Resolution of the Board of the National Bank of the Republic of Kazakhstan dated March 31, 2026 No. 29 "On Amendments to Certain Resolutions of the Board of the National Bank of the Republic of Kazakhstan on Currency Regulation and Currency Control" — NBK — KZ


NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN		RESOLUTION OF THE BOARD
March 31, 2026 Astana city		No. 29 Astana city

On Amendments to Certain Resolutions

of the Board of the National Bank of the Republic of Kazakhstan

on Currency Regulation and Currency Control

The Board of the National Bank of the Republic of Kazakhstan RESOLVES:

Approve the attached list of certain resolutions of the Board of the National Bank of the Republic of Kazakhstan on currency regulation and currency control, to which amendments are made (hereinafter – the List).
The Balance of Payments Department of the National Bank of the Republic of Kazakhstan shall, in the manner established by the legislation of the Republic of Kazakhstan, ensure:

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

2) publication 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 the National Bank of the Republic of Kazakhstan of information on the implementation of the measure provided for in subparagraph 2) of this paragraph.

Supervision over the implementation of this resolution shall be entrusted to the Deputy Chairman of the National Bank of the Republic of Kazakhstan in charge of the relevant area.
This resolution shall enter into force upon the expiration of ten calendar days after the day of its first official publication.

Suspend until July 12, 2026, the effect of:

the second part of subparagraph 1) of paragraph 12 of Appendix 7 of the List, establishing that during the suspension period, this part shall operate in the following wording:

"Authorized banks, professional participants of the securities market acting as currency control agents, use data from the digital documents service provided that the owner has given consent from the user account on the "e-government" web portal, as well as via the owner's registered mobile subscriber number on the "e-government" web portal by transmitting a one-time password or by sending a short text message in response to a notification from the "e-government" web portal;";

the first part of paragraph 2 of Appendix 8 of the List, establishing that during the suspension period, this part shall operate in the following wording:

"2. Concepts and terms used in these Rules are applied in the meanings specified in the Law of the Republic of Kazakhstan "On Electronic Documents and Electronic Digital Signatures" and in the Law of the Republic of Kazakhstan "On Currency Regulation and Currency Control" (hereinafter – the Law on Currency Regulation and Currency Control).";

paragraph 32 of Appendix 8 of the List, establishing that during the suspension period, this paragraph shall operate in the following wording:

"32. Banks, branches of banks - non-residents of the Republic of Kazakhstan carrying out activities on the territory of the Republic of Kazakhstan, submit to the National Bank the information required in accordance with the Rules (documents, information, reports) electronically through the information system of the National Bank of the Republic of Kazakhstan in compliance with procedures for authentication using an electronic digital signature."


Chairman	T.M. Suleimenov

AGREED

Bureau of National Statistics

Agency for Strategic Planning and Reforms

of the Republic of Kazakhstan

AGREED

Ministry of Foreign Affairs

of the Republic of Kazakhstan

AGREED

Ministry of Finance

of the Republic of Kazakhstan

Copy is correct:

Chief Specialist-Secretary of the Board Zh. Mukhambetova


Appendix to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated March 31, 2026 No. 29

List

of certain resolutions of the Board of the National Bank

of the Republic of Kazakhstan, to which amendments are made

on currency regulation and currency control

Make the following amendments to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated November 29, 2018 No. 294 "On Approval of the Rules for Monitoring Sources of Demand and Supply in the Domestic Currency Market of the Republic of Kazakhstan" (registered in the Registry of State Registration of Normative Legal Acts under No. 18214):

in the Rules for Monitoring Sources of Demand and Supply in the Domestic Currency Market of the Republic of Kazakhstan, approved by the said Resolution:

paragraph 2 shall be worded as follows:

"2. Monitoring of sources of demand and supply in the domestic currency market of the Republic of Kazakhstan and purposes of use of acquired foreign currency is carried out by collecting information about operations of second-level banks, the Joint Stock Company "Development Bank of Kazakhstan", the National Postal Operator (hereinafter – banks), professional participants of the securities market having a license for foreign currency exchange operations, not being banks, (hereinafter – professional participants) and their clients in the domestic currency market, movement of funds in clients' bank accounts, and money transfers without opening and/or using a bank account in foreign currency.";

paragraph 5 shall be worded as follows:

"5. When preparing reports, classification of operations is carried out in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 31, 2016 No. 203 "On Approval of the Rules for Applying Codes of Economic Sectors and Payment Purposes" (registered in the Registry of State Registration of Normative Legal Acts under No. 14365), taking into account the detailing provided for in the report forms.";

the first paragraph of paragraph 6 shall be worded as follows:

"6. Reports are submitted in electronic form to the central apparatus of the National Bank of the Republic of Kazakhstan (hereinafter – the National Bank) and include:";

Appendices 1, 2, 3, 4, 5, and 6 shall be worded in accordance with Appendices 1, 2, 3, 4, 5, and 6 to this List of certain resolutions of the Board of the National Bank of the Republic of Kazakhstan, to which amendments are made on currency regulation and currency control (hereinafter – the List).

Make the following amendment to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated March 30, 2019 No. 40 "On Approval of the Rules for Conducting Currency Operations in the Republic of Kazakhstan" (registered in the Registry of State Registration of Normative Legal Acts under No. 18512):

the Rules for Conducting Currency Operations in the Republic of Kazakhstan, approved by the said Resolution, shall be worded in a new edition according to Appendix 7 to the List.

Make the following amendment to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 10, 2019 No. 64 "On Approval of the Rules for Monitoring Currency Operations in the Republic of Kazakhstan" (registered in the Registry of State Registration of Normative Legal Acts of the Republic of Kazakhstan under No. 18544):

the Rules for Monitoring Currency Operations in the Republic of Kazakhstan, approved by the said Resolution, shall be worded in a new edition according to Appendix 8 to the List.

Appendix 1

to the List of certain resolutions

of the Board of the National Bank

of the Republic of Kazakhstan, to which

amendments are made

on currency regulation and

currency control

Appendix 1

to the Rules for Monitoring Sources of Demand and Supply

in the Domestic Currency Market of the Republic of Kazakhstan

Form

intended for the collection of administrative data

Submitted to: the National Bank of the Republic of Kazakhstan

Form intended for the collection of administrative data on a gratuitous basis is posted on the Internet resource: www.nationalbank.kz

Name of the administrative form: Summary report on the movement of funds in foreign currency in clients' bank accounts and transfers without opening and/or using a bank account

Index of the form intended for the collection of administrative data on a gratuitous basis: 1-INV

Frequency: Monthly

Reporting period: as of "____" __20 year

List of persons submitting the form intended for the collection of administrative data on a gratuitous basis: second-level banks, Joint Stock Company "Development Bank of Kazakhstan", National Postal Operator

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: monthly until the 10th (tenth) day (inclusive) of the month following the reporting period

BIN: ______

Collection method: in electronic form

in tenge


No.	Name of Indicator	Line Code	Total	residents		non-residents
including for operations: with		including for operations: with
residents	non-residents	residents	non-residents
A	B	V	1	2	3	4	5
Section 1. Receipt of foreign currency on behalf of clients
1	Total	10000
2	including:
3	payments and transfers of funds from counterparties to bank accounts:	11000
4	individuals	11100
5	legal entities	11200
6	including for operations:
7	sale of goods and intangible assets	11210
8	provision of services	11220
9	receipt of principal debt and income on issued loans	11230
10	attraction of loans	11240
11	operations with securities, bills of exchange, and contributions ensuring participation in capital:	11250
12	other money transfers	11260
13	transfers without opening and/or using a bank account	12000
14	transfers by clients of funds from their bank accounts	13000			X	X
15	of which opened in:
16	banks-residents	13001			X	X
17	banks-non-residents	13002			X	X
18	purchase of foreign currency for tenge	14000
19	including:
20	by individuals	14100
21	by legal entities	14200
22	crediting cash foreign currency to bank accounts	15000
23	of which:
24	by individuals	15100
25	by legal entities	15200
Section 2. Withdrawal and/or transfer of foreign currency by clients
26	Total	20000
27	including:
28	payments and transfers of funds from bank accounts to counterparties:	21000
29	individuals	21100
30	legal entities	21200
31	including for operations:
32	purchase of goods and intangible assets	21210
33	receipt of services	21220
34	issuance of loans	21230
35	fulfillment of loan obligations	21240
36	operations with securities, bills of exchange, and contributions ensuring participation in capital:	21250
37	other money transfers	21260
38	transfers without opening and/or using a bank account	22000
39	transfers by clients of funds to their bank accounts	23000			X	X
40	of which opened in:
41	banks-residents	23001			X	X
42	banks-non-residents	23002			X	X
43	sale of foreign currency for tenge	24000
44	including:
45	by individuals	24100
46	by legal entities	24200
47	withdrawal of cash foreign currency from their bank accounts	25000
48	of which:
49	by individuals	25100
50	by legal entities	25200

Name ______ Address ______

Telephone ______

Email Address ______

Executor ______

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

Chief Accountant or person authorized to sign the report

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

First Head or person authorized to sign the report

surname, name and patronymic (if any)signature

Date "__" ______ 20_ year

Note: The form is filled out in accordance with the explanation for filling out the form intended for the collection of administrative data on a gratuitous basis, "Summary Report on the Movement of Funds in Foreign Currency in Clients' Bank Accounts and Transfers Without Opening and/or Using a Bank Account."

Appendix

to form, intended for

the collection of administrative data on

a gratuitous basis, "Summary

Report on the Movement of Funds in Foreign

Currency in Clients' Bank

Accounts and Transfers Without Opening

and/or Using a

Bank Account"

Explanation

on filling out the form intended for the collection

of administrative data on a gratuitous basis

Summary Report on the Movement of Funds in Foreign Currency in Clients' Bank Accounts and Transfers Without Opening and/or Using a Bank Account (index – 1-INV, frequency – monthly)

Chapter 1. General Provisions

This explanation defines uniform requirements for filling out the form intended for the collection of administrative data on a gratuitous basis, "Summary Report on the Movement of Funds in Foreign Currency in Clients' Bank Accounts and Transfers Without Opening and/or Using a Bank Account" (hereinafter – Form 1).
Form 1 is filled out by second-level banks, the Joint Stock Company "Development Bank of Kazakhstan", the National Postal Operator (hereinafter – banks) in terms of sources of receipt and directions of use of foreign currency.
Form 1 consists of two sections:

Section 1 – Receipt of foreign currency on behalf of clients;

Section 2 – Withdrawal and/or transfer of foreign currency by clients.

Data in Form 1 are indicated in the national currency of the Republic of Kazakhstan – tenge.
For the purpose of forming the report, assets in foreign currency are indicated in conversion at the market exchange rate determined on the date of valuation in accordance with paragraph 3 of the Rules for Determining the Market Exchange Rate of Currency, approved by the joint Resolution of the Board of the National Bank of the Republic of Kazakhstan dated September 26, 2025 No. 56 and the Order of the Minister of Finance of the Republic of Kazakhstan dated September 29, 2025 No. 544 "On Approval of the Rules for Determining the Market Exchange Rate of Currency" (registered in the Registry of State Registration of Normative Legal Acts under No. 36983).
Form 1 is signed by the first head or person authorized to sign the report, the chief accountant or person authorized to sign the report, and the executor.

Chapter 2. Explanation on Filling Out Form 1

When filling out Form 1, the following conditions must be met:

column 1 for all lines equals the sum of columns 2, 3, 4, 5;

line with code 10000 = line with code 11000 + line with code 12000 + line with code 13000 + line with code 14000 + line with code 15000;

line with code 11000 = line with code 11100 + line with code 11200;

line with code 11200 = line with code 11210 + line with code 11220 + line with code 11230 + line with code 11240 + line with code 11250 + line with code 11260;

in line with code 11240, loans also include loans attracted by clients from the bank providing the report;

in line with code 11260, other money transfers also include transfers using payment cards;

line with code 13000 = line with code 13001 + line with code 13002;

in line with code 13001, transfers by clients of funds from their bank accounts opened in banks-residents also include transfers by clients of funds from the bank account opened in the bank providing the report (intra-bank transfers);

line with code 14000 = line with code 14100 + line with code 14200;

line with code 15000 = line with code 15100 + line with code 15200;

line with code 20000 = line with code 21000 + line with code 22000 + line with code 23000 + line with code 24000 + line with code 25000;

line with code 21000 = line with code 21100 + line with code 21200;

line with code 21200 = line with code 21210 + line with code 21220 + line with code 21230 + line with code 21240 + line with code 21250 + line with code 21260;

in line with code 21240, operations on fulfilling loan obligations also include operations on fulfilling obligations on loans attracted by clients from the bank providing the report;

in line with code 21260, other money transfers also include transfers using payment cards;

line with code 23000 = line with code 23001 + line with code 23002;

in line with code 23001, transfers by clients of funds to their bank accounts opened in banks-residents also include transfers by clients of funds to their bank accounts opened in the bank providing the report (intra-bank transfers);

line with code 24000 = line with code 24100 + line with code 24200;

line with code 25000 = line with code 25100 + line with code 25200.

Corrections (changes, additions) to data in Form 1 are made until the 20th (twentieth) day (inclusive) of the month following the reporting month.
In the absence of information for the reporting period, Form 1 is submitted with zero values.

Appendix 2

to the List of certain resolutions

of the Board of the National Bank

of the Republic of Kazakhstan, to which

amendments are made

on currency regulation and

currency control

Appendix 2

to the Rules for Monitoring Sources of Demand and Supply

in the Domestic Currency Market of the Republic of Kazakhstan

Form

intended for the collection of administrative data

Submitted to: the National Bank of the Republic of Kazakhstan

Form intended for the collection of administrative data on a gratuitous basis is posted on the Internet resource: www.nationalbank.kz

Name of the administrative form: Report on the purchase (sale) of foreign currency by the bank and its clients

Index of the form intended for the collection of administrative data on a gratuitous basis: 2-INV

Frequency: Monthly

Reporting period: as of "____" __20 year

BIN: ______

Collection method: in electronic form

Section 1. Bank Operations


No.	Name of Indicator	Line Code	Total					including for tenge
Total (tenge)	Of which by currency types (in currency units)				Total (tenge)	Of which by currency types (in currency units)
USD	EUR	RUB	CNY	USD	EUR	RUB	CNY
A	B	V	1	2	3	4	5	6	7	8	9	10
1	Purchase of foreign currency by the bank	110000
2	including:
3	from bank clients	110001
4	at JSC "Kazakhstan Stock Exchange"	110002
5	in the interbank market	110003
6	Sale of foreign currency by the bank	120000
7	including:
8	to bank clients	120001
9	at JSC "Kazakhstan Stock Exchange"	120002
10	in the interbank market	120003
11	Net position on purchase (sale) from clients (to clients) of the bank of foreign currency in clients' operations using payment cards and through money transfer systems	130000	X	X	X	X	X

Section 2. Bank Clients' Operations

in tenge


No.	Name of Indicator	Line Code	Total	including:
for tenge		for other foreign currency
by bank clients
residents	non-residents	residents	non-residents
A	B	V	1	2	3	4	5
1	Purchase of foreign currency by bank clients	210000
2	including:
3	by individuals	211000
4	of which credited to their own bank accounts of clients in foreign currency	211400
5	by legal entities	212000
6	of which credited to their own bank accounts of clients in foreign currency	212400
7	including for purposes:
8	conducting exchange operations with cash foreign currency (authorized organizations)	212410			X		X
9	making payments and money transfers	212420
10	including for operations:
11	purchase of goods and intangible assets	212421
12	receipt of services	212422
13	payment of dividends and other income on equity participation	212423
14	provision (issuance) of loans	212424
15	fulfillment of loan obligations	212425
16	operations with securities	212426
17	other	212427
18	placement in savings deposits in banks-residents	212430
19	transfer of own funds to accounts in banks-non-residents	212440
20	Sale of foreign currency by bank clients	220000
21	including:
22	by individuals	221000
23	of which credited to their own bank accounts of clients in national currency	221400				X	X
24	by legal entities	222000
25	of which credited to their own bank accounts of clients in national currency	222400				X	X

Name ______ Address ______

Telephone ______

Email Address ______

Executor ______

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

Chief Accountant or person authorized to sign the report

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

Head or person authorized to sign the report

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

Date "__" ______ 20_ year

Note: The form is filled out in accordance with the instructions for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on the purchase (sale) of foreign currency by a bank and its clients".

Appendix

to form, intended for

the collection of administrative data

on a gratuitous basis, "Report on

the purchase (sale) of foreign currency

by a bank and its clients"

Explanation

on filling out the form intended for the collection

of administrative data on a gratuitous basis

Report on the purchase (sale) of foreign currency by a bank and its clients (index – 2-INV, frequency – monthly)

Chapter 1. General Provisions

This explanation defines the unified requirements for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on the purchase (sale) of foreign currency by a bank and its clients" (hereinafter – Form 2).
In Form 2, second-level banks, the Joint Stock Company "Bank of Development of Kazakhstan", and the National Postal Operator (hereinafter – banks) reflect the volumes of purchase and sale of foreign currency (Section 1. "Bank Operations") and bank clients (Section 2. "Bank Client Operations").
Form 2 reflects the volumes of purchase and sale of foreign currency, both for tenge and for other currencies, with actual delivery of the base asset on the value date.

Data in Form 2 are indicated in the national currency of the Republic of Kazakhstan – tenge.

For the purpose of forming the report, assets in foreign currency are indicated in conversion at the market exchange rate determined on the value date in accordance with paragraph 3 of the Rules for Determining the Market Exchange Rate, approved by the joint Resolution of the Board of the National Bank of the Republic of Kazakhstan dated September 26, 2025 No. 56 and the Order of the Minister of Finance of the Republic of Kazakhstan dated September 29, 2025 No. 544 "On Approval of the Rules for Determining the Market Exchange Rate" (registered in the Registry of State Registration of Normative Legal Acts under No. 36983).

Form 2 is signed by the head or person authorized to sign the report, the chief accountant or person authorized to sign the report, and the executor.

Chapter 2. Explanation on Filling out Form 2

Column 1 of Section 1 and Section 2 reflects the total volumes of purchased or sold foreign currency in tenge. Columns 2, 3, 4, 5 of Section 1 reflect, respectively, the volumes of US dollars (USD), euros (EUR), Russian rubles (RUB), and Chinese yuan (CNY) purchased and sold for tenge and for other foreign currencies in units of the respective currency. Column 6 of Section 1 reflects the volumes of purchased or sold foreign currency for tenge. Columns 7, 8, 9, 10 of Section 1 reflect, respectively, the volumes of US dollars (USD), euros (EUR), Russian rubles (RUB), and Chinese yuan (CNY) purchased and sold for tenge in units of the respective currency.

To fill out Form 2, data from the bank's journal of registration of transactions in cash and non-cash foreign currency (blotter) are used.

Rows with codes 110000 and 120000 of Section 1 include information on exchange transactions with bank clients (excluding transactions with individuals through the bank's exchange offices) and transactions carried out on the Kazakhstan Stock Exchange and the interbank market.
In Section 2, data are reflected by breakdown of operations for the purchase (sale) of foreign currency for tenge and for other foreign currencies, as well as operations carried out by resident clients and non-resident clients.

Operations of individuals for the purchase (sale) of foreign currency through the bank's exchange offices are not included in Section 2.

When filling out Form 2, the following conditions must be met:

row with code 110000 >= rows with code 110001 + row with code 110002 + row with code 110003;

row with code 120000 >= rows with code 120001 + row with code 120002 + row with code 120003;

in Section 2, column 1 for all rows equals the sum of columns 2, 3, 4, 5;

row with code 210000 = row with code 211000 + row with code 212000;

row with code 211000 >= row with code 211400;

row with code 212000 >= row with code 212400;

row with code 212400 = row with code 212410 + row with code 212420 + row with code 212430 + row with code 212440;

row with code 212420 = row with code 212421 + row with code 212422 + row with code 212423 + row with code 212424 + row with code 212425 + row with code 212426 + row with code 212427;

row with code 220000 = row with code 221000 + row with code 222000;

row with code 221000 >= row with code 221400;

row with code 222000 >= row with code 222400.

When filling out Form 2, the following data reconciliation between Form 2 and Form 1 is ensured:

row with code 211400 column 2 of Form 2 = row with code 14100 (column 2 + column 3) of Form 1;

row with code 211400 column 3 of Form 2 = row with code 14100 (column 4 + column 5) of Form 1;

row with code 212400 column 2 of Form 2 = row with code 14200 (column 2 + column 3) of Form 1;

row with code 212400 column 3 of Form 2 = row with code 14200 (column 4 + column 5) of Form 1;

row with code 221400 column 2 of Form 2 = row with code 24100 (column 2 + column 3) of Form 1;

row with code 221400 column 3 of Form 2 = row with code 24100 (column 4 + column 5) of Form 1;

row with code 222400 column 2 of Form 2 = row with code 24200 (column 2 + column 3) of Form 1;

row with code 222400 column 3 of Form 2 = row with code 24200 (column 4 + column 5) of Form 1.

Row with code 130000 of Section 1 includes the net position on the purchase (sale) from clients (to clients) of the bank of foreign currency for tenge, accompanying client operations using payment cards and through money transfer systems, where the purchased currency is not credited to the client's bank account. Data are reflected on a net basis with a positive value for net purchase and a negative sign for net sale.
Corrections (changes, additions) to data in Form 2 are made until the 20th (twentieth) day (inclusive) of the month following the reporting month.
In the absence of information for the reporting period, Form 2 is submitted with zero values.

Appendix 3

to the List of Certain Resolutions

of the Board of the National Bank

of the Republic of Kazakhstan, to which

amendments are made

on issues of currency regulation and

currency control

Appendix 3

to the Rules for Monitoring Sources of Demand and Supply in the Domestic Foreign Exchange Market of the Republic of Kazakhstan

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The form intended for the collection of administrative data on a gratuitous basis is posted on the internet resource: www.nationalbank.kz

Name of the administrative form: report on the movement of funds in clients' bank accounts in foreign currency

Index of the form intended for the collection of administrative data on a gratuitous basis: 3-INV

Frequency: monthly

Reporting period: as of "____" __20 year

Circle of persons submitting the form intended for the collection of administrative data on a gratuitous basis: second-level banks, Joint Stock Company "Bank of Development of Kazakhstan", National Postal Operator

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: monthly until the 10th (tenth) day (inclusive) of the month following the reporting period

BIN: ______

Collection method: in electronic form

in currency units


No	No		Total					1					…
Client Name	Row Code	Total (tenge)	of which by currency types (in currency units)				Total (tenge)	of which by currency types (in currency units)				Total (tenge)	of which by currency types (in currency units)
Client Business Identification Number (BIN)
Indicator Name \Bank Account Currency	U S D	E U R	R U B	C N Y	U S D	E U R	R U B	C N Y	U S D	E U R	R U B	C N Y
A	B	C	1	2	3	4	5	6	7	8	9	10	11	12	13	14	15
1	Balance at the beginning of the period	100000
2	Receipts into clients' bank accounts in foreign currency, total	210000
3	of which from:
4	residents	211000
5	of which for operations:
6	sale of goods and intangible assets	211110
7	provision of services	211120
8	receipt of principal and income on loans granted	211130
9	attraction of loans from resident banks	211140
10	transactions in securities, bills and contributions ensuring participation in capital:	211150
11	other money transfers	211160
12	non-residents	212000
13	of which for operations:
14	sale of goods and intangible assets	212110
15	provision of services	212120
16	receipt of principal and income on loans granted	212130
17	attraction of loans	212140
18	transactions in securities, bills and contributions ensuring participation in capital:	212150
19	other money transfers	212160
20	transfers of money by clients from their bank accounts	210300
21	of which opened in:
22	resident banks	210301
23	non-resident banks	210302
24	purchase of foreign currency for tenge	210400
25	crediting of cash foreign currency to their bank accounts	210500
26	Withdrawal of money from clients' bank accounts in foreign currency, total	220000
27	of which in favor of:
28	residents	221000
29	of which for operations:
30	purchase of goods and intangible assets	221110
31	receipt of services	221120
32	granting of loans	221130
33	fulfillment of obligations on loans attracted from resident banks	221140
34	transactions in securities, bills and contributions ensuring participation in capital:	221150
35	other money transfers	221160
36	non-residents	222000
37	of which for operations:
38	purchase of goods and intangible assets	222110
39	receipt of services	222120
40	granting of loans	222130
41	fulfillment of loan obligations	222140
42	transactions in securities, bills and contributions ensuring participation in capital:	222150
43	other money transfers	222160
44	transfers of money by clients to their bank accounts	220300
45	of which opened in:
46	resident banks	220301
47	non-resident banks	220302
48	sale of foreign currency for tenge	220400
49	withdrawal of cash foreign currency from their bank accounts	220500
50	Balance at the end of the period	300000
51	Purchase of foreign currency (including for other foreign currency), total	410400
52	Sale of foreign currency (including for other foreign currency), total	420400

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 to sign the report

surname, first name and patronymic (if any) signature

Date "__" ______ 20_ year

Note: The form is filled out in accordance with the instructions for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on the movement of funds in foreign currency in client bank accounts."

