Rule · NBK · 8 Nov 2019
Legal entities with exclusive activity in collecting banknotes, coins, and valuables must meet qualification requirements, including premises, two owned vehicles, and a resident head with three years’ experience. They submit electronic applications via the "e-government" portal for issuance or reissuance within 20 working days. The resolution enters force on January 1, 2020, replacing prior resolutions. Non-compliance may result in suspension, termination, or deprivation of license under Article 48 of the Law on Banks and Banking Activity.
Resolution of the Board of the National Bank of the Republic of Kazakhstan dated November 8, 2019 No. 176 On Approval of the Rules for Issuing Licenses to Legal Entities Whose Exclusive Activity is the Collection of Banknotes, Coins and Valuables (with amendments dated 03.04.2020)
In accordance with the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", the Board of the National Bank of the Republic of Kazakhstan RESOLVES:
Approve the attached Rules for Issuing Licenses to Legal Entities Whose Exclusive Activity is the Collection of Banknotes, Coins and Valuables.
Recognize as having lost force the resolutions of the Board of the National Bank of the Republic of Kazakhstan, as well as the structural element of the resolution of the Board of the National Bank of the Republic of Kazakhstan according to the list in the appendix to this resolution.
The Department of Cash Money Circulation (Kazhumatov Zh.T.) shall ensure, in the manner established by the legislation of the Republic of Kazakhstan:
1) jointly with the Legal Department (Kasenov A.S.) the state registration of this resolution in the Ministry of Justice of the Republic of Kazakhstan;
2) posting 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, providing information to the Legal Department on the implementation of measures provided for in subparagraph 2) of this paragraph and paragraph 4 of this resolution.
The Department of External Communications - Press Service of the National Bank (Adambaeva A.R.) shall ensure, within ten calendar days after the state registration of this resolution, sending a copy of it for official publication in periodical print media.
Control over the implementation of this resolution shall be entrusted to the Deputy Chairman of the National Bank of the Republic of Kazakhstan Galieva D.T.
This resolution is subject to official publication and enters into force on January 1, 2020.
| Chairman of the National Bank | E. Dosayev |
"APPROVED"
Ministry of Digital Development, Innovations and Aerospace Industry of the Republic of Kazakhstan
"APPROVED"
Ministry of National Economy of the Republic of Kazakhstan
Approved by the resolution of the Board of the National Bank of the Republic of Kazakhstan dated November 8, 2019 No. 176
Rules for Issuing Licenses to Legal Entities
Whose Exclusive Activity is the Collection of Banknotes, Coins and Valuables
Chapter 1. General Provisions
Paragraph 1 is presented in the edition of the resolution of the Board of the National Bank of the RK dated 03.04.20 No. 43 (see old edition).
Chapter 2. Procedure for Licensing the Collection of Banknotes, Coins and Valuables
To obtain a license for the collection of banknotes, coins and valuables, the legal entity must meet the following qualification requirements:
1) availability of premises necessary for the collection of banknotes, coins and valuables in accordance with the requirements of the Rules for the organization of security and arrangement of premises of second-level banks, branches of non-resident banks, the National Postal Operator, legal entities whose exclusive activity is the collection of banknotes, coins and valuables, and legal entities carrying out activity exclusively through exchange points based on a license of the National Bank of the Republic of Kazakhstan for foreign currency cash exchange operations, approved by the National Bank of the Republic of Kazakhstan (hereinafter - National Bank) in accordance with subparagraph 11) of part two of Article 15 of the Law on the National Bank;
2) availability of at least two vehicles owned by right of ownership, necessary for the collection of banknotes, coins and valuables.
