Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 26, 2016 No. 315 on Approval of the List, Forms, and Reporting Deadlines for Major Participants of Banks, Banking Holding Companies, Insurance (Reinsurance) Organizations, Insurance Holding Companies, Investment Portfolio Managers, and Holders of 25% or More Voting Shares — NBK — KZ

«REPUBLIC OF KAZAKHSTAN	[pic]	REPUBLICAN STATE INSTITUTION
NATIONAL BANK»		"NATIONAL BANK
		OF THE
REPUBLICAN		REPUBLIC OF KAZAKHSTAN"
STATE INSTITUTION
BOARD OF		RESOLUTION
DIRECTORS		OF THE

December 26, 2016 No. 315

On Approval of the List, Forms, and Reporting Deadlines for Major Participants of Banks,
Banking Holding Companies, Major Participants of Insurance (Reinsurance)
Organizations, Insurance Holding Companies, Major Participants of Investment Portfolio
Management, Major Participants Holding (Having the Right to Vote)
Twenty-Five Percent or More of Voting Shares of Investment Portfolio
Managers, and Rules for Their Submission

In accordance with the Laws of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan", dated December 18, 2000 "On Insurance Activity", dated July 2, 2003 "On the Securities Market", dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations", and dated March 19, 2010 "On State Statistics", the Board of the National Bank of the Republic of Kazakhstan RESOLVES:

Approve:
1) the list of reporting by major participants of second-tier banks, banking holding companies, major participants of insurance (reinsurance) organizations, insurance holding companies, major participants managing investment portfolios, and major participants holding (having the right to vote) twenty-five percent or more of voting shares of investment portfolio managers, according to Appendix 1 to this Resolution;
2) the form of information on income and property of a major participant of a second-tier bank, insurance (reinsurance) organization, or investment portfolio manager who is an individual, according to Appendix 2 to this Resolution;
3) the form of information on a major participant of a second-tier bank, insurance (reinsurance) organization, or investment portfolio manager who is an individual, according to Appendix 3 to this Resolution;
4) the form of information on officials of a major participant of a second-tier bank, insurance (reinsurance) organization, which is a legal entity, a banking holding company, or an insurance holding company, according to Appendix 4 to this Resolution;
5) the form of information on organizations in which a major participant of a second-tier bank, insurance (reinsurance) organization, or investment portfolio manager, which is a legal entity, a banking holding company, an insurance holding company, and a major participant who is a legal entity holding (having the right to vote) twenty-five percent or more of voting shares of an investment portfolio manager, is a participant (shareholder), according to Appendix 5 to this Resolution;
6) the form of information on major participants (shareholders) of a major participant of a second-tier bank, insurance (reinsurance) organization, or investment portfolio manager, which is a legal entity, a banking holding company, an insurance holding company, a major participant who is a legal entity holding (having the right to vote) twenty-five percent or more of voting shares of an investment portfolio manager, as well as information on persons exercising control over a major participant of a second-tier bank, insurance (reinsurance) organization, or investment portfolio manager, which is a legal entity, a banking holding company, an insurance holding company, a major participant who is a legal entity holding (having the right to vote) twenty-five percent or more of voting shares of an investment portfolio manager, according to Appendix 6 to this Resolution;
7) the form of information on transactions with related, including affiliated, parties concluded during the reporting period, as well as those in effect as of the reporting date, and the register of related, including affiliated, parties, according to Appendix 7 to this Resolution;
8) the form of the report on the breakdown of working tables for preparing consolidated financial statements, according to Appendix 8 to this Resolution;
9) the form of consolidated (unconsolidated) financial statements and explanatory notes thereto, according to Appendix 9 to this Resolution;
10) the form of information on changes in the quantity and/or percentage ratio of shares of a second-tier bank or insurance (reinsurance) organization belonging to a major participant of a second-tier bank or insurance (reinsurance) organization, which is a legal or physical person, a banking holding company, an insurance holding company, as well as sources of funds used for acquiring shares, according to Appendix 10 to this Resolution;
11) the form of information on all obligations of participants of an insurance group to third parties (groups of persons) constituting ten percent or more of the own capital of the insurance group, in effect as of the reporting date, according to Appendix 11 to this Resolution;
12) the form of information on intra-group transactions of an insurance group concluded during the reporting period, as well as those in effect as of the reporting date, according to Appendix 12 to this Resolution;
13) the Rules for submitting reporting by major participants of second-tier banks, banking holding companies, major participants of insurance (reinsurance) organizations, insurance holding companies, major participants managing investment portfolios, and major participants holding (having the right to vote) twenty-five percent or more of voting shares of investment portfolio managers, according to Appendix 13 to this Resolution.
Major participants of second-tier banks, banking holding companies, major participants of insurance (reinsurance) organizations, insurance holding companies, major participants managing investment portfolios, and major participants holding (having the right to vote) twenty-five percent or more of voting shares of investment portfolio managers shall submit the following reporting to the National Bank of the Republic of Kazakhstan in electronic format:
1) A major participant of a second-tier bank, insurance (reinsurance) organization, or investment portfolio manager who is an individual shall submit reporting provided for in subparagraphs 2) and 3) of paragraph 1 of this Resolution annually, within one hundred twenty calendar days after the end of the financial year;
2) A major participant of a second-tier bank who is a resident legal entity of the Republic of Kazakhstan, a banking holding company that is a resident of the Republic of Kazakhstan, except for second-tier banks having the status of a major participant of a second-tier bank or banking holding company, shall submit reporting provided for in subparagraphs 4), 5), 6), and 7) of paragraph 1 of this Resolution:
quarterly, within ninety calendar days following the reporting quarter; anually, within one hundred twenty calendar days after the end of the financial year;
3) An insurance holding company that is a resident of the Republic of Kazakhstan, except for second-tier banks having the status of an insurance holding company, as well as an insurance (reinsurance) organization having the status of an insurance holding company, shall submit reporting provided for in subparagraphs 4), 5), 6), and 7) of paragraph 1 of this Resolution:
quarterly, within ninety calendar days following the reporting quarter; anually, within one hundred twenty calendar days after the end of the financial year;
4) A major participant of an insurance (reinsurance) organization who is a resident legal entity of the Republic of Kazakhstan, except for second-tier banks having the status of a major participant of an insurance (reinsurance) organization, as well as an insurance (reinsurance) organization having the status of a major participant of an insurance (reinsurance) organization, shall submit reporting provided for in subparagraphs 4), 5), 6), 7), and 9) of paragraph 1 of this Resolution annually, within one hundred twenty calendar days after the end of the financial year;
5) A major participant of a second-tier bank or insurance (reinsurance) organization who is a resident legal entity of the Republic of Kazakhstan, in the absence of a banking holding company for the second-tier bank or an insurance holding company for the insurance (reinsurance) organization, except for second-tier banks having the status of a major participant of a second-tier bank/insurance (reinsurance) organization, as well as an insurance (reinsurance) organization having the status of a major participant of an insurance (reinsurance) organization or an insurance holding company, shall submit reporting provided for in subparagraphs 4), 5), 6), and 7) of paragraph 1 of this Resolution:
quarterly, no later than forty-five calendar days following the reporting quarter; anually, within one hundred twenty calendar days after the end of the financial year;
6) A major participant of an investment portfolio manager who is a resident legal entity of the Republic of Kazakhstan, except for second-tier banks having the status of a major participant of an investment portfolio manager, shall submit reporting provided for in subparagraphs 5), 6), and 7) of paragraph 1 of this Resolution annually, within one hundred twenty calendar days after the end of the financial year;
7) A major participant who is a legal entity holding (having the right to vote) twenty-five percent or more of voting shares of an investment portfolio manager, who is a resident of the Republic of Kazakhstan, except for second-tier banks having the status of a major participant of an investment portfolio manager, shall submit reporting provided for in subparagraphs 5), 6), and 7) of paragraph 1 of this Resolution:
quarterly, within ninety calendar days following the reporting quarter; anually, within one hundred twenty calendar days after the end of the financial year;
8) In the absence of an investment portfolio manager, a major participant holding (having the right to vote) twenty-five percent or more of voting shares of an investment portfolio manager, a major participant of an investment portfolio manager who is a resident legal entity of the Republic of Kazakhstan, except for second-tier banks having the status of a major participant of an investment portfolio manager, shall submit reporting provided for in subparagraphs 5) and 6) of paragraph 1 of this Resolution:
quarterly, no later than forty-five calendar days following the reporting quarter; anually, within one hundred twenty calendar days after the end of the financial year;
9) A banking holding company, a second-tier bank not having a banking holding company included in the composition of a banking conglomerate, an insurance holding company included in the composition of an insurance group, shall submit reporting provided for in subparagraph 8) of paragraph 1 of this Resolution:
quarterly, no later than ninety calendar days following the reporting quarter; anually, within one hundred twenty calendar days after the end of the financial year;
10) A major participant of a second-tier bank who is a resident legal entity of the Republic of Kazakhstan, a banking holding company, an insurance holding company that are residents of the Republic of Kazakhstan, a second-tier bank having a subsidiary organization and not having a banking holding company, shall submit reporting provided for in subparagraph 9) of paragraph 1 of this Resolution, regarding consolidated financial statements:
quarterly, no later than ninety calendar days following the reporting quarter; anually, within one hundred twenty calendar days after the end of the financial year; regarding unconsolidated financial statements:
quarterly, within thirty calendar days following the reporting quarter; anually, within one hundred twenty calendar days after the end of the financial year;
11) A major participant of a second-tier bank or insurance (reinsurance) organization who is a legal entity, in the absence of a banking holding company for the second-tier bank or an insurance holding company for the insurance (reinsurance) organization, shall submit reporting provided for in subparagraph 9) of paragraph 1 of this Resolution:
quarterly, no later than forty-five calendar days following the reporting quarter; anually, within one hundred twenty calendar days after the end of the financial year;
12) A major participant of an investment portfolio manager who is a resident legal entity of the Republic of Kazakhstan, shall submit reporting provided for in subparagraph 9) of paragraph 1 of this Resolution annually, within one hundred twenty calendar days after the end of the financial year;
13) A major participant of an investment portfolio manager who is a non-resident legal entity of the Republic of Kazakhstan, shall submit reporting provided for in subparagraph 9) of paragraph 1 of this Resolution annually, within one hundred eighty calendar days after the end of the financial year;
14) A major participant who is a legal entity holding (having the right to vote) twenty-five percent or more of voting shares of an investment portfolio manager, who is a resident of the Republic of Kazakhstan, shall submit reporting provided for in subparagraph 9) of paragraph 1 of this Resolution:
quarterly, within ninety calendar days following the reporting quarter; anually, within one hundred twenty calendar days after the end of the financial year;
15) In the absence of an investment portfolio manager, a major participant holding (having the right to vote) twenty-five percent or more of voting shares of an investment portfolio manager, a major participant of an investment portfolio manager who is a resident legal entity of the Republic of Kazakhstan, shall submit reporting provided for in subparagraph 9) of paragraph 1 of this Resolution:
quarterly, no later than forty-five calendar days following the reporting quarter; anually, within one hundred twenty calendar days after the end of the financial year;
16) A major participant of a second-tier bank or insurance (reinsurance) organization, who is a legal or physical person, a banking holding company, an insurance holding company, shall submit reporting provided for in subparagraph 10) of paragraph 1 of this Resolution, within thirty calendar days from the day of adoption of the decision on changing the quantity and/or percentage ratio of shares owned by them;
17) An insurance holding company included in the composition of an insurance group shall submit reporting provided for in subparagraphs 11) and 12) of paragraph 1 of this Resolution, quarterly within ninety calendar days following the reporting quarter.
Recognize as invalid the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 27, 2013 No. 229 "On Approval of the Rules for Submitting Reporting by Major Participants of Banks, Banking Holding Companies, Major Participants of Insurance (Reinsurance) Organizations, Insurance Holding Companies, and Reporting Forms" (registered in the Registry of State Registration of Normative Legal Acts No. 8855, published on December 10, 2013 in the newspaper "Yuridicheskaya Gazeta" No. 185 (2560)).
The Department of Research and Statistics (Tutushkin V.A.) shall ensure, in the manner established by the legislation of the Republic of Kazakhstan:
1) together with the Legal Department (Sarsenova N.V.), state registration of this Resolution in the Ministry of Justice of the Republic of Kazakhstan;
2) sending this Resolution to the Republican State Enterprise on the right of economic management "Republican Center for Legal Information of the Ministry of Justice of the Republic of Kazakhstan" for inclusion in the State Register of Normative Legal Acts of the Republic of Kazakhstan, the Reference Control Bank of Normative Legal Acts of the Republic of Kazakhstan, within ten calendar days from the day of its state registration in the Ministry of Justice of the Republic of Kazakhstan;
3) posting this Resolution on the official Internet resource of the National Bank of the Republic of Kazakhstan after its official publication.
The Department for Protection of Rights of Consumers of Financial Services and External Communications (Terentyev A.L.) shall ensure sending this Resolution for official publication in periodic printed editions within ten calendar days after its state registration in the Ministry of Justice of the Republic of Kazakhstan.
Control over the execution of this Resolution shall be entrusted to the Deputy Chairman of the National Bank of the Republic of Kazakhstan Pirmatov G.O.
This Resolution shall enter into force upon the expiration of ten calendar days after the day of its first official publication.