Appendix

to form, intended for

the collection of administrative data

on a gratuitous basis, "Report

on the movement of funds in foreign currency

in client bank accounts"

Explanation

on filling out the form intended for the collection

of administrative data on a gratuitous basis

Report on the movement of funds in foreign currency in client bank accounts (index – 3-INV, frequency – monthly)

Chapter 1. General Provisions

This explanation defines the unified requirements for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on the movement of funds in foreign currency in client bank accounts" (hereinafter – Form 3).
Form 3 is compiled by second-tier banks, JSC "Development Bank of Kazakhstan", National Post Operator (hereinafter – banks) for client bank operations, the list of which is formed and updated by the National Bank of the Republic of Kazakhstan (hereinafter – National Bank), based on the volume of currency operations performed by them (hereinafter – List of Clients).

The List of Clients includes bank clients whose operations ensure the main volumes of supply of foreign currency or demand for foreign currency in the domestic currency market.

The List of Clients is updated by the National Bank and, as it is updated, is brought to the attention of the bank in writing.

For the purpose of compiling the report, assets in foreign currency are indicated in conversion at the market exchange rate determined on the date of valuation in accordance with paragraph 3 of the Rules for determining the market exchange rate of currency, approved by joint Resolution of the Board of the National Bank of the Republic of Kazakhstan dated September 26, 2025 No. 56 and Order of the Minister of Finance of the Republic of Kazakhstan dated September 29, 2025 No. 544 "On Approval of the Rules for Determining the Market Exchange Rate of Currency" (registered in the Registry of State Registration of Normative Legal Acts under No. 36983).
Form 3 is signed by the head of the organization or person authorized to sign the report, the chief accountant or person authorized to sign the report, and the executor.

Chapter 2. Explanation on filling out Form 3

Form 3 is filled out for each bank client included in the List of Clients. Form 3 reflects the general state of bank clients' foreign currency bank accounts: balances at the beginning and end of the period with the allocation of changes during the reporting period that occurred as a result of operations on bank clients' accounts, including those opened in the following currencies: US dollars, euros, Russian rubles, and Chinese yuan. Data for the final column are filled out in tenge, and columns by currency types are filled out in units of the bank account currency.
When filling out Form 3, in the event that the bank makes a payment (transfer) of the client in a currency other than the currency of the bank account, the payment (transfer) is reflected with the true purpose, and not as a currency conversion.
When filling out Form 3, the following conditions must be met:

for all rows of the table, columns 1, 2, 3, 4, 5 are equal to the sum of values for all clients;

row with code 100000 = rows with code 300000 for the previous reporting period;

row with code 300000 = row with code 100000 + (row with code 210000 - row with code 210400) + row with code 410400 - (row with code 220000 - row with code 220400) - row with code 420400 (Inequality in the row with code 300000 is allowed in cases of exchange rate difference in the "Total (tenge)" columns;

row with code 210000 = row with code 211000 + row with code 212000 + row with code 210300 + row with code 210400 + row with code 210500;

row with code 211000 = row with code 211110 + row with code 211120 + row with code 211130 + row with code 211140 + row with code 211150 + row with code 211160;

in the row with code 211140, operations on attracting loans from resident banks also include loans attracted from the bank providing the report;

row with code 212000 = row with code 212110 + row with code 212120 + row with code 212130 + row with code 212140 + row with code 212150 + row with code 212160;

row with code 210300 = row with code 210301 + row with code 210302;

in the row with code 210301, transfers of money by clients from their bank accounts opened in resident banks also include transfers of money from the bank account opened in the bank providing the report (intra-bank transfers);

row with code 220000 = row with code 221000 + row with code 222000 + row with code 220300 + row with code 220400 + row with code 220500;

row with code 221000 = row with code 221110 + row with code 221120 + row with code 221130 + row with code 221140 + row with code 221150 + row with code 221160;

in the row with code 221140, operations on fulfilling obligations on loans attracted from resident banks also include operations on fulfilling obligations on loans attracted from the bank providing the report;

row with code 222000 = row with code 222110 + row with code 222120 + row with code 222130 + row with code 222140 + row with code 222150 + row with code 222160;

row with code 220300 = row with code 220301 + row with code 220302;

in the row with code 220301, transfers of money by clients to their bank accounts opened in resident banks also include transfers of money by clients to their bank account opened in the bank providing the report (intra-bank transfers).

Corrections (changes, additions) to data in Form 3 are made until the 20th (twentieth) day (inclusive) of the month following the reporting month.
In the absence of information for the reporting period, Form 3 is submitted with zero values.

Appendix 4

to the List of certain resolutions

of the Board of the National Bank

of the Republic of Kazakhstan, to which

amendments are made

on issues of currency regulation and

currency control

Appendix 4

to the Rules for monitoring sources of demand and supply in the domestic currency market of the Republic of Kazakhstan

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

The form intended for the collection of administrative data on a gratuitous basis is posted on the Internet resource: www.nationalbank.kz

Name of the administrative form: report on bank clients' operations with large volumes of foreign currency purchases

Index of the form intended for the collection of administrative data on a gratuitous basis: 4-INV

Frequency: monthly

Reporting period: as of "____" __20 year

Circle of persons submitting the form intended for the collection of administrative data on a gratuitous basis: second-tier banks, JSC "Development Bank of Kazakhstan", National Post Operator

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: monthly until the 10th (tenth) day (inclusive) of the month following the reporting period

BIN: ______

Collection method: in electronic form


No.	Client Name	Line Code	Total
Client Business Identification Number (BIN)	Total (tenge)	of which by currency types (in currency units)
Indicator Name	USD	EUR	RUB	CNY
A	B	V	1	2	3	4	5
Section 1. Purchase and sale of foreign currency (all types of currencies)
1	Purchase of foreign currency, total	212100
2	including:
3	credited to current account in foreign currency	212101
4	credited to savings account in foreign currency	212102
5	transferred to own accounts in other resident banks	212103
6	transferred to other persons' accounts in resident banks	212104
7	transferred to other persons' accounts in non-resident banks	212105
8	transferred to own accounts in non-resident banks	212106
9	issued in cash	212107
10	Sale of foreign currency, total	222100
11	including:
12	for other foreign currency	222120
13	for tenge	222110
14	of which credited to bank accounts in national currency	222111
Section 2. Purposes of purchasing foreign currency for national currency
15	Purchase of foreign currency for tenge, total	121100
16	including by purpose:
17	purchase of goods and intangible assets	121101
18	receipt of services	121102
19	payment of dividends and other income from equity participation	121103
20	provision (issuance) of loans	121104
21	fulfillment of loan obligations	121105
22	securities transactions	121106
23	gratuitous financial (material) assistance and other gratuitous transfers	121107
24	placement on savings deposits in resident banks	121108
25	transfer of own funds to accounts in non-resident banks	121109
26	conducting exchange operations with cash foreign currency (authorized organizations)	121110
27	other	121111

continuation of the table


1					…
Total (tenge)	of which by currency types (in currency units)				Total (tenge)	of which by currency types (in currency units)
USD	EUR	RUB	CNY	USD	EUR	RUB	CNY
1	2	3	4	5	1	2	3	4	5
Section 1. Purchase and sale of foreign currency (all types of currencies)














Section 2. Purposes of purchasing foreign currency for national currency

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 to sign the report

surname, first name and patronymic (if any) signature

Date “__” ______ 20_ year

Note: the form is filled out in accordance with the instructions for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on operations of bank clients with large volumes of purchase of foreign currency".

Appendix

to form, intended for

collection of administrative data

on a gratuitous basis,

"Report on operations

of bank

clients

with large volumes of purchase

of foreign currency"

Explanation

on filling out the form intended for the collection of administrative data on a gratuitous basis

Report on operations of bank clients with large volumes of purchase of foreign currency (index – 4-INV, frequency – monthly)

Chapter 1. General Provisions

This explanation defines the unified requirements for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on operations of bank clients with large volumes of purchase of foreign currency" (hereinafter – Form 4).
Form 4 is compiled monthly by second-level banks, JSC "Bank of Development of Kazakhstan", National Post Operator (hereinafter – banks) for operations of legal entities – residents and non-residents who have purchased foreign currency for the reporting period for a total amount exceeding one billion tenge in equivalent.
Form 4 is filled out for each bank client and reflects the volumes of purchase and sale of foreign currency by the client for national currency and other foreign currency (Section 1) and the volumes of purchase of foreign currency for national currency by purpose of acquisition (Section 2).
In Form 4, the volumes of purchase and sale of foreign currency are reflected based on the actual delivery of foreign currency on the valuation date.

For the purpose of forming the report, assets in foreign currency are indicated in conversion at the market exchange rate determined on the valuation date in accordance with paragraph 3 of the Rules for determining the market exchange rate, approved by joint Resolution of the Board of the National Bank of the Republic of Kazakhstan dated September 26, 2025 No. 56 and Order of the Minister of Finance of the Republic of Kazakhstan dated September 29, 2025 No. 544 "On Approval of the Rules for Determining the Market Exchange Rate" (registered in the Registry of State Registration of Normative Legal Acts under No. 36983).

Form 4 is signed by the head of the organization or person authorized to sign the report, the chief accountant or person authorized to sign the report, and the executor.

Chapter 2. Explanation on filling out Form 4

Column 1 of Section 1 and Section 2 reflects the total volumes of purchased or sold foreign currency in tenge. Columns 2, 3, 4, 5 of Section 1 and Section 2 reflect, respectively, the volumes of purchased and sold US dollars (USD), euros (EUR), Russian rubles (RUB) and Chinese yuan (CNY) in units of the corresponding currency.

In Section 2, the purposes of purchasing foreign currency for tenge are indicated based on the applications submitted by the client for the purchase of foreign currency for national currency.

When filling out Form 4, the following conditions must be met:

line with code 212100 = line with code 212101 + line with code 212102 + line with code 212103 + line with code 212104 + line with code 212105 + line with code 212106 + line with code 212107;

line with code 222100 = line with code 222120 + line with code 222110;

line with code 222110 >= line with code 222111;

line with code 212100 > = line with code 121100;

line with code 121100 = line with code 121101 + line with code 121102 + line with code 121103 + line with code 121104+ line with code 121105 + line with code 121106 + line with code 121107 + line with code 121108 + line with code 121109 + line with code 121110 + line with code 121111.

Transfers to bank accounts of other persons in the reporting bank are also included in line with code 212104.

Corrections (changes, additions) to data in Form 4 are made until the 20th (twentieth) day (inclusive) of the month following the reporting month.
In the absence of information for the reporting period, Form 4 is submitted with zero values.

Appendix 5

to the List of certain resolutions

of the Board of the National Bank

of the Republic of Kazakhstan, to which

amendments are made regarding currency regulation and currency control

Appendix 5

to the Rules for monitoring sources of demand and supply in the domestic foreign exchange market of the Republic of Kazakhstan

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

Form intended for the collection of administrative data on a gratuitous basis is posted on the Internet resource: www.nationalbank.kz

Name of administrative form: report on the purchase (sale) of foreign currency by a professional participant of the securities market having a license for exchange operations with foreign currency, not being a bank

Index of form intended for the collection of administrative data on a gratuitous basis: 5-INV

Frequency: monthly

Reporting period: as of “____” ______20____year

Circle of persons submitting the form intended for the collection of administrative data on a gratuitous basis: professional participants of the securities market having a license for exchange operations with foreign currency, not being banks (hereinafter – professional participant), excluding JSC "KASE Clearing Center"

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: monthly until the 10th (tenth) day (inclusive) of the month following the reporting period

BIN: ______

Collection method: in electronic form

Section 1. Operations of a professional participant


No.	Indicator Name	Line Code	Total					including for tenge
Total (tenge)	Of which by currency types (in currency units)				Total (tenge)	Of which by currency types (in currency units)
		USD	EUR	RUB	CNY	USD	EUR	RUB	CNY
A	B	V	1	2	3	4	5	6	7	8	9	10
1	Purchase of foreign currency by a professional participant	110000
2	including:
3	from clients	110001
4	at JSC "Kazakhstan Stock Exchange"	110002
5	including:
6	by client orders	111002
7	for own operations	112002
8	other operations	113002
9	on the interbank market	110003
10	including:
11	from residents	111003
12	from non-residents	112003
13	Sale of foreign currency by a professional participant	120000
14	including:
15	to clients	120001
16	at JSC "Kazakhstan Stock Exchange"	120002
17	including:
18	by client orders	121002
19	for own operations	122002
20	other operations	123002
21	on the interbank market	120003
22	including:
23	to residents	121003
24	to non-residents	122003

Section 2. Operations of clients of a professional participant

in tenge


No.	Indicator Name	Line Code	Total	including:
for tenge		for other foreign currency
by clients of a professional participant
residents	non-residents	residents	non-residents
A	B	V	1	2	3	4	5
1	Purchase of foreign currency by clients or a professional participant by client orders	210000
2	including:
3	by individuals	211000
4	of which for securities transactions	211100
5	by legal entities	212000
6	including for purposes:
7	making payments and money transfers	212420
8	including for operations:
9	purchase of goods and intangible assets	212421
10	receipt of services	212422
11	payment of dividends and other income from equity participation	212423
12	provision (issuance) of loans	212424
13	fulfillment of loan obligations	212425
14	securities transactions	212426
15	other	212427
16	transfer of own funds to accounts in resident banks	212430
17	transfer of own funds to accounts in non-resident banks	212440
18	Sale of foreign currency by clients or a professional participant by client orders	220000
19	including:
20	by individuals	221000
21	by legal entities	222000

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 to sign the report

surname, first name and patronymic (if any) signature

Date “__” ______ 20_ year

Note: the form is filled out in accordance with the instructions for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on the purchase (sale) of foreign currency by a professional participant of the securities market having a license for exchange operations with foreign currency, not being a bank".

Appendix

to form, intended for the collection of administrative data on a gratuitous basis, "Report on the purchase (sale) of foreign currency by a professional participant of the securities market having a license for exchange operations with foreign currency, not being a bank"

Explanation

on filling out the form intended for the collection of

administrative data on a gratuitous basis

Report on the purchase (sale) of foreign currency by a professional participant of the securities market having a license for exchange operations with foreign currency, not being a bank

(index – 5-INV, frequency – monthly)

Chapter 1. General Provisions

This explanation defines the unified requirements for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on the purchase (sale) of foreign currency by a professional participant of the securities market having a license for exchange operations with foreign currency, not being a bank" (hereinafter – Form 5).
In Form 5, a professional participant having a license for exchange operations with foreign currency, not being a bank (hereinafter – professional participant), excluding JSC "KASE Clearing Center", reflects the volumes of purchase and sale of foreign currency (Section 1. "Operations of a professional participant") and clients of a professional participant, excluding JSC "KASE Clearing Center" (Section 2. "Operations of clients of a professional participant").
Form 5 reflects the volumes of purchase and sale of foreign currency, both for tenge and for other currency, with actual delivery of the underlying asset on the valuation date.

Data in Form 5 are indicated in the national currency of the Republic of Kazakhstan – tenge.

Form 5 is signed by the head of the organization or person authorized to sign the report, the chief accountant or person authorized to sign the report, and the executor.

Chapter 2. Explanation on filling out Form 5

Column 1 of Section 1 and Section 2 reflects the total volumes of purchased or sold foreign currency in tenge. Columns 2, 3, 4 and 5 of Section 1 reflect, respectively, the volumes of purchased and sold for tenge and for other foreign currency US dollars (USD), euros (EUR), Russian rubles (RUB) and Chinese yuan (CNY) in units of the corresponding currency.
Column 6 of Section 1 reflects the volumes of purchased or sold foreign currency for tenge. Data for column 6 are indicated in tenge. Columns 7, 8, 9, 10 of Section 1 reflect, respectively, the volumes of purchased and sold for tenge US dollars (USD), euros (EUR), Russian rubles (RUB) and Chinese yuan (CNY) in units of the corresponding currency.
Lines with codes 110000 and 120000 of Section 1 include information on exchange operations with clients of a professional participant (including by client orders) and operations carried out at the Kazakhstan Stock Exchange and the interbank market.
In Section 1 and 2, operations for the purchase of foreign currency for other foreign currency are reflected as the purchase of one foreign currency and the sale of another foreign currency.
In Section 2, data are reflected by segments of operations for the purchase (sale) of foreign currency for tenge and for other currency, as well as operations carried out by client-residents and client-non-residents (including by orders of client-residents and client-non-residents).

Operations of individuals for the purchase (sale) of foreign currency through exchange offices are not included in Section 2.

When filling out Form 5, the following conditions must be met:

line with code 110000 > = line with code 110001 + line with code 110002+ line with code 110003;

line with code 110002= line with code 111002 + line with code 112002 + line with code 113002;

line with code 110003 = line with code 111003 + line with code 112003;

line with code 120000 > = line with code 120001 + line with code 120002+ line with code 120003;

line with code 120002 = line with code 121002 + line with code 122002 + line with code 123002;

line with code 120003 = line with code 121003 + line with code 122003;

in Section 2, column 1 for all lines is equal to the sum of columns 2, 3, 4, 5;

line with code 210000 = line with code 211000 + line with code 212000;

line with code 211000 > = line with code 211100;

line with code 212000 = line with code 212420 + line with code 212430 + line with code 212440;

line with code 212420 = line with code 212421 + line with code 212422 + line with code 212423 + line with code 212424 + line with code 212425 + line with code 212426 + line with code 212427;

line with code 220000 = line with code 221000 + line with code 222000.

Corrections (changes, additions) to data in Form 5 are made until the 20th (twentieth) day (inclusive) of the month following the reporting month.
In the absence of information for the reporting period, Form 5 is submitted with zero values.

Appendix 6

to the List of certain resolutions

of the Board of the National Bank

of the Republic of Kazakhstan, to which

amendments are made regarding currency regulation

and currency control

Appendix 6

to the Rules for monitoring sources of demand and supply in the domestic foreign exchange market of the Republic of Kazakhstan

Form,

intended for the collection of administrative data

Form intended for the collection of administrative data on a gratuitous basis is posted on the Internet resource: www.nationalbank.kz

Name of administrative form: report on the movement of cash foreign currency

Index of form intended for the collection of administrative data on a gratuitous basis: 16-PB

Frequency: monthly

Reporting period: as of “____” ______20____year

Circle of persons submitting the form intended for the collection of administrative data on a gratuitous basis: second-level banks, JSC "Bank of Development of Kazakhstan", National Post Operator (hereinafter – banks)

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: monthly until the 10th (tenth) day (inclusive) of the month following the reporting period

BIN: ______

Collection method: in electronic form

in currency units


No.	Indicator Name	Line Code	US Dollar	Euro	Russian Ruble	…
A	B	C	1	2	3	…
1	Cash foreign currency balance at the beginning of the period	100
2	Receipt of cash foreign currency, total	200
3	of which:
4	imported by the bank into Kazakhstan	210
5	transactions with resident banks and the National Bank	220
6	transactions with non-resident banks and Central Banks of foreign states	225
7	receipt from non-bank legal entity residents for crediting to currency accounts	230
8	receipt from non-bank legal entity non-residents for crediting to currency accounts	240
9	purchased from authorized organizations	245
10	purchased from individuals through the bank's exchange points	250
11	received from resident individuals for crediting to currency accounts	260
12	received from non-resident individuals for crediting to currency accounts	270
13	received from resident individuals for one-time transfer without opening and/or using a bank account	280
14	received from non-resident individuals for one-time transfer without opening and/or using a bank account	300
15	received from sale of traveler's checks to individuals	311
16	other receipts	320
17	Cash foreign currency spent, total	400
18	of which:
19	exported by the bank from Kazakhstan	410
20	transactions with resident banks and the National Bank	420
21	transactions with non-resident banks and Central Banks of foreign states	425
22	issued to non-bank legal entity residents from currency accounts	430
23	issued to legal entity non-residents from currency accounts	440
24	sold to authorized organizations	445
25	sold to individuals through the bank's exchange points	450
26	issued to resident individuals from currency accounts	460
27	issued to non-resident individuals from currency accounts	470
28	issued to resident individuals for one-time transfer without opening and/or using a bank account	480
29	issued to non-resident individuals for one-time transfer without opening and/or using a bank account	500
30	issued to individuals upon redemption (acceptance) of traveler's checks	511
31	other expenditures	520
32	Cash foreign currency balance at the end of the period	600

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 to sign the report

surname, first name and patronymic (if any) signature

Date "__" ______ 20_ year

Note: The form is filled out in accordance with the explanation for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on the movement of cash foreign currency".

Appendix

to form, intended for the collection of administrative data on a gratuitous basis, "Report on the movement of cash foreign currency"

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

Report on the movement of cash foreign currency

(index – 16-PB, frequency – monthly)

Chapter 1. General Provisions

This explanation defines the unified requirements for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on the movement of cash foreign currency" (hereinafter – Form 16-PB).
In Form 16-PB, indicators are reflected by second-level banks, JSC "Bank of Development of Kazakhstan", National Post Operator (hereinafter – banks) in the breakdown of those types of foreign currencies in which operations were carried out or there were balances of cash foreign currency at the beginning or end of the reporting period.
Data is indicated in currency units with an accuracy to one unit.
Form 16-PB is signed by the head of the organization or person authorized to sign the report, the chief accountant or person authorized to sign the report, and the executor.

Chapter 2. Explanation for filling out Form 16-PB

On lines with codes 220 and 420 "Transactions with resident banks and the National Bank", operations for the purchase and sale, as well as withdrawal from and crediting to bank accounts of cash foreign currency are reflected.
On lines with codes 225 and 425 "Transactions with non-resident banks", operations for the purchase and sale, as well as withdrawal from and crediting to bank accounts of cash foreign currency are reflected, except for operations included in lines with codes 210 or 410.
When filling out Form 16-PB, the following conditions must be met:

for each column of Form 16-PB:

line with code 200 = line with code 210 + line with code 220 + line with code 225 + line with code 230 + line with code 240 + line with code 245 + line with code 250 + line with code 260 + line with code 270 + line with code 280 + line with code 300 + line with code 311 + line with code 320;

line with code 400 = line with code 410 + line with code 420 + line with code 425 + line with code 430 + line with code 440 + line with code 445 + line with code 450 + line with code 460 + line with code 470 + line with code 480 + line with code 500 + line with code 511 + line with code 520;

line with code 600 = line with code 100 + line with code 200 - line with code 400.

Corrections (changes, additions) to data in Form 16-PB are made until the 20th (twentieth) day (inclusive) of the month following the reporting month.
In the absence of operations and/or balances of cash foreign currency at the beginning or end of the period in the reporting period, Form 16-PB is not submitted.
All operations must be allocated to the corresponding indicators. Operations for issuance from national currency accounts with simultaneous conversion into foreign currency are reflected on line with code 450 "Sold to individuals through the bank's exchange points".

Operations for receipt of foreign currency, including through an ATM, after simultaneous conversion and crediting to national currency accounts are reflected on lines with code 250 "Purchased from individuals through the bank's exchange points".

On lines 320 "Other receipts" and 520 "Other expenditures", other operations (surpluses, shortages, transfer of worn banknotes, banknotes in transit, etc.) are reflected with the submission of a supporting document.

If the difference during control with the balance sheet (700-N) exceeds 500 (five hundred) dollars (in equivalent), a calculation of the difference must be attached.

Appendix 7

to the List of certain resolutions

of the Board of the National Bank

of the Republic of Kazakhstan

in which

amendments are made on issues of currency regulation and currency control

Approved

by the resolution of the Board

of the National Bank

of the Republic of Kazakhstan

dated March 30, 2019 No. 40

Rules

for carrying out currency operations in the Republic of Kazakhstan

Chapter 1. General Provisions

The Rules for carrying out currency operations in the Republic of Kazakhstan (hereinafter – Rules) are developed in accordance with subparagraph 43) of the second paragraph of part two of paragraph 19 of the Regulation on the National Bank of the Republic of Kazakhstan, approved by the Decree of the President of the Republic of Kazakhstan dated December 31, 2003 No. 1271 "On Approval of the Regulation and Structure of the National Bank of the Republic of Kazakhstan" and define the procedure for residents and non-residents to carry out currency operations in the Republic of Kazakhstan.

The Rules include the procedure for:

carrying out currency operations;

purchase and/or sale of non-cash foreign currency on the domestic foreign exchange market of the Republic of Kazakhstan;

carrying out operations on a bank account related to the withdrawal, crediting and use of cash foreign currency.

Concepts used in the Rules are applied in the values specified in the Law of the Republic of Kazakhstan "On Currency Regulation and Currency Control" (hereinafter – Law on Currency Regulation and Currency Control).

The Rules also use the following concepts and abbreviations:

1) BIN – business identification number;

2) IIN – individual identification number;

3) threshold value of the purchase amount of non-cash foreign currency – the size of the purchase amount of non-cash foreign currency on the domestic foreign exchange market of the Republic of Kazakhstan, upon reaching which requirements for confirming the purpose of purchasing non-cash foreign currency for national currency on the domestic foreign exchange market of the Republic of Kazakhstan and its use for the stated purposes are applied, determined in accordance with part two of paragraph 6 of article 10 of the Law on Currency Regulation and Currency Control;

4) registration certificate – a document of established form issued upon registration of a currency contract before the entry into force of the Rules and not invalidated;

5) National Bank – National Bank of the Republic of Kazakhstan;

6) notification certificate – a document of established form issued for a currency contract or an account in a foreign bank, before the entry into force of the Rules and not invalidated;

7) intra-corporate money transfer – a money transfer carried out by a legal entity with its structural divisions or between structural divisions of one legal entity.