During the period of carrying out activities for the collection of banknotes, coins and valuables, the legal entity ensures that the vehicles used meet the requirements of the Instruction on the Organization of Automobile Cash-in-Transit Operations in the Republic of Kazakhstan, approved by the resolution of the Board of the National Bank of the Republic of Kazakhstan dated September 10, 2019 No. 159, registered in the Registry of State Registration of Regulatory Legal Acts under No. 19391;
3) the head of the executive body of the legal entity:
is a resident of the Republic of Kazakhstan; has higher education; has work experience of not less than three years in the field of providing financial services; has no unpardoned or unexpunged criminal record.
To obtain a license for the collection of banknotes, coins and valuables, the legal entity submits electronically via the "e-government" web portal the following documents:
1) an electronic application for the issuance of a license for the collection of banknotes, coins and valuables in the form according to Appendix 1 to the Rules (hereinafter - application for issuance of a license);
2) an electronic copy of the charter;
3) electronic copies of title documents for premises necessary for the collection of banknotes, coins and valuables;
4) electronic copies of vehicle registration certificates specified in subparagraph 2) of paragraph 2 of the Rules;
5) an electronic copy of information about the head of the executive body in the form according to Appendix 2 to the Rules;
The National Bank receives from relevant state information systems via the "e-government" gateway information:
specified in documents confirming the identity of a physical person - a resident of the Republic of Kazakhstan; confirming the absence of an unpardoned or unexpunged criminal record for a physical person - a resident of the Republic of Kazakhstan; confirming payment of the license fee for the right to engage in certain types of activities; about the state registration (re-registration) of a legal entity - a resident of the Republic of Kazakhstan.
The application for the issuance of a license is considered by the National Bank within twenty working days from the date of submission of the complete package of documents corresponding to the requirements of the legislation of the Republic of Kazakhstan.
The National Bank issues to the legal entity a license for the collection of banknotes, coins and valuables in the form according to Appendix 3 to the Rules.
Refusal to issue a license for the collection of banknotes, coins and valuables is carried out on grounds provided for in part one of paragraph 1 of Article 32 of the Law on Permits and Notifications.
Reissuance of a license for the collection of banknotes, coins and valuables is carried out on grounds and in the manner established by the Law on Permits and Notifications.
When reissuing a license, the legal entity applies electronically via the "e-government" web portal with an application for reissuance of a license in the form according to Appendix 4 to the Rules.
Suspension, termination of action, or deprivation of a legal entity's license for the collection of banknotes, coins and valuables is carried out on grounds provided for in subparagraphs 1), 4) and 11) of paragraph 1 of Article 48 of the Law on Banks and Banking Activity.
Information about the decision of the National Bank taken on suspension of action or deprivation of a legal entity's license for the collection of banknotes, coins and valuables is posted on the official Internet resource of the National Bank. A legal entity whose license is suspended notifies the National Bank monthly no later than the tenth day of each month (until the date of resumption of the license action or the end of the suspension period) about measures taken by the legal entity to eliminate identified violations.
Termination of action of a legal entity's license for the collection of banknotes, coins and valuables is carried out on grounds provided for in subparagraphs 3), 4), 5) and 7) of paragraph 1 of Article 35 of the Law on Permits and Notifications.
In the event of a decision by a legal entity to voluntarily cease activities for the collection of banknotes, coins and valuables, the legal entity applies to the National Bank with an application for termination of action of a license for the collection of banknotes, coins and valuables in the form according to Appendix 5 to the Rules.
An application for termination of action of a license for the collection of banknotes, coins and valuables is submitted electronically via the "e-government" web portal and is considered by the National Bank within ten working days from the date of submission of the application for voluntary cessation of activities for the collection of banknotes, coins and valuables.
The Rules are supplemented by Chapter 3 in accordance with the resolution of the Board of the National Bank of the RK dated 03.04.20 No. 43
Chapter 3. Procedure for Providing the State Service "Issuance of Licenses to Legal Entities Whose Exclusive Activity is the Collection of Banknotes, Coins and Valuables" (hereinafter - State Service)
The list of main requirements for providing the state service, including characteristics of the process, form, content and result of provision, as well as other information taking into account the specifics of providing the state service is established in Appendix 1-1 to the Rules.
