Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 19, 2022 No. 118 'On Approval of the List, Forms, Deadlines for Submission of Reporting by the Central Depository and Rules for Its Submission'

Astana city

On Approval of the List, Forms, Deadlines for Submission of Reporting by the Central Depository and Rules for Its Submission

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

1. Approve:

1. the list of reporting by the central depository according to Appendix 1 to this resolution;
2. the form of the report on transactions with persons having special relations with the central depository, concluded during the reporting quarter, as well as those in effect as of the reporting date, and the register of persons having special relations with the central depository, according to Appendix 2 to this resolution;
3. the form of the report on operations conducted in the accounting system of the central depository with non-state securities by sectors and sub-sectors of the economy, according to Appendix 3 to this resolution;
4. the form of the report on the register of shareholders, according to Appendix 4 to this resolution;
5. the form of the report on the register of holders of financial instruments, according to Appendix 5 to this resolution;
6. the Rules for submission of reporting by the central depository, according to Appendix 6 to this resolution.

2. The Central Depository submits to the National Bank of the Republic of Kazakhstan in electronic format:

1. monthly – reporting provided for in subparagraph 3) of paragraph 1 of this resolution, by no later than the tenth day of the month following the reporting month;
2. monthly – reporting provided for in subparagraph 4) of paragraph 1 of this resolution, by no later than the twentieth day of the month following the reporting month;
3. monthly – reporting provided for in subparagraph 5) of paragraph 1 of this resolution, by no later than the twentieth day of the month following the reporting month;
4. quarterly – reporting provided for in subparagraph 2) of paragraph 1 of this resolution, by no later than the twentieth day of the month following the reporting quarter.

3. Recognize as having lost force:

1) the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated October 29, 2018 No. 263 "On Approval of the List, Forms, Deadlines for Reporting by the Central Depository and Rules for Their Submission" (registered in the Registry of State Registration of Normative Legal Acts under No. 17813);

2) paragraph 4 of the List of Certain Resolutions of the Board of the National Bank of the Republic of Kazakhstan, to Which Amendments and Additions Are Made on Issues of Reporting Submission, Approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan
of February 22, 2021 No. 11 "On Amendments and Additions to Certain Resolutions of the Board of the National Bank of the Republic of Kazakhstan on Issues of Reporting Submission and Suspension of the Effect of Certain Norms of Certain Resolutions of the Board of the National Bank of the Republic of Kazakhstan" (registered in the Registry of State Registration of Normative Legal Acts under No. 22309).

4. The Department of Financial Market Statistics
   (Burambaeva A.M.) 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) placement of this resolution on the official Internet resource of the National Bank of the Republic of Kazakhstan after its official publication;

3) within ten working days after the state registration of this resolution, submission to the Legal Department of information on the implementation of the measure provided for in subparagraph 2) of this paragraph.

5. Control over the implementation of this resolution shall be entrusted to the Deputy Chairman of the National Bank of the Republic of Kazakhstan Baymagambetov A.M.

6. This resolution enters into force on January 1, 2023 and is subject to official publication, except for subparagraph 5) of paragraph 1 and subparagraph 3) of paragraph 2 of this resolution, which enter into force on July 1, 2023.

It is established that subparagraph 4) of paragraph 1 and subparagraph 2) of paragraph 2 of this resolution shall be in effect until July 1, 2023.

Chairman of the Board of the National Bank of the Republic of Kazakhstan		G.O. Pirmatov

"AGREED"

Bureau of National Statistics

Agency for Strategic

Planning and Reforms

of the Republic of Kazakhstan

"AGREED"

Agency of the Republic of Kazakhstan

for Regulation and Development

of the Financial Market

Appendix 1
to the resolution

List of Reporting by the Central Depository

Reporting by the central depository includes:

1. report on transactions with persons having special relations with the central depository, concluded during the reporting quarter, as well as those in effect as of the reporting date, and the register of persons having special relations with the central depository;
2. report on operations conducted in the accounting system of the central depository with non-state securities by sectors and sub-sectors of the economy;
3. report on the register of shareholders;
4. report on the register of holders of financial instruments.

Appendix 2
to the resolution

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Report on Transactions with Persons Having Special Relations with the Central Depository, Concluded During the Reporting Quarter, as Well as Those in Effect as of the Reporting Date, and Register of Persons Having Special Relations with the Central Depository

Administrative data form index: SR_3

Frequency: quarterly

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

Circle of persons submitting information: central depository

Deadline for submission of the administrative data form: by no later than the twentieth day of the month following the reporting quarter

Form

Table 1. Transactions with persons having special relations with the central depository, concluded during the reporting quarter, as well as those in effect as of "" "_" 20 year