Chapter 2. Procedure for carrying out currency operations and

notification and/or submission of information

on carried out currency operations

Paragraph 1. Carrying out currency operations and submission of notification and/or information on carried out currency operations

An authorized bank, a professional participant of the securities market, acting as currency control agents, carry out a currency operation upon the presence of documents and/or information submitted by a resident or non-resident in accordance with the Rules.

For the purposes of the Rules, if the currency of payment and/or money transfer differs from the United States Dollar (hereinafter – USD), the equivalent of the payment and/or money transfer amount is calculated using the market exchange rate of currencies on the day the operation is carried out.

The Rules for carrying out export-import currency control in the Republic of Kazakhstan, approved by the joint resolution of the Board of the National Bank of the Republic of Kazakhstan dated September 29, 2023 No. 78 and the order of the Deputy Prime Minister – Minister of Finance of the Republic of Kazakhstan dated October 4, 2023 No. 1054 "On Approval of the Rules for carrying out export-import currency control in the Republic of Kazakhstan" (registered in the Registry of State Registration of Normative Legal Acts under No. 33512) (hereinafter – Rules for carrying out export-import currency control), in accordance with paragraph 7 of article 5 of the Law on Currency Regulation and Currency Control, provide for features of carrying out payments and/or money transfers on currency contracts for export or import subject to assignment of an accounting number.

Payment and/or money transfer on a currency operation of a resident from an account of a non-resident in a foreign bank, an international financial organization for the purpose of fulfilling the obligations of the resident is carried out in the case of:

1) transfer of a financial loan obtained by a resident from a non-resident to third-party accounts;

2) provision of financial services in the securities market by a non-resident to a resident, having the right to carry out professional activity in the securities market in accordance with the legislation of the state where it is registered;

3) provision by a non-resident to a resident of services under an agency agreement.

When carrying out payment and/or money transfer on a currency contract subject to assignment of an accounting number, the resident indicates the details of such contract and its accounting number in the payment documents. For identification of incoming amounts, the resident notifies the non-resident of the need to indicate in the payment documents for money transfer to their benefit the details of the currency contract and its accounting number.

When carrying out payment and/or money transfer on a currency contract subject to assignment of an accounting number, the authorized bank (its branch) checks the presence in the payment document of the details of the currency contract and its accounting number.

If amendments and/or additions are made to a currency contract, on the basis of and/or in execution of which capital movement operations or operations equivalent to them (hereinafter – capital movement currency contract) are carried out or payments and/or money transfers are carried out using an account in a foreign bank, an international financial organization, to which an accounting number has been assigned or a registration certificate or notification certificate has been issued, and which require, in accordance with paragraphs 14 and 21 of the Rules for monitoring currency operations in the Republic of Kazakhstan, approved by the resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 10, 2019 No. 64 "On Approval of the Rules for monitoring currency operations in the Republic of Kazakhstan" (registered in the Registry of State Registration of Normative Legal Acts under No. 18544) (hereinafter – Rules for monitoring currency operations), assignment of a new accounting number, the carrying out of payment and/or money transfer using the existing accounting number (number of the registration certificate or notification certificate) is permitted. At the same time, the authorized bank (its branch) notifies the resident in a free form of the need to assign a new accounting number.

If the details of such contract and/or its accounting number are incorrectly indicated or missing in the payment document for an incoming payment and/or money transfer to the benefit of the resident on a currency contract, the crediting of money is carried out by the authorized bank based on written confirmation by the resident of the details of the currency contract and/or its accounting number.

In the absence in the payment document of the necessary data for accounting for incoming money on a currency contract, the authorized bank (its branch) credits them to the sender's instruction storage account, having previously notified the resident in writing of the need to identify the incoming amounts. The resident informs the authorized bank (its branch) in writing about the nature of the incoming amount, indicating the details of the currency contract and its accounting number.

If within one hundred eighty calendar days the incoming money is not identified by the details of the currency contract or its accounting number, or if the resident does not perform other actions for the submission of documents and/or information provided for by the Rules, the authorized bank (its branch) returns such instruction to the sender without execution.
An individual, in cases established by paragraph 4 of article 7 of the Law on Currency Regulation and Currency Control, carries out money transfer on a currency operation on the territory of the Republic of Kazakhstan, from the Republic of Kazakhstan and to the Republic of Kazakhstan without opening and/or using an account in an authorized bank for an amount not exceeding ten thousand US dollars in equivalent.
An authorized bank, a professional participant of the securities market, acting as currency control agents, report to the National Bank about facts of violations of the currency legislation of the Republic of Kazakhstan committed by clients of the currency control agent that became known to them during a calendar month, no later than the last day of the following calendar month, in accordance with the violation card in the form according to Appendix 1 to the Rules.

The authorized bank reports on violations related to the fulfillment by residents of the requirement for repatriation of national and/or foreign currency for export or import in the manner provided for by the Rules for carrying out export-import currency control.

The authorized bank monthly until the 10th (tenth) day (inclusive) of the month following the reporting period, submits to the central apparatus of the National Bank a report on carried out currency operations in the form according to Appendix 3 to the Rules.

The report on carried out currency operations includes currency operations, including those carried out at the client's request:

1) the amount of which is equal to or exceeds fifty thousand US dollars in equivalent and operations for non-cash purchase and/or sale of foreign currency at the client's request regardless of the amount of such operation (for legal entities, except authorized banks);

2) the amount of which is equal to or exceeds ten thousand US dollars in equivalent, and operations for non-cash purchase and/or sale of foreign currency at the client's request, the amount of which is equal to or exceeds one thousand US dollars in equivalent (for individuals);

3) the amount of which is equal to or exceeds fifty thousand US dollars in equivalent and operations for non-cash purchase and/or sale of foreign currency regardless of the amount of such operation (for authorized banks).

For the purposes of reflecting in the report on carried out currency operations information on a currency operation, the currency of which differs from the US dollar, the equivalent of the amount of such currency operation is calculated using the market exchange rate of currencies on the day it is carried out.

Information required in accordance with the Rules is submitted by authorized banks on paper or electronically using a guaranteed information delivery transport system with cryptographic protection means ensuring confidentiality and authenticity of transmitted data.
For currency operations related to reinsurance services in foreign currency from participants of the International Financial Center "Astana", insurance (reinsurance) organizations of the Republic of Kazakhstan submit to the National Bank, among other things, a report on reinsurance activity in the form according to Appendix 22 to the resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 2, 2025 No. 86 "On Approval of the Rules for submission of reporting by an insurance (reinsurance) organization, an Islamic insurance (reinsurance) organization, an insurance broker, branches of insurance (reinsurance) organizations-non-residents of the Republic of Kazakhstan, branches of Islamic insurance (reinsurance) organizations-non-residents of the Republic of Kazakhstan and branches of insurance brokers-non-residents of the Republic of Kazakhstan" (registered in the Registry of State Registration of Normative Legal Acts under No. 37567).

Paragraph 2. Documents required when carrying out currency operations

When carrying out a currency operation, a resident or non-resident submits to an authorized bank, a professional participant of the securities market, acting as currency control agents, the following documents:

1) a document confirming identity, with IIN in cases provided for by the laws of the Republic of Kazakhstan (for an individual), or data confirming (identifying) identity, via the digital documents service.

An authorized bank, a professional participant of the securities market, acting as currency control agents, uses data from the digital documents service provided that the owner has consented, provided from the user's personal account on the "Digital Government" web portal, as well as via the owner's mobile phone number registered on the "Digital Government" web portal by transmitting a one-time password or by sending a short text message as a response to the notification of the "Digital Government" web portal;

2) a document confirming the right of permanent residence in the Republic of Kazakhstan (if any) (for an individual foreign citizen or stateless person);

3) a license of the National Bank, an authorized body for regulation, control and supervision of the financial market and financial organizations for conducting banking and other operations (if any);

4) copies of documents confirming the fulfillment or on the basis of which obligations under currency contracts for export or import must be fulfilled;

5) a currency contract or a copy thereof. A currency contract subject to assignment of an accounting number, or a copy thereof, is submitted with a mark about the assignment of an accounting number (for a currency contract to which an accounting number was assigned after the entry into force of the Rules);

6) a registration certificate or a notification certificate – for currency contracts subject to accounting registration for capital movement or accounts in foreign banks, for which a registration certificate or a notification certificate was obtained before the entry into force of the Rules and an accounting number was not assigned.

Submission of a currency contract is not required in the following cases:

if money transfer on a currency operation is carried out between resident individuals or between non-resident individuals within the Republic of Kazakhstan and is gratuitous;

if payment and/or money transfer on a currency operation is carried out for an amount not exceeding ten thousand US dollars in equivalent, and the sender or beneficiary of the payment and/or money transfer is a client of an authorized bank, being an individual, a branch and/or representative office of a foreign legal entity or a non-resident legal entity (except for payments and/or money transfers on a currency contract subject to assignment of an accounting number);

if payment and/or money transfer on a currency operation is carried out for an amount not exceeding ten thousand US dollars in equivalent, and a resident legal entity (sender and/or beneficiary of the payment and/or money transfer) has made or confirmed a record stating that such payment and/or money transfer is not related to the fulfillment of a currency contract subject to assignment of an accounting number (except for payments and/or money transfers on a currency contract subject to assignment of an accounting number);

if payment and/or money transfer on a currency operation is carried out by an individual to their own bank account (from their own bank account) in a foreign bank, an international financial organization.

Payment and (or) transfer of funds for a currency transaction conducted to the account (from the account) of a third-party resident through an authorized bank in fulfillment of the obligations of a resident and (or) non-resident is permitted upon presentation of a currency contract defining the nature of mutual obligations between the third-party resident and the person on whose behalf the payment and (or) transfer of funds is accepted (sent), if this does not follow from the currency contract on the basis of which such payment and (or) transfer of funds is made. If any currency contract is subject to assignment of an account number, a copy of the currency contract with a mark on the assignment of the account number, or a copy of the registration certificate, or a copy of the notification certificate (for currency contracts that were subject to receiving a registration certificate or notification certificate before the entry into force of the Rules) is presented.

If payment and (or) transfer of funds for a currency transaction is made by a resident-natural person in fulfillment of the obligations of a spouse (spouse) or close relative, then as a currency contract, a document confirming that the sender of funds is a spouse (spouse) or close relative of the natural person, in fulfillment of the obligations of whom the payment and (or) transfer of funds is made, is presented.

Execution of payment and (or) transfer of funds for a currency transaction of a resident or non-resident using a payment card issued by an authorized bank is carried out without prior request for documents and (or) information required in accordance with the Rules.

If payment and (or) transfer of funds for such a transaction is made for an amount equal to fifty thousand US dollars in equivalent and above, then the resident or non-resident provides information upon request of the authorized bank in accordance with paragraphs 16 and 17 of the Rules.

If payment and (or) transfer of funds is made using a corporate payment card by a resident-legal entity or a resident-branch (representative office) of a foreign non-financial organization for an amount equal to fifty thousand US dollars in equivalent and above, then such a resident presents a currency contract or its copy to the authorized bank within thirty working days from the date of such payment and (or) transfer of funds.

Paragraph 3. Information required when carrying out currency transactions

When carrying out a currency transaction for which presentation of a currency contract is required, and in the absence of the possibility for a natural person who is a client (sender or beneficiary of funds) to present it, the authorized bank, professional participant of the securities market, carries out such a currency transaction upon the presence of information about the record made or confirmed by the natural person:

1) authorizing the authorized bank, professional participant of the securities market to provide information about this currency transaction to law enforcement agencies of the Republic of Kazakhstan and (or) the National Bank;

2) confirming that this currency transaction is not related to the fulfillment of a currency contract subject to assignment of an account number (for residents);

3) confirming that this currency transaction is not related to financing terrorist or extremist activities and other assistance to terrorism or extremism.

A currency transaction, the conduct of which may be aimed at withdrawing funds from the Republic of Kazakhstan, evading compliance with the requirements of the currency legislation of the Republic of Kazakhstan, lacking obvious economic sense, is carried out upon the presence of information about the presentation by the resident, who is a party to the currency transaction, of permission to the authorized bank to transfer information about this currency transaction to currency control bodies and law enforcement agencies.

Such permission is drawn up in arbitrary form. Presentation of one permission regarding all currency transactions within the framework of a currency contract, on the basis of which currency transactions are carried out, the conduct of which may be aimed at withdrawing funds from the Republic of Kazakhstan, evading compliance with the requirements of the currency legislation of the Republic of Kazakhstan, lacking obvious economic sense, is permitted.

A resident when making payment and (or) transfer of funds for a currency transaction subject to notification and (or) information about which is subject to presentation in accordance with Article 15 of the Law on Currency Regulation and Currency Control for the amount specified in paragraph 9 of the Rules, provides information about the currency transaction in the form according to Appendix 2 to the Rules, including indicating:

1) the country of registration of the sender of funds and the beneficiary on the payment document, if these data do not match those indicated in the payment document;

2) the sign of an intra-corporate transfer of funds;

3) the code of the currency transaction for which payment and (or) transfer of funds is made;

4) information about the sender and (or) recipient of funds according to the currency contract, in case of mismatch with the sender of funds and the beneficiary on the payment document;

5) the country of registration of the sender of funds and the recipient of funds according to the currency contract, in case of mismatch with the sender of funds and the beneficiary on the payment document;

6) details of the currency contract and the account number of the currency contract (if available).

For the purpose of indicating the code of the currency transaction and other information provided for by this paragraph, upon request of the authorized bank, a resident-legal entity presents constituent documents.

A non-resident when making payment and (or) transfer of funds for a currency transaction subject to notification and (or) information about which is subject to presentation in accordance with Article 15 of the Law on Currency Regulation and Currency Control for the amount specified in paragraph 9 of the Rules, provides the authorized bank with information about the currency transaction in the form according to Appendix 2 to the Rules, including indicating:

1) the country of registration of the sender of funds and the beneficiary on the payment document, if these data do not match those indicated in the payment document;

2) the code of the currency transaction for which payment and (or) transfer of funds is made;

3) the sign of an intra-corporate transfer of funds.

The information about the currency transaction specified in paragraphs 16 and 17 of the Rules is provided to the authorized bank by the client or indicated by the authorized bank independently on the basis of documents and (or) information presented by the client.

The authorized bank, as an agent of currency control, checks the correctness of the information presented by the client and the indication of the code of the currency transaction on the basis of the presented currency contract and corrects, if necessary, the data indicated by the client.

Paragraph 4. Types and criteria of certain currency transactions, the conduct of which may be aimed at withdrawing funds from the Republic of Kazakhstan, evading compliance with the requirements of the currency legislation of the Republic of Kazakhstan, lacking obvious economic sense, and the procedure for their conduct

The following transactions are referred to currency transactions, the conduct of which may be aimed at withdrawing funds from the Republic of Kazakhstan:

1) a financial loan providing for the provision of funds by a non-resident to a resident (except an authorized bank), if the terms of the corresponding currency contract (initially or after making changes and (or) additions to the currency contract) do not provide for the transfer of funds to be received from the non-resident to the bank accounts of the resident in authorized banks;

2) a financial loan providing for the emergence of claims of a resident (except an authorized bank) against a non-resident for the return of funds, if the terms of the corresponding currency contract (initially or after making changes and (or) additions to the currency contract) do not provide for the transfer of funds to be received from the non-resident to the bank accounts of the resident in authorized banks;

3) export transactions, if the terms of the corresponding currency contract (initially or after making changes and (or) additions to the currency contract) provide that the term for fulfillment of the non-resident's obligations for payment for exports exceeds seven hundred twenty days from the date of fulfillment of the resident's obligations;

4) import transactions, if the terms of the corresponding currency contract (initially or after making changes and (or) additions to the currency contract) provide that the term for fulfillment of the non-resident's obligations for the supply of goods (performance of works, provision of services) or for the return of funds, including an advance payment or the amount of prepayment in full (in case of non-fulfillment by the non-resident of its obligations for imports), exceeds seven hundred twenty days from the date of fulfillment of the resident's obligations;

5) transfer of funds by a resident to a non-resident-professional participant of the securities market carrying out currency transactions on behalf of clients, for an amount exceeding fifty thousand US dollars in equivalent;

6) transfer by a resident of funds to its own account abroad for an amount exceeding fifty thousand US dollars in equivalent;

7) gratuitous transfer of funds made by a resident in favor of a non-resident for an amount exceeding fifty thousand US dollars in equivalent.

Currency transactions specified in subparagraphs 1), 2) and 3) of the first part of this paragraph do not include financial loans that arise within the framework of transactions for trade or Islamic financing, as well as transactions carried out by non-residents with their branches (representative offices) in the Republic of Kazakhstan, and transactions between branches (representative offices) of foreign organizations in the Republic of Kazakhstan.

For the purposes of this paragraph, an affiliated person of a resident includes:

1) a person who owns ten or more percent of voting shares of a joint-stock company (ten or more percent of voting shares of participants) of a resident legal entity;

2) a person in which this resident owns ten or more percent of voting shares of a joint-stock company (ten or more percent of voting shares of participants);

3) a person who, together with this resident, is under the control of a third party.

This paragraph does not apply to intra-corporate transfers of funds carried out by branches (representative offices) of foreign non-financial organizations.

The following are referred to currency transactions, the conduct of which may be aimed at evading compliance with the requirements of the currency legislation of the Republic of Kazakhstan:

1) payments and (or) transfers of funds of one person for a calendar month under two or more currency contracts concluded with the same non-resident, for a total amount exceeding the threshold value, above which such currency contracts are subject to assignment of an account number;

2) transactions of a non-resident for the purchase in one authorized bank in one working day of non-cash foreign currency for national currency for an amount exceeding fifty thousand US dollars in equivalent, if the source of origin of funds in national currency is not related to the receipt by the non-resident of funds from the sale of goods (performance of works, provision of services) to a resident, sale of other financial assets for national currency, receipt of dividends in national currency from activities on the territory of the Republic of Kazakhstan, refund by state revenue bodies of taxes and other mandatory payments previously paid by the non-resident to the budget, and other economically justified sources of origin of national currency.

A currency transaction lacking obvious economic sense includes a financial loan providing for the provision of funds by a resident to a non-resident who is not an affiliated person, if the terms of the corresponding currency contract (initially or after making changes and (or) additions to the currency contract) do not provide for the payment of remuneration for the use of the subject of the financial loan.
When carrying out currency transactions specified in paragraphs 19, 20 and 21 of the Rules, the client of the authorized bank presents to the authorized bank permission to transfer information about this payment and (or) transfer of funds to currency control bodies and law enforcement agencies.

The client of the authorized bank, being a resident or non-resident carrying out currency transactions, upon the request of the authorized bank presents documents and information necessary for the authorized bank to conduct monitoring and study of the transaction in accordance with the requirements of the Law of the Republic of Kazakhstan "On Countering the Legalization (Money Laundering) of Income Obtained by Criminal Means, Financing of Terrorism and Financing of Proliferation of Weapons of Mass Destruction" (hereinafter – Law on AML/CFT).

When carrying out currency transactions specified in paragraphs 19, 20 and 21 of the Rules, the authorized bank conducts monitoring and study of such a transaction in accordance with the program for monitoring and study of client transactions provided for by internal control rules developed and adopted in accordance with Article 11 of the Law on AML/CFT.

Chapter 3. Procedure for purchase and (or) sale of non-cash foreign currency on the internal currency market of the Republic of Kazakhstan

Residents and non-residents carry out purchase and (or) sale of non-cash foreign currency on the internal currency market of the Republic of Kazakhstan through bank accounts in authorized banks on the basis of an application (applications) for purchase or sale of non-cash foreign currency.

Branches (representative offices) of foreign non-financial organizations (residents and non-residents) carry out purchase and (or) sale of non-cash foreign currency on the internal currency market of the Republic of Kazakhstan through bank accounts in authorized banks for further carrying out intra-corporate transfer of funds on the basis of a document confirming that this transfer of funds is intra-corporate.

The requirements of this chapter do not apply to the purchase or sale of non-cash foreign currency by natural persons who are residents and non-residents, authorized banks.

Legal entities-residents when filling out an application (applications) for purchase or sale of non-cash foreign currency in accordance with paragraph 24 of the Rules, indicate the purpose of purchase of non-cash foreign currency for national currency on the internal currency market of the Republic of Kazakhstan.

Legal entities-non-residents when filling out an application (applications) for purchase or sale of non-cash foreign currency for national currency through bank accounts in authorized banks in accordance with paragraph 24 of the Rules, indicate the purpose of purchase or sale of non-cash foreign currency.

Legal entities-residents purchase in one authorized bank in one working day non-cash foreign currency for national currency for purposes not related to fulfillment of obligations in foreign currency, in an amount not exceeding the threshold value of the amount of purchase of non-cash foreign currency.

Purposes not related to fulfillment of obligations in foreign currency include crediting and (or) transfer of non-cash foreign currency to the own accounts of a legal entity-resident, including to the accounts of its separate subdivisions, as well as gratuitous transfers of funds in foreign currency.

A legal entity-resident when purchasing in one authorized bank in one working day non-cash foreign currency for national currency for purposes related to fulfillment of obligations, for an amount exceeding the threshold value of the amount of purchase of non-cash foreign currency, attaches to the application (applications) for purchase of non-cash foreign currency:

1) a copy of the currency contract and an invoice or other document for payment, for the fulfillment of which non-cash foreign currency is purchased (if by the terms of the currency contract an account statement or other document for payment is mandatory);

2) an indication to the authorized bank, in case of non-use of the purchased non-cash foreign currency for the declared purposes within ten working days from the date of its purchase, to sell it for national currency within the next three working days, except for cases provided for in paragraph 28 of the Rules.

When purchasing in one authorized bank in one working day non-cash foreign currency for national currency under several applications, the amounts of which individually do not exceed the threshold value of the amount of purchase of non-cash foreign currency, but as a result of addition exceed the threshold value of the amount of purchase of non-cash foreign currency, the requirements of the first part of this paragraph apply to applications, the execution of which will lead to exceeding the threshold value of the amount established in the first part of this paragraph.

Use of non-cash foreign currency purchased in accordance with this paragraph of the Rules for purposes not related to fulfillment of obligations in foreign currency is not permitted.

If a currency contract is subject to assignment of an account number, a copy of the currency contract with a mark on the assignment of the account number, or a copy of the registration certificate, or a copy of the notification certificate is presented.

Purchase of non-cash foreign currency for national currency by authorized organizations from an authorized bank is carried out on the basis of a valid license for exchange operations with cash foreign currency and a valid attachment (valid attachments) to it.

When purchasing non-cash foreign currency by a legal entity-resident for the purpose of paying net income or its part distributed by this legal entity-resident among its shareholders, founders, participants, presentation to the authorized bank of the indication provided for in paragraph 27 of the Rules is not required.

When purchasing non-cash foreign currency by a legal entity-resident in accordance with paragraph 27 of the Rules from an authorized bank (except a professional participant of the securities market not having a license of the authorized body for opening and maintaining bank accounts) for purposes of repayment of obligations in foreign currency to a non-resident of the Republic of Kazakhstan on received external loans, the amount of the currency contract for which exceeds one hundred million US dollars in equivalent, and bonds issued in foreign currency, the nominal amount of which according to the issue prospectus exceeds one hundred million US dollars in equivalent, and for which fulfillment of obligations occurs within ninety calendar days from the date of purchase of non-cash foreign currency, by a legal entity-resident, the following documents are attached to the application (applications) for purchase of non-cash foreign currency:

1) an application for opening a separate bank account in the corresponding foreign currency;

2) an indication to credit the purchased non-cash foreign currency to a separate bank account in foreign currency;

3) an indication to sell this currency for national currency within the next three working days, in case of its non-use within ninety calendar days from the date of purchase for the declared purposes;

4) documents confirming the amount and terms of fulfillment of obligations (credit contract and payment schedule, other documents that are mandatory in accordance with the terms of the currency contract).

The authorized bank (except a professional participant of the securities market not having a license of the authorized body for opening and maintaining bank accounts) credits the non-cash foreign currency purchased by a legal entity-resident to a separate bank account and ensures its use by the legal entity-resident exclusively for the declared purposes.

When purchasing non-cash foreign currency by a legal entity-resident in accordance with paragraph 27 of the Rules from a professional participant of the securities market, being an authorized bank and not having a license of the authorized body for opening and maintaining bank accounts, for purposes of repayment of obligations in foreign currency to a non-resident of the Republic of Kazakhstan on received external loans, the amount of the currency contract for which exceeds one hundred million US dollars in equivalent, and bonds issued in foreign currency, the nominal amount of which according to the issue prospectus exceeds one hundred million US dollars in equivalent, and for which fulfillment of obligations occurs within ninety calendar days from the date of purchase of non-cash foreign currency, by a legal entity-resident, the following documents are attached to the application (applications) for purchase of non-cash foreign currency:

1) an application for opening a separate personal account (sub-account) in the corresponding foreign currency;

2) an indication to credit the purchased non-cash foreign currency to a separate personal account (sub-account) in foreign currency;

A professional participant of the securities market, being an authorized bank and not having a license of the authorized body for opening and maintaining bank accounts, credits the non-cash foreign currency purchased by a legal entity-resident to a separate personal account (sub-account) and ensures its use by the legal entity-resident exclusively for the declared purposes.