An employee of the National Bank authorized to receive and register correspondence, on the day of receipt of the application, carries out its receipt, registration and forwarding for execution to the unit responsible for providing the state service (hereinafter - responsible unit). In the event of receipt of an application after the end of working hours, on weekends and holidays according to the Labor Code of the Republic of Kazakhstan dated November 23, 2015, receipt of applications is carried out on the next working day.
When submitting an application via the "e-government" web portal, the status of acceptance of the request for provision of the state service is automatically displayed in the personal account, indicating the date and time of receipt of the result.
An employee of the responsible unit within 2 (two) working days from the date of registration of the application checks the completeness of the submitted documents.
In the event of establishing the fact of incompleteness of submitted documents, the responsible unit within 2 (two) working days from the date of registration of the application prepares and sends a written reasoned refusal to further consideration of the application.
Upon establishing the fact of completeness of submitted documents, the responsible unit within 17 (seventeen) working days from the date of registration of the application considers the documents for their compliance with the requirements of the legislation of the Republic of Kazakhstan, prepares a draft license for the collection of banknotes, coins and valuables (hereinafter - license) or a reasoned refusal.
The management of the National Bank approves and signs the license or reasoned refusal within 3 (three) working days.
After approval and signing of the license or reasoned refusal by the management of the National Bank, an employee of the responsible unit on the day of the decision, sends the result of the state service to the applicant. On the "e-government" web portal, the result of the state service is sent to the applicant in their personal account in the form of an electronic document certified by the electronic digital signature of an authorized person.
Information about the stage of provision of the state service is updated automatically in the information system for monitoring the provision of state services.
The Rules are supplemented by Chapter 4 in accordance with the resolution of the Board of the National Bank of the RK dated 03.04.20 No. 43
Chapter 4. Procedure for Appealing Decisions, Actions (Inaction) of the National Bank and (or) Its Officials on Issues of Providing the State Service
Appealing decisions, actions (inaction) of the National Bank and (or) its officials on issues of providing the state service is carried out in writing to the head of the National Bank.
The complaint of the service recipient specifies its name, postal address, outgoing number and date of submission of the complaint.
The complaint is signed by the service recipient.
Confirmation of the acceptance of the complaint is its registration (stamp, incoming number and date) in the chancellery of the National Bank with the indication of the surname and initials of the person who accepted the complaint, the term and place of receipt of the answer to the submitted complaint. The complaint of the service recipient on issues of providing the state service, received by the National Bank, is considered within 5 (five) working days from the date of its registration. In case of disagreement with the results of the provided state service, the service recipient applies with a complaint to the authorized body for assessment and control over the quality of provision of state services. The complaint of the service recipient, received by the authorized body for assessment and control over the quality of provision of state services, is considered within 15 (fifteen) working days from the date of its registration.
In case of disagreement with the results of the provided state service, the service recipient applies to the court in the manner established by the legislation of the Republic of Kazakhstan.
Appendix 1
to the Rules for Issuing Licenses to Legal Entities, Whose Exclusive Activity is the Collection of Banknotes, Coins and Valuables
Form
To ______
(full name) from ______
(name of the legal entity)
Application for Issuance of a License for the Collection of Banknotes, Coins and Valuables
I request the issuance of a license for the collection of banknotes, coins and valuables.
