Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 110 of December 24, 2025 on Approval of the Rules for Reporting by Professional Securities Market Participants and the Unified Accumulative Pension Fund

NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN		RESOLUTION OF THE BOARD
December 24, 2025		No. 110 Astana City

On Approval of the Rules for Reporting by Professional Securities Market Participants and the Unified Accumulative Pension Fund

(With amendments and additions:

1. Resolution of the NB RK No. 93 dated 31.07.2026)

In accordance with subparagraph 48) of the second paragraph of part two of paragraph 19 of the Regulation on the National Bank of the Republic of Kazakhstan, approved by the Decree of the President of the Republic of Kazakhstan dated December 31, 2003 No. 1271 "On Approval of the Regulation and Structure of the National Bank of the Republic of Kazakhstan" and 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 the attached Rules for Reporting by Professional Securities Market Participants and the Unified Accumulative Pension Fund (hereinafter – the Rules).

2. Recognize as invalid certain resolutions of the Board of the National Bank of the Republic of Kazakhstan, as well as structural elements of certain resolutions of the Board of the National Bank of the Republic of Kazakhstan, according to the list attached to this Resolution.

3. The Department of Financial Market Statistics of the National Bank of the Republic of Kazakhstan shall ensure, in the manner established by the legislation of the Republic of Kazakhstan:

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

2. publication of this Resolution on the official Internet resource of the National Bank of the Republic of Kazakhstan after its official publication;

3. within ten working days after the state registration of this Resolution, submission to the Legal Department of the National Bank of the Republic of Kazakhstan information on the implementation of the activity provided for in subparagraph 2) of this paragraph.

4. Control over the implementation of this Resolution shall be entrusted to the Deputy Chairman of the National Bank of the Republic of Kazakhstan overseeing the relevant area.

5. This Resolution shall enter into force upon the expiration of ten calendar days after the day of its first official publication.

Chairman		T.M. Suleimenov

"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

Approved by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated "24" December 2025 No. 110

Rules for Reporting by Professional Securities Market Participants and the Unified Accumulative Pension Fund

Chapter 1. General Provisions

1. The Rules for Reporting by Professional Securities Market Participants and the Unified Accumulative Pension Fund (hereinafter – the Rules) are developed in accordance with subparagraph 48) of the second paragraph of part two of paragraph 19 of the Regulation on the National Bank of the Republic of Kazakhstan, approved by the Decree of the President of the Republic of Kazakhstan dated December 31, 2003 No. 1271 "On Approval of the Regulation and Structure of the National Bank of the Republic of Kazakhstan", subparagraph 2) of paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics", and determine the procedure for submission, including forms intended for the collection of administrative data, frequency, and deadlines for reporting by professional securities market participants and the Unified Accumulative Pension Fund (hereinafter – Organizations) to the National Bank of the Republic of Kazakhstan (hereinafter – the National Bank).

2. Reporting shall be submitted by organizations in electronic form via the digital system "Web Portal of the National Bank of the Republic of Kazakhstan", which serves as a single window for accessing reporting services to the National Bank.

3. Reporting authenticated by the electronic digital signature of the head of the Organization or the person entrusted with the function of signing the report, and the executor, shall be stored in electronic format.

4. The completeness and accuracy of data in the reporting shall be ensured by the head of the Organization or the person entrusted with the function of signing the report.

5. Data in the reporting shall be indicated in the national currency of the Republic of Kazakhstan – tenge, as well as in United States dollars.

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

7. The concepts of "resident" and "non-resident" are used in the meanings defined by the Law of the Republic of Kazakhstan "On Currency Regulation and Currency Control".

8. In the presence of a branch, including one registered in the territory of the International Financial Center "Astana", organizations carrying out investment portfolio management activities and brokerage and/or dealing activities on the securities market shall submit reporting taking into account the activities of branches.

9. Organizations carrying out transfer-agent activities on the securities market, as well as insurance (reinsurance) organizations holding a license to carry out investment portfolio management activities, shall not submit reporting to the National Bank in accordance with these Rules.

Chapter 2. Procedure for Reporting by Organizations Carrying Out Investment Portfolio Management, Brokerage and/or Dealing Activities on the Securities Market

10. Organizations carrying out investment portfolio management activities (hereinafter – investment portfolio managers) shall submit to the National Bank monthly, no later than the 7th (seventh) working day of the month following the reporting month:

1. a report on securities acquired at the expense of own assets, according to the form attached in Appendix 1 to the Rules;

2. a report on "reverse repo" and repo transactions carried out at the expense of own assets, according to the form attached in Appendix 2 to the Rules;

3. a report on deposits and funds accounted for as part of own assets, according to the form attached in Appendix 3 to the Rules;

4. a report on investments in the capital of other legal entities at the expense of own assets, according to the form attached in Appendix 4 to the Rules;

5. a report on loans issued and accounts receivable accounted for as part of own assets and client assets, according to the form attached in Appendix 5 to the Rules;

6. a report on investment funds, according to the form attached in Appendix 6 to the Rules;

7. a report on the structure of the investment portfolio acquired at the expense of client assets, according to the form attached in Appendix 7 to the Rules;

8. a report on the structure of other property of the investment fund, according to the form attached in Appendix 8 to the Rules;

9. a report on investments of the investment fund and other clients in the capital of legal entities that are not joint-stock companies, according to the form attached in Appendix 9 to the Rules;

10. a report on concluded transactions for investing client assets, according to the form attached in Appendix 10 to the Rules;

11. a report on concluded transactions for investing own assets, according to the form attached in Appendix 11 to the Rules, except for Table 1, which shall not be submitted by an investment portfolio manager holding a license for brokerage and/or dealing activities on the securities market;

12. a report on transactions carried out for investing client and own assets in derivative financial instruments, according to the form attached in Appendix 12 to the Rules;

13. a report on transactions carried out for investing client and own assets with affiliated persons, according to the form attached in Appendix 13 to the Rules;

14. a report on the compliance with prudential norms by organizations carrying out investment portfolio management and/or brokerage and/or dealing activities on the securities market, according to the form attached in Appendix 14 to the Rules.

11. Organizations carrying out brokerage and/or dealing activities on the securities market (hereinafter – brokers and/or dealers), excluding second-tier banks, branches of a non-resident bank of the Republic of Kazakhstan, and the National Post Operator holding a license for brokerage and/or dealing activities on the securities market, shall submit to the National Bank monthly, no later than the 7th (seventh) working day of the month following the reporting month:

1. a report on securities acquired at the expense of own assets, according to the form attached in Appendix 1 to the Rules;

2. a report on "reverse repo" and repo transactions carried out at the expense of own assets, according to the form attached in Appendix 2 to the Rules;

3. a report on deposits and funds accounted for as part of own assets, according to the form attached in Appendix 3 to the Rules;

4. a report on investments in the capital of other legal entities at the expense of own assets, according to the form attached in Appendix 4 to the Rules;

5. a report on loans issued and accounts receivable accounted for as part of own assets and client assets, according to the form attached in Appendix 5 to the Rules;

6. a report on the compliance with prudential norms by organizations carrying out investment portfolio management and/or brokerage and/or dealing activities on the securities market, according to the form attached in Appendix 14 to the Rules.

12. Brokers and/or dealers shall submit to the National Bank monthly, no later than the 7th (seventh) working day of the month following the reporting month, a report on transactions (operations) with financial instruments carried out (registered) on the unorganized market of the Republic of Kazakhstan and international (foreign) securities markets, according to the form attached in Appendix 15 to the Rules.

13. Brokers and/or dealers shall submit to the National Bank quarterly, no later than the last day of the month following the reporting quarter:

1. information on organizations holding a license for brokerage and/or dealing activities on the securities market of the Republic of Kazakhstan, according to the form attached in Appendix 16 to the Rules;

2. information on users of the automated algorithmic trading system, carried out at the expense of client and own assets, according to the form attached in Appendix 17 to the Rules.

14. Brokers and/or dealers, excluding the voluntary accumulated pension fund holding a license for brokerage and/or dealing activities, shall submit to the National Bank quarterly, no later than the last day of the month following the reporting quarter:

1. a report on transactions with derivative financial instruments, according to the form attached in Appendix 18 to the Rules;

2. a report on balances of funds held in the broker's accounts, according to the form attached in Appendix 19 to the Rules;

3. a report on services provided by the broker and/or dealer, according to the form attached in Appendix 20 to the Rules.

15. Brokers and/or dealers, excluding the voluntary accumulated pension fund holding a license for brokerage and/or dealing activities, as well as brokers and/or dealers without the right to maintain client accounts as a nominal holder, and the unified operator in the sphere of state property accounting, shall submit to the National Bank quarterly, no later than the last day of the month following the reporting quarter:

1. a report on securities held in nominal custody, according to the form attached in Appendix 21 to the Rules;

2. a report on securities issued in accordance with the legislation of a foreign state and the International Financial Center "Astana", held in nominal custody, according to the form attached in Appendix 22 to the Rules.

16. Investment portfolio managers with the right to attract voluntary pension contributions (hereinafter – voluntary accumulated pension funds) shall submit to the National Bank monthly, no later than the 7th (seventh) working day of the month following the reporting month:

1. a report on securities acquired at the expense of own assets, according to the form attached in Appendix 1 to the Rules;

2. a report on "reverse repo" and repo transactions carried out at the expense of own assets, according to the form attached in Appendix 2 to the Rules;

3. a report on deposits and funds accounted for as part of own assets, according to the form attached in Appendix 3 to the Rules;

4. a report on investments in the capital of other legal entities at the expense of own assets, according to the form attached in Appendix 4 to the Rules;

5. a report on loans issued and accounts receivable accounted for as part of own assets and client assets, according to the form attached in Appendix 5 to the Rules;

6. a report on investment funds, according to the form attached in Appendix 6 to the Rules;

7. a report on the structure of the investment portfolio acquired at the expense of client assets, according to the form attached in Appendix 7 to the Rules;

8. a report on the structure of other property of the investment fund, according to the form attached in Appendix 8 to the Rules;

9. a report on investments of the investment fund and other clients in the capital of legal entities that are not joint-stock companies, according to the form attached in Appendix 9 to the Rules;

10. a report on concluded transactions for investing client assets, according to the form attached in Appendix 10 to the Rules;

11. a report on concluded transactions for investing own assets, according to the form attached in Appendix 11 to the Rules, except for Table 1, which shall not be submitted by an investment portfolio manager holding a license for brokerage and/or dealing activities on the securities market;

12. a report on transactions carried out for investing client and own assets in derivative financial instruments, according to the form attached in Appendix 12 to the Rules;

13. a report on transactions carried out for investing client and own assets with affiliated persons, according to the form attached in Appendix 13 to the Rules;

14. a report on the compliance with prudential norms by organizations carrying out investment portfolio management and/or brokerage and/or dealing activities on the securities market, according to the form attached in Appendix 14 to the Rules;

15. a report on the value of pension assets, according to the form attached in Appendix 23 to the Rules;

in the case of management of pension assets of the unified accumulated pension fund in accordance with an investment management agreement concluded with the National Bank – a report on the value of pension assets, according to the form attached in Appendix 23 to the Rules – separately for the assets of the unified accumulated pension fund and pension assets under management;

16. a report on the structure of the investment portfolio of pension assets, according to the form attached in Appendix 24 to the Rules;

in the case of management of pension assets of the unified accumulated pension fund in accordance with an investment management agreement concluded with the National Bank – a report on the structure of the investment portfolio of pension assets, according to the form attached in Appendix 24 to the Rules – separately for the assets of the unified accumulated pension fund and pension assets under management;

17. a report on the volumes of pension savings and the number of contributors (recipients) of voluntary pension contributions, according to the form attached in Appendix 25 to the Rules;

in the case of management of pension assets of the unified accumulated pension fund in accordance with an investment management agreement concluded with the National Bank – a report on the volumes of pension savings and the number of contributors (recipients) of voluntary pension contributions, according to the form attached in Appendix 25 to the Rules – separately for the assets of the unified accumulated pension fund and pension assets under management;

18. a report on pension payments, according to the form attached in Appendix 26 to the Rules;

in the case of management of pension assets of the unified accumulated pension fund in accordance with an investment management agreement concluded with the National Bank – a report on pension payments, according to the form attached in Appendix 26 to the Rules – separately for the assets of the unified accumulated pension fund and pension assets under management;

19. a report on the value of one conditional unit of pension assets of the voluntary accumulated pension fund, according to the form attached in Appendix 27 to the Rules.

17. Voluntary accumulated pension funds shall submit to the National Bank quarterly, no later than the 25th (twenty-fifth) day of the month following the reporting quarter:

1. a report on assets and liabilities for own assets, classified by economic sectors, according to the form attached in Appendix 28 to the Rules;

2. a report on assets and liabilities for pension assets, classified by economic sectors, according to the form attached in Appendix 29 to the Rules.

18. An investment portfolio manager to whom pension assets have been transferred in trust management (hereinafter – trustee) shall submit to the National Bank monthly, no later than the 7th (seventh) working day of the month following the reporting month:

1. a report on securities acquired at the expense of own assets, according to the form attached in Appendix 1 to the Rules;

2. a report on "reverse repo" and repo transactions carried out at the expense of own assets, according to the form attached in Appendix 2 to the Rules;

3. a report on deposits and funds accounted for as part of own assets, according to the form attached in Appendix 3 to the Rules;

4. a report on investments in the capital of other legal entities at the expense of own assets, according to the form attached in Appendix 4 to the Rules;

5. a report on loans issued and accounts receivable accounted for as part of own assets and client assets, according to the form attached in Appendix 5 to the Rules;

6. a report on investment funds, according to the form attached in Appendix 6 to the Rules;

7. a report on the structure of the investment portfolio acquired at the expense of client assets, according to the form attached in Appendix 7 to the Rules;

8. a report on the structure of other property of the investment fund, according to the form attached in Appendix 8 to the Rules;

9. a report on investments of the investment fund and other clients in the capital of legal entities that are not joint-stock companies, according to the form attached in Appendix 9 to the Rules;

10. a report on concluded transactions for investing client assets, according to the form attached in Appendix 10 to the Rules;

11. a report on concluded transactions for investing own assets, according to the form attached in Appendix 11 to the Rules, except for Table 1, which shall not be submitted by an investment portfolio manager holding a license for brokerage and/or dealing activities on the securities market;

12. a report on transactions carried out for investing client and own assets in derivative financial instruments, according to the form attached in Appendix 12 to the Rules;

13. a report on transactions carried out for investing client and own assets with affiliated persons, according to the form attached in Appendix 13 to the Rules;

14. a report on the compliance with prudential norms by organizations carrying out investment portfolio management and/or brokerage and/or dealing activities on the securities market, according to the form attached in Appendix 14 to the Rules;

15. a report on the value of pension assets, according to the form attached in Appendix 23 to the Rules;

16. a report on the structure of the investment portfolio of pension assets, according to the form attached in Appendix 24 to the Rules;

17. a report on compliance with investment limits, according to the form attached in Appendix 30 to the Rules;

18. a report on the value of one conditional unit of pension assets under trust management, according to the form attached in Appendix 31 to the Rules;

19. a report on the coefficients of nominal yield of pension assets, according to the form attached in Appendix 32 to the Rules.

Chapter 3. Procedure for Reporting by Other Professional Securities Market Participants

19. A custodian, including a custodian of a voluntary accumulated pension fund, and a custodian carrying out storage and accounting of pension assets under trust management by an investment portfolio manager, shall submit to the National Bank quarterly, no later than the last day of the month following the reporting quarter:

1. a report on securities held in nominal custody, according to the form attached in Appendix 21 to the Rules;

2. a report on securities issued in accordance with the legislation of a foreign state, held in nominal custody, according to the form attached in Appendix 22 to the Rules;

3. a report on blocked (unexecuted) client orders, according to the form attached in Appendix 33 to the Rules;

4. a report on the number of clients of the custodian, according to the form attached in Appendix 34 to the Rules.

20. A custodian of a voluntary accumulated pension fund, and a custodian carrying out storage and accounting of pension assets under trust management by an investment portfolio manager, shall submit to the National Bank monthly, no later than the 7th (seventh) working day of the month following the reporting month:

1. a report on the movement of pension assets in the investment account in national currency, according to the form attached in Appendix 35 to the Rules;

2. a report on the movement of pension assets in the investment account in foreign currency, according to the form attached in Appendix 36 to the Rules;

3. a report on the structure of the investment portfolio of pension assets, according to the form attached in Appendix 37 to the Rules;

4. a report on accrued and paid commissions, according to the form attached in Appendix 38 to the Rules.

21. A trading organizer, excluding a central depository, shall submit to the National Bank daily, by the end of the working day following the reporting day:

1. a report on buy (sell) orders for securities, according to the form attached in Appendix 39 to the Rules;

2. a report on the results of securities trading indicating the parties to the transactions, according to the form attached in Appendix 40 to the Rules;

3. a report on orders for repo transactions with securities, according to the form attached in Appendix 41 to the Rules;

4. a report on repo transactions with securities indicating their participants, according to the form attached in Appendix 42 to the Rules;

5. a report on buy (sell) orders for derivative financial instruments, according to the form attached in Appendix 43 to the Rules;

6. a report on the results of trading in derivative financial instruments indicating the parties to the transactions, according to the form attached in Appendix 44 to the Rules;

7. a report on buy (sell) orders for foreign currencies, according to the form attached in Appendix 45 to the Rules;

8. a report on the results of trading in foreign currencies, according to the form attached in Appendix 46 to the Rules.

22. A trading organizer, excluding a central depository, shall submit to the National Bank quarterly, no later than the 5th (fifth) working day of the month following the reporting quarter, a report on the members of the trading organizer, according to the form attached in Appendix 47 to the Rules.

23. A trading organizer, excluding a central depository, shall submit to the National Bank monthly, no later than the 5th (fifth) working day of the month following the reporting month:

1. a report on securities included in separate sectors (categories) of the trading organizer's list, according to the form attached in Appendix 48 to the Rules;

2. report on financial instruments, excluding securities included in the trading organizer's list, in the form according to Appendix 49 to the Rules;

3. report on transaction volumes in the form according to Appendix 50 to the Rules;

4. report on stock market capitalization in the form according to Appendix 51 to the Rules;

5. report on client accounts in the form according to Appendix 52 to the Rules;

6. report on transactions with persons having special relations with the trading organizer, concluded during the reporting month, as well as those active on the reporting date, and a register of persons having special relations with the trading organizer, in the form according to Appendix 53 to the Rules;

7. report on completed transactions on investing own assets in the form according to Appendix 54 to the Rules.

24. The clearing organization submits to the National Bank a report on net claims and net obligations of subjects using the services of the clearing organization, in the form according to Appendix 55 to the Rules, daily, by the end of the working day following the reporting day.

25. The Central Depository submits to the National Bank:

1. report on transactions with persons having special relations with the central depository, concluded during the reporting quarter, as well as those active on the reporting date, and a register of persons having special relations with the central depository, in the form according to Appendix 56 to the Rules – quarterly, no later than the 20th (twentieth) day of the month following the reporting quarter;

2. report on operations conducted in the central depository's accounting system with non-state securities, by sectors and sub-sectors of the economy, in the form according to Appendix 57 to the Rules – monthly, no later than the 10th (tenth) day of the month following the reporting month;

3. report on the registry of holders of financial instruments in the form according to Appendix 58 to the Rules – monthly, no later than the 20th (twentieth) day of the month following the reporting month.

Chapter 4. Procedure for submitting reports by the Unified Accumulative Pension Fund

26. The Unified Accumulative Pension Fund submits to the National Bank quarterly, no later than the 25th (twenty-fifth) day of the month following the reporting quarter:

1. report on assets and liabilities of own assets, classified by economic sectors, in the form according to Appendix 28 to the Rules;

2. report on assets and liabilities of pension assets, classified by economic sectors, in the form according to Appendix 29 to the Rules.

27. The Unified Accumulative Pension Fund submits to the National Bank monthly, no later than the 7th (seventh) working day of the month following the reporting month:

1. report on the cost of pension assets in the form according to Appendix 59 to the Rules, in case the Unified Accumulative Pension Fund has pension assets transferred to external management – no later than the 20th (twentieth) day of the month following the reporting month;

2. report on the structure of the investment portfolio of pension assets in the form according to Appendix 60 to the Rules;

3. report on pension assets under external management in the form according to Appendix 61 to the Rules, in case the Unified Accumulative Pension Fund has pension assets transferred to external management, no later than the 20th (twentieth) day of the month following the reporting month;

4. report on the volumes of pension accumulations and the number of individual pension accounts (sub-accounts) of contributors (recipients) in the form according to Appendix 62 to the Rules;

5. report on the volumes of pension accumulations and the number of individual pension accounts (sub-accounts) of contributors (recipients) by regions of the Republic of Kazakhstan (by place of residence of the contributor (recipient)) in the form according to Appendix 63 to the Rules;

6. report on pension payments from mandatory pension contributions, mandatory professional pension contributions, voluntary pension contributions in the form according to Appendix 64 to the Rules;

7. report on securities acquired at the expense of own assets in the form according to Appendix 65 to the Rules;

8. report on completed transactions on investing own assets in the form according to Appendix 66 to the Rules;

9. report on the cost of one conditional unit of pension assets formed from mandatory pension contributions, mandatory professional pension contributions, and voluntary pension contributions in the form according to Appendix 67 to the Rules;

10. report on the cost of one conditional unit of conditional pension obligations in the form according to Appendix 68 to the Rules;

11. report on payments and return of targeted accumulations according to Appendix 69 to the Rules.

28. The Unified Accumulative Pension Fund submits to the National Bank quarterly, no later than the 7th (seventh) working day of the month following the reporting quarter:

1. report on the volumes of pension payments and pension accumulations to workers (family members) of states that are members of the Eurasian Economic Union on the territory of the Republic of Kazakhstan in the form according to Appendix 70 to the Rules;

2. report on financial instruments of issuers who have defaulted, acquired at the expense of pension assets, in the form according to Appendix 71 to the Rules.

29. The Unified Accumulative Pension Fund submits to the National Bank annually, no later than April 30th (thirtieth) of the year following the reporting year, a report on targeted claims in the form according to Appendix 72 to the Rules.

Appendix 1

to the Rules for reporting by securities market professionals and the unified accumulative pension fund

Form, designed for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on securities acquired at the expense of own assets

Index of the form designed for the collection of administrative data on a gratuitous basis: 1-RCB_CBSA

Frequency: monthly

Reporting period: as of "___" _______________ 20 year

Circle of persons submitting the form designed for the collection of administrative data on a gratuitous basis: investment portfolio managers, brokers and/or dealers

Deadline for submitting the form designed for the collection of administrative data on a gratuitous basis: monthly, no later than the 7th (seventh) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

No	Name of issuer	Issuer country	Type of security	Security identification number	Number of securities
total	including securities with encumbrances and securities that are subject to repo transactions
total	including securities that are subject to repo transactions
1	2	3	4	5	6	7	8
1	State securities of the Republic of Kazakhstan
1.1.
…
2	Non-state issue securities of organizations of the Republic of Kazakhstan
2.1.	securities of second-tier banks
2.1.1.
…
2.2.	securities of legal entities, except second-tier banks
2.2.1.
…
3	Securities of foreign states
3.1.
…
4	Non-state securities of non-resident issuers of the Republic of Kazakhstan
4.1.
…
5	Securities of international financial organizations
5.1.
…
6	Shares/Units
6.1.
…
7	Total

continuation of the table:

Currency code of security acquisition	Purchase price per security	Period		Purchase cost of securities	Nominal value
date of registration	maturity date	currency code	cost of one security
9	10	11	12	13	14	15

continuation of the table:

Book value of securities
total	discount (premium)	accrued interest	positive (negative) adjustment	securities with encumbrances and securities that are subject to repo transactions, total	including securities that are subject to repo transactions	Reference: formed reserves (provisions)
16	17	18	19	20	21	22

continuation of the table:

Accounting category	Security rating		Current coupon rate in the portfolio
on the date of registration	on the reporting date
23	24	25	26

Name ______________________________________

Address__________________________________________________________

Phone ______________________________________

Email address _________________________

Executor ______________________________________ ________________

surname, first name, middle name (if any), signature, phone

Head or person entrusted with the function of signing the report

---

surname, first name, middle name (if any), signature

Date "____" ______________ 20 year

Note: the form is filled out in accordance with the explanation for filling out the form designed for the collection of administrative data on a gratuitous basis, "Report on securities acquired at the expense of own assets."

Appendix
to the form designed for the collection of administrative data on a gratuitous basis, "Report on securities acquired at the expense of own assets"

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

"Report on securities acquired at the expense of own assets"

(index – 1-RCB_CBSA, frequency – monthly)

Chapter 1. General Provisions

1. This explanation defines the uniform requirements for filling out the form designed for the collection of administrative data on a gratuitous basis, "Report on securities acquired at the expense of own assets" (hereinafter – Form).

2. The Form is compiled monthly by the investment portfolio manager, broker, and/or dealer as of the end of the reporting period. Data in the Form are 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.

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

Chapter 2. Explanation for filling out the Form

4. In column 2, the name of the issuer of the security is indicated.

5. In column 3, the issuer's country is indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK ISO 3166-1-2016 "Codes for the representation of names of countries and their administrative-territorial subdivisions. Part 1. Country codes."

6. In column 4, the type of acquired security is indicated, specifying its type.

7. In column 5, the international identification number (ISIN code) or another identifier of the security is indicated, regarding rights to claims on the issuer's obligations on issue securities whose term of circulation has expired, and the issuer has not fulfilled obligations for their redemption – identifier of claim rights.

8. In column 6, the quantity of acquired securities in pieces is indicated. Debt securities are indicated by nominal value in the currency of issue.

9. In column 7, the quantity of securities with encumbrances and securities that are subject to repo transactions on the reporting date is indicated. Debt securities are indicated by nominal value in the currency of issue.

10. In column 8, the quantity of securities that are subject to repo transactions on the reporting date is indicated. Debt securities are indicated by nominal value in the currency of issue.

11. In columns 9 and 14, currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the representation of currencies and funds."

12. In column 10, the price, with accuracy up to four decimal places, reflected in the primary document confirming the completion of the transaction (broker's and/or dealer's report, confirmation received via the international interbank system for information transfer and payment execution SWIFT), in tenge, is indicated. The price of debt securities is reflected in percentages to the nominal value, with accuracy up to four decimal places, taking into account accrued and unpaid interest. In case of payment for the acquired security (except debt securities) in foreign currency, this amount is reflected at the market exchange rate prevailing on the settlement date of the transaction.

13. In column 11, the date of initial recognition in accounting is indicated in the format "dd.mm.yyyy."

14. In column 12, the maturity date of debt securities is indicated in the format "dd.mm.yyyy."

15. In column 13, the purchase cost of securities is indicated, including expenses directly related to acquisition, including remuneration and commissions paid to agents, consultants, brokers (dealers), fees of stock exchanges, as well as banking services for transfer, reduced by the percentage paid by the buyer to the seller (if any). In case of payment for the acquired security in foreign currency, this amount is reflected at the market exchange rate prevailing on the settlement date of the transaction.

16. Columns 14 and 15 are filled for debt securities. In column 15, the monetary expression of the bond's value determined upon its issuance, on which interest is accrued expressed as a percentage of the coupon bond, as well as the amount payable to the bondholder upon its redemption, is indicated. The amount is indicated in the currency of issue.

17. In column 16, the value of securities reflected in accounting is indicated.

18. In column 17, the unamortized part of the discount (with a minus sign) or premium (in absolute terms) is indicated.

19. In column 18, accrued but not received interest is indicated. When filling this column for debt securities, the coupon is indicated; for shares, dividends are indicated.

20. In column 19, a positive or negative adjustment is indicated.

21. In column 20, the value of securities with encumbrances and securities transferred to repo, indicated in accounting, is specified.

22. In column 21, the value of securities transferred to repo on the reporting date, indicated in accounting, is specified.

23. In column 22, the size of reserves (provisions) formed in accordance with international financial reporting standards is indicated. The size of reserves (provisions) is indicated in absolute terms.

24. In column 23, the security category "fair value through other comprehensive income", "fair value through profit or loss", or "amortized cost" is indicated.

25. When filling columns 24 and 25, the security rating for bonds, issuer rating for shares, country rating for state securities, assigned by one of the rating agencies specified in paragraph 2 of the Resolution of the Board of the Agency for Regulation and Development of the Financial Market of the Republic of Kazakhstan dated April 14, 2026 No. 64 "On establishing the minimum rating for legal entities and states, the presence of which is required in accordance with the legislation of the Republic of Kazakhstan regulating the activities of financial organizations, branches of non-resident banks of the Republic of Kazakhstan, branches of non-resident insurance (reinsurance) organizations of the Republic of Kazakhstan, the list of rating agencies assigning this rating" (registered in the Registry of State Registration of Normative Legal Acts under No. 38437) is indicated. If there is no rating in columns 24 and 25, "no rating" is indicated. These columns are not filled for state securities of the Republic of Kazakhstan.

26. In column 26, the coupon rate for debt financial instruments on the date of submission of the Form is indicated.

27. Columns 7, 8, 20, and 21 are filled in respect of securities specified in columns 6 and 16.

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

Appendix 2

to the Rules for reporting by securities market professionals and the unified accumulative pension fund

Form, designed for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on "reverse repo" and repo operations completed at the expense of own assets

Index of the form designed for the collection of administrative data on a gratuitous basis: 1-RCB_REPO_SA

Frequency: monthly

Reporting period: as of "___" _______________ 20 year

Circle of persons submitting the form designed for the collection of administrative data on a gratuitous basis: investment portfolio managers, brokers and/or dealers

Deadline for submitting the form designed for the collection of administrative data on a gratuitous basis: monthly, no later than the 7th (seventh) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

(in thousands of tenge)

No	Name of issuer	Issuer country	Type of security	Security identification number	Number of securities	Currency code of nominal value	Period
Date of opening operation	Date of closing operation
1	2	3	4	5	6	7	8	9
1	"Reverse repo" operations
1.1.	Direct method
1.1.1.
…
1.2.	Automatic method
1.2.1.
…
2	Repo operations
2.1.	Direct method
2.1.1.
…
2.2.	Automatic method
2.2.1.
…

continuation of the table:

Operation term in days	Interest rate	Book value	Reference: formed reserves (provisions)	Security rating		Category of stock exchange list		Central counterparty
on the date of transaction conclusion	on the reporting date	on the date of transaction conclusion	on the reporting date
10	11	12	13	14	15	16	17	18

Name ______________________________________

Address__________________________________________________________

Phone ______________________________________

Email address _________________________

Executor ______________________________________ ________________

surname, first name, middle name (if any), signature, phone

Head or person entrusted with the function of signing the report

---

surname, first name, middle name (if any), signature

Date "____" ______________ 20 year

Note: the form is filled out in accordance with the explanation for filling out the form designed for the collection of administrative data on a gratuitous basis, "Report on 'reverse repo' and repo operations completed at the expense of own assets."

Appendix
to the form designed for the collection of administrative data on a gratuitous basis, "Report on 'reverse repo' and repo operations completed at the expense of own assets"

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

"Report on 'reverse repo' and repo operations completed at the expense of own assets"

(index – 1-RCB_REPO_SA, frequency – monthly)

Chapter 1. General Provisions

1. This explanation defines the uniform requirements for filling out the form designed for the collection of administrative data on a gratuitous basis, "Report on 'reverse repo' and repo operations completed at the expense of own assets" (hereinafter – Form).

2. The Form is compiled monthly by the investment portfolio manager, broker, and/or dealer as of the end of the reporting period. Data in the Form are 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.

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

Chapter 2. Explanation for filling out the Form

4. In column 2, the name of the issuer of the security is indicated.

5. In column 3, the issuer's country is indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK ISO 3166-1-2016 "Codes for the representation of names of countries and their administrative-territorial subdivisions. Part 1. Country codes."

6. In column 4, the type of security transferred and/or acquired under repo and/or "reverse repo" operations is indicated, specifying its type.

7. In column 6, the quantity of transferred and/or acquired securities under repo and/or "reverse repo" operations is indicated.

8. In column 7, currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the representation of currencies and funds."

9. When filling columns 14 and 15, the security rating for bonds, issuer rating for shares, country rating for state securities, assigned by one of the rating agencies specified in paragraph 2 of the Resolution of the Board of the Agency for Regulation and Development of the Financial Market of the Republic of Kazakhstan dated April 14, 2026 No. 64 "On establishing the minimum rating for legal entities and states, the presence of which is required in accordance with the legislation of the Republic of Kazakhstan regulating the activities of financial organizations, branches of non-resident banks of the Republic of Kazakhstan, branches of non-resident insurance (reinsurance) organizations of the Republic of Kazakhstan, the list of rating agencies assigning this rating" (registered in the Registry of State Registration of Normative Legal Acts under No. 38437) is reflected. If there is no rating in columns 14 and 15, "no rating" is indicated. These columns are not filled for state securities of the Republic of Kazakhstan.

10. In columns 16 and 17, the category of securities of residents of the Republic of Kazakhstan according to the official list of the stock exchange of the Republic of Kazakhstan is indicated. If there is no stock exchange list category of the Republic of Kazakhstan in columns 16 and 17, "no listing" is indicated. These columns are not filled for securities of non-residents of the Republic of Kazakhstan and state securities of the Republic of Kazakhstan.

11. In column 18, the word "yes" is indicated in the case of a transaction concluded on the stock exchange with the participation of a central counterparty. The word "no" is indicated in the case of a transaction concluded on the stock exchange without the participation of a central counterparty.

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

Appendix 3

to the Rules for reporting by professional participants of the securities market and the unified accumulative pension fund

Form,

designed for the collection of administrative data

Submitted to: The National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on deposits and money included in own assets

Index of the form designed for the collection of administrative data on a gratuitous basis: 1-RCB_Vklady_SA

Frequency: monthly

Reporting period: as of "___" _______________ 20 year

Circle of persons submitting the form designed for the collection of administrative data on a gratuitous basis: investment portfolio managers, brokers and (or) dealers

Deadline for submitting the form designed for the collection of administrative data on a gratuitous basis: monthly, no later than the 7 (seventh) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

(in thousands of tenge)

No.	Name of bank (organization)	Rating of bank (organization)		Deposit currency code	Date of conclusion and number of bank deposit contract		Deposit term (in days)
at the date of deposit placement	at the reporting date	date	number
1	2	3	4	5	6	7	8
1.	Money in accounts at second-level banks
1.1.
…
2	Demand deposits
2.1.
…
3	Term deposits
3.1.
…
4	Conditional deposits
4.1.
…
5.	Money in accounts at organizations carrying out certain types of banking operations
5.1.
…
6.	Money in accounts at organizations providing services in the securities market
6.1.
…
7.	Money in transit
7.1.
…
8	Total

continuation of the table:

Deposit interest rate (in percent per annum)	Principal amount of the deposit		Book value		Reference: formed reserves (provisions)	Note
in tenge	in foreign currency	total	including accrued deposit interest
9	10	11	12	13	14	15

Name ______________________________________

Address__________________________________________________________

Phone ______________________________________

Email address _________________________

Executor ______________________________________ ________________

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

Head or person entrusted with the function of signing the report

---

surname, first name, patronymic (if any) signature

Date «____» ______________ 20 year

Note: the form is filled in accordance with the explanation for filling in the form designed for the collection of administrative data on a gratuitous basis, "Report on deposits and money included in own assets".

