Resolution of the Board of the National Bank of the Republic of Kazakhstan dated July 20, 2020 No. 91 on Approval of the List, Forms, and Reporting Deadlines for Compliance with Anti-Money Laundering and Counter-Terrorist Financing Legislation by Legal Entities Operating Solely Through Exchange Points — NBK — KZ

Surname, First Name, Patronymic (if any)

Date of Birth

Identification Number

Data of the Identity Document

Issue Date


"NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN" REPUBLICAN STATE INSTITUTION		REPUBLICAN STATE INSTITUTION "NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN"
RESOLUTION OF THE BOARD July 20, 2020 Nur-Sultan city		RESOLUTION OF THE BOARD No. 91 city of Nur-Sultan

On Approval of the List,

Forms and Deadlines for Submitting Reports

on Compliance with the Legislation of the Republic of Kazakhstan on Countering the Legalization (Money Laundering) of Proceeds from Crime and Terrorist Financing by a Legal Entity Operating Solely Through an Exchange Point Based on a License of the National Bank of the Republic of Kazakhstan for Foreign Currency Cash Exchange Operations, and the Rules for Its Submission

(with amendments by NB RK Resolution No. 71 dated 26.09.2023)

In accordance with Subparagraph 65-2) of Part Two of Article 15 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan" and Subparagraph 2) of Paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics", the Board of the National Bank of the Republic of Kazakhstan RESOLVES:

Approve:

1) the list of reports on compliance with the legislation of the Republic of Kazakhstan on countering the legalization (money laundering) of proceeds from crime and terrorist financing, submitted by a legal entity operating solely through an exchange point based on a license of the National Bank of the Republic of Kazakhstan for foreign currency cash exchange operations, according to Appendix 1 to this Resolution;

2) the form of the report on refusals to conduct operations with money and/or other property of physical persons included in the list of persons associated with terrorist financing and extremism, according to Appendix 2 to this Resolution;

3) the form of the report on the conduct of operations with money and/or other property of physical persons according to Appendix 3 to this Resolution;

4) the form of the report on affiliated persons of a legal entity operating solely through an exchange point based on a license of the National Bank of the Republic of Kazakhstan for foreign currency cash exchange operations, and their operations with money and/or other property according to Appendix 4 to this Resolution;

5) the form of the report on money transfers to bank accounts of a legal entity operating solely through an exchange point based on a license of the National Bank of the Republic of Kazakhstan for foreign currency cash exchange operations, opened in foreign banks, according to Appendix 5 to this Resolution;

6) the Rules for submission by a legal entity operating solely through an exchange point based on a license of the National Bank of the Republic of Kazakhstan for foreign currency cash exchange operations, of reports on compliance with the legislation of the Republic of Kazakhstan on countering the legalization (money laundering) of proceeds from crime and terrorist financing, according to Appendix 6 to this Resolution.

The Department of Cash Currency Circulation shall ensure, in the manner established by the legislation of the Republic of Kazakhstan:

1) together 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 of the Republic of Kazakhstan 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 execution of measures provided for in Subparagraph 2) of this paragraph and Paragraph 3 of this Resolution.

The Department of Information and Communications – Press Service of the National Bank shall ensure, within ten calendar days after the state registration of this Resolution, sending a copy of it for official publication in periodical print media.
Control over the execution of this Resolution shall be entrusted to the Deputy Chairman of the National Bank of the Republic of Kazakhstan D.V. Vagapov.
This Resolution shall enter into force from January 1, 2021, and shall be subject to official publication.


Position		FULL NAME

"AGREED"

Ministry of Finance

Republic of Kazakhstan

"AGREED"

Committee on Statistics

Ministry of National Economy

Republic of Kazakhstan


Appendix 1 to Resolution of the Board of the National Bank of the Republic of Kazakhstan dated July 20, 2020 No. 91

List of Reports on Compliance with the Legislation of the Republic of Kazakhstan on Countering the Legalization (Money Laundering) of Proceeds from Crime and Terrorist Financing

Reports of a legal entity operating solely through an exchange point based on a license of the National Bank of the Republic of Kazakhstan for foreign currency cash exchange operations include:

1) a report on refusals to conduct operations with money and/or other property of physical persons included in the list of persons associated with terrorist financing and extremism;

2) a report on the conduct of operations with money and/or other property of physical persons;

3) a report on affiliated persons of a legal entity operating solely through an exchange point based on a license of the National Bank of the Republic of Kazakhstan for foreign currency cash exchange operations, and their operations with money and/or other property;

4) a report on money transfers to bank accounts of a legal entity operating solely through an exchange point based on a license of the National Bank of the Republic of Kazakhstan for foreign currency cash exchange operations, opened in foreign banks.