Information about the legal entity:
1. Full name ______
2. Business Identification Number ______
3. Form of ownership: ______
4. Location and actual address: ______
(index, region, city, district,
______ settlement, street, house number and/or office, phone number, ______ fax number, email address, Internet resource) List of documents submitted, number of copies and sheets for each of them:
1. ______
2. ______
3. ______
The legal entity confirms the accuracy of the documents (information) attached to this application, as well as the timely submission to the National Bank of the Republic of Kazakhstan of additional information and documents requested in connection with the consideration of the application. The legal entity provides consent for the use of information constituting a legally protected secret contained in information systems. Surname, First Name, Patronymic (if any) of the head of the executive body of the legal entity or the person authorized to submit the application (with attached confirming documents) ______ ______ ______ (electronic digital signature) (date)
The Rules are supplemented by Appendix 1-1 in accordance with the resolution of the Board of the National Bank of the RK dated 03.04.20 No. 43
Appendix 1-1
to the Rules for Issuing Licenses to Legal Entities, Whose Exclusive Activity is the Collection of Banknotes, Coins and Valuables
Standard of the State Service
"Issuance of Licenses to Legal Entities Whose Exclusive Activity is the Collection of Banknotes, Coins and Valuables"
| 1. | Name of Service Provider | National Bank of the Republic of Kazakhstan |
|---|---|---|
| 2. | Methods of providing the state service | Web portal "e-government" www.egov.kz, www.elicense.kz (hereinafter - portal). |
| 3. | Term of provision of the state service | From the date of registration of the appeal on the portal: |
| for issuance of a license - within 20 (twenty) working days; | ||
| for reissuance of a license - within 3 (three) working days; | ||
| for reissuance of a license in the event of reorganization of the service recipient in the form | ||
| of spin-off or division - no later than 20 (twenty) working days; | ||
| for issuance of duplicates of a license - within 2 (two) working days. | ||
| 4. | Form of provision of the state service | Electronic (fully automated). |
| 5. | Result of provision of the state service | Notification of issuance of a license, reissuance of a license, issuance of a duplicate of a license, |
| or a reasoned response refusing the provision of the state service. | ||
| Form of the result of provision of the state service: electronic | ||
| 6. | Amount of fee charged from the service recipient at | 1) the license fee for issuance of a license is 400 (four hundred) monthly |
| provision of the state service, and methods of its | calculation indicators; | |
| collection in cases provided for by | 2) the license fee for reissuance of a license is 10 (ten) percent | |
| legislation of the Republic of Kazakhstan | of the rate for issuance of a license; | |
| 3) the license fee for issuance of a duplicate of a license is 10 (ten) percent | ||
| of the rate for issuance of a license. | ||
| Payment of the license fee is made through second-level banks or | ||
| organizations carrying out certain types of banking operations, in non-cash | ||
| form through the payment gateway of the "e-government". | ||
| 7. | Working Schedule | Portal - around the clock, except for technical breaks due to |
| repair work (if the service recipient applies after the end of | ||
| working hours, on weekends and holidays, according to the Labor Code of | ||
| the Republic of Kazakhstan dated November 23, 2015, receipt of applications and issuance of results | ||
| of provision of the state service is carried out on the next working day). | ||
| 8. | List of documents necessary for providing | 1) application in the form according to Appendix 1 to the Rules for Issuing Licenses to Legal |
| the state service | Entities Whose Exclusive Activity is the Collection of Banknotes, Coins and | |
| Valuables, approved by the resolution of the Board of the National Bank of the Republic of | ||
| Kazakhstan dated November 8, 2019 No. 176 (hereinafter - Rules); | ||
| 2) electronic copy of the charter; | ||
| 3) electronic copies of title documents for premises necessary for | ||
| carrying out the collection of banknotes, coins and valuables specified in subparagraph 1) | ||
| of paragraph 2 of the Rules; | ||
| 4) electronic copies of vehicle registration certificates specified in | ||
| subparagraph 2) of paragraph 2 of the Rules; | ||
| 5) electronic copy of information about the head of the executive body in the form | ||
| according to Appendix 2 to the Rules. | ||
| To obtain a duplicate of a license for the collection of banknotes, coins and valuables | ||
| the legal entity submits electronically via the portal the following | ||
| documents: | ||
