is indicated;

11. in column 15, the purchase cost of the security is indicated, including expenses directly related to the acquisition, including remuneration and commissions paid to agents, consultants, brokers (dealers), fees of stock exchanges, as well as banking services for transfer, reduced by the amount of the percentage paid by the buyer to the seller (if any);

12. in column 16, the current value of securities, reflected in accounting, is indicated;

13. in column 20, the category of the security “measured at fair value”, “measured at amortized cost” is indicated;

14. when filling out columns 21 and 22, the rating of the security on bonds, the rating of the issuer on stocks, the rating of the country on state securities, assigned by one of the rating agencies specified in paragraph 3 of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 24, 2012 No. 385 “On establishing the minimum rating for legal entities and countries, the presence of which is required in accordance with the legislation of the Republic of Kazakhstan regulating the activities of financial organizations, the list of rating agencies assigning this rating” (registered in the Registry of State Registration of Regulatory Legal Acts under No. 8318)
    (hereinafter - Resolution No. 385). In the absence of a rating, “no rating” is indicated in columns 21 and 22. These columns are not filled out for state securities of the Republic of Kazakhstan. Column 21 reflects the rating at the date of initial recognition in accounting;

15. in columns 23 and 24, the category of securities of residents of the Republic of Kazakhstan according to the official list of the stock exchange of the Republic of Kazakhstan is indicated. In the absence of a stock exchange list category of the Republic of Kazakhstan, “no listing” is indicated in columns 23 and 24. These columns are not filled out for securities of non-residents of the Republic of Kazakhstan and state securities of the Republic of Kazakhstan. Column 23 reflects the stock exchange list category at the date of initial recognition in accounting;

16. in column 25, the coupon rate on debt financial instruments at the date of submission of the Form is indicated.

6. For Table 2:

1. in column 4, the type of security acquired through repo operations is indicated, with its type specified;

2. in columns 7 and 8, currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 “Codes for the designation of currencies and funds”;

3. in columns 9 and 10, the price is indicated with an accuracy of four decimal places, reflected in the primary document confirming the reverse repo operation. In case of payment for the acquired security in foreign currency, columns 10 and 12 are filled out with simultaneous reflection of the equivalent in the national currency - tenge in columns 9 and 11; in case of payment for the acquired security in the national currency - tenge, columns 9 and 11 are filled out;

4. in column 15, the current value, reflected in accounting, is indicated.

7. For Table 3:

1. when filling out columns 3 and 4, the rating assigned by one of the rating agencies specified in paragraph 3 of Resolution No. 385 is reflected. In the absence of a rating, “no rating” is indicated in columns 3 and 4. These columns are not filled out for deposits in the National Bank of the Republic of Kazakhstan;

2. in column 5, currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 “Codes for the designation of currencies and funds”;

3. in column 8, the term of the deposit under the bank deposit contract is indicated; in case of deposit extension, the term is reflected taking into account the extension;

4. in columns 9 and 10, the date and frequency of payment of accrued remuneration are indicated in accordance with the terms of the bank deposit contract;

5. in columns 13 and 14, the amount of placement of pension assets in a deposit in the National Bank of the Republic of Kazakhstan and in second-tier banks is indicated. In case of placement of pension assets in a deposit in foreign currency, column 14 is filled out with simultaneous reflection of the equivalent in the national currency - tenge in column 13; in case of placement of pension assets in a deposit in the national currency - tenge, column 13 is filled out;

6. in column 15, the value of deposits, reflected in accounting, is indicated;

7. in column 18, the amount of reserves (provisions), reflected in accounting, is indicated;

8. the table is filled out indicating the amount of deposits separately for each bank and for each currency of the deposit.

8. For Table 4:

1. in column 4, currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 “Codes for the designation of currencies and funds”;

2. in columns 5 and 7, the purchase price is indicated at the market exchange rate of currency prevailing on the date of the transaction; in column 10, the amount is reflected at the market exchange rate of currency prevailing on the reporting date. In case of acquisition of refined precious metal in the national currency - tenge, columns 5, 7 and 9 are filled out;

3. in column 9, the current value, reflected in accounting, is indicated.

9. For Table 5:

1. in column 3, the underlying asset of the derivative financial instrument is indicated (name of the security and its issuer, currency, remuneration rate, commodity and other underlying assets);

2. in column 4, the currency of the transaction is indicated. The currency code is indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 “Codes for the designation of currencies and funds”;

3. column 5 is filled out in case the underlying asset of the derivative financial instrument is a security;

4. in column 6, the amount of contingent claims and obligations is indicated, which is formed when conducting transactions with derivative instruments in accordance with the requirements of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated July 1, 2011 No. 69 “On Approval of the Instruction on Accounting for Operations with Pension Assets Carried Out by the Single Accumulation Pension Fund and Voluntary Accumulation Pension Funds” (registered in the Registry of State Registration of Regulatory Legal Acts under No. 7118);

5. in column 7, the market value (replacement cost) of the derivative financial instrument is indicated, which represents:

for purchase transactions - the amount of excess of the current market value of the derivative financial instrument over the nominal contractual value of this derivative financial instrument (contingent claims), the amount of excess of the nominal contractual value of the derivative financial instrument over the current market value of this derivative financial instrument (contingent obligations);

for sale transactions - the amount of excess of the nominal contractual value of the derivative financial instrument over the current market value of this derivative financial instrument (contingent claims), the amount of excess of the current market value of the derivative financial instrument over the nominal contractual value of this derivative financial instrument (contingent obligations).

10. 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 November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the internet resource: www.nationalbank.kz

Report on the volumes of pension accumulations and the number of depositors/recipients of voluntary pension contributions

Index of administrative data form: 1- RCB_DPV

Frequency: monthly

Reporting period: as of “_____” ______ 20 __ year

Persons submitting: voluntary accumulation pension fund

Form

Table “Volumes of pension accumulations and number of depositors/recipients of voluntary pension contributions” (in thousands of tenge)

Age of depositors / recipients	Men		Women
Number (people)	Amount	Number (people)	Amount
1	2	3	4	5
under 20 years
21 years
22 years
23 years
24 years
25 years
26 years
27 years
28 years
29 years
30 years
31 years
32 years
33 years
34 years
35 years
36 years
37 years
38 years
39 years
40 years
41 years
42 years
43 years
44 years
45 years
46 years
47 years
48 years
49 years
50 years
51 years
52 years
53 years
54 years
55 years
56 years
57 years
58 years
59 years
60 years
61 years
62 years
63 years
64 years
65 years
66 years
67 years
68 years
69 years
70 years
71 years
72 years
73 years
74 years
75 years
76 years
77 years
78 years
79 years
80 years
81 years and older
Total

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date “____” ______ 20__ year

Appendix
to the form of the report on the volumes of pension accumulations and the number of depositors/ recipients of voluntary pension contributions

Explanation on filling out the administrative data form

“Report on the volumes of pension accumulations and the number of depositors/recipients of voluntary pension contributions” (index: 1- RCB_DPV, frequency: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for the collection of administrative data “Report on the volumes of pension accumulations and the number of depositors/recipients of voluntary pension contributions” (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 “On the Securities Market”.

3. The Form is compiled monthly by the voluntary accumulation pension fund and filled out as of the end of the reporting period. Data in the Form is filled out 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 or persons authorized to sign the report, and the executor.

Chapter 2. Explanation on filling out the Form

5. When filling out the Form, in case of having information on the number of individual pension accounts with an individual identification number of depositors/recipients who do not have pension accumulations, as well as on the number of individual pension accounts without an individual identification number (including with the amount of pension accumulations), information on them is reflected in the note to the Form.

6. In columns 2 and 4, the number of depositors/recipients is indicated separately for men and women (in the corresponding columns), who have concluded a pension provision agreement, with breakdown depending on the age of the depositor/recipient. The amount of pension accumulations for them is indicated in columns 3 and 5, respectively.

7. 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 November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the internet resource: www.nationalbank.kz

Report on pension payments

Index of administrative data form: 1- RCB_ Vyplaty

Frequency: monthly

Reporting period: as of “_____” ______ 20 __ year

Persons submitting: voluntary accumulation pension fund

Form

Table “Pension payments” (in thousands of tenge)

Name of items	Symbol	For the period from the beginning of the current year
number of depositors / recipients	number of payments	amount
1	2	3	4	5
Payments of pension accumulations	100
voluntary pension contributions:	300
upon reaching fifty years of age	301
due to disability	302
in connection with leaving the territory of the Republic of Kazakhstan	303
to heirs	304
for burial	305
to other persons	306
Transfer of pension accumulations to an insurance organization	400
voluntary pension contributions:	600
by age	601
by disability	602
Other pension payments	700
Total	1000

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date “____” ______ 20__ year

Appendix
to the form of the report on pension payments

Explanation on filling out the administrative data form

“Report on pension payments” (index: 1- RCB_ Vyplaty, frequency: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for the collection of administrative data “Report on pension payments” (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 “On the Securities Market”.

3. The Form is compiled monthly by the voluntary accumulation pension fund and filled out as of the end of the reporting period. Data in the Form is filled out 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 or persons authorized to sign the report, and the executor.

Chapter 2. Explanation on filling out the Form

5. In column 3, the number of depositors/recipients from whose accounts payments were made for the period from the beginning of the year (cumulative total) is indicated.

6. In column 4, the number of payments made to depositors/recipients for the period from the beginning of the year (cumulative total) is indicated. Information on the number of payments is reflected based on payments (transactions) made to depositors/recipients.

7. In column 5, the amount of payments for the period from the beginning of the year (cumulative total) is indicated.

8. 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 November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the website: www.nationalbank.kz

Report on concluded transactions on investing client assets

Administrative data form index: 1- RCB_DEALINGS_client

Frequency: monthly

Reporting period: for ______ 20__ year

Entities submitting: portfolio managers

Form

Table 1. Securities acquired at the expense of client assets

(in tenge)

No.	Client Name	Transaction Date	Settlement Date	Broker and/or Dealer Name	Transaction Type	Market	Security Type and Issuer Name
1	2	3	4	5	6	7	8
1	Total for pension assets
1.1.
…
2	Total for investment fund assets
2.1.
…
3	Total for other clients
3.1.
…
4	Total

continuation of table:

Identification Number	Nominal Currency	Nominal Value per Security	Quantity of Securities	Payment Currency	Purchase (Sale) Price per Security	Minimum Price per Security on Transaction Date	Maximum Price per Security on Transaction Date
9	10	11	12	13	14	15	16
…

continuation of table:

Market Price per Security on Transaction Date	Yield on Securities (in percent)	Transaction Volume	Counterparty Name
17	18	19	20
---	---	---	---
…

Table 2. Deposits in the National Bank of the Republic of Kazakhstan and in second-tier banks

(in tenge)

No.	Client Name	Money Transfer Date	Bank Name	Deposit Operations	Operation Amount
1	2	3	4	5	6
1	Total for pension assets
1.1.
…
2	Total for investment fund assets
2.1.
…
3	Total for other clients
3.1.
…
4	Total

continuation of table:

Deposit Conclusion Date and Number	Deposit Term (in days)	Interest Rate (percent per annum)	Deposit Currency	Deposit Amount
7	8	9	10	11
…

Table 3. Affined precious metals acquired at the expense of client assets

(in tenge)

No.	Client Name	Transaction Date	Counterparty Name	Service Payment	Transaction Type	Type of Affined Precious Metal	Transaction Volume (units)	Payment Currency	Purchase Price per Unit	Transaction Amount
1	2	3	4	5	6	7	8	9	10	11
1	Total for pension assets
1.1.
…
2	Total for investment fund assets
2.1.
…
3	Total for other clients
3.1.
…
4	Total

Name ______ Address______

Phone ______

Email ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date “____” ______ 20__ year

Appendix
to the form of the report on concluded

transactions on investing

client assets

Explanation for filling out the administrative data form

"Report on concluded transactions on investing client assets" (index: 1- RCB_DEALINGS_client, frequency: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for the collection of administrative data "Report on concluded transactions on investing client assets" (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled monthly by the portfolio manager. Data in the Form is filled in tenge.

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

Chapter 2. Explanation for Filling out the Form

5. Regarding Table 1:

1. in column 5, the name of the broker of the Republic of Kazakhstan or an foreign broker, or a broker (member) accredited on AIX, to whom the Organization has submitted an order and/or instruction for concluding transactions (registration of operations) with financial instruments is indicated;

2. in column 6, the type of transaction (purchase, sale, redemption, coupon redemption, dividend payment, opening (closing) repo, opening (closing) reverse repo, conversion, primary placement, buyback) is indicated;

3. in column 7, information is indicated in the following format:

"Unorganized" when concluding a transaction (performing an operation) on the unorganized securities market, registered in the accounting system of the Joint Stock Company "Central Securities Depository";

"International/exchange name" when concluding a transaction (registration of an operation) in the trading system of an international (foreign) stock exchange;

"International/OTC" when concluding a transaction (registration of an operation) on the international market outside the trading system of an international (foreign) stock exchange;

"IFC/AIX" when concluding a transaction (registration of an operation) in the territory of the International Financial Center "Astana" in the AIX trading system;

"IFC/OTC" when concluding a transaction (registration of an operation) in the territory of the International Financial Center "Astana" outside the AIX trading system.

4. in column 8, the issuer name and type of securities are indicated;

5. in columns 10 and 13, currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NC RK 07 ISO 4217-2012 "Codes for Designating Currencies and Funds";

6. in column 12, the quantity of securities in pieces is indicated. Debt securities are indicated by nominal value in the currency of issue;

7. in column 14, the price with an accuracy of four decimal places, reflected in the primary document confirming the transaction (broker report, confirmation received via the international interbank system for transferring information and making payments (SWIFT), sales contract, stock exchange document, payment documents), in tenge, is indicated. The price of debt securities is reflected in percent of nominal value with an accuracy of four decimal places, taking into account accrued and unpaid remuneration. In the event of settlement of the transaction (except for transactions with debt securities) in foreign currency, this amount is reflected at the market exchange rate prevailing on the settlement date of the transaction;

8. in columns 15 and 16, prices for transactions on the purchase (sale) of shares (depositary receipts) concluded on international (foreign) stock exchanges, on which this financial instrument is traded, according to data from Bloomberg or REUTER information-analytical systems in the nominal currency, are indicated;

9. in column 18, the yield on securities in percent per annum (for a bond transaction - yield resulting from alienation or acquisition; for repo and reverse repo operations - yield resulting from the repo transaction) is indicated;

10. in column 19, the transaction volume minus expenses related to the execution of the transaction, with an accuracy of two decimal places, is indicated. In the event of payment for the acquired security in foreign currency, this amount is reflected at the market exchange rate prevailing on the settlement date of the transaction;

11. column 20 is filled for transactions concluded on the international (foreign) securities market;

12. transactions on the organized market of the Republic of Kazakhstan concluded in the trading system of the Joint Stock Company "Kazakhstan Stock Exchange" are not indicated in the Form.

6. Regarding Table 2:

1. in column 3, in the case of making a deposit, the date of transfer of money from the client's bank account to the bank account in the National Bank of the Republic of Kazakhstan or a second-tier bank is indicated, or the date of early repayment, in case of termination of the contract - the date of return of money to the client's bank account;

2. in column 5, deposit operations (depositing money into a deposit, payment of remuneration on a deposit, early return of a deposit or return of a deposit upon expiration of the bank deposit contract) are indicated;

3. in column 6, the amount of the operation on a deposit denominated in foreign currency is reflected at the market exchange rate prevailing on the date of the operation;

4. in column 11, the deposit amount including accrued remuneration upon completion of the deposit operation with an accuracy of two decimal places is indicated. The amount of the deposit in foreign currency is reflected in tenge at the market exchange rate prevailing on the date of the operation;

7. Regarding Table 3:

1. in column 3, the transaction date (trade date) is indicated;

2. in column 6, the type of transaction (purchase, sale) is indicated;

3. in column 7, the name of the types of affined precious metals with indication of the type of metal account (allocated metal account or unallocated metal account) is indicated;

4. in column 9, currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NC RK 07 ISO 4217-2012 "Codes for Designating Currencies and Funds";

5. in column 11, the amount with an accuracy of two decimal places is indicated.

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

9. Transactions indicated in the Form are not indicated in the Report on transactions (operations) with financial instruments performed (registered) on the unorganized market of the Republic of Kazakhstan and international (foreign) securities markets.

Appendix 16
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the website: www.nationalbank.kz

Report on concluded transactions on investing own assets

Administrative data form index: 1- RCB_DEALINGS_SA

Frequency: monthly

Reporting period: for ______ 20__ year

Entities submitting: portfolio managers

Form

---

(Organization Name)

Table 1. Securities acquired at the expense of own assets

(in tenge)

No.	Transaction Date	Settlement Date	Broker and/or Dealer Name	Transaction Type	Market
1	2	3	4	5	6

continuation of table:

Security Type and Issuer Name	Identification Number	Nominal Currency	Nominal Value per Security	Quantity of Securities	Payment Currency
7	8	9	10	11	12

continuation of table:

Purchase (Sale) Price per Security	Minimum Price per Security on Transaction Date	Maximum Price per Security on Transaction Date	Yield on Securities (in percent)	Transaction Volume	Counterparty Name
13	14	15	16	17	18

Table 2. Deposits in the National Bank of the Republic of Kazakhstan and in second-tier banks

(in tenge)

No.	Money Transfer Date	Bank Name	Deposit Operations	Operation Amount	Deposit Contract Conclusion Date and Number	Deposit Term (in days)	Interest Rate (percent per annum)	Deposit Currency	Deposit Amount
1	2	3	4	5	6	7	8	9	10

Table 3. Affined precious metals acquired at the expense of own assets

(in tenge)

No.	Transaction Date	Counterparty Name	Service Payment	Transaction Type	Type of Affined Precious Metal	Transaction Volume (units)	Payment Currency	Purchase Price per Unit	Transaction Amount
1	2	3	4	5	6	7	8	9	10

Name ______ Address______

Phone ______

Email ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date “____” ______ 20__ year

Appendix
to the form of the report on concluded

transactions on investing

own assets

Explanation for filling out the administrative data form

"Report on concluded transactions on investing own assets" (index: 1- RCB_DEALINGS_SA, frequency: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for the collection of administrative data "Report on concluded transactions on investing own assets" (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled monthly by the portfolio manager. Data in the Form is filled in tenge.

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

Chapter 2. Explanation for Filling out the Form

5. Regarding Table 1:

1. in column 4, the name of the broker of the Republic of Kazakhstan or an foreign broker, or a broker (member) accredited on AIX, to whom the Organization has submitted an order and/or instruction for concluding transactions (registration of operations) with financial instruments is indicated;

2. in column 5, the type of transaction (purchase, sale, redemption, coupon redemption, dividend payment, opening (closing) repo, opening (closing) reverse repo, conversion, primary placement, buyback) is indicated;

3. in column 6, information is indicated in the following format:

"Unorganized" when concluding a transaction (performing an operation) on the unorganized securities market, registered in the accounting system of the Joint Stock Company "Central Securities Depository";

"International/exchange name" when concluding a transaction (registration of an operation) in the trading system of an international (foreign) stock exchange;

"International/OTC" when concluding a transaction (registration of an operation) on the international market outside the trading system of an international (foreign) stock exchange;

"IFC/AIX" when concluding a transaction (registration of an operation) in the territory of the International Financial Center "Astana" in the AIX trading system;

"IFC/OTC" when concluding a transaction (registration of an operation) in the territory of the International Financial Center "Astana" outside the AIX trading system.

4. in column 7, the issuer name and type of securities are indicated;

5. in columns 9 and 12, currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NC RK 07 ISO 4217-2012 "Codes for Designating Currencies and Funds";

6. in column 11, the quantity of securities in pieces is indicated. Debt securities are indicated by nominal value in the currency of issue;

7. in column 13, the price with an accuracy of four decimal places, reflected in the primary document confirming the transaction (broker report, confirmation received via the international interbank system for transferring information and making payments (SWIFT), sales contract, stock exchange document, payment documents), in tenge, is indicated. The price of debt securities is reflected in percent of nominal value with an accuracy of four decimal places, taking into account accrued and unpaid remuneration. In the event of settlement of the transaction (except for transactions with debt securities) in foreign currency, this amount is reflected at the market exchange rate prevailing on the settlement date of the transaction;

8. in columns 14 and 15, prices for transactions on the purchase (sale) of shares (depositary receipts) concluded on international (foreign) stock exchanges, on which this financial instrument is traded, according to data from Bloomberg or REUTER information-analytical systems in the nominal currency, are indicated;

9. in column 16, the yield on securities in percent per annum (for a bond transaction - yield resulting from alienation or acquisition; for repo and reverse repo operations - yield resulting from the repo transaction) is indicated;

10. in column 17, the transaction volume minus expenses related to the execution of the transaction with an accuracy of two decimal places is indicated. In the event of payment for the acquired security in foreign currency, this amount is reflected at the market exchange rate prevailing on the settlement date of the transaction;

11. column 18 is filled for transactions concluded on international (foreign) securities markets;

12. transactions on the organized market of the Republic of Kazakhstan concluded in the trading system of the Joint Stock Company "Kazakhstan Stock Exchange" are not indicated in the Form.

6. Regarding Table 2:

1. in column 2, in the case of making a deposit, the date of transfer of money from the bank account of the portfolio manager to the bank account in the National Bank of the Republic of Kazakhstan or a second-tier bank is indicated, or the date of early repayment or in case of termination of the contract - the date of return of money to the bank account of the portfolio manager;

2. in column 4, deposit operations (depositing money into a deposit, payment of remuneration on a deposit, early return of a deposit or return of a deposit upon expiration of the bank deposit contract) are indicated.

3. in column 5, the amount of the operation on a deposit denominated in foreign currency is reflected at the market exchange rate prevailing on the date of the operation;

4. in column 10, the deposit amount including accrued remuneration upon completion of the deposit operation with an accuracy of two decimal places is indicated. The amount of the deposit in foreign currency is reflected in tenge at the market exchange rate prevailing on the date of the operation;

7. Regarding Table 3:

1. in column 2, the transaction date (trade date) is indicated;

2. in column 5, the type of transaction (purchase, sale and others) is indicated;

3. in column 6, the name of the types of affined precious metals with indication of the type of metal account (allocated metal account or unallocated metal account) is indicated;

4. in column 8, currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NC RK 07 ISO 4217-2012 "Codes for Designating Currencies and Funds";

5. in column 10, the amount with an accuracy of two decimal places is indicated.

8. 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 November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the website: www.nationalbank.kz

Report on performed transactions on investing client assets and own assets in derivative financial instruments

Administrative data form index: 1- RCB_PFI

Frequency: monthly

Reporting period: for ______ 20__ year

Entities submitting: portfolio managers

Form

Table "Performed transactions on investing client assets and own assets in derivative financial instruments" (in tenge)

No.	Client Name	Transaction Date	Broker and/or Dealer Name	Date of Registration of Financial Instruments	Settlement Date	Type of Derivative Financial Instrument	Identification Number
1	2	3	4	5	6	7	8
1	Total pension assets
1.1.
…
2	Total investment fund assets
2.1.
…
3	Total other assets
3.1.
…
4.	Total own assets
4.1.	x
…	x

continuation of table:

Market	Underlying Asset and its Rating	Counterparty and its Rating	Description of Transaction Terms
Transaction Type	Quantity of Financial Instruments, pieces	Transaction Price, tenge	Transaction Amount, thousand tenge	Transaction Currency
9	10	11	12	13	14	15	16
…

continuation of table:

Hedging Object	Number and Date of Investment Decision	Variation Margin on the Date of Transaction Conclusion, tenge	Initial Margin on the Date of Transaction Conclusion, %	Trading Mode	Note
17	18	19	20	21	22
…

Name ______ Address______

Phone ______

Email Address ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date “____” ______ 20__ year

Appendix
to the reporting form on transactions completed on investing client assets and own assets in derivative financial instruments

Explanation for filling out the administrative data form “Report on transactions completed on investing client assets and own assets in derivative financial instruments” (index: 1- RCB_PFI, frequency: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for collecting administrative data “Report on transactions completed on investing client assets and own assets in derivative financial instruments” (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 “On the Securities Market”.

3. The Form is compiled monthly by the investment portfolio manager. Data in the Form is filled in tenge.

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

Chapter 2. Explanation for filling out the Form

5. In column 3, the date of transaction conclusion is indicated in the format “dd.mm.yyyy”.

6. In column 5, the date of registration is indicated in the format “dd.mm.yyyy” on the date of initial recognition in accounting.

7. In column 6, the settlement date of the transaction is indicated in the format “dd.mm.yyyy”.

8. In column 7, the type of derivative financial instrument (option, futures, forward, swap and other derivative financial instruments) is indicated.

9. In column 8, the identification number of the security is indicated if the underlying asset of the derivative financial instrument is a security.

10. In column 9, the name of the trading organizer, in the trading system of which the transaction was carried out, and the country of its residence are indicated in the format “name of the stock exchange (country)” or that the transaction was not made on a stock exchange in the format “unorganized market”.

11. In column 10, the underlying asset of the derivative financial instrument (name of the security and its issuer, currency, interest rate, commodity and other underlying assets) and the rating of the underlying asset on the date of transaction conclusion, assigned by a rating agency (if any), are indicated in the format “underlying asset (rating) (rating agency)”. If the underlying asset has no ratings, the underlying asset and indication that the rating is absent are indicated in the format “underlying asset (no rating)”.