Appendix 2

to Resolution of the Board

of the National Bank

of the Republic of Kazakhstan

dated July 20, 2020 No. 91

Form

Form intended for the collection of administrative data

Submitted to: the territorial branch of the National Bank of the Republic of Kazakhstan

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

Report on Refusals to Conduct Operations

with Money and/or Other Property of Physical Persons Included in the List of Persons Associated with Terrorist Financing and Extremism

Administrative data form index: AML-R1

Frequency: semi-annual

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

Circle of persons submitting: a legal entity operating solely through an exchange point based on a license of the National Bank of the Republic of Kazakhstan for foreign currency cash exchange operations (hereinafter – authorized organization)

Submission deadline: 1 (one) time per half-year, no later than the 20th (twentieth) day of the month following the reporting half-year

Form

(full name of the authorized organization)

continuation of the table:


Citizenship	Potential Transaction Volume in Tenge	Potential Transaction Volume in Foreign Currency (if not otherwise specified)	Operation Code	Currency Type	Date of Refusal
8	9	10	11	12	13

Name______

Address ______

Phone ______

Email Address ______

Executor ______ ______

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

Head or person entrusted with the function of signing the report ______ ______

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

Date "____" ______ 20 year

Appendix

to the form of the report on refusals to conduct

operations with money and/or other property of physical persons

included in the list of persons associated

with terrorist financing and extremism

Instructions for Completing the Administrative Data Form

Report on Refusals to Conduct Operations

with Money and/or Other Property of Physical Persons Included in the List of Persons Associated with Terrorist Financing and Extremism

(index – AML-R1, frequency – semi-annual)

Chapter 1. General Provisions

These Instructions (hereinafter – Instructions) define the unified requirements for completing the form intended for the collection of administrative data "Report on Refusals to Conduct Operations with Money and/or Other Property of Physical Persons Included in the List of Persons Associated with Terrorist Financing and Extremism" (hereinafter – Form).
The Form is developed in accordance with Subparagraph 65-2) of Part Two of Article 15 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan" and Subparagraph 2) of Paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics".
The Form is compiled by the authorized organization 1 (one) time per half-year. Data in the Form is filled in tenge, unless otherwise specified.
The Form is signed by the head or person entrusted with the function of signing the report.

Chapter 2. Instructions for Completing the Form

Regarding the form:

1) in column 4, the individual identification number (12 digits) is indicated, mandatory for citizens of the Republic of Kazakhstan and, if available, for foreigners or stateless persons;

2) in column 5, taking into account the features of Paragraph 3 of Article 6 of the Law of the Republic of Kazakhstan "On Documents Confirming Identity" (hereinafter – Law on Documents Confirming Identity), the name of one of the identity documents provided for by Paragraph 1 of Article 6 of the Law on Documents Confirming Identity, or the Directory of Codes of Identity Documents, approved by Appendix 5 to the Rules for Submission by Subjects of Financial Monitoring of Information and Data on Operations Subject to Financial Monitoring and Signs of Determining a Suspicious Operation, approved by the Order of the Chairman of the Agency of the Republic of Kazakhstan for Financial Monitoring dated February 22, 2022 No. 13, registered in the Registry of State Registration of Normative Legal Acts under No. 26924 (hereinafter – Rules for Submission by Subjects of Financial Monitoring of Information and Data on Operations Subject to Financial Monitoring);

3) in columns 6 and 7, data of the identity document is indicated in accordance with Subparagraph 8) of Paragraph 1 of Article 7 of the Law on Documents Confirming Identity (issue date and number of the identity document);

4) for citizens of the Republic of Kazakhstan, columns 5, 6, and 7 are not filled;