Appendix

to the form designed for the collection of administrative data on a gratuitous basis, "Report on deposits and money included in own assets"

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

"Report on deposits and money included in own assets"

(index – 1-RCB_Vklady_SA, frequency – monthly)

Chapter 1. General Provisions

1. This explanation defines the unified requirements for filling in the form designed for the collection of administrative data on a gratuitous basis, "Report on deposits and money included in own assets" (hereinafter – the Form).

2. The Form is compiled monthly by the investment portfolio manager, broker and (or) dealer as of the end of the reporting period. Data in the Form are filled in 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.

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

Chapter 2. Explanation for filling in the Form

4. When filling in columns 3 and 4, the rating of the second-level bank and the organization carrying out certain types of banking operations assigned by one of the rating agencies specified in paragraph 2 of the Resolution of the Board of the Agency of the Republic of Kazakhstan for Regulation and Development of the Financial Market dated April 14, 2026 No. 64 "On establishing the minimum rating for legal entities and states, the presence of which is required in accordance with the legislation of the Republic of Kazakhstan regulating the activities of financial organizations, branches of non-resident banks of the Republic of Kazakhstan, branches of non-resident insurance (reinsurance) organizations of the Republic of Kazakhstan, the list of rating agencies assigning this rating" (registered in the Registry of state registration of normative legal acts under No. 38437) is reflected. In the absence of a rating, "no rating" is indicated in columns 3 and 4. These columns are not filled for deposits at the National Bank of the Republic of Kazakhstan.

5. In column 5, currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the representation of currencies and funds".

6. In column 8, the deposit term according to the bank deposit contract is indicated; in case of deposit renewal, the term is reflected with consideration of the renewal.

7. In columns 10 and 11, the amount of placement of own assets in a deposit at the National Bank of the Republic of Kazakhstan, at second-level banks and organizations carrying out certain types of banking operations is indicated. In case of placement of assets in a deposit in foreign currency, column 11 is filled with simultaneous reflection of the equivalent in the national currency – tenge in column 10; in case of placement of assets in a deposit in the national currency – tenge, column 10 is filled.

8. If there are restrictions on the right of ownership to the deposit, the word "yes" is indicated in column 15.

9. The table is filled in by indicating the amount of deposits and money separately for each currency, second-level bank, organization carrying out certain types of banking operations, and organization providing services in the securities market according to the corresponding contract. Own money of the investment portfolio manager, broker and (or) dealer in accounts at the Central Depository of Securities of the Astana International Exchange (Astana International Exchange) (hereinafter – AIX), intended for settlements on securities at AIX, are indicated in line 6 of the Form.

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

Appendix 4

to the Rules for reporting by professional participants of the securities market and the unified accumulative pension fund

Form,

designed for the collection of administrative data

Submitted to: The National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on investments in the capital of other legal entities from own assets

Index of the form designed for the collection of administrative data on a gratuitous basis: 1-RCB_IKDU

Frequency: monthly

Reporting period: as of "___" _______________ 20 year

Circle of persons submitting the form designed for the collection of administrative data on a gratuitous basis: investment portfolio managers, brokers and (or) dealers

Deadline for submitting the form designed for the collection of administrative data on a gratuitous basis: monthly, no later than the 7 (seventh) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

(in thousands of tenge)

No.	Name of legal entity	Purchase price	Book value		Share in authorized capital (in percent)	Acquisition date	Note
Total	including accrued dividends
1	2	3	4	5	6	7	8

Name ______________________________________

Address__________________________________________________________

Phone ______________________________________

Email address _________________________

Executor ______________________________________ ________________

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

Head or person entrusted with the function of signing the report

---

surname, first name, patronymic (if any) signature

Date «____» ______________ 20 year

Note: the form is filled in accordance with the explanation for filling in the form designed for the collection of administrative data on a gratuitous basis, "Report on investments in the capital of other legal entities from own assets".

Appendix

to the form designed for the collection of administrative data on a gratuitous basis, "Report on investments in the capital of other legal entities from own assets"

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

"Report on investments in the capital of other legal entities from own assets"

(index – 1-RCB_IKDU, frequency – monthly)

Chapter 1. General Provisions

1. This explanation defines the unified requirements for filling in the form designed for the collection of administrative data on a gratuitous basis, "Report on investments in the capital of other legal entities from own assets" (hereinafter – the Form).

2. The Form is compiled monthly by the investment portfolio manager, broker and (or) dealer as of the end of the reporting period. Data in the Form are filled in 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.

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

Chapter 2. Explanation for filling in the Form

4. The Form reflects information on the size of the organization's investments in the capital of associated organizations, as well as other legal entities from the organization's own assets.

5. All data in the Form are presented by the nature of the activity of the legal entity in whose capital the organization participates.

6. In column 4, the book value of investments in the capital of legal entities reflected in accounting is indicated.

7. In column 5, the amount of dividends accrued on investments in the capital of legal entities is indicated.

8. In column 7, the date of initial recognition reflected in accounting is reflected in the "dd.mm.yyyy" format.

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

Appendix 5

to the Rules for reporting by professional participants of the securities market and the unified accumulative pension fund

Form,

designed for the collection of administrative data

Submitted to: The National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on issued loans and receivables included in own assets and client assets

Index of the form designed for the collection of administrative data on a gratuitous basis: 1-RCB_DZ

Frequency: monthly

Reporting period: as of "___" _______________ 20 year

Circle of persons submitting the form designed for the collection of administrative data on a gratuitous basis: investment portfolio managers, brokers and (or) dealers

Deadline for submitting the form designed for the collection of administrative data on a gratuitous basis: monthly, no later than the 7 (seventh) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

(in thousands of tenge)

No.	Name of client (own assets), type of claim	Name of counterparty (debtor)	Date of issuance (occurrence)	Date of maturity (closure)	Currency code	Interest rate (in percent per annum)
1	2	3	4	5	6	7
1.	Total for own assets
1.1.
…
2.	Total for investment fund assets
2.1.
…
3.	Total for other client assets
3.1.
…

continuation of the table:

Current value of the claim at the reporting date		Reference: formed reserves (provisions)	Basis of the transaction
total	including accrued interest
8	9	10	11

Name ______________________________________

Address__________________________________________________________

Phone ______________________________________

Email address _________________________

Executor ______________________________________ ________________

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

Head or person entrusted with the function of signing the report

---

surname, first name, patronymic (if any) signature

Date «____» ______________ 20 year

Note: the form is filled in accordance with the explanation for filling in the form designed for the collection of administrative data on a gratuitous basis, "Report on issued loans and receivables included in own assets and client assets".

Appendix

to the form designed for the collection of administrative data on a gratuitous basis, "Report on issued loans and receivables included in own assets and client assets"

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

"Report on issued loans and receivables included in own assets and client assets"

(index – 1-RCB_DZ, frequency – monthly)

Chapter 1. General Provisions

1. This explanation defines the unified requirements for filling in the form designed for the collection of administrative data on a gratuitous basis, "Report on issued loans and receivables included in own assets and client assets" (hereinafter – the Form).

2. The Form is compiled monthly by the investment portfolio manager, broker and (or) dealer as of the end of the reporting period. Data in the Form are filled in 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.

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

Chapter 2. Explanation for filling in the Form

4. The Form reflects information on issued loans and receivables included in the own assets of the broker and (or) dealer and (or) investment portfolio manager, and client assets of the investment portfolio manager, including rights of claim under assignment agreements.

Amounts of receivables associated with the provision of services by the broker and (or) dealer and (or) investment portfolio manager in the course of professional activities in the securities market, as well as with administrative and economic activities, are presented in an aggregated form. For receivables associated with the provision of services by the broker and (or) dealer and (or) investment portfolio manager in the course of professional activities in the securities market, as well as with administrative and economic activities, columns 3, 4, 5, 6, 7 and 11 are not filled.

5. In column 3, the name of the counterparty (debtor) is indicated.

6. In column 4, the date of issuance of the loan or the date of occurrence of the receivable (right of claim under assignment agreements) is indicated in the "dd.mm.yyyy" format.

When reflecting the issuer's debt on the payment of interest on securities, the date of compilation of the list of security holders entitled to receive interest on securities, established by the securities issue prospectus and (or) the decision of the general meeting of shareholders of the issuer, is indicated.

7. In column 5, the date of maturity of the loan or the date of fulfillment of obligations on the receivable is indicated in the "dd.mm.yyyy" format.

8. In column 6, the currency of the loan or receivable is indicated. Currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the representation of currencies and funds".

9. In columns 8 and 9, the current value of the claim is indicated, with accrued interest indicated if available.

10. In column 10, the amount of reserves (provisions) on the asset is reflected if available.

11. In column 11, the primary accounting document (loan issuance agreement, assignment of claim agreement, agreements and others) on the basis of which the loan was issued or the receivable arose is indicated.

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

Appendix 6

to the Rules for reporting by professional participants of the securities market and the unified accumulative pension fund

Form,

designed for the collection of administrative data

Submitted to: The National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on investment funds

Index of the form designed for the collection of administrative data on a gratuitous basis: 1-RCB_IF

Frequency: monthly

Reporting period: as of "___" _______________ 20 year

Circle of persons submitting the form designed for the collection of administrative data on a gratuitous basis: investment portfolio managers

Deadline for submitting the form designed for the collection of administrative data on a gratuitous basis: monthly, no later than the 7 (seventh) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

(in thousands of tenge)

Name of investment fund	Number of units (shares) in circulation	Net asset value per unit (for unit investment fund)		Yield per unit (for unit investment fund), in percent per annum
at the beginning of the reporting period	at the end of the reporting period
1	2	3	4	5

continuation of the table:

Share price (for share investment fund)	Number of unit holders legal entities (for unit investment fund)	Number of unit holders natural persons (for unit investment fund)	Name of custodian bank	Note
6	7	8	9	10

Name ______________________________________

Address__________________________________________________________

Phone ______________________________________

Email address _________________________

Executor ______________________________________ ________________

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

Head or person entrusted with the function of signing the report

---

surname, first name, patronymic (if any) signature

Date «____» ______________ 20 year

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

Appendix

to the form designed for the collection of administrative data on a gratuitous basis, "Report on investment funds"

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

"Report on investment funds"

(index – 1-RCB_IF, frequency – monthly)

Chapter 1. General Provisions

1. This explanation defines the unified requirements for filling in the form designed for the collection of administrative data on a gratuitous basis, "Report on investment funds" (hereinafter – the Form).

2. The Form is compiled monthly by the investment portfolio manager and filled in as of the end of the reporting period. Data in the Form are filled in in thousands of tenge.

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

Chapter 2. Explanation for filling in the Form

4. Column 5 is filled in according to the formula ((P1/P2-1)/N x 365 days x 100), where:

P1 – net asset value per unit at the end of the reporting period (column 4);

P2 – net asset value per unit at the beginning of the reporting period (column 3);

N – number of days in the reporting period.

5. Columns 3, 4, 5 and 6 are reflected with four decimal places.

6. In column 3, the net asset value per unit at the beginning of the reporting period is understood as the net asset value per unit as of the beginning of the year.

7. When filling in the Form, foreign exchange assets of the National Bank and assets of the National Fund of the Republic of Kazakhstan transferred to trust management are not indicated.

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

Appendix 7

to the Rules for reporting by professional participants of the securities market and the unified accumulative pension fund

Form,

designed for the collection of administrative data

Submitted to: The National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on the structure of the investment portfolio acquired from client assets

Index of the form designed for the collection of administrative data on a gratuitous basis: 1-RCB_SP_client

Frequency: monthly

Reporting period: as of "___" _______________ 20 year

Circle of persons submitting the form designed for the collection of administrative data on a gratuitous basis: investment portfolio managers

Deadline for submitting the form designed for the collection of administrative data on a gratuitous basis: monthly, no later than the 7 (seventh) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

Table 1. Securities acquired from client assets

(in thousands of tenge)

No.	Client Name	Issuer Name	Issuer Country	Type of Security	Security Identification Number	Number of Securities (pieces)
Total		including securities with encumbrances and securities that are the subject of repo transactions
Total	including securities that are the subject of repo transactions
1	2	3	4	5	6	7		8	9
1.	Total for investment funds
1.1.
…
2.	Total for all other clients
2.1.
…
	Total:

continuation of the table:

Nominal Value		Payment Currency Code	Purchase Price per Security	Period		Purchase Cost of Security
currency code	cost per security	date of registration	date of maturity
10	11	12	13	14	15	16

continuation of the table:

Book Value of Securities
Total		including securities with encumbrances and securities that are the subject of repo transactions		Reference: Formed Reserves (Provisions)
Total	including accrued remuneration	Total	including securities that are the subject of repo transactions
17	18	19	20	21

continuation of the table:

Security Rating		Stock Exchange List Category		Current Coupon Rate in Portfolio, in percent per annum
on the date of registration	on the reporting date	on the date of registration	on the reporting date
22	23	24	25	26

Table 2. Securities acquired through "reverse repo" operations from client assets

(in thousands of tenge)

No.	Client Name	Issuer Name	Issuer Country	Type of Security	Security Identification Number	Number of Securities (pieces)
1	2	3	4	5	6	7
---	---	---	---	---	---	---
1.	Total for investment funds
1.1.
…
2.	Total for all other clients
2.1.
…
	Total:

continuation of the table:

Nominal Value Currency Code	Transaction Currency Code	Opening Price per Security
in tenge	in nominal value currency
8	9	10	11

continuation of the table:

Closing Price per Security		Period		Book Value of Securities	Yield Rate on Transaction (in percent per annum)	Security Rating		Stock Exchange List Category		Central Counterparty
in tenge	in nominal value currency	Operation Opening Date	Operation Closing Date	on the date of registration	on the reporting date	on the date of registration	on the reporting date
12	13	14	15	16	17	18	19	20	21	22

Table 3. Deposits in second-level banks

(in thousands of tenge)

No.	Client Name	Bank Name	Bank Rating		Deposit Currency Code	Date of Conclusion and Number of Bank Deposit Contract		Deposit Term (in days)
on the date of deposit placement	on the reporting date	date	number
1	2	3	4	5	6	7	8	9
1.	Total for investment funds
1.1.
…
2.	Total for all other clients
2.1.
…
	Total:

continuation of the table:

Remuneration Payment Period		Remuneration Rate (in percent per annum)		Principal Amount of Deposit		Book Value		Reference: Formed Reserves (Provisions)
frequency	date	nominal	effective	Total	in foreign currency	Total	including accrued remuneration
10	11	12	13	14	15	16	17	18

Name ______________________________________

Address__________________________________________________________

Phone ________________________________________

Email Address _________________________

Executor ______________________________________ ________________

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

Head or person entrusted with the function of signing the report

---

surname, first name, patronymic (if any) signature

Date «____» ______________ 20 year

Note: The form is filled out in accordance with the explanation for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on the structure of the investment portfolio acquired from client assets."

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, "Report on the structure of the investment portfolio acquired from client assets"

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

"Report on the structure of the investment portfolio acquired from client assets"

(index – 1-RCB_SP_client, frequency – monthly)

Chapter 1. General Provisions

1. This explanation defines the unified requirements for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on the structure of the investment portfolio acquired from client assets" (hereinafter – the Form).

2. The Form is compiled monthly by the investment portfolio manager and filled out as of the end of the reporting period. Data in the Form is filled out 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.

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

Chapter 2. Explanation for Filling out the Form

4. The Form is filled out in respect of each investment fund and for all clients who are not investment funds.

5. Regarding Table 1:

1. in column 2, the surname, first name, patronymic (if any) or name of the client of the investment portfolio manager is indicated;

2. in column 3, the name of the issuer of the security is indicated;

3. in column 4, the issuer's country is indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK ISO 3166-1-2016 "Codes for the representation of names of countries and their administrative-territorial subdivisions. Part 1. Country codes";

4. in column 5, the type of acquired security is indicated with its type specified;

5. in column 7, the number of acquired securities in pieces is indicated. Debt securities are indicated by their nominal value in the currency of issue;

6. in column 8, the number of securities with encumbrances and securities that are the subject of repo transactions as of the reporting date is indicated. Debt securities are indicated by their nominal value in the currency of issue;

7. in column 9, the number of securities that are the subject of repo transactions as of the reporting date is indicated. Debt securities are indicated by their nominal value in the currency of issue;

8. in columns 10 and 12, currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the representation of currencies and funds";

9. column 11 is filled out for debt securities;

10. in column 13, the price, with an accuracy of four decimal places, reflected in the primary document confirming the transaction (broker's and/or dealer's report, confirmation received via the international interbank system for transferring information and making payments SWIFT), in tenge is indicated. The price of debt securities is reflected in percent of the nominal value, with an accuracy of four decimal places, including accrued and unpaid remuneration. In case of payment for the acquired security (except for debt securities) in foreign currency, this amount is reflected at the market exchange rate prevailing on the date of settlement of the transaction;

11. in column 14, the date of initial recognition in accounting in the format "dd.mm.yyyy." is reflected;

12. in column 15, the maturity date of debt securities in the format "dd.mm.yyyy." is indicated;

13. in column 16, the purchase cost of financial instruments, including expenses directly related to acquisition, including remuneration and commissions paid to agents, consultants, brokers (dealers), fees of stock exchanges, as well as banking services for transfer, reduced by the percentage paid by the buyer to the seller (if any), is indicated. In case of payment for the acquired security in foreign currency, this amount is reflected at the market exchange rate prevailing on the date of settlement of the transaction;

14. in column 17, the cost of securities reflected in accounting is indicated;

15. in column 19, the cost of securities with encumbrances and securities that are the subject of repo transactions, indicated in accounting, is indicated;

16. in column 20, the cost of securities that are the subject of repo transactions as of the reporting date, indicated in accounting, is indicated;

17. in column 21, the amount of formed reserves (provisions) reflected in accounting is indicated;

18. when filling out columns 22 and 23, the rating of the security for bonds, the rating of the issuer for stocks, the rating of the country for government securities, assigned by one of the rating agencies specified in paragraph 2 of the Resolution of the Board of the Agency for Regulation and Development of the Financial Market of the Republic of Kazakhstan dated April 14, 2026 No. 64 "On establishing the minimum rating for legal entities and states, the presence of which is required in accordance with the legislation of the Republic of Kazakhstan regulating the activities of financial organizations, branches of non-resident banks of the Republic of Kazakhstan, branches of non-resident insurance (reinsurance) organizations of the Republic of Kazakhstan, the list of rating agencies assigning this rating" (registered in the Registry of State Registration of Normative Legal Acts under No. 38437) (hereinafter – Resolution No. 64) is reflected. In the absence of a rating in columns 22 and 23, "no rating" is indicated. These columns are not filled out for government securities of the Republic of Kazakhstan. Column 22 reflects the rating on the date of initial recognition in accounting;

19. in columns 24 and 25, the category of securities of residents of the Republic of Kazakhstan according to the official list of the stock exchange of the Republic of Kazakhstan is indicated. In the absence of a stock exchange list category of the Republic of Kazakhstan in columns 24 and 25, "no listing" is indicated. These columns are not filled out for securities of non-residents of the Republic of Kazakhstan and government securities of the Republic of Kazakhstan. Column 24 reflects the stock exchange list category on the date of initial recognition in accounting;

20. in column 26, the coupon rate for debt financial instruments on the date of submission of the Form is indicated;

21. columns 8, 9, 19 and 20 are filled out in respect of securities specified in columns 7 and 17;

22. securities acquired from pension assets are not indicated in Table 1.

6. Regarding Table 2:

1. in column 2, the surname, first name, patronymic (if any) or name of the client of the investment portfolio manager is indicated;

2. in column 3, the name of the issuer of the security is indicated;

3. in column 4, the issuer's country is indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK ISO 3166-1-2016 "Codes for the representation of names of countries and their administrative-territorial subdivisions. Part 1. Country codes";

4. in column 5, the type of security acquired through "reverse repo" operations is indicated with its type specified;

5. in columns 8 and 9, currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the representation of currencies and funds";

6. in columns 10 and 11, the price with an accuracy of four decimal places, reflected in the primary document confirming the "reverse repo" operation, is indicated. In case of payment for the acquired security in foreign currency, columns 11 and 13 are filled out with simultaneous reflection of the equivalent in the national currency – tenge in columns 10 and 12; in case of payment for the acquired security in the national currency – tenge, columns 10 and 12 are filled out;

7. in column 16, the cost reflected in accounting is indicated;

8. when filling out columns 18 and 19, the rating of the security for bonds, the rating of the issuer for stocks, the rating of the country for government securities, assigned by one of the rating agencies specified in paragraph 2 of Resolution No. 64, is reflected. In the absence of a rating in columns 18 and 19, "no rating" is indicated. These columns are not filled out for government securities of the Republic of Kazakhstan. Column 18 reflects the rating on the date of initial recognition in accounting;

9. in columns 20 and 21, the category of securities of residents of the Republic of Kazakhstan according to the official list of the stock exchange of the Republic of Kazakhstan is indicated. In the absence of a stock exchange list category of the Republic of Kazakhstan in columns 20 and 21, "no listing" is indicated. These columns are not filled out for securities of non-residents of the Republic of Kazakhstan and government securities of the Republic of Kazakhstan. Column 20 reflects the category on the date of initial recognition in accounting;

10. in column 22, the word "yes" is indicated in case of concluding a transaction on the stock exchange with the participation of a central counterparty. The word "no" is indicated in case of concluding a transaction on the stock exchange without the participation of a central counterparty;

11. securities acquired through "reverse repo" operations from pension assets are not indicated in Table 2.

7. Regarding Table 3:

1. in column 2, the surname, first name, patronymic (if any) or name of the client of the investment portfolio manager is indicated;

2. in column 3, the name of the bank is indicated;

3. when filling out columns 4 and 5, the rating of the second-level bank assigned by one of the rating agencies specified in paragraph 3 of Resolution No. 64 is reflected. In the absence of a rating in columns 4 and 5, "no rating" is indicated. These columns are not filled out for deposits in the National Bank of the Republic of Kazakhstan;

4. in column 6, currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the representation of currencies and funds";

5. in column 9, the term of the deposit under the bank deposit contract is indicated; in case of renewal of the deposit, the term is reflected with the renewal taken into account;

6. in columns 10 and 11, the frequency and date of payment of accrued remuneration is indicated in accordance with the terms of the bank deposit contract. In column 11, the date is indicated in the format "dd.mm.yyyy.";

7. in columns 14 and 15, the amount of client assets placed in a deposit in the National Bank of the Republic of Kazakhstan and in second-level banks is indicated. In case of placement of pension assets in a deposit in foreign currency, column 15 is filled out with simultaneous reflection of the equivalent in the national currency – tenge in column 14; in case of placement of pension assets in a deposit in the national currency – tenge, column 14 is filled out;

8. in column 16, the cost reflected in accounting is indicated;

9. Table 3 is filled out indicating the amount of deposits separately for each bank and for each deposit currency;

10. deposits placed from pension assets are not indicated in Table 3.

8. When filling out the Form, foreign exchange assets of the National Bank and assets of the National Fund of the Republic of Kazakhstan transferred to trust management are not indicated.

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

Appendix 8

to the Rules for Reporting by Securities Market Professionals and the Unified Accumulative Pension Fund

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on the structure of other property of the investment fund

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

Frequency: monthly

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

Circle of persons submitting the form intended for the collection of administrative data on a gratuitous basis: investment portfolio managers

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: monthly, no later than the 7 (seventh) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

(in thousands of tenge)

No.	Name of Investment Fund	Name of Property	Acquisition Cost	Book Value	Date of Registration	Date of Valuation	Note
1	2	3	4	5	6	7	8
1.	x	Land plots
1.1.
…
2	x	Buildings and structures
2.1.
…
3.	x	Other fixed assets
3.1.
…
	Total

Name ______________________________________

Address__________________________________________________________

Phone ________________________________________

Email Address _________________________

Executor ______________________________________ ________________

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

Head or person entrusted with the function of signing the report

---

surname, first name, patronymic (if any) signature

Date «____» ______________ 20 year

Note: The form is filled out in accordance with the explanation for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on the structure of other property of the investment fund."

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, "Report on the structure of other property of the investment fund"

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

"Report on the structure of other property of the investment fund"

(index – 1-RCB_PROPERTY, frequency – monthly)

Chapter 1. General Provisions

1. This explanation defines the unified requirements for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on the structure of other property of the investment fund" (hereinafter – the Form).

2. The Form is compiled monthly by the investment portfolio manager and filled out as of the end of the reporting period. Data in the Form is filled out 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.

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

Chapter 2. Explanation for Filling out the Form

4. In column 3, the name of other property and its location are indicated.

5. In column 4, information evaluated at actual costs is indicated. Costs incurred in making the transaction (directly related to the acquisition of other property), including remuneration and commission fees paid to agents, suppliers, as well as banking expenses for transfer, are included in the cost of this property. The remuneration accrued for the period up to the moment of acquisition (if any) is also included in the cost of other property as of this date.

6. In column 5, the cost of property reflected in accounting is indicated.

7. In column 7, the date of the last valuation of the property is indicated.

8. When filling out the Form, foreign exchange assets of the National Bank and assets of the National Fund of the Republic of Kazakhstan transferred to trust management are not indicated.

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

Appendix 9

to the Rules for Reporting by Securities Market Professionals and the Unified Accumulative Pension Fund

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on investments of the investment fund and other clients in the capital of legal entities that are not joint stock companies

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

Frequency: monthly

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

Circle of persons submitting the form intended for the collection of administrative data on a gratuitous basis: investment portfolio managers

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: monthly, no later than the 7 (seventh) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

No.	Name of Client of Investment Portfolio Manager	Name of Issuer	Purchase Cost (in thousands of tenge)	Payment Date	Book Value (in thousands of tenge)	Share in Authorized Capital of Issuer (in percent)	Date of Registration of Property Rights	Note
1	2	3	4	5	6	7	8	9
1.	Total for investment funds
1.1.
…
2.	Total for all other clients
2.1.
…
	Total:

Name ______________________________________

Address__________________________________________________________

Phone ________________________________________

Email Address _________________________

Executor ______________________________________ ________________

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

Head or person entrusted with the function of signing the report

---

surname, first name, patronymic (if any) signature

Date «____» ______________ 20 year

surname, first name and patronymic (if any) signature

Date “____” ______________ 20 year

Note: the form is completed in accordance with the instructions for completing the form intended for the collection of administrative data on a gratuitous basis, “Report on investments of an investment fund and other clients in the capital of legal entities that are not joint-stock companies.”

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, “Report on investments of an investment fund and other clients in the capital of legal entities that are not joint-stock companies”

Instructions for completing the form intended for the collection of administrative data on a gratuitous basis

“Report on investments of an investment fund and other clients in the capital of legal entities that are not joint-stock companies”

(index – 1-RCB_IKDU_client, frequency – monthly)

Chapter 1. General Provisions

1. These instructions define the uniform requirements for completing the form intended for the collection of administrative data on a gratuitous basis, “Report on investments of an investment fund and other clients in the capital of legal entities that are not joint-stock companies” (hereinafter – the Form).

2. The Form is compiled monthly by the portfolio manager and completed as of the end of the reporting period. Data in the Form is filled in thousands of tenge. An amount of 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.

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

Chapter 2. Instructions for completing the Form

4. In column 2, the surname, first name and patronymic (if any) of a physical person, the name of the investment fund or legal entity that is a client of the portfolio manager are indicated.

5. In column 4, the purchase cost of shares on the date of acquisition is reflected.

6. In column 6, the value of investments reflected in accounting is indicated.

7. The Form is completed separately for each client.

8. When completing the Form, foreign exchange assets of the National Bank and assets of the National Fund of the Republic of Kazakhstan, transferred to trust management, are not indicated.

9. In the absence of information, the Form is submitted without completion.

Appendix 10

to the Rules for reporting by professional participants of the securities market and the Unified Accumulative Pension Fund

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on concluded transactions on investing client assets

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

Frequency: monthly

Reporting period: for _______________ 20 __ year

Circle of persons submitting the form intended for the collection of administrative data on a gratuitous basis: portfolio managers

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: monthly, no later than the 7 (seventh) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

Table 1. Securities acquired at the expense of client assets

(in tenge)

No.	Client Name	Date of Transaction	Settlement Date	Name of Broker and/or Dealer	Type of Transaction	Market	Type of Security and Name of Issuer
1	2	3	4	5	6	7	8
1	Total for pension assets
1.1.
…
2	Total for investment fund assets
2.1.
…
3	Total for other clients
3.1.
…
4	Total

continuation of the table:

Security Identification Number	Currency Code of Nominal Value	Nominal Value of One Security	Quantity of Securities	Currency Code of Payment	Purchase (Sale) Price per Security	Minimum Price per Security on the Transaction Date	Maximum Price per Security on the Transaction Date
9	10	11	12	13	14	15	16

continuation of the table:

Market Price per Security on the Transaction Date	Security Yield (in percent)	Transaction Volume	Counterparty Name
17	18	19	20

Table 2. Deposits in the National Bank of the Republic of Kazakhstan and second-tier banks

(in tenge)

No.	Client Name	Date of Money Transfer	Bank Name	Deposit Operations	Operation Amount
1	2	3	4	5	6
1	Total for pension assets
1.1.
…
2	Total for investment fund assets
2.1.
…
3	Total for other clients
3.1.
…
4	Total

continuation of the table:

Date of Conclusion and Number of Bank Deposit	Deposit Term (in days)	Reward Rate (in percent per annum)	Currency Code of Deposit	Deposit Amount
7	8	9	10	11

Table 3. Refined precious metals acquired at the expense of client assets

(in tenge)

No.	Client Name	Date of Transaction	Counterparty Name	Payment for Services	Type of Transaction	Type of Refined Precious Metal	Transaction Volume (units)	Currency Code of Payment	Purchase Price per Unit	Transaction Amount
1	2	3	4	5	6	7	8	9	10	11
1	Total for pension assets
1.1.
…
2	Total for investment fund assets
2.1.
…
3	Total for other clients
3.1.
…
4	Total

Name ______________________________________

Address__________________________________________________________

Phone ______________________________________

Email Address _________________________

Executor ______________________________________ ________________

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

Head or person entrusted with the function of signing the report

---

surname, first name and patronymic (if any) signature

Date “____” ______________ 20 year

Note: the form is completed in accordance with the instructions for completing the form intended for the collection of administrative data on a gratuitous basis, “Report on concluded transactions on investing client assets.”

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, “Report on concluded transactions on investing client assets”

Instructions for completing the form intended for the collection of administrative data on a gratuitous basis

“Report on concluded transactions on investing client assets”

(index – 1-RCB_DEALINGS_client, frequency: monthly)

Chapter 1. General Provisions

1. These instructions define the uniform requirements for completing the form intended for the collection of administrative data on a gratuitous basis, “Report on concluded transactions on investing client assets” (hereinafter – the Form).

2. The Form is compiled monthly by the portfolio manager. Data in the Form is filled in tenge.

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

Chapter 2. Instructions for completing the Form

4. Regarding Table 1:

1. in column 5, the name of the broker of the Republic of Kazakhstan, or an foreign broker, or a broker (member) accredited at the Astana International Exchange (Astana International Exchange) (hereinafter – AIX), to which the organization has submitted an order and/or instruction to conclude transactions (registration of operations) with financial instruments is indicated;

2. in column 6, the type of transaction (purchase, sale, redemption, coupon redemption, dividend payment, opening (closing) repo, opening (closing) reverse repo operation, conversion, primary placement, repurchase) is indicated;

3. in column 7, information is indicated in the following format:

“Unorganized” when concluding a transaction (performing an operation) on the unorganized securities market, registered in the central depository accounting system;

“International/name of stock exchange” when concluding a transaction (registration of an operation) in the trading system of an international (foreign) stock exchange;

“International/over-the-counter” when concluding a transaction (registration of an operation) on the international market outside the trading system of an international (foreign) stock exchange;

“IFC/AIX” when concluding a transaction (registration of an operation) within the territory of the Astana International Financial Center in the AIX trading system;

“IFC/over-the-counter” when concluding a transaction (registration of an operation) within the territory of the Astana International Financial Center outside the AIX trading system.

4. in column 8, the name of the issuer and the type of securities are indicated;

5. in columns 10 and 13, currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 “Codes for the presentation of currencies and funds”;

6. in column 12, the quantity of securities in pieces is indicated. Debt securities are indicated at the nominal value in the currency of issue;

7. in column 14, the price is indicated with an accuracy of four decimal places, reflected in the primary document confirming the transaction (broker report, confirmation received via the international interbank system for transmitting information and making payments SWIFT (SWIFT), sales contract, stock exchange document, payment documents), in tenge. The price of debt securities is reflected in percent of the nominal value with an accuracy of four decimal places, taking into account the accrued and unpaid reward. In the event of settlement for a transaction (except for transactions with debt securities) in foreign currency, this amount is reflected at the market exchange rate prevailing on the settlement date of the transaction;

8. in columns 15 and 16, prices for transactions on the purchase (sale) of shares (depositary receipts), concluded on international (foreign) stock exchanges, on which this financial instrument is traded, are indicated, based on data from Bloomberg (Bloomberg) or REUTERS (REUTERS) information-analytical systems in the currency of nominal value;

9. in column 18, the yield on securities in percent per annum is indicated (for a bond transaction – yield resulting from disposal or acquisition; for repo and “reverse repo” operations – yield resulting from the conclusion of a repo transaction);

10. in column 19, the transaction volume is indicated minus expenses related to the execution of the transaction, with an accuracy of two decimal places. In the event of payment for an acquired security in foreign currency, this amount is reflected at the market exchange rate prevailing on the settlement date of the transaction;

11. column 20 is completed for transactions concluded on international (foreign) securities markets;

12. transactions on the organized market of the Republic of Kazakhstan, concluded in the trading system of the trading organizer, are not indicated in the Form.

5. Regarding Table 2:

1. in column 3, in the event of making a deposit, the date of transfer of money from the client’s bank account to the bank account in the National Bank of the Republic of Kazakhstan or a second-tier bank is indicated, or the date of early repayment, in the event of termination of the contract – the date of return of money to the client’s bank account;

2. in column 5, deposit operations are indicated (depositing money into a deposit, payment of reward for a deposit, early return of a deposit, or return of a deposit upon expiration of the bank deposit contract);

3. in column 6, the amount of the operation for a deposit denominated in foreign currency is reflected at the market exchange rate prevailing on the date of the operation;

4. in column 10, currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 “Codes for the presentation of currencies and funds”;

5. in column 11, the deposit amount is indicated, taking into account the accrued reward for the deposit operation, with an accuracy of two decimal places. The amount of a deposit in foreign currency is reflected in tenge at the market exchange rate prevailing on the date of the operation;

6. Regarding Table 3:

1. in column 3, the date of the transaction (trade date) is indicated;

2. in column 6, the type of transaction (purchase, sale) is indicated;

3. in column 7, the names of the types of refined precious metals are indicated, indicating the type of metal account (allocated metal account or unallocated metal account);

4. in column 9, currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 “Codes for the presentation of currencies and funds”;

5. in column 11, the amount is indicated with an accuracy of two decimal places.