12. In column 11, if the transaction was not concluded on a stock exchange, the counterparty, the country of its residence, as well as the rating assigned to this counterparty on the date of transaction conclusion are indicated in the format “counterparty/country/rating (rating agency)”. In the absence of a rating for the counterparty, information is indicated in the format “counterparty/country/no rating”.

13. In column 12, the type of transaction (purchase, sale, etc.) is indicated.

14. In column 17, if the transaction is concluded for hedging purposes, the word “yes” and the details of the hedging object (identification number of the security, quantity, cost, volume, currency) are indicated in the format “yes/details of the hedging object”. If the transaction is not concluded for hedging purposes, the word “no” is indicated.

15. In column 18, the number and date of the investment committee’s investment decision to make the transaction are indicated.

16. In column 19, if available, the variation margin is indicated - the monetary expression of the change in the obligations of the trading participant, calculated by the exchange and taking into account the change in the quote of the futures contract.

17. In column 20, if available, the initial margin is indicated - the share of the total market value of the underlying asset, determined by the exchange, which the client must deposit for each open position.

18. In column 21, the trading mode is indicated in the format T+0 or T+n, or another trading mode provided for by the exchange rules is described.

19. In column 22, the conditions for the emergence of claims and obligations of the parties to the transaction are indicated.

20. When concluding transactions that imply the conclusion by the parties to the transaction simultaneously of two operations (opening and closing), information on each operation is reflected in the Report.

21. 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 November 26, 2019 No. 211

Form

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the internet resource: www.nationalbank.kz

Report on transactions completed on investing client assets and own assets with affiliated persons

Index of administrative data form: 1- RCB_AFL

Frequency: monthly

Reporting period: for ______ 20 __ year

Persons submitting: investment portfolio managers

Form

Table “Transactions completed on investing client assets and own assets with affiliated persons” (in tenge)

No.	Type of assets/ client name	Affiliation status of the client	Date of transaction conclusion	Established settlement date of the transaction	Actual settlement date of the transaction	Market	Type of transaction	Name of counterparty to the transaction	Affiliation status of the counterparty
1	2	3	4	5	6	7	8	9	10
1	Total pension assets
1.1.
…
2	Total assets of investment funds
2.1.
…
3	Total other assets
3.1.
…
4.	Total own assets
4.1.
5.	Total client assets under brokerage services
5.1
…	x

continuation of the table:

Parameters of the financial instrument
Type of financial instrument	Name of the issuer who issued (provided) the financial instrument	Identification number	Price per unit	Quantity of financial instruments	Transaction amount (tenge)	Date of expiration of the bank deposit agreement	Note
11	12	13	14	15	16	17	18
…

Name ______ Address______

Phone ______

Email Address ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date “____” ______ 20__ year

Appendix
to the reporting form on transactions completed on investing client assets and own assets with affiliated persons

Explanation for filling out the administrative data form “Report on transactions completed on investing client assets and own assets with affiliated persons” (index: 1- RCB_AFL, frequency: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for collecting administrative data “Report on transactions completed on investing client assets and own assets with affiliated persons” (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 “On the Securities Market”.

3. The Form is compiled monthly by the investment portfolio manager. Data in the Form is filled in tenge.

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

Chapter 2. Explanation for filling out the Form

5. The Form is filled out for transactions executed in the reporting period at the expense of client assets (investment funds, pension assets, other clients and clients under brokerage services) and own assets. The Form does not indicate transactions on the organized market of the Republic of Kazakhstan concluded in the trading system of the Joint Stock Company “Kazakhstan Stock Exchange”.

6. In column 3, the status is indicated, in accordance with which the client is recognized as an affiliated person in relation to the investment portfolio manager in accordance with Article 64 of the Law of the Republic of Kazakhstan dated May 13, 2003 “On Joint Stock Companies” (hereinafter - the Joint Stock Companies Law).

7. In column 4, the date of transaction conclusion is indicated in the format “dd.mm.yyyy”.

8. In column 5, the date of transaction execution according to the terms of the contract, agreement or other document confirming the conclusion of the transaction is indicated.

9. In column 6, the actual settlement date of the transaction is indicated.

10. In column 7, information is indicated in the following format:

“Unorganized” when concluding a transaction on the unorganized securities market, registered in the accounting system of the Joint Stock Company “Central Securities Depository”;

“International/name of stock exchange” when concluding a transaction in the trading system of an international (foreign) stock exchange;

“International/OTC” when concluding a transaction on the international market outside the trading system of an international (foreign) stock exchange;

“IFC/AIX” when concluding a transaction in the territory of the Astana International Financial Centre in the AIX trading system;

“IFC/OTC” when concluding a transaction in the territory of the Astana International Financial Centre outside the AIX trading system.

11. In column 8, the type of transaction (purchase, sale, opening (closing) of repo, opening (closing) of reverse repo, primary placement, buyback, conclusion of a bank deposit agreement) is indicated.

12. In column 9, the name of the counterparty to the transaction is indicated. In the case of concluding a bank deposit agreement, the name of the bank in which the bank deposit is opened is indicated.

13. In column 10, the status is indicated, in accordance with which the counterparty is recognized as an affiliated person in relation to the organization carrying out investment management of client assets in accordance with Article 64 of the Joint Stock Companies Law.

14. In columns 14 and 16, the price is indicated with an accuracy of four decimal places, the transaction volume to two decimal places, reflected in the primary document confirming the execution of the transaction (broker report, confirmation received via the international interbank system for transmitting information and making payments (SWIFT), sales contract, stock exchange document), taking into account accrued and unpaid remuneration (for debt securities). In the case of executing a transaction in a foreign currency, the amount in the specified columns is reflected in tenge at the market exchange rate prevailing on the date of settlement of the transaction. The price of a debt financial instrument is reflected in column 14 as a percentage of the nominal value.

15. In column 15, the quantity of securities in pieces is indicated. Debt securities are indicated at nominal value in the currency of issue.

16. In column 17, the date of expiration of the bank deposit agreement is indicated in the format “dd.mm.yyyy”.

17. 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 November 26, 2019 No. 211

Form

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the internet resource: www.nationalbank.kz

Report on transactions (operations) with financial instruments completed (registered) on the unorganized market of the Republic of Kazakhstan and international (foreign) securities markets

Index of administrative data form: 1- RCB_DEALINGS_BD

Frequency: monthly

Reporting period: for ______ 20 __ year

Persons submitting: brokers and (or) dealers

Form

Table “Transactions (operations) with financial instruments completed (registered) on the unorganized market of the Republic of Kazakhstan and international (foreign) securities markets”

No.	Date of transaction conclusion (registration of operation)	Established settlement date of the transaction	Actual settlement date of the transaction	Name of issuer and country of its residence		Type of financial instrument	Identification number of the financial instrument	Nominal value of one financial instrument in the currency of issue	Rating
1	2	3	4	5	6	7	8	9	10

continuation of the table

Quantity of financial instruments	Net price per one financial instrument	Gross price per one financial instrument		Transaction volume		Currency of nominal value/ currency of payment		Market
in foreign currency	in tenge	in foreign currency	in tenge
11	12	13	14	15	16	17	18	19

continuation of the table

Name of broker and country of its residence/ place of registration		Information about the seller (sender) of the financial instrument					Information about the buyer (recipient) of the financial instrument
Surname, first name, patronymic/ name and country of its residence		Individual identification number/ Business identification number (if available)		In what capacity the Organization participated in the transaction (operation)	Surname, first name, patronymic/ name and country of its residence			Individual identification number/ Business identification number (if available)	In what capacity the Organization participated in the transaction (operation)
20	21	22	23	24	25		26	27	28		29

continuation of the table

Name of bank-custodian (if available)	Name of foreign nominee holder (if available)	Name of clearing-depository system (if available)	Note
30	31	32	33
---	---	---	---

Name ______ Address______

Phone ______

Email Address ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date “____” ______ 20__ year

Appendix
to the reporting form on transactions (operations) with financial instruments, completed (registered) on the unorganized market of the Republic of Kazakhstan and international (foreign) securities markets

Explanation for filling out the administrative data form “Report on transactions (operations) with financial instruments, completed (registered) on the unorganized market of the Republic of Kazakhstan and international (foreign) securities markets” (index: 1- RCB_DEALINGS_BD, frequency: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for collecting administrative data “Report on transactions (operations) with financial instruments, completed (registered) on the unorganized market of the Republic of Kazakhstan and international (foreign) securities markets” (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 “On the Securities Market”.

3. The Form is compiled monthly by the broker and (or) dealer.

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

Chapter 2. Explanation for filling out the Form

5. The Form is filled out for transactions (operations) executed in the reporting period, involving the transfer of ownership of securities, as well as operations related to the conversion of securities.

6. In column 2, the date of transaction conclusion (conducting an operation in the nominal holding accounting system if the transaction is made by the client without the participation of a broker) is indicated in the format “dd.mm.yyyy”.

7. In column 3, the date of transaction execution according to the terms of the contract, agreement or other document confirming the conclusion of the transaction is indicated in the format “dd.mm.yyyy”.

8. In column 4, the actual settlement date of the transaction is indicated in the format “dd.mm.yyyy”.

9. Columns 3, 4, 10 are not filled if the Organization acted as a nominal holder.

10. In column 10, the rating assigned to the financial instrument, debt security, equity security or the rating of the issuer of the equity security (in the absence of a rating for the equity security, the rating of the issuer of the equity security is indicated) on the date of transaction conclusion is indicated. If the financial instrument, debt security/equity security (issuer of the equity security) is assigned ratings by several rating agencies, all assigned ratings are indicated. Ratings are indicated in the format “rating (rating agency)”. If the financial instrument, debt security/equity security (issuer of the equity security) has no ratings, the word “no” is indicated.

11. In column 11, the quantity of securities in pieces is indicated. Debt securities are indicated at nominal value in the currency of issue.

12. In column 12, the price of the debt security is indicated in percentage terms of the nominal value with an accuracy of four decimal places without taking into account accrued and unpaid remuneration.

13. In columns 13, 14, 15, 16, the price is indicated with an accuracy of four decimal places, the transaction volume to two decimal places, reflected in the primary document confirming the execution of the transaction (broker report, confirmation received via the international interbank system for transmitting information and making payments (SWIFT), sales contract, stock exchange document, payment documents), taking into account accrued and unpaid remuneration (for debt securities). The price of a debt financial instrument is reflected in columns 13 or 14 (depending on the currency of issue of the financial instrument) as a percentage of the nominal value with an accuracy of four decimal places taking into account accrued and unpaid remuneration.

When settling transactions with financial instruments in a foreign currency, columns 13, 14, 15, 16 are filled. In the case of executing a transaction in a foreign currency, this amount is reflected at the market exchange rate prevailing on the date of settlement of the transaction, while column 14 is not filled for financial instruments whose price is expressed as a percentage of the nominal value. When executing a transaction in the national currency, columns 14 and 16 are filled. The transaction volume is indicated minus expenses related to the execution of the transaction, with an accuracy of two decimal places.

14. In column 19, information is indicated in the following format:

“Unorganized” when concluding a transaction (conducting an operation) on the unorganized securities market, registered in the accounting system of the Joint Stock Company “Central Securities Depository”;

“International/name of stock exchange” when concluding a transaction (registration of an operation) in the trading system of an international (foreign) stock exchange;

“International/OTC” when concluding a transaction (registration of an operation) on the international market outside the trading system of an international (foreign) stock exchange;

“IFC/AIX” when concluding a transaction (registration of an operation) in the territory of the Astana International Financial Centre in the AIX trading system;

“IFC/OTC” when concluding a transaction (registration of an operation) in the territory of the Astana International Financial Centre outside the AIX trading system.

15. Column 20 is filled if the Organization submits orders and (or) instructions to conclude transactions (register operations) with financial instruments to another broker of the Republic of Kazakhstan or to a foreign broker, or to a broker (member) accredited in AIX.

16. In columns 22 and 26, the surname, first name and patronymic (if any) or name of the parties to the concluded transaction (registered operation) are indicated.

In the case of executing an operation of opening/closing a repo, the buyer is the acquirer of securities, with a note about the type “repo operation” made in column 33.

17. In columns 25 and 29, the following symbols are used:

“A” if the Organization acted as an underwriter, including by the “firm commitment” method;

“B” if the Organization acted as a broker;

“D” if the Organization acted as a dealer;

“M” if the Organization acted as a market-maker;

“ND” if the Organization acted as a nominal holder.

If the Organization acted as one of the parties to the transaction (operation) simultaneously as a broker/dealer and underwriter, or as a broker/dealer and market-maker, then in columns 25 and (or) 29, only the symbol “A” or “M” is indicated, respectively. In columns 22, 23, 24, 26, 27, 28, the details of the Organization are indicated if the Organization acted in its own interest and at its own expense, or the details of the client if the Organization acted by instruction, at the expense and in the interest of the client, as well as the details of the counterparty (counterparty) to the transaction (operation). In the absence of information about the counterparty, this information is not filled.

18. Columns 30, 31 and 32 are filled in when concluding transactions (registering operations) on the international (foreign) securities market.

19. In columns 6, 21, 23 and 27, the country and/or territory in which the legal entity is registered is filled in for a legal entity, and citizenship is filled in for an individual.

20. When reflecting in the Form of operations related to the conversion of securities, columns 4, 5, 6, 7, 8, 11, 26, 27, 28 and 33 are filled in.

Information on the conversion operation is provided in respect of securities obtained as a result of conversion.

In column 4, the date of receipt of securities as a result of conversion is indicated.

In column 33, the type of operation "conversion" is indicated.

21. In the absence of 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 of November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the Internet resource: www.nationalbank.kz

Information on the organization holding a license to carry out brokerage and/or dealing activities in the securities market of the Republic of Kazakhstan

Administrative data form index: 1- RCB_SVED_BD

Frequency: quarterly

Reporting period: as of "_____" ______ 20 __ year

Subjects submitting: brokers and/or dealers

Form

Table "Information on the organization holding a license to carry out brokerage and/or dealing activities in the securities market of the Republic of Kazakhstan"

No.	Name of indicator	Information
1	Information on employees involved in carrying out brokerage and/or dealing activities in the securities market (surname, first name, patronymic if available, position held, date of employment)
2	Information on the composition of the investment committee making investment decisions regarding the organization's own assets as of the reporting date, elected by the executive body (surname, first name, patronymic if available, position held, date and number of the decision on election to the investment committee, from what date the employee was included in the investment committee)
3	Information on the composition of the board (surname, first name, patronymic if available, position held, date and number of the decision on election to the board, date of inclusion in the board)
4	Information on the composition of the board of directors (surname, first name, patronymic if available, position held, date and number of the decision on election to the board of directors, dates of inclusion in the board)
5	Information on persons owning ten percent or more of voting shares (ten percent or more of participation shares in the authorized capital) of the organization: 1) residents: for a legal entity: name of the legal entity; information on state (re)registration of the legal entity; business identification number; ratio of the number of shares owned by the legal entity to the total number of voting shares of the organization or participation share in the authorized capital of the organization (in percent); for an individual: surname, first name, patronymic if available; date of birth; ratio of the number of shares owned by the individual to the total number of voting shares of the organization or participation share in the authorized capital of the organization (in percent); 2) non-residents: for a legal entity: name of the legal entity; postal address and/or place of registration and location of the legal entity (if the legal entity is registered in an offshore zone, this offshore zone is indicated in accordance with the Resolution of the Board of the Agency of the Republic of Kazakhstan for Regulation and Supervision of the Financial Market and Financial Organizations dated October 2, 2008 No. 145 "On Approval of the List of Offshore Zones for the Purposes of Banking and Insurance Activities, Activities of Professional Participants in the Securities Market and Other Licensed Types of Activities in the Securities Market, Activities of Accumulative Pension Funds and Joint Investment Funds" (registered in the Registry of State Registration of Normative Legal Acts under No. 5371); ratio of the number of shares owned by the legal entity to the total number of voting shares of the organization or participation share in the authorized capital of the organization (in percent); for an individual: surname, first name, patronymic if available; citizenship; legal address and/or place of residence; ratio of the number of shares owned by the individual to the total number of voting shares of the organization or participation share in the authorized capital of the organization (in percent)
6	Information on the number of active contracts concluded with clients in the framework of providing brokerage services as of the reporting date: number of brokerage service contracts not providing for nominal holding services; number of brokerage service contracts providing for nominal holding services
7	Name of securities market participants with whom the organization has concluded contracts for the provision of professional activities services in the securities market, active as of the reporting date: date of conclusion of the contract (supplementary agreement); type of service(s) provided to the organization within the framework of the concluded contract

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

surname, first name and patronymic (if available) signature, phone

Chief Accountant or person authorized to sign the report

---

surname, first name and patronymic (if available) signature, phone

Head or person authorized by him to sign the report

---

surname, first name and patronymic (if available) signature, phone

Date "____" ______ 20__ year

Appendix
to the form of information on the organization, holding a license for the implementation of brokerage and/or dealing activities in the market of securities of the Republic of Kazakhstan

Explanation for filling in the administrative data form

"Information on the organization holding a license to carry out brokerage and/or dealing activities in the securities market of the Republic of Kazakhstan" (index: 1- RCB_SVED_BD, frequency: quarterly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling in the form "Information on the organization holding a license to carry out brokerage and/or dealing activities in the securities market of the Republic of Kazakhstan" (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled quarterly by the broker and/or dealer.

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

Chapter 2. Explanation for Filling in the Form

5. Rows 2, 3, 4 and 5 are not filled in by a second-level bank holding a license to carry out brokerage and/or dealing activities in the securities market and by the National Post Operator.

6. Row 6 is not filled in by a voluntary accumulative pension fund holding a license to carry out brokerage and/or dealing activities in the securities market.

7. In the absence of information, the corresponding columns are not filled in.

Appendix 21
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan of November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the Internet resource: www.nationalbank.kz

Report on transactions with derivative financial instruments

Administrative data form index: 1- RCB_PFI

Frequency: quarterly

Reporting period: for ______ 20 __ year

Subjects submitting: brokers and/or dealers

Form

Table "transactions with derivative financial instruments" (in tenge)

No.	Date and time of conclusion of the transaction	Date of recognition of financial instruments in the accounting records of the broker and/or dealer	Date of settlement of the transaction	Type of derivative financial instrument	Identification number	Market	Underlying asset and its rating	Central counterparty
1	2	3	4	5	6	7	8	9

continuation of the table:

Counterparty and its rating	Description of transaction conditions					Hedging object
Type of transaction	Number of financial instruments	Transaction price	Transaction volume	Transaction currency
10	11	12	13	14	15	16

continuation of the table:

In what capacity did you participate in the transaction	Number, date and time of registration of the client order	Client and country of his residence	Variation margin on the date of conclusion of the transaction, tenge	Initial margin on the date of conclusion of the transaction, %	Trading mode	Status of obligations under the transaction	Note
17	18	19	20	21	22	23	24

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

surname, first name and patronymic (if available) signature, phone

Chief Accountant or person authorized to sign the report

---

surname, first name and patronymic (if available) signature, phone

Head or person authorized by him to sign the report

---

surname, first name and patronymic (if available) signature, phone

Date "____" ______ 20__ year

Appendix
to the form of the report on transactions with derivative financial instruments

Explanation for filling in the administrative data form

"Report on transactions with derivative financial instruments" (index: 1- RCB_PFI, frequency: quarterly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling in the form intended for the collection of administrative data "Report on transactions with derivative financial instruments" (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled quarterly by the broker and/or dealer. Data in the Form are filled in in tenge.

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

Chapter 2. Explanation for Filling in the Form

5. When filling in columns 2, 3 and 4, the date of conclusion of the transaction, the date of recognition of financial instruments in the accounting records of the broker and/or dealer in the internal accounting system, as well as the date of settlement of the transaction are indicated in the format "dd.mm.yyyy". The time of conclusion of the transaction is indicated in the format "hours/minutes/seconds" (for a transaction concluded on an organized market).

6. Column 3 reflects the date of initial recognition in accounting.

7. Column 5 indicates the type of derivative financial instrument (option, futures, forward, swap and other derivative financial instruments).

8. Column 6 is filled in if the underlying asset of the derivative financial instrument is a security.

9. Column 7 indicates the name of the exchange in the trading system of which the transaction was carried out, and the country of its residence in the format "name of exchange/country" or that the transaction was not carried out on an exchange in the format "unorganized market".

10. Column 8 indicates the underlying asset of the derivative financial instrument (name of the security and its issuer, currency, interest rate, commodity and other underlying assets) and the rating of the underlying asset assigned by a rating agency (if any) in the format "underlying asset/rating (rating agency)". If the underlying asset has no ratings, the underlying asset is indicated and a statement that there is no rating in the format "underlying asset/no rating".

11. Column 9 indicates the word "yes" if a transaction with the participation of a central counterparty was concluded on an exchange. The word "no" is indicated if a transaction without the participation of a central counterparty was concluded on an exchange.

12. Column 10, in case the transaction was not concluded on an exchange, indicates the counterparty, the country of his residence, as well as the rating assigned to this counterparty in the format "counterparty/country/rating (rating agency)". In the absence of a rating for the counterparty, information is indicated in the format "counterparty/country/no rating".

13. When filling in column 16, if the transaction is concluded for hedging purposes, the word "yes" and the details of the hedging object (identification number of the security, quantity, cost, volume, currency) are indicated in the format "yes/details of the hedging object". If the transaction is not concluded for hedging purposes, the word "no" is indicated.

14. Column 17 indicates the symbol "B" if the organization holding a license to carry out brokerage and dealing activities in the securities market acted as a broker, the symbol "D" in case if the organization holding a license to carry out brokerage and dealing activities in the securities market acted as a dealer.

15. When filling in column 18, in case of conclusion by the organization holding a license to carry out brokerage and dealing activities in the securities market of a transaction within the framework of dealing activities, as well as in case of conclusion of a transaction by a voluntary accumulative pension fund (at the expense of pension assets) or an investment portfolio manager (at the expense of client assets) holding a license to carry out brokerage and/or dealing activities in the securities market, the number and date of the investment committee's investment decision to conclude the transaction are indicated.

16. Column 19, in case if the organization holding a license to carry out brokerage and dealing activities in the securities market acted as a broker, indicates information in the format "Full Name or name of client/country" and indicates the surname, first name and patronymic (if available) or name of the client of this broker, on whose behalf and in whose interests the transaction was concluded and the country of his residence.

Voluntary accumulative pension funds holding a license to carry out brokerage and/or dealing activities do not fill in this column when making transactions at the expense of pension assets.

17. Column 20 indicates variation margin - the monetary expression of the change in the obligations of the trading participant, calculated by the exchange and taking into account the change in the quotation of the futures contract.

18. Column 21 indicates initial margin - the share of the total market value of the underlying asset, determined by the exchange, which the client must deposit for each open position.

19. Column 22 indicates the trading mode in the format T+0 or T+n, or describes another trading mode provided for by the exchange rules.

20. Column 23 indicates one of the following statuses of the transaction:

1. obligations are properly terminated or terminated early, except for early termination of the transaction due to violations of the terms of the transaction or events related to the insolvency of one of the parties;

2. performance of obligations is overdue;

3. performance of obligations is suspended on grounds provided for by the contract;

4. obligations are terminated due to violation by the party of the terms of the transaction or events related to the insolvency of one of the parties;

5. extension of the term for performance of the transaction as a result of the occurrence of a stipulated circumstance or event.

21. Column 24 indicates the place of conclusion of the transaction.

22. Transactions with depositary receipts are not included in the Form.

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

Appendix 22
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan of November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the Internet resource: www.nationalbank.kz

Report on balances of money held in broker accounts

Administrative data form index: 1- RCB_CASH_BD

Frequency: monthly

Reporting period: as of "_____" ______ 20 __ year

Subjects submitting: brokers and/or dealers

Form

Table "Balances of money held in broker accounts"

Date	Balance of own money	Balance of money in client accounts
1	2	3
dd.mm.yyyy
…
dd.mm.yyyy

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

surname, first name and patronymic (if available) signature, phone

Chief Accountant or person authorized to sign the report

---

surname, first name and patronymic (if available) signature, phone

Head or person authorized by him to sign the report

---

surname, first name and patronymic (if available) signature, phone

Date "____" ______ 20__ year

Appendix
to the form of the report on balances of money, held in broker accounts

Explanation for filling in the administrative data form

"Report on balances of money held in broker accounts" (index: 1- RCB_CASH_BD, frequency: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling in the form intended for the collection of administrative data "Report on balances of money held in broker accounts" (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled monthly by the broker and/or dealer. Data in the Form are filled in in tenge.

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

Chapter 2. Explanation for Filling in the Form

5. The Form is filled in in tenge at the official exchange rate established by the National Bank of the Republic of Kazakhstan as of the reporting date.

6. Second-level banks holding a license to carry out brokerage and/or dealing activities in the securities market do not fill in column 2.

7. When filling in column 3, the balance of money in bank accounts of clients opened for making transactions with issued securities and other financial instruments on behalf of and in the interests of the client is indicated.