No.	Name, surname, first name and patronymic (if any) of the person	Business identification number (for a legal entity), individual identification number (for a physical person, including an individual entrepreneur) or other identification number (for non-residents of the Republic of Kazakhstan)	Country of residence	Sign according to which the person is classified as a person having special relations with the central depository	Type of operation	Purpose of the transaction	Contract No.	Date of conclusion (date of commencement of performance of conditions) of the contract
1	2	3	4	5	6	7	8	9
	Total

continuation of the table:

Date of expiration of action (date of completion of performance of conditions) of the contract	Details of the decision of the board of directors of the central depository or general meeting of shareholders (in the absence of a board of directors)	Transaction amount under the contract (in thousands of tenge)	Currency type	Type of collateral	Value of collateral (in thousands of tenge)		Remuneration (in percent per annum)
Total	of which the value of collateral included in the calculation of reserves (provisions) in accordance with the requirements of international financial reporting standards	by a person having special relations with the central depository	by the central depository in favor of a person having special relations with the central depository	in accordance with the internal documents of the central depository
10	11	12	13	14	15	16	17	18	19

continuation of the table:

Accrued income, expenses		Current balance as of the reporting date		Amount of created reserves (provisions) in accordance with the requirements of international financial reporting standards	Details of the decision of the board of directors of the organization carrying out certain types of banking operations or general meeting of shareholders (in cases provided for by the legislation of the Republic of Kazakhstan)	Note
Amount (in thousands of tenge)	Balance sheet account	Amount (in thousands of tenge)	Balance sheet account
20	21	22	23	24	25	26

The total amount of transactions of the central depository with persons having special relations with it, the amounts of which for each type of operations of the central depository with a person having special relations with it, do not exceed 0.01 (zero whole one hundredth) percent in aggregate from the size of the own capital of the central depository as of "__" _____ 20 __ year, amounts to ______ thousand tenge.

The Central Depository confirms that in the reporting quarter, preferential conditions were not provided to persons having special relations with the central depository, and other transactions, except those indicated in Table 1, were not carried out by the central depository.

Table 2. Register of persons having special relations with the central depository as of
"___" ____" 20 year

No.	Business identification number (for a legal entity), individual identification number (for a physical person, including an individual entrepreneur) or other identification number (for non-residents of the Republic of Kazakhstan)	Name, surname, first name and patronymic (if any) of the person	Country of residence	Sign according to which the person is classified as a person having special relations with the central depository
1	2	3	4	5

Name ______

Address______

Telephone ______

Email address ______

Executor ______ ______ _______

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

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

surname, first name and patronymic (if any) signature

Date "____" ______ 20 year

Appendix
to the form of the report on transactions with persons

having special relations with the central depository,

concluded during the reporting quarter,

as well as those in effect as of the reporting date,

and register of persons having special relations with the central depository

Explanation on filling out the administrative data form

"Report on Transactions with Persons Having Special Relations with the Central Depository, Concluded During the Reporting Quarter, as Well as Those in Effect as of the Reporting Date, and Register of Persons Having Special Relations with the Central Depository"

(index – SR_3, frequency - quarterly)

Chapter 1. General Provisions

1. This explanation defines the unified requirements for filling out the administrative data form "Report on Transactions with Persons Having Special Relations with the Central Depository, Concluded During the Reporting Quarter, as Well as Those in Effect as of the Reporting Date, and Register of Persons Having Special Relations with the Central Depository" (hereinafter – Form).

2. The Form is developed in accordance with subparagraph 65-2) of Part Two of Article 15 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan", paragraph 3 of Article 3 of the Law of the Republic of Kazakhstan "On the Securities Market" and subparagraph 2) of paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics".

3. The Form is compiled by the central depository quarterly and data is indicated for transactions concluded during the reporting period, as well as for transactions in effect as of the end of the reporting period. Data in the Form is filled in thousands of tenge. An amount less than 500 (five hundred) tenge is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (one thousand) tenge.

4. The Form is signed by the head or person entrusted with the function of signing the report, and the executor.

Chapter 2. Explanation on Filling out the Form

5. The Form indicates information on all transactions of the central depository with persons having special relations with the central depository, concluded during the reporting period, as well as those in effect as of the reporting date (Table 1), and on persons having special relations with the central depository (Table 2) as of the reporting date, except for information on legal entities in which the National Bank of the Republic of Kazakhstan, officials of the National Bank of the Republic of Kazakhstan and (or) their spouses and close relatives are major participants or officials.

6. The sign of a person's connection with the central depository is determined in accordance with Article 40 of the Law of the Republic of Kazakhstan "On Banks and Banking Activity in the Republic of Kazakhstan".

7. Persons may have one or several signs of connection with special relations with the central depository, and when filling out Table 2, all signs are indicated.

8. Table 1 indicates information on all transactions of the central depository with persons having special relations with it, the amount of which for each type of operations of the central depository with a person having special relations with it, exceeds 0.01 (zero whole one hundredth) percent in aggregate from the size of the own capital of the central depository.