5) in column 8, the two-letter code of the country of citizenship is indicated in accordance with the identity document (not indicated for stateless persons) in accordance with the National Classifier of the Republic of Kazakhstan NK RK 06 ISO 3166-1 "Codes for Representing Country Names and Units of Their Administrative-Territorial Divisions. Part 1. Country Codes";

6) in column 10, the amount in foreign currency units is indicated (for operations with precious metals, the volume in grams is indicated);

7) in column 11, the following four-digit operation code is indicated in accordance with the Directory of Codes of Operations Subject to Financial Monitoring, approved by Appendix 6 to the Rules for Submission by Subjects of Financial Monitoring of Information and Data on Operations Subject to Financial Monitoring:

0211 – purchase by the client of cash foreign currency through exchange points;

0221 – sale by the client of cash foreign currency through exchange points;

1711 – purchase by the client of precious metals;

1721 – sale by the client of precious metals;

8) in column 12, alphabetic currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for Representing Currencies and Funds";

9) in column 13, the date of refusal is indicated in the format "DD.MM.YYYY.".

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

Appendix 3

to Resolution of the Board

of the National Bank

of the Republic of Kazakhstan

dated July 20, 2020 No. 91

Form

Form intended for the collection of administrative data

Submitted to: the territorial branch of the National Bank of the Republic of Kazakhstan

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

Report on the Conduct of Operations with Money and/or Other Property of Physical Persons

Administrative data form index: AML-R2

Frequency: semi-annual

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

Submission deadline: 1 (one) time per half-year, no later than the 20th (twentieth) day of the month following the reporting half-year

Form

(full name of the authorized organization)

continuation of the table:

Name ______

Address ______

Phone ______

Email Address ______

Executor ______ ______

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

Head or person entrusted with the function of signing the report ______ ______

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

Date "____" ______ 20 year

Appendix

to the form of the report on the conduct of operations

with money and/or other property of physical persons

Instructions for Completing the Administrative Data Form

Report on the Conduct of Operations with Money and/or Other Property of Physical Persons

(index – AML-R2, frequency – semi-annual)

Chapter 1. General Provisions

These Instructions define the unified requirements for completing the form intended for the collection of administrative data "Report on the Conduct of Operations with Money and/or Other Property of Physical Persons" (hereinafter – Form).
The Form is developed in accordance with Subparagraph 65-2) of Part Two of Article 15 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan" and Subparagraph 2) of Paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics".
The Form is compiled by the authorized organization 1 (one) time per half-year. Data in the Form is filled in tenge, unless otherwise specified.
The Form is signed by the head or person entrusted with the function of signing the report.

Chapter 2. Instructions for Completing the Form

The Form reflects operations for the purchase and/or sale of cash foreign currency or precious metals conducted through exchange points:

1) by citizens of the Republic of Kazakhstan for an amount exceeding 2,000,000 (two million) tenge;

2) by foreigners or stateless persons – without establishing a threshold amount.

The Form does not reflect operations with affiliated persons of the authorized organization specified in Appendix 4 to this Resolution.

Regarding the form:

1) in column 4, the individual identification number (12 digits) is indicated, mandatory for citizens of the Republic of Kazakhstan and, if available, for foreigners or stateless persons;

4) for citizens of the Republic of Kazakhstan, columns 5, 6, and 7 are not filled;

6) in column 10, the amount in foreign currency is indicated (for operations with precious metals, the volume in grams is indicated);

0211 – purchase by the client of cash foreign currency through exchange points;

0221 – sale by the client of cash foreign currency through exchange points;

1711 – purchase by the client of precious metals;

1721 – sale by the client of precious metals;

8) in column 12, alphabetic currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for Representing Currencies and Funds";

9) in column 13, the following codes for the country of citizenship of the physical person are indicated:

"1" – the country of citizenship of the physical person is included in the list of states (territories) that do not perform and/or insufficiently perform the recommendations of the Financial Action Task Force (FATF);

"2" – the country of citizenship of the physical person is one of the following countries characterized as offshore zones:

United States of America (only in part of the territories of the U.S. Virgin Islands, the state of Wyoming, the island of Guam, the state of Delaware, and the Commonwealth of Puerto Rico);