When executing an application (applications) of a legal entity-resident in one authorized bank in one working day for purchase of non-cash foreign currency for national currency for an amount exceeding the threshold value of the amount of purchase of non-cash foreign currency, the authorized bank compares the purpose of purchase and the amount of non-cash foreign currency indicated in the application (applications) with the currency contract, and an invoice or other document for payment confirming the purpose and amount of purchase of non-cash foreign currency, as well as with available information about previously carried out in accordance with the Rules purchases of non-cash foreign currency for national currency on the basis of this currency contract.

Exceeding the total amount of purchases of non-cash foreign currency for national currency under a currency contract over the amount of the currency contract is not permitted. The total amount of purchases of non-cash foreign currency for national currency under a currency contract is calculated on the basis of applications of a legal entity-resident and (or) information of other authorized banks about carried out purchases of foreign currency within the framework of this currency contract.

Use of non-cash foreign currency purchased in accordance with paragraphs 26 and 27 of the Rules for purposes related to fulfillment of obligations in foreign currency under another currency contract is permitted, except for cases provided for in paragraph 28 of the Rules, upon presentation by a legal entity-resident to the authorized bank of an additional application, drawn up in accordance with the first part of paragraph 27 of the Rules, to the previously drawn up application, according to which non-cash foreign currency was purchased.

When a resident legal entity transfers previously acquired foreign currency in accordance with paragraph 27 and part two of paragraph 28 of the Rules for Non-Cash Foreign Currency Transactions to its own account in another authorized bank for the purpose of fulfilling obligations in foreign currency under a currency contract, the authorized bank ensures that the client reflects in the money transfer application, prepared in the form according to Appendix 3 to the Rules for Non-Cash Payments and/or Money Transfers within the territory of the Republic of Kazakhstan, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 31, 2016 No. 208 "On Approval of the Rules for Non-Cash Payments and/or Money Transfers within the territory of the Republic of Kazakhstan" (registered in the Registry of State Registration of Normative Legal Acts under No. 14419), information about the previously acquired foreign currency in accordance with paragraph 27 and part two of paragraph 28 of the Rules for Non-Cash Foreign Currency Transactions, with mandatory reflection of the date of its purchase for the purpose of further currency control by another authorized bank.

When a resident legal entity transfers previously acquired foreign currency in accordance with paragraph 27 and part four of paragraph 28 of the Rules for Non-Cash Foreign Currency Transactions to its own account (sub-account) opened with a professional participant of the securities market that is an authorized bank, for the purpose of fulfilling obligations in foreign currency under a currency contract, the authorized bank, based on the consent of the resident legal entity, simultaneously with this transfer sends to such professional participant of the securities market that is an authorized bank information about the previously acquired foreign currency in accordance with paragraph 27 and part four of paragraph 28 of the Rules for Non-Cash Foreign Currency Transactions, with mandatory reflection of the date of its purchase for the purpose of further currency control by such professional participant of the securities market that is an authorized bank.

In the event of its transfer to another authorized bank for the purpose of fulfilling obligations in foreign currency under a currency contract, the other authorized bank carries out the sale of this currency for national currency within the next three working days if it is not used within ten working days from the date of purchase for the stated purposes.

The authorized bank refuses to execute the application of a resident legal entity for the purchase of non-cash foreign currency for national currency, prepared not in accordance with paragraphs 25, 26, 27 and 28 of the Rules, as well as if:

the amount of purchases of non-cash foreign currency for national currency under one currency contract, calculated based on the application of the resident legal entity and/or information of other authorized banks about the completed purchases of foreign currency, exceeds the amount of such currency contract and account or other payment document;

the amount of purchases of non-cash foreign currency for national currency by one resident legal entity through one authorized bank in one working day for purposes not related to the fulfillment of obligations in foreign currency, calculated based on the application of the resident legal entity, exceeds the threshold value of the amount of purchase of non-cash foreign currency.

Chapter 4. Procedure for conducting operations on bank accounts related to the withdrawal, crediting and use of cash foreign currency

Individuals without restrictions withdraw (deposit) cash foreign currency from their bank accounts (to their bank accounts) in authorized banks.
The withdrawal of cash foreign currency from their bank accounts in an authorized bank by legal entities and branches (representative offices) of foreign organizations is allowed for the purpose of carrying out settlements with individuals in the cases specified in Article 7 of the Law on Currency Regulation and Currency Control.
A legal entity or a branch (representative office) of a foreign organization, when withdrawing cash foreign currency from its bank account for the purpose of carrying out a currency operation to pay for the expenses of an individual related to his business trip outside the Republic of Kazakhstan, including representative expenses, presents to the authorized bank documents confirming the purpose of the payments made to individuals and containing an indication of the amount of cash foreign currency withdrawn. As such documents, a decree, order, decision, or estimate of travel expenses is allowed to be presented.

In the event of withdrawal of cash foreign currency for the purpose of carrying out a currency operation to pay for the expenses of an individual related to his business trip outside the Republic of Kazakhstan, including representative expenses, using a corporate payment card, these documents are presented to the authorized bank within thirty working days from the date of such withdrawal.

If the cash foreign currency withdrawn for the purpose of carrying out a currency operation to pay for the expenses of an individual related to his business trip outside the Republic of Kazakhstan, including representative expenses, was not used (fully or partially) for these purposes, the unused cash foreign currency is subject to mandatory crediting to the bank account of the legal entity or the branch (representative office) of a foreign organization in an authorized bank within ten working days from the end of the term of the individual's business trip.

A legal entity or a branch (representative office) of a foreign organization, when crediting cash foreign currency to its bank account in an authorized bank, indicates in the receipt cash order the basis for receiving cash foreign currency.

The authorized bank, in accordance with paragraph 8 of the Rules, reports to the National Bank about the fact of crediting cash foreign currency to the bank account of a legal entity or a branch (representative office) of a foreign organization, except for the crediting of cash foreign currency in cases provided for in Article 7 of the Law on Currency Regulation and Currency Control.
Paragraphs 33, 34 and 35 of the Rules do not apply to diplomatic and equivalent to them representations, consular institutions of foreign states, accredited in the Republic of Kazakhstan.

Appendix 1
to the [Rules](jl:33833162.1.1006702298_1" \o "Resolution of the Board of the National Bank of the Republic of Kazakhstan dated November 29, 2018 No. 294 ) for conducting currency operations in the Republic of Kazakhstan

Form, designed for the collection of administrative data

Submitted to: the National Bank of the Republic of Kazakhstan

The form designed for the collection of administrative data on a gratuitous basis is posted on the Internet resource: www.nationalbank.kz

Name of the administrative form: Violation Card No. __

Index of the form designed for the collection of administrative data on a gratuitous basis: KN1

Frequency: monthly

Reporting period: for ______ month ______ year

Circle of persons submitting the form designed for the collection of administrative data on a gratuitous basis: authorized bank

Deadline for submitting the form designed for the collection of administrative data on a gratuitous basis: monthly, by the last day of the month following the reporting period

BIN: ______

Collection method: in electronic form


Line Code	Type of Information	Information on Violation
10	Information on the bank client:
11	name (for legal entities or branches (representative offices) of legal entities), organizational and legal form (if available), surname, first name, patronymic (if available) (for individuals)
12	BIN (for legal entities or branches (representative offices) of legal entities)
13	IIN (for individuals)
14	client status: 1 – legal entity, 2 – individual, 3 – branch (representative office) of a legal entity
15	place of permanent residence (location)
16	region code
20	Information on the currency operation:
21	date
22	amount
23	currency
30	Information on the violation:
31	type
32	description of the violation
33	number of the currency contract (indicated without spaces)
34	date of the currency contract (in DD/MM/YYYY format)
35	account number (if available)
36	other information on the currency contract (if available)
37	additional information on the violation

Name ______ Address ______

Phone ______

Email ______

Executor ______

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

Head or person performing his duties

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

Date "____" ______ 20__ year

Note: the form is filled out in accordance with the explanation for filling out the form designed for the collection of administrative data, "Violation Card".

Appendix
to the form designed for the collection of administrative data on a gratuitous basis, "Violation Card"

Explanation

on filling out the form designed for the collection

of administrative data on a gratuitous basis

Violation Card

(index – KN1, frequency – monthly)

Chapter 1. General Provisions

This explanation defines the requirements for filling out the form designed for the collection of administrative data, "Violation Card" (hereinafter – the Form).

Chapter 2. Filling out the Form

Information is submitted in the cases specified in paragraph 8 of the Rules.
In the line with code 11, the surname, first name, patronymic (if available) of an individual; the name of a legal entity or a branch (representative office) of a legal entity; the organizational and legal form (if available) are indicated.
In the line with code 16, the first 2 digits of the region code according to the national classifier of the Republic of Kazakhstan NK RK 11 "Classifier of Administrative-Territorial Objects" are indicated.
Lines with codes 21, 22 and 23 are not filled out for cases of violation of the deadlines for submitting documents or information.
In the line with code 21, the date of carrying out the currency operation with a violation of currency legislation is indicated.
In the line with code 22, the amount of the currency operation carried out with a violation of currency legislation, in thousands of units of the operation's currency, is indicated.
In the line with code 23, the letter designation of the currency code for the currency operation carried out with a violation of currency legislation, in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the presentation of currencies and funds", is indicated.
In the line with code 31, the type of violation in text and/or numeric format is indicated.
In the line with code 32, a brief description of the violation in text format is provided.
Lines with codes 34, 35 and 36 are filled out in the presence of a currency contract for the currency operation carried out with a violation of currency legislation.

Appendix 2
to the Rules for conducting currency operations in the Republic of Kazakhstan

Form

Information on Currency Operation

Code of the authorized bank ______

Number of the payment document ______

Date ______


Line Code	Type of Information	Information
01	Code of the currency operation
02	Payment (money transfer) indicator ("1" – intra-corporate money transfer; "0" – other payment (money transfer)
10	Information on the sender and beneficiary of the payment and/or money transfer specified in the payment document
11	Code of the sender's country of residence
12	Code of the beneficiary's country of residence
20	Information on the currency contract:
21	Number (name, if available) of the contract
22	Date of the contract
23	Account number of the contract (if available)
24	Other information on the currency contract (if available)
30	Information on the money sender under the currency contract (filled out in case of discrepancy with the money sender specified in the payment document)
31	Residence indicator
32	Surname, first name, patronymic (if available) of an individual Name of the legal entity, its branch (representative office)
33	IIN or BIN (if available)
34	Code of the economic sector
35	Code of the country of residence
40	Information on the money recipient under the currency contract (filled out in case of discrepancy with the beneficiary specified in the payment document)
41	Residence indicator
42	Surname, first name, patronymic (if available) of an individual. Name of the legal entity, its branch (representative office)
43	IIN or BIN (if available)
44	Code of the economic sector
45	Code of the country of residence

Note: the form is filled out in accordance with the explanation for filling out the form "Information on Currency Operation".

Appendix
to the form "Information on Currency Operation"

Explanation

on filling out the form "Information on Currency Operation"

Chapter 1. General Provisions

This explanation (hereinafter – the Explanation) defines the requirements for filling out the form "Information on Currency Operation" (hereinafter – the Form).
The form is filled out as an attachment to the corresponding payment document.

Chapter 2. Filling out the Form

Lines 01, 02, 11 and 12 are filled out by resident and non-resident clients. Lines 21, 22, 23, 24, 31, 32, 33, 34, 35, 41, 42, 43, 44 and 45 are filled out only by residents.
Line 01 is filled out in accordance with the table of currency operation codes, which is an appendix to the Explanation.
In lines 11, 12, 35 and 45, a two-digit code of the country of residence is indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK ISO 3166-1 "Codes for the presentation of names of countries and units of their administrative-territorial divisions. Part 1. Country codes".

Country of residence – the country of registration of a legal entity, a structural subdivision of a legal entity or the country of permanent residence of an individual (based on citizenship or the right provided in accordance with the legislation of the Republic of Kazakhstan or a foreign state).

Lines 31, 34, 41 and 44 are filled out in accordance with the Rules for the application of codes of economic sectors and payment purposes, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 31, 2016 No. 203 "On Approval of the Rules for the Application of Codes of Economic Sectors and Payment Purposes" (registered in the Registry of State Registration of Normative Legal Acts under No. 14365), which is consistent with the National Classifier of Economic Sectors (NCES).

Appendix
to the explanation on filling out the form

"Information on Currency Operation"

Table

Codes of Currency Operations


Currency Operation Codes		Operation Names
1. Operations using bank accounts
11. Foreign trade operations (goods, works, services), including under commission contracts and acquisition/repayment of electronic money
11.1 payments for goods:
1111		payments for goods imported into the territory of the Republic of Kazakhstan
1112		payments for goods exported from the territory of the Republic of Kazakhstan
1113		payments for goods purchased or sold within the territory of the Republic of Kazakhstan without their export beyond the territory of the Republic of Kazakhstan
1114		payments for goods purchased or sold outside the territory of the Republic of Kazakhstan without their import into the territory of the Republic of Kazakhstan
11.2 payments for works and services:
1121		payments for works or services performed or provided by a non-resident to a resident
1122		payments for works or services performed or provided by a resident to a non-resident
1123		payments for works or services provided by a resident to a resident
1124		payments for works or services performed or provided by a non-resident to a non-resident
11.3 operations with electronic money
1131		operations with electronic money issued by a resident
1132		operations with electronic money issued by a non-resident
11.4 other payments:
1141		ancillary payments under contracts for the supply of goods, performance of works, provision of services
1142		return of erroneously transferred amounts, as well as payments for undelivered goods, unprovided services, unperformed works
1143		other payments under contracts for the supply of goods, performance of works, provision of services
12. Operations with real estate, other equipment and vehicles (except purchase or sale), non-produced non-financial assets, objects of intellectual property, intangible assets
12.1. acquisition of ownership rights, including fractional participation in residential construction, full exclusive rights to objects of intellectual property
1211		acquisition of ownership rights to real estate, excluding property equated to real estate, non-produced non-financial assets (land, its subsoil)
1212		acquisition of ownership rights to property equated to real estate
1213		acquisition of full exclusive rights to objects of intellectual property
1214		acquisition of ownership rights to other intangible assets
12.2. current lease (including subsoil use rights), partial acquisition of exclusive rights
1221		lease of real estate, excluding property equated to real estate, non-produced non-financial assets (land, its subsoil)
1222		lease of property equated to real estate
1223		lease of equipment and vehicles
1224		acquisition of partial exclusive rights to objects of intellectual property
1225		license and other payments for the use of other intangible assets
12.3. financial leasing or lease with subsequent purchase
1231		lease of real estate, excluding property equated to real estate, with subsequent purchase
1232		financial leasing of property equated to real estate
1233		financial leasing of equipment and vehicles
12.4. other payments
1241		other payments: ancillary payments (fines, penalties, forfeits, commissions), return of erroneously transferred amounts and other payments for operations with real estate, other equipment and vehicles (except purchase or sale), non-produced non-financial assets, objects of intellectual property, intangible assets
13. Operations with financial instruments
13.1. loans, equity participation instruments, securities, derivative financial instruments
1311		payments on loans (issuance and attraction, repayment and income thereon)
1312		payments on derivative financial instruments and payment of income thereon
1313		equity participation (formation of authorized capital, purchase, sale)
1314		dividends (profit distribution)
1315		debt securities (issuance, purchase, sale, repayment, income thereon)
13.2. under brokerage service contracts, portfolio investment management contracts (if it is not possible to determine the financial instrument)
1321		operations under contracts concluded with a broker, resident management company
1322		operations under contracts concluded with a broker, management company, investment bank - non-resident
13.3. trust management of property, trusts
1331		operations under contracts concluded with a resident trustee
1332		operations under contracts concluded with a non-resident trustee
13.4. fulfillment of obligations of a participant in joint activity (except operations included in sections 1, 2)
1341		operations under contracts providing for the conduct of joint activity within the territory of the Republic of Kazakhstan
1342		operations under contracts providing for the conduct of joint activity outside the territory of the Republic of Kazakhstan
13.5. other payments
1351		other payments: ancillary payments (fines, penalties, forfeits, commissions), return of erroneously transferred amounts and other payments for operations with financial instruments, electronic money, under brokerage service contracts, portfolio investment management contracts, trust management, trust, joint activity
14. Payments and/or transfers of money on own accounts and non-trade operations
14.1. on own accounts
1411		transfer of money to own account (from own account) in another bank-resident
1412		transfer of money from (to) own (own) account (account) in a foreign bank, international financial organization
1413		withdrawal of cash foreign currency from an account in a bank-resident
1414		deposit of cash foreign currency to replenish an account in a bank-resident
1415		purchase by an authorized bank of foreign currency from a client, sale by a broker on behalf of a client of foreign currency for national currency, except for the operation provided for by code 1419
1416		sale by an authorized bank of foreign currency to a client, purchase by a broker on behalf of a client of foreign currency for national currency
1417		purchase (sale) by an authorized bank of foreign currency from a client (to a client), purchase (sale) by a broker on behalf of a client of foreign currency for another foreign currency
1418		purchase/sale of other currency values
1419		sale by a client of previously purchased and unused foreign currency within the established timeframes
14.2. payments and/or transfers of money in favor of third parties (state bodies, other organizations or individuals)
1421		gratuitous transfers of money, gratuitous financial assistance, membership fees and other payments and/or transfers of money in favor of third parties
1422		deposit of cash foreign currency to replenish a third party's account in a bank-resident
1423		payments using a payment card (if the operation is not classified otherwise)
1424		payment of duties, taxes, fines, court decisions and the like
1425		payment of pensions, salaries, travel expenses
1426		remuneration and commissions on bank accounts
14.3. ancillary payments
1431		other payments: ancillary payments (fines, penalties, forfeits, commissions), return of erroneously transferred amounts and other operations not included in sections 14.1, 14.2
15. operations with digital assets
1501		operations for the purchase of digital assets
1502		operations for the sale of digital assets
2. Operations without using bank accounts
21. Purchase of currency values from clients (except cash foreign currency)
2101		purchase of checks, bills of exchange, other payment documents
2102		purchase of standard bars of refined gold and other currency values
22. Sale of currency values to clients (except cash foreign currency)
2201		sale of checks, bills of exchange, other payment documents
2202		sale of standard bars of refined gold and other currency values
23. Payments and/or transfers of money without opening an account
2301		payment and/or transfer of money within the territory of the Republic of Kazakhstan
2302		payment and/or transfer of money sent outside the territory of the Republic of Kazakhstan or received from abroad
24. Payments and/or transfers of money on own accounts of an authorized bank that is a professional participant of the securities market
24.1. on own accounts
2415	purchase by an authorized bank, being a professional participant of the securities market, of foreign currency for its own purposes for national currency
2416	sale by an authorized bank, being a professional participant of the securities market, of foreign currency for its own purposes for national currency
2417	purchase (sale) by an authorized bank, being a professional participant of the securities market, of foreign currency for another foreign currency

Appendix 3
to the Rules for conducting currency operations in the Republic of Kazakhstan

Form, designed for the collection of administrative data

Submitted to: the central apparatus of the National Bank of the Republic of Kazakhstan

The form designed for the collection of administrative data on a gratuitous basis is posted on the internet resource: www.nationalbank.kz

Name of the administrative form: report on conducted currency operations

Index of the form designed for the collection of administrative data on a gratuitous basis: PR-9

Frequency: monthly

Reporting period: _______ month ____ year

Circle of persons submitting the form designed for the collection of administrative data on a gratuitous basis: authorized bank

Deadline for submitting the form designed for the collection of administrative data on a gratuitous basis: monthly until the 10th (tenth) day (inclusive) of the month following the reporting period

BIN: ______

Collection method: in electronic form


1. Details of the currency contract
Number of the currency contract	Date of the currency contract	Accounting number of the currency contract
1.1	1.2	1.3

continuation of the table


2. Sender of money on the payment document
Name or surname, first name, patronymic (if any)	Business Identification Number (hereinafter – BIN), Individual Identification Number (hereinafter – IIN)	Country Code	Residency Indicator	Economic Sector Code
2.1	2.2	2.3	2.4	2.5

continuation of the table


3. Beneficiary on the payment document
Name or surname, first name, patronymic (if any)	BIN, IIN	Country Code	Residency Indicator	Economic Sector Code
3.1	3.2	3.3	3.4	3.5

continuation of the table


4. Information on the currency operation
Date	Reference of the currency operation	Currency operation code	Payment Destination Code (PDC)	Amount in currency units	Payment currency code	Payment indicator	Indicator of intra-corporate money transfer	Type of operation related to money withdrawal, evasion from fulfilling the requirements of the currency legislation of the Republic of Kazakhstan
4.1	4.2	4.3	4.4	4.5	4.6	4.7	4.8	4.9

continuation of the table


5. Information on the organization (bank) of the counterparty to the currency operation
Organization (bank) identification code (BIC)	Name	Country Code	Cross-border payment indicator
5.1	5.2	5.3	5.4

continuation of the table


6. Sender of money on the currency contract
Name or surname, first name, patronymic (if any)	BIN, IIN	Country Code	Residency Indicator	Economic Sector Code
6.1	6.2	6.3	6.4	6.5

continuation of the table


7. Recipient of money on the currency contract
Name or surname, first name, patronymic (if any)	BIN, IIN	Country Code	Residency Indicator	Economic Sector Code
7.1	7.2	7.3	7.4	7.5

continuation of the table


8. Note

Name ______ Address______

Telephone ______

Email address ______

Executor ______ ______

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

Head or person authorized to sign the report

surname, first name and patronymic (if any) signature

Date «__» ______ 20_ year

Note: the form is filled out in accordance with the explanation for filling out the form designed for the collection of administrative data on a gratuitous basis, "Report on conducted currency operations".

Appendix
to the form designed for the collection of administrative data on a gratuitous basis, "Report on conducted currency operations"

Explanation

on filling out the form designed for the collection

of administrative data on a gratuitous basis

Report on conducted currency operations

(index – PR-9, frequency – monthly)

Chapter 1. General Provisions

This explanation defines the unified requirements for filling out the form designed for the collection of administrative data on a gratuitous basis, "Report on conducted currency operations" (hereinafter – the Form).
The Form is submitted by the authorized bank monthly and includes information on currency operations conducted by it, including on behalf of clients.
The Form is signed by the head or person authorized to sign the report, and the executor.

Chapter 2. Filling out the Form

The Form includes information on currency operations for the reporting period with an amount equal to or exceeding the threshold value determined by the Rules for conducting currency operations in the Republic of Kazakhstan, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated March 30, 2019 No. 40 "On Approval of the Rules for conducting currency operations in the Republic of Kazakhstan" (registered in the Registry of State Registration of Normative Legal Acts under No. 18512), (hereinafter – Rules for conducting currency operations in the Republic of Kazakhstan).
Currency operations are reflected in the Form:

for payments and/or transfers of money on behalf of clients (including those carried out using payment cards) – on the date of crediting money to the client's bank account in the authorized bank (debiting money from the client's bank account in the authorized bank);

for the authorized bank's own payments and/or transfers of money – on the date of crediting money to the authorized bank's correspondent account (debiting money from the authorized bank's correspondent account);

for other currency operations – on the date of the operation.

Information on payments and/or transfers of money on currency operations carried out using payment cards is corrected by the authorized bank as information on such payments and/or transfers of money is received from the resident or non-resident.

Parts 1, 6 and 7 of the Form are filled out in the event of carrying out currency operations based on a currency contract.
In Part 1 of the Form, the details of the currency contract are indicated. Column 1.3 is filled out if an accounting number has been assigned to the currency contract.
In Parts 2 and 3 of the Form, information on the sender of money and the beneficiary is indicated in accordance with the payment document.

In columns 2.3 and 3.3, the two-letter country code of registration (for a legal entity, branch (representative office) of a legal entity) or country of permanent residence (for an individual based on citizenship or a right granted in accordance with the legislation of the Republic of Kazakhstan or a foreign state) of the sender of money, beneficiary is indicated in accordance with the National Classifier of the Republic of Kazakhstan NC RK ISO 3166-1 "Codes for the representation of names of countries and units of their administrative-territorial divisions. Part 1. Country codes". In the absence of reliable information in the authorized bank about the country of registration or country of permanent residence of the sender of money or beneficiary, these columns are filled out based on the data of the payment document.

Columns 2.4, 2.5, 3.4 and 3.5 are filled out in accordance with the Rules for applying codes of economic sectors and payment destinations, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 31, 2016 No. 203 "On Approval of the Rules for applying codes of economic sectors and payment destinations" (registered in the Registry of State Registration of Normative Legal Acts under No. 14365), (hereinafter – Rules for applying codes of economic sectors and payment destinations), which is aligned with the National Classifier of Economic Sectors (NCES).

When depositing (withdrawing) cash from a bank account in Parts 2 and 3 of the Form, information on the account holder is filled out, except for cases of depositing (withdrawing) cash by a third party to a physical person's bank account. When a third party deposits cash to a physical person's bank account, in Part 2 of the Form, information on the person depositing the money is filled out, in Part 3 of the Form – on the account holder.

When a third party withdraws cash from a physical person's bank account, in Part 2 of the Form, information on the account holder is filled out, in Part 3 of the Form, information on the person withdrawing the money is filled out.

When an authorized bank sells foreign currency, checks, bills of exchange, other payment documents or other currency values, in Part 2 of the Form, information on the authorized bank is reflected, in Part 3 of the Form – on the buyer.