9. If the own capital of the central depository has a negative value, Table 1 indicates information on all transactions of the central depository with persons having special relations with it, the amount of which for each type of operations of the central depository, with a person having special relations with it, exceeds 0.001 (zero whole one thousandth) percent in aggregate from the size of the assets of the central depository.

10. In column 2 of Table 1, for a physical person, the surname, first name and patronymic (if any) are indicated, for a legal entity – the name.

11. In column 6 of Table 1, the type of operation of the central depository with persons having special relations with it is indicated, in accordance with the conditions of the concluded contract.

12. In columns 14, 15 and 16 of Table 1, information is indicated on transactions, the conditions of which imply the presence of collateral.

13. In columns 17, 18 and 19 of Table 1, information is indicated on transactions, the conditions of which imply the payment of remuneration.

14. In column 20 of Table 1, the amount of accrued income or expense, accumulated from the beginning of the current year, is indicated.

15. If at the time of concluding the transaction the person was not a person having special relations with the central depository, in column 26 of Table 1 the following is indicated: "the person is a person having special relations with the central depository from ______ (date with indication of day, month and year)".

16. Table 2 indicates all persons having special relations with the central depository, including those with whom no transactions were concluded.

17. In the absence of information, the Form is submitted without filling out.

Appendix 3
to the resolution

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Report on Operations Conducted in the Accounting System of the Central Depository with Non-State Securities by Sectors and Sub-Sectors of the Economy

Administrative data form index: OOGCBSE_6

Frequency: monthly

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

Circle of persons submitting information: central depository

Deadline for submission of the administrative data form: by no later than the tenth day of the month following the reporting month

Form

Table. Report on Operations Conducted in the Accounting System of the Central Depository with Non-State Securities by Sectors and Sub-Sectors of the Economy

for the period from ______ to ______

(in thousands of tenge)

No.	Type of securities, sectors and sub-sectors of the economy	Balance at the beginning of the reporting period		Acquired
Total		At the primary market		Direct purchase		By repo operations
Quantity (pieces)	Amount	Quantity (pieces)	Amount	Quantity (pieces)	Amount	Quantity (pieces)	Amount	Quantity (pieces)	Amount
	1	2	3	4	5	6	7	8	9	10	11
1
…
n
	Total securities
	Sectors and sub-sectors of the economy
	Non-residents
	Total residents-non-residents
	Depositors

continuation of the table:

Acquired				Realized
By pledge operations		Crediting to the main account		Total		Direct sale		By repo operations
Quantity (pieces)	Amount	Quantity (pieces)	Amount	Quantity (pieces)	Amount	Quantity (pieces)	Amount	Quantity (pieces)	Amount
12	13	14	15	16	17	18	19	20	21
...

continuation of the table:

Realized				By pledge operations		Balance of pledge amount at the end of the period		Balance at the end of the reporting period
Redeemed		Written off
Quantity (pieces)	Amount	Quantity (pieces)	Amount	Quantity (pieces)	Amount	Quantity (pieces)	Amount	Quantity (pieces)	Amount
22	23	24	25	26	27	28	29	30	31

Name ______

Address______

Telephone ______

Email address ______

Executor ______ ______ _______

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

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

surname, first name and patronymic (if any) signature

Date "____" ______ 20 year

Appendix
to the form of the report on operations conducted in the

accounting system of the central depository

with non-state securities

by sectors and sub-sectors of the economy

Explanation on filling out the administrative data form

"Report on Operations Conducted in the Accounting System of the Central Depository with Non-State Securities

by Sectors and Sub-Sectors of the Economy"

(index – OOGCBSE_6, frequency – monthly)

Chapter 1. General Provisions

1. This explanation defines the unified requirements for filling out the administrative data form "Report on Operations Conducted in the Accounting System of the Central Depository with Non-State Securities by Sectors and Sub-Sectors of the Economy" (hereinafter – Form).

2. The Form is developed in accordance with subparagraph 65-2) of Part Two of Article 15 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan", paragraph 3 of Article 3 of the Law of the Republic of Kazakhstan "On the Securities Market" and subparagraph 2) of paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics".

3. The Form is compiled by the central depository monthly as of the end of the reporting period. Data in the Form is filled in thousands of tenge. An amount less than 500 (five hundred) tenge is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (one thousand) tenge.

4. The Form is signed by the head or person entrusted with the function of signing the report, and the executor.

Chapter 2. Explanation on Filling out the Form

5. The Form indicates information on operations conducted in the accounting system of the central depository with non-state securities of the Republic of Kazakhstan by sectors and sub-sectors of the economy for the reporting month.

6. The sign of residence is determined in accordance with Article 1 of the Law of the Republic of Kazakhstan "On Currency Regulation and Currency Control".