Principality of Andorra;

State of Antigua and Barbuda;

Commonwealth of The Bahamas;

State of Barbados;

State of Belize;

State of Brunei Darussalam;

United Republic of Tanzania;

Republic of Vanuatu;

Republic of Guatemala;

State of Grenada;

Republic of Djibouti;

Commonwealth of Dominica;

Dominican Republic;

New Zealand (only in part of the territories of the Cook Islands and Niue);

Spain (only in part of the territory of the Canary Islands);

Federal Islamic Republic of the Comoros;

Cooperative Republic of Guyana;

Republic of Costa Rica;

People's Republic of China (only in part of the territories of the Special Administrative Region of Macau);

Republic of Liberia;

Lebanese Republic;

Principality of Liechtenstein;

Islamic Republic of Mauritania;

Malaysia (only in part of the territory of the Labuan enclave);

Maldives;

Republic of Malta;

Marianas Islands;

Republic of the Marshall Islands;

Kingdom of Morocco (only in part of the territory of the city of Tangier);

Union of Myanmar;

Republic of Nauru;

Federal Republic of Nigeria;

Netherlands (only in part of the territory of the island of Aruba and dependent territories of the Antilles);

Republic of Palau;

Republic of Panama;

Portugal (only in part of the territory of the Madeira Islands);

Independent State of Samoa;

Republic of the Seychelles;

State of Saint Vincent and the Grenadines;

Federation of Saint Kitts and Nevis;

State of Saint Lucia;

Republic of Suriname;

Kingdom of Tonga;

Republic of Trinidad and Tobago;

United Kingdom of Great Britain and Northern Ireland (only in part of the territories of the Anguilla Island, the Bermuda Islands, the British Virgin Islands, Gibraltar, the Cayman Islands, the Montserrat Island, the Turks and Caicos Islands);

Sovereign Democratic Republic of Fiji;

Republic of the Philippines;

French Republic (only in part of the territories of French Guiana and French Polynesia);

Republic of Montenegro;

Democratic Republic of Sri Lanka;

Jamaica;

"3" – the country of citizenship of the physical person is a foreign state (territory) regarding which an international sanction (embargo) has been applied, adopted by a resolution of the United Nations Security Council;

"4" – the country of citizenship of the physical person is not a state falling under the above country affiliation codes.

If the country of citizenship of the physical person falls under two or more country affiliation codes, all applicable codes are indicated. For example, if the country affiliation codes are "1" and "2", then "1, 2" is indicated.

For stateless persons, indication of the above signs is not required;

10) in column 14, the date of the operation is indicated in the format "DD.MM.YYYY.".

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

Appendix 4

to Resolution of the Board

of the National Bank

of the Republic of Kazakhstan

dated July 20, 2020 No. 91

Form

Form intended for the collection of administrative data

Submitted to: the territorial branch of the National Bank of the Republic of Kazakhstan

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

Report on Affiliated Persons of a Legal Entity,

Operating Exclusively Through an Exchange Point

Based on the License of the National Bank of the Republic of Kazakhstan

for Foreign Currency Cash Exchange Operations, and Their Transactions with Money and/or Other Property

Administrative data form index: AML-R3

Frequency: Semi-annual

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

Reporting entity: Legal entity operating exclusively through an exchange point based on the license of the National Bank of the Republic of Kazakhstan for foreign currency cash exchange operations (hereinafter – the authorized organization)

Submission deadline: 1 (one) time per half-year, no later than the 20th (twentieth) day of the month following the reporting half-year

Form

(full name of the authorized organization)

Table 1. Transactions (operations) with natural persons who are affiliated persons of the authorized organization, concluded during the reporting half-year

continuation of the table:


Citizenship	Transaction Volume in Tenge	Transaction Volume in Foreign Currency (if not specified otherwise)	Operation Code	Currency Type	Date of Transaction
8	9	10	11	12	13
…

continuation of the table:


Weighted Average Exchange Rate for All Transactions on the Day of Transaction with the Affiliated Person	Maximum Exchange Rate for All Transactions on the Day of Transaction by the Affiliated Person	Minimum Exchange Rate for All Transactions on the Day of Transaction by the Affiliated Person	Exchange Rate for the Affiliated Person
14	15	16	17
---	---	---	---
…

continuation of the table:


Indicator by which the person is classified as an affiliated person in accordance with Article 12-1 of the Law of the Republic of Kazakhstan dated April 22, 1998 "On Limited and Additional Liability Partnerships"
18

…

Table 2. Register of Affiliated Persons of the Authorized Organization


No.	Business Identification Number of the Legal Entity	Name of the Legal Entity	Country of Registration	Indicator by which the person is classified as an affiliated person in accordance with Article 12-1 of the Law of the Republic of Kazakhstan dated April 22, 1998 "On Limited and Additional Liability Partnerships"
1	2	3	4	5
1
…

Name ______

Address ______

Phone ______

Email Address ______

Executor ______ ______

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

Head or person entrusted with the function of signing the report ______ ______

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

Date "____" ______ 20 year

Appendix

to the report form

on affiliated persons of a legal entity,

operating exclusively

through an exchange point based on the license

of the National Bank of the Republic of Kazakhstan

for foreign currency cash exchange

operations, and their transactions with money

and/or other property

Explanation on filling out the administrative data form Report on Affiliated Persons of a Legal Entity Operating Exclusively Through an Exchange Point Based on the License of the National Bank of the Republic of Kazakhstan for Foreign Currency Cash Exchange Operations, and Their Transactions with Money and/or Other Property (index – AML-R3, frequency – semi-annual)

Chapter 1. General Provisions

This explanation defines the unified requirements for filling out the form intended for the collection of administrative data "Report on Affiliated Persons of a Legal Entity Operating Exclusively Through an Exchange Point Based on the License of the National Bank of the Republic of Kazakhstan for Foreign Currency Cash Exchange Operations, and Their Transactions with Money and/or Other Property" (hereinafter – the Form).
The Form is developed in accordance with subparagraph 65-2) of part two of Article 15 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan" and subparagraph 2) of paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics".
The Form is compiled by the authorized organization 1 (one) time per half-year. Data in the Form is filled in tenge, unless otherwise specified.
The Form is signed by the head or the person entrusted with the function of signing the report.

Chapter 2. Explanation on Filling out the Form

Regarding Table 1:

1) in column 4, the individual identification number (12 digits) is indicated, mandatory for citizens of the Republic of Kazakhstan and, if available, – for foreigners or stateless persons;

2) in column 5, taking into account the features of paragraph 3 of Article 6 of the Law of the Republic of Kazakhstan "On Documents Confirming Identity" (hereinafter – the Law on Documents Confirming Identity), the name of one of the documents confirming identity provided for in paragraph 1 of Article 6 of the Law on Documents Confirming Identity or the Directory of Codes of Documents Confirming Identity, approved by Appendix 5 to the Rules for Submission by Subjects of Financial Monitoring of Information and Data on Operations Subject to Financial Monitoring, approved by the Order of the Chairman of the Agency of the Republic of Kazakhstan for Financial Monitoring dated February 22, 2022 No. 13, registered in the Registry of State Registration of Regulatory Legal Acts under No. 26924 (hereinafter – the Rules for Submission by Subjects of Financial Monitoring of Information and Data on Operations Subject to Financial Monitoring);

3) in columns 6 and 7, data of the document confirming identity is indicated in accordance with subparagraph 8) of paragraph 1 of Article 7 of the Law on Documents Confirming Identity;

4) for citizens of the Republic of Kazakhstan, columns 5, 6, and 7 are not filled;

5) in column 8, the two-letter code of the country of citizenship is indicated in accordance with the document confirming identity (not indicated for stateless persons) in accordance with the National Classifier of the Republic of Kazakhstan NK RK 06 ISO 3166-1 "Codes for the Representation of Country Names and Units of Their Administrative-Territorial Divisions. Part 1. Country Codes";

6) in column 9, the amount in national currency is indicated;

7) in column 10, the amount in units of foreign currency is indicated (for transactions with precious metals, the volume in grams is indicated);

8) in column 11, the following four-digit operation code is indicated in accordance with the Directory of Codes of Operations Subject to Financial Monitoring, approved by Appendix 6 to the Rules for Submission by Subjects of Financial Monitoring of Information and Data on Operations Subject to Financial Monitoring:

0211 – purchase of cash foreign currency by the client through exchange points;

0221 – sale of cash foreign currency by the client through exchange points;

1711 – purchase of precious metals by the client;

1721 – sale of precious metals by the client;

9) in column 12, alphabetic currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the Representation of Currencies and Funds";

10) in column 13, the date of the transaction is indicated in the format "DD.MM.YYYY.";

11) in columns 14, 15, 16, and 17, the weighted average, maximum, and minimum exchange rates (price) of purchase and/or sale for all transactions concluded on the day of the deal with the affiliated person, and the exchange rate (price per one gram of precious metal) for the affiliated person are indicated, respectively, depending on the type of operation indicated in column 11;

12) in column 18, the indicator by which the person is classified as an affiliated person in accordance with paragraph 2 of Article 12-1 of the Law of the Republic of Kazakhstan "On Limited and Additional Liability Partnerships" (hereinafter – the Law on LLPs) is indicated:

"1" – founders, participants (natural persons);

"2" – close relatives, spouse (spouse), close relatives of the spouse (spouses) of natural persons specified in subparagraphs 1), 3), and 9) of paragraph 2 of Article 12-1 of the Law on LLPs;

"3" – officials of the partnership or legal entities specified in subparagraphs 1), 4), 5), 6), 7), 8), 9), 10), and 11) of paragraph 2 of Article 12-1 of the Law on LLPs;

"4" – a natural person associated with the partnership by a contract under which it has the right to determine decisions made by the partnership;

"5" – a natural person who independently or jointly with their affiliated persons owns, uses, or disposes of ten or more percent of voting shares (shares in the authorized capital) of legal entities specified in subparagraphs 1), 4), 5), 6), 7), 8), 9), and 11) of paragraph 2 of Article 12-1 of the Law on LLPs;

"6" – any other natural person who is an affiliated person of the partnership in accordance with subparagraph 11) of paragraph 2 of Article 12-1 of the Law on LLPs;

Regarding Table 2:

1) in column 2, the business identification number is indicated (with respect to foreign organizations, the column is filled if information is available);

2) in column 4, the two-letter code of the country of registration of the legal entity is indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 06 ISO 3166-1 "Codes for the Representation of Country Names and Units of Their Administrative-Territorial Divisions. Part 1. Country Codes";

3) in column 5, the indicator by which the person is classified as an affiliated person in accordance with paragraph 2 of Article 12-1 of the Law on LLPs is indicated:

"1" – founders, participants (legal entities);

"2" – a legal entity controlled by a founder (participant) or an official of the partnership;

"3" – a legal entity with respect to which a person who is a founder (participant) or an official of the authorized organization is a major shareholder or has the right to a corresponding share in the property;

"4" – a legal entity that is jointly with the authorized organization under the control of a third party;

"5" – a legal entity associated with the authorized organization by a contract under which it has the right to determine decisions made by the authorized organization;

"6" – a legal entity that independently or jointly with its affiliated persons owns, uses, or disposes of ten or more percent of voting shares (shares in the authorized capital) of legal entities specified in subparagraphs 1), 4), 5), 6), 7), 8), 9), and 11) of paragraph 2 of Article 12-1 of the Law on LLPs;

"7" – any other legal entity that is an affiliated person of the authorized organization in accordance with subparagraph 11) of paragraph 2 of Article 12-1 of the Law on LLPs;

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

Appendix 5

to the Resolution of the Board

of the National Bank

of the Republic of Kazakhstan

dated July 20, 2020 No. 91

Form

Form intended for the collection of administrative data

Submitted to: Territorial Branch of the National Bank of the Republic of Kazakhstan

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

Report on Money Transfers via Bank Accounts of a Legal Entity Operating Exclusively Through an Exchange Point Based on the License of the National Bank of the Republic of Kazakhstan for Foreign Currency Cash Exchange Operations, Opened in Foreign Banks

Administrative data form index: AML-R4

Frequency: Semi-annual

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

Submission deadline: 1 (one) time per half-year, no later than the 20th (twentieth) day of the month following the reporting half-year

Form

(full name of the authorized organization)