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

Appendix 23
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan of November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the Internet resource: www.nationalbank.kz

Report on the provision of services by a broker and/or dealer

Administrative data form index: 1- RCB_SERV_BD

Frequency: quarterly

Reporting period: for ______ 20 __ year

Subjects submitting: brokers and/or dealers

Form

Table "Provision of services by a broker and/or dealer"

No.	Type of service	Name of issuer/client	Date of conclusion of the contract	Date of commencement of services	Date of termination of the contract	Identification number of the financial instrument	Name of the financial instrument	Method of placement of securities in accordance with the contract	Note
1	2	3	4	5	6	7	8	9	10
1
…
n
Total

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

surname, first name and patronymic (if available) signature, phone

Chief Accountant or person authorized to sign the report

---

surname, first name and patronymic (if available) signature, phone

Head or person authorized by him to sign the report

---

surname, first name and patronymic (if available) signature, phone

Date "____" ______ 20__ year

Appendix
to the form of the report on the provision of services by a broker and/or dealer

Explanation for filling in the administrative data form

"Report on the provision of services by a broker and/or dealer" (index: 1- RCB_SERV_BD, frequency: quarterly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling in the form intended for the collection of administrative data "Report on the provision of services by a broker and/or dealer" (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled quarterly by the broker and/or dealer.

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

Chapter 2. Explanation for Filling in the Form

5. The Form is filled in within the framework of the provision of services by a broker and/or dealer. The report provides information on the services provided by the broker and/or dealer in the reporting period, as well as on contracts that were active and/or terminated in the reporting period.

6. Column 2 indicates the types of services: issuance and/or placement of issued securities, market-maker services, provision of consulting, analytical and/or information services on issues related to activities in the securities market, services of a bondholder representative, services of an Islamic securities holder representative.

7. Column 3 indicates the name of the issuer of the financial instrument or the surname, first name, patronymic or name of the client to whom the service is provided.

8. Columns 4, 5 and 6 are filled in the format "dd.mm.yyyy".

9. In the event of a broker and/or dealer providing services to the issuer for the issuance of securities, column 7 is not filled in until the date of state registration of the issuance of these securities;

10. Column 9 is filled in if the broker and/or dealer provides services to the issuer for the placement of securities.

11. In the absence of information, the corresponding columns are not filled in.

Appendix 24
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan of November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the Internet resource: www.nationalbank.kz

Presented to: The National Bank of the Republic of Kazakhstan

The administrative data form is posted on the website: www.nationalbank.kz

Report on Securities Held in Nominal Custody

Administrative data form index: 1- RCB_NOM_DER

Frequency: quarterly

Reporting period: as of "___" ______ 20 year

Entities submitting: brokers and/or dealers; unified operator; custodians

Form

Table "Securities Held in Nominal Custody"

| | | | | | | | | | |
| --- | --- | --- | --- | --- | --- | --- | --- | --- |
| No. | Identification Number | Issuer Name | Nominal Custodian Name | Number of Securities Held in Clients' Accounts of the Broker and/or Dealer, Unified Operator, Custodian as of the End of the Reporting Period (Units) and Number of Security Holders | | | | | |
| Total | | Voluntary Accumulative Pension Funds of the Republic of Kazakhstan (Pension Assets) | | Investment Funds of the Republic of Kazakhstan (Investment Fund Assets) | | | | | |
| Securities (Units) | Security Holders | Securities (Units) | Security Holders | Securities (Units) | Security Holders | | | | |
| 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 |
| … | | | | | | | | | |
| Total | | | | | | | | | |

continuation of the table:

| | | | | | | | | | |
| --- | --- | --- | --- | --- | --- | --- | --- | --- |
| Number of Securities Held in Clients' Accounts of the Broker and/or Dealer, Unified Operator, Custodian as of the End of the Reporting Period (Units) and Number of Security Holders | | | | | | | | | |
| Second-Tier Banks of the Republic of Kazakhstan (Owners) | | Insurance (Reinsurance) Organizations of the Republic of Kazakhstan (Owners) | | Brokers-Dealers of the Republic of Kazakhstan (Owners - Not Second-Tier Banks) | | Other Licensees of the Financial Market of the Republic of Kazakhstan (Owners) | | Nominal Custodians - Residents of the Republic of Kazakhstan | |
| Securities (Units) | Security Holders | Securities (Units) | Security Holders | Securities (Units) | Security Holders | Securities (Units) | Security Holders | Securities (Units) | Security Holders |
| 11 | 12 | 13 | 14 | 15 | 16 | 17 | 18 | 19 | 20 |
| … | | | | | | | | | |

continuation of the table:

| | | | | | | | | | |
| --- | --- | --- | --- | --- | --- | --- | --- | --- |
| Number of Securities Held in Clients' Accounts of the Broker and/or Dealer, Unified Operator, Custodian as of the End of the Reporting Period (Units) and Number of Security Holders | | | | | | | | | |
| Nominal Custodians - Non-Residents of the Republic of Kazakhstan | | Other Legal Entities - Residents of the Republic of Kazakhstan | | Other Legal Entities - Non-Residents of the Republic of Kazakhstan | | Individuals - Residents of the Republic of Kazakhstan | | Individuals - Non-Residents of the Republic of Kazakhstan | |
| Securities (Units) | Security Holders | Securities (Units) | Security Holders | Securities (Units) | Security Holders | Securities (Units) | Security Holders | Securities (Units) | Security Holders |
| 21 | 22 | 23 | 24 | 25 | 26 | 27 | 28 | 29 | 30 |
| … | | | | | | | | | |

Name ______ Address______

Phone ______

Email Address ______

Executor______ ______

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

Chief Accountant or Person Authorized to Sign the Report

---

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

Head or Person Authorized by Him to Sign the Report

---

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

Date "____" ______ 20__ year

Appendix

to the report form on securities,

held in nominal custody

Explanation on filling out the administrative data form

"Report on Securities Held in Nominal Custody" (index: 1- RCB_NOM_DER, frequency: quarterly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for collecting administrative data "Report on Securities Held in Nominal Custody" (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled quarterly by a broker and/or dealer, unified operator, custodian.

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

Chapter 2. Explanation on Filling out the Form

5. The Form is filled out in the framework of providing services by a broker and/or dealer with the right to maintain client accounts as a nominal custodian, unified operator, custodian as a nominal custodian.

6. Column 4 indicates the name of the nominal custodian (depository, custodian or other organization where the custodian carries out nominal custody). Column 4 is filled out by the custodian.

7. In columns 7, 9, 11, 13, 15, 17, 19, 21, 23, 25, 27 and 29, the number of securities accounted for in the accounts of clients of the broker and/or dealer, unified operator, custodian is indicated depending on the activity and residency of the legal entity and/or residency of the individual.

8. In columns 8, 10, 12, 14, 16, 18, 20, 22, 24, 26, 28 and 30, the number of security holders is indicated depending on the activity and residency of the legal entity and/or residency of the individual.

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

Appendix 25

to the Resolution of the Board

of the National Bank

of the Republic of Kazakhstan

dated November 26, 2019 No. 211

Form

Form intended for collecting administrative data

Presented to: The National Bank of the Republic of Kazakhstan

The administrative data form is posted on the website: www.nationalbank.kz

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

Administrative data form index: 1- RCB_NOM_DER_IN

Frequency: quarterly

Reporting period: as of "___" ______ 20 year

Entities submitting: brokers and/or dealers; unified operator; custodians

Form

Table "Securities Issued in Accordance with the Legislation of a Foreign State, Held in Nominal Custody"

No.	Identification Number	Issuer Name	Name of Foreign Nominal Custodian	Name of Nominal Custodian Providing Services for Nominal Custody of Securities Issued in Accordance with the Legislation of a Foreign State	Name of Owner of Securities Issued in Accordance with the Legislation of a Foreign State	Number of Securities Issued in Accordance with the Legislation of a Foreign State Held in Clients' Accounts of the Broker Acting as Nominal Custodian as of the End of the Reporting Period (Units)
1	2	3	4	5	6	7
1
…
n
Total	x	x	x	x	x

Name ______ Address______

Phone ______

Email Address ______

Executor______ ______

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

Chief Accountant or Person Authorized to Sign the Report

---

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

Head or Person Authorized by Him to Sign the Report

---

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

Date "____" ______ 20__ year

Appendix

to the report form on securities,

issued in accordance with

the legislation of a foreign

state, held in

nominal custody

Explanation on filling out the administrative data form

"Report on Securities Issued in Accordance with the Legislation of a Foreign State, Held in Nominal Custody" (index: 1- RCB_NOM_DER_IN, frequency: quarterly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for collecting administrative data "Report on Securities Issued in Accordance with the Legislation of a Foreign State, Held in Nominal Custody" (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled quarterly by a broker and/or dealer, unified operator, custodian.

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

Chapter 2. Explanation on Filling out the Form

5. Column 4 indicates the name of the foreign nominal custodian providing nominal custody services for securities of non-resident issuers of the Republic of Kazakhstan to organizations specified in column 5.

6. Column 5 indicates the name of the organization providing services for nominal custody of securities of non-resident issuers of the Republic of Kazakhstan to a broker and/or dealer (bank - custodian, central depository of securities and other settlement organizations).

7. Column 6 indicates the name of the ultimate owner of the securities (surname, first name (patronymic if available) for an individual, name for a legal entity) - a client of a broker and/or dealer, unified operator, custodian acting as a nominal custodian.

8. In the absence of information, the Form is submitted with zero balances. Appendix 26

to the Resolution of the Board

of the National Bank

of the Republic of Kazakhstan

dated November 26, 2019 No. 211

Form

Form intended for collecting administrative data

Presented to: The National Bank of the Republic of Kazakhstan

The administrative data form is posted on the website: www.nationalbank.kz

Report on Compliance with Prudential Norms by Organizations Engaged in Investment Portfolio Management and/or Brokerage and/or Dealing Activities in the Securities Market

Administrative data form index: K1_BD-UIP

Frequency: monthly

Reporting period: as of "___" ______ 20 year

Entities submitting: investment portfolio managers; brokers and/or dealers

Form

Table "Compliance with Prudential Norms by Organizations Engaged in Investment Portfolio Management and/or Brokerage and/or Dealing Activities in the Securities Market"

(in thousands of tenge)

No.	Indicator Name	Balance Sheet Amount	Accounted Volume (in percent)	Amount for Calculation
1	2	3	4	5
1	Cash and deposits in total (sum of lines 1.1 - 1.13), including:	х	х
1.1	cash in the vault in an amount not exceeding 10 (ten) percent of the total assets of the Organization according to the balance sheet		100
1.2	cash in current accounts in second-tier banks of the Republic of Kazakhstan, indicated in lines 1.9 and 1.10 of this Appendix		100
1.3	cash in current accounts in second-tier banks of the Republic of Kazakhstan, indicated in line 1.11 of this Appendix		90
1.4	cash in accounts at the central depository		100
1.5	Organization's funds that are contributions to guarantee or reserve funds of a clearing organization (central counterparty), margin contributions, full and/or partial collateral for the fulfillment of obligations on transactions concluded in the trading system of a stock exchange by open trading and/or with the participation of a central counterparty		100
1.6	cash in current accounts in non-resident banks of the Republic of Kazakhstan having a long-term credit rating not lower than 'BBB-' on the international scale of Standard & Poor's agency or a rating of a similar level of one of other rating agencies		100
1.7	cash in accounts at non-resident organizations of the Republic of Kazakhstan performing functions established by paragraph 1 of Article 59 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market", having a long-term credit rating not lower than 'BBB' on the international scale of Standard & Poor's agency or a rating of a similar level of one of other rating agencies		100
1.8	cash in accounts at non-resident organizations of the Republic of Kazakhstan that are members of the International Securities Services Association		100
1.9	deposits in second-tier banks of the Republic of Kazakhstan provided that these banks are issuers included in the 'premium' category of the 'stocks' sector of the 'Main' platform of the official list of a stock exchange, or issuers whose shares are in the representative list of a stock exchange index		100
1.10	deposits in second-tier banks of the Republic of Kazakhstan meeting one of the following requirements: have a long-term credit rating not lower than 'B' on the international scale of Standard & Poor's agency or a rating of a similar level of one of other rating agencies, or a rating assessment not lower than 'kzBB+' on the national scale of Standard & Poor's, or a rating of a similar level on the national scale of one of other rating agencies; are resident subsidiary banks of the Republic of Kazakhstan whose parent non-resident banks of the Republic of Kazakhstan have a long-term credit rating in foreign currency not lower than 'A-' on the international scale of Standard & Poor's agency or a rating of a similar level of one of other rating agencies		100
1.11	deposits in second-tier banks of the Republic of Kazakhstan having a long-term rating of 'B-' on the international scale of Standard & Poor's agency or a rating of a similar level of one of other rating agencies, or a rating from 'kzBB' to 'kzBB-' on the national scale of Standard & Poor's, or a rating of a similar level on the national scale of one of other rating agencies		90
1.12	deposits in international financial organizations having a long-term rating not lower than 'AA-' of Standard & Poor's agency or a rating of a similar level of one of other rating agencies, deposits in the Eurasian Development Bank in the national currency of the Republic of Kazakhstan		100
1.13	deposits in non-resident banks having a long-term rating not lower than 'BBB-' on the international scale of Standard & Poor's agency or a rating of a similar level of one of other rating agencies		100
2	Debt securities – in total (sum of lines 2.1 - 2.15), including	х	х
2.1	state securities of the Republic of Kazakhstan, including those issued in accordance with the legislation of other states, issued by the Ministry of Finance of the Republic of Kazakhstan and the National Bank of the Republic of Kazakhstan		100
2.2	debt securities issued by local executive bodies of the Republic of Kazakhstan, included in the official list of a stock exchange operating on the territory of the Republic of Kazakhstan		100
2.3	debt securities issued by a legal entity carrying out the buyout of mortgage loans of individuals not related to entrepreneurial activity, one hundred percent of the shares of which belong to the National Bank of the Republic of Kazakhstan		100
2.4	debt securities issued by joint stock companies 'Bank for Development of Kazakhstan', 'National Welfare Fund 'Samruk-Kazyna', 'National Managing Holding 'Baýterek', 'Problematic Loans Fund' in accordance with the legislation of the Republic of Kazakhstan and other states		100
2.5	non-state debt securities of legal entities of the Republic of Kazakhstan, issued in accordance with the legislation of the Republic of Kazakhstan and other states, included in the 'debt securities' sector of the 'Main' platform of the official list of a stock exchange, or non-state debt securities of legal entities of the Republic of Kazakhstan denominated in foreign currency and admitted to public trading at a stock exchange functioning on the territory of the International Financial Center 'Astana'		90
2.6	non-state debt securities of legal entities of the Republic of Kazakhstan, issued in accordance with the legislation of the Republic of Kazakhstan and other states, included in the 'debt securities' sector of the 'Alternative' platform of the official list of a stock exchange		60
2.7	non-state debt securities of legal entities of the Republic of Kazakhstan, issued in accordance with the legislation of the Republic of Kazakhstan and other states, having (whose issuer has) a rating assessment not lower than 'BB-' on the international scale of Standard & Poor's agency or a rating of a similar level of one of other rating agencies, or a rating not lower than 'kzA-' on the national scale of Standard & Poor's, or a rating of a similar level on the national scale of one of other rating agencies		100
2.8	non-state debt securities of legal entities of the Republic of Kazakhstan, issued in accordance with the legislation of the Republic of Kazakhstan and other states, having (whose issuer has) a rating assessment from 'B+' to 'B-' on the international scale of Standard & Poor's agency or a rating of a similar level of one of other rating agencies, or a rating from 'kzBBB+' to 'kzBB-' on the national scale of Standard & Poor's, or a rating of a similar level on the national scale of one of other rating agencies		85
2.9	non-state debt securities issued by international financial organizations having an international rating not lower than 'AA-' of Standard & Poor's agency or a rating of a similar level of one of other rating agencies, as well as securities issued by the Eurasian Development Bank and denominated in the national currency of the Republic of Kazakhstan		100
2.10	debt securities of foreign states having a sovereign rating not lower than 'BBB-' on the international scale of Standard & Poor's agency or a rating of a similar level of one of other rating agencies		100
2.11	debt securities of foreign states having a sovereign rating from 'BB+' to 'BB-' on the international scale of Standard & Poor's agency or a rating of a similar level of one of other rating agencies		90
2.12	debt securities of foreign states having a sovereign rating from 'B+' to 'B-' on the international scale of Standard & Poor's agency or a rating of a similar level of one of other rating agencies		80
2.13	non-state debt securities of foreign issuers having (whose issuer has) a rating assessment not lower than 'BBB-' on the international scale of Standard & Poor's agency or a rating of one of other rating agencies		100
2.14	non-state debt securities of foreign issuers having (whose issuer has) a rating assessment from 'BB+' to 'BB-' on the international scale of Standard & Poor's agency or a rating of one of other rating agencies		85
2.15	non-state debt securities of foreign issuers having (whose issuer has) a rating assessment from 'B+' to 'B-' on the international scale of Standard & Poor's agency or a rating of one of other rating agencies		70
3	Shares and depositary receipts – in total (sum of lines 3.1 - 3.7), including:	х	х
3.1	shares of legal entities of the Republic of Kazakhstan and foreign issuers included in the main stock indices, and depositary receipts whose underlying asset is these shares		100
3.2	shares of legal entities included in the official list of a stock exchange, meeting the requirements of the 'premium' category of the 'stocks' sector of the 'Main' platform of the official list of a stock exchange, and depositary receipts whose underlying asset is these shares		100
3.3	shares of legal entities – residents of the Republic of Kazakhstan included in the 'standard' category of the 'stocks' sector of the 'Main' platform of the official list of a stock exchange, or shares of legal entities – residents of the Republic of Kazakhstan denominated in foreign currency, admitted to public trading at a stock exchange functioning on the territory of the International Financial Center 'Astana', and depositary receipts whose underlying asset is these shares		80
3.4	shares of legal entities of the Republic of Kazakhstan included in the 'stocks' sector of the 'Alternative' platform of the official list of a stock exchange, and depositary receipts whose underlying asset is these shares		60
3.5	shares of legal entities of the Republic of Kazakhstan and foreign issuers having a rating assessment not lower than 'BBB-' on the international scale of Standard & Poor's agency or a rating of a similar level of one of other rating agencies, and depositary receipts whose underlying asset is these shares		100
3.6	shares of legal entities of the Republic of Kazakhstan and foreign issuers having a rating assessment from 'BB+' to 'BB-' on the international scale of Standard & Poor's agency or a rating of a similar level of one of other rating agencies, and depositary receipts whose underlying asset is these shares		80
3.7	shares of legal entities of the Republic of Kazakhstan and foreign issuers having a rating assessment from 'B+' to 'B-' on the international scale of Standard & Poor's agency or a rating of a similar level of one of other rating agencies, and depositary receipts whose underlying asset is these shares		60
4	Other securities – in total (sum of lines 4.1 – 4.3), including:	х	х
4.1	securities of investment funds included in the official list of a stock exchange		70
4.2	shares of Exchange Traded Funds (ETF), the asset structure of which repeats the structure of one of the main stock indices, or whose pricing is linked to main stock indices		90
4.3	shares of Exchange Traded Funds (ETF), Exchange Traded Commodities (ETC), Exchange Traded Notes (ETN) having a rating assessment not lower than '3 stars' of Morningstar rating agency		80
5	Other assets – in total (sum of lines 5.1 - 5.4), including:	х	х
5.1	Refined precious metals and metal deposits		100
5.2	Accounts receivable (excluding accounts receivable of affiliated persons of the Organization) for accrued but unpaid commission remuneration in the course of professional activity in the securities market (not overdue under the contract terms) - in an amount not exceeding 10 (ten) percent of the total assets of the Organization according to the balance sheet		100
5.3	Claims to security issuers for the payment of the nominal value of securities arising from the expiration of their circulation period provided for in the securities issuance prospectus (not overdue under the terms of the securities issuance prospectus)		100
5.4	Fixed assets of the Organization in the form of real estate in an amount not exceeding 5 (five) percent of the total assets of the Organization according to the balance sheet		100
6	Total liquid assets (LA) (sum of lines 1-5)	х	х
7	Liabilities according to the balance sheet	х	х
8	Minimum size of own capital (MSOC)	х	х
9	Capital adequacy ratio (K)	х	х
10	Liquidity ratio (Kl)	х	х

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head of the Organization or person authorized by him to sign the report

---

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

Date «____» ______ 20__ year

Appendix to the report form on compliance with prudential norms by organizations carrying out investment portfolio management and/or brokerage and/or dealing activity in the securities market

Explanation on filling out the form of administrative data

"Report on compliance with prudential norms by organizations carrying out investment portfolio management and/or brokerage and/or dealing activity in the securities market" (index: K1_BD-UIP, frequency: monthly)"

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the form "Report on compliance with prudential norms by organizations carrying out investment portfolio management and/or brokerage and/or dealing activity in the securities market" (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is filled out monthly as of the end of the reporting period by the investment portfolio manager, broker and/or dealer. Data in the Form are indicated 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 head, chief accountant or persons authorized to sign the report, and the executor.

Chapter 2. Explanation on filling out the Form

5. If a financial instrument meets two or more criteria established by the Form, the category of the financial instrument is determined by the Organization independently.

6. Fixed assets in the form of real estate of the Organization, indicated in line 5.4, are taken into account in the calculation of prudential norms in the amount of 100 (one hundred) percent of the lesser of the book value and market value.

For the purpose of determining the market value of fixed assets taken into account in the calculation of prudential norms, the Organization conducts an assessment of their value by an appraiser not less than once a year.

7. Column 3 is filled with data as of the end of the last calendar day of the reporting period.

8. Column 5 is filled with the amount for calculation as of the end of the last calendar day of the reporting period, calculated as the product of the data indicated in columns 3 and 4.

9. Line 9 is filled with the value of the capital adequacy ratio, calculated as the ratio of the difference between liquid assets and balance sheet liabilities to the minimum size of own capital.

10. Line 10 is filled with the value of the liquidity ratio, calculated as the ratio of liquid assets to balance sheet liabilities. This line is not filled out by a voluntary accumulation pension fund.