7. When completing the Form, foreign exchange assets of the National Bank and assets of the National Fund of the Republic of Kazakhstan, transferred to trust management, are not indicated.

8. Transactions indicated in the Form are not indicated in the Report on transactions (operations) with financial instruments concluded (registered) on the unorganized market of the Republic of Kazakhstan and international (foreign) securities markets, according to Appendix 15 to the Rules.

9. In the absence of information, the Form is submitted without completion.

Appendix 11

to the Rules for reporting by professional participants of the securities market and the Unified Accumulative Pension Fund

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on concluded transactions on investing own assets

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

Frequency: monthly

Reporting period: for _______________ 20 __ year

Circle of persons submitting the form intended for the collection of administrative data on a gratuitous basis: portfolio managers

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: monthly, no later than the 7 (seventh) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

Table 1. Securities acquired at the expense of own assets

(in tenge)

No.	Date of Transaction	Settlement Date	Name of Broker and/or Dealer	Type of Transaction	Market
1	2	3	4	5	6

continuation of the table:

Type of Security and Name of Issuer	Security Identification Number	Currency Code of Nominal Value	Nominal Value of One Security	Quantity of Securities	Currency Code of Payment
7	8	9	10	11	12

continuation of the table:

Purchase (Sale) Price per Security	Minimum Price per Security on the Transaction Date	Maximum Price per Security on the Transaction Date	Security Yield (in percent)	Transaction Volume	Counterparty Name
13	14	15	16	17	18

Table 2. Deposits in the National Bank of the Republic of Kazakhstan and second-tier banks

(in tenge)

No.	Date of Money Transfer	Bank Name	Deposit Operations	Operation Amount	Date of Conclusion and Number of Bank Deposit Contract	Deposit Term (in days)	Reward Rate (in percent per annum)	Currency Code of Deposit	Deposit Amount
1	2	3	4	5	6	7	8	9	10

Table 3. Refined precious metals acquired at the expense of own assets

(in tenge)

No.	Date of Transaction	Counterparty Name	Payment for Services	Type of Transaction	Type of Refined Precious Metal	Transaction Volume (units)	Currency Code of Payment	Purchase Price per Unit	Transaction Amount
1	2	3	4	5	6	7	8	9	10

Name ______________________________________

Address__________________________________________________________

Phone ______________________________________

Email Address _________________________

Executor ______________________________________ ________________

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

Head or person entrusted with the function of signing the report

---

surname, first name and patronymic (if any) signature

Date “____” ______________ 20 year

Note: the form is completed in accordance with the instructions for completing the form intended for the collection of administrative data on a gratuitous basis, “Report on concluded transactions on investing own assets.”

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, “Report on concluded transactions on investing own assets”

Instructions for completing the form intended for the collection of administrative data on a gratuitous basis

“Report on concluded transactions on investing own assets”

(index – 1-RCB_DEALINGS_SA, frequency – monthly)

Chapter 1. General Provisions

1. These instructions define the uniform requirements for completing the form intended for the collection of administrative data on a gratuitous basis, “Report on concluded transactions on investing own assets” (hereinafter – the Form).

2. The Form is compiled monthly by the portfolio manager. Data in the Form is filled in tenge.

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

Chapter 2. Instructions for completing the Form

4. Regarding Table 1:

1. in column 4, the name of the broker of the Republic of Kazakhstan, or an foreign broker, or a broker (member) accredited at the Astana International Exchange (Astana International Exchange) (hereinafter – AIX), to which the organization has submitted an order and/or instruction to conclude transactions (registration of operations) with financial instruments is indicated;

2. in column 5, the type of transaction (purchase, sale, redemption, coupon redemption, dividend payment, opening (closing) repo, opening (closing) reverse repo operation, conversion, primary placement, repurchase) is indicated;

3. in column 6, information is indicated in the following format:

“Unorganized” when concluding a transaction (performing an operation) on the unorganized securities market, registered in the central depository accounting system;

“International/name of stock exchange” when concluding a transaction (registration of an operation) in the trading system of an international (foreign) stock exchange;

“International/over-the-counter” when concluding a transaction (registration of an operation) on the international market outside the trading system of an international (foreign) stock exchange;

“IFC/AIX” when concluding a transaction (registration of an operation) within the territory of the Astana International Financial Center in the AIX trading system;

“IFC/over-the-counter” when concluding a transaction (registration of an operation) within the territory of the Astana International Financial Center outside the AIX trading system;

4. in column 7, the name of the issuer and the type of securities are indicated;

5. in columns 9 and 12, currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 “Codes for the presentation of currencies and funds”;

6. in column 11, the quantity of securities in pieces is indicated. Debt securities are indicated at the nominal value in the currency of issue;

7. in column 13, the price is indicated with an accuracy of four decimal places, reflected in the primary document confirming the transaction (broker report, confirmation received via the international interbank system for transmitting information and making payments SWIFT (SWIFT), sales contract, stock exchange document, payment documents), in tenge. The price of debt securities is reflected in percent of the nominal value with an accuracy of four decimal places, taking into account the accrued and unpaid reward. In the event of settlement for a transaction (except for transactions with debt securities) in foreign currency, this amount is reflected at the market exchange rate prevailing on the settlement date of the transaction;

8. in columns 14 and 15, prices for transactions on the purchase (sale) of shares (depositary receipts), concluded on international (foreign) stock exchanges, on which this financial instrument is traded, are indicated, based on data from Bloomberg (Bloomberg) or REUTERS (REUTERS) information-analytical systems in the currency of nominal value;

9. in column 16, the yield on securities in percent per annum is indicated (for a bond transaction – yield resulting from disposal or acquisition; for repo and “reverse repo” operations – yield resulting from the conclusion of a repo transaction);

10. in column 17, the transaction volume is indicated minus expenses related to the execution of the transaction, with an accuracy of two decimal places. In the event of payment for an acquired security in foreign currency, this amount is reflected at the market exchange rate prevailing on the settlement date of the transaction;

11. column 18 is completed for transactions concluded on international (foreign) securities markets;

12. transactions on the organized market of the Republic of Kazakhstan, concluded in the trading system of the trading organizer, are not indicated in the Form.

5. Regarding Table 2:

1. in column 2, in the event of making a deposit, the date of transfer of money from the portfolio manager’s bank account to the bank account in the National Bank of the Republic of Kazakhstan or a second-tier bank is indicated, or the date of early repayment or, in the event of termination of the contract – the date of return of money to the portfolio manager’s bank account;

2. in column 4, deposit operations are indicated (depositing money into a deposit, payment of reward for a deposit, early return of a deposit, or return of a deposit upon expiration of the bank deposit contract);

3. In column 5, the transaction amount for a deposit denominated in foreign currency is reflected at the market exchange rate prevailing on the transaction date;

4. In column 9, currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the Presentation of Currencies and Funds";

5. In column 10, the deposit amount is indicated, taking into account the accrued remuneration resulting from the deposit transaction, with an accuracy of two decimal places. The amount of the deposit in foreign currency is reflected in tenge at the market exchange rate prevailing on the transaction date;

6. Regarding Table 3:

1. In column 2, the transaction date (trade date) is indicated;

2. In column 5, the type of transaction (purchase, sale, and others) is indicated;

3. In column 6, the name of the types of refined precious metals is indicated, specifying the type of metal account (allocated metal account or unallocated metal account);

4. In column 8, currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the Presentation of Currencies and Funds";

5. In column 10, the amount is indicated with an accuracy of two decimal places.

7. When completing the Form for Gold and Foreign Exchange Assets of the National Bank and Assets of the National Fund of the Republic of Kazakhstan Transferred to Trust Management, these are not indicated.

8. In the absence of information, the Form is submitted without completion.

Appendix 12

to the Rules for Reporting by Professional Securities Market Participants and the Unified Accumulative Pension Fund

Form,

designed for the collection of administrative data

Submitted to: the National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on Completed Transactions on Investing Client and Own Assets in Derivative Financial Instruments

Index of the Form, designed for the collection of administrative data on a gratuitous basis: 1-RCB_PFI

Frequency: monthly

Reporting period: for _______________ 20 __ year

Circle of persons submitting the Form, designed for the collection of administrative data on a gratuitous basis: portfolio managers

Deadline for submitting the Form, designed for the collection of administrative data on a gratuitous basis: monthly, no later than the 7 (seventh) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

No.	Client Name	Transaction Date	Broker and/or Dealer Name	Date of Financial Instrument Registration	Settlement Date of Transaction	Type of Derivative Financial Instrument	Financial Instrument Identification Number
1	2	3	4	5	6	7	8
1	Total Pension Assets
1.1.
…
2	Total Assets of Investment Funds
2.1.
…
3	Total Other Assets
3.1.
…
4.	Total Own Assets
4.1.	x
…	x

continuation of the table:

Market	Underlying Asset and its Rating	Counterparty and its Rating	Description of Transaction Terms
Transaction Type	Quantity of Financial Instruments, in pieces	Transaction Price, in tenge	Transaction Amount, in thousands of tenge	Transaction Currency Code
9	10	11	12	13	14	15	16

continuation of the table:

Hedging Object	Number and Date of Investment Decision	Variation Margin on Transaction Date, in tenge	Initial Margin on Transaction Date, in percent	Trading Mode	Note
17	18	19	20	21	22

Name ______________________________________

Address__________________________________________________________

Telephone ______________________________________

Email Address _______________________

Executor ______________________________________ ________________

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

Head or Person Assigned the Function of Signing the Report

---

surname, first name and patronymic (if any) signature

Date “____” ______________ 20 year

Note: The form is completed in accordance with the instructions for completing the Form, designed for the collection of administrative data on a gratuitous basis, "Report on Completed Transactions on Investing Client and Own Assets in Derivative Financial Instruments."

Appendix

to the Form, designed for the collection of administrative data on a gratuitous basis, "Report on Completed Transactions on Investing Client and Own Assets in Derivative Financial Instruments"

Instructions for Completing the Form, designed for the collection of administrative data on a gratuitous basis

"Report on Completed Transactions on Investing Client and Own Assets in Derivative Financial Instruments" (index – 1-RCB_PFI, frequency – monthly)

Chapter 1. General Provisions

1. These instructions define the unified requirements for completing the Form, designed for the collection of administrative data on a gratuitous basis, "Report on Completed Transactions on Investing Client and Own Assets in Derivative Financial Instruments" (hereinafter – the Form).

2. The Form is compiled monthly by the portfolio manager. Data in the Form is filled in tenge.

3. The Form is signed by the head or the person assigned the function of signing the report, and the executor.

Chapter 2. Instructions for Completing the Form

4. In column 3, the transaction date is indicated in the format "dd.mm.yyyy".

5. In column 5, the registration date is indicated in the format "dd.mm.yyyy" on the date of initial recognition in accounting.

6. In column 6, the settlement date of the transaction is indicated in the format "dd.mm.yyyy".

7. In column 7, the type of derivative financial instrument (option, futures, forward, swap, and other derivative financial instruments) is indicated.

8. In column 8, the international identification number (ISIN code) or another identifier of the security is indicated in the event that the underlying asset of the derivative financial instrument is a security.

9. In column 9, the name of the trading organizer, in whose trading system the transaction was executed, and the country of its residency are indicated in the format "name of the stock exchange (country)" or that the transaction was not executed on a stock exchange in the format "unorganized market".

10. In column 10, the underlying asset of the derivative financial instrument (name of the security and its issuer, currency, remuneration rate, commodity, and other underlying assets) and the rating of the underlying asset on the transaction date, assigned by a rating agency (if any), are indicated in the format "underlying asset (rating) (rating agency)". In the event that the underlying asset has no ratings, the underlying asset is indicated and a statement that the rating is absent in the format "underlying asset (no rating)".

11. In column 11, in the event that the transaction was not executed on a stock exchange, the counterparty, the country of its residency, and the rating on the transaction date assigned to the counterparty are indicated in the format "counterparty/country/rating (rating agency)". In the event that the counterparty has no rating, information is indicated in the format "counterparty/country/no rating".

12. In column 12, the type of transaction (purchase, sale, and others) is indicated.

13. In column 16, currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the Presentation of Currencies and Funds".

14. In column 17, if the transaction was executed for hedging purposes, the word "yes" and the details of the hedging object (international identification number (ISIN code) or another identifier of the security, quantity, cost, volume, currency) are indicated in the format "yes/details of the hedging object". If the transaction was not executed for hedging purposes, the word "no" is indicated.

15. In column 18, the number and date of the investment committee's decision to execute the transaction are indicated.

16. In column 19, if available, the variation margin is indicated – the monetary expression of the change in the obligations of the trading participant, calculated by the stock exchange and taking into account the change in the quotation of the futures contract.

17. In column 20, if available, the initial margin is indicated – the share of the total market value of the underlying asset, determined by the stock exchange, which the client must contribute for each open position.

18. In column 21, the trading mode is indicated in the format T+0 or T+n, or another trading mode provided by the stock exchange rules is described.

19. In column 22, the conditions for the emergence of claims and obligations of the parties to the transaction are indicated.

20. When executing transactions involving the simultaneous execution of two operations (opening and closing) by the parties to the transaction, information on each operation is reflected in the Form.

21. When completing the Form, gold and foreign exchange assets of the National Bank and assets of the National Fund of the Republic of Kazakhstan, transferred to trust management, are not indicated.

22. In the absence of information, the Form is submitted without completion.

Appendix 13

to the Rules for Reporting by Professional Securities Market Participants and the Unified Accumulative Pension Fund

Form,

designed for the collection of administrative data

Submitted to: the National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on Completed Transactions on Investing Client and Own Assets with Affiliated Persons

Index of the Form, designed for the collection of administrative data on a gratuitous basis: 1-RCB_AFL

Frequency: monthly

Reporting period: for _______________ 20 __ year

Circle of persons submitting the Form, designed for the collection of administrative data on a gratuitous basis: portfolio managers

Deadline for submitting the Form, designed for the collection of administrative data on a gratuitous basis: monthly, no later than the 7 (seventh) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

(in tenge)

No.	Type of Assets, Client Name	Client Affiliation Status	Transaction Date	Established Settlement Date of Transaction	Actual Settlement Date of Transaction	Market	Transaction Type	Name of Counterparty to Transaction
1	2	3	4	5	6	7	8	9
1	Total Pension Assets
1.1.
…
2	Total Assets of Investment Funds
2.1.
…
3	Total Other Assets
3.1.
…
4.	Total Own Assets
4.1.
…
5.	Total Client Assets under Brokerage Services
5.1.
…

continuation of the table:

Counterparty Affiliation Status	Financial Instrument Parameters
Type of Financial Instrument	Name of Issuer who Issued (Provided) the Financial Instrument	Identification Number	Price per Unit	Quantity of Financial Instruments	Transaction Amount	Date of Bank Deposit Contract Expiration	Note
10	11	12	13	14	15	16	17	18

Name ______________________________________

Address__________________________________________________________

Telephone ______________________________________

Email Address _______________________

Executor ______________________________________ ________________

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

Head or Person Assigned the Function of Signing the Report

---

surname, first name and patronymic (if any) signature

Date “____” ______________ 20 year

Note: The form is completed in accordance with the instructions for completing the Form, designed for the collection of administrative data on a gratuitous basis, "Report on Completed Transactions on Investing Client and Own Assets with Affiliated Persons."

Appendix

to the Form, designed for the collection of administrative data on a gratuitous basis, "Report on Completed Transactions on Investing Client and Own Assets with Affiliated Persons"

Instructions for Completing the Form, designed for the collection of administrative data on a gratuitous basis

"Report on Completed Transactions on Investing Client and Own Assets with Affiliated Persons" (index – 1-RCB_AFL, frequency – monthly)

Chapter 1. General Provisions

1. These instructions define the unified requirements for completing the Form, designed for the collection of administrative data on a gratuitous basis, "Report on Completed Transactions on Investing Client and Own Assets with Affiliated Persons" (hereinafter – the Form).

2. The Form is compiled monthly by the portfolio manager. Data in the Form is filled in tenge.

3. The Form is signed by the head or the person assigned the function of signing the report, and the executor.

Chapter 2. Instructions for Completing the Form

4. The Form is completed for transactions executed in the reporting period at the expense of client assets (investment funds, pension assets, other clients, and clients under brokerage services) and own assets. Transactions on the organized market of the Republic of Kazakhstan, executed in the trading system of the trading organizer, are not indicated in the Form.

5. In column 3, the status is indicated, in accordance with which the client is recognized as an affiliated person in relation to the portfolio manager in accordance with Article 64 of the Law of the Republic of Kazakhstan "On Joint Stock Companies" (hereinafter – the Joint Stock Companies Law).

6. In column 4, the transaction date is indicated in the format "dd.mm.yyyy".

7. In column 5, the transaction execution date is indicated in accordance with the terms of the contract, agreement, or other document confirming the conclusion of the transaction.

8. In column 6, the actual settlement date of the transaction is indicated.

9. In column 7, information is indicated in the following format:

"Unorganized" when executing a transaction on the unorganized securities market, registered in the central depository's accounting system;

"International/stock exchange name" when executing a transaction in the trading system of an international (foreign) stock exchange;

"International/over-the-counter" when executing a transaction on the international market outside the trading system of an international (foreign) stock exchange;

"IFC/AIX" when executing a transaction within the territory of the Astana International Financial Centre in the trading system of the Astana International Exchange (AIX) (hereinafter – AIX);

"IFC/over-the-counter" when executing a transaction within the territory of the Astana International Financial Centre outside the AIX trading system.

10. In column 8, the type of transaction (purchase, sale, opening (closing) of a repo, opening (closing) of a reverse repo, primary placement, buyback, conclusion of a bank deposit contract) is indicated.

11. In column 9, the name of the counterparty to the transaction is indicated. In the event of concluding a bank deposit contract, the name of the bank in which the bank deposit is opened is indicated.

12. In column 10, the status is indicated, in accordance with which the counterparty is recognized as an affiliated person in relation to the organization carrying out investment management of client assets, in accordance with Article 64 of the Joint Stock Companies Law.

13. In columns 14 and 16, the price is indicated with an accuracy of four decimal places, the transaction volume with two decimal places, reflected in the primary document confirming the execution of the transaction (broker's report, confirmation received via the international interbank system for transmitting information and executing payments SWIFT, sales contract, stock exchange document), taking into account the accrued and unpaid remuneration (for debt securities). In the event of executing a transaction in foreign currency, the amount in the specified columns is reflected in tenge at the market exchange rate prevailing on the date of execution of the settlement of the transaction. The price of a debt financial instrument is reflected in column 14 as a percentage of the nominal value.

14. In column 15, the quantity of securities in pieces is indicated. Debt securities are indicated at the nominal value in the currency of issue.

15. In column 17, the expiration date of the bank deposit contract is indicated in the format "dd.mm.yyyy".

16. When completing the Form, gold and foreign exchange assets of the National Bank and assets of the National Fund of the Republic of Kazakhstan, transferred to trust management, are not indicated.

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

Appendix 14

to the Rules for Reporting by Professional Securities Market Participants and the Unified Accumulative Pension Fund

Form,

designed for the collection of administrative data

Submitted to: the National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on Compliance with Prudential Norms by Organizations Carrying Out Investment Portfolio Management and/or Brokerage and/or Dealer Activity in the Securities Market

Index of the Form, designed for the collection of administrative data on a gratuitous basis: K1_BD-UIP

Frequency: monthly

Reporting period: as of “_____” _______________ 20 __ year

Circle of persons submitting the Form, designed for the collection of administrative data on a gratuitous basis: portfolio managers, brokers and/or dealers

Deadline for submitting the Form, designed for the collection of administrative data on a gratuitous basis: monthly, no later than the 7 (seventh) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

Table 1. Liquid Assets

(in thousands of tenge)

No.	Indicator Name	Balance Sheet Amount	Accounted Volume (in percent)	Amount for Calculation
1	2	3	4	5
1	Cash and deposits in total, including:
1.1	cash in the amount not exceeding 10 (ten) percent of the total assets on the balance sheet of the organization carrying out investment portfolio management, brokerage and (or) dealing activities in the securities market (hereinafter – Organization)		100
1.2	cash in current accounts in second-level banks of the Republic of Kazakhstan, indicated in lines 1.9 and 1.10 of this table		100
1.3	cash in current accounts in second-level banks of the Republic of Kazakhstan, indicated in line 1.11 of this table		90
1.4	cash in accounts at the central depository operating in the territory of the Republic of Kazakhstan or functioning in the territory of the Astana International Financial Center		100
1.5	Organization's funds that are contributions to guarantee or reserve funds of a clearing organization (central counterparty), margin contributions, full and (or) partial collateral for the fulfillment of obligations under transactions concluded in the stock exchange trading system by open trading and (or) with the participation of a central counterparty		100
1.6	cash in current accounts in non-resident banks of the Republic of Kazakhstan having a long-term credit rating of no lower than 'BBB-' on the international scale of Standard & Poor's (Standard & Poor's) or a rating of a similar level of one of the other rating agencies		100
1.7	cash in accounts at non-resident organizations of the Republic of Kazakhstan carrying out functions established by paragraph 1 of Article 59 of the Law of the Republic of Kazakhstan 'On the Securities Market', having a long-term credit rating of no lower than 'BBB' on the international scale of Standard & Poor's (Standard & Poor's) or a rating of a similar level of one of the other rating agencies		100
1.8	cash in accounts at non-resident organizations of the Republic of Kazakhstan that are members of the International Securities Services Association (International Securities Services Association)		100
1.9	deposits in second-level banks of the Republic of Kazakhstan provided that these banks are issuers included in the 'premium' category of the 'stocks' sector of the 'Main' platform of the official list of the stock exchange, or issuers whose shares are in the representative list of the stock exchange index		100
1.10	deposits in second-level banks of the Republic of Kazakhstan meeting one of the following requirements: having a long-term credit rating of no lower than 'B' on the international scale of Standard & Poor's (Standard & Poor's) or a rating of a similar level of one of the other rating agencies, or a rating assessment of no lower than 'kzBB+' on the national scale of Standard & Poor's (Standard & Poor's), or a rating of a similar level on the national scale of one of the other rating agencies, are subsidiary banks-residents of the Republic of Kazakhstan whose parent banks-non-residents of the Republic of Kazakhstan have a long-term credit rating in foreign currency of no lower than 'A-' on the international scale of Standard & Poor's (Standard & Poor's) or a rating of a similar level of one of the other rating agencies		100
1.11	deposits in second-level banks of the Republic of Kazakhstan having a long-term credit rating of 'B-' on the international scale of Standard & Poor's (Standard & Poor's) or a rating of a similar level of one of the other rating agencies, or a rating from 'kzBB' to 'kzBB-' on the national scale of Standard & Poor's (Standard & Poor's), or a rating of a similar level on the national scale of one of the other rating agencies		90
1.12	deposits in international financial organizations having a long-term rating of no lower than 'AA-' by Standard & Poor's (Standard & Poor's) or a rating of a similar level of one of the other rating agencies, deposits in the Eurasian Development Bank in the national currency of the Republic of Kazakhstan		100
1.13	deposits in non-resident banks having a long-term rating of no lower than 'BBB-' on the international scale of Standard & Poor's (Standard & Poor's) or a rating of a similar level of one of the other rating agencies		100
2	Debt securities – in total, including:
2.1	state securities of the Republic of Kazakhstan, including those issued in accordance with the legislation of other states, issued by the Ministry of Finance of the Republic of Kazakhstan and the National Bank of the Republic of Kazakhstan		100
2.2	debt securities issued by local executive bodies of the Republic of Kazakhstan included in the official list of the stock exchange operating in the territory of the Republic of Kazakhstan		100
2.3	debt securities issued by a legal entity carrying out the buyout of mortgage loans of individuals not related to entrepreneurial activity, one hundred percent of the shares of which belong to the National Bank of the Republic of Kazakhstan		100
2.4	debt securities issued by joint stock companies 'Kazakhstan Development Bank', 'National Welfare Fund 'Samruk-Qazyna', 'National Managing Holding 'Baiterek', 'Problematic Credit Fund' in accordance with the legislation of the Republic of Kazakhstan and other states		100
2.5	non-state debt securities of legal entities of the Republic of Kazakhstan issued in accordance with the legislation of the Republic of Kazakhstan and other states, included in the 'debt securities' sector of the 'Main' platform of the official list of the stock exchange, or non-state debt securities of legal entities of the Republic of Kazakhstan admitted to public trading at the stock exchange operating in the territory of the Astana International Financial Center, meeting the requirements of the stock exchange for inclusion in the 'debt securities' sector of the 'Main' platform of the official list of the stock exchange		90
2.6	non-state debt securities issued by entities classified as small or medium-sized entrepreneurship according to the Entrepreneurial Code of the Republic of Kazakhstan, included in the 'debt securities' sector of the 'Main' or 'Alternative' platform of the official list of the stock exchange, and having a guarantee of the joint stock company 'Business Development Fund 'Damu' and (or) the joint stock company 'Kazakhstan Development Bank', the amount of which covers no less than 50 (fifty) percent of the nominal value of these non-state debt securities		95
2.7	non-state debt securities of legal entities of the Republic of Kazakhstan issued in accordance with the legislation of the Republic of Kazakhstan and other states, included in the 'debt securities' sector of the 'Alternative' platform of the official list of the stock exchange, or non-state debt securities of legal entities of the Republic of Kazakhstan admitted to public trading at the stock exchange operating in the territory of the Astana International Financial Center, meeting the requirements of the stock exchange for inclusion in the 'debt securities' sector of the 'Alternative' platform of the official list of the stock exchange		60
2.8	non-state debt securities of legal entities of the Republic of Kazakhstan issued in accordance with the legislation of the Republic of Kazakhstan and other states, having (the issuer of which has) a rating assessment of no lower than 'BB-' on the international scale of Standard & Poor's (Standard & Poor's) or a rating of a similar level of one of the other rating agencies, or a rating of no lower than 'kzA-' on the national scale of Standard & Poor's (Standard & Poor's), or a rating of a similar level on the national scale of one of the other rating agencies		100
2.9	non-state debt securities of legal entities of the Republic of Kazakhstan issued in accordance with the legislation of the Republic of Kazakhstan and other states, having (the issuer of which has) a rating assessment from 'B+' to 'B-' on the international scale of Standard & Poor's (Standard & Poor's) or a rating of a similar level of one of the other rating agencies, or a rating from 'kzBBB+' to 'kzBB-' on the national scale of Standard & Poor's (Standard & Poor's), or a rating of a similar level on the national scale of one of the other rating agencies		85
2.10	non-state debt securities issued by international financial organizations having an international rating of no lower than 'AA-' by Standard & Poor's (Standard & Poor's) or a rating of a similar level of one of the other rating agencies, as well as securities issued by the Eurasian Development Bank and denominated in the national currency of the Republic of Kazakhstan		100
2.11	debt securities of foreign states having a sovereign rating of no lower than 'BBB-' on the international scale of Standard & Poor's (Standard & Poor's) or a rating of a similar level of one of the other rating agencies		100
2.12	debt securities of foreign states having a sovereign rating from 'BB+' to 'BB-' on the international scale of Standard & Poor's (Standard & Poor's) or a rating of a similar level of one of the other rating agencies		90
2.13	debt securities of foreign states having a sovereign rating from 'B+' to 'B-' on the international scale of Standard & Poor's (Standard & Poor's) or a rating of a similar level of one of the other rating agencies		80
2.14	non-state debt securities of foreign issuers having (the issuer of which has) a rating assessment of no lower than 'BBB-' on the international scale of Standard & Poor's (Standard & Poor's) or a rating of one of the other rating agencies		100
2.15	non-state debt securities of foreign issuers having (the issuer of which has) a rating assessment from 'BB+' to 'BB-' on the international scale of Standard & Poor's (Standard & Poor's) or a rating of one of the other rating agencies		85
2.16	non-state debt securities of foreign issuers having (the issuer of which has) a rating assessment from 'B+' to 'B-' on the international scale of Standard & Poor's (Standard & Poor's) or a rating of one of the other rating agencies		70
3	Shares and depositary receipts – in total, including:
3.1	shares of legal entities of the Republic of Kazakhstan and foreign issuers included in the main stock indices, and depositary receipts, the underlying asset of which are these shares		100
3.2	shares of legal entities included in the official list of the stock exchange, meeting the requirements of the 'premium' category of the 'stocks' sector of the 'Main' platform of the official list of the stock exchange, and depositary receipts, the underlying asset of which are these shares		100
3.3	shares of legal entities – residents of the Republic of Kazakhstan included in the 'standard' category of the 'stocks' sector of the 'Main' platform of the official list of the stock exchange, or shares of legal entities – residents of the Republic of Kazakhstan included in the official list of the stock exchange operating in the territory of the Astana International Financial Center, admitted to public trading, and depositary receipts, the underlying asset of which are these shares, except for shares and depositary receipts, the underlying asset of which are these shares, indicated in line 3.4 of this table		80
3.4	shares of legal entities of the Republic of Kazakhstan included in the 'stocks' sector of the 'Alternative' platform of the official list of the stock exchange, or shares of legal entities of the Republic of Kazakhstan included in the subsection of the official list 'Segment of the Regional Stock Market' of the stock exchange operating in the territory of the Astana International Financial Center, admitted to public trading, and depositary receipts, the underlying asset of which are these shares		60
3.5	shares of legal entities of the Republic of Kazakhstan and foreign issuers having a rating assessment of no lower than 'BBB-' on the international scale of Standard & Poor's (Standard & Poor's) or a rating of a similar level of one of the other rating agencies, and depositary receipts, the underlying asset of which are these shares		100
3.6	shares of legal entities of the Republic of Kazakhstan and foreign issuers having a rating assessment from 'BB+' to 'BB-' on the international scale of Standard & Poor's (Standard & Poor's) or a rating of a similar level of one of the other rating agencies, and depositary receipts, the underlying asset of which are these shares		80
3.7	shares of legal entities of the Republic of Kazakhstan and foreign issuers having a rating assessment from 'B+' to 'B-' on the international scale of Standard & Poor's (Standard & Poor's) or a rating of a similar level of one of the other rating agencies, and depositary receipts, the underlying asset of which are these shares		60
4	Other securities – in total, including:
4.1	securities of investment funds included in the official list of the stock exchange		70
4.2	shares of Exchange Traded Funds (ETFs), the structure of which repeats the structure of one of the main stock indices, or whose pricing is linked to main stock indices		90
4.3	shares of Exchange Traded Funds (ETFs), Exchange Traded Commodities (ETCs), Exchange Traded Notes (ETNs), having a rating assessment of no lower than '3 stars' by Morningstar rating agency		80
4.4	securities that are the subject of a 'reverse repo' transaction concluded with the participation of a central counterparty		100
4.5	securities of investment funds, the asset composition of which is formed exclusively by non-state debt securities issued by entities classified as small or medium-sized entrepreneurship according to the Entrepreneurial Code of the Republic of Kazakhstan, for which there is a guarantee of the joint stock company 'Business Development Fund 'Damu' and (or) the joint stock company 'Kazakhstan Development Bank', the amount of which covers no less than 50 (fifty) percent of the nominal value of these non-state securities, included in the official list of the stock exchange		95
5	Other assets – in total, including:
5.1	refined precious metals and metal accounts		100
5.2	accounts receivable (except for accounts receivable of affiliated persons of the Organization) for accrued but unpaid commission remuneration in the course of professional activities in the securities market (not overdue under the terms of the contract) – in an amount not exceeding 10 (ten) percent of the total assets on the balance sheet of the Organization		100
5.3	claims against issuers of securities for the payment of the nominal value of securities arising from the expiration of their trading period provided by the securities issuance prospectus (not overdue under the terms of the securities issuance prospectus)		100
5.4	Organization's fixed assets in the form of real estate in an amount not exceeding 5 (five) percent of the total assets on the balance sheet of the Organization		100
	Total	X	X

Table 2. Calculation of prudential norms

(in thousands of tenge)

No.	Indicator Name	Value	Accounted Volume (in percent)	Amount for Calculation
1	2	3
6	Total liquid assets
6.1	Liquid assets (LA)
6.2	Highly liquid assets (HLA)
6.3	Securities that are the subject of a 'repo' transaction, (excluding state securities)		70
6.4	State securities with a maturity of up to 1 (one) year as of the calculation date, being the subject of a 'repo' transaction		95
6.5	State securities with a maturity of more than 1 (one) year as of the calculation date, being the subject of a 'repo' transaction		85
7	Total liabilities on the balance sheet, including:
7.1	up to 7 days
7.2	up to 30 days
7.3	up to 90 days
7.4	Liabilities for margin collateral
8	Minimum size of own capital (MSOC)
8.1	Operational risk associated with trust management of assets of Organization UIP
8.2	Operational risk associated with brokerage and (or) dealing activities of Organization BD
8.2.1	Size of average annual expenditure on the article 'penalty (fine, penalty)' of the Income Statement for the last 60 (sixty) months preceding the calculation date
8.2.2	Average annual volume of transactions concluded by brokers and (or) dealers, for the last 36 (thirty-six) months preceding the calculation date
8.3	Operational risk associated with trust management of pension assets of Organization_UIP_PA
9	Capital adequacy ratio
10.1	Quick liquidity ratio K2-1
10.2	Quick liquidity ratio K2-2
10.3	Quick liquidity ratio K2-3
10.4	Quick liquidity ratio K2-4

Name ______________________________________

Address__________________________________________________________

Phone ________________________________________

Email address _________________________

Executor ____________________________________ _______________

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

Head or person entrusted with the function of signing the report

---

surname, name and patronymic (if any) signature

Date «____» ______________ 20 year

Note: the form is filled out in accordance with the explanation for filling out the form intended for the collection of administrative data on a gratuitous basis, 'Report on the fulfillment of prudential norms by organizations carrying out investment portfolio management and (or) brokerage and (or) dealing activities in the securities market'.

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, 'Report on the fulfillment of prudential norms by organizations carrying out investment portfolio management and (or) brokerage and (or) dealing activities in the securities market'

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

'Report on the fulfillment of prudential norms by organizations carrying out investment portfolio management and (or) brokerage and (or) dealing activities in the securities market' (index – K1_BD-UIP, frequency – monthly)

Chapter 1. General Provisions

1. This explanation defines the unified requirements for filling out the form intended for the collection of administrative data on a gratuitous basis, 'Report on the fulfillment of prudential norms by organizations carrying out investment portfolio management and (or) brokerage and (or) dealing activities in the securities market' (hereinafter – Form).

2. The form is filled out monthly as of the end of the reporting period by the investment portfolio manager, broker and (or) dealer. Data in the Form are indicated 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.