No.	Foreign Bank in Which the Bank Account is Opened
	Name	Country	List of Countries	Identification Code (BIC)	Account Number
1	2	3	4	5	6
1
…

continuation of the table:


Data on Money Transfer				Correspondent Bank
Date	Amount, Currency Units	Currency Code	Transfer Indicator	Name	Country	List of States (Territories) or State (Territory)	Identification Code (BIC)
7	8	9	10	11	12	13	14
…

Name ______

Address ______

Phone ______

Email Address ______

Executor ______ ______

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

Head or person entrusted with the function of signing the report ______ ______

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

Date "____" ______ 20 year

Appendix to the form

report on money transfers

via bank accounts

of a legal entity operating

exclusively through

an exchange point based on the license

of the National Bank of the Republic of Kazakhstan

for foreign currency cash exchange

operations, opened in foreign banks

Explanation on filling out the administrative data form Report on Money Transfers via Bank Accounts of a Legal Entity Operating Exclusively Through an Exchange Point Based on the License of the National Bank of the Republic of Kazakhstan for Foreign Currency Cash Exchange Operations, Opened in Foreign Banks (index – AML-R4, frequency – semi-annual)

Chapter 1. General Provisions

This explanation defines the unified requirements for filling out the form intended for the collection of administrative data "Report on Transfers via Bank Accounts of a Legal Entity Operating Exclusively Through an Exchange Point Based on the License of the National Bank of the Republic of Kazakhstan for Foreign Currency Cash Exchange Operations, Opened in Foreign Banks" (hereinafter – the Form).
The Form is developed in accordance with subparagraph 65-2) of part two of Article 15 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan" and subparagraph 2) of paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics".
The Form is compiled by the authorized organization 1 (one) time per half-year. Data in the Form is filled in tenge, unless otherwise specified (filled with quantitative or qualitative information).
The Form is signed by the head or the person entrusted with the function of signing the report.

Chapter 2. Explanation on Filling out the Form

Regarding the form:

1) in columns 3 and 12, the two-letter code of the country of registration of the bank is indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 06 ISO 3166-1 "Codes for the Representation of Country Names and Units of Their Administrative-Territorial Divisions. Part 1. Country Codes";

2) in columns 4 and 13, the following codes of the bank's country affiliation are indicated:

"1" – the bank's country is included in the list of states (territories) that do not perform and/or insufficiently perform the recommendations of the Financial Action Task Force (FATF);

"2" – the bank's country is one of the following countries characterized as offshore zones:

United States of America (only in part of the territories of the American Virgin Islands, the state of Wyoming, the island of Guam, the state of Delaware, and the Commonwealth of Puerto Rico);

Principality of Andorra;

State of Antigua and Barbuda;

Commonwealth of The Bahamas;

State of Barbados;

State of Belize;

State of Brunei Darussalam;

United Republic of Tanzania;

Republic of Vanuatu;

Republic of Guatemala;

State of Grenada;

Republic of Djibouti;

Commonwealth of Dominica;

Dominican Republic;

New Zealand (only in part of the territories of the Cook Islands and Niue);

Spain (only in part of the territory of the Canary Islands);

Federal Islamic Republic of the Comoros;

Cooperative Republic of Guyana;

Republic of Costa Rica;

People's Republic of China (only in part of the territories of the Special Administrative Region of Macau);

Republic of Liberia;

Lebanese Republic;

Principality of Liechtenstein;

Islamic Republic of Mauritania;

Malaysia (only in part of the territory of the Labuan enclave);

Maldives;

Republic of Malta;

Marianas Islands;

Republic of the Marshall Islands;

Kingdom of Morocco (only in part of the territory of the city of Tangier);

Union of Myanmar;

Republic of Nauru;

Federal Republic of Nigeria;

Netherlands (only in part of the territory of the island of Aruba and dependent territories of the Antilles);

Republic of Palau;

Republic of Panama;

Portugal (only in part of the territory of the Madeira Islands);

Independent State of Samoa;

Republic of Seychelles;

State of Saint Vincent and the Grenadines;

Federation of Saint Kitts and Nevis;

State of Saint Lucia;

Republic of Suriname;

Kingdom of Tonga;