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

Appendix 27

to the Resolution of the Board of the

National Bank of the

Republic of Kazakhstan

dated November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The form of administrative data is posted on the internet resource: www.nationalbank.kz

Report on compliance with investment limits

Index of the administrative data form: 1-LIMITS -DNPF

Frequency: monthly

Reporting period: as of «_____» ______ 20 __ year

Subject of submission: voluntary accumulation pension fund

Form

Table 1. In the issuer's financial instruments

(in thousands of tenge)

No.	Issuer Name	Current value of investments in the issuer's financial instruments using pension assets	Current value of pension assets	Issuer's own capital size	Total as a percentage of the current value of pension assets	Current value of investments in the issuer's financial instruments using own assets
1	2	3	4	5	6	7

continuation of the table:

Current value of own assets	Total as a percentage of the current value of own assets	Total as a percentage of the issuer's own capital size using pension assets	Total as a percentage of the issuer's own capital size using own assets	Total as a percentage of the issuer's own capital size using pension and own assets combined
8	9	10	11	12

Table 2. In debt securities of one issue of the issuer

No.	Issuer Name	Identification number	Type of debt security	Total number of debt securities of this issue (in pieces)	Number of these securities using pension assets (in pieces)
1	2	3	4	5	6

continuation of the table:

Total as a percentage of the total number of debt securities of this issue using pension assets	Number of these securities using own assets (in pieces)	Total as a percentage of the total number of debt securities of this issue using own assets	Total as a percentage of the total number of debt securities of this issue using pension and own assets combined
7	8	9	10

Table 3. In voting shares of the issuer-resident of the Republic of Kazakhstan

No.	Name of the issuer-resident of the Republic of Kazakhstan	Identification number	Total number of voting shares of this issuer (in pieces)	Number of these shares using pension assets (in pieces)	Total as a percentage of the total number of voting shares of this issuer using pension assets	Number of these shares using own assets (in pieces)	Total as a percentage of the total number of voting shares of this issuer using own assets	Total as a percentage of the total number of voting shares of this issuer using pension and own assets combined
1	2	3	4	5	6	7	8	9

Table 4. Share of issued shares issued by one second-tier bank of the Republic of Kazakhstan

No.	Name of the second-tier bank of the Republic of Kazakhstan	Identification number	Total number of issued shares issued by one second-tier bank of the Republic of Kazakhstan (in pieces)	Number of these shares using pension assets (in pieces)	Total as a percentage of the total number of issued shares issued by one second-tier bank of the Republic of Kazakhstan using pension assets
1	2	3	4	5	6

continuation of the table:

Number of these shares using own assets (in pieces)	Total as a percentage of the total number of issued shares issued by one second-tier bank of the Republic of Kazakhstan using own assets	Total as a percentage of the total number of issued shares issued by one second-tier bank of the Republic of Kazakhstan using pension and own assets combined
7	8	9

Table 5. In financial instruments issued (provided) by the issuer-resident of the Republic of Kazakhstan, and issuers who are affiliated persons of this issuer, as well as trustees managing ten or more percent of the voting shares of this issuer belonging to its major shareholders

(in thousands of tenge)

No.	Name of the issuer-resident of the Republic of Kazakhstan, affiliated person of this issuer, trustee managing ten or more percent of the voting shares of this issuer belonging to its major shareholders	Current value of investments in financial instruments issued (provided) by the issuer-resident of the Republic of Kazakhstan, and issuers who are affiliated persons of this issuer, as well as trustees managing ten or more percent of the voting shares of this issuer belonging to its major shareholders, using pension assets	Current value of pension assets	Total as a percentage of the current value of pension assets
1	2	3	4	5

continuation of the table:

Current value of investments in financial instruments issued (provided) by the issuer-resident of the Republic of Kazakhstan, and issuers who are affiliated persons of this issuer, as well as trustees managing ten or more percent of the voting shares of this issuer belonging to its major shareholders, using own assets	Current value of own assets	Total as a percentage of the current value of own assets
6	7	8

Table 6. In shares of the non-resident issuer of the Republic of Kazakhstan

No.	Name of the non-resident issuer of the Republic of Kazakhstan	Identification number	Total number of shares of this issuer (in pieces)	Number of these shares using pension assets (in pieces)	Total as a percentage of the total number of shares of this issuer using pension assets	Number of these shares using own assets (in pieces)	Total as a percentage of the total number of shares of this issuer using own assets	Total as a percentage of the total number of shares of this issuer using pension and own assets combined
1	2	3	4	5	6	7	8	9

Table 7. In securities of foreign issuers denominated in foreign currency

(in thousands of tenge)

No.	Current value of investments in securities of foreign issuers denominated in foreign currency, from pension assets	Current value of pension assets	Total as a percentage of the current value of pension assets	Current value of investments in securities of foreign issuers with a rating below 'BBB', from pension assets	Current value of pension assets	Total as a percentage of the current value of pension assets
1	2	3	4	5	6	7

continuation of the table:

Current value of investments in securities of foreign issuers denominated in foreign currency, from own assets	Current value of own assets	Total as a percentage of the current value of own assets	Current value of investments in securities of foreign issuers with a rating below 'BBB', from own assets	Current value of own assets	Total as a percentage of the current value of own assets
8	9	10	11	12	13

Table 8. In financial instruments issued (provided) by affiliated persons of the Organization, trustees of ten or more percent of the voting shares of the Organization belonging to major shareholders of the Organization

(in thousands of tenge)

No.	Name of the affiliated person of the Organization, trustee of ten or more percent of the voting shares of the Organization belonging to major shareholders of the Organization	Current value of investments in financial instruments issued (provided) by affiliated persons of the Organization, trustees of ten or more percent of the voting shares of the Organization belonging to major shareholders of the Organization	Current value of pension assets	Total as a percentage of the current value of pension assets
1	2	3	4	5

Table 9. In units of an interval unit investment fund, whose management company is a legal entity created in accordance with the legislation of the Republic of Kazakhstan, included in the official list of the stock exchange

(in thousands of tenge)

No.	Name of the issuer	Identification number	Current value of units of this issuer from own assets	Current value of own assets	Total as a percentage of the current value of own assets
1	2	3	4	5	6

continuation of the table:

Net asset size of this issuer	Current value of units of this issuer from pension assets	Total as a percentage of the net asset size of this issuer from pension assets	Total as a percentage of the net asset size of this issuer from own assets	Total as a percentage of the net asset size of this issuer from pension and own assets combined
7	8	9	10	11

Table 10. In units of an interval unit investment fund, whose management company is a legal entity created in accordance with the legislation of the Republic of Kazakhstan, included in the official list of the stock exchange, and financial instruments issued (provided) by this management company

(in thousands of tenge)

No.	Name of the issuer	Current value of units and other financial instruments of this issuer from pension assets	Current value of pension assets	Total as a percentage of the current value of pension assets	Current value of units and other financial instruments of this issuer from own assets	Current value of own assets	Total as a percentage of the current value of own assets
1	2	3	4	5	6	7	8

Table 11. In units of an investment fund having an international rating of Standard & Poor's principal stability fund ratings not lower than 'BBBm' or Standard & Poor's Fund credit quality ratings not lower than 'BBBf'

(in thousands of tenge)

No.	Name of the issuer	Identification number	Current value of units of this issuer from own assets (in tenge)	Current value of own assets (in tenge)	Total as a percentage of the current value of own assets
1	2	3	4	5	6

continuation of the table:

Asset size of this issuer	Current value of units of this issuer from pension assets	Total as a percentage of the asset size of this issuer from pension assets	Total as a percentage of the asset size of this issuer from own assets	Total as a percentage of the asset size of this issuer from pension and own assets combined
7	8	9	10	11

Table 12. In units of investment funds having an international rating of Standard & Poor's principal stability fund rating not lower than 'BBBm' or Standard & Poor's Fund credit quality ratings not lower than 'BBBf', managed by one management company, and financial instruments issued (provided) by this management company

(in thousands of tenge)

No.	Name of the issuer	Current value of units and other financial instruments of this issuer from pension assets	Current value of pension assets	Total as a percentage of the current value of pension assets	Current value of units and other financial instruments of this issuer from own assets	Current value of own assets	Total as a percentage of the current value of own assets
1	2	3	4	5	6	7	8

Table 13. In securities having the status of state securities, issued (provided) by the central government of one foreign state

(in thousands of tenge)

No.	Name of the issuer	Identification number	Current value of securities having the status of state securities, issued (provided) by the central government of one foreign state from pension assets	Current value of pension assets	Total as a percentage of the current value of pension assets
1	2	3	4	5	6

continuation of the table:

Current value of securities having the status of state securities, issued (provided) by the central government of one foreign state from own assets	Current value of own assets	Total as a percentage of the current value of own assets
7	8	9

Table 14. In financial instruments issued (provided) by one international financial organization

(in thousands of tenge)

No.	Name of the issuer	Current value of financial instruments issued (provided) by one international financial organization from pension assets	Current value of pension assets	Total as a percentage of the current value of pension assets	Current value of financial instruments issued (provided) by one international financial organization from own assets	Current value of own assets	Total as a percentage of the current value of own assets
1	2	3	4	5	6	7	8

Table 15. In refined precious metals

(in thousands of tenge)

No.	Name of the refined precious metal	Current value of refined precious metals from pension assets	Current value of pension assets	Total as a percentage of the current value of pension assets	Current value of refined precious metals from own assets	Current value of own assets	Total as a percentage of the current value of own assets
1	2	3	4	5	6	7	8

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date "____" ______ 20__ year

Appendix
to the investment limit compliance report form

Explanation for filling out the administrative data form

"Report on compliance with investment limits" (index: 1-LIMITS –DNPF, frequency: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the "Report on compliance with investment limits" form (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled monthly by the voluntary accumulation pension fund. Data in the Form is indicated in tenge.

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

5. Explanation for filling out the Form

6. Current value and percentage values are indicated with two decimal places.

7. The Form is not filled out for state securities of the Republic of Kazakhstan, deposits in the National Bank of the Republic of Kazakhstan and debt securities issued by JSC "National Welfare Fund "Samruk-Kazyna".

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

Appendix 28
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the internet resource: www.nationalbank.kz

Report on blocked (unexecuted) client orders

Administrative data form index: 1- CUST_BLOK

Frequency: quarterly

Reporting period: for ______ 20 __ year

Persons submitting: custodian

Form

---

(name of the custodian)

Table "Blocked (unexecuted) client orders"

Date	Client name	Type of assets	Type of financial instrument	Name of issuer	Security code	Identification number	Market	Type of blocked (unexecuted) order to conclude a transaction	Volume of blocked (unexecuted) order to conclude a transaction	Grounds for rejection
1	2	3	4	5	6	7	8	9	10	11

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date "____" ______ 20__ year

Appendix
to the report on blocked
(unexecuted) client orders form

Explanation for filling out the administrative data form

"Report on blocked (unexecuted) client orders" (index: 1- CUST_BLOK, frequency: quarterly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the "Report on blocked (unexecuted) client orders" form (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled quarterly by the custodian.

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

Chapter 2. Explanation for filling out the Form

5. In column 2, the name of the investment portfolio manager, organization carrying out brokerage and dealing activities, which are clients of the custodian, is indicated.

6. In column 3, the own or pension assets of voluntary accumulation pension funds, or assets of clients of organizations carrying out investment portfolio management, organizations carrying out brokerage and dealing activities, under custodial service of the custodian, are indicated.

7. In column 8, the name of the market is indicated in the format "stock exchange", "unorganized market", "international market". If the transaction is carried out in the trading system of a stock exchange, the country of its residency is indicated in the format "name of the stock exchange/country".

8. In column 9, the type of blocked (unexecuted) order to conclude a transaction (purchase, sale, opening and closing of repo operations, conclusion of a bank deposit agreement and other transactions) is indicated. For repo operations, the type of repo operation is also indicated: direct or reverse repo.

9. In column 11, the grounds on which the custodian blocked (did not execute) the order to conclude a transaction are indicated.

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

Appendix 29
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the internet resource: www.nationalbank.kz

Report on the number of clients of the custodian

Administrative data form index: 1- CUST_CLIENT

Frequency: quarterly

Reporting period: for ______ 20 __ year

Persons submitting: custodian

Form

Table "Number of clients of the custodian"

No.	Client name	Residency sign	Number of clients
Financial market licensees with indication of the type of activity carried out in accordance with the license of the authorized body	Other legal entities	Other individuals
1	2	3	4	5	6
Total	X	X

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date "____" ______ 20__ year

Appendix
to the report on the number of clients of the custodian form

Explanation for filling out the administrative data form

"Report on the number of clients of the custodian" (index: 1- CUST_CLIENT, frequency: quarterly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the "Report on the number of clients of the custodian" form (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled quarterly by the custodian.

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

Chapter 2. Explanation for filling out the Form

5. In column 2, the surname, first name, patronymic (if any) of a physical person and the name of a legal entity, which are clients of the custodian, are indicated.

6. In column 3, the residency sign of the custodian's client is indicated.

7. In columns 4, 5 and 6, the number "1" is indicated in the corresponding column and summed up in the "Total" row.

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

Appendix 30

to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the internet resource: www.nationalbank.kz

Report on the movement of pension assets by investment account in national currency

Administrative data form index: 1- CUST_PA_KZT

Frequency: monthly

Reporting period: for ______ 20 __ year

Persons submitting: custodian of the voluntary accumulation pension fund

Form

---

(name of the custodian)

______ (account number)

---

(name of the voluntary accumulation pension fund)

Table "Movement of pension assets by investment account in national currency" (in tenge)

Date month year	Balance at the beginning of the day	Receipts
Transfers from other accumulation pension funds		Voluntary pension contributions		Received dividends and rewards for securities	Receipts from sale and redemption of securities
Total	in particular, distributed to individual pension accounts	Total	in particular, distributed to individual pension accounts
1	2	3	4	5	6	7	8
…

continuation of the table:

Receipts
Amount of return on deposits in second-tier banks		Returns from the pension payment account	Penalty/fines received	Receipts from the sale of foreign currency	Erroneously credited amounts	Other receipts	Total receipts
Deposit amount	Amount of received reward (interest) on deposits
9	10	11	12	13	14	15	16
…

continuation of the table:

Disbursements									Balance at the end of the day ((2)+(16)-(25))
Expenses for the purchase of securities	Placement in deposits in banks	Transfers to the pension payment account	Commission reward		Return of erroneously credited amounts	Expenses for the purchase of foreign currency	Other expenses	Total disbursements
from pension assets	from investment income
17	18	19	20	21	22	23	24	25	26
…

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date "____" ______ 20__ year

Appendix
to the report on the movement of pension assets by investment account in national currency form

Explanation for filling out the administrative data form

"Report on the movement of pension assets by investment account in national currency" (index: 1- CUST_PA_KZT, frequency: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for the collection of administrative data "Report on the movement of pension assets by investment account in national currency" (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled monthly by the bank-custodian of the voluntary accumulation pension fund and filled out for each separate working day of the reporting period. Data in the Form is filled out in tenge.

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

Chapter 2. Explanation for filling out the Form

5. Column 1 is reflected in the format "dd.mm.yyyy".

6. Amounts not subject to reflection are included in columns 15 and 24 with explanations.

7. In columns 3 and 4, the amount of transfers from the unified accumulation pension fund, as well as from voluntary accumulation pension funds, is indicated.

8. When filling out column 15, a list of sources of other receipts received is attached to the report form.

9. In column 16, the total amounts of receipts for each working day of the reporting period are indicated.

10. In columns 20 and 21, the amounts of commission reward paid to the voluntary accumulation pension fund are indicated.

11. When filling out column 24, information on other expenses included in the cost of pension assets is attached to the report form.

12. In column 25, the total amounts of expenses for each working day of the reporting period are indicated.

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

Appendix 31
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the internet resource: www.nationalbank.kz

Report on the movement of pension assets by investment account in foreign currency

Administrative data form index: 1- CUST_PA_FC

Frequency: monthly

Reporting period: for ______ 20 __ year

Persons submitting: custodian of the voluntary accumulation pension fund

Form

---

(name of the custodian)

______ (account number)

---

(name of foreign currency)

---

(name of voluntary accumulation pension fund)

Table "Movement of pension assets by investment account in foreign currency" (in tenge)

Date day month year	Receipts
Balance at the beginning of the day		Receipts from sale and redemption of securities		Dividends and remuneration (interest) received on securities		Amounts returned on bank deposits
Deposit amount		Amount of remuneration (interest) received on bank deposits
in foreign currency	in tenge	in foreign currency	in tenge	in foreign currency	in tenge	in foreign currency	in tenge	in foreign currency	in tenge
1	2	3	4	5	6	7	8	9	10	11

continuation of the table:

Receipts
Foreign currency acquired		Other receipts		Total receipts
in foreign currency	in tenge, at the purchase exchange rate of foreign currency	in foreign currency	in tenge	in foreign currency	in tenge
12	13	14	15	16	17

continuation of the table:

Disbursements										Balance at the end of the day
expenses for purchase of securities		placement in bank deposit		foreign currency sold		other expenses		total disbursements
in foreign currency	in tenge	in foreign currency	in tenge	in foreign currency	in tenge, at the sale exchange rate of foreign currency	in foreign currency	in tenge	in foreign currency	in tenge	in foreign currency	in tenge
18	19	20	21	22	23	24	25	26	27	28	29

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date "____" ______ 20__ year

Appendix
to the report form on the movement of pension assets by investment account in foreign currency

Explanation for filling out the administrative data form

"Report on the movement of pension assets by investment account in foreign currency" (index: 1- CUST_PA_FC, frequency: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for the collection of administrative data "Report on the movement of pension assets by investment account in foreign currency" (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled monthly by the custodian bank of the voluntary accumulation pension fund and filled out for each separate working day of the reporting period. Data in the Form is filled out in tenge.

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

Chapter 2. Explanation for filling out the Form

5. The Form is filled out and submitted in the presence and movement of funds in the investment account in foreign currency for each separate working day of the past month, indicating the total amounts for all items for the reporting month.

6. Column 1 is reflected in the "day.month.year" format.

7. Amounts not subject to reflection are included in columns 14, 15, 24 and 25 with explanations entered.

8. In the presence and movement of several foreign currencies, the Form is submitted separately for each foreign currency.

9. When filling out columns 14 and 15, a list of sources of other receipts received is attached.

10. Columns 16 and 17 are filled with the total amounts of receipts for each working day of the reporting period.

11. When filling out columns 24 and 25, a list of information on other expenses included in the cost of pension assets is attached.

12. Columns 26 and 27 are filled with the total amounts of expenses for each working day of the reporting period.

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

Appendix 32
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the website: www.nationalbank.kz

Report on the structure of the investment portfolio of pension assets

Index of administrative data form: 1- CUST_SPPA

Frequency: monthly

Reporting period: as of "_____" ______ 20 __ year

Persons submitting: custodian of the voluntary accumulation pension fund

Form

---

(name of the custodian bank)

---

(name of the voluntary accumulation pension fund)

Table 1. Securities acquired at the expense of pension assets

(in tenge)

No.	Name of issuer	Type of economic activity	Country of issuer	Type of security	Identification number	Number of securities (pieces)
1	2	3	4	5	6	7
1.	Government securities of the Republic of Kazakhstan
1.1.		x
…		x
2.	Non-governmental issue securities of organizations of the Republic of Kazakhstan
2.1.	Securities of second-tier banks
2.1.1.
…
2.2.	Securities of legal entities, excluding second-tier banks
2.2.1.
…
3.	Securities of foreign states
3.1.		x
…		x
4.	Non-governmental securities of non-resident issuers of the Republic of Kazakhstan
4.1.		x
…		x
5.	Securities of international financial organizations
5.1.		x
…		x
6.	Units of investment funds
6.1.
…
	Total:

continuation of the table:

Nominal value		Payment currency	Purchase price per one security		Period		Purchase cost of security	Current value of securities			Category of securities	Current coupon rate in the portfolio
currency	cost of one security	total (in tenge)	in the currency of nominal value		date of registration	date of maturity	total (in tenge)	in the currency of nominal value	including accrued remuneration, in tenge
8	9	10	11	12	13	14	15	16	17	18	19	20
...

Table 2. Securities acquired through reverse repo operations

(in tenge)

No.	Name of issuer	Country of issuer	Type of security	Identification number	Number of securities (pieces)	Currency of nominal value	Currency of transaction	Opening price per one security
total (in tenge)	in the currency of nominal value
1	2	3	4	5	6	7	8	9	10
	Total:

continuation of the table:

Closing price per one security		Period		Current value of securities	Yield rate on the transaction
total (in tenge)	in the currency of nominal value	Date of opening of the transaction	Date of closing of the transaction
11	12	13	14	15	16
…

Table 3. Deposits in the National Bank of the Republic of Kazakhstan and in second-tier banks

(in tenge)

No.	Name of bank	Currency of deposit	Date of conclusion and number of bank deposit contract		Term of deposit (in days)	Period of remuneration payment		Remuneration rate (percent per annum)
date	number	frequency	date	nominal	effective
1	2	3	4	5	6	7	8	9	10
	Total:

continuation of the table:

Principal amount of deposit		Current value
Total (in tenge)	in foreign currency	Total (in tenge)	including, accrued remuneration
in tenge	in foreign currency
11	12	13	14	15
…

Table 4. Refined precious metals

(in tenge)

No.	Name of refined precious metal	Quantity in troy ounces	Payment currency	Purchase price per one troy ounce		Total purchase cost		Current value
in tenge	in currency	in tenge	in currency	in tenge	in currency
1	2	3	4	5	6	7	8	9	10
	Total:

Table 5. Contingent claims (obligations)

(in tenge)

No.	Name of type of derivative financial instrument	Underlying asset	Currency	Identification number	Amount of claims (obligations) on the date of the transaction with the derivative instrument	Current value on the reporting date
1	2	3	4	5	6	7
1.	Contingent claims on derivative financial instruments
1.1
1.1.1
1.1.n
2.	Contingent obligations on derivative financial instruments
2.1
2.1.1
2.1.n

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date "____" ______ 20__ year

Appendix
to the report form on the structure of the investment portfolio of pension assets

Explanation for filling out the administrative data form

"Report on the structure of the investment portfolio of pension assets" (index: 1- CUST_SPPA, frequency: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for the collection of administrative data "Report on the structure of the investment portfolio of pension assets" (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled monthly by the custodian bank of the voluntary accumulation pension fund and filled out for each separate working day of the reporting period. Data in the Form is filled out in tenge.

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

Chapter 2. Explanation for filling out the Form

5. Regarding Table 1:

1. the Form indicates data on securities and claims rights on the issuer's obligations on issue securities;

2. column 2 indicates the name of the issuer of the security;

3. column 3 indicates the type of economic activity in accordance with the General Classifier of Types of Economic Activity of the RK GK 03-2007. This column is filled out for non-governmental securities of resident issuers of the Republic of Kazakhstan;

4. column 5 indicates the type of security with indication of its type;

5. column 6 indicates the identification number of the security, regarding the rights to claims on the issuer's obligations, the term of which has expired, and the issuer has not fulfilled the obligations for their redemption - identifier of claim rights;

6. column 7 indicates the number of acquired securities;

7. in columns 8 and 10, currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 "Codes for the designation of currencies and funds";

8. in column 9, for bonds, the monetary expression of the cost of the bond determined at its issue, on which remuneration expressed in percent is accrued on the coupon bond, as well as the amount payable to the bondholder upon its redemption. The amount is indicated in the currency of issue;

9. in columns 11 and 12, the price reflected in the primary document confirming the transaction (exchange certificate, broker (dealer) report, confirmation via the international interbank system for information transfer and payment transactions (SWIFT). In the case of payment for the acquired security in foreign currency, column 11 is filled with simultaneous reflection of the equivalent in the national currency - tenge in column 12, in the case of payment for the acquired security in the national currency - tenge, column 11 is filled;

10. column 13 reflects the date of initial recognition in accounting;

11. column 14 indicates the maturity term of debt securities;

12. column 15 indicates the purchase cost of the security, including expenses directly related to the acquisition, including remuneration and commissions paid to agents, consultants, brokers and (or) dealers, fees of stock exchanges, as well as banking services for transfer, reduced by the amount of the percentage paid by the buyer to the seller (if any);

13. column 16 indicates the cost of securities reflected in accounting;

14. column 19 indicates the category of the security "evaluated at fair value", "evaluated at amortized cost";

15. column 20 indicates the coupon rate on debt financial instruments on the date of submission of the Form.

6. Regarding Table 2:

1. column 4 indicates the type of security with indication of its type;

2. column 6 indicates the number of acquired securities;

3. in columns 7 and 8, currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 "Codes for the designation of currencies and funds";

4. in columns 9 and 10, the price with an accuracy of four decimal places, reflected in the primary document confirming the reverse repo transaction. In the case of payment for the acquired security in foreign currency, columns 10 and 12 are filled with simultaneous reflection of the equivalent in the national currency - tenge in columns 9 and 11, in the case of payment for the acquired security in the national currency - tenge, columns 9 and 11 are filled;

5. column 15 indicates the current value reflected in accounting.

7. Regarding Table 3:

1. in column 3, currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 "Codes for the designation of currencies and funds";

2. column 6 indicates the term of the deposit under the bank deposit contract, upon extension of the deposit, the term is reflected with account of the extension;

3. in columns 7 and 8, the frequency and date of payment of accrued remuneration is indicated in accordance with the terms of the bank deposit contract;

4. in columns 11 and 12, the amount of placement of pension assets in a deposit in the National Bank of the Republic of Kazakhstan and second-tier banks is indicated. In the case of placement of pension assets in a deposit in the national currency, column 11 is filled;

5. the table is filled with indication of the amount of deposits separately for each bank and for each currency of the deposit.

8. Regarding Table 4:

1. in column 4, currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 "Codes for the designation of currencies and funds";

2. in columns 5 and 7, the price and purchase cost are indicated at the market exchange rate of currencies prevailing on the date of the transaction, in column 10 the amount is reflected at the market exchange rate of currencies prevailing on the reporting date. In the case of acquisition of refined precious metal in the national currency, columns 5, 7 and 9 are filled;

3. column 9 indicates the current value reflected in accounting.

9. Regarding Table 5:

1. column 3 indicates the underlying asset of the derivative financial instrument (name of the security and its issuer, currency, remuneration rate, commodity and other underlying assets);

2. column 4 indicates the currency of the transaction. The currency code is indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 "Codes for the designation of currencies and funds";

3. column 5 is filled in the case if the underlying asset of the derivative financial instrument is a security;

4. column 6 indicates the amount of contingent claims and obligations, which is formed when conducting transactions with derivative instruments, in accordance with the requirements of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated July 1, 2011 No. 69 "On Approval of the Instruction on Accounting for Operations with Pension Assets Carried Out by the Unified Accumulation Pension Fund and Voluntary Accumulation Pension Funds" (registered in the Registry of State Registration of Normative Legal Acts under No. 7118);

5. column 7 indicates the market value (replacement cost) of the derivative financial instrument, which represents:

for purchase transactions - the amount of excess of the current market value of the derivative financial instrument over the nominal contractual value of this derivative financial instrument (contingent claims), the amount of excess of the nominal contractual value of the derivative financial instrument over the current market value of this derivative financial instrument (contingent obligations);

for sale transactions - the amount of excess of the nominal contractual value of the derivative financial instrument over the current market value of this derivative financial instrument (contingent claims), the amount of excess of the current market value of the derivative financial instrument over the nominal contractual value of this derivative financial instrument (contingent obligations).

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

Appendix 33
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the website: www.nationalbank.kz

Report on accrued and paid commission remuneration

Index of administrative data form: 1- CUST_REWARD

Frequency: monthly

Reporting period: for ______ 20 __ year

Persons submitting: custodian of the voluntary accumulation pension fund

Form

---

(name of the custodian bank)

---

(name of the voluntary accumulation pension fund)

Table "Accrued and paid commission remuneration
(in tenge)

Date day month year	Accrued		Paid
from pension assets	from investment income	from pension assets	from investment income
1	2	3	4	5
…
Total:

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date "____" ______ 20__ year

Appendix
to the report form on accrued and paid commission remuneration

Explanation for filling out the form

"Report on accrued and paid commission remuneration" (index: 1- CUST_REWARD, frequency: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter – Explanation) defines the unified requirements for filling out the form intended for the collection of administrative data "Report on accrued and paid commission remuneration" (hereinafter – Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled monthly by the custodian bank of the voluntary accumulation pension fund and filled out for each separate working day of the reporting period. Data in the Form is filled out in tenge.