7. For the purposes of classifying institutional units by economic sectors, the following structure and concepts of sectors and sub-sectors of the economy are applied:

1) The Government of the Republic of Kazakhstan includes ministries, departments and agencies financed from the republican budget, research institutes, institutional units – agents of the Government of the Republic of Kazakhstan, funds controlled by state authorities and financed from the republican budget, as well as other organizations under state control and not engaged in market production;

2) local state authorities include institutional units carrying out management functions at the region, city and district level, and organizations financed from regional (local) budgets;

3) central (national) banks – institutional units that carry out control over key aspects of the financial system, their main activities are the issuance of national currencies, management of international reserves, operations with the International Monetary Fund and other international financial organizations, providing credit to other depository corporations;

4) other depository organizations – institutional units whose main activity is financial intermediation and whose liabilities take the form of deposits or their analogues (close substitutes for deposits included in the national definition of broad money). This group includes banks, including those engaged in Islamic financing;

5) other financial organizations – all other institutional units of this sector that carry out various intermediary or auxiliary financial services, or whose activities are closely related to financial intermediation, but they themselves do not perform intermediary functions;

6) state non-financial organizations – institutional units engaged primarily in market production and controlled by state authorities;

7) non-state non-financial organizations – institutional units engaged primarily in market production and (or) provision of non-financial market services, and not controlled by state authorities;

8) non-profit organizations servicing households – institutional units producing goods or services but not generating income or other financial benefits for the institutional units controlling such organizations, which are created by associations of persons to provide goods or services to the members of these associations (such services are usually provided free of charge or financed through regular membership fees) or whose main activity is providing charitable assistance;

9) households – institutional units consisting of individuals, as well as small groups of individuals (families), living together, combining (fully or partially) their income and property and jointly consuming certain types of goods and services (housing, food products, etc.). This group also includes individuals engaged in entrepreneurial activity without forming a legal entity.

8. For the depositor's sub-account for aggregated accounting of financial instruments (omnibus), the economic sector is indicated according to the depositor's order.

9. In columns 3, 29, and 31, the value of securities determined in the central depository's accounting system (nominal, market, or conditional) is indicated.

10. In columns 5, 7, 9, 11, 13, 15, 17, 19, 21, 23, 25, and 27, the value of securities according to orders received by the central depository is indicated.

11. In columns 4 to 15, operations on acquired non-state securities are indicated by economic sectors and sub-sectors for the reporting month. Columns 14 and 15 also include operations related to the transfer of securities from one personal account to another.

12. In columns 16 to 27, realized non-state securities of the Republic of Kazakhstan are indicated by economic sectors and sub-sectors for the reporting month. Columns 24 and 25 also include operations related to the transfer of securities from one personal account to another.

13. In column 29, the balance of the pledge amount in circulation at the end of the reporting period, indicated in the sub-account section where the pledge is accounted for, is specified.

14. The amount in column 4 equals the sum of columns 6, 8, 10, 12, and 14.

15. The amount in column 5 equals the sum of columns 7, 9, 11, 13, and 15.

16. The amount in column 16 equals the sum of columns 18, 20, 22, 24, and 26.

17. The amount in column 17 equals the sum of columns 19, 21, 23, 25, and 27.

18. The amount in column 30 equals the sum of columns 2 and 4 minus the sum in column 16.

19. In the absence of information, the Form is submitted without filling in.

Appendix 4
to the resolution

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Report on the Registry of Shareholders

Administrative data form index: 1-REG_RDA

Frequency: monthly

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

Persons submitting information: central depository

Deadline for submitting the administrative data form: no later than the 20th day of the month following the reporting month

Form

Table 1. Information on issuers and share issues

No.	Name of the issuer	Business identification number (hereinafter – BIN) of the issuer	Number of declared shares
ordinary shares	preferred shares
1	2	3	4	5

continuation of the table:

Number of issued shares		Number of voting shares	Number of shares repurchased by the issuer
ordinary shares	preferred shares	ordinary shares	preferred shares
6	7	8	9	10

Table 2. Shareholder Registry

No.	Name of the issuer	BIN of the issuer	Surname, first name, and patronymic (if any) of the individual or name of the legal entity – shareholder	Individual, legal entity	Individual identification number (hereinafter – IIN), BIN or other identification number (for non-residents of the Republic of Kazakhstan)
1	2	3	4	5	6
---	---	---	---	---	---

continuation of the table:

Type of shareholder	Country of residence			Type of shares	Security identifier (national identification number (NIN) or international identification number (ISIN code) or other security identifier is indicated)
name	country code	offshore zone (yes, no)
7	8	9	10	11	12

continuation of the table:

Number of issuer's shares on the shareholder's personal account				Ratio of the number of shares owned by the shareholder to the number of the issuer's shares (in percent)			Additional information
total	including:
number of issuer's shares on the shareholder's personal account, subject to encumbrance	number of blocked issuer's shares on the shareholder's personal account	number of issuer's shares on the shareholder's personal account, transferred to trust management	total	voting	issued (excluding preferred and repurchased shares)
13	14	15	16	17	18	19	20