Republic of Trinidad and Tobago;

United Kingdom of Great Britain and Northern Ireland (only in part of the territories of the Island of Anguilla, the Bermuda Islands, the British Virgin Islands, Gibraltar, the Cayman Islands, the island of Montserrat, the Turks and Caicos Islands);

Sovereign Democratic Republic of Fiji;

Republic of the Philippines;

French Republic (only in part of the territories of French Guiana and French Polynesia);

Republic of Montenegro;

Democratic Republic of Sri Lanka;

Jamaica;

"3" – the bank's country is a state (territory) with respect to which an international sanction (embargo) has been applied by a resolution of the United Nations Security Council;

"4" – the bank's country is not a country falling under the above-mentioned codes of the bank's country affiliation.

If the bank's country falls under two or more codes of the bank's country affiliation, then all affiliation codes under which the bank's country falls are indicated. For example, if the country affiliation codes are "1" and "2", then "1, 2" is indicated;

3) in columns 5 and 14, the bank identification code is indicated in accordance with the international standard ISO 9362: BIC (Bank Identifier Codes), which consists of 8 characters;

4) in column 6, the account number assigned by the National Bank of the Republic of Kazakhstan in accordance with Article 16 of the Law of the Republic of Kazakhstan "On Currency Regulation and Currency Control" is indicated;

5) in column 7, the date of the transfer is indicated in the format "DD.MM.YYYY.";

6) in column 8, the amount in units of foreign currency is indicated;

7) in column 9, alphabetic currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the Representation of Currencies and Funds";

8) in column 10, the following operation indicators are indicated: "1" – for transfers sent from a bank account opened in a foreign bank, "2" – for transfers received to a bank account opened in a foreign bank. When making transfers between bank accounts opened in a foreign bank (foreign banks), such transfers are reflected in the report twice – separately for each bank account.

In the absence of quantitative information, zero values are indicated in the Form.

Appendix 6

to the Resolution of the Board

of the National Bank

of the Republic of Kazakhstan

dated July 20, 2020 No. 91

Rules

for Submission by a Legal Entity Operating Exclusively Through an Exchange Point Based on the License of the National Bank of the Republic of Kazakhstan for Foreign Currency Cash Exchange Operations, of Reports on Compliance with the Legislation of the Republic of Kazakhstan on Countering the Legalization (Money Laundering) of Proceeds Obtained by Criminal Means and Financing of Terrorism

The Rules for Submission of Reports by a Legal Entity Operating Exclusively Through an Exchange Point Based on the License of the National Bank of the Republic of Kazakhstan for Foreign Currency Cash Exchange Operations (hereinafter – the authorized organization) are developed in accordance with subparagraph 65-2) of part two of Article 15 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan" and define the procedure for submitting reports by the authorized organization to the National Bank of the Republic of Kazakhstan (hereinafter – the National Bank).
Quantitative data in the reports submitted by the authorized organization are indicated in the national currency of the Republic of Kazakhstan – tenge, as well as in foreign currency.
The detection by the National Bank of errors (within-form and between-form control) is grounds for returning the report to the authorized organization for correction.
The authorized organization (its branch) submits to the territorial branch of the National Bank 1 (one) time per half-year in electronic format the reports provided for in Appendix 1 to this Resolution using information systems in compliance with electronic digital signature confirmation procedures, no later than the 20th (twentieth) day of the month following the reporting half-year.

If the deadline for submitting the report established by this paragraph falls on a non-working day, then the date of the end of the reporting deadline is considered to be the next working day.

If the deadline for submitting the report established by this paragraph falls during the period of a state of emergency on the entire territory of the Republic of Kazakhstan or the territory where the authorized organization (its branch) is located, then the date of the end of the reporting deadline is considered to be the tenth working day following the day of expiration of the state of emergency on the entire territory of the Republic of Kazakhstan or the territory where the authorized organization (its branch) is located.

The completeness and accuracy of data in the reporting are ensured by the head of the organization or the person to whom the function of signing the report has been assigned.
In the event of voluntary liquidation of an authorized organization, the reporting is submitted to the National Bank by the date of notification (inclusive) of the decision of the territorial branch of the National Bank on the voluntary liquidation of the authorized organization.