When an authorized bank purchases foreign currency, checks, bills of exchange, other payment documents or other currency values, in Part 2 of the Form, information on the seller is reflected, in Part 3 of the Form – on the authorized bank.

In Part 4 of the Form, information on the currency operation is indicated.

In column 4.1, the date of the currency operation must correspond to the reporting period.

In column 4.2, the reference of the currency operation is indicated, consisting of four parts:

1) in the first part, the three-digit code of the authorized bank assigned by the National Bank of the Republic of Kazakhstan in accordance with the Instruction on the assignment, use and cancellation by the National Bank of the Republic of Kazakhstan of bank identification codes, as well as the assignment and cancellation of codes of banks, branches of banks-non-residents of the Republic of Kazakhstan and organizations carrying out certain types of banking operations, and codes of branches of banks and organizations carrying out certain types of banking operations, their structure, formation and maintenance of the Bank Directory, branches of banks-non-residents of the Republic of Kazakhstan and organizations carrying out certain types of banking operations, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated October 27, 2020 No. 128 "On Approval of the Instruction on the assignment, use and cancellation by the National Bank of the Republic of Kazakhstan of bank identification codes, as well as the assignment and cancellation of codes of banks, branches of banks-non-residents of the Republic of Kazakhstan and organizations carrying out certain types of banking operations, and codes of branches of banks and organizations carrying out certain types of banking operations, their structure, formation and maintenance of the Bank Directory, branches of banks-non-residents of the Republic of Kazakhstan and organizations carrying out certain types of banking operations" (registered in the Registry of State Registration of Normative Legal Acts under No. 21593), (hereinafter – Instruction No. 128);

2) in the second part, the code of the branch of the authorized bank according to Instruction No. 128, consisting of three digits, is indicated;

3) in the third part, the sequential number of the currency operation in the report is indicated;

4) in the fourth part, the reporting date in the "DDMMYYYY" format is indicated.

For professional participants of the securities market, codes for the first and second parts of the reference are assigned in accordance with the codes assigned to professional participants of the securities market by JSC "Kazakhstan Stock Exchange" as members of JSC "Kazakhstan Stock Exchange".

The reference of each currency operation must be unique.

Column 4.3 is filled out in accordance with Appendix 2 to the Rules for conducting currency operations in the Republic of Kazakhstan.

Column 4.4 is filled out in accordance with the Rules for applying codes of economic sectors and payment destinations.

In column 4.5, the amount is indicated in currency units and rounded to the nearest whole value by mathematical rounding.

In column 4.6, the three-letter alphabetic code of the currency is indicated in accordance with the National Classifier of the Republic of Kazakhstan NC RK 07 ISO 4217 "Codes for the representation of currencies and funds".

In column 4.7, "01" is indicated – for sent payments or transfers of money, operations on withdrawal of cash foreign currency or sale by an authorized bank of foreign currency, checks, bills of exchange, other payment documents or other currency values, "02" – for incoming payments or transfers of money, operations on crediting cash foreign currency or purchase by an authorized bank of foreign currency, checks, bills of exchange, other payment documents or other currency values.

In column 4.8, "1" is indicated if the payment and/or transfer of money is carried out between a legal entity and its structural subdivisions or between structural subdivisions of one legal entity, in other cases "0" is indicated.

Column 4.9 is filled out in accordance with paragraphs 19, 20 and 21 of the Rules for conducting currency operations in the Republic of Kazakhstan as follows:

"1.1" – financial loan providing for the provision of money by a non-resident to a resident (except for an authorized bank), if the terms of the corresponding currency contract (initially or after making changes and/or additions to the currency contract) do not provide for the transfer of money to be received from the non-resident to the bank accounts of the resident in authorized banks;

"1.2" – financial loan providing for the emergence of a resident's (except for an authorized bank) claims against a non-resident for the return of money, if the terms of the corresponding currency contract (initially or after making changes and/or additions to the currency contract) do not provide for the transfer of money to be received from the non-resident to the bank accounts of the resident in authorized banks;

«1.3» – export operations, if the terms of the corresponding currency contract (initially or after amendments and/or additions to the currency contract) provide that the term for the non-resident's performance of obligations for payment for exports exceeds seven hundred twenty days from the date of the resident's performance of obligations;

«1.4» – import operations, if the terms of the corresponding currency contract (initially or after amendments and/or additions to the currency contract) provide that the term for the non-resident's performance of obligations for the supply of goods (performance of works, provision of services) or for the return of money, including an advance payment or prepayment in full (in the event of the non-resident's non-performance of its import obligations), exceeds seven hundred twenty days from the date of the resident's performance of obligations;

«1.5» – transfer of money by a resident to a non-resident – a professional participant of the securities market, carrying out currency operations on behalf of clients, for an amount exceeding fifty thousand US dollars in equivalent;

«1.6» – transfer of money by a resident to its own account abroad for an amount exceeding fifty thousand US dollars in equivalent;

«1.7» – gratuitous transfer of money, carried out by a resident in favor of a non-resident for an amount exceeding fifty thousand US dollars in equivalent;

«2.1» – payments and/or transfers of money by one person for a calendar month under two or more currency contracts concluded with the same non-resident, for a total amount exceeding the threshold value, above which such currency contracts are subject to assignment of an account number;

«2.2» – operations by a non-resident to purchase in one authorized bank in one working day non-cash foreign currency for national currency for an amount exceeding fifty thousand US dollars in equivalent, if the source of origin of money in national currency is not related to the non-resident's receipt of money from the sale of goods (performance of works, provision of services) to a resident, sale of other financial assets for national currency, receipt of dividends in national currency from activities within the territory of the Republic of Kazakhstan, return by state revenue bodies of taxes and other mandatory payments previously paid by the non-resident to the budget, and other economically justified sources of origin of national currency;

«3.1» – financial loan, providing for the provision of money by a resident to a non-resident who is not an affiliated person, if the terms of the corresponding currency contract (initially or after amendments and/or additions to the currency contract) do not provide for the payment of remuneration for the use of the subject of the financial loan;

«0» – in other cases.

In Part 5 of the Form, information about the organization (bank) of the counterparty to the currency operation is indicated – the organization (bank) of the sender of money for received payments and/or transfers of money, the organization (bank) of the beneficiary for sent payments and/or transfers of money. For intra-bank currency operations, information about the reporting authorized bank is indicated. If the documents on the basis of which the payment and/or transfer of money is carried out do not contain information about the organization (bank) of the sender of money, Part 5 of the Form is not filled.

In column 5.3, the two-letter code of the country of the organization (bank) of the sender of money or beneficiary is indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK ISO 3166-1 "Codes for the representation of names of countries and units of their administrative-territorial divisions. Part 1. Country codes". For intra-bank currency operations, the code "KZ" is indicated.

In column 5.4, "1" is indicated under the following conditions:

1) if the country from which the payment and/or transfer of money was initiated (the country where the bank account of the primary sender of money, from which the payment and/or transfer of money was sent, is located, is different from the Republic of Kazakhstan;

2) if the country to which the payment and/or transfer of money was sent (the country where the bank account of the final beneficiary, to which money was credited, is located, is different from the Republic of Kazakhstan.

In other cases, "2" is indicated.

Parts 6 and 7 of the Form contain information about the sender or recipient of money under the currency contract. If the sender (recipient) of money under the currency contract coincides with the sender of money (beneficiary) under the payment document, then Part 6 (7) of the Form is filled with information similar to Part 2 (3) of the Form.

In columns 6.3 and 7.3, the two-letter code of the country of registration (for a legal entity, branch (representation) of a legal entity) or country of permanent residence (for an individual based on citizenship or a right granted in accordance with the legislation of the Republic of Kazakhstan or a foreign state) of the sender or recipient of money under the currency contract is indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK ISO 3166-1 "Codes for the representation of names of countries and units of their administrative-territorial divisions. Part 1. Country codes". If the authorized bank does not have reliable information about the country of registration or country of permanent residence of the sender of money or beneficiary, these columns are filled based on the data of the payment document.

Columns 6.4, 6.5, 7.4 and 7.5 are filled in accordance with the Rules for applying codes of economic sectors and payment purposes, which is consistent with the National Classifier of Economic Sectors (NCS).

Part 8 of the Form contains additional information not included in Parts 1, 2, 3, 4, 5, 6 and 7 of the Form: information about the investment object, issuer of securities, country of the real estate object, special payment conditions, date of crediting money to the storage account according to the sender's instructions under currency legislation.
The absence of clarifying information in Part 8 of the Form is not a violation. Including in the Form of currency operations for an amount less than the established threshold is not a violation.
In the absence of information for the reporting period, the Form is submitted with zero values.
Corrections (changes, additions) to the Form are made until the 20th (twentieth) day (inclusive) of the month following the reporting month.
The following currency operations on behalf of clients are not included in the form:

1) currency operations of participants of the Astana International Financial Center;

2) purchase (sale) of cash foreign currency through exchange offices;

3) client transfers to their accounts within one authorized bank (including intra-corporate transfers);

4) withdrawal (crediting) of cash tenge by a non-resident from their own account (to their own account) in an authorized bank;

5) operations related to obtaining a loan from the reporting authorized bank (issuance, repayment, payment of interest and commissions);

6) payment of wages by a legal entity under a payroll project (for resident and non-resident clients);

7) operations on "Loro" accounts on behalf of clients of other banks;

8) operations of individuals using payment cards for an amount less than fifty thousand US dollars in equivalent;

9) operations without opening and using a bank account;

10) deposits of clients of the reporting authorized bank (opening, closing, payment of remuneration to an account in the reporting authorized bank);

11) non-cash purchase and/or sale of foreign currency by clients of authorized banks that are professional participants of the securities market and are authorized banks.

The following own currency operations of the authorized bank are not included in the form:

1) payments and transfers on the authorized bank's own accounts, including intra-corporate transfers;

2) operations related to the issuance/receipt of loans by the reporting authorized bank (issuance, repayment, receipt of interest and commissions);

3) over-the-counter transactions in foreign currency (except for transactions carried out by professional participants of the securities market that are authorized banks);

4) operations related to interbank loans and deposits, including overnight operations, of the reporting authorized bank;

5) operations with derivative financial instruments and debt securities (except for operations of issuers of debt securities);

6) netting of settlements within payment systems, money transfer systems;

7) operations within custodial services;

8) operations on transit accounts;

9) operations with cash foreign currency (import, export, crediting or withdrawal from accounts);

10) payments and/or transfers of money by professional participants of the securities market that are authorized banks, including in execution of client orders.

Appendix 8

to the List of certain resolutions

of the Board of the National Bank

of the Republic of Kazakhstan

on which amendments are made

regarding currency regulation

and currency control

Approved

by resolution of the Board

of the National Bank

of the Republic of Kazakhstan

of April 10, 2019 No. 64

Rules

for monitoring currency operations in the Republic of Kazakhstan

Chapter 1. General Provisions

The Rules for monitoring currency operations in the Republic of Kazakhstan (hereinafter – the Rules) are developed in accordance with subparagraph 41) of the second paragraph of part two of point 19 of the Regulation on the National Bank of the Republic of Kazakhstan, approved by the Decree of the President of the Republic of Kazakhstan dated December 31, 2003 No. 1271 "On Approval of the Regulation and Structure of the National Bank of the Republic of Kazakhstan" (hereinafter – the Regulation on the National Bank), subparagraph 2) of point 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics" and determine the procedure for carrying out monitoring of currency operations in the Republic of Kazakhstan.
Concepts and terms used in the Rules are applied in the meanings specified in the Digital Code of the Republic of Kazakhstan and in the Law of the Republic of Kazakhstan "On Currency Regulation and Currency Control" (hereinafter – the Law on Currency Regulation and Currency Control).

For the purposes of the Rules, the following concepts are also used:

1) securities of non-resident issuers – financial instruments recognized as securities in accordance with the legislation of the Republic of Kazakhstan and/or the country of the issuer, including depositary receipts, the underlying asset of which are securities of non-resident issuers;

2) register of account numbers – a list of active account numbers assigned by the National Bank of the Republic of Kazakhstan (hereinafter – the National Bank) to currency contracts, on the basis and/or in execution of which capital movement operations and operations equivalent to them are carried out, and accounts in foreign banks, international financial organizations, as well as active numbers of registration certificates, notification certificates;

3) investment object – a legal entity, a mutual fund, shares, participation interests, units of which are acquired (acquired), as well as a legal entity, a simple partnership, a consortium, to the property of which property contributions are made (made). In the event of operations with depositary receipts, the investment object is the issuer of the security that is their underlying asset;

4) investor – an individual or legal entity to whom the right of ownership to the investment object passes (passed);

5) currency contract for capital movement – agreements, charter documents, including amendments and/or additions to them, as well as other documents, on the basis and/or in execution of which capital movement operations and operations equivalent to them are carried out;

6) own operations – operations of a resident who is a party to a currency contract, carried out in their own name;

7) securities of resident issuers – financial instruments recognized as securities in accordance with the legislation of the Republic of Kazakhstan, including depositary receipts, the underlying asset of which are securities of resident issuers;

8) registration certificate – a document issued by the National Bank upon registration of a currency contract before the introduction of the Rules into force and not invalidated;

9) notification certificate – a document issued by the National Bank for a currency contract or an account in a foreign bank before the introduction of the Rules into force and not invalidated;

Assignment of account numbers to currency contracts for capital movement and operations equivalent to them, accounts of residents in foreign banks, international financial organizations is carried out without any obligations on the part of the National Bank. The presence of an account number is not grounds for exemption from liability for violation of the requirements of the legislation of the Republic of Kazakhstan.
A document confirming the occurrence of circumstances provided for in subparagraph 9) of part one of point 15 and subparagraph 4) of part one of point 22 of the Rules is a court decision or a document of an authorized state body of a foreign state on the registration of death, declaration of death, recognition of incapacity or limited capacity of a non-resident individual, liquidation of a non-resident legal entity. If these documents are in a foreign language, a translation into Kazakh or Russian is also provided.
If the term for submitting information, reports and/or other documents established by the Rules expires on a non-working day, the corresponding term is transferred to the next working day.
If the Rules do not provide otherwise, the provisions of the Rules established in relation to legal entities (except for banks, branches of non-resident banks of the Republic of Kazakhstan carrying out activities within the territory of the Republic of Kazakhstan) apply to their branches and representations.
The register of account numbers is posted on the official Internet resource of the National Bank.

Chapter 2. Procedure for monitoring currency operations

Paragraph 1. Assignment of account numbers to currency contracts

for capital movement

An account number is subject to assignment to a currency contract for capital movement, under which it is provided:

1) receipt of property (money) into the Republic of Kazakhstan and/or the emergence of obligations by a resident to return property (money) to a non-resident for an amount exceeding 500,000 (five hundred thousand) US dollars (hereinafter – USA) in equivalent (without accrual of remuneration, commissions, fines and other payments);

2) transfer of property (transfer of money) from the Republic of Kazakhstan and/or the emergence of a resident's claim for the return of property (money) by a non-resident for an amount exceeding 500,000 (five hundred thousand) US dollars in equivalent (without accrual of remuneration, commissions, fines and other payments).

If the amount of the contract is not specified in a currency contract for capital movement on the date of its signing (in the absence of such date – on the date of entry into force), the currency contract for capital movement is considered as a contract subject to assignment of an account number.

For the purposes of determining the need to assign an account number to a currency contract for capital movement, in which the amount of the contract is expressed in a currency other than the US dollar, and there is no indication of the exchange rate to the US dollar, the calculation of the equivalent of the amount of the currency contract in US dollars is carried out using the market exchange rate of currencies on the date of signing the currency contract (in the absence of such date – on the date of entry into force of the currency contract).

When making amendments and/or additions to a currency contract for capital movement, increasing its amount, increasing the amount of a currency operation by concluding a novation contract, the calculation of the equivalent in US dollars of the increase in the amount of the currency contract is carried out using the market exchange rate of currencies on the date of signing the additional agreement, novation contract (in the absence of such date – on the date of entry into force of the additional agreement, novation contract).

For a currency contract for capital movement, the amount of which does not exceed the threshold value specified in point 8 of the Rules, with a factual increase in the amount of the contract without making corresponding changes to the currency contract, the calculation of the equivalent in US dollars of the amount of actually performed obligations under the currency contract is carried out using the market exchange rate of currencies on the date of carrying out the corresponding operations.

When a resident accepts the right of claim to a non-resident or debt to a non-resident as a result of assignment of claim or transfer of debt, the amount of the currency contract is recognized as the transferred (accepted) amount of the claim or debt, respectively, including the amount of the claim or debt for remuneration, commissions, fines and other payments.

A resident – a participant in a currency contract for capital movement applies for assignment of an account number to a currency contract for capital movement to a territorial branch of the National Bank located at the place of their permanent residence (for an individual) or location (for a legal entity).

An individual resident living outside the Republic of Kazakhstan applies for assignment of an account number to a currency contract for capital movement to a territorial branch of the National Bank at the place of registration (residence).

A resident – a participant in a currency contract for capital movement applies for assignment of an account number to a currency contract for capital movement before the start of performance of obligations under such currency contract by any of its parties. If performance of obligations under a currency contract is first started by its participant – a non-resident, and this performance is related to the transfer of property (receipt of money) in favor of a resident, then a resident – a participant in a currency contract for capital movement applies for assignment of an account number to such a currency contract before receiving property (money) into their disposal.

A resident – a participant in a currency contract for capital movement applies for assignment of an account number to a currency contract for capital movement, the amount of which does not exceed the threshold value specified in point 8 of the Rules, before the start of performance by one of the parties of the contract of an obligation that will entail a factual exceedance of the amount of the currency contract of the threshold value specified in point 8 of the Rules.

A resident who has accepted the right of claim to a non-resident or accepted debt to a non-resident as a result of assignment of claim or transfer of debt, gratuitous transfer, inheritance, occurrence of a guarantee case, by court decision, applies for assignment of an account number to a currency contract for capital movement no later than 60 (sixty) calendar days from the day such claim (debt) arose, but before the start of performance of obligations under the arising claim (debt) by any of its parties.

A resident to whom the right of ownership to real estate abroad (except for individual residents) passes, to a share in the capital of a non-resident legal entity as a result of acquisition from a resident, gratuitous transfer, inheritance, by court decision, applies for assignment of an account number to a currency contract for capital movement no later than 60 (sixty) calendar days from the day the right of ownership passes, but before the alienation of such right of ownership.

When replacing the initial obligation that existed between a resident (exporter or importer) and a non-resident with another obligation between the same persons, providing for a different subject or method of performance of the obligation and relating to capital movement operations, a resident applies for assignment of an account number to a currency contract for capital movement no later than 60 (sixty) calendar days from the day of replacement, but before the start of performance of obligations by any of its parties.

A resident – a participant in a currency contract for capital movement applies for assignment of a new account number to a currency contract for capital movement on the grounds provided for in point 14 of the Rules, no later than 60 (sixty) calendar days from the day the specified changes occurred.

For assignment of an account number to a currency contract for capital movement, a resident – a participant in such a currency contract submits to the National Bank:

1) an application for assignment of an account number to a currency contract for capital movement in the form according to Appendix 1 to the Rules;

2) a copy of a document confirming the right of permanent residence in the Republic of Kazakhstan (for foreigners or stateless persons);

3) copies of a currency contract for capital movement and amendments and/or additions to it, concerning obligations under a currency contract for capital movement. If a currency contract for capital movement is concluded in a foreign language, its translation into Kazakh or Russian is provided.

In the event of performance of obligations under a currency contract for capital movement before applying for assignment of an account number to such a currency contract, a resident – a participant submits to the territorial branch of the National Bank copies of documents confirming the occurrence, performance and termination of obligations.

For assignment of a new account number in cases provided for in point 14 of the Rules, the documents specified in subparagraphs 2) and 3) of part one and part two of this point of the Rules are not submitted again, if they have not changed since the last submission to the National Bank.

An account number is assigned to a currency contract for capital movement by a territorial branch of the National Bank within 5 (five) working days from the date of submission by a resident of documents and information in full volume specified in point 12 of the Rules, and is included in the register of account numbers.

The account number, the date of its assignment are indicated on the first page of the copy of the currency contract for capital movement with certification by the signature of an authorized employee and the seal of the territorial branch of the National Bank.

A territorial branch of the National Bank carries out classification of a capital movement operation and an operation equivalent to it and notifies a resident – a participant in a currency contract for capital movement, to whom an account number is assigned, of the need to submit a report in accordance with points 23 and 24 of the Rules.

Assignment of a new account number to a currency contract for capital movement, to which an account number is assigned, is required upon changes in the following information:

1) currency of a currency contract for capital movement;

2) participants of a currency contract for capital movement, if the change entails a change of persons in the claims or obligations of a resident – a participant in a currency contract for capital movement;

3) subject of a currency contract, if the change entails reclassification of a capital movement operation, an operation equivalent to it and/or change of the form of the report;

4) identification data of non-resident participants of a currency contract (surname, name, patronymic (if any), country of permanent residence of an individual, including based on citizenship or a right granted in accordance with the legislation of a foreign state, name, country of registration of a legal entity, branch (representation) of a legal entity);

5) identification data of a resident – a participant in a currency contract, being a legal entity, in connection with its merger, accession, division, separation.

Assignment of a new account number to a currency contract for capital movement, to which an account number is assigned, is not required upon changes in the following information:

1) changes in creditors in syndicated loan contracts attracted by a resident, with the preservation of the agent bank;

2) identification data of a resident - participant of a currency contract: the name of a legal entity, surname, first name, patronymic (if any) of an individual. In this case, the resident reports changes in identification data to the territorial branch of the National Bank at the place of their permanent residence or registration (for an individual) or location (for a legal entity).

Assignment of a new account number is not required when restating a capital movement currency contract in a new edition that does not provide for changes in information in accordance with the first part of this paragraph.

An assigned account number for a capital movement currency contract is excluded from the registry of account numbers in the territorial branch of the National Bank in the following cases:

1) upon assignment of a new account number in cases provided for in paragraph 14 of the Rules;

2) upon changes to the terms of a capital movement currency contract or other information, as a result of which the amount of the currency contract is set below the threshold value specified in paragraph 8 of the Rules, or the currency contract is not subject to assignment of an account number in accordance with paragraph 16 of the Rules;

3) in the absence of performance of obligations by the parties to the capital movement currency contract after the expiration of three years from the date of assignment of the account number and (or) in the absence of performance of obligations by the parties to the currency contract with an expired term of action and (or) expired term for performance of obligations;

4) upon complete termination of obligations between the parties and (or) upon complete performance of obligations for actually received (provided) funds and absence of operations under the currency contract for the following three years;

5) upon completion of ownership of the asset;

6) upon change of residence of the party to the capital movement currency contract, as a result of which operations under the contract will not be capital movement operations;

7) upon entry of information into the National Registry of Business Identification Numbers regarding the cessation of activities of a resident legal entity;

8) upon death, declaration of death, recognition of incapacity or limited capacity of a resident individual and absence of a successor;

9) upon death, declaration of death, recognition of incapacity or limited capacity of a non-resident individual, liquidation of a non-resident legal entity that is a party to the capital movement currency contract;

10) upon expiration of three years after the capital movement currency contract was placed on separate accounting and absence of performance of obligations under the currency contract.

Subparagraph 4) of the first part of this paragraph does not apply to cases where the resident is an investment object, participates in the capital of the investment object, acquires ownership rights to real estate abroad under a capital movement currency contract to which an account number has been assigned.

In cases provided for in subparagraphs 2), 3), 4), 5), 6) and 9) of the first part of this paragraph, the resident submits an application in the form according to Appendix 1 to the Rules to exclude the account number from the registry of account numbers.

In cases provided for in subparagraphs 2), 4), 5), 6) and 9) of the first part of this paragraph, together with the application, the resident submits copies of documents confirming the occurrence of the circumstances indicated in the application.

A capital movement currency contract with an assigned account number is subject to separate accounting in the territorial branch of the National Bank in the absence of the resident at the place of their permanent residence, registration or location. The territorial branch of the National Bank, together with other state bodies within their competence, annually conducts work to establish the location of the resident.

An application in the form according to Appendix 1 to the Rules in cases provided for in subparagraphs 2), 3), 4), 5) and 6) of the first part of this paragraph is submitted by the resident no later than 60 (sixty) calendar days from the date of occurrence of the indicated cases.

Exclusion of the account number of a capital movement currency contract from the registry of account numbers is carried out by the territorial branch of the National Bank within 10 (ten) working days after the resident submits in full the documents and information provided for by this paragraph of the Rules.

The following currency contracts for capital movement are not subject to assignment of an account number:

1) currency contracts for capital movement, the participants of which are the National Bank and (or) the Ministry of Finance of the Republic of Kazakhstan;

2) currency contracts for capital movement, the sole resident participant (sole resident participants) of which is (are) a participant (participants) of the Astana International Financial Centre;

3) agreements on state external loans of the Republic of Kazakhstan, non-state external loans having state guarantees of the Republic of Kazakhstan.