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

Chapter 2. Explanation for filling out the Form

4. The form is filled out by organizations carrying out investment portfolio management activities in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 27, 2018 No. 79 'On establishing types of prudential norms for organizations carrying out investment portfolio management activities, approving rules and methodology for calculating values of prudential norms mandatory for compliance by organizations carrying out investment portfolio management activities' (registered in the Registry of State Registration of Normative Legal Acts under No. 17008), organizations carrying out brokerage and (or) dealing activities in the securities market, in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 27, 2018 No. 80 'On establishing types of prudential norms for organizations carrying out brokerage and (or) dealing activities in the securities market, approving rules and methodology for calculating values of prudential norms mandatory for compliance by organizations carrying out brokerage and (or) dealing activities in the securities market' (registered in the Registry of State Registration of Normative Legal Acts under No. 17005).

5. For the purposes of filling out the Form, in addition to rating assessments by Standard & Poor's (Standard & Poor's) rating agency, rating assessments by Moody's Investors Service (Moody's Investors Service) and Fitch (Fitch) agencies are recognized under rating assessments of other rating agencies in accordance with the Resolution of the Board of the Agency for Regulation and Development of the Financial Market of the Republic of Kazakhstan dated April 14, 2026 No. 64 'On establishing the minimum rating for legal entities and states, the presence of which is required in accordance with the legislation of the Republic of Kazakhstan regulating the activities of financial organizations, branches of non-resident banks of the Republic of Kazakhstan, branches of non-resident insurance (reinsurance) organizations, the list of rating agencies assigning this rating' (registered in the Registry of State Registration of Normative Legal Acts under No. 38437).

6. If a financial instrument meets two or more criteria established by the Form, the Organization independently establishes the category of the financial instrument.

7. Fixed assets in the form of real estate of the Organization, indicated in line 5.4 of Table 1, are included in the calculation of prudential norms in the amount of 100 (one hundred) percent of the smallest value of the book and market values.

For the purpose of determining the market value of fixed assets taken into account in the calculation of prudential norms, the Organization conducts an assessment of their value by an appraiser no less than once a year.

8. Column 3 of Table 1 is filled with data as of the end of the last calendar day of the reporting period.

9. Column 5 of Table 1 is filled with the amount for calculation as of the end of the last calendar day of the reporting period, calculated as the product of the data indicated in columns 3 and 4 of Table 1.

10. Column 3 of Table 2, lines 9, 10.1, 10.2, 10.3 and 10.4 values are filled with accuracy to three decimal places.

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

Appendix 15

to the Rules for reporting by professional participants of the securities market and the unified accumulative pension fund

Form,

intended for the collection of administrative data

Presented to: National Bank of the Republic of Kazakhstan

Form intended for the collection of administrative data on a gratuitous basis, posted on the website: www.nationalbank.kz

Name of the administrative form: Report on Transactions (Operations) with Financial Instruments Executed (Registered) on the Unorganized Market of the Republic of Kazakhstan and International (Foreign) Securities Markets

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

Frequency: Monthly

Reporting Period: for _______________ 20__ year

List of persons submitting the form intended for the collection of administrative data on a gratuitous basis: brokers and (or) dealers

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: monthly, no later than the 7 (seventh) working day of the month following the reporting month

BIN: _______________________

Collection Method: in electronic form

No.	Date of Transaction (Operation) Conclusion (Registration)	Established Settlement Date for the Transaction	Actual Settlement Date for the Transaction	Type of Transaction	Issuer Name	Issuer Country of Residence
1	2	3	4	5	6	7

continuation of the table:

Type of Financial Instrument	Identification Number of the Financial Instrument	Nominal Value of One Financial Instrument in the Currency of Issue	Rating of the Financial Instrument	Quantity of Financial Instruments
8	9	10	11	12

continuation of the table:

Net Price per One Financial Instrument	Gross Price per One Financial Instrument		Transaction Volume		Currency Code of Nominal Value	Currency Code of Payment	Market	Broker Name	Broker Country of Residence
in foreign currency	in tenge	in foreign currency	in tenge
13	14	15	16	17	18	19	20	21	22

continuation of the table:

Information on Transaction Participant
Surname, First Name, and Patronymic (if any) of a Physical Person or Name of a Legal Entity	Country of Residence	Individual Identification Number, Business Identification Number, or Other Identification Number (for non-residents of the Republic of Kazakhstan)	Participant Code	In what capacity the organization participated in the transaction (operation)
23	24	25	26	27

continuation of the table:

Information on Counterparty (Counterparty) Participant
Surname, First Name, and Patronymic (if any) of a Physical Person or Name of a Legal Entity	Country of Residence	Individual Identification Number, Business Identification Number, or Other Identification Number (for non-residents of the Republic of Kazakhstan)	Participant Code	In what capacity the organization participated in the transaction (operation)
28	29	30	31	32

continuation of the table:

Name of Custodian Bank (if any)	Name of Foreign Nominee Holder (if any)	Name of Settlement-Depository System (if any)	Note
33	34	35	36

Name ______________________________________

Address__________________________________________________________

Phone ______________________________________

Email Address _________________________

Executor ____________________________________ _______________

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

Head or Person Assigned the Function of Signing the Report

---

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

Date “____” ______________ 20 year

Note: The form is completed in accordance with the instructions for completing the form intended for the collection of administrative data on a gratuitous basis, “Report on Transactions (Operations) with Financial Instruments Executed (Registered) on the Unorganized Market of the Republic of Kazakhstan and International (Foreign) Securities Markets.”

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, “Report on Transactions (Operations) with Financial Instruments Executed (Registered) on the Unorganized Market of the Republic of Kazakhstan and International (Foreign) Securities Markets”

Instructions for Completing the Form Intended for the Collection of Administrative Data on a Gratuitous Basis

“Report on Transactions (Operations) with Financial Instruments Executed (Registered) on the Unorganized Market of the Republic of Kazakhstan and International (Foreign) Securities Markets” (index – 1-RCB_DEALINGS_BD, frequency – monthly)

Chapter 1. General Provisions

1. These instructions define the unified requirements for completing the form intended for the collection of administrative data on a gratuitous basis, “Report on Transactions (Operations) with Financial Instruments Executed (Registered) on the Unorganized Market of the Republic of Kazakhstan and International (Foreign) Securities Markets” (hereinafter – Form).

2. The Form is compiled monthly by a broker and (or) dealer.

3. The Form is signed by the head or person assigned the function of signing the report, and the executor.

Chapter 2. Instructions for Completing the Form

4. The Form is filled out for transactions (operations) executed in the reporting period, involving the transfer of ownership of securities, as well as operations related to the conversion of securities.

5. In column 2, the date of transaction conclusion (execution of the operation in the nominal holding accounting system in case the transaction is executed by a client without a broker) is indicated in the format “dd.mm.yyyy”.

6. In column 3, the settlement date of the transaction according to the terms of the contract, agreement, or other document confirming the conclusion of the transaction is indicated in the format “dd.mm.yyyy”.

7. In column 4, the actual settlement date of the transaction is indicated in the format “dd.mm.yyyy”.

8. Columns 3, 4, and 11 are not filled out if the organization acted as a nominal holder.

9. In columns 7, 22, 24, and 29, the country of residence is indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK ISO 3166-1-2016 “Codes for the Representation of Names of Countries and Their Administrative-Territorial Divisions. Part 1. Country Codes”.

10. In column 11, the rating assigned to the financial instrument, debt security, equity security, or the rating of the issuer of the equity security (in case of the absence of a rating for the equity security, the rating of the issuer of the equity security is indicated) on the date of transaction conclusion is indicated. In case the financial instrument, debt security, equity security (issuer of the equity security) is assigned ratings by multiple rating agencies, all assigned ratings are indicated. Ratings are indicated in the format “rating (rating agency)”. In case the financial instrument, debt security, equity security (issuer of the equity security) has no ratings, the word “no” is indicated.

11. In column 12, the quantity of securities in pieces is indicated. Debt securities are indicated by nominal value in the currency of issue.

12. In column 13, the price of the debt security is indicated in percentage terms of the nominal value with an accuracy of four decimal places, excluding accrued and unpaid remuneration.

13. In columns 14, 15, 16, and 17, the price with an accuracy of four decimal places, transaction volume up to two decimal places, reflected in the primary document confirming the execution of the transaction (broker’s report, confirmation received via the international interbank system for transmitting information and executing payments SWIFT, sales contract, stock exchange document, payment documents), including accrued and unpaid remuneration (for debt securities), are indicated. The price of the debt financial instrument is reflected in columns 14 or 15 (depending on the currency of issue of the financial instrument) in percentage terms of the nominal value with an accuracy of four decimal places, including accrued and unpaid remuneration.

When settling transactions with financial instruments in foreign currency, columns 14, 15, 16, and 17 are filled out. In case the transaction is executed in foreign currency, this amount is reflected at the market exchange rate prevailing on the date of settlement of the transaction, while column 15 is not filled out for financial instruments whose price is expressed in percentage terms of the nominal value. When executing a transaction in national currency, columns 15 and 17 are filled out. The transaction volume is indicated minus expenses related to the execution of the transaction, with an accuracy of two decimal places.

14. In columns 18, 19, currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 “Codes for the Representation of Currencies and Funds”.

15. In column 20, information is indicated in the following format:

“Unorganized” when concluding a transaction (executing an operation) on the unorganized securities market, registered in the nominal holding accounting system;

“International/stock exchange name” when concluding a transaction (registering an operation) in the trading system of an international (foreign) stock exchange;

“International/over-the-counter” when concluding a transaction (registering an operation) on the international market outside the trading system of an international (foreign) stock exchange;

“IFC/AIX” when concluding a transaction (registering an operation) within the territory of the International Financial Center “Astana” in the trading system of the Astana International Exchange (AIX) (hereinafter – AIX);

“IFC/over-the-counter” when concluding a transaction (registering an operation) within the territory of the International Financial Center “Astana” outside the AIX trading system.

16. Column 21 is filled out if the organization submits orders and (or) instructions to conclude transactions (register operations) with financial instruments to another broker of the Republic of Kazakhstan, or to a foreign broker, or to a broker (member) accredited on AIX.

17. In columns 23 and 28, the surname, first name, and patronymic (if any), name of the transaction participant, client of the organization, on whose behalf, at whose expense, and in whose interests the transaction was concluded (operation registered), are indicated.

In case of executing an open (close) repo operation, the buyer is the acquirer of securities, with a note about the type “repo operation” made in column 36.

18. In columns 26 and 31, the “unique code” of the client (if any), assigned by the central depository in accordance with the rules for carrying out registrar and depository activities of the central depository, is indicated.

19. In columns 27 and 32, the following symbols are used:

“A” in case the organization acted as an underwriter, including by the “firm commitment” method;

“B” in case the organization acted as a broker;

“D” in case the organization acted as a dealer;

“M” in case the organization acted as a market-maker;

“ND” in case the organization acted as a nominal holder.

In case the organization acted as one of the parties to the transaction (operation) simultaneously as a broker (dealer) and underwriter, or as a broker (dealer) and market-maker, then in columns 27 and 31, only the symbol “A” or “M” is indicated, respectively. In columns 24, 25, and 26, the details of the organization are indicated if the organization acted in its own interests and at its own expense, or the details of the client if the organization acted on behalf, at the expense, and in the interests of the client, and the details of the counterparty (counterparty) to the transaction (operation) are indicated in columns 29, 30, and 31. In the absence of information about the counterparty (counterparty), this information is not filled out.

20. Columns 33, 34, and 35 are filled out when concluding transactions (registering operations) on the international (foreign) securities market.

21. In columns 7, 22, and 24, for a legal entity, the country and (or) territory in which it is registered is filled out; for a physical person – citizenship.

22. When reflecting operations related to the conversion of securities in the Form, columns 4, 6, 7, 8, 9, 12, and 36 are filled out.

Information about the conversion operation is provided regarding securities obtained as a result of conversion.

In column 4, the date of obtaining securities as a result of conversion is indicated.

In column 36, the type of operation “conversion” is indicated.

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

Appendix 16

to the Rules for Reporting by Securities Market Professionals and the Unified Accumulative Pension Fund

Form,

intended for the collection of administrative data

Presented to: National Bank of the Republic of Kazakhstan

Form intended for the collection of administrative data on a gratuitous basis, posted on the website: www.nationalbank.kz

Name of the administrative form: Information on the Organization Holding a License to Conduct Broker and (or) Dealer Activities on the Securities Market of the Republic of Kazakhstan

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

Frequency: Quarterly

Reporting Period: as of “___” _______________ 20 year

List of persons submitting the form intended for the collection of administrative data on a gratuitous basis: brokers and (or) dealers

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: quarterly, no later than the last day of the month following the reporting quarter

BIN: _______________________

Collection Method: in electronic form

No.	Name of Indicator	Information
1	Information on persons owning ten percent or more of voting shares (ten percent or more of participation shares in the authorized capital) of the organization: 1) residents: for a legal entity: name of the legal entity, information on state (re)registration of the legal entity, business identification number, ratio of the number of shares owned by the legal entity to the total number of voting shares of the organization or participation share in the authorized capital of the organization (in percent), date of obtaining status; for a physical person: surname, first name, and patronymic (if any), date of birth, ratio of the number of shares owned by the physical person to the total number of voting shares of the organization or participation share in the authorized capital of the organization (in percent), date of obtaining status; 2) non-residents: for a legal entity: name of the legal entity, postal address and (or) place of registration and location of the legal entity (in case the legal entity is registered in an offshore zone, this offshore zone is indicated 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 Securities Market Professionals and Other Licensed Types of Activities on the Securities Market, Activities of Investment Funds and Activities of Organizations Carrying Out Microfinance Activities”, (registered in the Registry of State Registration of Normative Legal Acts under No. 20095), ratio of the number of shares owned by the legal entity to the total number of voting shares of the organization or participation share in the authorized capital of the organization (in percent), date of obtaining status; for a physical person: surname, first name, and patronymic (if any), citizenship, legal address and (or) place of residence; ratio of the number of shares owned by the physical person to the total number of voting shares of the organization or participation share in the authorized capital of the organization (in percent), date of obtaining status
2	Information on the composition of the board of directors (surname, first name, and patronymic (if any), position held, date and number of the decision on election to the board of directors, date of inclusion in the composition)
3	Information on the composition of the management board (surname, first name, and patronymic (if any), position held, date and number of the decision on election to the management board, date of inclusion in the composition)
4	Information on the composition of the investment committee, which makes investment decisions regarding the organization’s own assets as of the reporting date, elected by the executive body (surname, first name, and patronymic (if any), position held, date and number of the decision on election to the investment committee, from what date the employee was included in the composition of the investment committee)
5	Information on employees participating in the conduct of broker and (or) dealer activities on the securities market (surname, first name, and patronymic (if any), position held, date of employment)
6	Information on the number of clients – physical persons, including non-residents; Information on the number of clients – legal entities, including non-residents; Information on the number of clients recognized as qualified investors, including non-residents; Information on the number of branches
7	Name of securities market participants with whom the organization has concluded contracts for providing professional services on the securities market, valid as of the reporting date: date of conclusion of the contract (additional agreement); type of service(s) provided to the organization under the concluded contract

Name ______________________________________

Address__________________________________________________________

Phone ______________________________________

Email Address _________________________

Executor ____________________________________ _______________

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

Head or Person Assigned the Function of Signing the Report

---

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

Date “____” ______________ 20 year

Note: The form is completed in accordance with the instructions for completing the form intended for the collection of administrative data on a gratuitous basis “Information on the Organization Holding a License to Conduct Broker and (or) Dealer Activities on the Securities Market of the Republic of Kazakhstan.”

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, “Information on the Organization Holding a License to Conduct Broker and (or) Dealer Activities on the Securities Market of the Republic of Kazakhstan”

Instructions for Completing the Form Intended for the Collection of Administrative Data on a Gratuitous Basis,

“Information on the Organization Holding a License to Conduct Broker and (or) Dealer Activities on the Securities Market of the Republic of Kazakhstan” (index – 1-RCB_SVED_BD, frequency – quarterly)

Chapter 1. General Provisions

1. These instructions define the unified requirements for completing the form intended for the collection of administrative data on a gratuitous basis “Information on the Organization Holding a License to Conduct Broker and (or) Dealer Activities on the Securities Market of the Republic of Kazakhstan” (hereinafter – Form).

2. The Form is compiled quarterly by a broker and (or) dealer.

3. The Form is signed by the head or person assigned the function of signing the report, and the executor.

Chapter 2. Instructions for Completing the Form

4. Rows 2, 3, 4, and 5 are not filled out by a second-level bank holding a license to conduct broker and (or) dealer activities on the securities market, and the National Post Operator.

5. Row 6 is not filled out by a voluntary accumulative pension fund holding a license to conduct broker and (or) dealer activities on the securities market.

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

Appendix 17

to the Rules for Reporting by Securities Market Professionals and the Unified Accumulative Pension Fund

Form,

intended for the collection of administrative data

Presented to: National Bank of the Republic of Kazakhstan

Form intended for the collection of administrative data on a gratuitous basis, posted on the website: www.nationalbank.kz

Name of the administrative form: Information on Users of the Automated Algorithmic Trading System, Conducted at the Expense of Client Assets and Own Assets

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

Frequency: Quarterly

Reporting Period: for _______________ 20__ year

List of persons submitting the form intended for the collection of administrative data on a gratuitous basis: brokers and (or) dealers

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: quarterly, no later than the last day of the month following the reporting quarter

BIN: _______________________

Collection Method: in electronic form

No.	Surname, First Name, and Patronymic (if any) or Name of User	User Country of Residence	Client Affiliation Indicator	Sub-account Number	Date of Start of Algorithmic Trading	Strategy Description	Identification Data of the Automated System	Investment Recommendation (yes, no)	Market
1	2	3	4	5	6	7	8	9	10

Name ______________________________________

Address__________________________________________________________

Phone ______________________________________

Email Address _________________________

Executor ____________________________________ _______________

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

Head or Person Assigned the Function of Signing the Report

---

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

Date “____” ______________ 20 year

Note: The form is completed in accordance with the instructions for completing the form intended for the collection of administrative data on a gratuitous basis, “Information on Users of the Automated Algorithmic Trading System, Conducted at the Expense of Client Assets and Own Assets.”

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, “Information on Users of the Automated Algorithmic Trading System, Conducted at the Expense of Client Assets and Own Assets”

Instructions for Completing the Form Intended for the Collection of Administrative Data on a Gratuitous Basis

“Information on Users of the Automated Algorithmic Trading System, Conducted at the Expense of Client Assets and Own Assets” (index – 1-RCB_ALGO, frequency – quarterly)

Chapter 1. General Provisions

1. This clarification defines the uniform requirements for completing the form intended for the collection of administrative data on a gratuitous basis, "Information on Users of the Automated Algorithmic Trading System Conducted Using Client Assets and Own Assets" (hereinafter – the Form).

2. The Form is compiled quarterly by a broker and/or dealer. Data in the Form is filled in tenge.

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

Chapter 2. Clarification on Filling the Form

4. The Form is filled out by users utilizing an automated system for placing and managing orders for the conclusion of transactions with financial instruments according to a specified algorithm (algorithmic trading) using client assets and/or the broker's and/or dealer's own assets.

5. In column 3, the country of residence is indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK ISO 3166-1-2016 "Codes for the representation of names of countries and their administrative-territorial subdivisions. Part 1. Country codes".

6. In column 4, the status indicating whether the client is recognized as an affiliated person of the broker and/or dealer holding a license to carry out investment portfolio management activities, in accordance with Article 64 of the Law of the Republic of Kazakhstan "On Joint Stock Companies", is indicated.

7. In column 6, the start date of the algorithmic strategy is indicated in the format "dd.mm.yyyy".

8. In column 7, a detailed description of the investment strategy using algorithmic trading is indicated.

9. In column 8, identification data of the automated system developed for managing orders for the conclusion of transactions (developer, country of origin, methods of integration with the broker's and/or dealer's platform) are indicated.

10. In column 10, information is indicated in the following format:

"Organized Market" when concluding transactions at JSC "Kazakhstan Stock Exchange";

"International/stock exchange name" when concluding a transaction (registering an operation) in the trading system of an international (foreign) stock exchange;

"IFC/AIX" when concluding a transaction (registering an operation) within the territory of the Astana International Financial Center in the trading system of the Astana International Exchange (hereinafter – AIX).

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

Appendix 18

to the Rules for Reporting by Securities Market Professionals and the Unified Accumulative Pension Fund

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on Transactions with Derivative Financial Instruments

Index of the form intended for the collection of administrative data on a gratuitous basis: 1-RCB_PFI_2

Frequency: quarterly

Reporting period: for _______________ 20__ year

List of persons submitting the form intended for the collection of administrative data on a gratuitous basis: brokers and/or dealers

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: quarterly, no later than the last day of the month following the reporting quarter

BIN: _______________________

Collection method: in electronic form

(in tenge)

No.	Date and time of transaction conclusion	Date of financial instrument registration with the broker and/or dealer	Date of settlement for the transaction	Type of derivative financial instrument	Identification number of the financial instrument	Market	Underlying asset and its rating	Central Counterparty
1	2	3	4	5	6	7	8	9

continuation of the table:

Counterparty and its rating	Description of transaction terms					Hedging Object
Type of transaction	Quantity of financial instruments	Transaction Price	Transaction Volume	Currency Code of Transaction
10	11	12	13	14	15	16

continuation of the table:

Role in the transaction	Number, date and time of registration of the client order	Surname, name and patronymic (if any) or name and country of residence of the client	Variation margin on the date of transaction conclusion, in tenge	Initial margin on the date of transaction conclusion, in percent	Trading Mode	Status of obligations under the transaction	Note
17	18	19	20	21	22	23	24

Name ______________________________________

Address__________________________________________________________

Phone ______________________________________

Email Address _________________________

Executor ____________________________________ _______________

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

Head or person authorized to sign the report

---

surname, name and patronymic (if any) signature

Date "____" ______________ 20 year

Note: the form is filled out in accordance with the clarification on filling the form intended for the collection of administrative data on a gratuitous basis, "Report on Transactions with Derivative Financial Instruments".

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, "Report on Transactions with Derivative Financial Instruments"

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

"Report on Transactions with Derivative Financial Instruments" (index – 1-RCB_PFI_2, frequency – quarterly)

Chapter 1. General Provisions

1. This clarification defines the uniform requirements for completing the form intended for the collection of administrative data on a gratuitous basis, "Report on Transactions with Derivative Financial Instruments" (hereinafter – the Form).

2. The Form is compiled quarterly by a broker and/or dealer. Data in the Form is filled in tenge.

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

Chapter 2. Clarification on Filling the Form

4. When filling columns 2, 3, and 4, the date of transaction conclusion, the date of financial instrument registration with the broker and/or dealer in the internal accounting system, and the date of settlement for the transaction are indicated in the format "dd.mm.yyyy". The time of transaction conclusion is indicated in the format "hours/minutes/seconds" (for a transaction concluded on an organized market).

5. Column 3 reflects the date of initial recognition in accounting.

6. In column 5, the type of derivative financial instrument (option, futures, forward, swap, and other derivative financial instruments) is indicated.

7. Column 6 is filled if the underlying asset of the derivative financial instrument is a security.

8. In column 7, the name of the stock exchange in whose trading system the transaction was concluded, and its country of residence in the format "exchange name/country" or that the transaction was not concluded on a stock exchange in the format "unorganized market" is indicated.

9. In column 8, the underlying asset of the derivative financial instrument (name of the security and its issuer, currency, interest rate, commodity, and other underlying assets) and the rating of the underlying asset assigned by a rating agency (if any) in the format "underlying asset/rating (rating agency)" are indicated. If the underlying asset has no ratings, the underlying asset is indicated along with a statement that no rating exists in the format "underlying asset/no rating".

10. In column 9, the word "yes" is indicated if a transaction involving a central counterparty was concluded on a stock exchange. The word "no" is indicated if a transaction without the participation of a central counterparty was concluded on a stock exchange.

11. In column 10, if the transaction was not concluded on a stock exchange, the counterparty, its country of residence, and the rating assigned to the counterparty in the format "counterparty/country/rating (rating agency)" are indicated. If the counterparty has no rating, information is indicated in the format "counterparty/country/no rating".

12. In column 15, currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the representation of currencies and funds".

13. When filling column 16, if the transaction was concluded for hedging purposes, the word "yes" and the details of the hedging object (international identification number (ISIN code) or other identifier of the security, quantity, cost, volume, currency) are indicated in the format "yes/details of hedging object". If the transaction was not concluded for hedging purposes, the word "no" is indicated.

14. In column 17, the symbol "B" is indicated if the organization holding a license to carry out brokerage and dealing activities in the securities market acted as a broker, and the symbol "D" if the organization holding a license to carry out brokerage and dealing activities in the securities market acted as a dealer.

15. When filling column 18, if a transaction was concluded by an organization holding a license to carry out brokerage and dealing activities in the securities market within dealing activities, as well as in the case of concluding a transaction by a voluntary accumulated pension fund (using pension assets) or an investment portfolio manager (using client assets) holding a license to carry out brokerage and/or dealing activities in the securities market, the number and date of the investment committee's decision to conclude the transaction are indicated.

16. In column 19, if the organization holding a license to carry out brokerage and dealing activities in the securities market acted as a broker, information is indicated in the format "surname, name and patronymic (if any) or client name/country" and the surname, name and patronymic (if any) or name of the client of this broker, on whose behalf and in whose interests the transaction was concluded, and the country of their residence are indicated.

Voluntary accumulated pension funds holding a license to carry out brokerage and/or dealing activities do not fill this column when concluding transactions using pension assets.

17. In column 20, variation margin is indicated – the monetary expression of the change in the obligations of the market participant, calculated by the stock exchange and taking into account the change in the quotation of the futures contract.

18. In column 21, initial margin is indicated – the share of the total market value of the underlying asset, determined by the stock exchange, which the client must deposit for each open position.

19. In column 22, the trading mode is indicated in the format T+0 or T+n, or another trading mode provided by the stock exchange rules is described.

20. In column 23, one of the following statuses of the transaction is indicated:

1. obligations terminated properly or terminated early, except for early termination of the transaction due to violations of the transaction terms or events related to the insolvency of one of the parties;

2. obligation performance is overdue;

3. obligation performance is suspended on grounds provided by the contract;

4. obligations terminated due to violation by the party of the transaction terms or events related to the insolvency of one of the parties;

5. extension of the performance period of the transaction as a result of the occurrence of a specified circumstance or event.

21. In column 24, the place of transaction conclusion is indicated.

22. Transactions with depositary receipts are not included in the Form.

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

Appendix 19

to the Rules for Reporting by Securities Market Professionals and the Unified Accumulative Pension Fund

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on Balances of Money in Broker Accounts

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

Frequency: quarterly

Reporting period: as of "___" _______________ 20 year

List of persons submitting the form intended for the collection of administrative data on a gratuitous basis: brokers and/or dealers

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: quarterly, no later than the last day of the month following the reporting quarter

BIN: _______________________

Collection method: in electronic form

(in tenge)

Date	Balance of own money
Total	Including by currency types
Tenge	US Dollar	Euro	British Pound	Swiss Franc	Yuan, Renminbi	Russian Ruble
1	2	3	4	5	6	7	8	9

continuation of the table:

Balance of money in client accounts
Total	Including by currency types
Tenge	US Dollar	Euro	British Pound	Swiss Franc	Yuan, Renminbi	Russian Ruble
10	11	12	13	14	15	16	17

Name ______________________________________

Address__________________________________________________________

Phone ______________________________________

Email Address _________________________

Executor ____________________________________ _______________

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

Head or person authorized to sign the report

---

surname, name and patronymic (if any) signature

Date "____" ______________ 20 year

Note: the form is filled out in accordance with the clarification on filling the form intended for the collection of administrative data on a gratuitous basis, "Report on Balances of Money in Broker Accounts".

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, "Report on Balances of Money in Broker Accounts"

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

"Report on Balances of Money in Broker Accounts" (index – 1-RCB_OSTATOK_DS, frequency – quarterly)

Chapter 1. General Provisions

1. This clarification defines the uniform requirements for completing the form intended for the collection of administrative data on a gratuitous basis, "Report on Balances of Money in Broker Accounts" (hereinafter – the Form).

2. The Form is compiled quarterly by a broker and/or dealer. Data in the Form is filled in tenge.

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

Chapter 2. Clarification on Filling the Form

4. The Form is filled in tenge at the market exchange rate of currencies on the reporting date.

5. Second-level banks holding a license to carry out brokerage and/or dealing activities in the securities market do not fill columns 2, 3, 4, 5, 6, 7, 8, and 9.

6. When filling columns 10, 11, 12, 13, 14, 15, 16, and 17, the balance of money in bank accounts of clients opened for concluding transactions with securities and other financial instruments on behalf and in the interests of the client is indicated.

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

Appendix 20

to the Rules for Reporting by Securities Market Professionals and the Unified Accumulative Pension Fund

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on Services Provided by Broker and/or Dealer

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

Frequency: quarterly

Reporting period: for _______________ 20__ year

List of persons submitting the form intended for the collection of administrative data on a gratuitous basis: brokers and/or dealers

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: quarterly, no later than the last day of the month following the reporting quarter

BIN: _______________________

Collection method: in electronic form

No.	Type of Service	Name of Issuer (Client)	Date of Contract Conclusion	Date of Service Start	Date of Contract Termination
1	2	3	4	5	6
1	Services to Issuer on Issuance and Placement of Securities as Underwriter or as Part of Issuance Consortium
2	Services to Issuer on Announcing and Maintaining Quotations for Financial Instruments in Accordance with Internal Stock Exchange Documents
3	Provision of Advisory Services to Issuer on Issues of Inclusion and Presence of Securities in the Official List of the Stock Exchange
4	Services of Bondholder Representative
5	Services of Islamic Securities Holder Representative
	Total

continuation of the table:

Identification Number of Financial Instrument	Name of Financial Instrument	Method of Placement of Securities in Accordance with Contract	Note
7	8	9	10

Name ______________________________________

Address__________________________________________________________

Phone ______________________________________

Email Address _________________________

Executor ____________________________________ _______________

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

Head or person authorized to sign the report

---

surname, name and patronymic (if any) signature

Date "____" ______________ 20 year

Note: the form is filled out in accordance with the clarification on filling the form intended for the collection of administrative data on a gratuitous basis "Report on Services Provided by Broker and/or Dealer".

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, "Report on Services Provided by Broker and/or Dealer"

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

"Report on Services Provided by Broker and/or Dealer" (index – 1-RCB_USLUG, frequency – quarterly)

Chapter 1. General Provisions

1. This clarification defines the uniform requirements for completing the form intended for the collection of administrative data on a gratuitous basis "Report on Services Provided by Broker and/or Dealer" (hereinafter – the Form).

2. The Form is compiled quarterly by a broker and/or dealer.

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

Chapter 2. Clarification on Filling the Form

4. The Form is filled within the framework of services provided by the broker and/or dealer. The report provides information on services provided by the broker and/or dealer in the reporting period, as well as on contracts that were in effect and/or terminated in the reporting period.

5. In column 2, types of services are indicated: services to the issuer on issuance and placement of securities as underwriter or as part of an issuance consortium, services to the issuer on announcing and maintaining quotations for financial instruments in accordance with internal stock exchange documents, provision of advisory services to the issuer on issues of inclusion and presence of securities in the official list of the stock exchange, services of bondholder representative, services of Islamic securities holder representative.

6. In column 3, the name of the issuer of the financial instrument or the surname, name and patronymic (if any) or name of the client to whom the service is provided is indicated.

7. Columns 4, 5, and 6 are filled in the format "dd.mm.yyyy".

8. If the broker and/or dealer provides services to the issuer on the issuance of securities, column 7 is not filled until the date of state registration of the issuance of these securities;

9. Column 9 is filled if the broker and/or dealer provides services to the issuer on the placement of securities.

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

Appendix 21

to the Rules for Reporting by Securities Market Professionals and the Unified Accumulative Pension Fund

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on Securities Held in Nominal Custody

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

Frequency: quarterly

Reporting period: as of "___" _______________ 20 year

List of persons submitting the form intended for the collection of administrative data on a gratuitous basis: brokers and/or dealers, unified operator in the sphere of state property accounting (hereinafter – unified operator), custodians

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: quarterly, no later than the last day of the month following the reporting quarter

BIN: _______________________

Collection method: in electronic form

No.	Identification Number of Security	Name of Issuer	Name of Nominal Custodian	Quantity of Securities Held in Client Accounts of Broker and/or Dealer, Unified Operator, Custodian as of the End of the Reporting Period (Pieces) and Quantity of Security Holders
Total		Voluntary Accumulative Pension Funds of the Republic of Kazakhstan (Pension Assets)		Investment Funds of the Republic of Kazakhstan (Investment Fund Assets)
Securities (Pieces)	Security Holders	Securities (Pieces)	Security Holders	Securities (Pieces)	Security Holders
1	2	3	4	5	6	7	8	9	10
Total

continuation of the table:

Number of securities held on clients' accounts of the broker and (or) dealer, unified operator, custodian as of the end of the reporting period (units) and number of securities holders
banks of the second level of the Republic of Kazakhstan (owners)
insurance (reinsurance) organizations of the Republic of Kazakhstan (owners)
brokers-dealers of the Republic of Kazakhstan (owners - not being banks of the second level)
other licensees of the financial market of the Republic of Kazakhstan (owners)
nominal holders - residents of the Republic Kazakhstan
securities (units)	holders of securities	securities (units)	holders of securities	securities (units)	holders of securities	securities (units)	holders of securities	securities (units)	holders of securities
11	12	13	14	15	16	17	18	19	20

continuation of the table:

Number of securities held on clients' accounts of the broker and (or) dealer, unified operator, custodian as of the end of the reporting period (units) and number of securities holders
nominal holders - non-residents of the Republic of Kazakhstan
other legal entities - residents of the Republic of Kazakhstan
other legal entities - non-residents of the Republic of Kazakhstan
individuals - residents of the Republic of Kazakhstan
individuals - non-residents of the Republic of Kazakhstan
securities (units)	holders of securities	securities (units)	holders of securities	securities (units)	holders of securities	securities (units)	holders of securities	securities (units)	holders of securities
21	22	23	24	25	26	27	28	29	30

Name ______________________________________

Address__________________________________________________________

Phone ________________________________________

Email address _________________________

Executor ______________________________________ ________________

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

Head or person authorized to sign the report

---

surname, name and patronymic (if any) signature

Date «____» ______________ 20 year

Note: the form is filled out in accordance with the instructions for filling out the form intended for the collection of administrative data on a gratuitous basis "Report on securities held in nominal custody".

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, "Report on securities held in nominal custody"

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

"Report on securities held in nominal custody" (index - 1-RCB_NOM_DER, frequency - quarterly)

Chapter 1. General Provisions

1. These instructions define the unified requirements for filling out the form intended for the collection of administrative data on a gratuitous basis "Report on securities held in nominal custody" (hereinafter - Form).

2. The form is compiled quarterly by the broker and (or) dealer, unified operator, custodian.

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

Chapter 2. Instructions for filling out the Form

4. The form is filled out within the framework of the broker and (or) dealer with the right to maintain client accounts as a nominal holder, unified operator, custodian as a nominal holder.

5. In column 4, the name of the nominal holder (depository, custodian or other organization in which the custodian performs nominal custody) is indicated. Column 4 is filled out by the custodian.