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

Chapter 2. Explanation for filling out the Form

5. In column 1, a separate working day of the reporting month is indicated in the "dd.mm.yyyy" format.

6. In columns 2 and 3, the amount of accrued commission remuneration is indicated.

7. In columns 4 and 5, the amount of paid commission remuneration is indicated.

8. In the "Total" row, total amounts for all items for the reporting month are indicated.

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

Appendix 34
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the website: www.nationalbank.kz

Report on applications for purchase/sale of securities

Index of administrative data form: 1- KASE_PSS

Frequency: daily

Reporting period: as of "___" ______ 20 year

Persons submitting: trading organizer

Form

---

(Organization Name)

Table "Orders for Purchase/Sale of Securities"

Order Number	Date and Time of Order Submission		Order Type	Order Direction	Market Type	Category	Subcategory
date	time
1	2	3	4	5	6	7	8

continuation of table:

Security Code	Security Identification Number	Quotation Currency	Price	Clean Price	Yield on Debt Securities
9	10	11	12	13	14

continuation of table:

Quantity	Volume	Code of Trading Organizer Member	Depot Account	Account Type	Subaccount Type	Account Owner Type
15	16	17	18	19	20	21

continuation of table:

Personal Identification Number (ID)	Order Flag	Order Status	Date and Time of Order Cancellation		Market Price	Weighted Average Price	Trading Regime
date	time
22	23	24	25	26	27	28	29

Name ______ Address______

Phone ______

Email Address ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date "____" ______ 20__ year

Appendix
to the report form on orders for purchase/sale of securities

Explanation on filling out the administrative data form

"Report on Orders for Purchase/Sale of Securities" (index: 1- KASE_PSS, frequency: daily)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the "Report on Orders for Purchase/Sale of Securities" form (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled daily by the trading organizer and filled out for each reporting day. Data in the Form is filled out in tenge with two decimal places.

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

Chapter 2. Explanation on Filling out the Form

5. In column 1, the sequential number of the order is indicated.

6. In columns 2 and 25, the date of submission and the date of cancellation of the order are indicated in the format "dd.mm.yyyy".

7. In columns 3 and 26, the time of submission and the time of cancellation of the order are indicated in the format "hours:minutes:seconds".

8. In column 4, the order type is indicated: "limit" - limit order, "market" - market order, "nego" - direct order.

9. In column 5, the direction of the order is indicated as purchase or sale.

10. In column 6, the market type is indicated: "Tbills" - government securities market, "Equities" - equity market, "Debts" - bond market.

11. In columns 7 and 8, the categories and subcategories of market types provided for by the trading system are indicated.

12. In column 9, the security code is indicated, determined by the trading organizer in accordance with the security coding procedure provided for in its internal documents.

13. In column 11, the quotation currency of the security is indicated.

14. In columns 12 and 16, the price per security with the quotation accuracy determined by the trading organizer in accordance with its internal documents, and the order volume are indicated in tenge. The order volume is recognized as the product of columns 12 ("Price") and 15 ("Quantity"). In column 12, the price at which the market participant is ready to buy (sell) the security is indicated.

15. In columns 13 and 14, the clean price and yield, with the quotation accuracy determined by the trading organizer in accordance with its internal documents, at which the market participant is ready to buy (sell) the debt security, are indicated in percent. Columns 13 and 14 are filled out for debt securities.

16. In column 15, the quantity of securities in the order is indicated in pieces.

17. In column 17, the code of the trading organizer member is indicated, determined by the trading organizer in accordance with the coding procedure for members of the trading organizer provided for in its internal documents.

18. In column 18, the account (subaccount) of the security holder opened in the central depository accounting system is indicated.

19. In column 19, the digit is indicated: "1" - own, "2" - client.

20. In column 20, as the type of subaccount, the digit is indicated: "1" - if the subaccount is opened to the security holder, "2" - if the subaccount is opened to the issuer for accounting and placement of announced securities, "3" - if the subaccount is opened to the issuer for accounting of repurchased securities, "5" - if the subaccount is opened to the nominal holder, "6" - if the subaccount is opened to the client of the central depository, "7" – if the subaccount is opened to the depository participant of the central depository for accounting of announced instruments, "8" - if the subaccount is opened to the depository participant of the central depository for accounting of repurchased instruments.

21. In column 21, the type of account owner is indicated: "0" - individual, "1" - unified accumulated pension fund, "2" - second-tier bank,
    "3" - insurance (reinsurance) organization (in the "General Insurance" industry), "4" - broker and/or dealer, "5" - nominal holder, "6" - other licensees, "7" - other legal entities, "8" - investment fund, "9" - other, "10" - unified accumulated pension fund (own assets), "11" - insurance (reinsurance) organization in the "Life Insurance" industry.

22. In column 22, the personal identification number (ID) of the stock exchange trader who submitted the order to conclude transactions is indicated.

23. In column 23, as the order flag, the digit is indicated: "0" - if the order is submitted not by a market maker, "1" - if the order is submitted by a market participant for the purpose of performing market maker functions to maintain security quotes.

24. In column 24, the order status provided for by the internal documents of the trading organizer is indicated.

25. In column 27, the market price of the security on the date of the transaction conclusion, determined by the trading organizer in accordance with the security valuation methodology provided for in its internal documents, is indicated. For bonds, the market price is indicated in percent of the nominal value. Data in column 27 are indicated with four decimal places.

26. In column 28, the weighted average market price of the share or the weighted average market yield of the bond to maturity on the date of the transaction conclusion, determined by the trading organizer in accordance with the procedure for calculating weighted average market prices of shares and weighted average market yields of bonds to maturity established by the authorized body, is indicated.

27. In column 29, the trading regime provided for by the trading system is indicated.

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

Appendix 35
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan of November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the internet resource: www.nationalbank.kz

Report on the results of securities trading with indication of transaction parties

Administrative data form index: 1- KASE_ST

Frequency: daily

Reporting period: as of "___" ______ 20 year

Persons submitting: trading organizer

Form

---

(Organization Name)

Table "Results of Securities Trading with Indication of Transaction Parties"

Transaction Number	Date and Time of Transaction Conclusion		Market Type	Trading Method	Market Type	Category	Subcategory
date	time
1	2	3	4	5	6	7	8

continuation of table:

Security Code	Security Identification Number	Quotation Currency	Price	Clean Price	Yield on Debt Securities	Maturity Date of Debt Securities	Quantity
9	10	11	12	13	14	15	16

continuation of table:

Volume	Code of Trading Organizer Member Acting as Seller	Sale Depot Account	Seller's Subaccount Type	Seller's Account Owner Type	Order Number for Sale	Code of Trading Organizer Member Acting as Buyer	Purchase Depot Account
17	18	19	20	21	22	23	24

continuation of table:

Buyer's Subaccount Type	Buyer's Account Owner Type	Order Number for Purchase	Transaction Status	Settlement Date	Market Price	Weighted Average Price	Trading Regime
25	26	27	28	29	30	31	32

Name ______ Address______

Phone ______

Email Address ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date "____" ______ 20__ year

Appendix
to the report form on the results of trading securities with indication of transaction parties

Explanation on filling out the administrative data form

"Report on the results of securities trading with indication of transaction parties" (index: 1- KASE_ST, frequency: daily)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the "Report on the results of securities trading with indication of transaction parties" form (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled daily by the trading organizer and filled out for each reporting day. Data in the Form is filled out in tenge with two decimal places.

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

Chapter 2. Explanation on Filling out the Form

5. In column 1, the sequential number of the transaction is indicated.

6. In column 2, the date of transaction conclusion is indicated in the format "dd.mm.yyyy".

7. In column 3, the time of transaction conclusion is indicated in the format "hours:minutes:seconds".

8. In column 4, as the market type, the digit is indicated: "0" - if the transaction for the purchase/sale of securities is concluded on the secondary securities market, "1" - if the transaction for the purchase/sale of securities is concluded on the primary securities market.

9. In column 5, as the trading method, the digit is indicated: "0" - if the transaction for the purchase/sale of securities is concluded by the method of continuous matching auction, "1" - if the transaction for the purchase/sale of securities is concluded by the method of concluding direct (addressed) transactions, "2" - if the transaction for the purchase/sale of securities is concluded by the fixing method, "3" - if the transaction for the purchase/sale of securities is concluded by the Frankfurt trading method, "4" - if the transaction for the purchase/sale of securities is concluded by the specialized trading method, "5" - if the transaction for the purchase/sale of securities is concluded by the English trading method, "6" - transaction for the purchase/sale of securities is concluded by the Dutch trading method, "7" if the transaction for the purchase/sale of securities is concluded by the subscription method; "8" - if the transaction for the purchase/sale of securities is concluded by the discrete trading method; "9" – other methods provided for by the internal documents of the trading organizer.

10. In column 6, the market type provided for by the trading system is indicated.

11. In columns 7 and 8, the categories and subcategories of market types provided for by the trading system are indicated.

12. In column 9, the security code is indicated, determined by the trading organizer in accordance with the security coding procedure provided for in its internal documents.

13. In column 11, the quotation currency of the security is indicated.

14. In columns 12 and 17, the price per security with the quotation accuracy determined by the trading organizer in accordance with its internal documents, and the transaction volume are indicated in tenge. The transaction volume is recognized as the product of columns 12 ("Price") and 16 ("Quantity"). In column 12, the price at which the market participant concluded a transaction with the security is indicated.

15. In columns 13 and 14, the clean price and yield, with the quotation accuracy determined by the trading organizer in accordance with its internal documents, at which the market participant concluded a transaction with the debt security, are indicated in percent. Columns 13 and 14 are filled out for debt securities.

16. In column 16, the quantity of securities in the transaction is indicated in pieces.

17. In column 18, the code of the trading organizer member is indicated, determined by the trading organizer in accordance with the coding procedure for members of the trading organizer provided for in its internal documents.

18. In columns 19 and 24, the account (subaccount) depot is understood as the account (subaccount) of the security holder opened in the central depository accounting system.

19. In columns 20 and 25, as the type of seller's or buyer's subaccounts, the digit is indicated: "1" - if the subaccount is opened to the security holder, "2" - if the subaccount is opened to the issuer for accounting and placement of announced securities, "3" - if the subaccount is opened to the issuer for accounting of repurchased securities, "5" - if the subaccount is opened to the nominal holder, "6" - if the subaccount is opened to the client of the central depository, "7" - if the subaccount is opened to the depository participant of the central depository for accounting of announced instruments, "8" - if the subaccount is opened to the depository participant of the central depository for accounting of repurchased instruments.

20. In columns 21 and 26, the types of seller's or buyer's account owners are indicated: "0" - individual, "1" - unified accumulated pension fund, "2" - second-tier bank, "3" - insurance (reinsurance) organization (in the "General Insurance" industry), "4" - broker and/or dealer, "5" - nominal holder, "6" - other licensees, "7" - other legal entities, "8" - investment fund, "9" - other, "10" - unified accumulated pension fund (own assets), "11" - insurance (reinsurance) organization (in the "Life Insurance" industry).

21. In column 28, the transaction status provided for by the internal documents of the trading organizer is indicated.

22. In column 30, the market price of the security on the date of the transaction conclusion, determined by the trading organizer in accordance with the security valuation methodology provided for in its internal documents, is indicated. For bonds, the market price is indicated in percent of the nominal value. Data in column 30 are indicated with four decimal places.

23. In column 31, the weighted average market price of the share or the weighted average market yield of the bond to maturity on the date of the transaction conclusion, determined by the trading organizer in accordance with the procedure for calculating weighted average market prices of shares and weighted average market yields of bonds to maturity established by the authorized body, is indicated.

24. In column 29, the trading regime provided for by the trading system is indicated.

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

Appendix 36
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan of November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the internet resource: www.nationalbank.kz

Report on orders for repo operations with securities

Administrative data form index: 1- KASE_ABR

Frequency: daily

Reporting period: as of "___" ______ 20 year

Persons submitting: trading organizer

Form

---

(Organization Name)

Table "Orders for Repo Operations with Securities"

Order Number	Date and Time of Order Submission		Order Direction	Repo Type	Category	Subcategory
date	time
1	2	3	4	5	6	7

continuation of table:

Repo Instrument Code	Security Code	Security Identification Number	Quotation Currency	Price	Yield
8	9	10	11	12	13

continuation of table:

Quantity of Securities	Volume	Code of Trading Organizer Member	Depot Account	Account Type	Subaccount Type	Account Owner Type
14	15	16	17	18	19	20

continuation of table:

Personal Identification Number (ID)	Order Status	Date and Time of Order Cancellation		Repo Term	Discount Size	Trading Regime
date	time
21	22	23	24	25	26	27

Name ______ Address______

Phone ______

Email Address ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date "____" ______ 20__ year

Appendix
to the report form on orders for operations repo with securities

Explanation on filling out the administrative data form

"Report on orders for repo operations with securities" (index: 1- KASE_ABR, frequency: daily)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the "Report on orders for repo operations with securities" form (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market"..

3. The Form is compiled daily by the trading organizer and filled out for each reporting day. Data in the Form is filled out in tenge with two decimal places.

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

Chapter 2. Explanation on Filling out the Form

5. In column 1, the sequential number of the order is indicated.

6. In columns 2 and 23, the date of submission and the date of cancellation of the order are indicated in the format "dd.mm.yyyy".

7. In columns 3 and 24, the time of submission and the time of cancellation of the order are indicated in the format "hours:minutes:seconds".

8. In column 4, as the direction of the order, purchase or sale is indicated.

9. In column 5, the transaction method is indicated: "direct repo" or "automatic repo".

10. In columns 6 and 7, the categories and subcategories of market types provided for by the internal documents of the trading organizer are indicated.

11. In column 8, as the code of the repo operation instrument, the code determined by the trading organizer in accordance with the coding procedure for repo operation instruments provided for in its internal documents is indicated.

12. In column 9, the security code is indicated, determined by the trading organizer in accordance with the security coding procedure provided for in its internal documents.

13. In column 11, the quotation currency of the security is indicated.

14. In columns 12 and 15, the price per security with the quotation accuracy determined by the trading organizer in accordance with its internal documents, and the order volume are indicated in tenge. The order volume is recognized as the product of columns 12 ("Price") and 14 ("Quantity"). When submitting an order for purchase under automatic repo operations, the order volume is recognized as the volume of money. In column 12, the price at which the market participant is ready to conduct the repo operation is indicated.

15. In column 13, the yield, with the quotation accuracy determined by the trading organizer in accordance with its internal documents, at which the market participant is ready to conduct the repo operation, is indicated in percent.

16. In column 14, the quantity of securities (in pieces) offered by the seller of securities for the "direct (automatic) repo" operation is indicated.

17. In column 16, the code of the trading organizer member is indicated, determined by the trading organizer in accordance with the coding procedure for members of the trading organizer provided for in its internal documents.

18. In column 17, the account (subaccount) of the security holder opened in the central depository accounting system is indicated.

19. In column 18, the digit is indicated: "1" - own, "2" - client.

20. In column 19, as the type of subaccount, the digit is indicated: "1" - if the subaccount is opened to the security holder, "2" - if the subaccount is opened to the issuer for accounting and placement of announced securities, "3" - if the subaccount is opened to the issuer for accounting of repurchased securities, "4" - if the subaccount is opened to the nominal holder, "6" - if the subaccount is opened to the client of the central depository, "7" – if the subaccount is opened to the depository participant of the central depository for accounting of announced instruments, "8" - if the subaccount is opened to the depository participant of the central depository for accounting of repurchased instruments.

21. In column 20, the type of account owner is indicated: "0" - individual, "1" - unified accumulated pension fund, "2" - second-tier bank,
    "3" - insurance (reinsurance) organization (in the "General Insurance" industry), "4" - broker and/or dealer, "5" - nominal holder, "6" - other licensees, "7" - other legal entities, "8" - investment fund, "9" - other, "10" - unified accumulated pension fund (own assets), "11" - insurance (reinsurance) organization (in the "Life Insurance" industry).

22. In column 21, the personal identification number (ID) of the stock exchange trader who submitted the order to conclude the repo operation with securities is indicated.

23. In column 22, the order status provided for by the internal documents of the trading organizer is indicated.

24. In column 25, the term of the repo operation, determined by the trading organizer in accordance with its internal documents, is indicated.

25. In column 26, the discount rate applied to the price of the instrument that is the subject of the repo operation is indicated.

26. In column 27, the trading mode provided for by the trading system is indicated.

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

Appendix 37

to the Resolution of the Board

of the National Bank

of the Republic of Kazakhstan

of November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: the National Bank of the Republic of Kazakhstan

The administrative data form is posted on the website: www.nationalbank.kz

Report on securities repo operations with indication of their participants

Administrative data form index: 1- KASE_ABRvP

Frequency: daily

Reporting period: as of "_____" ______ 20 __ year

Persons submitting: trading organizer

Form

---

(name of the Organization)

Table "Securities repo operations with indication of their participants"

Deal number	Date and time of deal conclusion		Type of repo	Operation type	Category	Subcategory
date	time
1	2	3	4	5	6	7

continuation of the table:

Instrument code	Securities code	Securities identification number	Price	Yield	Quantity	Volume
8	9	10	11	12	13	14

continuation of the table:

Code of the trading organizer member acting as seller	Sale depot account	Seller account type	Seller account owner type	Seller order number	Code of the trading organizer member acting as buyer	Purchase depot account
15	16	17	18	19	20	21

continuation of the table:

Buyer account type	Buyer account owner type	Buyer order number	Deal status	Repo term	Closing date	Discount rate	Opening deal number	Trading mode
22	23	24	25	26	27	28	29	30

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date "____" ______ 20__ year

Appendix

to the report form on securities repo operations with indication of their participants

Explanation on filling out the administrative data form

"Report on securities repo operations with indication of their participants" (index: 1- KASE_ABRvP, frequency: daily)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form "Report on securities repo operations with indication of their participants" (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan of July 2, 2003 "On the Securities Market".

3. The Form is compiled daily by the trading organizer and filled out for each reporting day. Data in the Form is filled in tenge with two decimal places.

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

Chapter 2. Explanation on filling out the Form

5. In column 1, the sequential number of the deal is indicated.

6. In column 2, the date of deal conclusion is indicated in the format "dd.mm.yyyy".

7. In column 3, the time of deal conclusion is indicated in the format "hours:minutes:seconds".

8. In column 4, the deal method is indicated: "direct repo" or "automatic repo".

9. In column 5, as the type of repo operation, opening or closing is indicated.

10. In columns 6 and 7, categories and subcategories of market types provided for by the internal documents of the trading organizer are indicated.

11. In columns 11 and 14, the price per one security with the quoting accuracy determined by the trading organizer in accordance with its internal documents, and the volume of the deal are indicated in tenge. As the volume of the deal, the product of columns 11 ("Price") and 13 ("Quantity") is recognized.

12. In column 12, the yield with the quoting accuracy determined by the trading organizer in accordance with its internal documents, at which the trading participant concluded the repo operation, is indicated in percent.

13. In column 13, the quantity of securities (in pieces) offered by the seller of the repo operation is indicated.

14. In column 15, the code of the trading organizer member is indicated, determined by the trading organizer in accordance with the coding order of the trading organizer members provided for by its internal documents.

15. In columns 16 and 21, as the depot (sub-account) account, the personal account (sub-account) of the securities holder opened in the central depository accounting system is understood.

16. In columns 17 and 22, the digit is indicated: "1" - own, "2" - client.

17. In columns 18 and 23, as the type of sub-account, the digit is indicated: "1" - if the sub-account is opened to the securities holder, "2" - if the sub-account is opened to the issuer for accounting and placement of announced securities, "3" - if the sub-account is opened to the issuer for accounting of repurchased securities, "5" - if the sub-account is opened to the nominal holder, "6" - if the sub-account is opened to the depository of the central depository, "7" - if the sub-account is opened to the depository of the central depository for accounting of announced instruments, "8" - if the sub-account is opened to the depository of the central depository for accounting of repurchased instruments.

18. In columns 19 and 24, the sequential numbers of orders for concluding the repo operation submitted by the seller and buyer of securities, respectively, are indicated.

19. In column 25, the status of the deal provided for by the internal documents of the trading organizer is indicated.

20. In column 26, the term of the repo operation, determined by the trading organizer in accordance with its internal documents, is indicated.

21. In column 27, the closing date of the repo operation is indicated in the format "dd.mm.yyyy". This column is filled only for the opening operation of the repo.

22. In column 28, the discount rate applied to the price of the instrument that is the subject of the repo operation is indicated.

23. In column 29, the sequential number of the corresponding opening repo deal is indicated. This column is filled only for the closing operation of the repo.

24. In column 30, the trading mode provided for by the trading system is indicated.

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

Appendix 38

to the Resolution of the Board

of the National Bank

of the Republic of Kazakhstan

of November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: the National Bank of the Republic of Kazakhstan

The administrative data form is posted on the website: www.nationalbank.kz

Report on orders for the purchase/sale of derivative financial instruments

Administrative data form index: 1- KASE_ABD

Frequency: daily

Reporting period: as of "_____" ______ 20 __ year

Persons submitting: trading organizer

Form

---

(name of the Organization)

Table "Orders for the purchase/sale of derivative financial instruments"

Order number	Date and time of order submission		Order direction	Category	Subcategory	Instrument code	Price per contract	Currency name	Number of contracts
date	time
1	2	3	4	5	6	7	8	9	10

continuation of the table:

Number of underlying assets in one contract	Volume	Code of the trading organizer member	Code of the trading account	Account type	Account owner type	Personal identification number (ID)	Date and time of order cancellation		Order status
date	time
11	12	13	14	15	16	17	18	19	20

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date "____" ______ 20__ year

Appendix

to the report form on orders for the purchase/sale

of derivative financial instruments

Explanation on filling out the administrative data form

"Report on orders for the purchase/sale of derivative financial instruments" (index: 1- KASE_ABD, frequency: daily)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form "Report on orders for the purchase/sale of derivative financial instruments" (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan of July 2, 2003 "On the Securities Market".

3. The Form is compiled daily by the trading organizer and filled out for each reporting day. Data in the Form is filled in tenge with two decimal places.

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

Chapter 2. Explanation on filling out the Form

5. In column 1, the sequential number of the order is indicated.

6. In columns 2 and 18, the date of order submission and the date of order cancellation are indicated in the format "dd.mm.yyyy".

7. In columns 3 and 19, the time of order submission and the time of order cancellation are indicated in the format "hours:minutes:seconds".

8. In column 4, as the direction of the order, purchase or sale is indicated.

9. In columns 5 and 6, categories and subcategories of market types provided for by the trading system are indicated.

10. In columns 8 and 12, the price per contract and the volume of the order are indicated in tenge. In column 12, as the volume of the order, the product of columns 8 ("Price per contract") and 10 ("Number of contracts") is recognized. In column 8, as the price per contract, the price at which the trading participant is ready to conclude a deal with derivative financial instruments is indicated.

11. In column 9, the name of the currency of the order is indicated.

12. In columns 10 and 11, the number of contracts of the order and the number of underlying assets in one contract are indicated in pieces.

13. In column 15, the digit is indicated: "1" - own, "2" - client.

14. In column 16, the type of account owner is indicated: "0" - individual, "1" - unified accumulated pension fund, "2" - second-tier bank,
    "3" - insurance (reinsurance) organization (in the "General Insurance" industry), "4" - broker and (or) dealer, "5" - nominal holder, "6" - other licensees, "7" - other legal entities, "8" - investment fund, "9" - other, "10" - unified accumulated pension fund (own assets), "11" - insurance (reinsurance) organization (in the "Life Insurance" industry).

15. In column 17, the personal identification number (ID) of the stock exchange trader who submitted the order to conclude a deal with derivative financial instruments is indicated.

16. In column 20, the status of the order provided for by the internal documents of the trading organizer is indicated.

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

Appendix 39

to the Resolution of the Board

of the National Bank

of the Republic of Kazakhstan

of November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: the National Bank of the Republic of Kazakhstan

The administrative data form is posted on the website: www.nationalbank.kz

Report on the results of trading in derivative financial instruments with indication of the parties to the deals

Administrative data form index: 1- KASE_DT

Frequency: daily

Reporting period: as of "_____" ______ 20 __ year

Persons submitting: trading organizer

Form

---

(name of the Organization)

Table "Results of trading in derivative financial instruments with indication of the parties to the deals"

Deal number	Date and time of deal conclusion		Category	Subcategory	Instrument code	Price per contract	Currency name
date	time
1	2	3	4	5	6	7	8

continuation of the table:

Number of contracts	Number of underlying assets in one contract	Volume	Code of the trading organizer member acting as seller	Sale trading account code	Seller account type	Seller account owner type
9	10	11	12	13	14	15

continuation of the table:

Sale order number	Code of the trading organizer member acting as buyer	Purchase trading account code	Buyer account type	Buyer account owner type	Purchase order number	Execution date
16	17	18	19	20	21	22

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date "____" ______ 20__ year

Appendix

to the report form on the results of trading in derivative

financial instruments with indication of the parties to the deals

Explanation on filling out the administrative data form

"Report on the results of trading in derivative financial instruments with indication of the parties to the deals" (index: 1- KASE_DT, frequency: daily)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form "Report on the results of trading in derivative financial instruments with indication of the parties to the deals" (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan of July 2, 2003 "On the Securities Market".

3. The Form is compiled daily by the trading organizer and filled out for each reporting day. Data in the Form is filled in tenge with two decimal places.