Table 3. Information on shares that were encumbered, blocked, or transferred to trust management

No.	Name of the issuer	BIN of the issuer	Surname, first name, and patronymic (if any) of the individual or name of the legal entity – shareholder	IIN, BIN or other identification number (for non-residents of the Republic of Kazakhstan)	Security identifier (national identification number (NIN) or international identification number (ISIN code) or other security identifier is indicated)	Number of shares
1	2	3	4	5	6	7

continuation of the table:

Status	Surname, first name, and patronymic (if any) or name of the person in whose favor the encumbrance was made	IIN, BIN or other identification number (for non-residents of the Republic of Kazakhstan)	Surname, first name, and patronymic (if any) or name of the trustee	IIN, BIN or other identification number (for non-residents of the Republic of Kazakhstan)	Grounds
8	9	10	11	12	13

Table 4. Report on transactions with shares of the issuer

No.	Name of the issuer	BIN of the issuer	Type of shares	International identification number (ISIN code) (if available)	Type of transaction
1	2	3	4	5	6
---	---	---	---	---	---

continuation of the table:

Number of shares	Cost per share		Transaction volume (tenge)	Share owner	IIN, BIN or other identification number (for non-residents of the Republic of Kazakhstan) of the share owner	Country of residence of the share owner
currency type	amount	name	country code
7	8	9	10	11	12	13	14

continuation of the table:

Counterparty	IIN, BIN or other identification number (for non-residents of the Republic of Kazakhstan) of the counterparty	Country of residence of the share counterparty		Date of transaction registration	Note
name	country code
15	16	17	18	19	20

Name ______

Address ______

Phone ______

Email address ______

Executor ______ ______ _______

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

Head or person authorized to sign the report ______ ______

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

Date "____" ______ 20 year

Appendix
to the form of the report on the registry of shareholders

Explanation for filling out the administrative data form

"Report on the Registry of Shareholders"

(index – 1-REG_RDA, frequency – monthly)

Chapter 1. General Provisions

1. This explanation defines the uniform requirements for filling out the administrative data form "Report on the Registry of Shareholders" (hereinafter – Form).

2. The Form is developed in accordance with subparagraph 65-2) of part two of Article 15 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan", paragraph 3 of Article 3 of the Law of the Republic of Kazakhstan "On the Securities Market", and subparagraph 2) of paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics".

3. The Form is compiled monthly by the central depository as of the end of the reporting period.

4. The Form is signed by the head or person authorized to sign the report, and the executor.

Chapter 2. Explanation for filling out the Form

5. The Form discloses the structure of shareholders of the following financial organizations:

1) second-tier banks;

2) organizations carrying out certain types of banking operations, excluding legal entities whose exclusive activity is organizing exchange operations with cash foreign currency, legal entities whose exclusive activity is the collection of banknotes, coins, and valuables, and organizations providing services for ensuring information, telecommunications, and technological interaction between participants in banking settlement operations, including settlements for payment card operations;

3) insurance (reinsurance) organizations;

4) investment portfolio managers;

5) banking holdings and large participants – legal entities;

6) organizations guaranteeing the implementation of insurance payments to policyholders (insured, beneficiaries) in the event of liquidation of insurance organizations.

6. The Form is filled out separately for each type of financial organization specified in paragraph 5.

7. In Table 1, the names of issuers, BINs, as well as the number of declared, issued, voting, and repurchased shares of the issuer are indicated.

8. Regarding Table 2:

1) in column 4, the owner of the shares is indicated, taking into account the disclosure of information about owners whose shares are held in nominee form and information about which is available in the central depository's accounting system.

In the absence of information about owners of shares held in nominee form, it is necessary to fill out the table with information about the nominee shareholder;

2) in column 5, the subject of civil law is indicated: an individual or a legal entity;

3) in column 6, the IIN, BIN, or other identification number of the shareholder (for non-residents of the Republic of Kazakhstan) is indicated. Filling in the IIN, BIN of the shareholder – a resident of the Republic of Kazakhstan is mandatory;

4) in column 7, the type of shareholder is indicated: owner or nominee holder;

5) in columns 8 and 9, the name and country code are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK ISO 3166-1 "Codes for the representation of names of countries and their administrative-territorial divisions. Part 1. Country codes";

6) in column 10, information is determined in accordance with the Resolution of the Board of the Agency of the Republic of Kazakhstan for Regulation and Development of the Financial Market dated February 24, 2020 No. 8 "On Establishing the List of Offshore Zones for the Purposes of Banking and Insurance Activities, Activities of Professional Participants in the Securities Market and Other Licensed Types of Activities in the Securities Market, Activities of Joint Investment Funds and Activities of Organizations Carrying Out Microfinance Activities", registered in the Registry of State Registration of Legal Acts under No. 20095;

7) in column 11, the type of shares is indicated: ordinary or preferred;

8) in column 20, information about the details of the shareholder's document, place of registration, and place of residence (or location) of the shareholder is indicated.