6. In columns 7, 9, 11, 13, 15, 17, 19, 21, 23, 25, 27 and 29, the number of securities accounted for on the accounts of the broker and (or) dealer, unified operator, custodian is indicated depending on the activity and residency of the legal entity and (or) residency of the individual.

7. In columns 8, 10, 12, 14, 16, 18, 20, 22, 24, 26, 28 and 30, the number of holders of securities is indicated depending on the activity and residency of the legal entity and (or) residency of the individual.

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

Appendix 22

to the Rules for reporting by professional participants in the securities market and the unified accumulative pension fund

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on securities issued in accordance with the legislation of a foreign state and the International Financial Center "Astana" held in nominal custody

Form index intended for the collection of administrative data on a gratuitous basis: 1-RCB_NOM_DER_IN

Frequency: quarterly

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

List of persons submitting the form intended for the collection of administrative data on a gratuitous basis: brokers and (or) dealers, unified operator in the field of state property accounting (hereinafter - unified operator), custodians

Form submission deadline intended for the collection of administrative data on a gratuitous basis: quarterly, no later than the last day of the month following the reporting quarter

BIN: _______________________

Collection method: in electronic form

No.	Security identification number	Issuer name	Name of foreign nominal holder	Name of nominal holder
1	2	3	4	5
Total	x	x	x	x

continuation of the table:

Information about the owner of securities issued in accordance with the legislation of a foreign state and the International Financial Center "Astana"
Individual identification number, business identification number or other identification number (for non-residents of the Republic of Kazakhstan)	Surname, name and patronymic (if any) of an individual or name of a legal entity
Number of securities issued in accordance with the legislation of a foreign state and the International Financial Center "Astana" held on the accounts of the broker, acting as a nominal holder as of the end of the reporting period (units)
6	7	8
x	x

Name ______________________________________

Address__________________________________________________________

Phone ________________________________________

Email address _________________________

Executor ______________________________________ ________________

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

Head or person authorized to sign the report

---

surname, name and patronymic (if any) signature

Date «____» ______________ 20 year

Note: the form is filled out in accordance with the instructions for filling out the form intended for the collection of administrative data on a gratuitous basis "Report on securities issued in accordance with the legislation of a foreign state and the International Financial Center "Astana" held in nominal custody".

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, "Report on securities issued in accordance with the legislation of a foreign state and the International Financial Center "Astana" held in nominal custody"

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

"Report on securities issued in accordance with the legislation of a foreign state and the International Financial Center "Astana" held in nominal custody" (index - 1-RCB_NOM_DER_IN, frequency - quarterly)

Chapter 1. General Provisions

1. These instructions define the unified requirements for filling out the form intended for the collection of administrative data on a gratuitous basis "Report on securities issued in accordance with the legislation of a foreign state and the International Financial Center "Astana" held in nominal custody" (hereinafter - Form).

2. The form is compiled quarterly by the broker and (or) dealer, unified operator, custodian.

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

Chapter 2. Instructions for filling out the Form

4. In column 4, the name of the foreign nominal holder providing services for nominal custody of securities of non-resident issuers of the Republic of Kazakhstan to organizations specified in column 5 is indicated.

5. In column 5, the name of the organization providing services for nominal custody of securities of non-resident issuers of the Republic of Kazakhstan to the broker and (or) dealer (bank-custodian, central depository and other settlement organizations) is indicated.

The custodian indicates the name of the broker, acting as a nominal holder, to whom it provides services for nominal custody of securities of non-resident issuers of the Republic of Kazakhstan.

6. In columns 6 and 7, information about the ultimate owner of the securities - the client of the broker and (or) dealer, unified operator, custodian, acting as a nominal holder, is indicated: individual identification number or other identification number (for non-residents of the Republic of Kazakhstan), surname, name and patronymic (if any) - for an individual, business identification number or other identification number (for non-residents of the Republic of Kazakhstan), name - for a legal entity.

7. In column 8, the number of securities in units is indicated. Debt securities are indicated at nominal value in the currency of issue.

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

Appendix 23

to the Rules for reporting by professional participants in the securities market and the unified accumulative pension fund

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on the value of pension assets

Form index intended for the collection of administrative data on a gratuitous basis: 1-RCB_PA

Frequency: monthly

Reporting period: for _______________ 20 __ year

List of persons submitting the form intended for the collection of administrative data on a gratuitous basis: voluntary accumulative pension fund, managing an investment portfolio to which pension assets have been transferred in trust (hereinafter - trustee)

Form submission deadline intended for the collection of administrative data on a gratuitous basis: monthly, no later than the 7 (seventh) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

(in tenge)

No.	Indicator	date	date
1	2	3	…
1.	Balance on investment accounts at the beginning of the day, including:
1.1	in tenge
1.2	in foreign currencies
2.	Money received on investment accounts by the end of the day, including:
2.1	in tenge
2.2	in foreign currencies
3.	Money withdrawn from investment accounts by the end of the day, including:
3.1	in tenge
3.2	in foreign currencies
4.	Balance on investment accounts at the end of the day ((1)+(2)-(3)), including:
4.1	in tenge
4.2	in foreign currencies
5.	Value of other assets at the beginning of the day, including:
5.1	in tenge
5.2	in foreign currencies
6.	Value of other assets at the end of the day, including:
6.1	in tenge
6.2	in foreign currencies
7.	Total value of financial investments at the beginning of the day, including:
7.1	derivative financial instruments
8.	Financial instruments received by the end of the day
9.	Financial instruments withdrawn by the end of the day
10.	Total value of financial investments at the end of the day ((7)+(8)-(9)+(11)-(11.4.1)), including:
10.1	derivative financial instruments
11.	Accrued investment income (expense) at the end of the day, including
11.1	income (expenses) related to receiving remuneration for financial instruments
11.2	income (expenses) from changes in the value of securities valued at fair value
11.3	income (expenses) from changes in the value of other assets
11.4	income (expenses) from foreign currency revaluation, including:
11.4.1	income (expenses) from revaluation of money on investment account and other assets
11.4.2	income (expenses) from revaluation of financial investments
11.5	income (expenses) related to the restoration (formation) of reserves (provisions) to cover possible losses from the depreciation of securities
11.6	other income (expenses)
12.	Total current value of pension assets at the end of the day ((4)+(6)+(10))
13.	Commission remuneration from pension assets at the end of the day, including:
13.1	accrued
13.2	paid
14.	Balance of debt on commission remuneration from pension assets
15.	Commission remuneration from investment income at the end of the day, including:
15.1	accrued
15.2	paid
16.	Balance of debt on commission remuneration from investment income
17.	Accrued pension liabilities related to pension assets at the end of the day, including:
17.1	erroneous (incorrectly credited) amounts
17.2	payments and transfers
17.3	other
18.	Voluntary accumulative pension fund executed pension liabilities related to pension assets at the end of the day:
18.1	erroneous (incorrectly credited) amounts from the investment account
18.2	payments and transfers
18.3	other
19.	Balance of pension liabilities at the end of the day
20.	Total liabilities for pension assets at the end of the day ((15)+(17)+(19)):
21.	Total value of "net" pension assets at the end of the day ((12)-(20))

Name ______________________________________

Address__________________________________________________________

Phone ________________________________________

Email address _________________________

Executor ____________________________________ _______________

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

Head or person authorized to sign the report

---

surname, name and patronymic (if any) signature

Date «____» ______________ 20 year

Note: the form is filled out in accordance with the instructions for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on the value of pension assets".

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, "Report on the value of pension assets"

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

"Report on the value of pension assets"

(index - 1-RCB_PA, frequency - monthly)

Chapter 1. General Provisions

1. These instructions define the unified requirements for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on the value of pension assets" (hereinafter - Form).

2. The form is compiled monthly by the voluntary accumulative pension fund, trustee and filled out for the reporting period. Data in the Form is filled out in tenge.

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

Chapter 2. Instructions for filling out the Form

4. The form is filled out for each day of the reporting month. The date is indicated in the format "dd.mm.yyyy".

5. In rows 1.2, 2.2, 3.2, 4.2, 5.2 and 6.2, amounts equivalent to tenge are reflected.

6. The list of other assets at the end of the reporting period, reflected in row 6, is indicated in the note to the Form provided in the digital system.

7. When filling out row 8, information on financial instruments valued at actual costs is indicated. Costs incurred in making a transaction (directly related to the acquisition of financial instruments), including remuneration and commissions paid to agents, consultants, brokers (dealers), stock exchange fees, as well as bank transfer expenses, are included in the cost of these financial instruments. The cost of financial instruments also includes remuneration accrued for the period prior to acquisition (if any).

8. When filling out row 9, information on realized or redeemed financial instruments at actual cost of realization or redemption is indicated.

9. Information on row 10 is indicated in accordance with the data of the Report on the structure of the investment portfolio of pension assets according to Appendix 24 to the Rules.

10. When filling out row 11.5, reserves (provisions) are reflected once a month at the end of the day of their formation.

11. When filling out row 11.6, a list of sources of income received and information on losses incurred, included in the value of pension assets, is attached.

12. In rows 13 and 15, the amount of commission remuneration of the voluntary accumulative pension fund, trustee is indicated.

13. When filling out rows 14 and 16, the balance of debt on commission remuneration is indicated cumulatively taking into account data at the end of the reporting period.

14. When filling out rows 17.2 and 18.2, amounts of transfers of pension accumulations to the unified accumulative pension fund, other voluntary accumulative pension funds, to insurance organizations, amounts paid to recipients and other persons, amounts of income tax on pension payments are indicated.

15. When filling out rows 17.3 and 18.3, a list of liabilities included in the value of pension assets is attached.

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

Appendix 24

to the Rules for reporting by professional participants in the securities market and the unified accumulative pension fund

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on the structure of the investment portfolio of pension assets

Form index intended for the collection of administrative data on a gratuitous basis: 1-RCB_SPPA

Frequency: monthly

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

List of persons submitting the form intended for the collection of administrative data on a gratuitous basis: voluntary accumulative pension fund, managing an investment portfolio to which pension assets have been transferred in trust (hereinafter - trustee)

Form submission deadline intended for the collection of administrative data on a gratuitous basis: monthly, no later than the 7 (seventh) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

Table 1. Securities purchased at the expense of pension assets

(in tenge)

No.	Issuer name	Type of economic activity	Issuer country	Type of security	Security identification number
1	2	3	4	5	6
1	Government securities of the Republic of Kazakhstan
1.1.		x
…		x
2	Non-state issue securities of organizations of the Republic of Kazakhstan
2.1.	securities of banks of the second level
2.1.1.
…
2.2.	securities of legal entities, excluding banks of the second level
2.2.1.
…
3.	Securities of foreign states
3.1.		x
…		x
4.	Non-state securities of non-resident issuers of the Republic of Kazakhstan
4.1.		x
…		x
5.	Securities of international financial organizations
5.1.		x
…		x
6	Shares
6.1.
…
7	Total:	x

continuation of the table:

Number of securities	Nominal value		Payment currency code	Purchase price per security		Period		Purchase cost of security
currency code	cost of one security	in tenge	in the currency of nominal value	date of registration	date of maturity
7	8	9	10	11	12	13	14	15

continuation of the table:

Current value of securities					Security category		Security rating			Stock exchange list category		Current coupon rate in the portfolio
Total			Reference: formed reserves (provisions)				at the date of registration			at the reporting date	at the date of registration		at the reporting date
total	in the currency of nominal value	including accrued remuneration, in tenge
16	17	18	19	20		21		22	23		24	25

Table 2. Securities purchased through "reverse repo" operations

(in tenge)

No.	Issuer name	Issuer country	Type of security	Security identification number	Number of securities (units)	Currency code of nominal value	Currency code of transaction
1	2	3	4	5	6	7	8
	Total:

continuation of the table:

Opening price per security		Closing price per security		Period		Current value of securities	Yield rate on the transaction
in tenge	in nominal currency	in tenge	in nominal currency	date of transaction opening	date of transaction closing
9	10	11	12	13	14	15	16

Table 3. Deposits in the National Bank of the Republic of Kazakhstan and in second-tier banks

(in tenge)

No.	Bank Name	Bank Rating		Currency Code of Deposit	Date of Conclusion and Number of Bank Deposit Contract		Deposit Term (in days)	Reward Payment Period
at the date of deposit placement	at the reporting date	date	number	frequency	date
1	2	3	4	5	6	7	8	9	10
	Total:

continuation of the table:

Reward Rate (in percent per annum)		Principal Amount of Deposit		Current Value			Reference: Formed Reserves (Provisions)
nominal	effective	total	in foreign currency	total	in particular, accrued reward
in tenge	in foreign currency
11	12	13	14	15	16	17	18

Table 4. Affined Precious Metals

(in tenge)

No.	Name of Affined Precious Metal	Quantity in Troy Ounces	Currency Code of Payment	Purchase Price per Troy Ounce		Total Purchase Cost		Current Value
in tenge	in foreign currency	in tenge	in foreign currency	in tenge	in foreign currency
1	2	3	4	5	6	7	8	9	10
	Total:

Table 5. Contingent Claims (Obligations)

(in tenge)

No.	Name of Derivative Financial Instrument Type	Underlying Asset	Currency Code	Security Identification Number	Amount of Claims (Obligations) at the date of transaction with derivative instrument	Current Value at Reporting Date
1	2	3	4	5	6	7
1	Contingent Claims on Derivative Financial Instruments
1.1
1.1.1
…
2	Contingent Obligations on Derivative Financial Instruments
2.1
2.1.1
…

Name ______________________________________

Address__________________________________________________________

Phone ________________________________________

Email Address _________________________

Executor ______________________________________ ________________

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

Head or Person Authorized to Sign the Report

---

surname, first name, patronymic (if any) signature

Date «____» ______________ 20 year

Note: The form is completed in accordance with the instructions for completing the form intended for the collection of administrative data on a gratuitous basis, "Report on the Structure of the Pension Asset Portfolio."

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, "Report on the Structure of the Pension Asset Portfolio"

Instructions for completing the form intended for the collection of administrative data on a gratuitous basis

"Report on the Structure of the Pension Asset Portfolio"

(index – 1-RCB_SPPA, frequency: monthly)

Chapter 1. General Provisions

1. These instructions define the unified requirements for completing the form intended for the collection of administrative data on a gratuitous basis, "Report on the Structure of the Pension Asset Portfolio" (hereinafter – the Form).

2. The Form is compiled monthly by a voluntary accumulative pension fund and a trust manager, and is completed for the reporting period. Data in the Form is filled in tenge.

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

Chapter 2. Instructions for completing the Form

4. Regarding Table 1:

1. Table 1 indicates data on securities and claims against the issuer of the issuer's securities;

2. in column 3, the type of economic activity is indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 03 "General Classifier of Types of Economic Activity". This column is filled for non-state securities of issuers who are residents of the Republic of Kazakhstan;

3. in column 4, the country of the issuer is indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK ISO 3166-1-2016 "Codes for the representation of names of countries and the units of their administrative-territorial divisions. Part 1. Country codes";

4. in column 5, the type of acquired security is indicated, specifying its type;

5. in column 6, the international identification number (ISIN code) or another identifier of the security is indicated;

6. in column 7, the quantity of acquired securities in pieces is indicated. Debt securities are indicated by nominal value in the currency of issue;

7. in columns 8 and 10, currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the representation of currencies and funds";

8. in column 9, for bonds, the monetary expression of the bond's value determined at its issuance, on which interest is accrued on the coupon bond, as well as the amount payable to the bondholder upon maturity, is indicated. The amount is indicated in the currency of issue;

9. in columns 11 and 12, the price is indicated with an accuracy of four decimal places, reflected in the primary document confirming the transaction (stock exchange certificate, broker and/or dealer report, confirmation received via the international interbank system for transferring information and making payments SWIFT). In the event of payment for the acquired security in foreign currency, column 12 is filled with a simultaneous reflection of the equivalent in the national currency – tenge in column 11; in the event of payment for the acquired security in the national currency – tenge, column 11 is filled. In column 11, the price of debt securities is reflected in percent of nominal value with an accuracy of four decimal places, taking into account accrued interest;

10. in column 13, the date of initial recognition in accounting is reflected;

11. in column 14, the maturity term of debt securities is indicated;

12. in column 15, the purchase cost of the security is indicated, including expenses directly related to the acquisition, including rewards and commissions paid to agents, consultants, brokers (dealers), stock exchange fees, as well as banking services for transfers, reduced by the amount of the percentage paid by the buyer to the seller (if any);

13. in column 16, the current value of the securities, reflected in accounting, is indicated;

14. in column 20, the category of the security "evaluated at fair value" or "evaluated at amortized cost" is indicated;

15. when filling columns 21 and 22, the rating of the security for bonds, the rating of the issuer for stocks, the rating of the country for state securities, assigned by one of the rating agencies listed in paragraph 2 of the Resolution of the Board of the Agency of the Republic of Kazakhstan for Regulation and Development of the Financial Market dated April 14, 2026 No. 64 "On establishing the minimum rating for legal entities and states, the necessity of which is required in accordance with the legislation of the Republic of Kazakhstan regulating the activities of financial organizations, branches of banks-non-residents of the Republic of Kazakhstan, branches of insurance (reinsurance) organizations-non-residents of the Republic of Kazakhstan, the list of rating agencies assigning this rating" (registered in the Registry of State Registration of Normative Legal Acts under No. 38437) (hereinafter – Resolution No. 64). In the absence of a rating, "no rating" is indicated in columns 21 and 22. These columns are not filled for state securities of the Republic of Kazakhstan. Column 21 reflects the rating at the date of initial recognition in accounting;

16. in columns 23 and 24, the category of securities of residents of the Republic of Kazakhstan according to the official list of the stock exchange of the Republic of Kazakhstan is indicated. In the absence of a stock exchange list category, "no listing" is indicated in columns 23 and 24. These columns are not filled for securities of non-residents of the Republic of Kazakhstan and state securities of the Republic of Kazakhstan. Column 23 reflects the stock exchange list category at the date of initial recognition in accounting;

17. in column 25, the coupon rate for debt financial instruments at the date of submission of the Form is indicated.

5. Regarding Table 2:

1. in column 3, the country of the issuer is indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK ISO 3166-1-2016 "Codes for the representation of names of countries and the units of their administrative-territorial divisions. Part 1. Country codes";

2. in column 4, the type of security acquired through repurchase agreements is indicated, specifying its type;

3. in columns 7 and 8, currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the representation of currencies and funds";

4. in columns 9 and 10, the price is indicated with an accuracy of four decimal places, reflected in the primary document confirming the "reverse repurchase" transaction. In the event of payment for the acquired security in foreign currency, columns 10 and 12 are filled with a simultaneous reflection of the equivalent in the national currency – tenge in columns 9 and 11; in the event of payment for the acquired security in the national currency – tenge, columns 9 and 11 are filled;

5. in column 15, the current value, reflected in accounting, is indicated.

6. Regarding Table 3:

1. when filling columns 3 and 4, the rating assigned by one of the rating agencies listed in paragraph 3 of Resolution No. 64 is reflected. In the absence of a rating, "no rating" is indicated in columns 3 and 4. These columns are not filled for deposits in the National Bank of the Republic of Kazakhstan;

2. in column 5, currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the representation of currencies and funds";

3. in column 8, the deposit term according to the bank deposit contract is indicated; in case of deposit extension, the term is reflected taking into account the extension;

4. in columns 9 and 10, the date and frequency of payment of accrued reward are indicated in accordance with the terms of the bank deposit contract;

5. in columns 13 and 14, the amount of placement of pension assets in a deposit in the National Bank of the Republic of Kazakhstan and in second-tier banks is indicated. In the event of placement of pension assets in a deposit in foreign currency, column 14 is filled with a simultaneous reflection of the equivalent in the national currency – tenge in column 13; in the event of placement of pension assets in a deposit in the national currency – tenge, column 13 is filled;

6. in column 15, the value of deposits, reflected in accounting, is indicated;

7. in column 18, the amount of reserves (provisions), reflected in accounting, is indicated;

8. Table 3 is filled indicating the amount of deposits separately for each bank and for each currency of the deposit.

7. Regarding Table 4:

1. in column 4, currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the representation of currencies and funds";

2. in columns 5 and 7, the purchase price is indicated at the market exchange rate prevailing on the date of the transaction; in column 10, the amount is reflected at the market exchange rate prevailing on the reporting date. In the event of acquiring affined precious metal in the national currency – tenge, columns 5, 7, and 9 are filled;

3. in column 9, the current value, reflected in accounting, is indicated.

8. Regarding Table 5:

1. in column 3, the underlying asset of the derivative financial instrument is indicated (name of the security and its issuer, currency, interest rate, commodity, and other underlying assets);

2. in column 4, the currency of the transaction is indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the representation of currencies and funds";

3. column 5 is filled if the underlying asset of the derivative financial instrument is a security;

4. in column 6, the amount of contingent claims and obligations is indicated, which is formed when conducting transactions with derivative instruments in accordance with the requirements of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated July 1, 2011 No. 69 "On Approval of the Instruction on Accounting for Transactions with Pension Assets, Target Assets, and Target Accumulations, carried out by the Unified Accumulative Pension Fund and Voluntary Accumulative Pension Funds" (registered in the Registry of State Registration of Normative Legal Acts under No. 7118);

5. in column 7, the market value (replacement cost) of the derivative financial instrument is indicated, which represents:

for purchase transactions – the amount by which the current market value of the derivative financial instrument exceeds the nominal contractual value of this derivative financial instrument (contingent claims), the amount by which the nominal contractual value of the derivative financial instrument exceeds the current market value of this derivative financial instrument (contingent obligations);

for sale transactions – the amount by which the nominal contractual value of the derivative financial instrument exceeds the current market value of this derivative financial instrument (contingent claims), the amount by which the current market value of the derivative financial instrument exceeds the nominal contractual value of this derivative financial instrument (contingent obligations).

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

Appendix 25

to the Rules for Reporting by Professional Securities Market Participants and the Unified Accumulative Pension Fund

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of Administrative Form: Report on the Volumes of Pension Accumulations and Number of Depositors (Recipients) of Voluntary Pension Contributions

Index of Form intended for the collection of administrative data on a gratuitous basis: 1-RCB_DPV

Frequency: monthly

Reporting Period: as of "___" _______________ 20 __ year

Circle of persons submitting the Form intended for the collection of administrative data on a gratuitous basis: voluntary accumulative pension fund

Term for submitting the Form intended for the collection of administrative data on a gratuitous basis: monthly, no later than the 7 (seventh) working day of the month following the reporting month

BIN: _______________________

Collection Method: in electronic form

(in thousands of tenge)

Age of Depositors (Recipients)	Men		Women
Quantity (people)	Sum	Quantity (people)	Sum
1	2	3	4	5
up to 20 years
21 years
…
81 years and older
Total

Name ______________________________________

Address__________________________________________________________

Phone ________________________________________

Email Address _________________________

Executor ____________________________________ _______________

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

Head or Person Authorized to Sign the Report

---

surname, first name, patronymic (if any) signature

Date «____» ______________ 20 year

Note: The form is completed in accordance with the instructions for completing the form intended for the collection of administrative data on a gratuitous basis, "Report on the Volumes of Pension Accumulations and Number of Depositors (Recipients) of Voluntary Pension Contributions."

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, "Report on the Volumes of Pension Accumulations and Number of Depositors (Recipients) of Voluntary Pension Contributions"

Instructions for completing the form intended for the collection of administrative data on a gratuitous basis

"Report on the Volumes of Pension Accumulations and Number of Depositors (Recipients) of Voluntary Pension Contributions"

(index – 1-RCB_DPV, frequency: monthly)

Chapter 1. General Provisions

1. These instructions define the unified requirements for completing the form intended for the collection of administrative data on a gratuitous basis, "Report on the Volumes of Pension Accumulations and Number of Depositors (Recipients) of Voluntary Pension Contributions" (hereinafter – the Form).

2. The Form is compiled monthly by a voluntary accumulative pension fund and is completed as of the end of the reporting period. Data in the Form is filled in thousands of tenge. Amounts less than 500 (five hundred) tenge are rounded to 0 (zero), and amounts equal to 500 (five hundred) tenge and above are rounded to 1000 (one thousand) tenge.

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

Chapter 2. Instructions for completing the Form

4. When completing the Form, in the presence of information on the number of individual pension accounts with individual identification numbers of depositors (recipients) who do not have pension accumulations, as well as on the number of individual pension accounts without an individual identification number (including with the amount of pension accumulations), information on them is reflected in the note to the Form provided for in the digital system.

5. In columns 2 and 4, the number of depositors (recipients) separately for men and women (in the corresponding columns) who have concluded a pension provision agreement is indicated, broken down by the age of the depositor (recipient). The amount of pension accumulations for them is indicated in columns 3 and 5, respectively.

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

Appendix 26

to the Rules for Reporting by Professional Securities Market Participants and the Unified Accumulative Pension Fund

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of Administrative Form: Report on Pension Payments

Index of Form intended for the collection of administrative data on a gratuitous basis: 1-RCB_Vyplaty

Frequency: monthly

Reporting Period: as of "_____" _______________ 20 __ year

Circle of persons submitting the Form intended for the collection of administrative data on a gratuitous basis: voluntary accumulative pension fund

Term for submitting the Form intended for the collection of administrative data on a gratuitous basis: monthly, no later than the 7 (seventh) working day of the month following the reporting month

BIN: _______________________

Collection Method: in electronic form

(in thousands of tenge)

Line Code	Name of Articles	For the period from the beginning of the current year
number of depositors (recipients)	number of payments	sum
1	2	3	4	5
100	Pension Accumulation Payments
200	Voluntary Pension Contributions:
201	upon reaching fifty years of age
202	due to disability
203	in connection with leaving the Republic of Kazakhstan
204	to heirs
205	for burial
206	to other persons
300	Transfer of Pension Accumulations to Insurance Organization
400	Voluntary Pension Contributions:
401	by age
402	by disability
500	Other Pension Payments
1000	Total

Name ______________________________________

Address__________________________________________________________

Phone ________________________________________

Email Address _________________________

Executor ______________________________________ ________________

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

Head or Person Authorized to Sign the Report

---

surname, first name, patronymic (if any) signature

Date «____» ______________ 20 year

Note: The form is completed in accordance with the instructions for completing the form intended for the collection of administrative data on a gratuitous basis, "Report on Pension Payments."

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, "Report on Pension Payments"

Instructions for completing the form intended for the collection of administrative data on a gratuitous basis

"Report on Pension Payments"

(index – 1-RCB_Vyplaty, frequency: monthly)

Chapter 1. General Provisions

1. These instructions define the unified requirements for completing the form intended for the collection of administrative data on a gratuitous basis, "Report on Pension Payments" (hereinafter – the Form).

2. The Form is compiled monthly by a voluntary accumulative pension fund and is completed as of the end of the reporting period. Data in the Form is filled in thousands of tenge. Amounts less than 500 (five hundred) tenge are rounded to 0 (zero), and amounts equal to 500 (five hundred) tenge and above are rounded to 1000 (one thousand) tenge.

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

Chapter 2. Instructions for completing the Form

4. In column 3, the number of depositors (recipients) from whose accounts payments were made for the period from the beginning of the year (cumulative) is indicated.

5. In column 4, the number of payments made to depositors (recipients) for the period from the beginning of the year (cumulative) is indicated. Information on the number of payments is reflected based on the payments (transactions) made to depositors (recipients).

6. In column 5, the amount of payments for the period from the beginning of the year (cumulative) is indicated.

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

Appendix 27

to the Rules for Reporting by Professional Securities Market Participants and the Unified Accumulative Pension Fund

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on the cost of one conditional unit of pension assets of a voluntary accumulative pension fund

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

Frequency: monthly

Reporting period: for _______________ 20 __ year

List of persons submitting the form intended for the collection of administrative data on a gratuitous basis: voluntary accumulative pension fund

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: monthly, no later than the 7 (seventh) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

Date	Pension contributions	Transfers from voluntary accumulative pension funds	Penalty received for untimely payment of pension contributions and for untimely investment of pension assets	Payouts and transfers	Obligations for the return of pension contributions and/or penalty received for untimely payment of pension contributions
1	2	3	4	5	6

continuation of the table:

Undistributed profit (uncovered loss)	Current value of "net" pension assets	Number of conditional units	Cost of one conditional unit of pension assets	Commission fee from pension assets	Commission fee from investment income (loss)	Investment income (loss) on pension assets accrued for the day
7	8	9	10	11	12	13

Name ______________________________________

Address__________________________________________________________

Phone ______________________________________

Email address _________________________

Executor ______________________________________ ________________

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

Head or person entrusted with the function of signing the report

---

surname, first name and patronymic (if any) signature

Date «____» ______________ 20 year

Note: the form is filled out in accordance with the explanation for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on the cost of one conditional unit of pension assets of a voluntary accumulative pension fund".

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, "Report on the cost of one conditional unit of pension assets of a voluntary accumulative pension fund"

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

"Report on the cost of one conditional unit of pension assets of a voluntary accumulative pension fund"

(index – 1-RCB_DNPF_YE, frequency – monthly)

Chapter 1. General Provisions

1. This explanation defines the unified requirements for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on the cost of one conditional unit of pension assets of a voluntary accumulative pension fund" (hereinafter – the Form).

2. The Form is compiled monthly by the voluntary accumulative pension fund. Data in the Form is indicated in tenge.

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

Chapter 2. Explanation for filling out the Form

4. In column 1, the date is indicated in the format "dd.mm.yyyy".

5. In column 7, the amount of undistributed profit (uncovered loss) at the end of the first working day of the week and at the end of the last calendar day of the month is indicated, which must be included in the calculation of the cost of one conditional unit of pension assets, in the manner established by the legislation of the Republic of Kazakhstan on accounting and financial reporting.

6. In column 9, the number of conditional units is indicated with a precision of up to three decimal places.

7. In column 10, the cost of one conditional unit of pension assets is indicated with a precision of up to seven decimal places.