Chairman	D. Akishev
of the National Bank

CONSISTED WITH
Acting Chairman of the Committee for Statistics of the Ministry of National Economy of the Republic of Kazakhstan ______ G. Kerimkhanova "23" January 2017

Appendix 1
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 26, 2016 No. 315

List of Reporting by Major Participants of Second-Tier Banks, Banking Holding Companies, Major Participants of Insurance (Reinsurance) Organizations, Insurance Holding Companies, Major Participants Managing Investment Portfolios, and Major Participants Holding (Having the Right to Vote) Twenty-Five Percent or More of Voting Shares of Investment Portfolio Managers

Reporting by major participants of banks, banking holding companies, major participants of insurance (reinsurance) organizations, insurance holding companies, major participants managing investment portfolios, and major participants holding (having the right to vote) twenty-five percent or more of voting shares of investment portfolio managers includes:
1) the form of information on income and property of a major participant of a second-tier bank, insurance (reinsurance) organization, or investment portfolio manager who is an individual;
2) the form of information on a major participant of a second-tier bank, insurance (reinsurance) organization, or investment portfolio manager who is an individual;
3) the form of information on officials of a major participant of a second-tier bank, insurance (reinsurance) organization, which is a legal entity, a banking holding company, or an insurance holding company;
4) the form of information on organizations in which a major participant of a second-tier bank, insurance (reinsurance) organization, or investment portfolio manager, which is a legal entity, a banking holding company, an insurance holding company, and a major participant who is a legal entity holding (having the right to vote) twenty-five percent or more of voting shares of an investment portfolio manager, is a participant (shareholder);
5) the form of information on major participants (shareholders) of a major participant of a second-tier bank, insurance (reinsurance) organization, or investment portfolio manager, which is a legal entity, a banking holding company, an insurance holding company, a major participant who is a legal entity holding (having the right to vote) twenty-five percent or more of voting shares of an investment portfolio manager, as well as information on persons exercising control over a major participant of a second-tier bank, insurance (reinsurance) organization, or investment portfolio manager, which is a legal entity, a banking holding company, an insurance holding company, a major participant who is a legal entity holding (having the right to vote) twenty-five percent or more of voting shares of an investment portfolio manager;
6) the form of information on transactions with related, including affiliated, parties concluded during the reporting period, as well as those in effect as of the reporting date, and the register of related, including affiliated, parties;
7) the form of the report on the breakdown of working tables for preparing consolidated financial statements;
8) the form of consolidated (unconsolidated) financial statements and explanatory notes thereto;
9) the form of information on changes in the quantity and/or percentage ratio of shares of a second-tier bank or insurance (reinsurance) organization belonging to a major participant of a second-tier bank or insurance (reinsurance) organization, which is a legal or physical person, a banking holding company, an insurance holding company, as well as sources of funds used for acquiring shares;
10) the form of information on all obligations of participants of an insurance group to third parties (groups of persons) constituting ten percent or more of the own capital of the insurance group, in effect as of the reporting date;
11) the form of information on intra-group transactions of an insurance group concluded during the reporting period, as well as those in effect as of the reporting date.