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

Chapter 2. Explanation on filling out the Form

5. In column 1, the sequential number of the deal is indicated.

6. In column 2, the date of deal conclusion is indicated in the format "dd.mm.yyyy".

7. In column 3, the time of deal conclusion is indicated in the format "hours:minutes:seconds".

8. In columns 4 and 5, categories and subcategories of market types provided for by the trading system are indicated.

9. In columns 7 and 11, the price per contract and the volume of the deal are indicated in tenge. In column 11, as the volume of the deal, the product of columns 7 ("Price per contract") and 9 ("Number of contracts") is recognized. In column 7, as the price per contract, the price at which the trading participant concluded a deal with derivative financial instruments is indicated.

10. In column 8, the name of the currency of the deal is indicated.

11. In columns 9 and 10, the number of contracts of the deal and the number of underlying assets in one contract are indicated in pieces.

12. In columns 12 and 17, the code of the trading organizer member is indicated, determined by the trading organizer in accordance with the coding order of the trading organizer members provided for by its internal documents.

13. In columns 14 and 19, the digit is indicated: "1" - own, "2" - client.

14. In columns 15 and 20, the type of account owner is indicated: "0" - individual, "1" - unified accumulated pension fund, "2" - second-tier bank, "3" - insurance (reinsurance) organization (in the "General Insurance" industry), "4" - broker and (or) dealer, "5" - nominal holder, "6" - other licensees, "7" - other legal entities, "8" - investment fund, "9" - other, "10" - unified accumulated pension fund (own assets), "11" - insurance (reinsurance) organization (in the "Life Insurance" industry).

15. In column 22, the actual date of deal settlement is indicated in the format "dd.mm.yyyy".

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

Appendix 40

to the Resolution of the Board

of the National Bank

of the Republic of Kazakhstan

of November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: the National Bank of the Republic of Kazakhstan

The administrative data form is posted on the website: www.nationalbank.kz

Report on orders for the purchase/sale of foreign currencies

Administrative data form index: 1- KASE_FC

Frequency: daily

Reporting period: as of "_____" ______ 20 __ year

Persons submitting: trading organizer

Form

---

(name of the Organization)

Table "Orders for the purchase/sale of foreign currencies"

Order number	Date and time of order submission		Order direction	Category	Subcategory	Code of the financial instrument	Price	Quantity
date	time
1	2	3	4	5	6	7	8	9

continuation of the table:

Volume	Code of the trading organizer member	Code of the trading account	Account type	Account owner type	Order type	Order status	Yield of currency swap
10	11	12	13	14	15	16	17

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date "____" ______ 20__ year

Appendix

to the report form on orders for the purchase/sale

of foreign currencies

Explanation on filling out the administrative data form

"Report on orders for the purchase/sale of foreign currencies" (index: 1- KASE_FC, frequency: daily)

Chapter 1. General Provisions

1. This explanation (hereinafter – Explanation) defines the unified requirements for filling out the form "Report on orders for the purchase/sale of foreign currencies" (hereinafter – Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan of July 2, 2003 "On the Securities Market".

3. The Form is compiled daily by the trading organizer and filled out for each reporting day. Data in the Form is filled in tenge with two decimal places.

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

Chapter 2. Explanation on filling out the Form

5. In column 1, the sequential number of the order is indicated.

6. In column 2, the date of order submission is indicated in the format "dd.mm.yyyy".

7. In column 3, the time of order submission is indicated in the format "hours:minutes:seconds".

8. In column 4, as the direction of the order, purchase or sale is indicated.

9. In columns 5 and 6, categories and subcategories of the foreign currency market types provided for by the trading system are indicated.

10. In column 7, the code of the financial instrument is indicated, determined by the trading organizer in accordance with the coding order of foreign currencies provided for by its internal documents.

11. In columns 8 and 10, the price per one financial instrument with the quoting accuracy determined by the trading organizer in accordance with its internal documents, and the volume of the order are indicated in tenge. As the volume of the order, the product of columns 8 ("Price") and 9 ("Quantity") is recognized, except for currency swap operations. In column 8, the price at which the trading participant is ready to buy (sell) the financial instrument is indicated.

12. In column 9, the quantity of financial instruments of the order is indicated in pieces.

13. In column 11, the code of the trading organizer member is indicated, determined by the trading organizer in accordance with the coding order of the trading organizer members provided for by its internal documents.

14. In column 13, the digit is indicated: "1" - own, "2" - client.

15. In column 14, the type of account owner is indicated: "0" - individual, "1" - unified accumulated pension fund, "2" - second-tier bank,
    "3" - insurance (reinsurance) organization (in the "General Insurance" industry), "4" - broker and (or) dealer, "5" - nominal holder, "6" - other licensees, "7" - other legal entities, "8" - investment fund, "9" - other, "10" - unified accumulated pension fund (own assets), "11" - insurance (reinsurance) organization (in the "Life Insurance" industry).

16. In column 15, the type of order is indicated: "limit" - limit order, "market" - market order, "nego" - direct order.

17. In column 16, the status of the order provided for by the internal documents of the trading organizer is indicated.

18. In column 17, the yield with the quoting accuracy determined by the trading organizer in accordance with its internal documents, at which the participant is ready to buy (sell) foreign currency, is indicated. Column 17 is filled for currency swap operations.

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

Appendix 41

to the Resolution of the Board

of the National Bank

of the Republic of Kazakhstan

of November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: the National Bank of the Republic of Kazakhstan

The administrative data form is posted on the website: www.nationalbank.kz

Report on the results of foreign currency trading

Administrative data form index: 1- KASE_RFC

Frequency: daily

Reporting period: as of "_____" ______ 20 __ year

Entities submitting: trading organizer

Form

---

(Organization Name)

Table "Results of foreign currency trading"

Deal Number	Date and time of deal conclusion		Category	Subcategory	Financial Instrument Code	Price	Yield
date	time
1	2	3	4	5	6	7	8

continuation of the table:

Quantity	Volume	Code of the trading organizer member acting as seller	Code of the sales trading account	Seller account type	Seller account owner type	Sales application number
9	10	11	12	13	14	15

continuation of the table:

Code of the trading organizer member acting as buyer	Code of the purchase trading account	Buyer account type	Buyer account owner type	Purchase application number	Deal status	Execution date	Deal flag
16	17	18	19	20	21	22	23

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

surname, name and patronymic (if any) signature, phone

Chief Accountant or person authorized to sign the report

---

surname, name and patronymic (if any) signature, phone

Head or person authorized by him to sign the report

---

surname, name and patronymic (if any) signature, phone

Date "____" ______ 20__ year

Appendix
to the report form on the results of foreign currency trading

Explanation for filling out the administrative data form

"Report on the results of foreign currency trading" (index: 1- KASE_RFC, frequency: daily)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the "Report on the results of foreign currency trading" form (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled daily by the trading organizer and filled out for each reporting day. Data in the Form is filled out in tenge with two decimal places.

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

Chapter 2. Explanation for filling out the Form

5. In column 1, the sequential number of the deal is indicated.

6. In columns 2 and 22, the date of deal conclusion and the actual settlement date for the deal are indicated in the format "dd.mm.yyyy".

7. In column 3, the time of deal conclusion and the actual settlement time for the deal are indicated in the format "hours:minutes:seconds".

8. In columns 4 and 5, the categories and subcategories of foreign currency market types provided by the trading system are indicated.

9. In column 6, the code of the financial instrument is indicated, determined by the trading organizer in accordance with the foreign currency coding order provided by its internal documents.

10. In columns 7 and 10, the price per one financial instrument with the quoting accuracy determined by the trading organizer in accordance with its internal documents, and the deal volume in tenge are indicated. The deal volume is recognized as the product of columns 7 ("Price") and 9 ("Quantity").

11. In column 8, the yield is indicated, with the quoting accuracy determined by the trading organizer in accordance with its internal documents, at which trading participants concluded a currency swap deal, in percent.

12. In column 9, the quantity of financial instruments in pieces is indicated.

13. In column 11, the codes of the trading organizer members are indicated, determined by the trading organizer in accordance with the coding order of trading organizer members provided by its internal documents.

14. In columns 13 and 18, the digit is indicated: "1" - own, "2" - client.

15. In columns 14 and 19, the account owner type is indicated: "0" - individual, "1" - unified savings pension fund, "2" - second-tier bank, "3" - insurance (reinsurance) organization (in the "General Insurance" industry), "4" - broker and/or dealer, "5" - nominal holder, "6" - other licensees, "7" - other legal entities, "8" - investment fund, "9" - other, "10" - unified savings pension fund (own assets), "11" - insurance (reinsurance) organization (in the "Life Insurance" industry).

16. In column 21, the deal status provided by the internal documents of the trading organizer is indicated.

17. In column 23, the number of the main swap deal is indicated. Column 23 is filled out for currency swap operations.

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

Appendix 42
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the website: www.nationalbank.kz

Report on unexecuted deals/operations

Administrative data form index: 1- KASE-NONDEALINGs

Frequency: daily

Reporting period: for ______ 20 __ year

Entities submitting: trading organizer

Form

---

(Organization Name)

Table "Unexecuted deals/operations"

Deal Number	Date and time of deal conclusion		Reason for non-execution	Instrument Code	Market Type	Securities Identification Number
date	time
1	2	3	4	5	6	7

continuation of the table:

Price	Quantity	Volume	Code of the trading organizer member acting as seller	Sales depot account	Code of the trading organizer member acting as buyer	Purchase depot account	Note
8	9	10	11	12	13	14	15

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

surname, name and patronymic (if any) signature, phone

Chief Accountant or person authorized to sign the report

---

surname, name and patronymic (if any) signature, phone

Head or person authorized by him to sign the report

---

surname, name and patronymic (if any) signature, phone

Date "____" ______ 20__ year

Appendix
to the report form on unexecuted deals/operations

Explanation for filling out the administrative data form

"Report on unexecuted deals/operations"
(index: 1- KASE-NONDEALINGs, frequency: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the "Report on unexecuted deals/operations" form (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled daily by the trading organizer and filled out as of the last day of the reporting month.

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

Chapter 2. Explanation for filling out the Form

5. The Form is filled out for deals/operations that were not executed within the established deadlines, or for deals/operations terminated before the deadline for their execution, as well as for those for which the initial parameters or conditions of the deal were changed.

6. In column 1, the sequential number of the deal is indicated. For a repo operation, the corresponding sequential number of the opening deal or closing deal is indicated.

7. In columns 2 and 3, the date and time of deal conclusion are indicated in the formats "dd.mm.yyyy" and "hours:minutes:seconds", respectively.

8. In column 4, the reason for non-execution is indicated: "1" - if the deal was not executed due to the buyer's lack of funds; "2" - if the deal was not executed due to the seller's lack of financial instruments; "3" - if the deal was terminated by mutual consent of the parties; "4" - for other reasons.

9. In column 5, the instrument code is indicated, determined by the trading organizer in accordance with the instrument coding order provided by its internal documents.

10. In column 6, the market type provided by the trading system is indicated.

11. In columns 8, 9 and 10, the price, quantity and deal volume are indicated, respectively.

12. In columns 11 and 13, the code of the trading organizer member is indicated, determined by the trading organizer in accordance with the coding order of trading organizer members provided by its internal documents.

13. In columns 12 and 14, the account (sub-account) of the depot is understood as the personal account (sub-account) of the securities holder opened in the central depository accounting system.

14. In column 15, brief notes of the reasons for non-execution are indicated if "for other reasons" was indicated in column 4.

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

Appendix 43
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the website: www.nationalbank.kz

Report on the transfer of obligations for execution of settlements with the participation of a custodian

Administrative data form index: 1- KASE-LA-cust

Frequency: daily

Reporting period: for ______ 20 __ year

Entities submitting: trading organizer

Form

---

(Organization Name)

Table "Transfer of obligations for execution of settlements with the participation of a custodian"

Transfer Number	Date and time of transfer		Transfer Direction	Trading Mode	Securities Code
date	time
1	2	3	4	5	6

continuation of the table:

Securities Identification Number	Price	Quantity	Volume	Code of the trading organizer member	Trading-clearing account	Code of the trading organizer member	Trading-clearing account
7	8	9	10	11	12	13	14

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

surname, name and patronymic (if any) signature, phone

Chief Accountant or person authorized to sign the report

---

surname, name and patronymic (if any) signature, phone

Head or person authorized by him to sign the report

---

surname, name and patronymic (if any) signature, phone

Date "____" ______ 20__ year

Appendix
to the report form on the transfer of obligations for execution of settlements with the participation of a custodian

Explanation for filling out the administrative data form

"Report on the transfer of obligations for execution of settlements with the participation of a custodian" (index: 1- KASE-1- KASE-LA-cust, frequency: daily)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the "Report on the transfer of obligations for execution of settlements with the participation of a custodian" form (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled daily by the trading organizer and filled out for each reporting day. Data in the Form is filled out in tenge with two decimal places.

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

Chapter 2. Explanation for filling out the Form

5. The Form is filled out for deals with securities for which the transfer of obligations for execution of settlements with the participation of a custodian was carried out.

6. In column 1, the sequential number of the transfer is indicated.

7. In columns 2 and 3, the date and time of the transfer are indicated in the formats "dd.mm.yyyy" and "hours:minutes:seconds", respectively.

8. In column 4, the direction of the transfer is indicated as purchase or sale.

9. In column 5, the trading mode provided by the trading system is indicated.

10. In column 6, the instrument code is indicated, determined by the trading organizer in accordance with the instrument coding order provided by its internal documents.

11. In columns 8, 9 and 10, the price, quantity and transfer volume are indicated, respectively.

12. In column 11, the code of the trading organizer member transferring the obligation is indicated, determined by the trading organizer in accordance with the coding order of trading organizer members provided by its internal documents.

13. In column 13, the code of the trading organizer member accepting the obligation is indicated, determined by the trading organizer in accordance with the coding order of trading organizer members provided by its internal documents.

14. In column 12, the account (sub-account) of the depot is understood as the personal account opened in the central depository accounting system from which the transfer of obligations is carried out.

15. In column 14, the account (sub-account) of the depot is understood as the personal account opened in the central depository accounting system to which the transfer of obligations is accepted.

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

Appendix 44
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the website: www.nationalbank.kz

Report on trading organizer members

Administrative data form index: 1- KASE_SEM

Frequency: monthly

Reporting period: as of "_____" ______ 20 __ year

Entities submitting: trading organizer

Form

---

(Organization Name)

Table 1. Information on trading organizer members

No.	Name of the trading organizer member	Type and details of the license	Code of the trading organizer member	Date		Membership Category
acceptance	exclusion	----	----	----	----
1	2	3	4	5	6	7	8	…	n
Total: number of trading organizer members		(number of members)	x	x	x
of which making deals with securities and financial instruments		(number of members making deals)	x	x	x

Table 2. Report on trading organizer members possessing the status of market-maker with respect to financial instruments, including securities included in the trading organizer's list

No.	Name of the trading organizer member	Code of the financial instrument (Code of the security)	Date		Minimum volume of mandatory quoting of financial instruments (securities)	Difference between demand and supply quotes of financial instruments (securities)	Other conditions
assignment of status	loss of status
1	2	3	4	5	6	7	8
1
… n
Total number of trading organizer members possessing the status of market-maker, of which: for securities; for other financial instruments that are not securities.

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

surname, name and patronymic (if any) signature, phone

Chief Accountant or person authorized to sign the report

---

surname, name and patronymic (if any) signature, phone

Head or person authorized by him to sign the report

---

surname, name and patronymic (if any) signature, phone

Date "____" ______ 20__ year

Appendix
to the report form on trading organizer members

Explanation for filling out the administrative data form

"Report on trading organizer members" (index: 1- KASE_SEM, frequency: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the "Report on trading organizer members" form (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled monthly by the trading organizer and filled out as of the end of the reporting period. Data in the Form is filled out in tenge.

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

Chapter 2. Explanation for filling out the Form

5. For Table 1:

1. The Form is filled out in chronological order of acceptance of trading organizer members;

2. in column 3, the full name, number and date of issue by the National Bank of the Republic of Kazakhstan or the authorized body for regulation, control and supervision of the financial market and financial organizations are indicated as the type and details of the license;

3. in column 4, the code of the trading organizer member is indicated, determined by the trading organizer in accordance with the coding order of trading organizer members provided by its internal documents;

4. in columns 7, 8 and n, the membership categories determined by the internal documents of the trading organizer are indicated.

6. For Table 2:

1. in column 3, as the code of the financial instrument (security), identification codes assigned by the trading organizer in accordance with the coding order of financial instruments provided by its internal documents are used;

2. in columns 4 and 5, the dates of assignment and loss of market-maker status are indicated in the format "dd.mm.yyyy";

3. in column 7, the difference between the demand and supply quotes of the market-maker's financial instruments is indicated in accordance with the value determined by the trading organizer.

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

Appendix 45
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the website: www.nationalbank.kz

Report on securities included in separate sectors (categories) of the trading organizer's list

Administrative data form index: 1- KASE_S

Frequency: monthly

Reporting period: as of "_____" ______ 20 __ year

Entities submitting: trading organizer

Form

---

(Organization Name)

Table "Securities included in separate sectors (categories) of the trading organizer's list"

No.	Name of the securities issuer	Residency Flag	Securities Code	Securities Identification Number	Date		Nominal Currency	Nominal
inclusion of the security in the list	exclusion from the list (including upon redemption)
1	2	3	4	5	6	7	8	9
Sector ______ of the list
Category of the list ______
1	Type of security
1.1.
1.n.
Total: for ____ (type of security) category___			(number of issuers)		(number of securities)		x	x
Category of the list ______
n	Type of security
n.1.
n.n.
Total: for ____ (type of security) category___			(number of issuers)		(number of securities)		x	x
Total: for category of the list______			(number of issuers)		(number of securities)		x	x
Total: for sector of the list			(number of issuers)		(number of securities)		x	x
Total issuers ______, of which non-residents ______

continuation of the table:

Number of deals			Volume of deals			Minimum deal price	Maximum deal price	Weighted average price of deals	Last deal
total	placement	circulation	total	placement	circulation	date	price
10	11	12	13	14	15	16	17	18	19	20
Sector ______ of the list
Category of the list ______
Type of security
										x	x	x	x	x
Category of the list ______
Type of security
										x	x	x	x	x
										x	x	x	x	x
										x	x	x	x	x
Total issuers ______, of which non-residents ______

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

surname, name and patronymic (if any) signature, phone

Chief Accountant or person authorized to sign the report

---

surname, name and patronymic (if any) signature, phone

Head or person authorized by him to sign the report

---

surname, name and patronymic (if any) signature, phone

Date "____" ______ 20__ year

Appendix

To the report form on securities included in separate sectors (categories) of the trading organizer's list

Explanation for filling out the administrative data form

"Report on securities included in separate sectors (categories) of the trading organizer's list" (index: 1- KASE_S, frequency: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the "Report on securities included in separate sectors (categories) of the trading organizer's list" form (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled monthly by the trading organizer and filled out as of the end of the reporting period. Data in the Form is filled out in tenge.

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

Chapter 2. Explanation for filling out the Form

5. For Table 1:

1. The Form is filled out in chronological order of acceptance of trading organizer members;

2. in column 3, the full name, number and date of issue by the National Bank of the Republic of Kazakhstan or the authorized body for regulation, control and supervision of the financial market and financial organizations are indicated as the type and details of the license;

3. in column 4, the code of the trading organizer member is indicated, determined by the trading organizer in accordance with the coding order of trading organizer members provided by its internal documents;

4. in columns 7, 8 and n, the membership categories determined by the internal documents of the trading organizer are indicated.

6. For Table 2:

1. in column 3, as the code of the financial instrument (security), identification codes assigned by the trading organizer in accordance with the coding order of financial instruments provided by its internal documents are used;

2. in columns 4 and 5, the dates of assignment and loss of market-maker status are indicated in the format "dd.mm.yyyy";

3. in column 7, the difference between the demand and supply quotes of the market-maker's financial instruments is indicated in accordance with the value determined by the trading organizer.

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date "____" ______ 20__ year

Appendix
to the report form on securities included in separate sectors (categories) of the organizer's trading list

Explanation for filling out the administrative data form "Report on securities included in separate sectors (categories) of the organizer's trading list" (index: 1-KASE_S, frequency: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form "Report on securities included in separate sectors (categories) of the organizer's trading list" (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled monthly by the trading organizer and filled out as of the last day of the reporting month.

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

Chapter 2. Explanation for filling out the Form

5. In column 3, the country of residence of the issuer of securities is indicated as a sign of residency.

6. In column 4, identification codes assigned by the trading organizer in accordance with the procedure for coding securities provided for in its internal documents are used as the code of the security.

7. In column 5, the identification number of the security is indicated.

8. In columns 6, 7 and 19, the date of inclusion of the security in the organizer's trading list, its exclusion from the list, as well as the date of the last transaction are indicated in the "dd.mm.yyyy" format.

9. In columns 10, 11 and 12, the number of transactions made with the security during the reporting period is indicated in units.

10. In columns 13, 14, 15, 16, 17, 18, 19 and 20, the volume, minimum, maximum, weighted average price of transactions made with the security during the reporting period, as well as the price of the last transaction are indicated in tenge.

11. The following are indicated as sectors of the list: "Shares", "Debt securities", "Islamic securities", "Securities of investment funds", "Derivative securities", "Securities of international financial organizations", "State securities", other sectors provided for in the internal documents of the trading organizer.

12. The following are indicated as categories of the list: for the sector "Shares" - first, second categories; for the sector "Debt securities" - debt securities of quasi-state sector entities, other debt securities, debt securities of the buffer category; for the sector "State securities" - state securities issued in accordance with the legislation of the Republic of Kazakhstan and other states, bonds of local executive bodies.

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

Appendix 46
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the internet resource: www.nationalbank.kz

Report on financial instruments, excluding securities included in the list of the trading organizer

Index of the administrative data form: 1-KASE_FI

Frequency: monthly

Reporting period: as of "___" ______ 20 year

Persons submitting: trading organizer

Form

---

(Organization Name)

Table "Financial instruments, excluding securities included in the list of the trading organizer"

No.	General details of the financial instrument	Code of the financial instrument	Date		Number of transactions	Volume of transactions (in tenge)	Minimum price (in tenge)	Maximum price (in tenge)	Weighted average price (in tenge)
admission of the financial instrument to trading	exclusion from the list (including upon exercise of a futures contract)
1	2	3	4	5	6	7	8	9	10
Total financial instruments

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date "____" ______ 20__ year

Appendix
to the report form on financial instruments, excluding securities included in the list of the trading organizer

Explanation for filling out the administrative data form "Report on financial instruments, excluding securities included in the list of the trading organizer" (index: 1-KASE_FI, frequency: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form "Report on financial instruments, excluding securities included in the list of the trading organizer" (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled monthly by the trading organizer and filled out as of the last day of the reporting month. Data in the Form is filled out in tenge. Securities in the Form are filled out in chronological order of their inclusion in the list.

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

Chapter 2. Explanation for filling out the Form

5. In column 3, identification codes assigned by the trading organizer in accordance with the procedure for coding financial instruments provided for in its internal documents are used as the code of the financial instrument.

6. In columns 4 and 5, the dates of admission of the financial instrument to trading and exclusion from the list (including upon exercise of a futures contract) are indicated in the "dd.mm.yyyy" format.

7. In column 6, the number of transactions made with the financial instrument during the reporting period is indicated in units.

8. In columns 7, 8, 9 and 10, the volume, minimum, maximum, weighted average price of transactions made with the financial instrument during the reporting period are indicated in tenge.

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

Appendix 47
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the internet resource: www.nationalbank.kz

Report on volumes of transactions

Index of the administrative data form: 1-VOLUME_DEALINGS

Frequency: monthly

Reporting period: as of "___" ______ 20 year

Persons submitting: trading organizer

Form

---

(Organization Name)

Table "Volumes of transactions"

No.	Sectors of the list	Number of transactions	Volume of transactions, in tenge
1	2	3	4
1.	Placement
1.1.
…
2.	Circulation
2.1.
…
3.	Repo transactions
3.1.
…
4.	Total

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date "____" ______ 20__ year

Appendix
to the report form on volumes of transactions

Explanation for filling out the administrative data form "Report on volumes of transactions" (index: 1-VOLUME_DEALINGS, frequency: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form "Report on volumes of transactions" (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled monthly by the trading organizer and filled out as of the last day of the reporting month.

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

Chapter 2. Explanation for filling out the Form

5. In column 2, the list of the stock exchange, separate venues of the stock exchange, categories and subcategories of the official list of the stock exchange are indicated in accordance with the internal documents of the stock exchange.

6. In column 3, the number of transactions made with the financial instrument during the reporting period is indicated in units.

7. In column 4, the volume of transactions made with the financial instrument during the reporting period is indicated.

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

Appendix 48
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the internet resource: www.nationalbank.kz

Report on capitalization of the securities market

Index of the administrative data form: 1-KASE_C

Frequency: monthly

Reporting period: as of "___" ______ 20 year

Persons submitting: trading organizer

Form

---

(Organization Name)

Table "Capitalization of the securities market" (in thousands of tenge)

No.	Sector of the venue / categories / subcategories	Number of issues of securities	Number of issuers	Market capitalization
1	2	3	4	5
1.
1.1.
…
2.
2.1.
…
n
n.1.
…

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date "____" ______ 20__ year

Appendix
to the report form on capitalization of the securities market

Explanation for filling out the administrative data form "Report on capitalization of the securities market" (index: 1-KASE_C, frequency: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form "Report on capitalization of the securities market" (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled monthly by the trading organizer and filled out as of the last day of the reporting month.