9. In Table 3, information is provided on all shares of issuers that, as of the reporting date, according to Table 2, are encumbered, blocked, or transferred to trust management.

10. Regarding Table 3:

1) in column 8, the following symbols are used:

"1" – Information on issuer's shares subject to encumbrance;

"2" – Information on blocked issuer's shares;

"3" – Information on issuer's shares transferred to trust management;

"4" – Information on shares that are the subject of repo operations;

2) in columns 9 and 10, the surname, first name, and patronymic (if any) or name, IIN, BIN, or other identification number (for non-residents of the Republic of Kazakhstan) of the person in whose favor the encumbrance was made is indicated;

3) in columns 11 and 12, the surname, first name, and patronymic (if any) or name, IIN, BIN, or other identification number (for non-residents of the Republic of Kazakhstan) of the person in whose favor the transfer to trust management was made is indicated;

4) in column 13, the grounds for encumbrance, blocking, and transfer to trust management are indicated, specifying the name and details of the confirming documents.

In Table 3, information on shares that are the object of repo operations must also be indicated.

11. Regarding Table 4:

1) in column 2, the name of the issuer with whose shares transactions were concluded is indicated;

2) in column 6, the type of transaction (purchase, sale, and other transactions, excluding the opening and closing of repo operations) is indicated;

3) in column 7, the number of shares for which the transaction was conducted is indicated;

4) in columns 8 and 9, the type of currency and the cost of one share for which the transaction was conducted in the corresponding transaction currency are indicated;

5) in column 10, the transaction volume (in tenge) is indicated;

6) in column 11, the owner of the share from whose personal account the shares were debited is indicated. For legal entities, the name of the legal entity is indicated. For individuals, the surname, first name, and patronymic (if any) are indicated;

7) in columns 13 and 14, the name and country code of the residence of the holder of the share from whose personal account the shares were debited are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK ISO 3166-1 "Codes for the representation of names of countries and their administrative-territorial divisions. Part 1. Country codes";

8) in column 15, the counterparty to whose personal account the shares were credited is indicated. For legal entities, the name of the legal entity is indicated. For individuals, the surname, first name, and patronymic (if any) are indicated;

9) in columns 17 and 18, the name and country code of the residence of the registered person to whose personal account the shares were credited are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK ISO 3166-1 "Codes for the representation of names of countries and their administrative-territorial divisions. Part 1. Country codes";

10) in column 19, the date of transaction registration in the format "dd.mm.yyyy" is indicated.

In Table 4, data on transactions for debiting (crediting) shares from (to) personal accounts of registered persons are indicated, excluding data on the opening and closing of repo operations.

12. In the absence of information, the Form is submitted without filling in.

Appendix 5
to the resolution

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Report on the Registry of Holders of Financial Instruments

Administrative data form index: 1-REG_RD

Frequency: monthly

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

Persons submitting information: central depository

Deadline for submitting the administrative data form: no later than the 20th day of the month following the reporting month

Form

Table 1. Information on legal entities and the issue of financial instruments

No.	Name of the legal entity	Business identification number (hereinafter – BIN) of the legal entity	Number of declared financial instruments	Number of issued financial instruments	Number of financial instruments repurchased by the legal entity
1	2	3	4	5	6

Table 2. Registry of Holders of Financial Instruments

No.	Name of the legal entity	BIN of the legal entity	Surname, first name, and patronymic (if any) of the individual or name of the legal entity – holder of the financial instrument	Individual, legal entity	Individual identification number (hereinafter – IIN), BIN or other identification number (for non-residents of the Republic of Kazakhstan)	Individual code of the individual or legal entity (if available)
1	2	3	4	5	6	7

continuation of the table:

Type of holder of financial instruments	Country of residence			Type of financial instruments	Identifier of the financial instrument (national identification number (NIN) or international identification number (ISIN code) or other identifier of the financial instrument is indicated)
name	country code	offshore zone (yes, no)
8	9	10	11	12	13

continuation of the table:

Number of financial instruments on the holder's personal account				Ratio of the number of financial instruments owned by the holder of the financial instrument to the number of financial instruments of the legal entity (in percent)			Additional information
total	including:
number of financial instruments on the holder's personal account, subject to encumbrance	number of blocked financial instruments on the holder's personal account	number of financial instruments on the holder's personal account, transferred to trust management	total	voting	issued (excluding preferred and repurchased financial instruments)
14	15	16	17	18	19	20	21

Table 3. Information on financial instruments that were encumbered, blocked, transferred to trust management, or are the subject of repo operations