Currency contracts are not subject to assignment of an account number in the framework of which the following capital movement operations and operations equated to them are provided:

1) carried out by foreign branches of the Republic of Kazakhstan, branches (representative offices) of foreign organizations carrying out their activities on the territory of the Republic of Kazakhstan;

2) own capital movement operations of banks, insurance (reinsurance) organizations, brokers and (or) dealers, management companies, branches of non-resident banks of the Republic of Kazakhstan and branches of non-resident insurance (reinsurance) organizations of the Republic of Kazakhstan carrying out their activities on the territory of the Republic of Kazakhstan;

3) operations related to investing own and (or) pension assets of the Unified Accumulative Pension Fund and voluntary accumulative pension funds;

4) placement, redemption, acquisition, sale:

state securities of the Republic of Kazakhstan;

securities of a resident issuer issued in accordance with the legislation of another state and on its territory (including depositary receipts, the underlying asset of which are securities of a resident issuer);

securities of a non-resident issuer issued in accordance with the legislation of the Republic of Kazakhstan (including Kazakh depositary receipts);

5) acquisition in the secondary market:

by a resident from a non-resident of debt securities of a resident issuer issued in accordance with the legislation of the Republic of Kazakhstan;

by a non-resident from a resident of debt securities of a non-resident issuer issued in accordance with the legislation of another state and on its territory;

6) operations of residents carried out on the basis of a brokerage services agreement concluded with a resident broker, or on the basis of an investment portfolio management agreement concluded with a resident investment portfolio manager;

7) acquisition of full exclusive rights to the results of intellectual creative activity;

8) operations of resident individuals:

carried out on the basis of a brokerage services agreement concluded with a non-resident broker;

carried out on the basis of an investment portfolio management agreement concluded with a non-resident investment portfolio manager;

related to the transfer of ownership rights to real estate;

related to the gratuitous transfer of money and other currency values, real estate;

9) operations of residents within the framework of options programs for securities of non-resident issuers for employees of resident legal entities;

10) operations on assignment of claim rights, transfer of debt, cession, if the basis of such claim or obligation is a currency contract for export or import.

An account number is not assigned:

1) to an agreement on the gratuitous transfer by a resident to a non-resident (by a non-resident to a resident) of money or other currency values or ownership rights to real estate abroad, if as a result of such transfer obligations are fulfilled or terminated or ownership rights to currency values, to real estate abroad under a capital movement currency contract to which an account number was previously assigned are alienated;

2) to an agreement on the sale by a resident to a non-resident of shares, participation shares in the capital of a non-resident investment object, real estate abroad, if an account number was previously assigned to a capital movement currency contract for the resident's participation in the capital (acquisition by the resident of shares, participation shares) of a non-resident investment object, for the acquisition of real estate abroad into ownership;

3) to an agreement on the buyback by a resident investment object from a non-resident of its own shares, participation shares in the capital, if an account number was previously assigned to a capital movement currency contract for the non-resident's participation in the capital of a resident investment object;

4) to advances for participation in auctions for collateral property - securities, capital participation instruments, real estate.

Paragraph 2. Assignment of account numbers to accounts of resident legal entities in foreign banks, international financial organizations

Bank, unallocated metal accounts in a foreign bank, international financial organization are subject to assignment of account numbers, with the exception of an account opened by an individual, a bank, a branch (representative office) of a foreign organization carrying out its activities on the territory of the Republic of Kazakhstan, and a participant of the Astana International Financial Centre.
A resident legal entity for assignment of an account number to an account in a foreign bank, international financial organization opened by it or its branch (representative office), applies to the territorial branch of the National Bank located at the place of its location, prior to carrying out operations using such an account.
For assignment of an account number to an account in a foreign bank, international financial organization, a resident legal entity submits to the territorial branch of the National Bank:

1) an application in the form according to Appendix 1 to the Rules;

2) a copy of the document of the foreign bank, international financial organization on the opening of an account with the specified account details. If the document is in a foreign language, its translation into Kazakh or Russian is submitted.

For assignment of a new account number in cases provided for in paragraph 21 of the Rules, the documents specified in subparagraph 2) of the first part of this paragraph are not submitted again if they have not changed since the last submission to the National Bank.

An account number to an account in a foreign bank, international financial organization is assigned by the territorial branch of the National Bank within 5 (five) working days from the date of submission by the resident legal entity in full of the documents and information provided for by paragraph 19 of the Rules, and is included in the registry of account numbers.

The account number, the date of its assignment are indicated on the first page of the document of the foreign bank, international financial organization on the opening of an account with the certification of the signature of an authorized employee and the seal of the territorial branch of the National Bank.

The territorial branch of the National Bank notifies the resident legal entity of the need to submit a report in accordance with paragraphs 23 and 25 of the Rules for an account in a foreign bank, international financial organization to which an account number has been assigned.

Assignment of a new account number to an account in a foreign bank, international financial organization to which an account number has been assigned is required upon changes in the following information:

1) name of the foreign bank, international financial organization;

2) identification data of the resident legal entity in connection with its merger, accession, division, separation.

An assigned account number to an account in a foreign bank, international financial organization is excluded from the registry of account numbers in the territorial branch of the National Bank in the following cases:

1) upon assignment of a new account number in cases provided for in paragraph 21 of the Rules;

2) upon closure of the account;

3) upon entry of a record into the National Registry of Business Identification Numbers regarding the cessation of activities of the resident legal entity;

4) upon liquidation of the foreign bank, international financial organization;

5) upon expiration of three years after the account in a foreign bank, international financial organization was placed on separate accounting and absence of money movement in it.

In cases provided for in subparagraphs 2) and 4) of the first part of this paragraph, the resident legal entity for exclusion of the account number assigned to an account in a foreign bank, international financial organization from the registry of account numbers submits an application in the form according to Appendix 1 to the Rules no later than 60 (sixty) calendar days from the date of occurrence of the indicated cases.

In cases provided for in subparagraphs 2) and 4) of the first part of this paragraph, the resident legal entity submits copies of documents confirming the occurrence of the circumstances indicated in the application.

An account in a foreign bank, international financial organization with an assigned account number is subject to separate accounting in the territorial branch of the National Bank in the absence of the resident legal entity at the place of its permanent location. The territorial branch of the National Bank, together with other state bodies within their competence, annually conducts work to establish the location of the resident legal entity.

An assigned account number to an account in a foreign bank, international financial organization is excluded from the registry of account numbers by the territorial branch of the National Bank within 10 (ten) working days after the resident legal entity submits in full the documents and information provided for by this paragraph.

Paragraph 3. Monitoring of money movement and other performance of obligations under capital movement currency contracts and accounts in foreign banks, international financial organizations

A resident quarterly by the 10th (tenth) day (inclusive) of the month following the reporting period submits to the territorial branch of the National Bank at the place of their permanent residence (for an individual) or location (for a legal entity) reports in forms in accordance with paragraphs 24 and 25 of the Rules.

A resident individual residing outside the Republic of Kazakhstan submits the specified reports to the territorial branch of the National Bank at the place of registration (propiska).

Submission of reports begins with the report for the period including the date of assignment of the account number, and ends with the report for the period in which the capital movement currency contract or account in a foreign bank, international financial organization is excluded from the registry of account numbers.

A resident - participant of a capital movement currency contract to which an account number has been assigned submits the following reports:

1) for financial loans – a report on the utilization and servicing of a financial loan in the form according to Appendix 2 to the Rules;

2) for the resident's participation in the capital of a non-resident investment object, for the resident's acquisition of shares, participation shares in the capital of a non-resident – a report on participation in the capital of an investment object in the form according to Appendix 3 to the Rules;

3) for the non-resident's participation in the capital of a resident investment object, for the resident's acquisition from a non-resident (sale by the resident to a non-resident) of shares, participation shares in the capital of a resident – a report on participation in the capital of an investment object in the form according to Appendix 3 to the Rules;

4) for operations with securities (except for participation in capital), derivative financial instruments – a report on the performance of obligations in the form according to Appendix 4 to the Rules;

5) for operations related to the acquisition of ownership rights to real estate, acquisition of full exclusive rights to means of individualization of participants in civil turnover, goods, works or services, transfer of money and other property in fulfillment of obligations of a participant in joint activity, trust management, trust – a report on the performance of obligations in the form according to Appendix 4 to the Rules;

6) for operations related to the transfer of money and financial instruments to professional participants of the securities market carrying out currency operations on behalf of clients, to accounts for accounting and storage of money and (or) financial instruments belonging to clients – a report on the performance of obligations in the form according to Appendix 4 to the Rules;

7) for gratuitous transfer of money, other currency values and real estate – a report on the performance of obligations in the form according to Appendix 4 to the Rules.

A resident legal entity for an account in a foreign bank, international financial organization to which an account number has been assigned submits the following reports:

1) a report on an account in a foreign bank, international financial organization opened by its branch (representative office) with a location outside the Republic of Kazakhstan – a report on the performance of obligations in the form according to Appendix 4 to the Rules;

2) in cases not specified in subparagraph 1) of the first part of this paragraph of the Rules – a report on money movement in an account in a foreign bank, international financial organization in the form according to Appendix 5 to the Rules.

A resident who has submitted a report in accordance with paragraph 23 of the Rules, upon request of the National Bank within the timeframes specified in the request, submits:

1) copies of documents confirming the occurrence, performance and termination of obligations under a capital movement currency contract;

2) information on forecast data on the utilization of funds and repayment of debt on financial loans;

3) financial reporting of the investment object on participation in capital;

4) an extract from a foreign bank, international financial organization on carried out payments and (or) transfers of money and on the amount of money in the account in a foreign bank.

A resident under a capital movement currency contract or account in a foreign bank, international financial organization with an account number notifies in writing to the territorial branch of the National Bank no later than 60 (sixty) calendar days from the date:

1) of making changes and (or) additions to a capital movement currency contract, conclusion of another currency contract or changes and (or) additions to it, signing or entry into force of documents related to the implementation of a capital movement operation and (or) an operation equated to it, - at the place of their permanent residence or registration (for an individual) or location (for a legal entity) about such changes and (or) additions with submission of copies of the corresponding documents;

2) of changes in identification data of resident participants and (or) non-resident participants of a capital movement currency contract (surname, first name, patronymic (if any), country of permanent residence, including on the basis of citizenship or a right granted in accordance with the legislation of a foreign state, of an individual, name, country of registration of a legal entity, branch (representative office) of a legal entity) - at the place of their permanent residence or registration (for an individual) or location (for a legal entity) about such changes;

3) of changes in account details in a foreign bank, international financial organization - about such changes at the place of location of the resident legal entity with submission of copies of the corresponding documents;

4) of a change in the name of a resident legal entity - about such a change at the place of location of the resident legal entity.

A resident - participant of a capital movement currency contract upon request of the National Bank submits documents and (or) information related to the implementation of a capital movement operation, an operation equated to it, and (or) to which references are made in previously submitted documents.
Submission of reports on a capital movement currency contract or account in a foreign bank, international financial organization with an account number is not required if the resident has:

a court decision recognizing the debtor as bankrupt and its liquidation with the initiation of bankruptcy proceedings;

a decision of the territorial subdivision of the state revenue body on suspension of submission of tax reporting by the respondent.

Copies of the specified decisions are submitted to the National Bank.

Submission of reports is resumed in the event of a court ruling on suspension or termination of proceedings in a bankruptcy case, a decision on refusal to recognize the debtor as bankrupt, or cancellation of a court decision on recognizing the debtor as bankrupt, after the expiration of the period specified in the decision on suspension of submission of tax reporting by the respondent, in the event of resumption of the respondent's activities before the expiration of the period specified in the decision on suspension of submission of tax reporting, as well as in the event of cancellation by the territorial subdivision of the state revenue body of the decision on suspension of submission of tax reporting.

An authorized bank submits information on payments and (or) transfers of money under capital movement currency contracts and on transfers of money by residents from their own accounts (to their own accounts) in foreign banks, international financial organizations in accordance with the Rules for carrying out currency operations in the Republic of Kazakhstan, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated March 30, 2019 No. 40 "On Approval of the Rules for Carrying Out Currency Operations in the Republic of Kazakhstan" (registered in the Registry of State Registration of Normative Legal Acts under No. 18512).

Paragraph 4. Notification and (or) submission of information on carried out currency operations by banks, branches of banks - non-residents of the Republic of Kazakhstan carrying out activities on the territory of the Republic of Kazakhstan

A bank, branch of a non-resident bank of the Republic of Kazakhstan carrying out activities on the territory of the Republic of Kazakhstan, quarterly by the 10th (tenth) day (inclusive) of the month following the reporting period, submits to the central apparatus of the National Bank a report on the utilization and servicing of financial loans, as well as obligations under REPO operations, attracted by the bank, branch of a non-resident bank of the Republic of Kazakhstan carrying out activities on the territory of the Republic of Kazakhstan, from non-residents, for which there are unpaid obligations at the beginning and (or) end of the reporting period, in the form according to Appendix 6 to the Rules.

Within the framework of the report, the bank, branch of a non-resident bank of the Republic of Kazakhstan carrying out activities on the territory of the Republic of Kazakhstan, submits upon request of the National Bank information on forecast data on the utilization of funds and repayment of debt.

Banks, branches of non-resident banks of the Republic of Kazakhstan carrying out activities on the territory of the Republic of Kazakhstan, submit to the National Bank information required in accordance with the Rules (documents, information, reports) electronically through the digital system of the National Bank of the Republic of Kazakhstan in compliance with procedures for authentication using an electronic digital signature.

Paragraph 5. Special cases

If a capital movement currency contract registration number is requested by a participant in the currency contract—a branch (representative office) of a legal entity resident in the Republic of Kazakhstan with its location in the Republic of Kazakhstan—then in the application for assigning a registration number to a capital movement currency contract according to the form specified in Appendix 1 to the Rules, the legal entity resident in the Republic of Kazakhstan is indicated as the participant in the capital movement currency contract, with a note that the currency operation was carried out by such branch (representative office) of the legal entity resident in the Republic of Kazakhstan. Submission of information, reports, and documents is carried out by the branch (representative office) of the legal entity resident in the Republic of Kazakhstan. The branch (representative office) of the legal entity resident in the Republic of Kazakhstan applies to the territorial branch of the National Bank located at its place of location.
For the assignment of a registration number to a capital movement currency contract or an account in an foreign bank, international financial organization of a branch (representative office) of a legal entity resident in the Republic of Kazakhstan with its location outside the Republic of Kazakhstan, the legal entity resident in the Republic of Kazakhstan applies. In the application for assigning a registration number to a capital movement currency contract or an account in an foreign bank, international financial organization according to the form specified in Appendix 1 to the Rules, the legal entity resident in the Republic of Kazakhstan is indicated, with a note that the currency operation was carried out or an account was opened in an foreign bank, international financial organization by such branch (representative office) of the legal entity resident in the Republic of Kazakhstan. Submission of information, reports, and documents is carried out by the legal entity resident in the Republic of Kazakhstan.
A capital movement currency contract with multiple resident (non-resident) participants is assigned a registration number upon exceeding the threshold value specified in paragraph 8 of the Rules, of the total amount of receipt in the Republic of Kazakhstan (transfer from the Republic of Kazakhstan) of property (money) and (or) the emergence of obligations (claims) between residents and non-residents within such currency contract.
For the assignment of a registration number to a capital movement currency contract, in which there is no resident party, the resident who is the recipient (sender) of property (money) or who has obligations to a non-resident or claims against a non-resident applies.
For the assignment of a registration number to a capital movement currency contract with multiple resident participants, the resident-party of such currency contract to whom the predominant part of the currency contract amount falls, or, in the absence of such party, the resident-party who first begins (began) to fulfill obligations to a non-resident applies. In other cases, for the assignment of a registration number, one of the resident-parties of the capital movement currency contract applies.

The resident who applied for the assignment of a registration number submits written consents of other resident-parties of the capital movement currency contract to apply to the territorial branch of the National Bank for the assignment of a registration number to the capital movement currency contract. In the application for assigning a registration number to a capital movement currency contract according to the form specified in Appendix 1 to the Rules, all resident-participants of the capital movement currency contract are indicated.

Other resident-participants of the capital movement currency contract, when making a payment and (or) transfer of money to a non-resident and (or) receiving money from a non-resident, submit to the authorized bank a copy of the capital movement currency contract with a note about the assignment of a registration number.

Submission of information, reports, and documents provided for by paragraph 3 of this chapter of the Rules is carried out by the resident who applied for the assignment of a registration number.

Submission of information, reports, and documents by other resident-participants of the currency contract is permitted on the basis of their written application to the territorial branch of the National Bank, determined by the place of permanent residence or registration (for a physical person) or place of location (for a legal entity) of the resident who applied for the assignment of a registration number, provided there is written consent of such resident.

Submission of information, reports, and documents by resident-participants of the currency contract is permitted independently in part of fulfilling their own obligations to a non-resident (non-residents) on the basis of their written application to the territorial branch of the National Bank, determined by the place of permanent residence or registration (for a physical person) or place of location (for a legal entity) of the resident who applied for the assignment of a registration number, provided there is written consent of such resident.

Information, reports, and documents are submitted to the territorial branch of the National Bank at the place of permanent residence or registration (for a physical person) or location (for a legal entity) of the resident who received the registration number.

The assigned registration number to a capital movement currency contract with multiple resident-participants is excluded from the registry of registration numbers by the territorial branch of the National Bank, determined by the place of permanent residence or registration (for a physical person) or place of location (for a legal entity) of the resident who received the registration number, after receiving a written message from all resident-participants about the full fulfillment of obligations.
When opening an account in an foreign bank, international financial organization in "escrow account" mode, the legal entity resident in the Republic of Kazakhstan, in whose name the account is opened, applies for the assignment of a registration number. In the application for assigning a registration number to an account in an foreign bank, international financial organization according to the form specified in Appendix 1 to the Rules, the person who opened the account in an foreign bank, international financial organization is also indicated.
If a registration number is assigned to a mixed contract and for each currency operation under the capital movement within the currency contract, reporting is provided for different forms, then a separate report is submitted for each currency operation under the capital movement within the mixed contract.
Currency operations related to a derivative financial instrument, which is acquired for the purpose of applying or implementing the underlying asset and cannot be transferred (sold) independently of the underlying asset, are considered as currency operations with the underlying asset.

Chapter 3. Transitional Provisions

A currency contract or an account in an foreign bank, international financial organization, for which a registration certificate or notification certificate was obtained before the introduction of the Rules into force, except for those specified in paragraph 43 of the Rules, are considered included in the registry of registration numbers. The number of the registration certificate, notification certificate is indicated as the registration number of the capital movement currency contract, account in an foreign bank, international financial organization when making payments and (or) transfers of money and submitting reports to the National Bank. Submission of reports, assignment of a new registration number, exclusion from the registry of registration numbers for such currency contracts, accounts in foreign banks, international financial organizations is carried out in the manner established by the Rules.
A notification certificate issued to a bank for a financial loan from a non-resident remains valid until the full fulfillment of obligations under the capital movement currency contract and is recognized as invalid on the grounds provided for by paragraph 15 of the Rules, as well as upon changes in the information specified in part one of paragraph 14 of the Rules.
The assignment of a registration number to a capital movement currency contract or an account in an foreign bank, international financial organization, on which a registration certificate or notification certificate remains valid on the date of introduction of the Rules into force, is carried out upon the application of the resident in a free form to the territorial branch of the National Bank, at the place of permanent residence or registration (for a physical person) or location (for a legal entity), by transferring the number and date of the previously issued registration certificate or notification certificate to a copy of the currency contract in accordance with part two of paragraph 13 and part two of paragraph 20 of the Rules.
Capital movement currency contracts, accounts in foreign banks, international financial organizations, for which the requirement for the assignment of a registration number applies from the date of introduction of the Rules into force, are subject to accounting in the territorial branch of the National Bank until the first fulfillment of obligations, transfer of money using an account in an foreign bank, international financial organization after the introduction of the Rules into force.

Appendix 1

to the Rules for Monitoring Currency Operations

in the Republic of Kazakhstan

Form

To the Director ______ branch

of the National Bank of the Republic of Kazakhstan

(full name (if any))

Application

from ______

(full name (if any) of a physical person, name of a legal entity)

Individual Identification Number (hereinafter – IIN), Business Identification Number (hereinafter – BIN) ______

address ______

phone ______

electronic mail ______

I request

_____ to assign a registration number to a capital movement currency contract, account in an foreign bank, international financial organization;

_____ to exclude the registration number from the registry of registration numbers.

(what is needed to be marked)

Currency Contract No. ______ dated “___” ______ year

Registration number (number of registration certificate, notification certificate) of the National Bank of the Republic of Kazakhstan for this currency contract, account in an foreign bank, international financial organization ______

Authorized person of the applicant:

(position) (signature) (full name (if any))

Executor ______ ______ phone ______

(signature) (full name (if any))

“__” ______ 20_ year

Section 1. Financial Loans

Type of operation (mark):

1) _____ financial loan of a resident to a non-resident;

2) _____ financial loan of a non-resident to a resident.

Residents - other participants in the currency contract:

full name (if any) of a physical person, IIN, name of a legal entity, BIN ______

Non-residents - participants in the currency contract:

for a physical person: full name (if any), country (countries) of permanent residence ______

country (countries) of citizenship (filled in if it does not match the country of permanent residence) ______

for a legal entity: name, country of registration, identification number of the country of registration (if any) ______

Amount of the currency contract ______

                                                            (in the currency of the currency contract)

Currency of the contract ______
Relationship of the non-resident to the resident (mark):

1) _____ direct ownership by a non-resident of 10 (ten) percent or more of voting shares, voting participants of a resident;

2) _____ indirect ownership by a non-resident of 10 (ten) percent or more of voting shares, voting participants of a resident;

3) _____ direct ownership by a resident of 10 (ten) percent or more of voting shares, voting participants of a non-resident;

4) _____ indirect ownership by a resident of 10 (ten) percent or more of voting shares, voting participants of a non-resident;

5) _____ a resident and a non-resident have no control or influence over each other, but are under the control or influence of the same investor, directly or indirectly owning not less than 10 (ten) percent of voting shares, voting participants of a resident;

6) _____ cases not specified in sub-items 1), 2), 3), 4) and 5) of this paragraph of the application.

Brief description of the operation (payment instructions, fund movement scheme, etc.) ______

Information about the agent (operator, organizer) (if any):

resident ___ non-resident ___ (mark)

name ______

BIN of the resident ______

country of registration, identification number of the country of registration of the non-resident (if any)) ______

Schedule of fund receipts and debt repayment

thousand units of the contract currency


Receipt of funds to the borrower		Payments for loan servicing by the borrower
date	amount	date	repayment of principal	payment of remuneration
A	1	B	2	3



TOTAL		TOTAL
of which as of the date of application		of which as of the date of application

Note ______

Section 2. Equity Participation, Securities Transactions, Participation Interests and Derivative Financial Instruments

Type of operation (mark):

1) _____ equity participation in a non-resident;

2) _____ equity participation in a resident;

3) _____ transactions with debt securities of non-resident issuers;

4) _____ transactions with debt securities of resident issuers;

5) _____ transactions with depositary receipts;

6) _____ transactions with derivative financial instruments;

7) _____ transactions for the purchase and sale of equity participation in a third-party non-resident;

8) _____ transactions for the purchase and sale of equity participation in a third-party resident.

Residents - other participants in the currency contract:

full name (if any) of a physical person, IIN, name of a legal entity, BIN ______

Non-residents - participants in the currency contract:

for a physical person: full name (if any), country (countries) of permanent residence ______

country (countries) of citizenship (filled in if it does not match the country of permanent residence) ______

for a legal entity: name, country of registration, identification number of the country of registration (if any) ______

Amount of the currency contract ______

                                                               (in the currency of the currency contract)

Currency of the contract ______
Relationship of the non-resident to the resident (filled in for types of operations 3), 4)):

1) _____ direct ownership by a non-resident of 10 (ten) percent or more of voting shares, voting participants of a resident;

2) _____ indirect ownership by a non-resident of 10 (ten) percent or more of voting shares, voting participants of a resident;

3) _____ direct ownership by a resident of 10 (ten) percent or more of voting shares, voting participants of a non-resident;

4) _____ indirect ownership by a resident of 10 (ten) percent or more of voting shares, voting participants of a non-resident;

6) _____ cases not specified in sub-items 1), 2), 3), 4) and 5) of this paragraph of the application.