| 1) request in the form of an electronic document certified by the electronic digital | ||
| signature of the applicant; | ||
| 2) electronic document on payment of the license fee for issuance of a duplicate | ||
| of a license, except in cases of payment through the payment gateway of the "e-government". | ||
| For reissuance of a license for the collection of banknotes, coins and valuables the legal | ||
| entity submits electronically via the portal the following documents: | ||
| 1) application for reissuance of a license in the form according to Appendix 4 to the Rules in | ||
| the form of an electronic document certified by the electronic digital signature | ||
| of the applicant; | ||
| 2) electronic document confirming payment of the license fee for | ||
| reissuance of a license, except in cases of payment through the payment gateway | ||
| of the "e-government"; | ||
| 3) electronic copies of documents containing information about changes that served as | ||
| the basis for reissuance of the license, except for documents, information from | ||
| which is contained in state information systems (in the form of electronic | ||
| copies of documents in PDF format). | ||
| 9. | Grounds for refusal to provide the state | 1) engagement in a type of activity prohibited by the laws of the Republic of Kazakhstan for |
| service, established by the legislation of the Republic | this category of legal entities; | |
| Kazakhstan | 2) license fee not paid; | |
| 3) service recipient does not meet the qualification requirements established by | ||
| paragraph 2 of the Rules; | ||
| 4) there is a legally effective decision | ||
| (verdict) of the court regarding the service recipient on suspension or prohibition of activities subject to | ||
| licensing; | ||
| 5) the court has temporarily prohibited | ||
| issuing a license to the service recipient-debtor based on the submission of the judicial | ||
| executor; | ||
| 6) the unreliability of documents submitted by the applicant for obtaining | ||
| a license, and (or) data (information) contained in them is established. | ||
| The National Bank refuses to reissue a license in the event of improper | ||
| formatting of documents specified in paragraph 8 of the Standard. | ||
| 10. | Other requirements taking into account the specifics of providing | Addresses of places of provision of the state service are posted on the portal and on the official |
| the state service | Internet resource of the service provider: www.nationalbank.kz, section "State | |
| Services". | ||
| The service recipient is granted access to obtain information about the procedure and status | ||
| of provision of the state service in remote access mode via the Unified | ||
| Contact Center for issues of provision of state services. | ||
| Contact phone numbers of information services regarding the provision of the state service | ||
| are posted on the official Internet resource of the service provider: www.nationalbank.kz, | ||
| section "State Services". Unified Contact Center for issues of | ||
| provision of state services: 8-800-080-7777, 1414. |
Appendix 2
to the Rules for Issuing Licenses to Legal Entities, Whose Exclusive Activity is the Collection of Banknotes, Coins and Valuables
Form
Information about the head of the executive body of the legal entity ______ (name of the legal entity) on "___" ______ 20 ___ year
General Information:
| Date and place of birth | |
| --- | --- |
| Citizenship | |
| Data of the identity document, individual identification number | |
Education:
| No. | Name of educational institution | Year of admission - year of graduation | Specialty | Details of the education diploma (date and number, if available) |
| --- | --- | --- | --- | --- |
| 1 | 2 | 3 | 4 | 5 |
Information on employment history.
In this section, information on all employment history (including membership in the management body) is indicated, including since graduation from higher education, specifying the position, as well as the period during which employment was not carried out.
| No. | Work period (date, month, year) | Place of work (indicating the country of registration of the financial organization, if the financial organization is a non-resident of the Republic of Kazakhstan) | Position | Presence of disciplinary sanctions | Reasons for dismissal, release from position | In case of holding the position of head (deputy head of the head) of an independent structural subdivision (department, management, branch) of a financial organization, financial manager and (or) executive director - the supervised subdivisions, issues related to the provision of financial services in this organization are indicated. |
| --- | --- | --- | --- | --- | --- | --- |
| 1 | 2 | 3 | 4 | 5 | 6 | 7 |
Was the individual involved as a head of a financial organization, as a defendant in court proceedings regarding the activities of a financial organization?