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

Chapter 2. Explanation for filling out the Form

5. In column 2, the list of the stock exchange, separate venues of the stock exchange, categories and subcategories of the official list of the stock exchange are indicated in accordance with the internal documents of the stock exchange.

6. In column 3, the number of issues of securities included in the official list of the trading organizer is indicated.

7. In column 4, the number of issuers whose securities are included in the official list of the trading organizer is indicated.

8. In column 5, an indicator indicating the total nominal value of issued bonds located in the official list (for bonds) and the market value of shares included in the official list of the trading organizer (for shares) is indicated, in accordance with the procedure established by its internal documents, in thousands of tenge. This column is filled out only for the share market and the corporate bond market.

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

Appendix 49
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the internet resource: www.nationalbank.kz

Report on client accounts

Index of the administrative data form: 1-KASE_SK

Frequency: monthly

Reporting period: as of "___" ______ 20 year

Persons submitting: trading organizer

Form

---

(Organization Name)

Table "Client accounts" (in thousands of tenge)

No.	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

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date "____" ______ 20__ year

Appendix
to the report form on client accounts

Explanation for filling out the administrative data form "Report on client accounts" (index: 1-KASE_SK, frequency: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form "Report on client accounts" (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled monthly by the trading organizer. Data in the Form is filled out as of the end of the reporting period in tenge.

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

Chapter 2. Explanation for filling out the Form

5. The Form discloses the structure of current, correspondent and other accounts attracted by the trading organizer, broken down by legal entities, including in foreign currency.

6. In columns 3, 4 and 5, the balances of money in accounts are indicated.

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

Appendix 50
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the internet resource: www.nationalbank.kz

Report on transactions with persons related to the trading organizer by special relations, concluded during the reporting month, as well as those in effect as of the reporting date, and the register of persons related to the trading organizer by special relations

Index of the administrative data form: 1-KASE_DEALING_REGISTER

Frequency: monthly

Reporting period: as of "___" ______ 20 year

Persons submitting: trading organizer

Form

---

(Organization Name)

Table 1. Transactions with persons related to the trading organizer by special relations, concluded during the reporting month, as well as those in effect as of "_" ______ 20 year.

No.	Name (surname, first name, patronymic if available) 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 related by special relations to the trading organizer	Type of operation	Purpose of the transaction	Contract No.
1	2	3	4	5	6	7	8
	Total

continuation of the table:

Date of conclusion (date of commencement of performance of conditions) of the contract	Date of expiration of action (date of completion of performance of conditions) of the contract	Details of the decision of the board of directors of the trading organizer or the general meeting of shareholders (in the absence of a board of directors)	Transaction amount under the contract (in thousands of tenge)	Currency type	Type of collateral
9	10	11	12	13	14
…

continuation of the table:

Value of collateral (in thousands of tenge)		Remuneration (in percent per annum)
total	of which the value of collateral included in the calculation of reserves (provisions)	by the person related to the trading organizer by special relations in favor of the trading organizer	by the trading organizer in favor of the person related to the trading organizer by special relations	in accordance with the internal documents of the trading organizer
15	16	17	18	19
…

continuation of the table:

Accrued income/expenses		Current balance as of 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 the 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 trading organizer with persons related to it by special relations, the amounts of which for each type of operation of the trading organizer with the person related to it by special relations do not exceed 0.01 percent in aggregate from the size of the own capital of the trading organizer, calculated in accordance with the Resolution of the Board of the Agency of the Republic of Kazakhstan for Regulation and Supervision of the Financial Market and Financial Organizations dated March 29, 2010 No. 41 "Rules and methods for calculating the values of prudential norms for the trading organizer" (registered in the Registry of state registration of normative legal acts under No. 6207), as of "" ______ 20 year amounts to ______ thousand tenge.

The trading organizer confirms that preferential conditions were not provided to persons related to it by special relations during the reporting month, and no other transactions, except those indicated in Table 1, were carried out by the trading organizer.

Table 2. Register of persons related to the trading organizer by special relations as of "_" ______ 20 year

No.	Business identification number (for a legal entity), individual identification number (for a physical person, including individual entrepreneur)	Name (surname, first name, patronymic if available) of the person	Country of residence	Sign, according to which the person is classified as a person related by special relations to the trading organizer
1	2	3	4	5

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date "____" ______ 20__ year

Appendix
to the report form on transactions with persons related to the trading organizer by special relations, concluded during the reporting month, as well as those in effect as of the reporting date, and the register of persons related to the trading organizer by special relations

Explanation for filling out the administrative data form "Report on transactions with persons related to the trading organizer by special relations, concluded during the reporting month, as well as those in effect as of the reporting date, and the register of persons related to the trading organizer by special relations" (index: 1-KASE_DEALING_REGISTER, frequency: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form "Report on transactions with persons related to the trading organizer by special relations, concluded during the reporting month, as well as those in effect as of the reporting date, and the register of persons related to the trading organizer by special relations" (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled by the trading organizer monthly. 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 1,000 (one thousand) tenge.

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

Chapter 2. Explanation on Filling out the Form

5. The Form indicates information about all transactions of the trading organizer with persons related to it by special relations, concluded during the reporting period, as well as those existing on the reporting date (Table 1), and about persons related to the trading organizer by special relations (Table 2) on the reporting date.

6. The sign of a person's relatedness to the trading organizer by special relations is determined by Article 40 of the Law of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan" and Article 64 of the Law of the Republic of Kazakhstan dated May 13, 2003 "On Joint Stock Companies".

7. When filling out Table 2, all signs of a person's relatedness to the trading organizer by special relations are indicated.

8. In Table 1, information is indicated about all transactions of the trading organizer with persons related to it by special relations, the amount of which for each type of operation of the trading organizer with a person related to it by special relations exceeds 0.01 percent in aggregate of the size of the own capital of the trading organizer, calculated in accordance with the Resolution of the Board of the Agency of the Republic of Kazakhstan for Regulation and Supervision of the Financial Market and Financial Organizations dated March 29, 2010 No. 41 "Rules and Methods for Calculating Values of Prudential Norms for a Trading Organizer" (registered in the Registry of State Registration of Normative Legal Acts under No. 6207).

9. If the own capital of the trading organizer has a negative value, in Table 1, information is indicated about all transactions of the trading organizer with persons related to it by special relations, the amount of which for each type of operation of the trading organizer with a person related to it by special relations exceeds 0.001 percent in aggregate of the size of the assets of the trading organizer.

10. In column 2 of Table 1 and column 3 of Table 2, for a physical person, the surname and name are indicated mandatory, patronymic - if available.

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

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

13. In column 20 of Table 1, the amount of accrued income or expense, accumulated from 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 trading organizer by special relations, in column 26 of Table 1 it is indicated that "the person is related to the trading organizer by special relations from ______ (date with indication of day, month and year)".

15. Table 2 indicates all persons related to the trading organizer by special relations, including those with whom no transactions were concluded.

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

Appendix 51
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the internet resource: www.nationalbank.kz

Report on Completed Transactions on Investing Own Assets

Index of administrative data form: 1- KASE_Dealings_SA

Frequency: monthly

Reporting period: as of "_____" ______ 20 __ year

Circle of persons submitting: trading organizer

Form

---

(name of the Organization)

Table "Transactions on Investing Own Assets"

No.	Date of Transaction	Name of Broker and/or Dealer	Payment for Services			Type of Transaction	Market	Type of Security and Name of Issuer
Broker and/or Dealer	Bank	Stock Exchange
1	2	3	4	5	6	7	8	9

continuation of the table:

Identification Number	Currency of Nominal Value (Issue Price)	Nominal Value of One Security (Issue Price)	Volume of Transaction	Currency of Payment	Purchase Price of One Security	Yield on Securities (in percent)	Amount of Transaction
10	11	12	13	14	15	16	17

Name ______ Address______

Telephone ______

Email Address ______

Executor______ ______

surname, name and patronymic (if available) signature, telephone

Chief Accountant or Person Authorized to Sign the Report

---

surname, name and patronymic (if available) signature, telephone

Head or Person Authorized by Him to Sign the Report

---

surname, name and patronymic (if available) signature, telephone

Date "____" ______ 20__ year

Appendix
to the report form on completed transactions on investing own assets

Explanation on filling out the administrative data form

"Report on Completed Transactions on Investing Own Assets" (index: 1- KASE_Dealings_SA, frequency: monthly)

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the form "Report on Completed Transactions on Investing Own Assets" (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled monthly by the trading organizer and filled out as of the end of the reporting period. Data in columns 13, 15 and 17 of the Form is filled in tenge.

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

Chapter 2. Explanation on Filling out the Form

5. In column 7, the type of transaction is indicated (purchase, sale, redemption, reverse repo operation - opening or closing, etc.).

6. In column 8, the type of securities market is indicated (organized or unorganized). If the transaction was made on an organized securities market, the trading organizer in whose trading system the transaction was carried out is indicated.

7. In columns 11 and 14, currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 "Codes for Designation of Currencies and Funds".

8. In column 15, the price is indicated with an accuracy of four decimal places, contained in the primary document confirming the completion of the transaction (exchange certificate, broker and/or dealer report, confirmation received via the international interbank system for transmitting information and making payments (SWIFT)), taking into account the remuneration paid to the seller.

9. In column 16, the yield on debt securities is indicated in percent per annum (for a transaction with a bond - yield to maturity, resulting from alienation or acquisition).

10. In column 17, the amount is indicated without taking into account expenses related to the execution of the transaction, with an accuracy of two decimal places.

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

Appendix 52
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the internet resource: www.nationalbank.kz

Credit Risk Calculation

Index of administrative data form: 1-KASE_KR

Frequency: monthly

Reporting period: as of "_____" ______ 20 __ year

Circle of persons submitting: trading organizer

Form

---

(name of the Trading Organizer)

Table 1. Assets weighted by the degree of credit risk of investments

(in thousands of tenge)

No.	Name of Items	Amount	Risk Degree in Percent	Amount for Calculation
Group I
1	Cash in tenge		0
2	Cash in foreign currency of countries with a sovereign rating not lower than 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies		0
3	Affined precious metals		0
4	Deposits in the National Bank of the Republic of Kazakhstan		0
5	Deposits in central banks of countries with a sovereign rating not lower than 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies		0
6	Deposits in international financial organizations with a debt rating not lower than 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies		0
7	Accounts receivable of the Government of the Republic of Kazakhstan		0
8	Accounts receivable of local executive bodies of the Republic of Kazakhstan for taxes and other payments to the budget		0
9	State securities of the Republic of Kazakhstan issued by the Government of the Republic of Kazakhstan and the National Bank of the Republic of Kazakhstan		0
10	Securities issued by the Joint Stock Company "National Welfare Fund Samruk-Kazyna"
11	Securities having the status of state securities issued by central governments of foreign states with a sovereign rating not lower than 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies		0
12	Securities issued by international financial organizations with a debt rating not lower than 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies		0
Group II
13	Cash in foreign currency of countries with a sovereign rating lower than 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies, and countries without a corresponding rating assessment		20
14	Funds in correspondent accounts in the Republican State Enterprise on the right of economic management "Kazakhstan Center for Interbank Settlements of the National Bank of the Republic of Kazakhstan"
15	Loans provided to organizations with a debt rating not lower than 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies		20
16	Deposits in central banks of countries with a sovereign rating from 'A+' to 'A-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies		20
17	Deposits in international financial organizations with a debt rating from 'A+' to 'A-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies		20
18	Deposits in organizations with a debt rating not lower than 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies		20
19	Funds in correspondent accounts in organizations with a debt rating not lower than 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies		20
20	Accounts receivable of local executive bodies of the Republic of Kazakhstan, excluding accounts receivable classified in Group I of risk		20
21	Accounts receivable of organizations with a debt rating not lower than 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies		20
22	Securities having the status of state securities issued by central governments of countries with a sovereign rating from 'A+' to 'A-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies		20
23	Securities issued by international financial organizations with a debt rating from 'A+' to 'A-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies		20
24	Securities issued by local executive bodies of the Republic of Kazakhstan		20
25	Securities issued by local executive bodies of countries with a sovereign rating not lower than 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies		20
26	Securities issued by organizations with a debt rating not lower than 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies		20
27	Securitization positions held by the trading organizer on the balance sheet and having a credit rating from 'AAA' to 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies or a rating assessment from 'kzAAA' to 'kzAA-' on the national scale of Standard & Poor's or a rating of equivalent level on the national scale of one of other rating agencies		20
Group III
28	Unaffined precious metals		50
29	Loans provided to organizations with a debt rating from 'A+' to 'A-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies		50
30	Debt securities issued by the Joint Stock Company "Development Bank of Kazakhstan"		50
31	Deposits in central banks of countries with a sovereign rating from 'BBB+' to 'BBB-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies		50
32	Deposits in international financial organizations with a debt rating from 'BBB+' to 'BBB-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies		50
33	Deposits in organizations with a debt rating from 'A+' to 'A-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies		50
34	Funds in correspondent accounts in organizations with a debt rating from 'A+' to 'A-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies		50
35	Accounts receivable of organizations with a debt rating from 'A+' to 'A-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies		50
36	Securities having the status of state securities issued by central governments of countries with a sovereign rating from 'BBB+' to 'BBB-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies		50
37	Securities issued by international financial organizations with a debt rating from 'BBB+' to 'BBB-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies		50
38	Securities issued by local executive bodies of countries with a sovereign rating from 'A+' to 'A-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies		50
39	Securities issued by organizations with a debt rating from 'A+' to 'A-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies		50
40	Securitization positions held by the trading organizer on the balance sheet and having a credit rating from 'A+' to 'A-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies or a rating assessment from 'kzA+' to 'kzA-' on the national scale of Standard & Poor's or a rating of equivalent level on the national scale of one of other rating agencies		50
Group IV
41	Loans provided to resident organizations of the Republic of Kazakhstan with a debt rating lower than 'A-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies, resident organizations of the Republic of Kazakhstan without a corresponding rating assessment, and non-resident organizations of the Republic of Kazakhstan with a debt rating from 'BBB+' to 'BB-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies		100
42	Deposits in central banks of countries with a sovereign rating from 'BB+' to 'B-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies, and countries without a corresponding rating assessment		100
43	Deposits in international financial organizations with a debt rating from 'BB+' to 'B-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies, and international financial organizations without a corresponding rating assessment		100
44	Deposits in resident organizations of the Republic of Kazakhstan with a debt rating lower than 'A-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies, resident organizations of the Republic of Kazakhstan without a corresponding rating assessment, and non-resident organizations of the Republic of Kazakhstan with a debt rating from 'BBB+' to 'BB-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies		100
45	Funds in correspondent accounts in resident organizations of the Republic of Kazakhstan with a debt rating lower than 'A-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies, resident organizations of the Republic of Kazakhstan without a corresponding rating assessment, and non-resident organizations of the Republic of Kazakhstan with a debt rating from 'BBB+' to 'BB-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies		100
46	Accounts receivable of resident organizations of the Republic of Kazakhstan with a debt rating lower than 'A-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies, resident organizations of the Republic of Kazakhstan without a corresponding rating assessment, and non-resident organizations of the Republic of Kazakhstan with a debt rating from 'BBB+' to 'BB-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies		100
47	Accounts receivable of individuals		100
48	Securities having the status of state securities issued by central governments of countries with a sovereign rating from 'BB+' to 'B-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies, and countries without a corresponding rating assessment		100
49	Securities issued by local executive bodies of countries with a sovereign rating from 'BBB+' to 'BB-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies, and countries without a corresponding rating assessment		100
50	Securities issued by: international financial organizations with a debt rating from 'BB+' to 'B-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies, and international financial organizations without a corresponding rating assessment		100
51	Securities issued by: resident organizations of the Republic of Kazakhstan with a debt rating lower than 'A-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies, resident organizations of the Republic of Kazakhstan without a corresponding rating assessment, and non-resident organizations of the Republic of Kazakhstan with a debt rating from 'BBB+' to 'BB-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies		100
52	Securitization positions held by the trading organizer on the balance sheet and having a credit rating from 'BBB+' to 'BBB-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies or a rating assessment from 'kzBBB+' to 'kzBBB-' on the national scale of Standard & Poor's or a rating of equivalent level on the national scale of one of other rating agencies		100
53	Payment settlements		100
54	Fixed assets		100
55	Material reserves		100
56	Prepayment of remuneration and expenses		100
Group V
57	Licensed software acquired for the main activities of the trading organizer and complying with International Financial Reporting Standard 38		100
58	Loans provided to non-resident organizations of the Republic of Kazakhstan with a debt rating lower than 'BB-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies, and non-resident organizations of the Republic of Kazakhstan without a corresponding rating assessment		150
59	Loans provided to non-residents of the Republic of Kazakhstan who are legal entities registered in the territories of foreign states specified in the note to this appendix, or their citizens		200
60	Deposits in central banks of countries with a sovereign rating lower than 'B-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies		150
61	Deposits in international financial organizations with a debt rating lower than 'B-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies		150
62	Deposits in non-resident organizations of the Republic of Kazakhstan with a debt rating lower than 'BB-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies, and non-resident organizations of the Republic of Kazakhstan without a corresponding rating assessment		150
63	Funds in correspondent accounts in non-resident organizations of the Republic of Kazakhstan with a debt rating lower than 'BB-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies, and non-resident organizations of the Republic of Kazakhstan without a corresponding rating assessment		150
64	Deposits in non-resident organizations of the Republic of Kazakhstan registered in the territories of foreign states specified in the note to this appendix		200
65	Funds in correspondent accounts in non-resident organizations of the Republic of Kazakhstan registered in the territories of foreign states specified in the note to this appendix		200
66	Accounts receivable of non-resident organizations of the Republic of Kazakhstan with a debt rating lower than 'BB-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies, and non-resident organizations of the Republic of Kazakhstan without a corresponding rating assessment		150
67	Accounts receivable of non-resident organizations of the Republic of Kazakhstan registered in the territories of foreign states specified in the note to this appendix		200
68	Securities issued by central governments of countries with a sovereign rating lower than 'B-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies		150
69	Securities issued by local executive bodies of countries with a sovereign rating lower than 'BB-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies		150
70	Securities issued by international financial organizations with a debt rating lower than 'B-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies		150
71	Securities issued by non-resident organizations of the Republic of Kazakhstan with a debt rating lower than 'BB-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies, and non-resident organizations of the Republic of Kazakhstan without a corresponding rating assessment		150
72	Securities issued by non-resident organizations of the Republic of Kazakhstan registered in the territories of foreign states specified in the note to this appendix		200
73	Securitization positions held by the trading organizer on the balance sheet and having a credit rating from 'BB+' to 'BB-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies or a rating assessment from 'kzBB+' to 'kzBB-' on the national scale of Standard & Poor's or a rating of equivalent level on the national scale of one of other rating agencies		350
74	Non-state debt securities of organizations of the Republic of Kazakhstan issued in accordance with the legislation of the Republic of Kazakhstan and/or other states, included in the stock exchange list, the issuer of which meets the requirements of the category "debt securities without rating assessment of the first subcategory (highest category)" provided for by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated March 27, 2017 No. 54 "On Approval of Requirements for Issuers and Their Securities Admitted (Admitted) to Trading on the Stock Exchange, as well as to Certain Categories of the Stock Exchange List and Amendments to Some Regulatory Legal Acts of the Republic of Kazakhstan on Securities Market Regulation" (registered in the Registry of State Registration of Regulatory Legal Acts under No. 15175) (hereinafter - Resolution No. 54)		250
75	Non-state debt securities of organizations of the Republic of Kazakhstan issued in accordance with the legislation of the Republic of Kazakhstan and other states, included in the stock exchange list, the issuer of which meets the requirements of the category "debt securities without rating assessment of the second subcategory (next after the highest category)" provided for by Resolution No. 54		250
76	Other financial instruments		400
	Total:		x

Table 2. Contingent and possible obligations, weighted by credit risk degree

(in thousands of tenge)

| | | | | |
| --- | --- | --- | --- |
| No. | Name of Items | Amount | Conversion Coefficient in Percent | Amount for Calculation |
| Group I | | | | |
| 1 | Contingent (possible) obligations for the purchase or sale of securities issued by the Government of the Republic of Kazakhstan, the National Bank of the Republic of Kazakhstan or securities issued by central governments and central banks of foreign states with a sovereign rating at the level of 'AA' and above by Standard & Poor's or a rating of equivalent level by one of other rating agencies | | 0 | |
| 2 | Possible (contingent) obligations for the placement by the trading organizer in the future of loans and deposits subject to cancellation at any time at the request of the trading organizer | | 0 | |
| Group II | | | | |
| 3 | Possible (contingent) obligations for the placement by the trading organizer in the future of loans and deposits with a maturity of less than 1 (one) year | | 20 | |
| 4 | Securitization positions held by the trading organizer in contingent obligation accounts and having a credit rating from 'AAA' to 'AA' by Standard & Poor's or a rating of equivalent level by one of other rating agencies or a rating assessment from 'kzAAA' to 'kzAA' on the national scale of Standard & Poor's or a rating of equivalent level on the national scale of one of other rating agencies | | 20 | |
| Group III | | | | |
| 5 | Possible (contingent) obligations for the placement by the trading organizer in the future of loans and deposits with a maturity of more than 1 (one) year | | 50 | |
| 6 | Securitization positions held by the trading organizer in contingent obligation accounts and having a credit rating from 'A+' to 'A' by Standard & Poor's or a rating of equivalent level by one of other rating agencies or a rating assessment from 'kzA+' to 'kzA' on the national scale of Standard & Poor's or a rating of equivalent level on the national scale of one of other rating agencies | | 50 | |
| Group IV | | | | |
| 7 | Agreement on the sale by the trading organizer with an obligation for the trading organizer to repurchase financial instruments | | 100 | |
| 8 | Securitization positions held by the trading organizer in contingent obligation accounts and having a credit rating from 'BBB+' to 'BBB' by Standard & Poor's or a rating of equivalent level by one of other rating agencies or a rating assessment from 'kzBBB+' to 'kzBBB' on the national scale of Standard & Poor's or a rating of equivalent level on the national scale of one of other rating agencies | | 100 | |
| 9 | Other letters of credit of the trading organizer | | 100 | |
| 10 | Other contingent (possible) obligations of the trading organizer | | 100 | |
| 11 | Securitization positions held by the trading organizer in contingent obligation accounts and having a credit rating from 'BB+' to 'BB' by Standard & Poor's or a rating of equivalent level by one of other rating agencies or a rating assessment from 'kzBB+' to 'kzBB' on the national scale of Standard & Poor's or a rating of equivalent level on the national scale of one of other rating agencies | | 350 | |
| | Total: | | X | |

Table 3. Breakdown of derivative financial instruments, weighted with regard to credit risk

(in thousands of tenge)

No.	Name of Articles	Nominal Value of Derivative Financial Instruments	Credit Risk Coefficient for Derivative Financial Instruments in Percent	Amount with Credit Risk Consideration for Derivative Financial Instruments	Market Value of Derivative Financial Instruments	Counterparty Credit Risk Coefficient in Percent in accordance with Appendix 1 to these Rules	Amount to Calculate
1	2	3	4	5=3*4	6	7	8=(5+6)*7
1	Operations with derivative financial instruments related to government securities with a maturity of up to 1 (one) year		0.02
2	Operations with derivative financial instruments related to government securities with a maturity of from 1 (one) year to 5 (five) years		0.03
3	Operations with derivative financial instruments related to government securities with a maturity of more than 5 (five) years		0.04
4	Operations with derivative financial instruments related to currency transactions with a maturity of up to 1 (one) year		0.05
5	Operations with derivative financial instruments related to currency transactions with a maturity of from 1 (one) year to 5 (five) years		0.07
6	Operations with derivative financial instruments related to currency transactions with a maturity of more than 5 (five) years		0.09
7	Operations with derivative financial instruments related to interest rate transactions with a maturity of up to 1 (one) year		0.03
8	Operations with derivative financial instruments related to interest rate transactions with a maturity of from 1 (one) year to 5 (five) years		0.06
9	Operations with derivative financial instruments related to interest rate transactions with a maturity of more than 5 (five) years		0.09
10	Operations with derivative financial instruments related to non-government securities with a maturity of up to 1 (one) year		0.06
11	Operations with derivative financial instruments related to non-government securities with a maturity of from 1 (one) year to 5 (five) years		0.08
12	Operations with derivative financial instruments related to non-government securities with a maturity of more than 5 (five) years		0.10
13	Operations with derivative financial instruments related to precious metals with a maturity of up to 1 (one) year		0.07
14	Operations with derivative financial instruments related to precious metals with a maturity of from 1 (one) year to 5 (five) years		0.07
15	Operations with derivative financial instruments related to precious metals with a maturity of more than 5 (five) years		0.08
16	Operations with derivative financial instruments related to other transactions with a maturity of up to 1 (one) year		0.10
17	Operations with derivative financial instruments related to other transactions with a maturity of from 1 (one) year to 5 (five) years		0.12
18	Operations with derivative financial instruments related to other transactions with a maturity of more than 5 (five) years		0.15
Total derivative financial instruments weighted with credit risk consideration			X			X

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date «____» ______ 20__ year

Note:

List of foreign states:

1. Principality of Andorra;

2. State of Antigua and Barbuda;

3. Commonwealth of The Bahamas;

4. State of Barbados;

5. State of Bahrain;

6. State of Belize;

7. State of Brunei Darussalam;

8. Republic of Vanuatu;

9. Republic of Guatemala;

10. State of Grenada;

11. Republic of Djibouti;

12. Dominican Republic;

13. Republic of Indonesia;

14. Spain (only in the part of the territory of the Canary Islands);

15. Republic of Cyprus;

16. People's Republic of China (only in the part of the territories of the Special Administrative Regions of Macau and Hong Kong);

17. Federal Islamic Republic of the Comoros;

18. Republic of Costa Rica;

19. Malaysia (only in the part of the territory of the Labuan enclave);

20. Republic of Liberia;

21. Principality of Liechtenstein;

22. Republic of Mauritius;

23. Portugal (only in the part of the territory of the Madeira islands);

24. Maldives;

25. Republic of Malta;

26. Republic of the Marshall Islands;

27. Principality of Monaco;

28. Union of Myanmar;

29. Republic of Nauru;

30. Netherlands (only in the part of the territory of the island of Aruba and dependent territories of the Antilles);

31. Federal Republic of Nigeria;

32. New Zealand (only in the part of the territory of the Cook Islands and Niue);

33. United Arab Emirates (only in the part of the territory of the city of Dubai);

34. Republic of Palau;

35. Republic of Panama;

36. Independent State of Samoa;

37. Republic of Seychelles;

38. State of Saint Vincent and the Grenadines;

39. Federation of Saint Kitts and Nevis;

40. State of Saint Lucia;

41. United Kingdom of Great Britain and Northern Ireland (only in the part of the following territories):

Anguilla Islands; Bermuda Islands;

British Virgin Islands;

Gibraltar;

Cayman Islands;

Montserrat Island;

Turks and Caicos Islands;

Isle of Man;

Channel Islands (Guernsey, Jersey, Sark, Alderney);

42. United States of America (only in the part of the territories of the American Virgin Islands, the island of Guam and the Commonwealth of Puerto Rico);

43. Kingdom of Tonga;

44. Republic of the Philippines;

45. Democratic Republic of Sri Lanka.

Appendix

to the credit risk calculation form

Explanation for filling out the administrative data form

"Credit Risk Calculation" (index: 1-KASE_KR,

periodicity: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the "Credit Risk Calculation" form (hereinafter - Form).