Fulfillment of obligations under the currency contract as of the date of application:


Sender	Beneficiary	Date	Type of obligation fulfillment	Amount, thousand units	Currency

Information about the investor (not filled in if the applicant is the investor):

resident _____ non-resident _____ (mark)

for a physical person: full name (if any), IIN of the resident, country (countries) of permanent residence of the non-resident ______

country (countries) of citizenship of the non-resident (filled in if it does not match the country of permanent residence) ______

for a legal entity: name, BIN of the resident, country of registration of the non-resident, identification number of the country of registration of the non-resident (if any) ______

Information about the seller (not filled in if the applicant is the seller):

resident _____ non-resident _____ (mark)

for a physical person: full name (if any), IIN of the resident, country (countries) of permanent residence of the non-resident ______

country (countries) of citizenship of the non-resident (filled in if it does not match the country of permanent residence) ______

for a legal entity: name, BIN of the resident, country of registration of the non-resident, identification number of the country of registration of the non-resident (if any) ______

Information about the investment object (not filled in if the applicant is the investment object):

resident _____ non-resident _____ (mark)

name, BIN of the resident, country of registration of the non-resident, identification number of the country of registration of the non-resident (if any)

Capital of the investment object (filled in for equity participation operations):


		Before the currency contract operation		After the currency contract operation
amount	currency	amount	currency
1.	Charter capital of the investment object, thousand units of currency according to founding documents
1.1	including for investors



2.	Capital of the investment object (other than charter), investment fund shares in monetary terms, thousand units of currency
2.1	including for investors



3.	Share of the investor (investors) in the capital of the investment object, in %
3.1.	including for investors

Information about the shares of the investment object (filled in when transactions with shares are carried out):


Type of share (ordinary, preferred, with voting rights, without voting rights)		International Identification Number (hereinafter - ISIN)			Nominal value or issue price of one security (units of currency)		Currency of issue (placement)



			Before the currency contract operation			After the currency contract operation
ordinary	preferred		ordinary	preferred
1.	Number of shares owned by the investor (investors), pieces
1.1	including for investors

Information about debt securities:

ISIN ______

number of securities ______ pieces

nominal value of one security ______ units of currency

currency of issue ______

Information about investment fund shares:

type of fund (corporate, unit, open, closed, interval, other (specify)) ______

management company ______

(name, country of registration of the non-resident, identification number of the country of registration of the non-resident (if any))

Information about derivative financial instruments:

type of derivative financial instrument (mark):

_____ option, _____ forward, _____ futures, _____ other

(specify)

name of the underlying asset of the derivative financial instrument:

ISIN of the security ______

Note ______

Section 3. Other Capital Movement Operations and Operations Equivalent to Them

Type of operation (mark):

1) _____ acquisition of ownership rights to real estate;

2) _____ acquisition of fully exclusive rights to intellectual property objects;

3) _____ fulfillment of obligations of a joint activity participant;

4) _____ transfer of money and other property to fiduciary management, trust;

5) _____ transfer of money and financial instruments to professional participants of the securities market to accounts for accounting and storage of money and (or) financial instruments belonging to clients;

6) _____ gratuitous transfer of money, real estate and other currency values.

Residents - other participants in the currency contract:

Surname, first name, patronymic (if any) of an individual, IIN, name of a legal entity, BIN ______

Non-residents - participants in a currency contract:

for an individual: surname, first name, patronymic (if any), country (countries) of permanent residence ______

country (countries) of citizenship (filled in if it does not match the country of permanent residence) ______

for a legal entity: name, country of registration, identification number of the country of registration (if any) ______

Amount of the currency contract ______

                                                       (in the currency of the currency contract)

Currency of the contract ______
Money and other property provided under the currency contract as of the date of submission of the application:


Sender	Beneficiary	Date	Type of fulfillment of obligation	Amount, thousand units	Currency

Note ______

Section 4. Account in a foreign bank, international financial organization

Type of account (check):

1) _____ current account of a resident, branch (representative office) of a resident with location in the Republic of Kazakhstan;

2) _____ current account of a branch (representative office) of a resident with location outside the Republic of Kazakhstan;

3) _____ deposit of a resident;

4) _____ unallocated metal account of a resident;

5) _____ other (specify) ______

Branch (representative office) of a resident opening the account ______

(name, country, address)

Foreign bank, international financial organization ______

(name, address, number in the international interbank system for information transfer and payment transactions (SWIFT) and other banking details)

Account number ______

Currency of the account ______

Account conditions (if any):

Interest rate (interest) on the account (% per annum) ______

(in the case of a floating interest rate, the basis for its calculation and the margin size are indicated)

_____ is overdraft allowed (lending by a foreign bank, international financial organization within the framework of this account)

_____ other (specify) ______

Note ______

Appendix

to the "Application" form

Explanation for filling out the "Application" form

Sections 1, 2, 3 and 4 are filled in when submitting an application for assigning an account number to a currency contract for capital movement, an account in a foreign bank, or an international financial organization. Unfilled sections are not submitted.

In the case of the formation of a simple partnership (consortium) based on a joint activity agreement, Section 2 or Section 3 is filled in according to the recognition by the resident legal entity of this operation in its balance sheet.

The country of permanent residence of an individual non-resident is filled in based on citizenship or the right granted in accordance with the legislation of a foreign state.
The "Note" field reflects the terms of the contract that the applicant considers necessary to indicate, including the method (procedure) for forming the amount of the currency contract, if it is not fixed.
Item 9 of Section 1 reflects information on the receipt of funds by the resident and the repayment of debt on the currency contract (in the case of financial loans provided by non-residents to residents), as well as on the receipt of funds by the non-resident and the repayment of debt (in the case of financial loans provided by residents to non-residents) in thousands of units of the contract currency. If the loan is multi-currency, amounts are reflected in thousands of United States dollars.

Column A indicates the actual and/or expected (in the future) date of receipt of funds, both in monetary form and in the form of goods, works, services, and in column 1 - the actual and/or expected (in the future) amount of receipts. If the contract amount is not specified, column 1 reflects information only on the actual receipt of funds.

Information on payments (both in monetary and other forms) for servicing debt is reflected in columns B, 2 and 3. Column B indicates the actual and/or expected (in the future) date of payment. Columns 2 and 3 - repayment of principal and payment of remuneration, respectively. In the case of a floating interest rate, the expected amount of remuneration payment is calculated based on the value of the base on the date of submission of the application (notification), unless otherwise established by the currency contract.

In the case of advance payments made by a resident or non-resident, the corresponding date of payment and amount are indicated in columns B and 2.

Total amounts in columns 1 and 2 are equal to each other and to the contract amount or the amount of actual receipt of funds as of the date of submission of the application, if the contract amount is not specified.

In the presence of an option for extension, the repayment term established by the main contract is indicated in column B.

The total amount of currency operations carried out before the application for assignment of an account number is indicated in the corresponding columns of the line "of which as of the date of submission of the application".

In the case of assigning a new account number in accordance with item 14 of the Rules for monitoring currency operations in the Republic of Kazakhstan, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 10, 2019 No. 64 "On Approval of the Rules for Monitoring Currency Operations in the Republic of Kazakhstan" (registered in the Registry of State Registration of Normative Legal Acts under No. 18544), it is allowed to reflect the actual fulfillment of obligations under the contract only on the line "of which as of the date of submission of the application".

For the types of operations specified in item 1 of Section 2, the following items of Section 2 are filled in:

for capital participation operations - items 2, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12 and 14;

for debt securities operations - items 2, 3, 4, 5, 6, 7, 8, 9, 10 and 13;

for derivative financial instruments operations - items 2, 3, 4, 5, 7 and 15, and if the underlying asset is a security - additionally items 10, 11, 12, 13 and 14.

In the "Type of fulfillment of obligation" column in item 7 of Section 2 and in item 6 of Section 3, the type of fulfillment of obligations under the currency contract is reflected:

1) in the form of payments and/or transfers of money;

2) in the form of supply of goods (performance of works, provision of services);

3) in the form of transfer of an asset (securities, participation shares, units of investment funds, real estate, right to an object of intellectual property, other types of assets requiring specification);

4) other (requiring specification).

In item 1 of Section 4, the type of account is indicated. In the case of opening an account in a foreign bank, international financial organization for a branch (representative office) of a resident with location outside the Republic of Kazakhstan, the details of such branch (representative office) are indicated.

In item 3 of Section 4, the details of the foreign bank, international financial organization where the account is opened are indicated. In items 4 and 5 of Section 4, the details (number, currency) and account conditions are indicated.

Appendix 2

to the Rules for monitoring currency operations

in the Republic of Kazakhstan

Form, designed for the collection of administrative data

Submitted to: the territorial branch of the National Bank of the Republic of Kazakhstan at the place of permanent residence or registration (for an individual) or location (for a legal entity) of the resident who received the account number.

The form, designed for the collection of administrative data on a gratuitous basis, is posted on the Internet resource: www.nationalbank.kz.

Name of the administrative form: Report on Utilization and Service of a Financial Loan.

Index of the form, designed for the collection of administrative data on a gratuitous basis: PR-K/E-2.

Frequency: quarterly.

Reporting period: ______ quarter ____ year.

Circle of persons submitting the form, designed for the collection of administrative data on a gratuitous basis: resident.

Deadline for submitting the form, designed for the collection of administrative data on a gratuitous basis: until the 10th (tenth) day (inclusive) of the month following the reporting period.

BIN/IIN: ______

Collection method: in electronic form

Account number of the National Bank of the Republic of Kazakhstan ______

Currency of the contract ______

thousand units of the currency of the currency contract


Row code	Name of indicators	Total	including in the form of money
		1	2
10	Rate at which remuneration on the loan is accrued in the reporting period (% per annum)		X
Section 1. Information on principal debt
Part 1. Borrower's claims on the lender - advances issued (prepayment)
11	Advances issued (prepayment) at the beginning of the reporting period		X
12	Advances issued by the borrower to the lender in the reporting period (prepayment)
13	Advances repaid by the lender to the borrower (funds provided by the lender to the borrower) in the reporting period
14	Other (+)/(-) changes to the advance
15	Advances issued (prepayment) at the end of the reporting period (=(11)+(12)-(13)+(14))		X
Part 2. Borrower's obligations to the lender
16	Principal debt at the beginning of the reporting period		X
17	including overdue debt		X
Changes during the reporting period:
18	Increase in debt due to change of resident to another resident (non-resident to another non-resident)		X
19	Increase in debt due to change of resident to non-resident (non-resident to resident)		X
20	Funds provided by the lender to the borrower
21	Capitalized remuneration (=51)		X
22	Debt repaid by the borrower to the lender
22a	including early
23	Set-off of debt with borrower's claims on the lender under other contracts		X
24	Debt forgiven by the lender to the borrower		X
25	Debt exchanged for equity instruments (of the borrower and/or third parties), real estate and other assets of the borrower		X
26	Debt exchanged for debt securities of the borrower, goods supply and other debt obligations of the borrower		X
27	Decrease in debt due to change of resident to another resident (non-resident to another non-resident)		X
28	Decrease in debt due to change of resident to non-resident (non-resident to resident)		X
29	Transfer (+)/(-) of debt due to assignment of a new account number on other grounds		X
30	Debt written off		X
31	Other (+)/(-) changes to debt (specify)
32	Unutilized part of the loan annulled		X
33	Principal debt at the end of the reporting period (=(16) + (18) + (19) + (20) + (21) - (22) - (24) - (25) - (26) - (27) - (28) + (29) - (30) + (31))		X
34	including overdue debt		X
Section 2. Information on remuneration
Part 1. Borrower's claims on the lender - advances issued (prepayment)
41	Borrower's claims on the lender at the beginning of the reporting period		X
42	Advances issued by the borrower to the lender in the reporting period (prepayment)
43	Advances repaid (remuneration accrued) in the reporting period		X
44	Other (+)/(-) changes to the advance
45	Borrower's claims on the lender at the end of the reporting period (=(41)+(42)-(43)+(44))		X
Part 2. Borrower's obligations to the lender
46	Remuneration debt at the beginning of the reporting period		X
47	including overdue debt		X
Changes during the reporting period:
48	Increase in remuneration due to change of resident to another resident (non-resident to another non-resident)		X
49	Increase in remuneration due to change of resident to non-resident (non-resident to resident)		X
50	Remuneration accrued in the reporting period		X
51	Remuneration capitalized in the reporting period		X
52	Remuneration paid, including CIT, set-off of remuneration with borrower's claims on the lender under other contracts
53	including early
54	Remuneration forgiven by the lender to the borrower, including by reducing the remuneration rate		X
55	Remuneration exchanged for equity instruments (of the borrower and/or third parties), real estate and other assets of the borrower		X
56	Remuneration exchanged for debt securities of the borrower, goods supply and other debt obligations of the borrower		X
57	Decrease in remuneration due to change of resident to another resident (non-resident to another non-resident)		X
58	Decrease in remuneration due to change of resident to non-resident (non-resident to resident)		X
59	Transfer (+)/(-) of remuneration due to assignment of a new account number on other grounds		X
60	Remuneration written off		X
61	Other (+)/(-) changes to remuneration (specify)
62	Remuneration debt at the end of the reporting period (=(46) + (48) + (49) + (50) - (51) - (52) - (54) - (55) - (56) - (57) - (58) + (59) - (60) + (61)), including:		X
63	overdue debt		X
64	tax debt		X
Section 3. Information on ancillary payments payable by the borrower
69	Unpaid commissions, fines and other payments payable by the borrower at the beginning of the reporting period		X
70	Commissions, fines and other payments payable by the borrower under the contract terms paid by the borrower in the reporting period
71	Commissions, fines and other payments payable by the borrower under the contract terms forgiven to the borrower in the reporting period		X
72	Commissions, fines and other payments payable by the borrower under the contract terms written off in the reporting period		X
73	Fines and other payments imposed on the borrower by courts and other state institutions paid by the borrower in the reporting period
74	Other payments by the borrower (specify)
75	Other operations of the borrower, other changes (specify)
76	Unpaid commissions, fines and other payments payable by the borrower at the end of the reporting period		X
Section 4. Information on ancillary payments payable to the borrower
79	Unpaid commissions, fines and other payments receivable by the borrower at the beginning of the reporting period		X
80	Commissions, fines and other payments receivable by the borrower under the contract terms paid to the borrower in the reporting period
81	Commissions, fines and other payments receivable by the borrower under the contract terms forgiven by the borrower in the reporting period		X
82	Commissions, fines and other payments receivable by the borrower under the contract terms written off in the reporting period		X
83	Fines and other payments imposed on the lender by courts and other state institutions paid to the borrower in the reporting period
84	Other payments to the borrower (specify)
85	Other operations in favor of the borrower, other changes (specify)
86	Unpaid commissions, fines and other payments receivable by the borrower at the end of the reporting period		X

Note ______

Resident ______

(surname, first name, patronymic (if any) of an individual, name of a legal entity)

Address ______

Phone ______

Email address ______

Executor ______

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

Head or person authorized to sign the report

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

Date of signing the report "__" ______ 20_ year

Note: the form is filled in accordance with the explanation for filling out the form, designed for the collection of administrative data on a gratuitous basis, "Report on Utilization and Service of a Financial Loan".

Appendix

to the form, designed

for the collection

of administrative data

on a gratuitous basis,

"Report on Utilization and Service

of a Financial Loan"

Explanation for filling out the form, designed for the collection of administrative data on a gratuitous basis

Report on Utilization and Service of a Financial Loan (index - PR-K/E-2, frequency - quarterly)

Chapter 1. General Provisions

This explanation defines the unified requirements for filling out the form, designed for the collection of administrative data on a gratuitous basis, "Report on Utilization and Service of a Financial Loan" (hereinafter - the Form).
The Form is submitted quarterly by residents of the Republic of Kazakhstan on currency contracts for financial loans with an assigned account number.
The Form is signed by the head or person authorized to sign the report (for legal entities), and the executor.

Chapter 2. Filling out the Form

Column 1 reflects the utilization and service of the financial loan in the form of payments and/or transfers of money, supply of goods (performance of works, provision of services), transfer of assets, other fulfillment of obligations, and in column 2 - only in the form of payments and/or transfers of money.
In the row with code 10, the net (excluding taxes) weighted average in the reporting period rate of remuneration on the loan (% per annum) is reflected. The remuneration rate is reflected in numerical form, rounded to hundredths. If the remuneration rate on the loan is floating, the base value of the rate in the reporting period should be used. If the remuneration rate is zero, a zero value is entered.

If the Form is submitted with zero values, the row with code 10 is not filled.

In sections 1, 2, 3 and 4, amounts are reflected in thousands of units of the currency of the currency contract. If the loan is multi-currency, amounts are reflected in thousands of United States dollars. The resulting exchange rate difference is reflected in other changes (rows with codes 14, 31, 44, 61, 75 and 85).

Section 1 reflects information on the utilization and repayment of the principal debt, Section 2 - information on the accrual and payment of remuneration (if remuneration is provided for in the currency contract), Sections 3, 4 - information on other operations not reflected in Sections 1, 2 (if any): in Section 3 - on the borrower's own operations, in Section 4 - on operations in favor of the borrower.

Information on tax on remuneration is reflected in Section 2, on other taxes (if any) - in Sections 3, 4.

Sections 1, 2 include the borrower's claims on the lender (if any) (Part 1) and the borrower's obligations to the lender (Part 2).

In the presence of advances (prepayments) issued by the borrower to the lender on the principal debt (remuneration) (Part 1), information on the borrower's obligations to the lender (Part 2) is filled in after full repayment of advances.

Debt at the beginning of the reporting period (rows with codes 11, 16, 17, 41, 46, 47, 69 and 79) is equal to the debt at the end of the previous reporting period (rows with codes 15, 33, 34, 45, 62, 63, 76 and 86, respectively). Debt is reflected, including tax debt.
Repayment of debt (row with code 22) includes repayment in the form of money, goods, works (services).

Forgiveness of funds (debt, remuneration, commissions, fines and other payments - rows with codes 24, 54, 71 and 81) means partial or full voluntary reduction of the unpaid debt obligation by the borrower based on an agreement between the lender and the borrower.

Write-off of funds (debt, remuneration, commissions, fines and other payments - rows with codes 30, 60, 72 and 82) means:

1) write-off of funds (off-balance sheet) by the resident unilaterally in the case of liquidation (death) of a non-resident;

2) recognition of funds as repaid in the bankruptcy of a legal entity-resident (not satisfied due to insufficient assets of the liquidated resident for an unclaimed creditor before the approval of the liquidation balance, claims of a creditor not recognized by the liquidation commission).

In the event of a change in the residency of the borrower (lender), obligations between the borrower and the lender are reflected in the report as written off (rows with codes 30, 60, 72 and 82).

Annulment of the unutilized part of the loan (row with code 32) means a reduction in the unobtained (unutilized) part of the loan amount provided for by the currency contract.

Rows with codes 18, 19, 27, 28, 48, 49, 57 and 58 are filled in when changing the participants of the contract, including when assigning a new account number, instead of the previously assigned one in accordance with subparagraph 2) of item 14 of the Rules;

rows with codes 18, 27, 48 and 57 - if as a a result of assignments of claims (transfers of debt) or other agreements the original lender and the new lender (original debtor and new debtor) are simultaneously residents or are simultaneously non-residents;

rows with codes 19, 28, 49 and 58 - if as a result of assignments of claims (transfers of debt) or other agreements the original lender and the new lender (original debtor and new debtor) are a resident (non-resident) and a non-resident (resident).

Rows with codes 29, 59 are filled in when assigning a new account number instead of the previously assigned one, on grounds provided for in subparagraphs 1), 3), 4) and 5) of item 14 of the Rules.

Line code 50 reflects remuneration accrued during the reporting period, including tax on this remuneration. Tax actually paid during the reporting period is reflected on line code 52 together with remuneration actually paid during the reporting period. In this case, the tax paid during the reporting period may relate to remuneration accrued prior to the reporting period.

Column 2 reflects actual payment of remuneration and tax in cash.

If only tax is paid during the reporting period without payment of remuneration, the payment of tax must be reflected in column 1 and in column 2.

Return of money (return of payment without execution) is reflected in other changes (in lines with codes 31, 61, 74, and 84).
Completion of lines with codes 25, 26, 31, 55, 56, 61, 74, 75, 84, and 85 requires clarification in the note to the Form, including description of the asset and/or borrower's debt obligation.
In the absence of information for the reporting period, the Form is submitted with zero values.
Corrections (changes, additions) to the Form are made within 6 (six) months after the submission deadline established by paragraph 23 of the Rules.

Appendix 3
to the Rules for Monitoring Currency Operations in the Republic of Kazakhstan

Form, designed for the collection of administrative data

The form designed for the collection of administrative data on a gratuitous basis is posted on the internet resource: www.nationalbank.kz.

Name of the administrative form: Report on Investor Participation in Investment Object Capital.

Index of the form designed for the collection of administrative data on a gratuitous basis: PR-I/G-3.

Frequency: quarterly.

Reporting period: ______ quarter ____ year.

Persons submitting the form designed for the collection of administrative data on a gratuitous basis: resident.

Submission deadline for the form designed for the collection of administrative data on a gratuitous basis: by the 10th (tenth) day (inclusive) of the month following the reporting period.

BIN/IIN: ______

Collection method: in electronic form

National Bank of the Republic of Kazakhstan Account Number: ______ thousands of United States Dollars (hereinafter - USD)


Line Code	Indicator Name	Investor's Full Name (if applicable)

A	B	1	2	…
Part 1. Investors' participation in the capital of the investment object
10	Accumulated value at the beginning of the reporting period
20	Changes (+increase/-decrease) during the reporting period ((21) + (22) + (23) + (24) + (25) + (26) + (27) + (28) + (29) + (30) + (31) + (32) + (33) + (34) + (36)+(37)+(38))
	including due to:
21	receipt (+)/withdrawal (-) of money
22	receipt (+)/withdrawal (-) of equipment, goods, and other property
23	receipt (+)/withdrawal (-) of intangible assets
24	increase (+)/decrease (-) of authorized capital due to debt on commercial credits and financial loans
25	crediting dividends to authorized capital (payment of dividends in shares) (+), repurchase of shares by the investment object (-)
26	increase (+)/decrease (-) of authorized capital due to undistributed income of previous years, reserve capital, or other equity items
27	contribution (+)/withdrawal (-) of real estate
28	contribution (+)/withdrawal (-) of securities of non-resident issuers (including bills of exchange)
29	contribution (+)/withdrawal (-) of securities of resident issuers
30	purchase (+)/sale (-)/gift (+/-) of participation shares by a resident to a resident (non-resident to non-resident)
31	assignment of new account number (+)/(-)
32	exchange rate difference (+)/(-)
33	price changes (+)/(-)
34	write-off upon liquidation (-), reorganization of the investment object (+/-)
36	gift (+)/(-) of participation shares by a resident to a non-resident (non-resident to resident)
37	purchase (+)/sale (-) of participation shares by a resident to a non-resident (non-resident to resident)
38	other (clarify)
39	Accumulated value at the end of the reporting period ((10) + (20))
40	Investor's share in authorized capital at the end of the reporting period, %
41	Dividends declared during the reporting period
50	Dividends paid (received) during the reporting period, including paid (payable) tax: ((51)+(52)+(53)), including
51	in cash
52	in shares (participation shares)
53	other (clarify)
54	Debt at the end of the reporting period for payment of personal income tax on investor income withheld at the source of payment
Information on settlements for purchase (sale) of shares, participation shares of the investment object
Part 2. Resident's claim against non-resident
60	Non-resident's debt to resident at the beginning of the reporting period
61	Increase in debt during the reporting period, including:
61.1	advance payment by resident (in monetary/non-monetary forms)
61.2	transfer of ownership rights to the investment object to non-resident with deferred payment
62	Repayment of debt during the reporting period, including:
62.1	transfer of ownership rights to resident to the investment object
62.2	payment by non-resident (in monetary/non-monetary forms)
63	Other changes in debt during the reporting period (clarify)
64	Non-resident's debt to resident at the end of the reporting period (= (60) + (61) - (62) + (63))
Part 3. Resident's obligation to non-resident
70	Resident's debt to non-resident at the beginning of the reporting period
71	Increase in debt during the reporting period, including:
71.1	advance payment by non-resident (in monetary/non-monetary forms)
71.2	transfer of ownership rights to the investment object to resident with deferred payment
72	Repayment of debt during the reporting period, including:
72.1	transfer of ownership rights to non-resident to the investment object
72.2	payment by resident (in monetary/non-monetary forms)
73	Other changes in debt during the reporting period (clarify)
74	Resident's debt to non-resident at the end of the reporting period (= (70) + (71) - (72) + (73))

Note ______

Resident ______

(full name of an individual, name of a legal entity)

Address ______

Phone ______

Email Address ______

Executor ______

full name (if applicable) signature phone

Head or person authorized to sign the report

full name (if applicable) signature phone

Date of signing the report "__" ______ 20_ year

Note: The form is completed in accordance with the explanation for completing the form designed for the collection of administrative data on a gratuitous basis, "Report on Investor Participation in Investment Object Capital."

Appendix
to the form designed for the collection of administrative data on a gratuitous basis, "Report on Investor Participation in Investment Object Capital"

Explanation for completing the form designed for the collection of administrative data on a gratuitous basis

Report on Investor Participation in Investment Object Capital (index - PR-I/G-3, frequency - quarterly)

Chapter 1. General Provisions

This explanation defines uniform requirements for completing the form designed for the collection of administrative data on a gratuitous basis, "Report on Investor Participation in Investment Object Capital" (hereinafter - Form).
The Form is submitted quarterly by residents of the Republic of Kazakhstan under currency contracts for participation in the capital of an investment object with an assigned account number.
The Form is signed by the head or person authorized to sign the report (for legal entities), and the executor.

Chapter 2. Completing the Form

For the purposes of completing the Form, the following concepts are used:

1) investment object - a legal entity, a mutual investment fund, shares, participation shares, units of which are acquired (acquired), as well as a legal entity, a simple partnership, or a consortium into whose property contributions are made (made). In the event of transactions involving depositary receipts, the investment object is the issuer of the security that is their underlying asset;

2) investor - an individual or legal entity to whom ownership rights to the investment object have passed (passed).

The Form is submitted for operations of participation in authorized capital (with shares, participation shares, units), in capital other than authorized capital.

Completion of Part 1 by a resident for several account numbers assigned to them for operations of participation in the capital of one investment object is allowed. In this case, the numbers of all account numbers for which the Form is submitted are indicated.