8. Columns 11, 12, and 13 are filled out for reference.

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

Appendix 28

to the Rules for reporting by professional participants in the securities market and the unified accumulative pension fund

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on assets and liabilities on own assets, classified by economic sectors

Index of the form intended for the collection of administrative data on a gratuitous basis: 1-EiDNPF-AL(OA)

Frequency: quarterly

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

List of persons submitting the form intended for the collection of administrative data on a gratuitous basis: voluntary accumulative pension fund, unified accumulative pension fund

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: quarterly, no later than the 25 (twenty-fifth) day of the month following the reporting quarter

BIN: _______________________

Collection method: in electronic form

Table 1. Assets

(in thousands of tenge)

Line Code	Indicator Name	Total (at the end of the reporting period)	including
in national currency	in foreign currency
1	2	3	4	5
1	Cash and cash equivalents
1.15.01	Cash in vault
1.15.02	Cash in transit
1.14.03	Cash in current accounts in other deposit organizations
1.15.04	Cash in current accounts in other financial organizations
1.20.05	Cash in current accounts with non-residents
1.14.06	Cash in savings accounts in other deposit organizations
1.15.07	Cash in savings accounts in other financial organizations
1.20.08	Cash in savings accounts with non-residents
1.14.09	Other cash in other deposit organizations
1.15.10	Other cash in other financial organizations
1.16.11	Other cash in state non-financial organizations
1.17.12	Other cash in non-state non-financial organizations
1.20.13	Other cash with non-residents
2	Affined precious metals
2.14.01	Affined precious metals in other deposit organizations
2.15.02	Affined precious metals in transit
2.14.03	Affined precious metals placed in metal accounts in other deposit organizations
3	Placed deposits
3.13.01	Deposits placed in the National Bank of the Republic of Kazakhstan
3.14.02	Short-term overnight deposits placed in other deposit organizations
3.15.03	Short-term overnight deposits placed in other financial organizations
3.20.04	Short-term overnight deposits placed with non-residents
3.14.05	Short-term demand deposits placed in other deposit organizations
3.15.06	Short-term demand deposits placed in other financial organizations
3.20.07	Short-term demand deposits placed with non-residents
3.14.08	Short-term deposits placed in other deposit organizations
3.15.09	Short-term deposits placed in other financial organizations
3.20.10	Short-term deposits placed with non-residents
3.14.11	Short-term conditional deposits placed in other deposit organizations
3.15.12	Short-term conditional deposits placed in other financial organizations
3.20.13	Short-term conditional deposits placed with non-residents
3.14.14	Long-term deposits placed in other deposit organizations
3.15.15	Long-term deposits placed in other financial organizations
3.20.16	Long-term deposits placed with non-residents
3.14.17	Long-term conditional deposits placed in other deposit organizations
3.15.18	Long-term conditional deposits placed in other financial organizations
3.20.19	Long-term conditional deposits placed with non-residents
3.1	Less: Impairment reserves
4	Securities measured at fair value, changes in which are reflected in profit or loss
4.11.01	Securities issued by the Government of the Republic of Kazakhstan
4.12.02	Securities issued by regional and local authorities
4.13.03	Securities issued by the National Bank of the Republic of Kazakhstan
4.14.04	Securities issued by other deposit organizations, including
4.14.04.01	Equity securities
4.14.04.02	Debt securities
4.15.05	Securities issued by other financial organizations, including
4.15.05.01	Equity securities
4.15.05.02	Debt securities
4.16.06	Securities issued by state non-financial organizations, including
4.16.06.01	Equity securities
4.16.06.02	Debt securities
4.17.07	Securities issued by non-state non-financial organizations, including
4.17.07.01	Equity securities
4.17.07.02	Debt securities
4.18.08	Securities issued by non-profit organizations serving households, including
4.18.08.01	Equity securities
4.18.08.02	Debt securities
4.20.09	Securities issued by non-residents, including
4.20.09.01	Equity securities
4.20.09.02	Debt securities
5	Derivative financial instruments
5.11.01	Derivative financial instrument transactions with the Government of the Republic of Kazakhstan
5.12.02	Derivative financial instrument transactions with regional and local authorities
5.13.03	Derivative financial instrument transactions with the National Bank of the Republic of Kazakhstan
5.14.04	Derivative financial instrument transactions with other deposit organizations
5.15.05	Derivative financial instrument transactions with other financial organizations
5.16.06	Derivative financial instrument transactions with state non-financial organizations
5.17.07	Derivative financial instrument transactions with non-state non-financial organizations
5.18.08	Derivative financial instrument transactions with non-profit organizations serving households
5.19.09	Derivative financial instrument transactions with households
5.20.10	Derivative financial instrument transactions with non-residents
6	Securities measured at fair value through other comprehensive income
6.11.01	Securities issued by the Government of the Republic of Kazakhstan
6.12.02	Securities issued by regional and local authorities
6.13.03	Securities issued by the National Bank of the Republic of Kazakhstan
6.14.04	Securities issued by other deposit organizations, including
6.14.04.01	Equity securities
6.14.04.02	Debt securities
6.15.05	Securities issued by other financial organizations, including
6.15.05.01	Equity securities
6.15.05.02	Debt securities
6.16.06	Securities issued by state non-financial organizations, including
6.16.06.01	Equity securities
6.16.06.02	Debt securities
6.17.07	Securities issued by non-state non-financial organizations, including
6.17.07.01	Equity securities
6.17.07.02	Debt securities
6.18.08	Securities issued by non-profit organizations serving households, including
6.18.08.01	Equity securities
6.18.08.02	Debt securities
6.20.09	Securities issued by non-residents, including
6.18.09.01	Equity securities
6.18.09.02	Debt securities
6.1	Less: Impairment reserves
7	Reverse repurchase agreements
7.11.01	Reverse repurchase agreements with the Government of the Republic of Kazakhstan
7.13.02	Reverse repurchase agreements with the National Bank of the Republic of Kazakhstan
7.14.03	Reverse repurchase agreements with other deposit organizations
7.15.04	Reverse repurchase agreements with other financial organizations
7.16.05	Reverse repurchase agreements with state non-financial organizations
7.17.06	Reverse repurchase agreements with non-state non-financial organizations
7.18.07	Reverse repurchase agreements with non-profit organizations serving households
7.19.08	Reverse repurchase agreements with households
7.20.09	Reverse repurchase agreements with non-residents
8	Advances issued
8.11.01	Advances issued to the Government of the Republic of Kazakhstan for the supply of property, performance of work and provision of services
8.12.02	Advances issued to regional and local authorities for the supply of property, performance of work and provision of services
8.14.03	Advances issued to other deposit organizations for the supply of property, performance of work and provision of services
8.15.04	Advances issued to other financial organizations for the supply of property, performance of work and provision of services
8.16.05	Advances issued to state non-financial organizations for the supply of property, performance of work and provision of services
8.17.06	Advances issued to non-state non-financial organizations for the supply of property, performance of work and provision of services
8.18.07	Advances issued to non-profit organizations serving households for the supply of property, performance of work and provision of services
8.19.08	Advances issued to households for the supply of property, performance of work and provision of services
8.20.09	Advances issued to non-residents for the supply of property, performance of work and provision of services
8.11.10	Other advances issued to the Government of the Republic of Kazakhstan
8.12.11	Other advances issued to regional and local authorities
8.14.12	Other advances issued to other deposit organizations
8.15.13	Other advances issued to other financial organizations
8.16.14	Other advances issued to state non-financial organizations
8.17.15	Other advances issued to non-state non-financial organizations
8.18.16	Other advances issued to non-profit organizations serving households
8.19.17	Other advances issued to households
8.20.18	Other advances issued to non-residents
9	Prepaid expenses
10	Commission fees
10.19.01	Accrued commission income (losses) from investment income
10.19.02	Accrued commission income from pension assets
11	Inventories
12	Securities measured at amortized cost
12.11.01	Securities measured at amortized cost issued by the Government of the Republic of Kazakhstan
12.12.02	Securities measured at amortized cost issued by regional and local authorities
12.13.03	Securities measured at amortized cost issued by the National Bank of the Republic of Kazakhstan
12.14.04	Securities measured at amortized cost issued by other deposit organizations
12.15.05	Securities measured at amortized cost issued by other financial organizations
12.16.06	Securities measured at amortized cost issued by state non-financial organizations
12.17.07	Securities measured at amortized cost issued by non-state non-financial organizations
12.18.08	Securities measured at amortized cost issued by non-profit organizations serving households
12.20.09	Securities measured at amortized cost issued by non-residents
12.1	Less: Impairment reserves
13	Investment property
14	Equity investments in other legal entities
14.14.01	Equity investments in other deposit organizations
14.15.02	Equity investments in other financial organizations
14.16.03	Equity investments in state non-financial organizations
14.17.04	Equity investments in non-state non-financial organizations
14.18.05	Equity investments in non-profit organizations serving households
14.20.06	Equity investments in non-residents
15	Accounts receivable
15.11.01	Accounts receivable from buyers and customers (Government of the Republic of Kazakhstan)
15.12.02	Accounts receivable from buyers and customers (regional and local authorities)
15.16.03	Accounts receivable from buyers and customers (state non-financial organizations)
15.17.04	Accounts receivable from buyers and customers (non-state non-financial organizations)
15.18.05	Accounts receivable from buyers and customers (non-profit organizations serving households)
15.19.06	Accounts receivable from buyers and customers (households)
15.20.07	Accounts receivable from buyers and customers (non-resident)
15.15.08	Accounts receivable from subsidiaries (dependent) organizations (other financial organizations)
15.17.09	Accounts receivable from subsidiaries (dependent) organizations (non-state non-financial organizations)
15.11.10	Accounts receivable for rent from the Government of the Republic of Kazakhstan
15.12.11	Accounts receivable for rent from regional and local authorities
15.13.12	Accounts receivable for rent from the National Bank of the Republic of Kazakhstan
15.14.13	Accounts receivable for rent from other deposit organizations
15.15.14	Accounts receivable for rent from other financial organizations
15.16.15	Accounts receivable for rent from state non-financial organizations
15.17.16	Accounts receivable for rent from non-state non-financial organizations
15.18.17	Accounts receivable for rent from non-profit organizations serving households
15.19.18	Accounts receivable for rent from households
15.20.19	Accounts receivable for rent from non-residents
15.11.20	Rewards receivable from the Government of the Republic of Kazakhstan
15.12.21	Rewards receivable from regional and local authorities
15.14.22	Rewards receivable from other deposit organizations
15.15.23	Rewards receivable from other financial organizations
15.16.24	Rewards receivable from state non-financial organizations
15.17.25	Rewards receivable from non-state non-financial organizations
15.18.26	Rewards receivable from non-profit organizations serving households
15.19.27	Rewards receivable from households
15.20.28	Rewards receivable from non-residents
15.1	Less: Impairment reserves
16	Long-term assets (disposal groups) held for sale
17	Intangible assets
18	Fixed assets
19	Right-of-use assets
20	Current tax asset
21	Deferred tax asset
22	Other accounts receivable
22.14.01	Settlements with brokers (other deposit organizations)
22.15.02	Settlements with brokers (other financial organizations)
22.17.03	Settlements with brokers (non-state non-financial organizations)
22.20.04	Settlements with brokers (non-residents)
22.11.05	Settlements with shareholders (Government of the Republic of Kazakhstan)
22.14.06	Settlements with shareholders (other deposit organizations)
22.15.07	Settlements with shareholders (other financial organizations)
22.16.08	Settlements with shareholders (state non-financial organizations)
22.17.09	Settlements with shareholders (non-state non-financial organizations)
22.18.10	Settlements with shareholders (non-profit organizations serving households)
22.19.11	Settlements with shareholders (households)
22.20.12	Settlements with shareholders (non-residents)
22.11.13	Prepayment of rewards for received loans from the Government of the Republic of Kazakhstan
22.12.14	Prepayment of rewards for received loans from regional and local authorities
22.13.15	Prepayment of rewards for received loans from the National Bank of the Republic of Kazakhstan
22.14.16	Prepayment of rewards for received loans from other deposit organizations
22.15.17	Prepayment of rewards for received loans from other financial organizations
22.16.18	Prepayment of rewards for received loans from state non-financial organizations
22.20.19	Prepayment of rewards for received loans from non-residents
22.11.20	Financial assets transferred to the Government of the Republic of Kazakhstan for trust management
22.13.21	Financial assets transferred to the National Bank of the Republic of Kazakhstan for trust management
22.14.22	Financial assets transferred to other deposit organizations for trust management
22.15.23	Financial assets transferred to other financial organizations for trust management
22.20.24	Financial assets transferred to non-residents for trust management
22.11.25	Accrued penalty (fine, penalty) to the Government of the Republic of Kazakhstan
22.12.26	Accrued penalty (fine, penalty) to regional and local authorities
22.13.27	Accrued penalty (fine, penalty) to the National Bank of the Republic of Kazakhstan
22.14.28	Accrued penalty (fine, penalty) to other deposit organizations
22.15.29	Accrued penalty (fine, penalty) to other financial organizations
22.16.30	Accrued penalty (fine, penalty) to state non-financial organizations
22.17.31	Accrued penalty (fine, penalty) to non-state non-financial organizations
22.19.32	Accrued penalty (fine, penalty) to households
22.20.33	Accrued penalty (fine, penalty) to non-residents
22.19.34	Accounts receivable from employees and other persons-residents
22.20.35	Accounts receivable from employees and other persons-non-residents
22.11.36	Other accounts receivable from the Government of the Republic of Kazakhstan
22.12.37	Other accounts receivable from local authorities
22.13.38	Other accounts receivable from the National Bank of the Republic of Kazakhstan
22.14.39	Other accounts receivable from other deposit organizations
22.15.40	Other accounts receivable from other financial organizations
22.16.41	Other accounts receivable from state non-financial organizations
22.17.42	Other accounts receivable from non-state non-financial organizations
22.18.43	Other accounts receivable from non-profit organizations serving households
22.19.44	Other accounts receivable from households
22.20.45	Other accounts receivable from non-residents
22.1	Less: Impairment reserves
23	Other assets, including
23.01	Financial assets
23.02	Non-financial assets
24	Total assets

Table 2. Liabilities

(in thousands of tenge)

Line Code	Indicator Name	Total (as of the end of the reporting period)	including
in national currency	in foreign currency
1	2	3	4	5
25	Derivative Financial Instruments
25.11.01	Operations with derivative financial instruments with the Government of the Republic of Kazakhstan
25.12.02	Operations with derivative financial instruments with regional and local authorities
25.13.03	Operations with derivative financial instruments with the National Bank of the Republic of Kazakhstan
25.14.04	Operations with derivative financial instruments with other depository organizations
25.15.05	Operations with derivative financial instruments with other financial organizations
25.16.06	Operations with derivative financial instruments with state non-financial organizations
25.17.07	Operations with derivative financial instruments with non-state non-financial organizations
25.18.08	Operations with derivative financial instruments with non-commercial organizations serving households
25.19.09	Operations with derivative financial instruments with households
25.20.10	Operations with derivative financial instruments with non-residents
26	Lease Liabilities
26.11.01	Lease liabilities to the Government of the Republic of Kazakhstan
26.12.02	Lease liabilities to regional and local authorities
26.13.03	Lease liabilities to the National Bank of the Republic of Kazakhstan
26.14.04	Lease liabilities to other depository organizations
26.15.05	Lease liabilities to other financial organizations
26.16.06	Lease liabilities to state non-financial organizations
26.17.07	Lease liabilities to non-state non-financial organizations
26.18.08	Lease liabilities to non-commercial organizations serving households
26.19.09	Lease liabilities to households
26.20.10	Lease liabilities to non-residents
27	Repurchase Agreements (Repo)
27.11.01	Repo operations with the Government of the Republic of Kazakhstan
27.13.02	Repo operations with the National Bank of the Republic of Kazakhstan
27.14.03	Repo operations with other depository organizations
27.15.04	Repo operations with other financial organizations
27.16.05	Repo operations with state non-financial organizations
27.17.06	Repo operations with non-state non-financial organizations
27.18.07	Repo operations with non-commercial organizations serving households
27.19.08	Repo operations with households
27.20.09	Repo operations with non-residents
28	Borrowed Loans
28.11.01	Short-term loans borrowed from the Government of the Republic of Kazakhstan
28.12.02	Short-term loans borrowed from regional and local authorities
28.14.03	Short-term loans borrowed from other depository organizations
28.15.04	Short-term loans borrowed from other financial organizations
28.20.05	Short-term loans borrowed from non-residents
28.11.06	Long-term loans borrowed from the Government of the Republic of Kazakhstan
28.12.07	Long-term loans borrowed from regional and local authorities
28.14.08	Long-term loans borrowed from other depository organizations
28.15.09	Long-term loans borrowed from other financial organizations
28.20.10	Long-term loans borrowed from non-residents
29	Accounts Payable
29.11.01	Payables to suppliers and contractors (Government of the Republic of Kazakhstan)
29.12.02	Payables to suppliers and contractors (regional and local authorities)
29.16.03	Payables to suppliers and contractors (state non-financial organizations)
29.17.04	Payables to suppliers and contractors (non-state non-financial organizations)
29.18.05	Payables to suppliers and contractors (non-commercial organizations serving households)
29.19.06	Payables to suppliers and contractors (households)
29.20.07	Payables to suppliers and contractors (non-residents)
29.15.08	Payables to subsidiaries (dependent) organizations (other financial organizations)
29.17.09	Payables to subsidiaries (dependent) organizations (non-state non-financial organizations)
29.19.10	Payables to employees and other residents
29.20.11	Payables to employees and other non-residents
29.11.12	Lease payables to the Government of the Republic of Kazakhstan
29.12.13	Lease payables to regional and local authorities
29.13.14	Lease payables to the National Bank of the Republic of Kazakhstan
29.14.15	Lease payables to other depository organizations
29.15.16	Lease payables to other financial organizations
29.16.17	Lease payables to state non-financial organizations
29.17.18	Lease payables to non-state non-financial organizations
29.18.19	Lease payables to non-commercial organizations serving households
29.19.20	Lease payables to households
29.20.21	Lease payables to non-residents
29.11.22	Rewards payable to the Government of the Republic of Kazakhstan
29.12.23	Rewards payable to regional and local authorities
29.14.24	Rewards payable to other depository organizations
29.15.25	Rewards payable to other financial organizations
29.20.26	Rewards payable to non-residents
29.11.27	Current portion of accounts payable to the Government of the Republic of Kazakhstan
29.12.28	Current portion of accounts payable to regional and local authorities
29.13.29	Current portion of accounts payable to the National Bank of the Republic of Kazakhstan
29.14.30	Current portion of accounts payable to other depository organizations
29.15.31	Current portion of accounts payable to other financial organizations
29.16.32	Current portion of accounts payable to state non-financial organizations
29.17.33	Current portion of accounts payable to non-state non-financial organizations
29.18.34	Current portion of accounts payable to non-commercial organizations serving households
29.19.35	Current portion of accounts payable to households
29.11.36	Other accounts payable to the Government of the Republic of Kazakhstan
29.12.37	Other accounts payable to regional and local authorities
29.13.38	Other accounts payable to the National Bank of the Republic of Kazakhstan
29.14.39	Other accounts payable to other depository organizations
29.15.40	Other accounts payable to other financial organizations
29.16.41	Other accounts payable to state non-financial organizations
29.17.42	Other accounts payable to non-state non-financial organizations
29.18.43	Other accounts payable to non-commercial organizations serving households
29.19.44	Other accounts payable to households
29.20.45	Other accounts payable to non-residents
30	Advances Received
30.14.01	Prepayment of rewards for deposits placed in other depository organizations
30.15.02	Prepayment of rewards for deposits placed in other financial organizations
30.20.03	Prepayment of rewards for deposits placed with non-residents
30.11.04	Other advances received from the Government of the Republic of Kazakhstan
30.12.05	Other advances received from regional and local authorities
30.13.06	Other advances received from the National Bank of the Republic of Kazakhstan
30.14.07	Other advances received from other depository organizations
30.15.08	Other advances received from other financial organizations
30.16.09	Other advances received from state non-financial organizations
30.17.10	Other advances received from non-state non-financial organizations
30.18.11	Other advances received from non-commercial organizations serving households
30.19.12	Other advances received from households
30.20.13	Other advances received from non-residents
31	Reserves
31.11.01	Guarantee obligations accepted from the Government of the Republic of Kazakhstan
31.12.02	Guarantee obligations accepted from regional and local authorities
31.13.03	Guarantee obligations accepted from the National Bank of the Republic of Kazakhstan
31.14.04	Guarantee obligations accepted from other depository organizations
31.15.05	Guarantee obligations accepted from other financial organizations
31.16.06	Guarantee obligations accepted from state non-financial organizations
31.17.07	Guarantee obligations accepted from non-state non-financial organizations
31.18.08	Guarantee obligations accepted from non-commercial organizations serving households
31.19.09	Guarantee obligations accepted from households
31.20.10	Guarantee obligations accepted from non-residents
31.19.11	Estimated liabilities for employee rewards (residents)
31.20.12	Estimated liabilities for employee rewards (non-residents)
31.11.13	Claim and litigation liabilities to the Government of the Republic of Kazakhstan
31.12.14	Claim and litigation liabilities to regional and local authorities
31.13.15	Claim and litigation liabilities to the National Bank of the Republic of Kazakhstan
31.14.16	Claim and litigation liabilities to other depository organizations
31.15.17	Claim and litigation liabilities to other financial organizations
31.16.18	Claim and litigation liabilities to state non-financial organizations
31.17.19	Claim and litigation liabilities to non-state non-financial organizations
31.18.20	Claim and litigation liabilities to non-commercial organizations serving households
31.19.21	Claim and litigation liabilities to households
31.20.22	Claim and litigation liabilities to non-residents
31.11.23	Other estimated liabilities to the Government of the Republic of Kazakhstan
31.12.24	Other estimated liabilities to regional and local authorities
31.13.25	Other estimated liabilities to the National Bank of the Republic of Kazakhstan
31.14.26	Other estimated liabilities to other depository organizations
31.15.27	Other estimated liabilities to other financial organizations
31.16.28	Other estimated liabilities to state non-financial organizations
31.17.29	Other estimated liabilities to non-state non-financial organizations
31.18.30	Other estimated liabilities to non-commercial organizations serving households
31.19.31	Other estimated liabilities to households
31.20.32	Other estimated liabilities to non-residents
32	Accrued expenses on settlements with shareholders regarding shares
32.11.01	Settlements on dividends and participant income with the Government of the Republic of Kazakhstan
32.13.02	Settlements on dividends and participant income with the National Bank of the Republic of Kazakhstan
32.14.03	Settlements on dividends and participant income with other depository organizations
32.15.04	Settlements on dividends and participant income with other financial organizations
32.16.05	Settlements on dividends and participant income with state non-financial organizations
32.17.06	Settlements on dividends and participant income with non-state non-financial organizations
32.18.07	Settlements on dividends and participant income with non-commercial organizations serving households
32.19.08	Settlements on dividends and participant income with households
32.20.09	Settlements on dividends and participant income with non-residents
33	Accrued expenses on settlements with personnel
33.19.01	Settlements with personnel (residents) for labor remuneration
33.20.02	Settlements with personnel (non-residents) for labor remuneration
34	Income of Future Periods
35	Deferred Tax Liability
35.11.01	Deferred corporate income tax
36	Liability to the budget for taxes and other mandatory payments to the budget
37	Other Liabilities
37.11.01	Other liabilities to the Government of the Republic of Kazakhstan
37.12.02	Other liabilities to regional and local authorities
37.13.03	Other liabilities to the National Bank of the Republic of Kazakhstan
37.14.04	Other liabilities to other depository organizations
37.15.05	Other liabilities to other financial organizations
37.16.06	Other liabilities to state non-financial organizations
37.17.07	Other liabilities to non-state non-financial organizations
37.18.08	Other liabilities to non-commercial organizations serving households
37.19.09	Other liabilities to households
37.20.10	Other liabilities to non-residents
38	Total Liabilities

Name ______________________________________

Address__________________________________________________________

Phone ________________________________________

Email Address _________________________

Executor ____________________________________ _______________

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

Head or person authorized to sign the report

---

surname, first name, patronymic (if any) signature

Date “____” ______________ 20 year

Note: The form is filled out in accordance with the instructions for filling out the form intended for the collection of administrative data on a gratuitous basis, “Report on Assets and Liabilities of Own Assets Classified by Economic Sectors.”

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, “Report on Assets and Liabilities of Own Assets Classified by Economic Sectors”

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

“Report on Assets and Liabilities of Own Assets Classified by Economic Sectors”

(index – 1-EiDNPF-AL(OA), frequency – quarterly)

Chapter 1. General Provisions

1. These instructions define the unified requirements for filling out the form intended for the collection of administrative data on a gratuitous basis, “Report on Assets and Liabilities of Own Assets Classified by Economic Sectors” (hereinafter – the Form).

2. The Form is filled out quarterly by a voluntary accumulative pension fund and a unified accumulative pension fund as of the end of the reporting period. Data in the Form is indicated 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 or more is rounded to 1000 (one thousand) tenge.

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

Chapter 2. Instructions for Filling out the Form

4. The Form contains data on all items of the “Assets” and “Liabilities” sections of the balance sheet of a voluntary accumulative pension fund and a unified accumulative pension fund regarding own assets as of the reporting date.

The total volume of assets reflected in Table 1 corresponds to the total amount of assets in the balance sheet regarding own assets as of the same reporting date.

The total volume of liabilities reflected in Table 2 corresponds to the total amount of liabilities in the balance sheet regarding own assets as of the same reporting date.

5. The line code (indicator) of Tables 1 and 2 of the Form is determined by the following structure:

1. the first part corresponds to the number of the main balance sheet item;

2. the second part consists of two digits – the code of the residency indicator and the code of the economic sector;

3. the third part – the sequential number of the indicator.

Codes for the residency indicator and the economic sector are specified in accordance with the Rules for applying codes of economic sectors and payment purposes, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 31, 2016 No. 203 “On Approval of the Rules for Applying Codes of Economic Sectors and Payment Purposes” (registered in the Registry of State Registration of Normative Legal Acts under No. 14365).

Assets and liabilities of a voluntary accumulative pension fund and a unified accumulative pension fund with respect to non-residents are not separated by economic sectors. In this case, the economic sector code with respect to a non-resident is specified as “0.”

Example: line code 15.15.08, where the first digit “15” is the number of the main balance sheet item, the second digit “15” is resident, other financial organizations, and the third digit “08” is the sequential number.

6. Arithmetic and logical control:

1. data in column 3 for all lines is equal to the sum of data in columns 4 and 5;

2. the “total assets” indicator for the line with code “24” is equal to the sum of indicators for lines with codes “1”, “2”, “3”, “4”, “5”, “6”, “7”, “8”, “9”, “10”, “11”, “12”, “13”, “14”, “15”, “16”, “17”, “18”, “19”, “20”, “21”, “22”, and “23”;

3. the “total liabilities” indicator for the line with code “38” is equal to the sum of indicators for lines with codes “25”, “26”, “27”, “28”, “29”, “30”, “31”, “32”, “33”, “34”, “35”, “36” and “37”.

Appendix 29

to the Rules for Reporting by Professional Securities Market Participants and the Unified Accumulative Pension Fund

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of administrative form: Report on Assets and Liabilities of Pension Assets Classified by Economic Sectors

Index of form intended for the collection of administrative data on a gratuitous basis: 2-EiDNPF-AL(PA)

Frequency: quarterly

Reporting period: as of “__” ________ 20 ___ year

Group of persons submitting the form intended for the collection of administrative data on a gratuitous basis: voluntary accumulative pension fund, unified accumulative pension fund

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: quarterly, no later than the 25th (twenty-fifth) day of the month following the reporting quarter

BIN: _______________________

Collection method: in electronic form

Table 1. Assets

(in thousands of tenge)

Line Code	Indicator Name	Total (as of the end of the reporting period)	including
in national currency	in foreign currency
1	2	3	4	5
1	Cash and cash equivalents
1.13.01	Cash (pension assets) on current accounts (contribution account) at the National Bank of the Republic of Kazakhstan
1.13.02	Cash (pension assets) on current accounts (investment account) at the National Bank of the Republic of Kazakhstan
1.14.03	Cash (pension assets) on current accounts (investment account) at other deposit organizations
1.15.04	Cash (pension assets) on current accounts (investment account) at other financial organizations
1.13.05	Cash (pension assets) on current accounts (payment account) at the National Bank of the Republic of Kazakhstan
1.14.06	Cash (pension assets) on current accounts (payment account) at other deposit organizations
1.15.07	Cash (pension assets) on current accounts (payment account) at other financial organizations
2	Refined precious metals
2.14.01	Refined precious metals at other deposit organizations
2.20.02	Refined precious metals with non-residents
2.14.03	Refined precious metals placed in metal accounts at other deposit organizations
2.20.04	Refined precious metals placed in metal accounts with non-residents
3	Deposits at the National Bank of the Republic of Kazakhstan and second-tier banks
3.13.01	Deposits placed at the National Bank of the Republic of Kazakhstan
3.14.02	Deposits placed at other deposit organizations
3.10.03	Deposits placed with non-residents
3.1	Less: Reserves for impairment
4	Securities measured at fair value
4.11.01	Securities issued by the Government of the Republic of Kazakhstan
4.12.02	Securities issued by regional and local authorities
4.13.03	Securities issued by the National Bank of the Republic of Kazakhstan
4.14.04	Securities issued by other deposit organizations, including
4.14.04.01	Equity securities
4.14.04.02	Debt securities
4.15.05	Securities issued by other financial organizations, including
4.15.05.01	Equity securities
4.15.05.02	Debt securities
4.16.06	Securities issued by state non-financial organizations, including
4.16.06.01	Equity securities
4.16.06.02	Debt securities
4.17.07	Securities issued by non-state non-financial organizations, including
4.17.07.01	Equity securities
4.17.07.02	Debt securities
4.20.08	Securities issued by non-residents, including
4.20.08.01	Equity securities
4.20.08.02	Debt securities
5	Reverse repo transaction claims
5.11.01	Reverse repo transaction claims to the Government of the Republic of Kazakhstan
5.13.02	Reverse repo transaction claims to the National Bank of the Republic of Kazakhstan
5.14.03	Reverse repo transaction claims to other deposit organizations
5.15.04	Reverse repo transaction claims to other financial organizations
5.16.05	Reverse repo transaction claims to state non-financial organizations
5.17.06	Reverse repo transaction claims to non-state non-financial organizations
5.20.07	Reverse repo transaction claims to non-residents
6	Derivative financial instruments
6.11.01	Derivative financial instrument transactions with the Government of the Republic of Kazakhstan
6.12.02	Derivative financial instrument transactions with regional and local authorities
6.13.03	Derivative financial instrument transactions with the National Bank of the Republic of Kazakhstan
6.14.04	Derivative financial instrument transactions with other deposit organizations
6.15.05	Derivative financial instrument transactions with other financial organizations
6.16.06	Derivative financial instrument transactions with state non-financial organizations
6.17.07	Derivative financial instrument transactions with non-state non-financial organizations
6.20.08	Derivative financial instrument transactions with non-residents
7	Assets under external management
8	Accounts receivable
8.11.01	Government of the Republic of Kazakhstan debt
8.12.02	Regional and local authorities debt
8.13.03	National Bank of the Republic of Kazakhstan debt
8.14.04	Other deposit organizations debt
8.15.05	Other financial organizations debt
8.16.06	State non-financial organizations debt
8.17.07	Non-state non-financial organizations debt
8.20.08	Non-residents debt
9	Claims for the negative difference between the nominal yield indicator and the minimum yield value
10	Claims for compensation of negative commission income from investment income
11	Securities measured at amortized cost
11.11.01	Securities measured at amortized cost issued by the Government of the Republic of Kazakhstan
11.12.02	Securities measured at amortized cost issued by regional and local authorities
11.13.03	Securities measured at amortized cost issued by the National Bank of the Republic of Kazakhstan
11.14.04	Securities measured at amortized cost issued by other deposit organizations
11.15.05	Securities measured at amortized cost issued by other financial organizations
11.16.06	Securities measured at amortized cost issued by state non-financial organizations
11.17.07	Securities measured at amortized cost issued by non-state non-financial organizations
11.20.08	Securities measured at amortized cost issued by non-residents
11.1	Less: Reserves for impairment
12	Other assets, including
12.01	Financial assets
12.02	Non-financial assets
13	Total assets

Table 2. Liabilities

(in thousands of tenge)

Line Code	Indicator Name	Total (as of the end of the reporting period)	including
in national currency	in foreign currency
1	2	3	4	5
14	Liabilities for pension payments, lump-sum withdrawals for housing improvement and/or treatment
14.19.01	Liabilities for payment of pension savings
14.15.02	Liabilities for transfer of pension savings to other accumulative pension funds
14.15.03	Liabilities for transfer of pension savings to insurance organizations
14.19.04	Liabilities for lump-sum withdrawals for housing improvement and/or treatment
15	Accounts payable for commission fees
15.15.01	Accrued commission fees from investment income (loss)
15.15.02	Accrued commission fees from pension assets
16	Accounts payable for individual income tax on pension payments
17	Derivative financial instruments
17.11.01	Derivative financial instrument transactions with the Government of the Republic of Kazakhstan
17.12.02	Derivative financial instrument transactions with regional and local authorities
17.13.03	Derivative instrument transactions with the National Bank of the Republic of Kazakhstan
17.14.04	Derivative financial instrument transactions with other deposit organizations
17.15.05	Derivative financial instrument transactions with other financial organizations
17.16.06	Derivative financial instrument transactions with state non-financial organizations
17.17.07	Derivative financial instrument transactions with non-state non-financial organizations
17.20.08	Derivative financial instrument transactions with non-residents
18	Liabilities for repo transactions
19	Other liabilities
19.19.01	Liabilities for return of erroneously credited pension contribution amounts
19.19.02	Other amounts pending clarification
19.00.03	Other liabilities
20	Total liabilities
21	Total net assets

Name ______________________________________

Address__________________________________________________________

Phone ________________________________________

Email address _________________________

Executor ____________________________________ _______________

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

Head or person entrusted with the function of signing the report

---

surname, first name, patronymic (if any) signature

Date “____” ______________ 20 year

Note: The form is filled out in accordance with the instructions for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on assets and liabilities of pension assets classified by economic sectors."

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, "Report on assets and liabilities of pension assets classified by economic sectors"

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

"Report on assets and liabilities of pension assets classified by economic sectors"

(index – 2-EiDNPF-AL(PA), frequency – quarterly)

Chapter 1. General Provisions

1. These instructions define the unified requirements for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on assets and liabilities of pension assets classified by economic sectors" (hereinafter – the Form).

2. The Form is filled out quarterly by the voluntary accumulative pension fund and the unified accumulative pension fund as of the end of the reporting period. Data in the Form is indicated 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.

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

Chapter 2. Instructions for filling out the Form

4. The Form contains data on all items of the "Assets" and "Liabilities" sections of the report on net pension assets of the voluntary accumulative pension fund and the unified accumulative pension fund as of the reporting date.

The total volume of assets reflected in Table 1 corresponds to the total amount of assets of the report on net pension assets for the same reporting date.

The total volume of liabilities reflected in Table 2 corresponds to the total amount of liabilities of the report on net pension assets for the same reporting date.

The amount of the "total net assets" item corresponds to the amount of the "total net assets" item of the report on net pension assets for the same reporting date.

5. The line code (indicator) of Tables 1 and 2 of the Form is determined by the following structure:

1. the first part corresponds to the number of the main item of the report on net pension assets;

2. the second part consists of two digits – the code of the residency indicator and the code of the economic sector;

3. the third part – the serial number of the indicator.

Codes for the residency indicator and economic sector are indicated in accordance with the Rules for applying codes of economic sectors and payment purposes, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 31, 2016 No. 203 "On Approval of the Rules for applying codes of economic sectors and payment purposes" (registered in the Registry of state registration of normative legal acts under No. 14365).

Assets and liabilities of the voluntary accumulative pension fund and the unified accumulative pension fund with respect to non-residents by economic sectors are not separated. In this case, the economic sector code with respect to a non-resident is indicated as "0".

Example: line code 15.15.08, where the first digit "15" is the number of the main item of the report on net pension assets, the second digit "15" is resident, other financial organizations, and the third digit "08" is the serial number.

6. Arithmetic and logical control:

1. data in column 3 for all lines is equal to the sum of data in columns 4 and 5;

2. the "total assets" indicator for the line with code "12" is equal to the sum of indicators for lines with codes "1", "2", "3", "4", "5", "6", "7", "8", "9", "10" and "11";

3. the "total liabilities" indicator for the line with code "18" is equal to the sum of indicators for lines with codes "13", "14", "15", "16", and "17";

4. the "total net assets" indicator for the line with code "19" is equal to the difference between indicators for lines with codes "12" and "18".

Appendix 30

to the Rules for reporting by professional participants of the securities market and the unified accumulative pension fund

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of administrative form: Report on compliance with investment limits

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

Frequency: monthly

Reporting period: as of “_____” _______________ 20 __ year

Circle of persons submitting the form intended for the collection of administrative data on a gratuitous basis: investment portfolio manager to whom pension assets have been transferred in trust management (hereinafter – trust manager)

Term for submitting the form intended for the collection of administrative data on a gratuitous basis: monthly, no later than the 7 (seventh) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

Table 1. In debt securities of one issue of the issuer

No.	Issuer Name	Identification Number	Total number of debt securities of this issue issued (in pieces)	Number of securities of this issue acquired from pension assets (in pieces)	Total as a percentage of the total number of debt securities of this issue issued from pension assets
1	2	3	4	5	6

Table 2. In voting shares of the issuer-resident of the Republic of Kazakhstan

No.	Name of the issuer-resident of the Republic of Kazakhstan	Identification Number	Total number of voting shares of this issuer (in pieces)	Number of voting shares of the issuer, including those that are the underlying asset of depositary receipts, acquired from pension assets (in pieces)	Number of voting shares of the issuer, including those that are the underlying asset of depositary receipts, acquired from pension assets of the unified accumulative pension fund (in pieces)	Total as a percentage of the total number of voting shares of this issuer from pension assets	Total as a percentage of the total number of voting shares acquired from pension assets of the unified accumulative pension fund
1	2	3	4	5	6	7	8

Table 3. In financial instruments issued (provided) by one person and its affiliated persons

No.	Name of the issuer who issued (provided) the financial instrument	Name of the affiliated person of the issuer indicated in column 2	Current cost of investments in financial instruments issued (provided) by the issuer and its affiliated persons (in thousands of tenge)	Current cost of pension assets (in thousands of tenge)	Total as a percentage of the current cost of pension assets
1	2	3	4	5	6

Table 4. In financial instruments denominated in foreign currency

No.	Name of the issuer who issued (provided) the financial instrument	Type of financial instrument	Currency code of the nominal value	Current cost of investments in financial instruments (in thousands of tenge)	Current cost of pension assets (in thousands of tenge)	Total as a percentage of the current cost of pension assets
1	2	3	4	5	6	7

Name ______________________________________

Address__________________________________________________________

Phone ________________________________________

Email address _________________________

Executor ______________________________________ ________________

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

Head or person entrusted with the function of signing the report

---

surname, first name, patronymic (if any) signature

Date “____” ______________ 20 year

Note: The form is filled out in accordance with the instructions for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on compliance with investment limits."

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, "Report on compliance with investment limits"

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

"Report on compliance with investment limits"

(index – 1-LIMITS-NPF, frequency – monthly)

Chapter 1. General Provisions

1. These instructions define the unified requirements for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on compliance with investment limits" (hereinafter – the Form).

2. The Form is compiled monthly by the trust manager. Data in the Form is indicated 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.

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

Chapter 2. Instructions for filling out the Form

4. The current cost of investments in financial instruments and pension assets, as well as percentage values, are indicated with two decimal places.

5. For Table 1:

1. column 4 is filled based on data from Bloomberg (Bloomberg) or REUTERS (REUTERS) information-analytical systems and/or the internet resource of the trading organizer;

2. column 6 is calculated as the ratio of column 5 to column 4.