No.	Name of the legal entity	BIN of the legal entity	Surname, first name, and patronymic (if any) of the individual or name of the legal entity – holder of the financial instrument	IIN, BIN or other identification number (for non-residents of the Republic of Kazakhstan)	Individual code of the individual or legal entity (if available)	Identifier of the financial instrument (national identification number (NIN) or international identification number (ISIN code) or other identifier of the financial instrument is indicated)	Number of financial instruments
1	2	3	4	5	6	7	8

continuation of the table:

Status	Surname, first name, and patronymic (if any) or name of the person in whose favor the encumbrance was made	IIN, BIN or other identification number (for non-residents of the Republic of Kazakhstan)	Individual code of the individual or legal entity (if available)	Surname, first name, and patronymic (if any) or name of the trustee	IIN, BIN or other identification number (for non-residents of the Republic of Kazakhstan)	Individual code of the individual or legal entity (if available)	Grounds
9	10	11	12	13	14	15	16

Table 4. Report on transactions with financial instruments of the legal entity

No.	Name of the legal entity	BIN of the legal entity	Type of financial instrument	International identification number (ISIN code) (if available)	Type of transaction	Number of financial instruments	Cost per one financial instrument		Transaction volume (tenge)	Owner of the financial instrument
currency type	amount
1	2	3	4	5	6	7	8	9	10	11

continuation of the table:

IIN, BIN or other identification number (for non-residents of the Republic of Kazakhstan) of the owner of the financial instrument	Individual code of the individual or legal entity (when registering operations in the nominal holding accounting system)	Country of residence of the owner of the financial instrument
name	country code
12	13	14	15

continuation of the table:

Counterparty	IIN, BIN or other identification number (for non-residents of the Republic of Kazakhstan) of the counterparty	Individual code of the individual or legal entity (when registering operations in the nominal holding accounting system)	Country of residence of the counterparty of the financial instrument		Date of transaction registration	Note
name	country code
16	17	18	19	20	21	22

Name ______

Address ______

Phone ______

Email address ______

Executor ______ ______ _______

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

Head or person authorized to sign the report ______ ______

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

Date "____" ______ 20 year

Appendix
to the form of the report on the registry of holders of financial instruments

Explanation for filling out the administrative data form

"Report on the Registry of Holders of Financial Instruments"

(index – 1-REG_RD, frequency – monthly)

Chapter 1. General Provisions

1. This explanation defines the uniform requirements for filling out the administrative data form "Report on the Registry of Holders of Financial Instruments" (hereinafter – Form).

2. The Form is developed in accordance with subparagraph 65-2) of part two of Article 15 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan", paragraph 3 of Article 3 of the Law of the Republic of Kazakhstan "On the Securities Market", and subparagraph 2) of paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics".

3. The Form is compiled monthly by the central depository as of the end of the reporting period.

4. The signature is affixed by the head or the person authorized to sign the report, and the executor.

Chapter 2. Explanation on Filling out the Form

5. The Form reveals the structure of holders of financial instruments (shares, units, participation shares) of the following financial organizations and legal entities:

1) second-tier banks and banking holding companies;

2) organizations carrying out certain types of banking operations, excluding legal entities whose exclusive type of activity is the organization of exchange operations with cash foreign currency, legal entities whose exclusive activity is the collection of banknotes, coins and valuables, and organizations providing services to ensure information, telecommunications and technological interaction between participants in banking settlements, including settlements for operations with payment cards;

3) insurance (reinsurance) organizations and insurance holding companies;

4) organizations carrying out brokerage and (or) dealer activities, and investment portfolio managers;

5) joint investment funds;

6) closed-end investment funds;

7) legal entities that are major participants and (or) holders of financial instruments, who own directly or indirectly ten or more percent of the issued securities (participation shares in the authorized capital), persons specified in subparagraphs 1), 2), 3), 4), 5) and 6) of this paragraph;

8) an organization guaranteeing the implementation of insurance payments to policyholders (insured persons, beneficiaries) in the event of liquidation of insurance organizations.

Information regarding persons specified in subparagraph 7) of part one of this paragraph is filled in if such information is available in the central depository's accounting system.

6. The Form is filled out separately for each type of financial organization specified in paragraph 5.

7. In Table 1, the name of the legal entity, BIN (Business Identification Number), as well as the number of declared, issued and repurchased financial instruments of the legal entity are indicated.

8. Regarding Table 2:

1) in column 4, the owner of the financial instrument is indicated, taking into account the disclosure of information about owners whose financial instruments are held in nominee form and for which information is available in the central depository's accounting system.