If the assigned account numbers were obtained by a resident-legal entity for operations of participation in its capital, then in columns 1, 2, and further in Part 1, the full name (if applicable) of each non-resident individual, the name of the legal entity, and information on their participation in the capital of the resident are indicated separately.

If the assigned account numbers were obtained by a resident jointly with other residents for operations of their participation in the capital of a non-resident, then in columns 1, 2, and further in Part 1, the full name (if applicable) of each resident individual, the name of the legal entity, and information on their participation in the capital of the non-resident are indicated separately.

For operations between the buyer and seller of the investment object, Parts 1 and 2 are completed - in case of arising of the resident's claim against the non-resident; Parts 1 and 3 - in case of arising of the resident's obligation to the non-resident. If the assigned account numbers were obtained by the resident for operations of acquisition from a non-resident (sale to a non-resident) of shares, participation shares in the capital of a third-party resident, Part 1 is not completed.

Amounts are reflected in thousands of US dollars.

Operations for the reporting period are reflected at their actual cost. Amounts expressed in other currencies are converted into US dollars using the market exchange rate of currencies on the date of the operation or at the end of the reporting period, respectively. The resulting exchange rate difference is reflected on lines with codes 32, 63, and 73.

The balance at the beginning of the reporting period (lines with codes 10, 60, and 70) equals the balance at the end of the period preceding the reporting period (lines with codes 39, 64, and 74, respectively) for each column.

An increase in the value of the investment object's capital during the reporting period is reflected with a (+) sign, a decrease in the value of the capital with a (-) sign.

Line with code 31 is completed when the National Bank of the Republic of Kazakhstan assigns an account number in place of a previously assigned account number in accordance with paragraph 14 of the Rules.

Lines with codes 36 and 37 reflect the actual transfer of ownership rights to the investment object to the investor (by the investor) in the case of a gift, purchase from third parties (sale to third parties) of the investment object, including in installments.

Return of money (return of payment without execution) is reflected on line with code 38.

Line with code 41 reflects dividends declared during the reporting period, including tax withheld at the source of payment from these dividends.

Lines with codes 51, 52, and 53 reflect dividends actually paid to investors during the reporting period, with the amount of tax withheld at the source of payment and actually paid during the reporting period. In this case, the tax paid during the reporting period may relate to dividends declared prior to the reporting period.

If only tax is paid during the reporting period without payment of dividends, the payment of tax must be reflected on the corresponding lines with codes 51, 52, and 53.

Debt on taxes is reflected on line with code 54.

Lines with codes 60, 61, 61.1, 61.2, 62, 62.1, 62.2, 63, 64, 70, 71, 71.1, 71.2, 72, 72.1, 72.2, 73, and 74 are completed when the investor purchases from a third party (sells to a third party) shares, participation shares of the investment object via advance payment or with deferred payment. In case of arising of the resident's claims against the non-resident, Part 2 is completed. In case of arising of the resident's obligations to the non-resident, Part 3 is completed.

Payment in the form of supply of goods (performance of works, provision of services), other non-monetary performance requires clarification in the note to the Form.

Completion of lines with codes 38, 63, and 73 requires clarification in the note to the Form.
In the absence of information for the reporting period, the Form is submitted with zero values.
Corrections (changes, additions) to the Form are made within 6 (six) months after the submission deadline established by paragraph 23 of the Rules.

Appendix 4
to the Rules for Monitoring Currency Operations in the Republic of Kazakhstan

Form, designed for the collection of administrative data

The form designed for the collection of administrative data on a gratuitous basis is posted on the internet resource: www.nationalbank.kz.

Name of the administrative form: Report on Fulfillment of Obligations.

Index of the form designed for the collection of administrative data on a gratuitous basis: PR-D-4.

Frequency: quarterly.

Reporting period: ______ quarter ____ year.

Persons submitting the form designed for the collection of administrative data on a gratuitous basis: resident.

Submission deadline for the form designed for the collection of administrative data on a gratuitous basis: by the 10th (tenth) day (inclusive) of the month following the reporting period.

BIN/IIN: ______

Collection method: in electronic form

National Bank of the Republic of Kazakhstan Account Number: ______

Section 1. Information on Fulfillment of Obligations

No. p/p	Type of Fulfillment of Obligation	Payment Purpose Code	Asset Name	Sender		Beneficiary		Date	Currency	Amount, thousands of units of currency	Note
Residency Status	Name, Full Name (if applicable)	Residency Status	Name, Full Name (if applicable)
1	2	3	4	5	6	7	8	9	10	11	12

Section 2. Information on Accumulated Value and Income

thousands of United States Dollars (hereinafter - USD)


Line Code	Indicator Name	Total
A	B	1
10	Accumulated value at the end of the reporting period, including in the form of:
11	money
12	securities, participation shares, including:
12.1	shares, units of investment funds, money market funds
13	real estate
14	other (clarify)
20	Resident's income during the reporting period
21	Non-resident's income during the reporting period

Note ______

Resident ______

(full name of an individual, name of a legal entity)

Address ______

Phone ______

Email Address ______

Executor ______

full name (if applicable) signature phone

Head or person authorized to sign the report

full name (if applicable) signature phone

Date of signing the report "__" ______ 20_ year

Note: The form is completed in accordance with the explanation for completing the form designed for the collection of administrative data on a gratuitous basis, "Report on Fulfillment of Obligations."

Appendix
to the form designed for the collection of administrative data on a gratuitous basis, "Report on Fulfillment of Obligations"

Explanation for completing the form designed for the collection of administrative data on a gratuitous basis

Report on Fulfillment of Obligations (index - PR-D-4, frequency - quarterly)

Chapter 1. General Provisions

This explanation defines uniform requirements for completing the form designed for the collection of administrative data on a gratuitous basis, "Report on Fulfillment of Obligations" (hereinafter - Form).
The Form is submitted quarterly by residents of the Republic of Kazakhstan under currency contracts with an account number for operations with securities, derivative financial instruments, property rights to real estate, rights to objects of intellectual property, joint activities, fiduciary management, trust, transfer of money and financial instruments to professional participants of the securities market, gratuitous transfer of money, other currency values and real estate, accounts in foreign banks, international financial organizations of branches (representatives) of the resident with location outside the Republic of Kazakhstan.
The Form is signed by the head or person authorized to sign the report (for legal entities), and the executor.

Chapter 2. Completing the Form

For the purposes of completing the Form, the following concepts are used:

securities of non-resident issuers - financial instruments recognized as securities in accordance with the legislation of the Republic of Kazakhstan and/or the country of the issuer, including depositary receipts, the underlying asset of which are securities of non-resident issuers.

Section 1 reflects information on the fulfillment of obligations under a currency contract during the reporting period.

Column 2 reflects the type of fulfillment of obligations under the currency contract:

1) in the form of payments and/or transfers of money;

2) in the form of supply of goods (performance of works, provision of services);

4) other (requiring clarification).

If the fulfillment of the obligation is carried out in the form of money, then in column 3 the payment purpose code is indicated, column 4 is not filled, and in columns 5, 6, 7, 8, 9, 10, 11 the sender of money, beneficiary of money, payment date, payment currency, payment amount in thousands of units of payment currency based on the payment document for transfer (receipt) of money are indicated.

Payments and/or transfers of money are reflected in the Form, including taxes. The return of money (return of payment without execution) is reflected in the Form.

If the fulfillment of the obligation is carried out in the form of transfer of an asset, then in column 4 the name of the asset is indicated, column 3 is not filled, and in columns 5, 6, 7, 8, 9, 10, 11 the person transferring the asset, the person receiving the asset, the date of transfer of the asset, the currency of the value of the asset, the amount of the value of the asset in thousands of units of the contract currency are indicated.

If the fulfillment of the obligation is carried out in the form of performance of works, provision of services, or in any other way, then columns 3, 4 are not filled, and in columns 5, 6, 7, 8, 9, 10, 11 the person fulfilling the obligation, the person accepting the fulfillment of the obligation, the date of fulfillment of the obligation, the currency and amount of the value of the fulfilled obligation in thousands of units of the contract currency are indicated.

Columns 3, 5, 7 are filled in accordance with the Rules for applying economic sector codes and payment purposes approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 31, 2016 No. 203 "On Approval of the Rules for Applying Economic Sector Codes and Payment Purposes" (registered in the Registry of State Registration of Regulatory Legal Acts under No. 14365), which is aligned with the National Classifier of Economic Sectors (NCS).

Column 10 is filled in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the Representation of Currencies and Funds."

When submitting the Form for an account of a branch (representative) of a legal entity with location outside the Republic of Kazakhstan in a foreign bank, international financial organization, intra-corporate transfers of money are reflected in the Form: sent by the legal entity to this branch (representative) to this account, received by the legal entity from this branch (representative) from this account.

4) For operations related to the transfer of money and financial instruments by professional participants of the securities market carrying out currency operations on behalf of clients, to accounts for the accounting and storage of money and/or financial instruments belonging to clients, the value of the transferred property is reflected at the end of the reporting period, as well as the income of the resident (non-resident) during the reporting period.

In the absence of information for the reporting period, the Form is submitted with zero values.
Corrections (changes, additions) to the Form are made within 6 (six) months after the submission deadline established by paragraph 23 of the Rules.

Appendix 5

to the Rules

for monitoring currency operations

in the Republic of Kazakhstan

Form,

designed for the collection

of administrative data

Submitted to: the territorial branch of the National Bank of the Republic of Kazakhstan at the location of the resident who received the account number.

The Form, designed for the collection of administrative data on a gratuitous basis, is posted on the internet resource: www.nationalbank.kz.

Name of the administrative form: Report on the movement of funds in an account in a foreign bank, international financial organization.

Index of the Form, designed for the collection of administrative data on a gratuitous basis: PR-F-5.

Frequency: quarterly.

Reporting period: ______ quarter ____ year.

Circle of persons submitting the Form, designed for the collection of administrative data on a gratuitous basis: legal entity-resident.

Deadline for submitting the Form, designed for the collection of administrative data on a gratuitous basis: by the 10th (tenth) day (inclusive) of the month following the reporting period.

BIN: ______

Collection method: in electronic form

Account number of the National Bank of the Republic of Kazakhstan ______

Name of the foreign bank, international financial organization, country ______

Currency of the account ______

thousands of units of the account currency


Row Code	Name of Indicators	Current Account	Deposit, deposit opened within the framework of this current account
A	B	1	2	…
10	Interest rate at which remuneration is accrued on the account during the reporting period (% per annum)
11	Balances at the beginning of the reporting period
20	Total money received during the period ((21) + (31) + (32))
	including:
21	from non-residents ((22) + (23) + (24) + (25) + (26) + (27) + (28) + (29) + (30)):
22	revenue from export of goods (works, services)
23	on attracted financial loans
24	from repayment of issued financial loans
25	on participation in capital (including shares, units of investment funds), including through a non-resident broker
26	on operations with securities (except shares, units) and derivative financial instruments, including through a non-resident broker
27	from sale of real estate
28	from joint activity
29	remuneration and dividends
29a	including remuneration on this account
30	other (specify)
31	from residents
32	in the order of transfer from other own bank accounts, including currency conversion ((33)+(34)+(35)):
33	from bank accounts in authorized banks-residents
34	from deposits in foreign banks, international financial organizations, including remuneration on deposits
35	from other accounts in foreign banks, international financial organizations, including remuneration on accounts
40	Total money spent during the period ((41) + (42) + (52) + (53))
	including:
41	for maintenance of own branches and representative offices
42	other spending on non-residents ((43)+(44) +(45) + (46) + (47) + (48) + (49) + (50) + (51)):
43	for import of goods (works, services)
44	for repayment of attracted financial loans
45	for issuance of financial loans
46	on participation in capital (including shares, units of investment funds), including through a non-resident broker
47	on operations with securities (except shares, units) and derivative financial instruments, including through a non-resident broker
48	for purchase of real estate
49	for joint activity
50	for payment of remuneration and dividends
51	other (specify)
	including:
51.1	commission of the foreign bank, international financial organization
52	other spending on residents
53	in the order of transfer to other own bank accounts, including currency conversion ((54) + (55)+(55a)):
54	to bank accounts in authorized banks-residents
55	to deposits in foreign banks, international financial organizations
55a	to other accounts in foreign banks, international financial organizations
56	Changes due to exchange rate difference (+)/(-)
60	Balances at the end of the reporting period ((11) + (20) - (40)+ (56))
70	Remuneration accrued during the reporting period by the foreign bank, international financial organization on this bank account
Information on overdraft
80	Interest rate at which remuneration for overdraft is accrued during the reporting period (% per annum)
81	Balances at the beginning of the reporting period
82	including balances on remuneration for overdraft
83	Provision of overdraft by the foreign bank, international financial organization ((84) + (85) + (86) + (87))
	including:
84	for maintenance of own branches and representative offices
85	other spending on non-residents
86	other spending on residents
87	in the order of transfer to other own bank accounts, including currency conversion
88	Remuneration accrued during the reporting period by the foreign bank, international financial organization for overdraft
89	Repayment of overdraft to the foreign bank, international financial organization
90	Payment to the foreign bank, international financial organization of remuneration for overdraft
91	Other changes during the reporting period on overdraft (specify)
92	Other changes during the reporting period on remuneration (specify)
93	Balances at the end of the reporting period ((81) + (83) + (88) - (89) - (90) + (91) + (92))
94	including balances on remuneration on overdraft ((82) + (88) - (90) + (92))

Note ______

Resident ______

(name of the legal entity)

Address ______

Phone ______

Email address ______

Executor ______

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

Head or person authorized to sign the report

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

Date of signing the report “__” ______ 20_ year

Note: the form is filled out in accordance with the explanation for filling out the Form, designed for the collection of administrative data on a gratuitous basis, "Report on the movement of funds in an account in a foreign bank, international financial organization".

Appendix

to the Form, designed

for the collection

of administrative data

on a gratuitous basis,

"Report on the movement of funds in an account

in a foreign bank,

international financial organization"

Explanation

for filling out the Form, designed for the collection of administrative data

on a gratuitous basis

Report on the movement of funds in an account in a foreign bank,

international financial organization

(index - PR-F-5, frequency - quarterly)

Chapter 1. General Provisions

This explanation defines the unified requirements for filling out the Form, designed for the collection of administrative data on a gratuitous basis, "Report on the movement of funds in an account in a foreign bank, international financial organization" (hereinafter - Form).
The Form is submitted quarterly by a legal entity-resident of the Republic of Kazakhstan by the account number of the account in a foreign bank, international financial organization.
The Form is signed by the head or person authorized to sign the report, and the executor.

Chapter 2. Filling out the Form

Column 1 reflects information about the current account, deposit, unallocated metal account, opened in a foreign bank, international financial organization.

In cases where a deposit is opened within the framework of a current account, information about such a deposit is reflected in column 2. In cases where several deposits are opened within the framework of a current account, information about such deposits is reflected for each deposit separately.

In the row with code 10, the net (excluding taxes) average rate of remuneration on the current account, deposit (% per annum) during the reporting period is reflected; in the row with code 80 - for overdraft. The remuneration rate is reflected in numerical form, rounded to hundredths. If the remuneration rate is floating, the base value of the rate during the reporting period is used. If the remuneration rate is zero, a zero value is entered.

If the Form is submitted with zero values, then rows with codes 10, 80 are not filled.

Amounts are reflected in thousands of units of the account (deposit) currency.

For multi-currency accounts (deposits), as well as unallocated metal accounts, amounts are reflected in thousands of tenge. Amounts expressed in other currencies are converted into tenge using the market exchange rate on the date of the transaction or at the end of the reporting period, respectively. The resulting exchange rate difference is reflected on the row with code 56.

In the case of filling out rows with codes 34, 35, 55, 55a, the account number of the account in a foreign bank, international financial organization, from which (to which) money is transferred, should be indicated in the note.
Information on overdraft is filled out when the foreign bank, international financial organization provides an overdraft to the legal entity-resident on this account in accordance with the terms of opening the account in the absence of an assigned account number for such overdraft.

Overdraft is understood as lending by a foreign bank, international financial organization of the client's account for payment of settlement documents in case of insufficient or absence of money in the client's account. With overdraft, the bank writes off all available money in the client's account and simultaneously provides the client with a financial loan for the part of payment not covered by money in the client's account.

The resulting exchange rate difference is reflected in other changes (rows with codes 91 and 92).

Balance at the beginning of the reporting period (rows with code 11, 81 and 82) is equal to the balance at the end of the previous reporting period (rows with code 60, 93 and 94, respectively).
On rows with code 29a, 70, remuneration accrued during the reporting period is reflected, excluding taxes on this remuneration.
In the absence of information for the reporting period, the Form is submitted with zero values.
Corrections (changes, additions) to the Form are made within 6 (six) months after the submission deadline established by paragraph 23 of the Rules.

Appendix 6

to the Rules for monitoring currency operations

in the Republic of Kazakhstan

Form,

designed for the collection

of administrative data

Submitted to: the central apparatus of the National Bank of the Republic of Kazakhstan.

The Form, designed for the collection of administrative data on a gratuitous basis, is posted on the internet resource: www.nationalbank.kz.

Name of the administrative form: Report on the utilization and servicing of financial loans, as well as obligations on REPO operations, attracted by the bank, branch of the bank - non-resident of the Republic of Kazakhstan, carrying out activities on the territory of the Republic of Kazakhstan, from non-residents, for which there are unpaid obligations at the beginning and/or end of the reporting period.

Index of the Form, designed for the collection of administrative data on a gratuitous basis: 11-OB.

Frequency: quarterly.

Reporting period: ______ quarter ____ year.

Circle of persons submitting the Form, designed for the collection of administrative data on a gratuitous basis: bank, branch of the bank - non-resident of the Republic of Kazakhstan, carrying out activities on the territory of the Republic of Kazakhstan.

Deadline for submitting the Form, designed for the collection of administrative data on a gratuitous basis: by the 10th (tenth) day (inclusive) of the month following the reporting period.

BIN: ______

Collection method: in electronic form

Table. Utilization and servicing of financial loans


Serial number	Serial number from the report for the previous period	Name of Creditor	Name of Creditor's Country
A	B	V	G

continuation of the table


Number of credit agreement (name, number, date) PN/UN	Amount of currency contract (in the currency of the currency contract)	Name of Credit Currency	Period of Action
Date of start of utilization	Date of final repayment deadline
D	E	Zh	Z	I

continuation of the table


Principal Debt
Balance at the beginning of the reporting period, thousands of units of contract currency	Operations during the reporting period, thousands of units of contract currency					Balance at the end of the reporting period
Increase			Decrease		Sum, thousands of units of contract currency	Number of balance sheet account
Total	Of which due to		Total	of which due to reorganization
reorganization	capitalized remuneration
1	2	3	4	5	6	7	8

continuation of the table


Remuneration				Credit Status	Other Payments	Note
Balance at the beginning of the reporting period, thousands of units of contract currency	Operations during the reporting period, thousands of units of contract currency		Balance at the end of the reporting period
Accrued	Paid	Sum, thousands of units of contract currency	Number of balance sheet account
9	10	11	12	13	14	15	16

continuation of the table


Payment Schedule for Credit Servicing by Borrower
Repayment of Principal Debt
year			year
1st quarter after reporting period	quarter	quarter	quarter	quarter	quarter	quarter	8th quarter after reporting period	after...
17	18	19	20	21	22	23	24	25

continuation of the table


Payment Schedule for Credit Servicing by Borrower
Payment of Remuneration
year			year
1st quarter after reporting period	quarter	quarter	quarter	quarter	quarter	quarter	8th quarter after reporting period	after...
17	18	19	20	21	22	23	24	25

Name of the bank, branch of the bank - non-resident of the Republic of Kazakhstan, carrying out activities on the territory of the Republic of Kazakhstan______

Address______

Phone ______

Email address ______

Executor ______

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

Head or person authorized to sign the report

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

Date of signing the report “__” ______ 20_ year

Note: the form is filled out in accordance with the explanation for filling out the Form, designed for the collection of administrative data on a gratuitous basis, "Report on the utilization and servicing of financial loans, as well as obligations on REPO operations, attracted by the bank, branch of the bank - non-resident of the Republic of Kazakhstan, carrying out activities on the territory of the Republic of Kazakhstan, from non-residents, for which there are unpaid obligations at the beginning and/or end of the reporting period".

Appendix
to the Form, designed for the collection of administrative data on a gratuitous basis, "Report on the utilization and servicing of financial loans, as well as obligations on REPO operations, attracted by the bank, branch of the bank - non-resident of the Republic of Kazakhstan, carrying out activities on the territory of the Republic of Kazakhstan, from non-residents, for which there are unpaid obligations at the beginning and/or end of the reporting period"

Explanation

for filling out the Form, designed for the collection of administrative data

on a gratuitous basis

Report on the utilization and servicing of financial loans, as well as obligations on REPO operations, attracted by the bank, branch of the bank - non-resident of the Republic of Kazakhstan, carrying out activities on the territory of the Republic of Kazakhstan, from non-residents, for which there are unpaid obligations at the beginning and/or end of the reporting period (index - 11-OB, frequency - quarterly)

Chapter 1. General Provisions

This explanation defines the unified requirements for filling out the Form, designed for the collection of administrative data on a gratuitous basis, "Report on the utilization and servicing of financial loans, as well as obligations on REPO operations, attracted by the bank, branch of the bank - non-resident of the Republic of Kazakhstan, carrying out activities on the territory of the Republic of Kazakhstan, from non-residents, for which there are unpaid obligations at the beginning and/or end of the reporting period" (hereinafter - Form).
The Form is submitted quarterly by the bank, branch of the bank - non-resident of the Republic of Kazakhstan, carrying out activities on the territory of the Republic of Kazakhstan, on financial loans, as well as on REPO operations, attracted by them from non-residents.
The Form is signed by the head or person authorized to sign the report, and the executor.

Chapter 2. Filling out the Form

The Form reflects information on the utilization, repayment and servicing of financial loans, as well as obligations on REPO operations, separately for each currency contract, for which there are unpaid obligations at the beginning and/or end of the reporting period to non-residents in general for the bank system, in general for the branch of the bank - non-resident of the Republic of Kazakhstan, carrying out activities on the territory of the Republic of Kazakhstan.
Amounts are reflected in thousands of units of the contract currency.
In the Table

in column A, the serial number is reflected;

in column B, the serial number of the financial loan from the Form submitted for the previous period is indicated;

in column G of Table 1, it is filled in accordance with the National Classifier of the Republic of Kazakhstan NK RK ISO 3166-1 "Codes for the representation of names of countries and units of their administrative-territorial divisions. Part 1. Country codes";

in column Zh of Table 1 and row with code 5 of the Table, it is filled in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the representation of currencies and funds";

in column 1, the unpaid principal debt at the beginning of the reporting period, including overdue, is reflected;

in column 2, the increase during the reporting period of the principal debt due to the receipt of credit funds, reorganization of debt and capitalization of remuneration is reflected;

in column 3, the increase in debt due to reorganization upon assignment of claim (transfer of debt) is reflected;

in column 4, the capitalization of remuneration (allocation of remuneration to principal debt) is reflected;

in column 5, the decrease during the reporting period of the principal debt, including overdue, due to repayment and reorganization is reflected;

in column 6, the decrease in debt due to reorganization is reflected. The main types of reorganization are early repayment, forgiveness, assignment of claim (transfer of debt), exchange of debt for equity participation instruments (borrower and/or third parties), real estate and other assets of the borrower, debt securities of the borrower, delivery of goods and other debt obligations of the borrower;

in columns 7 and 8, the unpaid principal debt at the end of the reporting period, including overdue, and the number of the balance sheet account on which the debt balance is accounted for are reflected;

in column 9, the indebtedness on remuneration, including overdue, at the beginning of the reporting period is reflected;

in column 10, the remuneration accrued during the reporting period is reflected;

in column 11, the decrease in remuneration during the reporting period, including overdue, due to payment, reorganization and capitalization of remuneration is reflected;

in columns 12 and 13, the indebtedness at the end of the reporting period on remuneration, including overdue, and the number of the balance sheet account on which this indebtedness is accounted for are reflected;

in column 14, the status of the credit agreement at the end of the reporting period is reflected from the list: "active", "full fulfillment of obligations by parties". The credit agreement is considered active until the full fulfillment of obligations by parties, including obligations on remuneration or on overdue payments;

in column 15, other payments are reflected (if any).

in column 16, the type of collateral and the amount of collateral in thousands of units of currency with indication of the currency are reflected (if any). In the presence of several types of collateral, all types of collateral and the total market value of the collateral in thousands of tenge are indicated.

In columns from 17 to 38 of the payment schedule for credit servicing by the borrower, forecast amounts for two years by quarters following the reporting period are reflected.
Arithmetic-logical control in the Table:

column 1 = column 7 of the Form submitted for the previous quarter;

column 2 >= column 3 + column 4;

column 5 >= column 6;

column 7 = column 1 + column 2 - column 5;

Column 9 = Column 12 of the Form submitted for the previous quarter;

Column 12 = Column 9 + Column 10 - Column 11.

9. In the absence of information for the reporting period, the Form is not submitted.

10. Corrections (changes, additions) to the Form are made within 6 (six) months after the submission deadline established by paragraph 31 of the Rules.

1. On Amendments to Certain Resolutions of the Board of the National Bank of the Republic of Kazakhstan

on Currency Regulation and Currency Control ↑

Lineage: No known changes