6. For Table 2:

1. column 4 is filled based on data from the official website of the trading organizer and/or the internet resource of the authorized body for regulating, controlling and supervising the financial market and financial organizations;

2. column 6 indicates the number of voting shares of the issuer, including those that are the underlying asset of depositary receipts, acquired from pension assets of the unified accumulative pension fund, under the trust management of the National Bank of the Republic of Kazakhstan and managing the investment portfolio. Column 6 is filled based on the latest information on the structure of the investment portfolio of the unified accumulative pension fund from pension assets, published by the unified accumulative pension fund on its internet resource;

3. column 7 is calculated as the ratio of column 5 to column 4;

4. column 8 is calculated as the ratio of column 6 to column 4.

7. For Table 3:

1. column 3 is not filled with respect to persons whose more than 50 (fifty) percent of voting shares belong to the state or the national management holding;

2. column 4 is filled without taking into account investments in financial instruments of an affiliated person, in case if more than 50 (fifty) percent of its voting shares belong to the state or the national management holding;

3. column 6 is calculated as the ratio of column 4 to column 5.

8. For Table 4:

1. when filling out Table 4, balances in foreign currency at the custodian bank accounts carrying out accounting and storage of these pension assets are also included;

2. column 3 for securities indicates the international identification number (ISIN code) or other identifier of the security;

3. column 4 currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the representation of currencies and funds";

4. column 7 is calculated as the ratio of column 5 to column 6.

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

Appendix 31

to the Rules for reporting by professional participants of the securities market and the unified accumulative pension fund

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of administrative form: Report on the cost of one conditional unit of pension assets under trust management

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

Frequency: monthly

Reporting period: for _______________ 20 __ year

Circle of persons submitting the form intended for the collection of administrative data on a gratuitous basis: investment portfolio manager to whom pension assets have been transferred in trust management (hereinafter – trust manager)

Term for submitting the form intended for the collection of administrative data on a gratuitous basis: monthly, no later than the 7 (seventh) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

(in tenge)

Calculation Date	Transfers of pension assets received in trust from another investment portfolio manager and (or) the National Bank of the Republic of Kazakhstan for the calculation period	Transfers in trust to another investment portfolio manager and (or) the National Bank of the Republic of Kazakhstan for the calculation period	Current value of "net" pension assets on the calculation date
1	2	3	4

continuation of the table:

Number of conditional units on the calculation date	Cost of one conditional unit of pension assets on the calculation date	Commission remuneration from pension assets for the calculation period	Commission remuneration from investment income for the calculation period	Investment income from pension assets accrued for the calculation period
5	6	7	8	9

Name ______________________________________

Address__________________________________________________________

Phone ________________________________________

Email address _________________________

Executor ______________________________________ ________________

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

Head or person entrusted with the function of signing the report

---

surname, first name and patronymic (if any) signature

Date «____» ______________ 20 year

Note: the form is filled out in accordance with the instructions for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on the cost of one conditional unit of pension assets held in trust."

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, "Report on the cost of one conditional unit of pension assets held in trust"

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

"Report on the cost of one conditional unit of pension assets held in trust"

(index – 1-RCB_YE, frequency – monthly)

Chapter 1. General Provisions

1. These instructions define the unified requirements for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on the cost of one conditional unit of pension assets held in trust" (hereinafter – the Form).

2. The Form is prepared monthly by the trustee. Data in the Form is indicated in tenge.

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

Chapter 2. Instructions for filling out the Form

4. Column 5 indicates the number of conditional units of pension assets with an accuracy of three decimal places.

5. Column 6 indicates the cost of one conditional unit of pension assets with an accuracy of seven decimal places.

6. Columns 7, 8 and 9 are filled out for reference.

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

Appendix 32

to the Rules for reporting by securities market professionals and the unified accumulative pension fund

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on coefficients of nominal yield of pension assets

Index of the form intended for the collection of administrative data on a gratuitous basis: 1-RCB_K2

Frequency: monthly

Reporting period: as of «_____» _______________ 20 __ year

Circle of persons submitting the form intended for the collection of administrative data on a gratuitous basis: investment portfolio manager, to whom pension assets are transferred in trust (hereinafter – trustee)

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: monthly, no later than the 7 (seventh) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

No.	Name of the indicator	Value of the indicator
1	2	3
1	Average cost of one conditional unit of pension assets for the reporting period
2	Average cost of one conditional unit of pension assets for a similar period 12 (twelve) months ago
3	Nominal yield coefficient K2 (for 12 (twelve) months)
4	Average cost of one conditional unit of pension assets for a similar period 24 (twenty four) months ago
5	Nominal yield coefficient K2 (for 24 (twenty four) months)
6	Average cost of one conditional unit for a similar period 36 (thirty six) months ago
7	Nominal yield coefficient K2 (for 36 (thirty six) months)

Name ______________________________________

Address__________________________________________________________

Phone ________________________________________

Email address _________________________

Executor ______________________________________ ________________

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

Head or person entrusted with the function of signing the report

---

surname, first name and patronymic (if any) signature

Date «____» ______________ 20 year

Note: the form is filled out in accordance with the instructions for filling out the form intended for the collection of administrative data on a gratuitous basis "Report on coefficients of nominal yield of pension assets."

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, "Report on coefficients of nominal yield of pension assets"

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

"Report on coefficients of nominal yield of pension assets"

(index – 1-RCB_K2, frequency – monthly)

Chapter 1. General Provisions

1. These instructions define the unified requirements for filling out the form intended for the collection of administrative data on a gratuitous basis "Report on coefficients of nominal yield of pension assets" (hereinafter – the Form).

2. The Form is prepared monthly by the trustee.

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

Chapter 2. Instructions for filling out the Form

4. In rows 3, 5 and 7, the nominal yield coefficient is indicated with an accuracy of two decimal places.

5. In rows 1, 2, 4 and 6, the average cost of one conditional unit of pension assets is indicated with an accuracy of seven decimal places.

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

Appendix 33

to the Rules for reporting by securities market professionals and the unified accumulative pension fund

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on blocked (unexecuted) client orders

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

Frequency: quarterly

Reporting period: for _______________ 20 __ year

Circle of persons submitting the form intended for the collection of administrative data on a gratuitous basis: custodian

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: quarterly, no later than the last day of the month following the reporting quarter

BIN: _______________________

Collection method: in electronic form

Date	Client Name	Asset Type	Financial Instrument Type	Issuer Name	Security Code	Identification Number	Market
1	2	3	4	5	6	7	8

continuation of the table:

Type of blocked (unexecuted) order to conclude a transaction	Volume of blocked (unexecuted) order to conclude a transaction	Grounds for rejection
9	10	11

Name ______________________________________

Address__________________________________________________________

Phone ________________________________________

Email address _________________________

Executor ______________________________________ ________________

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

Head or person entrusted with the function of signing the report

---

surname, first name and patronymic (if any) signature

Date «____» ______________ 20 year

Note: the form is filled out in accordance with the instructions for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on blocked (unexecuted) client orders."

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, "Report on blocked (unexecuted) client orders"

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

"Report on blocked (unexecuted) client orders"

(index – 1-CUST_BLOK, frequency – quarterly)

Chapter 1. General Provisions

1. These instructions define the unified requirements for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on blocked (unexecuted) client orders" (hereinafter – the Form).

2. The Form is prepared quarterly by the custodian. Data in the Form is filled out in tenge.

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

Chapter 2. Instructions for filling out the Form

4. Column 2 indicates the name of the investment portfolio manager, the organization carrying out brokerage and dealing activities, being clients of the custodian.

5. Column 3 indicates the own or pension assets of voluntary accumulative pension funds, or assets of clients of organizations carrying out investment portfolio management, organizations carrying out brokerage and dealing activities, under the custody of the custodian.

6. Column 8 indicates the name of the market in the format "stock exchange", "unorganized market", "international market". In case the transaction was carried out in the trading system of a stock exchange, the country of its residence is indicated in the format "name of the stock exchange/country".

7. Column 9 indicates the type of blocked (unexecuted) order to conclude a transaction (purchase, sale, operation of opening and closing repos, conclusion of a bank deposit agreement and other transactions). For repo operations, the type of operation is also indicated: repo or "reverse repo".

8. Column 11 indicates the grounds on which the custodian blocked (did not execute) the order to conclude a transaction.

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

Appendix 34

to the Rules for reporting by securities market professionals and the unified accumulative pension fund

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on the number of custodian clients

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

Frequency: quarterly

Reporting period: for _______________ 20 __ year

Circle of persons submitting the form intended for the collection of administrative data on a gratuitous basis: custodian

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: quarterly, no later than the last day of the month following the reporting quarter

BIN: _______________________

Collection method: in electronic form

No.	Client Name	Residency Status	Number of Clients			Date of conclusion of the contract for custody services
Financial market licensees with indication of the type of activity carried out in accordance with the license of the authorized body for regulation, control and supervision of the financial market and financial organizations	Other legal entities	Other physical persons
1	2	3	4	5	6	7
Total	X	X

Name ______________________________________

Address__________________________________________________________

Phone ________________________________________

Email address _________________________

Executor ______________________________________ ________________

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

Head or person entrusted with the function of signing the report

---

surname, first name and patronymic (if any) signature

Date «____» ______________ 20 year

Note: the form is filled out in accordance with the instructions for filling out the form intended for the collection of administrative data on a gratuitous basis "Report on the number of custodian clients."

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, "Report on the number of custodian clients"

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

"Report on the number of custodian clients"

(index – 1-CUST_CLIENT, frequency – quarterly)

Chapter 1. General Provisions

1. These instructions define the unified requirements for filling out the form intended for the collection of administrative data on a gratuitous basis "Report on the number of custodian clients" (hereinafter – the Form).

2. The Form is prepared quarterly by the custodian.

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

Chapter 2. Instructions for filling out the Form

4. Column 2 indicates the surname, first name and patronymic (if any) of a physical person or the name of a legal entity, being clients of the custodian.

5. Column 3 indicates the residency status of the custodian's client (resident or non-resident).

6. In columns 4, 5 and 6, the number "1" is indicated in the corresponding column and summed in the "Total" row.

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

Appendix 35

to the Rules for reporting by securities market professionals and the unified accumulative pension fund

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on the movement of pension assets by investment account in national currency

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

Frequency: monthly

Reporting period: for _______________ 20 __ year

Circle of persons submitting the form intended for the collection of administrative data on a gratuitous basis: custodian of a voluntary accumulative pension fund, custodian carrying out storage and accounting of pension assets held in trust by an investment portfolio manager

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: monthly, no later than the 7 (seventh) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

---

(account number)

---

(name of voluntary accumulative pension fund or investment portfolio manager)

(in tenge)

Date	Balance at the beginning of the day	Inflows
Transfers from other accumulative pension funds		Voluntary pension contributions		Received dividends and remuneration on securities	Inflows from sale and redemption of securities
Total	in particular, distributed to individual pension accounts	Total	in particular, distributed to individual pension accounts
1	2	3	4	5	6	7	8

continuation of the table:

Inflows
Amount returned on deposits in second-tier banks		Returns from pension payment account	Penalty, fines received	Inflows from sale of foreign currency	Erroneously credited amounts	Other inflows	Total inflows
Deposit amount	Amount of received remuneration (interest) on deposits
9	10	11	12	13	14	15	16

continuation of the table:

Outflows									Balance at the end of the day ((2)+(16)-(25))
Expenses for purchasing securities	Placement on deposits in banks	Transfers to pension payment account	Commission remuneration		Return of erroneously credited amounts	Expenses for purchasing foreign currency	Other expenses	Total outflows
from pension assets	from investment income
17	18	19	20	21	22	23	24	25	26

Name ______________________________________

Address__________________________________________________________

Phone ________________________________________

Email address _________________________

Executor ______________________________________ ________________

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

Head or person entrusted with the function of signing the report

---

surname, first name and patronymic (if any) signature

Date «____» ______________ 20 year

Note: the form is filled out in accordance with the instructions for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on the movement of pension assets by investment account in national currency."

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, "Report on the movement of pension assets by investment account in national currency"

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

"Report on the movement of pension assets by investment account in national currency"

(index – 1-CUST_PA_KZT, frequency – monthly)

Chapter 1. General Provisions

1. These instructions define the unified requirements for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on the movement of pension assets by investment account in national currency" (hereinafter – the Form).

2. The Form is prepared monthly by the custodian of a voluntary accumulative pension fund and the custodian carrying out storage and accounting of pension assets held in trust by an investment portfolio manager, and is filled out for each separate working day of the reporting period. Data in the Form is filled out in tenge.

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

Chapter 2. Instructions for filling out the Form

4. Column 1 is reflected in the format "dd.mm.yyyy".

5. Amounts not subject to reflection are included in columns 15 and 24 with explanatory notes.

6. Columns 3 and 4 indicate the amount of transfers from the unified accumulative pension fund, as well as from voluntary accumulative pension funds.

7. When filling out column 15, a list of sources of other inflows received is attached to the report form.

8. Column 16 indicates the total amount of inflows for each working day of the reporting period.

9. Columns 20 and 21 indicate the amounts of commission remuneration paid to the voluntary accumulative pension fund.

10. When filling out column 24, information on other expenses included in the cost of pension assets is attached to the report form.

11. Column 25 indicates the total amount of expenses for each working day of the reporting period.

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

Appendix 36

to the Rules for reporting by securities market professionals and the unified accumulative pension fund

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on the movement of pension assets by investment account in foreign currency

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

Frequency: monthly

Reporting period: for _______________ 20 __ year

Circle of persons submitting the form intended for the collection of administrative data on a gratuitous basis: custodian of a voluntary accumulative pension fund, custodian carrying out storage and accounting of pension assets held in trust by an investment portfolio manager

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: monthly, no later than the 7 (seventh) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

---

(account number)

---

(name of foreign currency)

---

(name of voluntary accumulative pension fund or investment portfolio manager)

(in tenge)

Date	Receipts
Balance at the beginning of the day		Receipts from the sale and redemption of securities		Dividends and rewards (interest) received on securities		Amounts returned on bank deposits
Deposit amount		Amount of reward (interest) received on bank deposits
in foreign currency	in tenge	in foreign currency	in tenge	in foreign currency	in tenge	in foreign currency	in tenge	in foreign currency	in tenge
1	2	3	4	5	6	7	8	9	10	11

continuation of the table:

Receipts
Foreign currency acquired		Other receipts		Total receipts
in foreign currency	in tenge, at the purchase rate of foreign currency	in foreign currency	in tenge	in foreign currency	in tenge
12	13	14	15	16	17

continuation of the table:

Disbursements										Balance at the end of the day
expenses for the purchase of securities		placement on deposit in banks		foreign currency sold		other expenses		total disbursements
in foreign currency	in tenge	in foreign currency	in tenge	in foreign currency	in tenge, at the sale rate of foreign currency	in foreign currency	in tenge	in foreign currency	in tenge	in foreign currency	in tenge
18	19	20	21	22	23	24	25	26	27	28	29

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

Note: the form is filled out in accordance with the instructions for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on the movement of pension assets by investment account in foreign currency."

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, "Report on the movement of pension assets by investment account in foreign currency"

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

"Report on the movement of pension assets by investment account in foreign currency"

(index – 1-CUST_PA_FC, frequency – monthly)

Chapter 1. General Provisions

1. These instructions define the unified requirements for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on the movement of pension assets by investment account in foreign currency" (hereinafter – the Form).

2. The Form is compiled monthly by the custodian of the voluntary accumulation pension fund and the custodian carrying out the storage and accounting of pension assets under the discretionary management of the investment portfolio manager, and is filled out for each separate working day of the reporting period. Data in the Form is filled out in tenge.

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

Chapter 2. Instructions for filling out the Form

4. The Form is filled out and submitted in the presence and movement of funds in the investment account in foreign currency for each separate working day of the past month, indicating the total amounts for all positions for the reporting month.

5. Column 1 is reflected in the format "dd.mm.yyyy".

6. Amounts not subject to reflection are included in columns 14, 15, 24 and 25 with explanations.

7. In the presence and movement of several foreign currencies, the Form is submitted separately for each foreign currency.

8. When filling out columns 14 and 15, a list of sources of other receipts received is attached.

9. Columns 16 and 17 are filled with the total amounts of receipts for each working day of the reporting period.

10. When filling out columns 24 and 25, a list of information on other expenses included in the cost of pension assets is attached.

11. Columns 26 and 27 are filled with the total amounts of expenses for each working day of the reporting period.

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

Appendix 37

to the Rules for reporting by professional participants in the securities market and the unified accumulation pension fund

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on the structure of the investment portfolio of pension assets

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

Frequency: monthly

Reporting period: as of «_____» _______________ 20 __ year

Circle of persons submitting the form intended for the collection of administrative data on a gratuitous basis: custodian of the voluntary accumulation pension fund, custodian carrying out the storage and accounting of pension assets under the discretionary management of the investment portfolio manager

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: monthly, no later than the 7 (seventh) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

Table 1. Securities acquired at the expense of pension assets

---

(name of the voluntary accumulation pension fund or investment portfolio manager)

No.	Name of the issuer	Type of economic activity	Country of the issuer	Type of security	Identification number	Quantity of securities (pieces)
1	2	3	4	5	6	7
1.	Government securities of the Republic of Kazakhstan
1.1.		x
…		x
2.	Non-state issue securities of organizations of the Republic of Kazakhstan
2.1.	Securities of second-tier banks
2.1.1.
…
2.2.	Securities of legal entities, excluding second-tier banks
2.2.1.
…
3.	Securities of foreign states
3.1.		x
…		x
4.	Non-state securities of non-resident issuers of the Republic of Kazakhstan
4.1.		x
…		x
5.	Securities of international financial organizations
5.1.		x
…		x
6.	Shares of investment funds
6.1.
…
	Total:

continuation of the table:

Nominal value		Payment currency code	Purchase price per security			Period
currency code	cost of one security	in tenge	in the currency of nominal value			date of registration		date of maturity
8	9	10	11	12	13		14

continuation of the table:

Purchase cost of the security	Current value of securities			Category of securities	Current coupon rate in the portfolio (percent per annum)
total (in tenge)	in the currency of nominal value	including accrued reward, in tenge
15	16	17	18	19	20

Table 2. Securities acquired through reverse repo operations _______________________________________________________________________________________________________

(name of the voluntary accumulation pension fund or investment portfolio manager)

No.	Name of the issuer	Country of the issuer	Type of security	Identification number	Quantity of securities (pieces)	Currency code of nominal value	Currency code of the transaction	Opening price per security
in tenge	in the currency of nominal value
1	2	3	4	5	6	7	8	9	10
	Total:

continuation of the table:

Closing price per security		Period		Current value of securities (in tenge)	Yield rate on the transaction (percent per annum)
in tenge	in the currency of nominal value	Date of opening the transaction	Date of closing the transaction
11	12	13	14	15	16

Table 3. Deposits in the National Bank of the Republic of Kazakhstan and second-tier banks

---

(name of the voluntary accumulation pension fund or investment portfolio manager)

No.	Name of the bank	Currency code of the deposit	Date of conclusion and number of the bank deposit contract		Deposit term (in days)	Reward payment period		Reward rate (percent per annum)
date	number	frequency	date	nominal	effective
1	2	3	4	5	6	7	8	9	10
	Total:

continuation of the table:

Principal amount of the deposit (in tenge)		Current value (in tenge)
total	in foreign currency	total	including accrued reward
in tenge	in foreign currency
11	12	13	14	15

Table 4. Affined precious metals

---

(name of the voluntary accumulation pension fund or investment portfolio manager)

(in tenge)

No.	Name of the affined precious metal	Quantity of troy ounces	Payment currency code	Purchase price per troy ounce		Total purchase cost		Current value
in tenge	in currency	in tenge	in currency	in tenge	in currency
1	2	3	4	5	6	7	8	9	10
	Total:

Table 5. Contingent claims (obligations) _______________________________________________________________________________________________________

(name of the voluntary accumulation pension fund or investment portfolio manager)

(in tenge)

No.	Name of the type of derivative financial instrument	Underlying asset	Currency code	Identification number	Amount of claims (obligations) on the date of the transaction with the derivative instrument	Current value on the reporting date
1	2	3	4	5	6	7
1.	Contingent claims on derivative financial instruments
1.1
1.1.1
…
2.	Contingent obligations on derivative financial instruments
2.1
2.1.1
…

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

Note: the form is filled out in accordance with the instructions for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on the structure of the investment portfolio of pension assets."

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, "Report on the structure of the investment portfolio of pension assets"

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

"Report on the structure of the investment portfolio of pension assets"

(index – 1-CUST_SPPA, frequency – monthly)

Chapter 1. General Provisions

1. These instructions define the unified requirements for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on the structure of the investment portfolio of pension assets" (hereinafter – the Form).

2. The Form is compiled monthly by the custodian of the voluntary accumulation pension fund and the custodian carrying out the storage and accounting of pension assets under the discretionary management of the investment portfolio manager, and is filled out for each separate working day of the reporting period. Data in the Form is filled out in tenge.

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

Chapter 2. Instructions for filling out the Form

4. For Table 1:

1. the Form indicates data on securities and claims to obligations of the issuer on issue securities;

2. column 2 indicates the name of the issuer of the security;

3. column 3 indicates the type of economic activity in accordance with the national classifier of the Republic of Kazakhstan NK RK 03 "General classifier of types of economic activity". This column is filled out for non-state securities of resident issuers of the Republic of Kazakhstan;

4. column 4 indicates the country of the issuer in accordance with the national classifier of the Republic of Kazakhstan NK RK ISO 3166-1-2016 "Codes for the representation of names of countries and units of their administrative-territorial subdivisions. Part 1. Country codes";

5. column 5 indicates the type of security with its type specified;

6. column 6 indicates the international identification number (ISIN code) or another identifier of the security, regarding the rights to claims to the obligations of the issuer, the term of which has expired, and the issuer has not fulfilled the obligations for their redemption - the identifier of the claim rights;

7. column 7 indicates the quantity of acquired securities;

8. columns 8 and 10 indicate currency codes in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the representation of currencies and funds";

9. column 9 for bonds indicates the monetary expression of the cost of the bond determined at its issue, on which interest is accrued expressed as a percentage of the coupon bond, as well as the amount payable to the bondholder upon its redemption. The amount is indicated in the currency of issue;

10. columns 11 and 12 indicate the price reflected in the primary document confirming the transaction (exchange certificate, broker (dealer) report, confirmation via the international interbank system for transmitting information and making payments SWIFT (SWIFT)). In the event of payment for the acquired security in foreign currency, column 11 is filled out with a simultaneous reflection of the equivalent in the national currency – tenge in column 12, in the event of payment for the acquired security in the national currency – tenge, column 11 is filled out;

11. column 13 reflects the date of initial recognition in accounting in the format "dd.mm.yyyy";

12. column 14 indicates the maturity date of debt securities in the format "dd.mm.yyyy";

13. column 15 indicates the purchase cost of the security, including expenses directly related to the acquisition, including rewards and commissions paid to agents, consultants, brokers and (or) dealers, stock exchange fees, as well as banking services for transfers, reduced by the amount of the percentage paid by the buyer to the seller (if any);

14. column 16 indicates the value of the securities reflected in accounting;

15. column 19 indicates the category of the security "evaluated at fair value", "evaluated at amortized cost";

16. column 20 indicates the coupon rate on debt financial instruments on the date of submission of the Form.

5. For Table 2:

1. column 3 indicates the country of the issuer in accordance with the national classifier of the Republic of Kazakhstan NK RK ISO 3166-1-2016 "Codes for the representation of names of countries and units of their administrative-territorial subdivisions. Part 1. Country codes";

2. column 4 indicates the type of security with its type specified;

3. column 6 indicates the quantity of acquired securities;

4. columns 7 and 8 indicate currency codes in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the representation of currencies and funds";

5. columns 9 and 10 indicate the price with an accuracy of four decimal places, reflected in the primary document confirming the reverse repo transaction. In the event of payment for the acquired security in foreign currency, columns 10 and 12 are filled out with a simultaneous reflection of the equivalent in the national currency – tenge in columns 9 and 11, in the event of payment for the acquired security in the national currency – tenge, columns 9 and 11 are filled out;

6. column 15 indicates the current value reflected in accounting.

6. For Table 3:

1. column 3 indicates currency codes in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the representation of currencies and funds";

2. column 6 indicates the term of the deposit under the bank deposit contract, if the deposit is extended, the term is reflected taking into account the extension;

3. columns 7 and 8 indicate the frequency and date of payment of accrued reward in accordance with the terms of the bank deposit contract;

4. columns 11 and 12 indicate the amount of placement of pension assets in a deposit in the National Bank of the Republic of Kazakhstan and second-tier banks. In the event of placement of pension assets in a deposit in the national currency, column 11 is filled out;

5. Table 3 is filled out indicating the amount of deposits separately for each bank and for each currency of the deposit.

7. For Table 4:

1. column 4 indicates currency codes in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the representation of currencies and funds";

2. columns 5 and 7 indicate the price and purchase cost at the market exchange rate prevailing on the date of the transaction, column 10 indicates the amount at the market exchange rate prevailing on the reporting date. In the event of acquisition of affined precious metals in the national currency, columns 5, 7 and 9 are filled out;

3. column 9 indicates the current value reflected in accounting.

8. For Table 5:

1. column 3 indicates the underlying asset of the derivative financial instrument (name of the security and its issuer, currency, reward rate, commodity and other underlying assets);

2. column 4 indicates the currency of the transaction. The currency code is indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the representation of currencies and funds";

3. column 5 is filled out if the underlying asset of the derivative financial instrument is a security;

4. column 6 indicates the amount of contingent claims and obligations, which is formed when conducting transactions with derivative instruments, in accordance with the requirements of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated July 1, 2011 No. 69 "On Approval of the Instruction on Accounting for Operations with Pension Assets, Target Assets and Target Accumulations Carried Out by the Unified Accumulative Pension Fund and Voluntary Accumulation Pension Funds" (registered in the Registry of State Registration of Normative Legal Acts under No. 7118);

5. column 7 indicates the market value (replacement cost) of the derivative financial instrument, which represents:

for purchase transactions – the amount of excess of the current market value of the derivative financial instrument over the nominal contractual value of this derivative financial instrument (contingent claims), the amount of excess of the nominal contractual value of the derivative financial instrument over the current market value of this derivative financial instrument (contingent obligations);

for sale transactions – the amount of excess of the nominal contractual value of the derivative financial instrument over the current market value of this derivative financial instrument (contingent claims), the amount of excess of the current market value of the derivative financial instrument over the nominal contractual value of this derivative financial instrument (contingent obligations).

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

Appendix 38

to the Rules for reporting by professional participants in the securities market and the unified accumulation pension fund

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on accrued and paid commissions and rewards

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

Frequency: monthly

Reporting period: for _______________ 20 __ year

Circle of persons submitting the form intended for the collection of administrative data on a gratuitous basis: custodian of the voluntary accumulation pension fund, custodian carrying out the storage and accounting of pension assets under the discretionary management of the investment portfolio manager

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: monthly, no later than the 7 (seventh) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

---

(name of the voluntary accumulation pension fund or investment portfolio manager)

(in tenge)

Date	Accrued		Paid
from pension assets	from investment income	from pension assets	from investment income
1	2	3	4	5
Total:

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

Note: the form is filled in accordance with the instructions for filling out the form intended for the collection of administrative data on a gratuitous basis, “Report on accrued and paid commission rewards.”

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, “Report on accrued and paid commission rewards”

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

“Report on accrued and paid commission rewards”

(index – 1-CUST_REWARD, frequency – monthly)

Chapter 1. General Provisions

1. These instructions define the unified requirements for filling out the form intended for the collection of administrative data on a gratuitous basis, “Report on accrued and paid commission rewards” (hereinafter – the Form).

2. The Form is compiled monthly by the custodian of a voluntary accumulated pension fund and by the custodian carrying out the storage and accounting of pension assets held in the trust management of an investment portfolio manager, and is filled out for each separate working day of the reporting period. Data in the Form is filled out in tenge.

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

Chapter 2. Instructions for Filling out the Form

4. In column 1, a separate working day of the reporting month is indicated in the format “dd.mm.yyyy”.

5. In columns 2 and 3, the amount of accrued commission reward is indicated.

6. In columns 4 and 5, the amount of paid commission reward is indicated.

7. In the “Total” row, total amounts for all positions for the reporting month are indicated.

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

Appendix 39

to the Rules for submitting reports by professional participants in the securities market and the unified accumulated pension fund

Form,

intended for the collection of administrative data

Submitted to: the National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on applications for the purchase (sale) of securities

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

Frequency: daily

Reporting period: as of “_____” _______________ 20 __ year

Circle of persons submitting the form intended for the collection of administrative data on a gratuitous basis: trading organizer

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: daily, until the end of the working day following the reporting day

BIN: _______________________

Collection method: in electronic form

Application number	Date and time of application submission		Type of application	Direction of application	Type of market
date	time
1	2	3	4	5	6

continuation of the table:

Security code	Identification number of the security	Quotation currency code	Price	Net price	Yield on debt securities
7	8	9	10	11	12

continuation of the table:

Quantity	Volume	Code of the trading organizer member	Depot account	Personal identification number	Application flag
13	14	15	16	17	18

continuation of the table:

Client code	Application status	Date and time of application withdrawal		Market price	Weighted average price	Trading mode
date	time
19	20	21	22	23	24	25

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

Note: the form is filled in accordance with the instructions for filling out the form intended for the collection of administrative data on a gratuitous basis, “Report on applications for the purchase (sale) of securities.”

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, “Report on applications for the purchase (sale) of securities”

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

“Report on applications for the purchase (sale) of securities”

(index – 1-KASE_PSS, frequency – daily)

Chapter 1. General Provisions

1. These instructions define the unified requirements for filling out the form intended for the collection of administrative data on a gratuitous basis, “Report on applications for the purchase (sale) of securities” (hereinafter – the Form).

2. The Form is compiled daily by the trading organizer and filled out for each reporting day. Data in the Form is filled out in tenge.

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

Chapter 2. Instructions for Filling out the Form

4. In column 1, the sequence number of the application is indicated.

5. In columns 2 and 21, the date of application submission and the date of application withdrawal are indicated in the format “dd.mm.yyyy”.

6. In columns 3 and 22, the time of application submission and the time of application withdrawal are indicated in the format “hours: minutes: seconds”.

7. In column 4, the type of application is indicated: “limit” – limit order, “market” – market order, “nego” – direct order.

8. In column 5, the direction of the application is indicated as purchase or sale.

9. In column 6, the type of market is indicated: “Tbills” – government securities market, “Equities” – stock market, “Debts” – bond market.

10. In column 7, the security code is indicated, determined by the trading organizer in accordance with the securities coding order provided by its internal documents.

11. In column 9, the quotation currency code of the security is indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 “Codes for the presentation of currencies and funds”.

12. In columns 10 and 14, the price per security with the quotation accuracy determined by the trading organizer in accordance with its internal documents, and the volume of the application are indicated in tenge. The volume of the application is recognized as the product of columns 10 (“Price”) and 13 (“Quantity”). In column 10, the price at which the market participant is ready to buy (sell) the security is indicated.

13. In columns 11 and 12, the net price with the quotation accuracy determined by the trading organizer in accordance with its internal documents, and the yield at which the market participant is ready to buy (sell) the debt security are indicated in percent. Columns 11 and 12 are filled out for debt securities.

14. In column 13, the quantity of securities in the application is indicated in pieces.

15. In column 15, the code of the trading organizer member is indicated, determined by the trading organizer in accordance with the coding order of trading organizer members provided by its internal documents.

16. In column 16, the account (sub-account) of the security holder opened in the central depository accounting system is indicated.

17. In column 17, the personal identification number of the stock exchange trader who submitted the application to conclude transactions is indicated.

18. In column 18, the application flag is indicated as a digit: “0” – if the application was submitted by a non-market maker, “1” – if the application was submitted by a market participant for the purpose of performing market maker functions to support security quotations.

19. In column 19, the unique client code assigned by the central depository is indicated.

20. In column 20, the status of the application provided by the internal documents of the trading organizer is indicated.

21. In column 23, the market price of the security on the date of the transaction conclusion, determined by the trading organizer in accordance with the security valuation methodology provided by its internal documents, is indicated. For bonds, the market price is indicated in percent of the nominal value. Data in column 23 are indicated with four decimal places.

22. In column 24, the weighted average market price of the stock or the weighted average market yield of the bond to maturity on the date of the transaction conclusion, determined by the trading organizer in accordance with its internal documents, is indicated.

23. In column 25, the trading mode provided by the trading system is indicated.

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

Appendix 40

to the Rules for submitting reports by professional participants in the securities market and the unified accumulated pension fund

Form,

intended for the collection of administrative data

Submitted to: the National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on the results of securities trading with indication of the parties to the transactions

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

Frequency: daily

Reporting period: as of “_____” _______________ 20 __ year

Circle of persons submitting the form intended for the collection of administrative data on a gratuitous basis: trading organizer

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: daily, until the end of the working day following the reporting day

BIN: _______________________

Collection method: in electronic form

Transaction number	Date and time of transaction conclusion		Type of market	Trading method	Type of market
date	time
1	2	3	4	5	6

continuation of the table:

Security code	Identification number of the security	Quotation currency code	Price	Net price	Yield on debt securities	Maturity date of debt securities	Quantity
7	8	9	10	11	12	13	14

continuation of the table:

Volume	Code of the trading organizer member acting as seller	Sale depot account	Seller client code	Application number for sale	Code of the trading organizer member acting as buyer	Purchase depot account
15	16	17	18	19	20	21

continuation of the table:

Buyer client code	Application number for purchase	Transaction status	Settlement date	Market price	Weighted average price	Trading mode
22	23	24	25	26	27	28

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

Note: the form is filled in accordance with the instructions for filling out the form intended for the collection of administrative data on a gratuitous basis, “Report on the results of securities trading with indication of the parties to the transactions.”

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, “Report on the results of securities trading with indication of the parties to the transactions”

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

“Report on the results of securities trading with indication of the parties to the transactions”

(index – 1-KASE_ST, frequency: daily)

Chapter 1. General Provisions

1. These instructions define the unified requirements for filling out the form intended for the collection of administrative data on a gratuitous basis, “Report on the results of securities trading with indication of the parties to the transactions” (hereinafter – the Form).

2. The Form is compiled daily by the trading organizer and filled out for each reporting day. Data in the Form is filled out in tenge.

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

Chapter 2. Instructions for Filling out the Form

4. In column 1, the sequence number of the transaction is indicated.

5. In column 2, the date of the transaction conclusion is indicated in the format “dd.mm.yyyy”.

6. In column 3, the time of the transaction conclusion is indicated in the format “hours:minutes:seconds”.

7. In column 4, the type of market is indicated as a digit: “0” – if the transaction for the purchase and sale of securities was concluded on the secondary securities market, “1” – if the transaction for the purchase and sale of securities was concluded on the primary securities market.