In the absence of information about owners whose financial instruments are held in nominee form, the table must be filled in with information about the nominee holder of the financial instrument;

2) in column 5, the subject of civil law is indicated: an individual or a legal entity;

3) in column 6, the IIN (Individual Identification Number), BIN, or other identification number of the holder of the financial instrument (for non-residents of the Republic of Kazakhstan) is indicated. Filling in the IIN, BIN of the holder of the financial instrument - a resident of the Republic of Kazakhstan is mandatory;

4) in column 8, the type of holder of the financial instrument is indicated: owner or nominee holder;

5) in columns 9 and 10, the name and country code are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK ISO 3166-1 "Codes for the representation of names of countries and their administrative-territorial divisions. Part 1. Country codes";

6) in column 11, information is determined in accordance with the Resolution of the Board of the Agency of the Republic of Kazakhstan for Regulation and Development of the Financial Market dated February 24, 2020 No. 8 "On Establishing the List of Offshore Zones for the Purposes of Banking and Insurance Activities, Activities of Professional Participants in the Securities Market and Other Licensed Types of Activities in the Securities Market, Activities of Joint Investment Funds and Activities of Organizations Carrying out Microfinance Activities", registered in the Registry of State Registration of Normative Legal Acts under No. 20095;

7) in column 12, the type of financial instrument is indicated: shares, units, participation shares;

8) in column 21, information about the details of the document of the holder of the financial instrument, place of registration and place of residence (or location) of the holder of the financial instrument is indicated.

9. In Table 3, information on all financial instruments of the legal entity that are encumbered, blocked or transferred to trust management as of the reporting date according to Table 2 is indicated.

10. Regarding Table 3:

1) in column 9, the following symbols are used:

"1" – Information on financial instruments of the legal entity that are encumbered;

"2" – Information on blocked financial instruments of the legal entity;

"3" – Information on financial instruments of the legal entity transferred to trust management;

"4" – Information on financial instruments that are the subject of repo operations;

2) in columns 10 and 11, the surname, first name and patronymic (if any) or name, IIN, BIN or other identification number (for non-residents of the Republic of Kazakhstan) of the person in whose favor the encumbrance was made, or the person who is the counterparty of the repo operation, is indicated;

3) in columns 13 and 14, the surname, first name and patronymic (if any) or name, IIN, BIN or other identification number (for non-residents of the Republic of Kazakhstan) of the person in whose favor the transfer to trust management was made is indicated;

4) in column 16, the grounds for encumbrance, blocking, transfer to trust management and repo operations are indicated, with the name and details of the confirming documents specified.

11. Regarding Table 4:

1) in column 2, the name of the legal entity with which transactions involving financial instruments were concluded is indicated;

2) in column 6, the type of transaction (purchase, sale and other transactions, excluding the opening and closing of repo operations) is indicated;

3) in column 7, the number of financial instruments for which the transaction was carried out is indicated;

4) in columns 8 and 9, the type of currency and the cost of one financial instrument for which the transaction was carried out in the corresponding transaction currency are indicated;

5) in column 10, the volume of transactions (in tenge) is indicated;

6) in column 11, the owner of the personal account from which the financial instruments were debited is indicated. For legal entities, the name of the legal entity is indicated. For individuals, the surname, first name and patronymic (if any) are indicated;

7) in columns 14 and 15, the name and country code of the residence of the holder of the financial instrument, from the personal account of which the financial instruments were debited, are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK ISO 3166-1 "Codes for the representation of names of countries and their administrative-territorial divisions. Part 1. Country codes";

8) in column 16, the counterparty to whose personal account the financial instruments were credited is indicated. For legal entities, the name of the legal entity is indicated. For individuals, the surname, first name and patronymic (if any) are indicated;

9) in columns 19 and 20, the name and country code of the residence of the registered person, to whose personal account the financial instruments were credited, are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK ISO 3166-1 "Codes for the representation of names of countries and their administrative-territorial divisions. Part 1. Country codes";

10) in column 21, the date of registration of the transaction in the format "dd.mm.yyyy" is indicated.

Table 4 contains data on transactions for debiting (crediting) financial instruments from (to) personal accounts of registered persons, excluding data on opening and closing repo operations.

12. In the absence of information, the Form is submitted without filling it out.

Appendix 6
to the resolution

Rules for Submission of Reporting by the Central Depository

Chapter 1. General Provisions

1. The Rules for Submission of Reporting by the Central Depository are developed in accordance with subparagraph 65-2) of part two of Article 15 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan", paragraph 3 of Article 3 of the Law of the Republic of Kazakhstan "On the Securities Market" and subparagraph 2) of paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics" and determine the procedure for submitting reporting by the central depository to the National Bank of the Republic of Kazakhstan.

Chapter 2. Procedure for Submission of Reporting

2. Reporting is submitted by the central depository in electronic form via the information system "Web Portal of the National Bank of the Republic of Kazakhstan".

3. Reporting authenticated by the electronic digital signature of the head of the central depository or the person authorized to sign the report, and the executor, is stored in electronic format.

4. The completeness and accuracy of data in the reporting is ensured by the head of the central depository or the person authorized to sign the report.

5. Data in the reporting is indicated in the national currency of the Republic of Kazakhstan – tenge.