Appendix 2
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 26, 2016 No. 315

Form Intended for Collection of Administrative Data

Information on Income and Property of a Major Participant of a Second-Tier Bank, Insurance (Reinsurance) Organization, or Investment Portfolio Manager Who Is an Individual

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

Index: KUFL_F2

Frequency: Annual

Submitted by: Major participant of a second-tier bank, insurance (reinsurance) organization, or investment portfolio manager who is an individual.

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

Submission Deadline: Annually, within one hundred twenty calendar days after the end of the financial year.

Form

(surname, name, patronymic (if any) of the major participant)

Table 1. Received Income and Other Monetary Receipts

No.	Name of Type of Income and Other Monetary Receipts	In Previous Reporting Period	In Reporting Period
		(in thousands of tenge)	(in thousands of tenge)
1	2	3	4
1.	Income and other monetary receipts, total, including:
1.1	wages and other remuneration for labor activity
1.2	dividends and income from participation shares in charter capitals (shares)
	of organizations owned by the major participant of a second-tier bank,
	insurance (reinsurance) organization, or investment portfolio manager (with breakdown)
1.2.1
1.2.n
1.3	paid remuneration on deposits
1.4	paid remuneration on securities, units held in
	management of a unit investment fund
1.5	income from leasing of property
1.6	other income from entrepreneurial activity (with breakdown)
1.6.1
1.6.n
1.7	sale of property
1.8	receipt of loans
1.9	receipt of financial, material, and sponsorship assistance
1.10	receipt of property as a gift
1.11	other (with breakdown)
1.11.1
1.11.n

Table 2. Information on Property

№	Name of Asset Type	Current Market Value (in thousands of tenge) at the end of the reporting period	Degree of Liquidity

1	2	3	4
1.	Assets, total, including:
1.1	Cash, total, including:
	1) in cash:
	in national currency;
	in foreign currency;
	2) in bank accounts at second-level banks:
	in national currency;
	in foreign currency;
	3) in bank accounts at foreign banks in foreign currency;
	4) in other form (with breakdown)
1.2	Refined precious metals and products made thereof
1.3	Real estate (with breakdown)
1.3.1
1.3.n
1.4	Participation shares in charter capitals (shares) of organizations owned by a major participant of a second-level bank, insurance (reinsurance) organization, or investment portfolio manager
1.5	Securities, units held in management by a unit investment fund
1.6	Other assets, including:
1.6.1	Objectified results of creative intellectual activity
1.6.2	Trade names, trademarks, and other means of individualizing products

1.6.3	Other property rights
1.6.4	Other
1.7	Assets, the right to own, use, and dispose of which is restricted (with breakdown and indication of the basis for restriction)
1.7.1
1.7.n
2	Maximum value of assets provided by a major participant of a second-level bank, insurance (reinsurance) organization, or investment portfolio manager as capitalization of a financial organization in case of deterioration of the financial position of the financial organization	X
3	Reference: Short-term liabilities	X
3.1		X
3.n		X

Table 3. Information on participation shares in charter capitals (shares) of organizations belonging to a major participant of a second-level bank, insurance (reinsurance) organization, or investment portfolio manager who is a natural person, as well as on sources of funds for their acquisition

№	Individual Identification Number or Other Identification Number (for non-residents of the Republic of Kazakhstan)	Name of Organization, Share in Charter Capital / Current Market Value of Shares Belonging to the Major Participant of a Second-Level Bank, Insurance (Reinsurance) Organization, or Investment Portfolio Manager (in thousands of tenge)	Amount of Participation in Charter Capital / Current Market Value of Shares Belonging to the Major Participant of a Second-Level Bank, Insurance (Reinsurance) Organization, or Investment Portfolio Manager (in thousands of tenge)

2.	Name of Second-Level Banks, Insurance (Reinsurance) Organizations, or Investment Portfolio Managers in Which the Reporting Person is a Major Participant
3.	Identity Document (Passport) (Series, Number, Issuer, and Date of Issue)
4.	Individual Identification Number or Other Identification Number (for Non-Residents of the Republic of Kazakhstan)
5.	Information on Whether the Major Participant of a Second-Level Bank, Insurance (Reinsurance) Organization, or Investment Portfolio Manager Who is a Natural Person Exerts Influence on Decisions Made by the Bank, Insurance (Reinsurance) Organization, or Investment Portfolio Manager:	Jointly with Other Persons under Contract Between Them	In Other Ways
1	2	3	4

Table 2. Information on Positions Held by a Major Participant of a Second-Level Bank, Insurance (Reinsurance) Organization, or Investment Portfolio Manager Who is a Natural Person in Organizations, Indicating Ownership of Participation Shares in Charter Capitals (Shares)

Position Held	Ratio of Number of Shares Belonging to the Major Participant of a Second-Level Bank, Insurance (Reinsurance) Organization, or Investment Portfolio Manager Who is a Natural Person to Total Number of Issued (Excluding Preferred and Repurchased) Shares of the Organization and/or Share in Its Charter Capital (in Percent)
	Individually		Jointly
	Directly	Indirectly	Directly	Indirectly














































...... (continuation of table structure implied by source formatting)

Continuation of Table

Position Held by Close Relative, Spouse (Wife) of Major Participant or Close Relative of Spouse in Second-Level Bank, Insurance (Reinsurance) Organization, or Investment Portfolio Manager	Book Value of Share/Participation Amount (in Thousands of Tenge)	Ratio of Number of Shares Belonging to Close Relative, Spouse, or Close Relative of Spouse to Total Number of Issued (Excluding Preferred and Repurchased) Shares of Second-Level Bank, Insurance (Reinsurance) Organization, or Investment Portfolio Manager (in Percent)
		Individually		Jointly
		Directly	Indirectly	Directly	Indirectly
		Pro-	Name of Organization/ Surname, First Name, Patronymic (if available) of Natural Person	Pro-	Name of Organization/ Surname, First Name, Patronymic (if available) of Natural Person
		cent		cent
	Business Identification Number, Individual Identification Number or Other Identification Number (for Non-Residents of the Republic of Kazakhstan)	Name of Organization/Surname, First Name (if available) of Natural Person	Business Identification Number or Other Identification Number (for Non-Residents of the Republic of Kazakhstan)	Name of Organization
1	2	3	4	5	6	7	8	9

First Head or Person Authorized to Sign ______ ______ Surname, First Name, Patronymic (if available) Signature

Chief Accountant or Person Authorized to Sign ______ ______ Surname, First Name, Patronymic (if available) Signature

Executor ______ ______
Surname, First Name, Patronymic (if available) Signature Phone:______

Date of Signing “” ______ 20 year

Place for Seal (if any)

Explanation for filling out the form intended for collecting administrative data is provided in the appendix to this form.

Appendix to the Form of Information on
Officials of a Major Participant of a Second-Level Bank, Insurance (Reinsurance) Organization, Being a Legal Entity, Banking Holding Company, Insurance Holding Company

Explanation for filling out the form, intended for collecting administrative data

Information on Officials of a Major Participant of a Second-Level Bank, Insurance (Reinsurance) Organization, Being a Legal Entity, Banking Holding Company, Insurance Holding Company

Chapter 1. General Provisions

This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the form "Information on Officials of a Major Participant of a Second-Level Bank, Insurance (Reinsurance) Organization, Being a Legal Entity, Banking Holding Company, Insurance Holding Company" (hereinafter - Form).
The Form is developed in accordance with paragraph 3 of Article 54-1 of the Law of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan", paragraph 2-1 of Article 74-1 of the Law of the Republic of Kazakhstan dated December 18, 2000 "On Insurance Activity", subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".
The Form is compiled quarterly and annually by a major participant of a second-level bank, insurance (reinsurance) organization, being a legal entity-resident of the Republic of Kazakhstan, banking holding company, insurance holding company, being residents of the Republic of Kazakhstan, except for second-level banks having the status of a major participant of a second-level bank/insurance (reinsurance) organization or banking holding company/insurance holding company, as well as insurance (reinsurance) organizations having the status of a major participant of an insurance (reinsurance) organization or insurance holding company.
The Form is signed by the first head of the organization, chief accountant, or persons authorized by them to sign.