2. The Form is developed in accordance with the Law of the Republic of Kazakhstan of July 2, 2003 "On the Securities Market".

3. The Form is filled out monthly at the end of the reporting period by the trading organizer. Data in the Form are indicated 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 (thousand) tenge.

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

Chapter 2. Explanation for filling out the Form

5. for Table 1:

1. deposits, accounts receivable, purchased securities, for which the trading organizer has collateral (in the form of assets specified in rows 1, 2, 3, 4, 5, 6, 9, 10, 11, 12 of the Form), the adjusted value of which is at least 50 (fifty) percent of the volume of the specified assets, in the presence of adequate accounting systems at the trading organizer allowing to determine the adjusted value of collateral in accordance with this paragraph, may be included in the calculation of assets weighted by risk degree minus the adjusted value of collateral.

The adjusted value of collateral (in the form of assets specified in rows 1, 2, 3, 4, 5, 6, 9, 10, 11, 12 of the Form) equals:

100 (one hundred) percent of the sum of deposits provided as collateral;

95 (ninety-five) percent of the market value of securities transferred as collateral;

85 (eighty-five) percent of the market value of refined precious metals transferred as collateral.

The unsecured part of the above-mentioned deposits, accounts receivable, purchased securities is weighted according to the Form by the risk degree corresponding to deposits, accounts receivable, purchased securities.

2. deposits, accounts receivable, purchased securities, investments not included in the calculation of the trading organizer's investments, guaranteed (insured) by organizations having a risk degree lower than the counterparty, may be included in the calculation of assets weighted by credit risk degree (minus the guaranteed (insured) sum of deposits, accounts receivable, purchased securities, investments not included in the calculation of the trading organizer's investments) by the debtor's risk degree.

The guaranteed (insured) sum of deposits, accounts receivable, purchased securities, investments not included in the calculation of the trading organizer's investments is weighted by the risk degree of the debtor of the corresponding guarantor (insurer).

3. deposits, accounts receivable, purchased securities specified in sub-paragraph 2) of this paragraph, provided to non-residents of the Republic of Kazakhstan:

• registered as a legal entity in the territory of offshore zones;

• being dependent on legal entities registered in the territory of offshore zones and owning individually more than 5 (five) percent of shares in the charter capital, or subsidiaries in relation to a legal entity registered in the territory of an offshore zone;

• being citizens of offshore zones, are weighted by the risk degree according to the Form, regardless of the presence of collateral specified in paragraph 6 of the Explanation.

4. deposits, accounts receivable, purchased securities specified in sub-paragraph 2) of this paragraph, provided to non-residents of the Republic of Kazakhstan:

• registered as a legal entity in the territory of offshore zones, but having a debt rating not lower than 'AA-' by Standard & Poor's agency or a rating of a similar level by one of the other rating agencies or a corresponding guarantee from the head organization, the debt rating of which is not lower than the specified level, as collateral for the entire amount of obligations;

• being dependent on legal entities registered in the territory of offshore zones and owning individually more than 5 (five) percent of shares in the charter capital, or subsidiaries in relation to a legal entity registered in the territory of an offshore zone, but having a debt rating not lower than the specified level or a corresponding guarantee from the head organization, the debt rating of which is not lower than the level specified in the second paragraph of sub-paragraph 4) of this paragraph as collateral for the entire amount of obligations, except for claims to non-residents of the Republic of Kazakhstan who are legal entities registered in the territory of offshore zones, or citizens of states included in the list of foreign states established in the note to the Form or referred to by the Organization for Economic Cooperation as a list of offshore territories that have not accepted obligations on information exchange, or to organizations that are dependent on legal entities owning individually more than 5 (five) percent of shares in the charter capital or subsidiaries in relation to legal entities registered in the territory of the specified offshore zones, are weighted by zero risk degree.

6. For Table 2:

1. when determining the risk degree for off-balance sheet obligations regarding accounts for placement-receipt of deposits and loans in the future, for acquisition-sale of securities and purchase-sale of currency values, obligations that may arise during the current and two subsequent months are taken into account.

2. the concept of "loan" implies the implementation by the trading organizer of lending, leasing, factoring, forfeiting operations.

7. For Table 3:

1. credit risk for derivative financial instruments is calculated by multiplying the nominal contractual value by coefficients depending on the term remaining from the reporting date to the settlement date;

2. operations with derivative financial instruments that do not fall into any of the categories listed in this table are subject to weighting by credit risk coefficients specified in the "Other Transactions" category.

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

Appendix 53

to the Resolution of the Board of the

National Bank of the

Republic of Kazakhstan

of November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the internet resource: www.nationalbank.kz

Decoding of the current liquidity coefficient

Index of the administrative data form: LIQUID_KASE

Periodicity: monthly

Reporting period: as of «_____» ______ 20 __ year

Persons submitting: trading organizer

Form

---

(name of the Trading Organizer)

Table "Decoding of the current liquidity coefficient" (in thousands of tenge)

No.	Date	Highly liquid assets	Sum of obligations of the trading organizer to trading participants regarding funds of trading participants located on correspondent accounts of the trading organizer	Sum of net claims of trading participants to the trading organizer, for which the trading organizer bears responsibility with its own funds	Sum of maximum damage to members of the trading organizer for all categories of membership, which is subject to compensation by the trading organizer in the event of a technical failure
1	2	3	4	5	6
	1
	…
	n
	Total:
	Total monthly average value
	Number of working days
	Current liquidity coefficient

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date «____» ______ 20__ year

Appendix

to the form decoding of the current liquidity coefficient

Explanation for filling out the administrative data form

"Decoding of the current liquidity coefficient" (index: LIQUID_KASE, periodicity: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the "Decoding of the current liquidity coefficient" form (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan of July 2, 2003 "On the Securities Market".

3. The Form is filled out monthly at the end of the reporting period by the trading organizer. Data in the Form are indicated 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 (thousand) tenge.

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

Chapter 2. Explanation for filling out the Form

5. The current liquidity coefficient of the trading organizer is calculated on a monthly average basis using the following formula:

column 3 / (column 4 + column 5 + column 6).

6. The calculation of indicators for coefficient K2 is performed every working day as of the end of the preceding working day, as well as at the end of each of the weekend days immediately preceding the current working day.

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

Appendix 54

to the Resolution of the Board of the

National Bank of the

Republic of Kazakhstan

of November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the internet resource: www.nationalbank.kz

Report on the fulfillment of prudential standards

Index of the administrative data form: K1_KASE

Periodicity: monthly

Reporting period: as of «_____» ______ 20 __ year

Persons submitting: trading organizer

Form

---

(name of the Trading Organizer)

Table "Fulfillment of prudential standards" (in thousands of tenge)

No.	Name	Amount
1	2	3
1	Charter capital, in part of ordinary shares, minus own repurchased ordinary shares
2	Charter capital, in part of preferred shares, minus own repurchased preferred shares
3	Additional capital
4	Undistributed net income of previous years
5	Loss of previous years
6	Funds, reserves formed from the income of previous years
7	Undistributed net income of the current year
8	Loss of the current year
9	Intangible assets, except for licensed software acquired for the purposes of main activity
10	Investments of the trading organizer (investments of the trading organizer) in shares (shares in the charter capital) of a legal entity
11	Own capital of the trading organizer
12	Assets weighted by credit risk degree
13	Contingent and possible obligations weighted by credit risk degree
14	Derivative financial instruments weighted by credit risk degree
15	Volume of annual trading of financial instruments in the trading system of the trading organizer for the last three completed years
16	Operational risk
17	Capital adequacy coefficient K1
18	Monthly average size of highly liquid assets
19	Monthly average sum of obligations of the trading organizer to trading participants regarding funds of trading participants located on correspondent accounts of the trading organizer
20	Monthly average sum of net claims of trading participants to the trading organizer, for which the trading organizer bears responsibility with its own funds
21	Monthly average sum of maximum damage to members of the trading organizer for all categories of membership, which is subject to compensation by the trading organizer in the event of a technical failure
22	Number of members of the trading organizer for all categories of membership (units)
23	Current liquidity coefficient K2

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date «____» ______ 20__ year

Appendix

to the form of the report on the fulfillment of prudential standards

Explanation for filling out the administrative data form

"Report on the fulfillment of prudential standards" (index: K1_KASE, periodicity: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the "Report on the fulfillment of prudential standards" form (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan of July 2, 2003 "On the Securities Market".

3. The Form is filled out monthly at the end of the reporting period by the trading organizer. Data in the Form are indicated 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 (thousand) tenge.

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

Chapter 2. Explanation for filling out the Form

5. Column 3 is filled with data as of the end of the last calendar day of the reporting period.

6. The Form is filled out in accordance with the requirements of the Resolution of the Board of the Agency of the Republic of Kazakhstan for Regulation and Supervision of the Financial Market and Financial Organizations of March 29, 2010 No. 41 "On Approval of the Rules and Methods for Calculating the Values of Prudential Standards for Trading Organizers" (registered in the Registry of State Registration of Normative Legal Acts under No. 6207).

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

Appendix 55

to the Resolution of the Board of the

National Bank of the

Republic of Kazakhstan

of November 26, 2019 No. 211

Form

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the internet resource: www.nationalbank.kz

Report on net claims and net obligations of entities using the services of a clearing organization

Index of the administrative data form: Clearing_TO

Periodicity: daily

Reporting period: for ______ 20__ year

Persons submitting: clearing organization

Form

Table "Net claims and net obligations of entities using the services of a clearing organization"

No.	Name of the entity using the services of a clearing organization	Code of the entity using the services of a clearing organization	Obligations of the entity using the services of a clearing organization			Claims of the entity using the services of a clearing organization
name of currency	name of currency	name of currency	name of currency	name of currency	name of currency
1	2	3	4-1.	…	4-n	5-1.	…	5-n
1
…
n.

continuation of the table

Net position of the entity using the services of a clearing organization			Number of transactions of the entity using the services of a clearing organization	Amount of guarantee contributions			Amount of margin contributions / margin collateral			Financial market
currency name	currency name	currency name	currency name	currency name	currency name	currency name	currency name	currency name
6-1.	…	6-n	7	8-1.	…	8-n	9-1.	…	9-n	10
…

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date «____» ______ 20__ year

Appendix
to the report form on net claims and net liabilities of entities using the services of a clearing organization

Explanation for filling out the administrative data form

"Report on net claims and net liabilities of entities using the services of a clearing organization" (index: Clearing_TO, frequency: daily)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for collecting administrative data "Report on net claims and net liabilities of entities using the services of a clearing organization" (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled daily by clearing organizations.

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

5. The report form is provided only for transactions with financial instruments accepted for clearing services.

Chapter 2. Explanation for filling out the Form

6. Column 2 indicates the name of the entity using the services of a clearing organization.

7. Column 3 indicates the code of the entity using the services of a clearing organization.

8. Columns 4-1 to 4-n indicate the liabilities of the entity using the services of a clearing organization in the corresponding currency.

9. Columns 5-1 to 5-n indicate the claims of the entity using the services of a clearing organization in the corresponding currency.

10. Columns 6-1 to 6-n indicate the net position of the entity using the services of a clearing organization, calculated as the difference between the data indicated in columns 4 and 5, in the corresponding currency.

11. Column 7 indicates the number of transactions of the entity using the services of a clearing organization.

12. Columns 8-1 to 8-n indicate the amount of guarantee contributions of the entity using the services of a clearing organization.

13. Columns 9-1 to 9-n indicate the amount of margin contributions/margin collateral of the entity using the services of a clearing organization and its clients.

14. Column 10 indicates the financial market, including the stock market and (or) currency market and (or) market of financial derivatives (derivatives market), on which the status of the entity using the services of a clearing organization is assigned.

Appendix 56
to the Resolution of the Board of the
National Bank of the Republic of Kazakhstan dated November 26, 2019 No. 211

Form

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the internet resource: www.nationalbank.kz

Report on entities using the services of a clearing organization

Administrative data form index: Clearing_Subjects

Frequency: monthly

Reporting period: for ______ 20__ year

Entities submitting: clearing organization

Form

Table "Entities using the services of a clearing organization"

No.	Name of the entity using the services of a clearing organization	Code of the entity using the services of a clearing organization	Date
Assignment of the status of the entity using the services of a clearing organization	Suspension of the status of the entity using the services of a clearing organization	Resumption of the status of the entity using the services of a clearing organization	Deprivation of the status of the entity using the services of a clearing organization
1	2	3	4	5	6	7
1
2
n.

continuation of the table

Name of the stock (commodity) exchange, a member of which is the entity using the services of a clearing organization	Financial market
8	9
---	---

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date «____» ______ 20__ year

Appendix
to the report form on entities using the services of a clearing organization

Explanation for filling out the administrative data form

"Report on entities using the services of a clearing organization" (index: Clearing_Subjects, frequency: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for collecting administrative data "Report on entities using the services of a clearing organization" (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled by clearing organizations monthly as of the end of the reporting period.

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

Chapter 2. Explanation for filling out the Form

5. Column 2 indicates the name of the entity using the services of a clearing organization.

6. Column 3 indicates the code of the entity using the services of a clearing organization.

7. Column 4 indicates the date of assignment of the status of the entity using the services of a clearing organization.

8. Column 5 indicates the date of suspension of the status of the entity using the services of a clearing organization.

9. Column 6 indicates the date of resumption of the status of the entity using the services of a clearing organization.

10. Column 7 indicates the date of deprivation of the status of the entity using the services of a clearing organization.

11. Column 8 indicates the name of the stock (commodity) exchange, a member of which is the entity using the services of a clearing organization.

12. Column 9 indicates the financial market, including the stock market and (or) currency market and (or) market of financial derivatives (derivatives market), on which the status of the entity using the services of a clearing organization is assigned and (or) the suspension and (or) resumption of the status occurred.

Appendix 57
to the Resolution of the Board of the
National Bank of the Republic of Kazakhstan dated November 26, 2019 No. 211

Form

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the internet resource: www.nationalbank.kz

Report on financial instruments accepted for clearing services

Administrative data form index: Clearing_FI

Frequency: monthly

Reporting period: for ______ 20__ year

Entities submitting: clearing organization

Form

Table "Financial instruments accepted for clearing services"

No.	Trading code of the financial instrument	Name of the financial instrument	ISIN of the financial instrument	Type of financial instrument	Nominal currency
1	2	3	4	5	6
---	---	---	---	---	---
1
2
n.

continuation of the table

Name of the issuer	Date		Name of the stock (commodity) exchange, a member of which is the entity using the services of a clearing organization	Financial market
Acceptance of the financial instrument for clearing services	Exclusion of the financial instrument from clearing services
7	8	9	10	11

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date «____» ______ 20__ year

Appendix
to the report form on financial instruments accepted for clearing services

Explanation for filling out the administrative data form

"Report on financial instruments accepted for clearing services" (index: Clearing_FI, frequency: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for collecting administrative data "Report on financial instruments accepted for clearing services" (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled by clearing organizations monthly as of the end of the reporting period.

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

Chapter 2. Explanation for filling out the Form

5. Column 2 indicates the trading code of the financial instrument accepted for clearing services.

6. Column 3 indicates the name of the financial instrument accepted for clearing services.

7. Column 4 indicates the ISIN code of the financial instrument (International Securities Identification Number) accepted for clearing services.

8. Column 5 indicates the type of financial instrument accepted for clearing services.

9. Column 6 indicates the nominal currency of the financial instrument accepted for clearing services.

10. Column 7 indicates the name of the issuer of the financial instrument accepted for clearing services.

11. Column 8 indicates the date of acceptance of the financial instrument for clearing services.

12. Column 9 indicates the date of exclusion of the financial instrument from clearing services.

13. Column 10 indicates the name of the stock (commodity) exchange on which this financial instrument is traded.

14. Column 11 indicates the financial market, including the stock market, currency market, market of financial derivatives (derivatives market), the financial instruments of which are accepted for clearing services and (or) excluded from clearing services.

Appendix 58
to the Resolution of the Board of the
National Bank of the Republic of Kazakhstan dated November 26, 2019 No. 211

Form

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The administrative data form is posted on the internet resource: www.nationalbank.kz

Report on entities using the services of a clearing organization, improperly fulfilling their obligations under transactions

Administrative data form index: Clearing_UNSUB

Frequency: monthly

Reporting period: for ______ 20__ year

Entities submitting: clearing organization

Form

Table "Entities using the services of a clearing organization, improperly fulfilling their obligations under transactions"

No.	Name of the entity using the services of a clearing organization	Code of the entity using the services of a clearing organization	Financial market	Volume of unfulfilled/untimely fulfilled obligation of the entity using the services of a clearing organization			Measures taken by the clearing organization for unfulfilled / untimely fulfilled transactions with financial instruments
currency name	currency name	currency name
1	2	3	4	5-1.	…	5-n	6
1
2
n.

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

---

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

Head or person authorized by him to sign the report

---

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

Date «____» ______ 20__ year

Appendix
to the report form on entities using the services of a clearing organization, improperly fulfilling their obligations under transactions

Explanation for filling out the administrative data form

"Report on entities using the services of a clearing organization, improperly fulfilling their obligations under transactions" (index: Clearing_UNSUB, frequency: monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for collecting administrative data "Report on entities using the services of a clearing organization, improperly fulfilling their obligations under transactions" (hereinafter - Form).

2. The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

3. The Form is compiled by clearing organizations monthly as of the end of the reporting period.

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

Chapter 2. Explanation for filling out the Form

5. Column 2 indicates the name of the entity using the services of a clearing organization.

6. Column 3 indicates the code of the entity using the services of a clearing organization.

7. Column 4 indicates the financial market, including the stock market, currency market, market of financial derivatives (derivatives market), on which the entity using the services of a clearing organization operates.

8. Columns 5-1 to 5-n indicate the volume of unfulfilled/untimely fulfilled obligation of the entity using the services of a clearing organization for each fact of unfulfilled/untimely fulfilled obligation in the corresponding currency, arising during the reporting month.

9. Column 6 indicates the measures taken by the clearing organization for unfulfilled/untimely fulfilled transactions with financial instruments.

Appendix 59
to the Resolution of the Board of the
National Bank of the Republic of Kazakhstan dated November 26, 2019 No. 211

Rules for submission of reports by licensees operating in the securities market by the single operator

1. These Rules for submission of reports by licensees operating in the securities market by the single operator are developed in accordance with the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market" and define the procedure for submission of reports by licensees operating in the securities market by the single operator (hereinafter - Organization) to the National Bank of the Republic of Kazakhstan.

2. Reports on paper medium as of the reporting date are signed by the first head, chief accountant or persons authorized to sign the report, the executor and stored with the Organization.

3. Reports in electronic format are submitted using a guaranteed information delivery transport system with cryptographic protection means, ensuring confidentiality and non-adjustability of the submitted data.

4. Identity of data submitted in electronic format to data on paper medium is ensured by the first head, chief accountant or persons authorized to sign the report.

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

6. For the purpose of forming the report, assets in foreign currency are indicated in conversion at the market exchange rate determined by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated January 25, 2013 No. 15 and the Order of the Minister of Finance of the Republic of Kazakhstan dated February 22, 2013 No. 99 "On the procedure for determining the market exchange rate" (registered in the Registry of State Registration of Regulatory Legal Acts under No. 8378).

Appendix 60
to the Resolution of the Board of the
National Bank of the Republic of Kazakhstan dated November 26, 2019 No. 211

List of regulatory legal acts of the Republic of Kazakhstan, as well as structural elements of some regulatory legal acts of the Republic of Kazakhstan, recognized as having lost force

1. Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 27, 2013 No. 228 "On Approval of the List, Forms, Deadlines for Reporting of Custodians of Voluntary Accumulative Pension Funds and Rules for Their Submission" (registered in the Registry of State Registration of Regulatory Legal Acts under No. 8860, published on February 12, 2014 in the newspaper "Kazakhstanskaya Pravda" No. 29 (27650).

2. Resolution of the Board of the National Bank of the Republic of Kazakhstan dated September 23, 2013 No. 248 "On Approval of the List, Forms, Deadlines for Reporting of Custodians and Rules for Their Submission" (registered in the Registry of State Registration of Regulatory Legal Acts under No. 9026, published on January 14, 2014 in the information and legal system of regulatory legal acts of the Republic of Kazakhstan "Adilet").

3. Resolution of the Board of the National Bank of the Republic of Kazakhstan dated February 29, 2016 No. 59 "On Approval of the List, Forms, Deadlines for Reporting of Trading Organizers and Rules for Their Submission" (registered in the Registry of State Registration of Regulatory Legal Acts under No. 13692, published on May 25, 2016 in the information and legal system of regulatory legal acts of the Republic of Kazakhstan "Adilet").

4. Paragraph 6 of the List of regulatory legal acts of the Republic of Kazakhstan, to which amendments and additions are made regarding the submission of reports by professional participants of 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 Amendments and Additions to Some Regulatory Legal Acts of the Republic of Kazakhstan Regarding the Submission of Reports by Professional Participants of the Securities Market" (registered in the Registry of State Registration of Regulatory Legal Acts under No. 16498, published on March 19, 2018 in the Reference Control Bank of Regulatory Legal Acts of the Republic of Kazakhstan).

5. Paragraphs 1, 2 and 3 of the List of regulatory legal acts of the Republic of Kazakhstan, to which amendments are made regarding the submission of reports by professional participants of the securities market and the single accumulation pension fund, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated July 30, 2018 No. 161 "On Amendments to Some Regulatory Legal Acts of the Republic of Kazakhstan Regarding the Submission of Reports by Professional Participants of the Securities Market and the Single Accumulation Pension Fund" (registered in the Registry of State Registration of Regulatory Legal Acts under No. 17390, published on October 2, 2018 in the Reference Control Bank of Regulatory Legal Acts of the Republic of Kazakhstan).

6. Resolution of the Board of the National Bank of the Republic of Kazakhstan dated July 30, 2018 No. 162 "On Approval of the List, Forms, Deadlines for Reporting of Organizations Carrying Out Investment Portfolio Management, Brokerage and (or) Dealing Activities in the Securities Market of the Republic of Kazakhstan and Rules for Their Submission" (registered in the Registry of State Registration of Regulatory Legal Acts under No. 17370, published on September 25, 2018 in the Reference Control Bank of Regulatory Legal Acts of the Republic of Kazakhstan).

7. Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 16, 2019 No. 133 "On Approval of the List, Forms, Deadlines for Reporting of Clearing Organizations of the Republic of Kazakhstan and Rules for Their Submission" (registered in the Registry of State Registration of Regulatory Legal Acts under No. 19263, published on August 26, 2019 in the Reference Control Bank of Regulatory Legal Acts of the Republic of Kazakhstan).