(dyes (no), indicate
______ date, name of the organization, defendant in the court ______ proceedings, the issue under consideration and the court decision, ______ that has entered into legal force (in case of its issuance)
(yes (no), brief description of the offense, crime ______ details of the act on the imposition of disciplinary sanctions or court decision, ______ indicating the grounds for holding liable)
I confirm that this information has been verified by me and is true and complete.
I provide consent for the collection and processing of personal data necessary for the provision of state services and for the use of information constituting a state secret protected by the laws of the Republic of Kazakhstan, contained in information systems.
Last name, first name, patronymic (if any)
(filled in manually in block letters)
Signature ______
Date ______
Appendix 3
to the Rules for issuing licenses legal entities, whose exclusive activity is the collection of banknotes, coins and valuables
Form
Coat of Arms of the Republic of Kazakhstan
Republican State Institution "National Bank of the Republic of Kazakhstan"
License for the collection of banknotes, coins and valuables
License number ______
Date of issue "___" ______ ____ year
This license is issued to ______
(name of
______ and business identification number of the legal entity) and grants the right to collect banknotes, coins and valuables.
Chairman
(Deputy Chairman) ______ ______
(electronic digital signature) (surname and initials)
Place of issue ______
Appendix 4
to the Rules for issuing licenses legal entities, whose exclusive activity is the collection of banknotes, coins and valuables Form To ______ (full name) from ______ (name of the legal entity)
Application for reissuance of the license for the collection of banknotes, coins and valuables
I request to reissue the license for the collection of banknotes, coins and valuables, issued on ______ year under number ______ (indicate the date of issue) due to ______ (indicate the reason for reissuance of the license)
Information about the legal entity:
Documents attached to the application:
The legal entity confirms the accuracy of the documents (information) attached to this application, as well as the timely submission to the National Bank of the Republic of Kazakhstan of additional information and documents requested in connection with the consideration of the application. The legal entity provides consent for the use of information constituting a state secret protected by the laws of the Republic of Kazakhstan, contained in information systems.
Last name, first name, patronymic (if any) of the head of the executive body of the legal entity or the person authorized to submit the application (with attached supporting documents) ______ ______ ______ (electronic digital signature) (date)
Appendix 5
to the Rules for issuing licenses legal entities, whose exclusive activity is the collection of banknotes, coins and valuables
Form
To ______
(full name) from ______
(name of the legal entity)
Application for termination of the license for the collection of banknotes, coins and valuables
I request to terminate the license for the collection of banknotes, coins and valuables, issued on ______ year under number ______, (indicate the date of issue) due to ______ (indicate the reason for termination)
Information about the legal entity:
Documents attached to the application:
The legal entity confirms the accuracy of the documents (information) attached to this application, as well as the timely submission to the National Bank of the Republic of Kazakhstan of additional information and documents requested in connection with the consideration of the application. The legal entity provides consent for the use of information constituting a state secret protected by the laws of the Republic of Kazakhstan, contained in information systems.
Last name, first name, patronymic (if any) of the head of the executive body of the legal entity or the person authorized to submit the application (with attached supporting documents). ______ ______ ______ (electronic digital signature) (date)
Appendix
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated November 8, 2019 No. 176
List of Resolutions of the Board of the National Bank of the Republic of Kazakhstan, as well as structural elements of the Resolution of the Board of the National Bank of the Republic of Kazakhstan, recognized as having lost force
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“Resolution of the Board of the National Bank of the Republic of Kazakhstan dated February 25, 2015 No. 22 "On Approval of the Rules for Issuing Licenses to Organizations Carrying Out Certain Types of Banking Operations for the Collection o…”
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“dated April 15, 2013 "On State Services"”
“dated May 16, 2014 "On Permits and Notifications" (hereinafter - Law on Permits and Notifications)”
“In accordance with the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan"”
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