Chapter 2. Explanation for Filling Out the Form

In case if an official of a major participant of a second-level bank, insurance (reinsurance) organization, banking holding company, or insurance holding company does not hold a position in the organization indicated in column 6 of Table 1 or does not own its shares (participation shares), columns 7 and 8 or columns 9, 10, 11, 12, 13, 14, 15, 16, 17 of Table 1 are not filled.
In column 7, the book value amount at which the financial asset is recognized in the balance sheet after deducting provisions (reserves) formed for them is indicated.
In Table 1, for banking holding companies, insurance holding companies, and financial organizations, executive employees are also indicated.
Column 8 of Table 2 is filled in case if the major participant of a second-level bank, insurance (reinsurance) organization, banking holding company, or insurance holding company is created in the organizational-legal form of a joint-stock company.

Appendix 5
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 26, 2016 No. 315

Form Intended for Collecting Administrative Data

Information on Organizations in Which a Major Participant of a Second-Level Bank, Insurance (Reinsurance) Organization, or Investment Portfolio Manager, Being a Legal Entity, Banking Holding Company, Insurance Holding Company, and a Major Participant, Being a Legal Entity, Owning (Having the Right to Vote) Twenty-Five or More Percent of Voting Shares of an Investment Portfolio Manager, is a Participant (Shareholder)

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

Index: KU BSX UL_F5

Frequency: Quarterly/Annual

Submitted by: Major participant of a second-level bank, insurance (reinsurance) organization, or investment portfolio manager, being a legal entity-resident of the Republic of Kazakhstan, banking holding company, insurance holding company, and major participant, being a legal entity, owning (having the right to vote) twenty-five or more percent of voting shares of an investment portfolio manager, being residents of the Republic of Kazakhstan, except for second-level banks having the status of a major participant of a second-level bank/insurance (reinsurance) organization/investment portfolio manager or banking holding company/insurance holding company, as well as insurance (reinsurance) organizations having the status of a major participant of an insurance (reinsurance) organization or insurance holding company.

Where the Form is Submitted: National Bank of the Republic of Kazakhstan

Submission Deadline:
quarterly, within ninety calendar days following the reporting quarter, except for the major participant of an insurance (reinsurance) organization being a legal entity-resident of the Republic of Kazakhstan; anually, within one hundred twenty calendar days after the end of the financial year. In case if a second-level bank, banking holding company, insurance (reinsurance) organization, insurance holding company, or investment portfolio manager's major participant owning (having the right to vote) twenty-five or more percent of voting shares of an investment portfolio manager lacks such status, the submission deadline for the major participant of a second-level bank, insurance (reinsurance) organization, or investment portfolio manager is no later than forty-five calendar days following the reporting quarter.

Form

(Name of Reporting Person)

№	Business Identification Number or Other Identification Number (for Non-Residents of the Republic of Kazakhstan)

Jointly	For Previous Reporting Period	For Reporting Period
Directly	Indirectly	Amount (in thousands of tenge)	Amount (in thousands of tenge)
Percentage	Name of Organization/Surname, First Name, Patronymic (if available) of Natural Person	Percentage	Name of Organization/Surname, First Name, Patronymic (if available) of Natural Person
15	16	17	18	19	20

First Head or Person Authorized to Sign ______ ______ Surname, First Name, Patronymic (if available) Signature

Chief Accountant or Person Authorized to Sign ______ ______ Surname, First Name, Patronymic (if available) Signature

Executor ______ ______
Surname, First Name, Patronymic (if available) Signature Phone:______

Date of Signing “” ______ 20 year

Place for Seal (if any)

Explanation for filling out the form intended for collecting administrative data is provided in the appendix to this form.

Appendix to the Form of Information on Organizations,
in Which a Major Participant of a Second-Level Bank, Insurance (Reinsurance) Organization, or Investment Portfolio Manager, Being a Legal Entity, Banking Holding Company, Insurance Holding Company, and a Major Participant, Being a Legal Entity, Owning (Having the Right to Vote) Twenty-Five or More Percent of Voting Shares of an Investment Portfolio Manager, is a Participant (Shareholder)

Explanation for filling out the form, intended for collecting administrative data

Chapter 1. General Provisions

This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the form "Information on Organizations in Which a Major Participant of a Second-Level Bank, Insurance (Reinsurance) Organization, or Investment Portfolio Manager, Being a Legal Entity, Banking Holding Company, Insurance Holding Company, and a Major Participant, Being a Legal Entity, Owning (Having the Right to Vote) Twenty-Five or More Percent of Voting Shares of an Investment Portfolio Manager, is a Participant (Shareholder)" (hereinafter - Form).
The Form is developed in accordance with paragraph 3 of Article 54-1 of the Law of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan", paragraph 2-1 of Article 74-1 of the Law of the Republic of Kazakhstan dated December 18, 2000 "On Insurance Activity", paragraph 3 of Article 72-4 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market", subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".
The Form is compiled quarterly and annually by a major participant of a second-level bank, insurance (reinsurance) organization, or investment portfolio manager, being a legal entity-resident of the Republic of Kazakhstan, banking holding company, insurance holding company, major participant, being a legal entity, owning (having the right to vote) twenty-five or more percent of voting shares of an investment portfolio manager, being residents of the Republic of Kazakhstan, except for second-level banks having the status of a major participant of a second-level bank/insurance (reinsurance) organization/investment portfolio manager or banking holding company/insurance holding company, as well as insurance (reinsurance) organizations having the status of a major participant of an insurance (reinsurance) organization or insurance holding company.
The Form is signed by the first head of the organization, chief accountant, or persons authorized by them to sign.

Chapter 2. Explanation for Filling Out the Form

Column 4 is filled based on the type of activity of the legal entity indicated in column 3, in whose capital the major participant of a second-level bank, insurance (reinsurance) organization, or investment portfolio manager, being a legal entity, banking and/or insurance holding company, and/or major participant, being a legal entity, owning (having the right to vote) twenty-five or more percent of voting shares of an investment portfolio manager, participates.
In column 7, the amount of reserves (provisions) is reflected in absolute value and with a plus sign.
The Form reflects data on all organizations in which the major participant of a second-level bank, insurance (reinsurance) organization, or investment portfolio manager, being a legal entity, banking holding company, insurance holding company, major participant, being a legal entity, owning (having the right to vote) twenty-five or more percent of voting shares of an investment portfolio manager, are participants (directly or indirectly).

Appendix 6
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 26, 2016 No. 315

Form Intended for Collecting Administrative Data

Information on Major Participants (Shareholders) of a Major Participant of a Second-Level Bank, Insurance (Reinsurance) Organization, or Investment Portfolio Manager, Being a Legal Entity, Banking Holding Company, Insurance Holding Company, Major Participant, Being a Legal Entity, Owning (Having the Right to Vote) Twenty-Five or More Percent of Voting Shares of an Investment Portfolio Manager, as Well as Information on Persons Exercising Control Over a Major Participant of a Second-Level Bank, Insurance (Reinsurance) Organization, or Investment Portfolio Manager, Being a Legal Entity, Banking Holding Company, Insurance Holding Company, Major Participant, Being a Legal Entity, Owning (Having the Right to Vote) Twenty-Five or More Percent of Voting Shares of an Investment Portfolio Manager

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

Index: KU BSX UL_F6

Frequency: Quarterly/Annual

Submitted by: Major participant of a second-level bank, insurance (reinsurance) organization, or investment portfolio manager, being a legal entity-resident of the Republic of Kazakhstan, banking holding company, insurance holding company, major participant, being a legal entity, owning (having the right to vote) twenty-five or more percent of voting shares of an investment portfolio manager, being residents of the Republic of Kazakhstan, except for second-level banks having the status of a major participant of a second-level bank/insurance (reinsurance) organization/investment portfolio manager or banking holding company/insurance holding company, as well as insurance (reinsurance) organizations having the status of a major participant of an insurance (reinsurance) organization or insurance holding company.

Where the Form is Submitted: National Bank of the Republic of Kazakhstan

Reporting Period:
quarterly, within ninety calendar days following the reporting quarter, except for a major participant of an insurance (reinsurance) organization that is a legal entity resident of the Republic of Kazakhstan; anually, within one hundred twenty calendar days after the end of the financial year. In the event that a second-tier bank, banking holding company, insurance (reinsurance) organization, insurance holding company, investment portfolio manager, or a major participant owning (having the right to vote) twenty-five percent or more of the voting shares of an investment portfolio manager does not exist, the deadline for reporting by the major participant of the second-tier bank, insurance (reinsurance) organization, or investment portfolio manager is no later than forty-five calendar days following the reporting quarter.

Form

(name of the reporting person)

Table 1. Information on major participants (shareholders) of a major participant of a second-tier bank, insurance (reinsurance) organization, investment portfolio manager, being a legal entity, banking holding company, insurance holding company, major participant being a legal entity owning (having the right to vote) twenty-five percent or more of the voting shares of an investment portfolio manager

№	Business identification number (for legal entity), individual identification number (for physical person) or other identification number (for non-residents of the Republic of Kazakhstan)	Resident/Non-resident	Name of major participant	Description of activity type	Book value of share/share amount (in thousands of tenge)	Number of shares owned (pieces)



1	2	3	4	5	6	7

continuation of table

Ratio of the number of shares owned by the major participant (shareholder) of the major participant of a second-tier bank, insurance (reinsurance) organization, investment portfolio manager, banking holding company, insurance holding company, major participant owning (having the right to vote) twenty-five percent or more of the voting shares of an investment portfolio manager, to the total number of issued (excluding preferred and repurchased) shares of the major participant of a second-tier bank, insurance (reinsurance) organization, investment portfolio manager, banking holding company, insurance holding company, major participant owning (having the right to vote) twenty-five percent or more of the voting shares of an investment portfolio manager, or share in its authorized capital (in percent)
individually	jointly
directly	indirectly	directly	indirectly
percent	name of organization / surname, first name, patronymic (if any) of physical person	percent	name of organization / surname, first name, patronymic (if any) of physical person	percent	name of organization / surname, first name, patronymic (if any) of physical person	percent	name of organization / surname, first name, patronymic (if any) of physical person
8	9	10	11	12	13	14	15

Table 2. Register of persons exercising control over the major participant of a second-tier bank, insurance (reinsurance) organization, investment portfolio manager, being a legal entity, banking holding company, insurance holding company, major participant being a legal entity owning (having the right to vote) twenty-five percent or more of the voting shares of an investment portfolio manager

№	Business identification number (for legal entity), individual identification number (for physical person) or other identification number (for non-residents of the Republic of Kazakhstan)	Name of person	Grounds for control	Information on organizations in which the person controlling the major participant of a second-tier bank, insurance (reinsurance) organization, investment portfolio manager, being a legal entity, banking holding company, insurance holding company, major participant being a legal entity owning (having the right to vote) twenty-five percent or more of the voting shares of an investment portfolio manager owns more than 20 percent of voting shares (shares in authorized capital)
				name of subsidiary organization	name of other organizations
1	2	3	4	5	6

First head or person authorized to sign ______ ______ surname, first name, patronymic (if any) signature

Chief accountant or person authorized to sign ______ ______ surname, first name, patronymic (if any) signature

Executor ______ ______ surname, first name, patronymic (if any) signature Phone:______

Date of signing «» ______ 20 year

Place for seal (if available)

Explanation for filling out the form intended for collecting administrative data is provided in the appendix to this form.

Appendix to the form of information
on major participants (shareholders) of a major participant of a second-tier bank, insurance (reinsurance) organization, investment portfolio manager, being a legal entity, banking holding company, insurance holding company, major participant being a legal entity owning (having the right to vote) twenty-five percent or more of the voting shares of an investment portfolio manager, as well as information on persons exercising control over the major participant of a second-tier bank, insurance (reinsurance) organization, investment portfolio manager, being a legal entity, banking holding company, insurance holding company, major participant being a legal entity owning (having the right to vote) twenty-five percent or more of the voting shares of an investment portfolio manager

Explanation for filling out the form, intended for collecting administrative data

Information on major participants (shareholders) of a major participant of a second-tier bank, insurance (reinsurance) organization, investment portfolio manager, being a legal entity, banking holding company, insurance holding company, major participant being a legal entity owning (having the right to vote) twenty-five percent or more of the voting shares of an investment portfolio manager, as well as information on persons exercising control over the major participant of a second-tier bank, insurance (reinsurance) organization, investment portfolio manager, being a legal entity, banking holding company, insurance holding company, major participant being a legal entity owning (having the right to vote) twenty-five percent or more of the voting shares of an investment portfolio manager

Chapter 1. General Provisions

This explanation (hereinafter - Explanation) defines uniform requirements for filling out the form "Information on major participants (shareholders) of a major participant of a second-tier bank, insurance (reinsurance) organization, investment portfolio manager, being a legal entity, banking holding company, insurance holding company, major participant being a legal entity owning (having the right to vote) twenty-five percent or more of the voting shares of an investment portfolio manager, as well as information on persons exercising control over the major participant of a second-tier bank, insurance (reinsurance) organization, investment portfolio manager, being a legal entity, banking holding company, insurance holding company, major participant being a legal entity owning (having the right to vote) twenty-five percent or more of the voting shares of an investment portfolio manager" (hereinafter - Form).
The Form is developed in accordance with paragraph 3 of Article 54-1 of the Law of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan", paragraph 2-1 of Article 74-1 of the Law of the Republic of Kazakhstan dated December 18, 2000 "On Insurance Activity", paragraph 3 of Article 72-4 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market", subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".
The Form is compiled quarterly and annually by a major participant of a second-tier bank, insurance (reinsurance) organization, investment portfolio manager, being a legal entity-resident of the Republic of Kazakhstan, banking holding company, insurance holding company, major participant of an investment portfolio manager, being a legal entity owning (having the right to vote) twenty-five percent or more of the voting shares of an investment portfolio manager, being residents of the Republic of Kazakhstan, except for second-tier banks having the status of a major participant of a second-tier bank/insurance (reinsurance) organization/investment portfolio manager or banking holding company/insurance holding company, as well as insurance (reinsurance) organizations having the status of a major participant of an insurance (reinsurance) organization or insurance holding company.
The Form is signed by the first head of the organization, chief accountant, or persons authorized by them to sign.

Chapter 2. Explanation for Filling out the Form

In column 4 of Table 1, persons owning ten percent or more of the issued (excluding preferred and repurchased) shares of the major participant of a second-tier bank, insurance (reinsurance) organization, investment portfolio manager, banking holding company, insurance holding company, major participant owning (having the right to vote) twenty-five percent or more of the voting shares of an investment portfolio manager are indicated.
Column 5 of Table 1 is filled based on the nature of activity of the person specified in column 4.
Column 6 of Table 1 is filled if the major participant of a second-tier bank, insurance (reinsurance) organization, investment portfolio manager, banking holding company, insurance holding company, major participant owning (having the right to vote) twenty-five percent or more of the voting shares of an investment portfolio manager is created in the organizational-legal form of a joint-stock company.
In column 4 of Table 2, grounds for control are indicated in accordance with Article 2 of the Law of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan", Article 3 of the Law of the Republic of Kazakhstan dated December 18, 2000 "On Insurance Activity", and Article 1 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".

Appendix 7
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 26, 2016 No. 315

Form intended for collecting administrative data

Information on transactions with related, including affiliated, persons concluded during the reporting period, as well as those in effect as of the reporting date and register of related, including affiliated, persons

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

Index: KU BSX UL_F7

Periodicity: quarterly/annual

Submitted by: major participant of a second-tier bank, insurance (reinsurance) organization, investment portfolio manager, being a legal entity-resident of the Republic of Kazakhstan, banking holding company, insurance holding company, major participant of an investment portfolio manager, being a legal entity owning (having the right to vote) twenty-five percent or more of the voting shares of an investment portfolio manager, being residents of the Republic of Kazakhstan, except for second-tier banks having the status of a major participant of a second-tier bank/insurance (reinsurance) organization/investment portfolio manager or banking holding company/insurance holding company, as well as insurance (reinsurance) organizations having the status of a major participant of an insurance (reinsurance) organization or insurance holding company.

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

In the event that a second-tier bank, banking holding company, insurance (reinsurance) organization, insurance holding company does not exist, the deadline for reporting by the major participant of the second-tier bank, insurance (reinsurance) organization is no later than forty-five calendar days following the reporting quarter.

Form

(name of the reporting person)

Table 1. Report on transactions with related, including affiliated, persons

№	Name of organization or surname, first name, patronymic (if any) of related (affiliated) person	Business identification number (for legal entity), individual identification number (for physical person) or identification number (for non-residents of the Republic of Kazakhstan)	Country of residence	Sign according to which the person is classified as a person related by special relations/affiliated	Type of transaction	Purpose of transaction	Contract number	Date of conclusion of contract	Date of expiration of contract

1	2	3	4	5	6	7	8	9	10
	Total

continuation of table

Details of decision	Amount of transaction	Currency	Information on	Remuneration	Balance by type of transaction as of reporting date	Note
of authorized body	(in thousands of tenge)		presence of collateral (yes/no)	(in percent per annum)	(in thousands of tenge)	(other information not provided in columns 2-16)
				under contract terms	under internal requirements for unrelated persons
11	12	13	14	15	16	17	18

Total

Table 2. Register of related, including affiliated, persons

№	Business identification number (for legal entity), individual identification number (for physical person) or identification number (for non-residents of the Republic of Kazakhstan)	Name of related (affiliated) person	Country of residence	Sign according to which the person is classified as a person related by special relations/affiliated
1	2	3	4	5

First head or person authorized to sign ______ ______ surname, first name, patronymic (if any) signature

Chief accountant or person authorized to sign ______ ______ surname, first name, patronymic (if any) signature

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

Phone:______

Date of signing «» ______ 20 year

Place for seal (if available)

Explanation for filling out the form intended for collecting administrative data is provided in the appendix to this form.

Appendix to the form of information on transactions with related, including affiliated, persons concluded during the reporting period, as well as those in effect as of the reporting date and register of related, including affiliated, persons

Explanation for filling out the form, intended for collecting administrative data

Chapter 1. General Provisions

This explanation (hereinafter - Explanation) defines uniform requirements for filling out the form "Information on transactions with related, including affiliated, persons concluded during the reporting period, as well as those in effect as of the reporting date and register of related, including affiliated, persons" (hereinafter - Form).
The Form is developed in accordance with paragraph 3 of Article 54-1 of the Law of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan", paragraph 2-1 of Article 74-1 of the Law of the Republic of Kazakhstan dated December 18, 2000 "On Insurance Activity", paragraph 3 of Article 72-4 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market", subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".
The Form is compiled quarterly and annually by a major participant of a second-tier bank, insurance (reinsurance) organization, investment portfolio manager, being a legal entity-resident of the Republic of Kazakhstan, banking holding company, insurance holding company, major participant of an investment portfolio manager, being a legal entity owning (having the right to vote) twenty-five percent or more of the voting shares of an investment portfolio manager, being residents of the Republic of Kazakhstan, except for second-tier banks having the status of a major participant of a second-tier bank/insurance (reinsurance) organization/investment portfolio manager or banking holding company/insurance holding company, as well as insurance (reinsurance) organizations having the status of a major participant of an insurance (reinsurance) organization or insurance holding company.
The Form is signed by the first head of the organization, chief accountant, or persons authorized by them to sign.

Chapter 2. Explanation for Filling out the Form

The sign according to which a person is classified as a person related by special relations/affiliated with the reporting person is determined by Article 12-1 of the Law of the Republic of Kazakhstan dated April 22, 1998 "On Limited and Additional Liability Partnerships", Article 40 of the Law of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan", Article 3 of the Law of the Republic of Kazakhstan dated December 18, 2000 "On Insurance Activity", and Article 64 of the Law of the Republic of Kazakhstan dated May 13, 2003 "On Joint-Stock Companies".
In Tables 1 and 2:
1) a banking holding company reflects information on persons related to it by special relations;
2) a major participant of a second-tier bank, insurance (reinsurance) organization, being a legal entity, insurance holding company reflect information on affiliated persons.
Table 1 discloses information on all transactions of the reporting person with persons related, including affiliated, to the reporting person by special relations, the amount of which for each type of operation with a related, including affiliated, person exceeds 0.01 percent of the total size of the reporting person's own capital as of the reporting date.
If a person has one or several signs of being related by special relations, including affiliation, with the reporting person, all signs are indicated in Table 2.
Column 11 of Table 1 is not mandatory for completion in the absence of information.

Appendix 8
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 26, 2016 No. 315

Form intended for collecting administrative data

Report on the breakdown of working tables for preparing consolidated financial statements

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

Index: KU BSX RT_F8

Periodicity: quarterly/annual

Submitted by: banking holding company, second-tier bank not having a banking holding company, included in the composition of a banking conglomerate, insurance holding company included in the composition of an insurance group.

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

Reporting Period:
quarterly, within ninety calendar days following the reporting quarter; anually, within one hundred twenty calendar days after the end of the financial year.

Form

(name of the organization)

Table 1. Working table for preparing consolidated balance sheet


№	Indicators	Participant 1
………..
………..
Total assets
………..
………..
Total liabilities
…………
………….
Total equity
Total liabilities and equity

Table 2. Consolidated (unconsolidated) income statement/report on comprehensive income

Indicators	for the period from the beginning of the year to the end of the reporting period	for the analogous period of the previous year

………..
………..
…………..
……..
………
Net profit/net loss before tax
………
Income tax expenses
Profit/loss after income tax
Net profit/net loss
……..

First head or person authorized to sign
______ ______ surname, first name, patronymic (if any) signature

Chief accountant or person authorized to sign
______ ______ surname, first name, patronymic (if any) signature

Executor______ ______ surname, first name, patronymic (if any) signature Phone:______

Date of signing «» ______ 20 year

Place for seal (if available)

Explanation for filling out the form intended for collecting administrative data is provided in the appendix to this form.

Appendix to the form of report on consolidated
(unconsolidated) financial statements

Explanation for filling out the form, intended for collecting administrative data

Consolidated (unconsolidated) financial statements and explanatory notes thereto

Chapter 1. General Provisions

This Explanation (hereinafter - the Explanation) defines the uniform requirements for completing the form "Consolidated (unconsolidated) Financial Statements and Notes Thereto" (hereinafter - the Form).
The Form is developed in accordance with paragraph 3 of Article 54-1 of the Law of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan", paragraph 2-1 of Article 74-1 of the Law of the Republic of Kazakhstan dated December 18, 2000 "On Insurance Activity", paragraph 3 of Article 72-4 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market", and sub-item 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".
The Form is submitted quarterly and annually by a major participant of a second-level bank, an insurance (reinsurance) organization, an investment portfolio manager, being legal entities-residents of the Republic of Kazakhstan, a second-level bank having a subsidiary and not having a banking holding company, a banking holding company (insurance holding company), being a resident of the Republic of Kazakhstan, a major participant being a legal entity owning (having the right to vote) twenty-five percent or more of voting shares of an investment portfolio manager, a major participant managing an investment portfolio being a non-resident of the Republic of Kazakhstan, being a legal entity.
The Form is signed by the head of the organization, the chief accountant, or persons authorized by them to sign.

Chapter 2. Explanation on Completing the Form

Consolidated (unconsolidated) financial statements include: consolidated (unconsolidated) balance sheet/report on financial position according to Table 1, consolidated (unconsolidated) income statement/report on comprehensive income according to Table 2, cash flow statement, and statement of changes in equity in arbitrary form.
Data are filled in from consolidated (unconsolidated) financial statements, either not audited by an audit organization, or audited by an audit organization if present, and are indicated in thousands of tenge. Reports provided in arbitrary form, as well as notes to consolidated (unconsolidated) financial statements, may be provided in millions of tenge.
Notes to consolidated (unconsolidated) financial statements are provided in arbitrary form and must contain, among other information, the following:
1. basic information, including for consolidated statements - a list of organizations whose data are included in the financial statements, detailed description of methods for preparing financial statements, methods of accounting for investments in subsidiaries and associated (dependent) organizations broken down by each organization;
2. breakdowns and explanations to the financial statements;
3. information about material events after the reporting date (events that occur during the period between the reporting date and the date of preparation of the financial statements and which have or may have an impact on the financial condition).
For a major participant of a second-level bank, being a legal entity-resident of the Republic of Kazakhstan, the Form for unconsolidated reporting is compiled for the major participant of the second-level bank and each organization in which the major participant of the second-level bank is a major participant (major shareholder).
For a second-level bank having a subsidiary and not having a banking holding company, the Form for unconsolidated reporting is compiled for the second-level bank and each subsidiary separately.
For a banking holding company (insurance holding company) included in the composition of a banking conglomerate (insurance group), the Form for unconsolidated reporting is compiled for each participant of the banking conglomerate (insurance group) separately.
In case several banking holding companies are included in the composition of one banking conglomerate, submission of the Form for unconsolidated reporting for each participant of the banking conglomerate is required only for one of the banking holding companies (the upper level of the banking conglomerate).
In case a banking holding company and a second-level bank having a subsidiary and not having a banking holding company have previously submitted unconsolidated financial statements for the reporting period to the National Bank of the Republic of Kazakhstan, their submission to the National Bank of the Republic of Kazakhstan is not required.

Appendix 10
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 26, 2016 No. 315

Form intended for the collection of administrative data

Information on the change in the quantity and/or percentage ratio of shares of a second-level bank, insurance (reinsurance) organization, belonging to a major participant of a second-level bank, insurance (reinsurance) organization, being a legal or natural person, banking holding company, insurance holding company, as well as sources of funds used for acquiring shares

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

Index: KU FUL _F10

Frequency: in case of change in the quantity and/or percentage ratio of shares

Submitted by: major participant of a second-level bank, insurance (reinsurance) organization, being a legal or natural person, banking holding company, insurance holding company

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

Submission deadline: within thirty calendar days from the day of adoption of the decision on the change in the quantity and/or percentage ratio of shares belonging to a major participant of a second-level bank, insurance (reinsurance) organization, being a legal or natural person, banking holding company, insurance holding company.

Form

(name of the reporting person)

Table 1. Information on the change in the quantity and/or percentage ratio of
shares of a second-level bank, insurance (reinsurance) organization, belonging to a major participant of a second-level bank, insurance (reinsurance) organization, being a legal or natural person, banking holding company, insurance holding company

Business identification number	Name of the second-level bank, insurance (reinsurance) organization through which indirect ownership of shares of the second-level bank, insurance (reinsurance) organization is carried out	Quantity of shares of the second-level bank, insurance (reinsurance) organization belonging to the major participant of the second-level bank, insurance (reinsurance) organization, being a legal or natural person, banking holding company, insurance holding company before the change in percentage ratio	Information on the change in the quantity and percentage ratio of shares of the second-level bank, insurance (reinsurance) organization
		Quantity of shares of the second-level bank, insurance (reinsurance) organization owned (pieces)	Percentage ratio of the quantity of owned shares to the quantity of voting shares of the second-level bank, insurance (reinsurance) organization
		Percentage ratio of the quantity of owned shares of the second-level bank, insurance (reinsurance) organization to the quantity of issued (excluding preferred and repurchased) shares of the second-level bank, insurance (reinsurance) organization
13	14	15

Table 2. Sources of funds used for acquiring shares

No.	Information on conditions and procedure for acquisition by a major participant of a second-level bank, insurance (reinsurance) organization, being a legal or natural person, banking holding company, insurance holding company of shares of the second-level bank, insurance (reinsurance) organization	Description of sources and funds used for acquiring shares of the second-level bank, insurance (reinsurance) organization, with attached supporting documents

1	2	3

Head of the organization or person authorized to sign ______ ______ surname, name, patronymic (if available) signature

Chief accountant or person authorized to sign ______ ______ surname, name, patronymic (if available) signature

Executor ______ ______ surname, name, patronymic (if available) signature

Phone:______

Date of signing "" ______ 20 year

Place for seal (if available)

Explanation on completing the form intended for the collection of administrative data is provided in the appendix to this form.

Appendix to the form of information on the change in the quantity and/or percentage ratio of shares
of a second-level bank, insurance (reinsurance) organization, belonging to a major participant of a second-level bank, insurance (reinsurance) organization, being a legal or natural person, banking holding company, insurance holding company, as well as sources of funds used for acquiring shares

Explanation on completing the form intended for the collection of administrative data

Chapter 1. General Provisions

This Explanation (hereinafter - the Explanation) defines the uniform requirements for completing the form "Information on the change in the quantity and/or percentage ratio of shares of a second-level bank, insurance (reinsurance) organization, belonging to a major participant of a second-level bank, insurance (reinsurance) organization, being a legal or natural person, banking holding company, insurance holding company, as well as sources of funds used for acquiring shares" (hereinafter - the Form).
The Form is developed in accordance with paragraph 3 of Article 54-1 of the Law of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan", paragraph 2-1 of Article 74-1 of the Law of the Republic of Kazakhstan dated December 18, 2000 "On Insurance Activity", and sub-item 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".
The reporting Form is compiled by a major participant of a second-level bank, insurance (reinsurance) organization, being a legal or natural person, banking holding company, insurance holding company, in case of change in the quantity of shares belonging to a major participant of a second-level bank, insurance (reinsurance) organization, being a legal or natural person, banking holding company, insurance holding company.
The Form is signed by the head of the organization, the chief accountant, or persons authorized by them to sign. When submitting the Form by a natural person, it is signed by the natural person.

Chapter 2. Explanation on Completing the Form

In columns 3, 5, and 6 of Table 1, the quantity and percentage ratio of shares belonging to the reporting person before the change in percentage ratio are indicated.
In columns 9, 11, and 12 of Table 1, the quantity, price, and book value of shares or the amount of participation are indicated.
In column 11 of Table 1, the cost of one share of a second-level bank, insurance (reinsurance) organization in tenge is indicated.
To Table 2, documents confirming the sources and funds used for acquiring shares of a second-level bank, insurance (reinsurance) organization are attached in electronic format in arbitrary form.

Appendix 11
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 26, 2016 No. 315

Form intended for the collection of administrative data

Information on all obligations of participants of an insurance group to third parties (group of persons), constituting ten percent or more of the own capital of the insurance group, in effect as of the reporting date

Reporting period: for ___ quarter of 20__ year

Index: SG UL_F11

Frequency: quarterly

Submitted by: insurance holding company included in the composition of an insurance group

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

Submission deadline: quarterly, within ninety calendar days following the reporting quarter.

Form

(name of the insurance group)

No.	Name of counterparty	Type of operation	Type of currency	Amount (in thousands of tenge)	Date of conclusion (date of commencement of performance of contract conditions)	Date of expiration of action (date of completion of performance of contract conditions)
1	2	3	4	5	6	7
1. (Name of insurance group participant 1)
1.1
1.2
…
Total obligations of participant 1
…
n. (Name of insurance group participant n)
n.1
n.2
…
Total obligations of participant n

Head of the organization or person authorized to sign ______ ______ surname, name, patronymic (if available) signature

Chief accountant or person authorized to sign
______ ______ surname, name, patronymic (if available) signature

Executor ______ ______ surname, name, patronymic (if available) signature

Phone:______

Date of signing "" ______ 20 year

Place for seal (if available)

Explanation on completing the form intended for the collection of administrative data is provided in the appendix to this form.

Appendix to the form of information on all obligations of participants
of an insurance group to third parties (group of persons), constituting ten percent or more of the own capital of the insurance group, in effect as of the reporting date

Explanation on completing the form intended for the collection of administrative data

Chapter 1. General Provisions

This Explanation (hereinafter - the Explanation) defines the uniform requirements for completing the form "Information on all obligations of participants of an insurance group to third parties (group of persons), constituting ten percent or more of the own capital of the insurance group, in effect as of the reporting date" (hereinafter - the Form).
The Form is developed in accordance with paragraph 2-1 of Article 74-1 of the Law of the Republic of Kazakhstan dated December 18, 2000 "On Insurance Activity", and sub-item 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".
The Form is compiled quarterly by an insurance holding company included in the composition of an insurance group.
The Form is signed by the head of the organization, the chief accountant, or persons authorized by them to sign.

Chapter 2. Explanation on Completing the Form

In column 5, the amount of obligations of participants of the insurance group to third parties (group of persons), constituting ten percent or more of the own capital of the insurance group, as of the reporting date is indicated.
The symbol n is the number of participants in the insurance group.
Names of participants of the insurance group are indicated in rows "1. (Name of insurance group participant 1) n. (Name of insurance group participant n)".

Appendix 12
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 26, 2016 No. 315

Form intended for the collection of administrative data

Information on intra-group transactions of an insurance group concluded during the reporting period, as well as those in effect as of the reporting date

Reporting period: as of ______ 20__ year

Index: SG UL_F12

Frequency: quarterly

Submitted by: insurance holding company included in the composition of an insurance group

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

Submission deadline: quarterly, within ninety calendar days following the reporting quarter.

Form

(name of the insurance group)

Participant of insurance group (Party 1 to the transaction contract)	Participant of insurance group (Party 2 to the transaction contract)	Type of transaction	Amount of transaction (in thousands of tenge)	Reward rate under contract (in percent per annum)	Date of conclusion of contract	Date of expiration of action of contract (including extensions)	Note	Turnovers conducted during the reporting quarter	Balances of claims at the end of the reporting quarter
Name	Business identification number (if available)	Name	Business identification number (if available)	Principal debt	Accrued reward	Discounts, premiums	Positive/negative adjustments	Reserves
1	2	3	4	5	6	7	8	9	10	11	12	13	14	15	16
1
2
…
Total															X	X	X	X	X	X

Head of the organization or person authorized to sign ______ ______ surname, name, patronymic (if available) signature

Chief accountant or person authorized to sign ______ ______ surname, name, patronymic (if available) signature

Executor ______ ______ surname, name, patronymic (if available) signature

Phone:______

Date of signing "" ______ 20 year

Place for seal (if available)

Explanation on completing the form intended for the collection of administrative data is provided in the appendix to this form.

Appendix to the form of information on intra-group transactions of an insurance group concluded during the reporting period, as well as those in effect as of the reporting date

Explanation on completing the form intended for the collection of administrative data

Information on intra-group transactions of an insurance group concluded during the reporting period, as well as those in effect as of the reporting date

Chapter 1. General Provisions

This Explanation (hereinafter - the Explanation) defines the uniform requirements for completing the form "Information on intra-group transactions of an insurance group concluded during the reporting period, as well as those in effect as of the reporting date" (hereinafter - the Form).
The Form is developed in accordance with paragraph 2-1 of Article 74-1 of the Law of the Republic of Kazakhstan dated December 18, 2000 "On Insurance Activity", and sub-item 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".
The Form is compiled quarterly by an insurance holding company included in the composition of an insurance group.
The Form is signed by the head of the organization, the chief accountant, or persons authorized by them to sign.

Chapter 2. Explanation on Completing the Form

A transaction in the Form is indicated once.
In case a transaction involves the participation of several participants of the insurance group, Party 1 is reported – the participant of the insurance group from whom the movement of money starts, and Party 2 is the final participant of the insurance group – the beneficiary of the transaction. In this case, intermediate participants and the purpose of their participation in the transaction must be indicated in the note.

Appendix 13
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 26, 2016 No. 315

Rules for submission of reports by major participants of second-level banks, banking holding companies, major participants of insurance (reinsurance) organizations, insurance holding companies, major participants managing investment portfolios, major participants holding (having the right to vote) twenty-five percent or more of voting shares of investment portfolio managers

These Rules for the submission of reports by major participants of banks, banking holding companies, major participants of insurance (reinsurance) organizations, insurance holding companies, major participants of investment portfolio managers, and major participants owning (having the right to vote) twenty-five percent or more of voting shares of an investment portfolio manager (hereinafter - the Rules) are developed in accordance with the Laws of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan" (hereinafter - the Law on Banks), dated December 18, 2000 "On Insurance Activity" (hereinafter - the Law on Insurance Activity), dated July 2, 2003 "On the Securities Market" (hereinafter - the Law on the Securities Market), dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations", and establish the procedure for submitting reports to the National Bank of the Republic of Kazakhstan by major participants of banks, banking holding companies, major participants of insurance (reinsurance) organizations, insurance holding companies, major participants of investment portfolio managers, and major participants owning (having the right to vote) twenty-five percent or more of voting shares of an investment portfolio manager.
Reports of a major participant of a second-level bank, banking holding company, insurance (reinsurance) organization, insurance holding company, investment portfolio manager, and a major participant owning (having the right to vote) twenty-five percent or more of voting shares of an investment portfolio manager are submitted to the National Bank of the Republic of Kazakhstan in electronic format.

Reports on paper medium signed by an individual are signed by such person and kept at the major participant of a second-level bank, insurance (reinsurance) organization, or investment portfolio manager who is an individual.

Reports on paper medium signed by a legal entity are signed by the head of the organization, chief accountant, or persons authorized by them to sign the report, and are kept at the major participant of a second-level bank, banking holding company, insurance (reinsurance) organization, insurance holding company, investment portfolio manager, or major participant owning (having the right to vote) twenty-five percent or more of voting shares of an investment portfolio manager.

The identity of data submitted in electronic format and data on paper medium is ensured by the head of the organization (during his absence - by a person authorized to sign the report) and the chief accountant.

A major participant of a second-level bank, insurance (reinsurance) organization, or investment portfolio manager who is an individual and is simultaneously a major participant of another second-level bank and/or another insurance (reinsurance) organization and/or another investment portfolio manager submits to the National Bank of the Republic of Kazakhstan information and data for the reporting period, taking into account information on another bank and/or another insurance (reinsurance) organization and/or another investment portfolio manager, in which he is a major participant.
Accounting policy is attached in any form to the financial reports of a major participant of a second-level bank, insurance (reinsurance) organization, or investment portfolio manager, banking holding company, insurance holding company, and major participant owning (having the right to vote) twenty-five percent or more of voting shares of an investment portfolio manager, in case of submission of financial reports to the National Bank of the Republic of Kazakhstan for the first time, as well as upon changes to the accounting policy.
A major participant of a second-level bank, insurance (reinsurance) organization, or investment portfolio manager who is a legal entity, a banking holding company, an insurance holding company - non-residents of the Republic of Kazakhstan, submit to the National Bank of the Republic of Kazakhstan consolidated, and if not consolidated, annual financial reports and explanatory notes thereto, certified by an audit organization, in the state or Russian language.

The explanatory note is prepared in accordance with the requirements of the corresponding supervisory authority of the country of its location.

A legal entity that is simultaneously a banking holding company and/or an insurance holding company and/or a major participant owning (having the right to vote) twenty-five percent or more of voting shares of an investment portfolio manager, and/or a major participant of another second-level bank and/or another insurance (reinsurance) organization and/or investment portfolio manager, submits to the National Bank of the Republic of Kazakhstan reports provided for by Articles 54-1 of the Law on Banks, 74-1 of the Law on Insurance Activity, 72-4 of the Law on the Securities Market, for the required period, in one copy, compiled taking into account information on another bank and/or another insurance (reinsurance) organization and/or another investment portfolio manager, in which it is a major participant and/or a banking holding company and/or an insurance holding company and/or a major participant owning (having the right to vote) twenty-five percent or more of voting shares of an investment portfolio manager.
When submitting annual reports by major participants of second-level banks, insurance (reinsurance) organizations, investment portfolio managers, second-level banks having a subsidiary organization, banking holding companies, insurance holding companies, and major participants owning (having the right to vote) twenty-five percent or more of voting shares of an investment portfolio manager, according to report forms in Appendices 4)-9), submission of said forms for the fourth quarter is not required.
In the event that, by the deadline for submitting reports established by paragraph 3 of the Rules, the reporting person has lost the status of a major participant of a second-level bank, banking holding company, major participant of insurance (reinsurance) organizations, insurance holding company, major participant of investment portfolio managers, or major participant owning (having the right to vote) twenty-five percent or more of voting shares of an investment portfolio manager, the report for the last reporting period preceding the date of loss of status is submitted within the established deadlines.

Lineage: No known changes