8. In column 5, the trading method is indicated as a digit: “0” – if the transaction for the purchase and sale of securities was concluded by the method of continuous counter auction, “1” – if the transaction for the purchase and sale of securities was concluded by the method of concluding direct (addressed) transactions, “2” – if the transaction for the purchase and sale of securities was concluded by the fixing method, “3” – if the transaction for the purchase and sale of securities was concluded by the Frankfurt trading method, “4” – if the transaction for the purchase and sale of securities was concluded by the specialized trading method, “5” – if the transaction for the purchase and sale of securities was concluded by the English trading method, “6” – transaction for the purchase and sale of securities was concluded by the Dutch trading method, “7” – if the transaction for the purchase and sale of securities was concluded by the subscription method; “8” – if the transaction for the purchase and sale of securities was concluded by the discrete trading method; “9” – other methods provided by the internal documents of the trading organizer.

9. In column 6, the type of market provided by the trading system is indicated.

10. In column 7, the security code is indicated, determined by the trading organizer in accordance with the securities coding order provided by its internal documents.

11. In column 9, the quotation currency code of the security is indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 “Codes for the presentation of currencies and funds”.

12. In columns 10 and 15, the price per security with the quotation accuracy determined by the trading organizer in accordance with its internal documents, and the volume of the transaction are indicated in tenge. The volume of the transaction is recognized as the product of columns 10 (“Price”) and 14 (“Quantity”). In column 10, the price at which the market participant concluded the transaction with the security is indicated.

13. In columns 11 and 12, the net price and yield with the quotation accuracy determined by the trading organizer in accordance with its internal documents, at which the market participant concluded the transaction with the debt security, are indicated in percent. Columns 11 and 12 are filled out for debt securities.

14. In column 14, the quantity of securities in the transaction is indicated in pieces.

15. In columns 16 and 20, the code of the trading organizer member is indicated, determined by the trading organizer in accordance with the coding order of trading organizer members provided by its internal documents.

16. In columns 17 and 21, the account (sub-account) of the security holder opened in the central depository accounting system is understood as the account (sub-account).

17. In columns 18 and 22, the unique client codes assigned by the central depository are indicated.

18. In column 24, the status of the transaction provided by the internal documents of the trading organizer is indicated.

19. In column 26, the market price of the security on the date of the transaction conclusion, determined by the trading organizer in accordance with the security valuation methodology provided by its internal documents, is indicated. For bonds, the market price is indicated in percent of the nominal value. Data in column 26 are indicated with four decimal places.

20. In column 27, the weighted average market price of the stock or the weighted average market yield of the bond to maturity on the date of the transaction conclusion, determined by the trading organizer in accordance with the order for calculating weighted average market prices of stocks and weighted average market yields of bonds to maturity provided by the internal documents of the trading organizer, is indicated.

21. In column 28, the trading mode provided by the trading system is indicated.

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

Appendix 41

to the Rules for submitting reports by professional participants in the securities market and the unified accumulated pension fund

Form,

intended for the collection of administrative data

Submitted to: the National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on applications for securities repurchase operations

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

Frequency: daily

Reporting period: as of “_____” _______________ 20 __ year

Circle of persons submitting the form intended for the collection of administrative data on a gratuitous basis: trading organizer

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: daily, until the end of the working day following the reporting day

BIN: _______________________

Collection method: in electronic form

Application number	Date and time of application submission		Direction of application	Type of repo	Repo instrument code	Security code	Identification number of the security
date	time
1	2	3	4	5	6	7	8

continuation of the table:

Quotation currency code	Price	Yield	Quantity of securities	Volume	Code of the trading organizer member	Depot account
9	10	11	12	13	14	15

continuation of the table:

Client code	Personal identification number	Application status	Date and time of application withdrawal		Repo term	Discount size	Trading mode
date	time
16	17	18	19	20	21	22	23

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

Note: the form is filled in accordance with the instructions for filling out the form intended for the collection of administrative data on a gratuitous basis, “Report on applications for securities repurchase operations.”

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, “Report on applications for securities repurchase operations”

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

“Report on applications for securities repurchase operations”

(index – 1-KASE_ABR, frequency – daily)

Chapter 1. General Provisions

1. These instructions define the unified requirements for filling out the form intended for the collection of administrative data on a gratuitous basis, “Report on applications for securities repurchase operations” (hereinafter – the Form).

2. The Form is compiled daily by the trading organizer and filled out for each reporting day. Data in the Form is filled out in tenge.

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

Chapter 2. Instructions for Filling out the Form

4. In column 1, the sequence number of the application is indicated.

5. In columns 2 and 19, the date of application submission and the date of application withdrawal are indicated in the format “dd.mm.yyyy”.

6. In columns 3 and 20, the time of application submission and the time of application withdrawal are indicated in the format “hours:minutes:seconds”.

7. In column 4, the direction of the application is indicated as purchase or sale. The direction of the application is indicated with respect to securities.

8. In column 5, the transaction method is indicated: “direct repo” or “automatic repo”.

9. In column 6, the code of the repo operation instrument is indicated as a code determined by the trading organizer in accordance with the coding order of repo operation instruments provided by its internal documents.

10. In column 7, the security code is indicated, determined by the trading organizer in accordance with the securities coding order provided by its internal documents.

11. In column 9, the quotation currency code of the security is indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 “Codes for the presentation of currencies and funds”.

12. In columns 10 and 13, the price per security with the quotation accuracy determined by the trading organizer in accordance with its internal documents, and the volume of the application are indicated in tenge. The volume of the application is recognized as the product of columns 10 (“Price”) and 12 (“Quantity”). When submitting an application for purchase under automatic repo operations, the volume of money is recognized as the volume of the application. In column 10, the price at which the market participant is ready to conduct the repo operation is indicated.

13. In column 11, the yield with the quotation accuracy determined by the trading organizer in accordance with its internal documents, at which the market participant is ready to conduct the repo operation, is indicated in percent.

14. In column 12, the quantity of securities (in pieces) offered by the seller of securities for the “direct (automatic) repo” operation is indicated.

15. In column 14, the code of the trading organizer member is indicated, determined by the trading organizer in accordance with the coding order of trading organizer members provided by its internal documents.

16. In column 15, the account (sub-account) of the security holder opened in the central depository accounting system is indicated.

17. Column 16 indicates the unique client code assigned by the central depository.

18. Column 17 indicates the personal identification number of the stock exchange trader who submitted the application to conclude a securities repo transaction.

19. Column 18 indicates the status of the application, as provided for by the internal documents of the trading organizer.

20. Column 21 indicates the term of the repo transaction, determined by the trading organizer in accordance with its internal documents.

21. Column 22 indicates the discount rate applied to the price of the instrument that is the subject of the repo transaction.

22. Column 23 indicates the trading mode provided for by the trading system.

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

Appendix 42

to the Rules for Reporting by Professional Securities Market Participants and the Unified Accumulative Pension Fund

Form,

designed for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on securities repo transactions with indication of their participants

Index of the form designed for the collection of administrative data on a gratuitous basis: 1-KASE_ABRvP

Frequency: daily

Reporting period: as of “_____” _______________ 20 __ year

List of persons submitting the form designed for the collection of administrative data on a gratuitous basis: trading organizer

Deadline for submitting the form designed for the collection of administrative data on a gratuitous basis: daily, by the end of the working day following the reporting day

BIN: _______________________

Collection method: in electronic form

Deal Number	Date and Time of Deal Conclusion		Type of Repo	Transaction Type	Instrument Code	Security Code	Security Identification Number	Price	Yield
date	time
1	2	3	4	5	6	7	8	9	10

continuation of the table:

Quantity	Volume	Code of the trading organizer member acting as seller	Sale depot account	Seller client code	Seller application number	Code of the trading organizer member acting as buyer
11	12	13	14	15	16	17

continuation of the table:

Purchase depot account	Buyer client code	Buyer application number	Deal Status	Repo Term	Closing Date	Discount Size	Opening Deal Number	Trading Mode
18	19	20	21	22	23	24	25	26

Name ______________________________________

Address__________________________________________________________

Phone ______________________________________

Email Address _________________________

Executor ______________________________________ ________________

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

Head or person entrusted with the function of signing the report

---

surname, first name and patronymic (if any) signature

Date “____” ______________ 20 year

Note: the form is filled out in accordance with the instructions for filling out the form designed for the collection of administrative data on a gratuitous basis, “Report on securities repo transactions with indication of their participants.”

Appendix

to the form designed for the collection of administrative data on a gratuitous basis, “Report on securities repo transactions with indication of their participants”

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

“Report on securities repo transactions with indication of their participants”

(index – 1-KASE_ABRvP, frequency – daily)

Chapter 1. General Provisions

1. These instructions define the unified requirements for filling out the form designed for the collection of administrative data on a gratuitous basis, “Report on securities repo transactions with indication of their participants” (hereinafter – Form).

2. The Form is compiled daily by the trading organizer and filled out for each reporting day. Data in the Form is filled out in tenge.

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

Chapter 2. Instructions for Filling out the Form

4. Column 1 indicates the sequential number of the deal.

5. Column 2 indicates the date of the deal conclusion in the format “dd.mm.yyyy”.

6. Column 3 indicates the time of the deal conclusion in the format “hours:minutes:seconds”.

7. Column 4 indicates the method of the deal: “direct repo” or “automatic repo”.

8. Column 5 indicates the type of repo transaction as opening or closing.

9. In columns 9 and 12, the price per security with the quoting accuracy determined by the trading organizer in accordance with its internal documents, and the volume of the deal are indicated in tenge. The volume of the deal is recognized as the product of columns 9 (“Price”) and 11 (“Quantity”).

10. Column 10 indicates the yield with the quoting accuracy determined by the trading organizer in accordance with its internal documents, at which the trading participant concluded the repo transaction, in percent.

11. Column 11 indicates the quantity of securities (in pieces) offered by the seller of the repo transaction.

12. In columns 13 and 17, the code of the trading organizer member is indicated, determined by the trading organizer in accordance with the coding order of trading organizer members provided for by its internal documents.

13. In columns 14 and 18, the account (sub-account) depot is understood as the personal account (sub-account) of the securities holder opened in the central depository accounting system.

14. In columns 15 and 19, unique client codes assigned by the central depository are indicated.

15. In columns 16 and 20, the sequential numbers of applications to conclude the repo transaction, submitted by the seller and buyer of securities, respectively, are indicated.

16. Column 21 indicates the status of the deal, provided for by the internal documents of the trading organizer.

17. Column 22 indicates the term of the repo transaction, determined by the trading organizer in accordance with its internal documents.

18. Column 23 indicates the closing date of the repo transaction in the format “dd.mm.yyyy”. This column is filled out only for the opening of a repo transaction.

19. Column 24 indicates the discount rate applied to the price of the financial instrument that is the subject of the repo transaction.

20. Column 25 indicates the sequential number of the corresponding repo opening deal. This column is filled out only for the closing of a repo transaction.

21. Column 26 indicates the trading mode provided for by the trading system.

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

Appendix 43

to the Rules for Reporting by Professional Securities Market Participants and the Unified Accumulative Pension Fund

Form,

designed for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on applications for the purchase (sale) of derivative financial instruments

Index of the form designed for the collection of administrative data on a gratuitous basis: 1-KASE_ABD

Frequency: daily

Reporting period: as of “_____” _______________ 20 __ year

List of persons submitting the form designed for the collection of administrative data on a gratuitous basis: trading organizer

Deadline for submitting the form designed for the collection of administrative data on a gratuitous basis: daily, by the end of the working day following the reporting day

BIN: _______________________

Collection method: in electronic form

Application Number	Date and Time of Application Submission		Type	Application Direction	Instrument Code	Price per Contract	Currency Name	Quantity of Contracts
date	time
1	2	3	4	5	6	7	8	9

continuation of the table:

Quantity of Underlying Assets in One Contract	Volume	Code of the Trading Organizer Member	Code of the Trading Account	Clearing Code
10	11	12	13	14

continuation of the table:

Personal Identification Number	Application Flag	Date and Time of Application Cancellation		Status of Application
date	time
15	16	17	18	19

Name ______________________________________

Address__________________________________________________________

Phone ______________________________________

Email Address _________________________

Executor ______________________________________ ________________

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

Head or person entrusted with the function of signing the report

---

surname, first name and patronymic (if any) signature

Date “____” ______________ 20 year

Note: the form is filled out in accordance with the instructions for filling out the form designed for the collection of administrative data on a gratuitous basis, “Report on applications for the purchase (sale) of derivative financial instruments.”

Appendix

to the form designed for the collection of administrative data on a gratuitous basis, “Report on applications for the purchase (sale) of derivative financial instruments”

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

“Report on applications for the purchase (sale) of derivative financial instruments”

(index – 1-KASE_ABD, frequency – daily)

Chapter 1. General Provisions

1. These instructions define the unified requirements for filling out the form designed for the collection of administrative data on a gratuitous basis, “Report on applications for the purchase (sale) of derivative financial instruments” (hereinafter – Form).

2. The Form is compiled daily by the trading organizer and filled out for each reporting day. Data in the Form is filled out in tenge.

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

Chapter 2. Instructions for Filling out the Form

4. Column 1 indicates the sequential number of the application.

5. In columns 2 and 17, the date of application submission and the date of application cancellation are indicated in the format “dd.mm.yyyy”.

6. In columns 3 and 18, the time of application submission and the time of application cancellation are indicated in the format “hours:minutes:seconds”.

7. Column 4 indicates the type of application: “limit” – limit order, “nego” – direct order.

8. Column 5 indicates the direction of the application as purchase or sale.

9. In columns 7 and 11, the price per contract and the volume of the application are indicated in tenge. In column 11, the volume of the application is recognized as the product of columns 7 (“Price per Contract”) and 9 (“Quantity of Contracts”). In column 7, the price per contract is indicated as the price at which the trading participant is willing to conclude a transaction with derivative financial instruments.

10. Column 8 indicates the name of the currency in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 “Codes for the representation of currencies and funds”.

11. In columns 9 and 10, the quantity of contracts of the application and the quantity of underlying assets in one contract are indicated in pieces.

12. Column 14 indicates the clearing register, designed for accounting information about the trading participant’s collateral in money and/or obligations under transactions, of which the trading participant is a party.

13. Column 15 indicates the personal identification number of the stock exchange trader who submitted the application to conclude a transaction with derivative financial instruments.

14. Column 16 indicates the application flag as a digit: “0” – if the application was submitted not by a market maker, “1” – if the application was submitted by a trading participant for the purpose of performing market maker functions to maintain quotes for derivative securities.

15. Column 19 indicates the status of the application, provided for by the internal documents of the trading organizer.

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

Appendix 44

to the Rules for Reporting by Professional Securities Market Participants and the Unified Accumulative Pension Fund

Form,

designed for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on the results of trading in derivative financial instruments with indication of the parties to the deals

Index of the form designed for the collection of administrative data on a gratuitous basis: 1-KASE_DT

Frequency: daily

Reporting period: as of “_____” _______________ 20 __ year

List of persons submitting the form designed for the collection of administrative data on a gratuitous basis: trading organizer

Deadline for submitting the form designed for the collection of administrative data on a gratuitous basis: daily, by the end of the working day following the reporting day

BIN: _______________________

Collection method: in electronic form

Deal Number	Date and Time of Deal Conclusion		Instrument Code	Trading Method	Price per Contract	Currency Name	Quantity of Contracts
date	time
1	2	3	4	5	6	7	8

continuation of the table:

Quantity of Underlying Assets in One Contract	Volume	Code of the Trading Organizer Member acting as Seller	Sale Trading Account Code	Sale Clearing Code	Sale Application Number
9	10	11	12	13	14

continuation of the table:

Code of the Trading Organizer Member acting as Buyer	Purchase Trading Account Code	Purchase Clearing Code	Purchase Application Number	Execution Date
15	16	17	18	19

Name ______________________________________

Address__________________________________________________________

Phone ______________________________________

Email Address _________________________

Executor ______________________________________ ________________

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

Head or person entrusted with the function of signing the report

---

surname, first name and patronymic (if any) signature

Date “____” ______________ 20 year

Note: the form is filled out in accordance with the instructions for filling out the form designed for the collection of administrative data on a gratuitous basis, “Report on the results of trading in derivative financial instruments with indication of the parties to the deals.”

Appendix

to the form designed for the collection of administrative data on a gratuitous basis, “Report on the results of trading in derivative financial instruments with indication of the parties to the deals”

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

“Report on the results of trading in derivative financial instruments with indication of the parties to the deals”

(index – 1-KASE_DT, frequency – daily)

Chapter 1. General Provisions

1. These instructions define the unified requirements for filling out the form designed for the collection of administrative data on a gratuitous basis, “Report on the results of trading in derivative financial instruments with indication of the parties to the deals” (hereinafter – Form).

2. The Form is compiled daily by the trading organizer and filled out for each reporting day. Data in the Form is filled out in tenge.

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

Chapter 2. Instructions for Filling out the Form

4. Column 1 indicates the sequential number of the deal.

5. Column 2 indicates the date of the deal conclusion in the format “dd.mm.yyyy”.

6. Column 3 indicates the time of the deal conclusion in the format “hours:minutes:seconds”.

7. Column 5 indicates the trading method as a digit: “0” – if the transaction for the purchase and sale of derivative financial instruments was concluded by the method of continuous cross auction, “1” – if the transaction for the purchase and sale of derivative financial instruments was concluded by the method of concluding direct (addressed) transactions.

8. In columns 6 and 10, the price per contract and the volume of the deal are indicated in tenge. In column 10, the volume of the deal is recognized as the product of columns 6 (“Price per Contract”) and 8 (“Quantity of Contracts”). In column 6, the price per contract is indicated as the price at which the trading participant concluded a transaction with derivative financial instruments.

9. Column 7 indicates the name of the currency of the deal in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 “Codes for the representation of currencies and funds”.

10. In columns 8 and 9, the quantity of contracts of the deal and the quantity of underlying assets in one contract are indicated in pieces.

11. In columns 11 and 15, the code of the trading organizer member is indicated, determined by the trading organizer in accordance with the coding order of trading organizer members provided for by its internal documents.

12. Column 13 indicates the clearing register, designed for accounting information about the trading participant’s collateral in money and/or obligations under transactions for the sale of a derivative financial instrument, of which the trading participant is a party.

13. Column 17 indicates the clearing register, designed for accounting information about the trading participant’s collateral in money and/or obligations under transactions for the purchase of a derivative financial instrument, of which the trading participant is a party.

14. Column 19 indicates the actual date of the deal settlement in the format “dd.mm.yyyy”.

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

Appendix 45

to the Rules for Reporting by Professional Securities Market Participants and the Unified Accumulative Pension Fund

Form,

designed for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on applications for the purchase (sale) of foreign currencies

Index of the form designed for the collection of administrative data on a gratuitous basis: 1-KASE_FC

Frequency: daily

Reporting period: as of “_____” _______________ 20 __ year

List of persons submitting the form designed for the collection of administrative data on a gratuitous basis: trading organizer

Deadline for submitting the form designed for the collection of administrative data on a gratuitous basis: daily, by the end of the working day following the reporting day

BIN: _______________________

Collection method: in electronic form

Application Number	Date and Time of Application Submission		Application Direction	Financial Instrument Code	Price	Quantity	Volume
date	time
1	2	3	4	5	6	7	8

continuation of the table:

Code of the Trading Organizer Member	Code of the Trading Account	Code of the Client	Type of Application	Status of Application	Yield of Currency Swap	Trading Mode
9	10	11	12	13	14	15

Name ______________________________________

Address__________________________________________________________

Phone ______________________________________

Email Address _________________________

Executor ______________________________________ ________________

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

Head or person entrusted with the function of signing the report

---

surname, first name and patronymic (if any) signature

Date “____” ______________ 20 year

Note: the form is filled out in accordance with the instructions for filling out the form designed for the collection of administrative data on a gratuitous basis, “Report on applications for the purchase (sale) of foreign currencies.”

Appendix

to the form designed for the collection of administrative data on a gratuitous basis, “Report on applications for the purchase (sale) of foreign currencies”

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

“Report on applications for the purchase (sale) of foreign currencies”

(index – 1-KASE_FC, frequency – daily)

Chapter 1. General Provisions

1. These instructions define the unified requirements for filling out the form designed for the collection of administrative data on a gratuitous basis, “Report on applications for the purchase (sale) of foreign currencies” (hereinafter – Form).

2. The Form is compiled daily by the trading organizer and filled out for each reporting day. Data in the Form is filled out in tenge.

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

Chapter 2. Instructions for Filling out the Form

4. Column 1 indicates the sequential number of the application.

5. Column 2 indicates the date of application submission in the format “dd.mm.yyyy”.

6. Column 3 indicates the time of application submission in the format “hours:minutes:seconds”.

7. Column 4 indicates the direction of the application as purchase or sale.

8. Column 5 indicates the code of the financial instrument, determined by the trading organizer in accordance with the coding order of foreign currencies provided for by its internal documents.

9. In columns 6 and 8, the price per financial instrument with the quoting accuracy determined by the trading organizer in accordance with its internal documents, and the volume of the application are indicated in tenge. The volume of the application is recognized as the product of columns 8 (“Price”) and 9 (“Quantity”), except for currency swap transactions. In column 8, the price is indicated at which the trading participant is willing to buy (sell) the financial instrument.

10. Column 7 indicates the quantity of financial instruments of the application in pieces.

11. Column 9 indicates the code of the trading organizer member, determined by the trading organizer in accordance with the coding order of trading organizer members provided for by its internal documents.

12. Column 11 indicates the code of the client, determined by the trading organizer in accordance with the coding order of foreign currencies provided for by its internal documents.

13. Column 12 indicates the type of application: “limit” – limit order, “market” – market order, “nego” – direct order.

14. Column 13 indicates the status of the application, provided for by the internal documents of the trading organizer.

15. Column 14 indicates the yield, with the quoting accuracy determined by the trading organizer in accordance with its internal documents, at which the participant is willing to buy (sell) foreign currency. Column 14 is filled out for currency swap transactions.

16. Column 15 indicates the trading mode provided for by the trading system.

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

Appendix 46

to the Rules for Reporting by Professional Securities Market Participants and the Unified Accumulative Pension Fund

Form,

designed for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on the results of foreign currency trading

Index of the Form, designed for the collection of administrative data on a gratuitous basis: 1-KASE_RFC

Frequency: daily

Reporting period: as of “___” _______________ 20 year

Circle of persons submitting the Form, designed for the collection of administrative data on a gratuitous basis: trading organizer

Deadline for submitting the Form, designed for the collection of administrative data on a gratuitous basis: daily, by the end of the working day following the reporting day

BIN: _______________________

Collection method: in electronic form

Deal Number	Date and time of the deal		Financial Instrument Code	Price	Yield	Quantity	Volume
date	time
1	2	3	4	5	6	7	8

continuation of the table:

Code of the trading organizer member acting as seller	Code of the sales trading account	Client Code	Sales Order Number	Code of the trading organizer member acting as buyer	Code of the purchase trading account	Client Code
9	10	11	12	13	14	15

continuation of the table:

| | | | | |
| --- | --- | --- | --- |
| Purchase Order Number | Deal Status | Execution Date | Deal Flag | Trading Mode |
| 16 | 17 | 18 | 19 | 20 |

Name ______________________________________

Address__________________________________________________________

Phone ______________________________________

Email Address _________________________

Executor ______________________________________ ________________

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

Head or person vested with the function of signing the report

---

surname, name and patronymic (if any) signature

Date “____” ______________ 20 year

Note: the form is filled out in accordance with the instructions for filling out the form, designed for the collection of administrative data on a gratuitous basis, “Report on the results of foreign currency trading.”

Appendix

to the form, designed for the collection of administrative data on a gratuitous basis, “Report on the results of foreign currency trading”

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

“Report on the results of foreign currency trading”

(index – 1-KASE_RFC, frequency – daily)

Chapter 1. General Provisions

1. These instructions define the uniform requirements for filling out the form, designed for the collection of administrative data on a gratuitous basis, “Report on the results of foreign currency trading” (hereinafter – the Form).

2. The Form is compiled daily by the trading organizer and filled out for each reporting day. Data in the Form is filled out in tenge.

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

Chapter 2. Instructions for filling out the Form

4. Column 1 indicates the sequential number of the deal.

5. Columns 2 and 18 indicate the date of the deal and the actual settlement date of the deal in the format “dd.mm.yyyy”.

6. Column 3 indicates the time of the deal and the actual settlement time of the deal in the format “hours:minutes:seconds”.

7. Column 4 indicates the financial instrument code, determined by the trading organizer in accordance with the coding order for foreign currencies provided for by its internal documents.

8. Columns 5 and 8 indicate the price for one financial instrument with the precision of quotation determined by the trading organizer in accordance with its internal documents, and the volume of the deal in tenge. The volume of the deal is recognized as the product of columns 5 (“Price”) and 7 (“Quantity”).

9. Column 6 indicates the yield, with the precision of quotation determined by the trading organizer in accordance with its internal documents, at which trading participants concluded a deal on a currency swap, in percent.

10. Column 7 indicates the quantity of financial instruments in pieces.

11. Column 9 indicates the codes of the trading organizer members, determined by the trading organizer in accordance with the coding order for trading organizer members provided for by its internal documents.

12. Columns 11 and 15 indicate the client codes, determined by the trading organizer in accordance with the coding order for foreign currencies provided for by its internal documents.

13. Column 17 indicates the deal status provided for by the internal documents of the trading organizer.

14. Column 19 indicates the number of the main swap deal. Column 19 is filled out for currency swap operations.

15. Column 20 indicates the trading mode provided for by the trading system.

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

Appendix 47

to the Rules for Reporting by Professional Securities Market Participants and the Unified Accumulative Pension Fund

Form,

designed for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on the members of the trading organizer

Index of the Form, designed for the collection of administrative data on a gratuitous basis: 1-KASE_SEM

Frequency: quarterly

Reporting period: as of “___” _______________ 20 year

Circle of persons submitting the Form, designed for the collection of administrative data on a gratuitous basis: trading organizer

Deadline for submitting the Form, designed for the collection of administrative data on a gratuitous basis: quarterly, no later than the 5 (fifth) working day of the month following the reporting quarter

BIN: _______________________

Collection method: in electronic form

Table 1. Information on the members of the trading organizer

No.	Name of the trading organizer member	Type and details of the license	Code of the trading organizer member	Date		Membership Category
admission	exclusion	----	----	----
1	2	3	4	5	6	7	8	…
Total: number of trading organizer members		(number of members)	x	x	x
of which making deals with securities and financial instruments		(number of members making deals)	x	x	x

Table 2. Report on the members of the trading organizer possessing the status of a market maker with respect to financial instruments, including securities included in the list of the trading organizer

No.	Name of the trading organizer member	Financial Instrument Code (Security Code)	Date		Minimum volume of mandatory quotation of financial instruments (securities)	Difference between demand and supply quotations of financial instruments (securities)	Other conditions
granting status	loss of status
1	2	3	4	5	6	7	8
1.
…
Total number of trading organizer members possessing the status of a market maker, of which: by securities; by other financial instruments that are not securities.

Name ______________________________________

Address__________________________________________________________

Phone ______________________________________

Email Address _________________________

Executor ______________________________________ ________________

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

Head or person vested with the function of signing the report

---

surname, name and patronymic (if any) signature

Date “____” ______________ 20 year

Note: the form is filled out in accordance with the instructions for filling out the form, designed for the collection of administrative data on a gratuitous basis “Report on the members of the trading organizer.”

Appendix

to the form, designed for the collection of administrative data on a gratuitous basis, “Report on the members of the trading organizer”

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

“Report on the members of the trading organizer”

(index – 1-KASE_SEM, frequency – quarterly)

Chapter 1. General Provisions

1. These instructions define the uniform requirements for filling out the form, designed for the collection of administrative data on a gratuitous basis “Report on the members of the trading organizer” (hereinafter – the Form).

2. The Form is compiled quarterly by the trading organizer and filled out as of the end of the reporting period.

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

Chapter 2. Instructions for filling out the Form

4. By Table 1:

1. The Form is filled out in chronological order of admission of trading organizer members;

2. in column 3, as the type and details of the license, its full name, number and date of issue by the National Bank of the Republic of Kazakhstan or the authorized body for regulation, control and supervision of the financial market and financial organizations are indicated;

3. in column 4, the code of the trading organizer member is indicated, determined by the trading organizer in accordance with the coding order for trading organizer members provided for by its internal documents;

4. in columns 7, 8 and subsequent columns, membership categories are indicated, determined by the internal documents of the trading organizer.

5. By Table 2:

1. in column 3, as the code of the financial instrument (security), identification codes assigned by the trading organizer in accordance with the coding order for financial instruments provided for by its internal documents are used;

2. in columns 4 and 5, the dates of granting and loss of the market maker status are indicated in the format “dd.mm.yyyy”;

3. in column 7, the difference between the demand and supply quotations of the market maker’s financial instruments is indicated in accordance with the value determined by the trading organizer.

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

Appendix 48

to the Rules for Reporting by Professional Securities Market Participants and the Unified Accumulative Pension Fund

Form,

designed for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on securities included in separate sectors (categories) of the list of the trading organizer

Index of the Form, designed for the collection of administrative data on a gratuitous basis: 1-KASE_S

Frequency: monthly

Reporting period: as of “___” _______________ 20 year

Circle of persons submitting the Form, designed for the collection of administrative data on a gratuitous basis: trading organizer

Deadline for submitting the Form, designed for the collection of administrative data on a gratuitous basis: monthly, no later than the 5 (fifth) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

No.	Name of the security issuer	Country of residence of the issuer	Security Code	Identification number of the security	Date		Currency Code of Nominal	Nominal
inclusion of the security in the list	exclusion from the list (including upon redemption)
1	2	3	4	5	6	7	8	9
Sector _________ of the list
Category of the list _________
1	Type of security
1.1.
…
Total: by ____ (type of security) category___			(number of issuers)		(number of securities)		x	x
Category of the list _________
…	Type of security
…
…
Total: by ____ (type of security) category___			(number of issuers)		(number of securities)		x	x
Total: by category of the list________			(number of issuers)		(number of securities)		x	x
Total: by sector of the list			(number of issuers)		(number of securities)		x	x
Total issuers _________, of which non-residents __________

continuation of the table:

Number of deals			Volume of deals			Minimum deal price	Maximum deal price	Weighted average price of deals	Last deal		Current coupon rate
total	placement	circulation	total	placement	circulation	date	price
10	11	12	13	14	15	16	17	18	19	20	21

Name ______________________________________

Address__________________________________________________________

Phone ______________________________________

Email Address _________________________

Executor ______________________________________ ________________

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

Head or person vested with the function of signing the report

---

surname, name and patronymic (if any) signature

Date “____” ______________ 20 year

Note: the form is filled out in accordance with the instructions for filling out the form, designed for the collection of administrative data on a gratuitous basis, “Report on securities included in separate sectors (categories) of the list of the trading organizer.”

Appendix

to the form, designed for the collection of administrative data on a gratuitous basis, “Report on securities included in separate sectors (categories) of the list of the trading organizer”

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

“Report on securities included in separate sectors (categories) of the list of the trading organizer”

(index – 1-KASE_S, frequency – monthly)

Chapter 1. General Provisions

1. These instructions define the uniform requirements for filling out the form, designed for the collection of administrative data on a gratuitous basis, “Report on securities included in separate sectors (categories) of the list of the trading organizer” (hereinafter – the Form).

2. The Form is compiled monthly by the trading organizer and filled out as of the last day of the reporting month.

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

Chapter 2. Instructions for filling out the Form

4. Column 3 indicates the country of residence in accordance with the national classifier of the Republic of Kazakhstan NK RK ISO 3166-1-2016 “Codes for the representation of names of countries and units of their administrative-territorial subdivisions. Part 1. Country codes”.

5. In column 4, as the code of the security, identification codes assigned by the trading organizer in accordance with the coding order for securities provided for by its internal documents are used.

6. Column 5 indicates the international identification number (ISIN code) or another identifier of the security.

7. In columns 6, 7 and 19, the date of inclusion of the security in the list of the trading organizer, its exclusion from the list, as well as the date of the last deal are indicated in the format “dd.mm.yyyy”.

8. In column 8, currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 “Codes for the representation of currencies and funds”.

9. In columns 10, 11 and 12, the number of deals made with the security during the reporting period is indicated in pieces.

10. In columns 13, 14, 15, 16, 17, 18, 19 and 20, the volume, minimum, maximum, weighted average price of deals made with the security during the reporting period, as well as the price of the last deal are indicated in tenge.

11. As the sector and category of the list of the stock exchange, the list of the stock exchange, the sector of the stock exchange, the isolated platforms of the stock exchange and the categories of the list of the stock exchange are indicated in accordance with the internal documents of the stock exchange.

12. In column 21, the current coupon rate is filled out for debt securities.

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

Appendix 49

to the Rules for Reporting by Professional Securities Market Participants and the Unified Accumulative Pension Fund

Form,

designed for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on financial instruments, excluding securities included in the list of the trading organizer

Index of the Form, designed for the collection of administrative data on a gratuitous basis: 1-KASE_FI

Frequency: monthly

Reporting period: as of “___” _______________ 20 year

Circle of persons submitting the Form, designed for the collection of administrative data on a gratuitous basis: trading organizer

Deadline for submitting the Form, designed for the collection of administrative data on a gratuitous basis: monthly, no later than the 5 (fifth) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

No.	General details of the financial instrument	Code of the financial instrument	Date		Number of deals	Volume of deals (in tenge)	Minimum price (in tenge)	Maximum price (in tenge)	Weighted average price (in tenge)
admission of the financial instrument to trading	exclusion from the list (including upon execution of a futures contract)
1	2	3	4	5	6	7	8	9	10
Total financial instruments

Name ______________________________________

Address__________________________________________________________

Phone ______________________________________

Email Address _________________________

Executor ______________________________________ ________________

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

Head or person vested with the function of signing the report

---

surname, name and patronymic (if any) signature

Date “____” ______________ 20 year

Note: the form is filled out in accordance with the instructions for filling out the form, designed for the collection of administrative data on a gratuitous basis, “Report on financial instruments, excluding securities included in the list of the trading organizer.”

Appendix

to the form, designed for the collection of administrative data on a gratuitous basis, “Report on financial instruments, excluding securities included in the list of the trading organizer”

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

“Report on financial instruments, excluding securities included in the list of the trading organizer”

(index – 1-KASE_FI, frequency – monthly)

Chapter 1. General Provisions

1. These instructions define the uniform requirements for filling out the form, designed for the collection of administrative data on a gratuitous basis, “Report on financial instruments, excluding securities included in the list of the trading organizer” (hereinafter – the Form).

2. The Form is compiled monthly by the trading organizer and filled out as of the last day of the reporting month. Data in the Form is filled out in tenge. Securities in the Form are filled out in chronological order of their inclusion in the list.

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

Chapter 2. Instructions for filling out the Form

4. In column 3, as the code of the financial instrument, identification codes assigned by the trading organizer in accordance with the coding order for financial instruments provided for by its internal documents are used.

5. In columns 4 and 5, the dates of admission of the financial instrument to trading and exclusion from the list (including upon execution of a futures contract) are indicated in the format “dd.mm.yyyy”.

6. In column 6, the number of deals made with the financial instrument during the reporting period is indicated in pieces.

7. In columns 7, 8, 9 and 10, the volume, minimum, maximum, weighted average price of deals made with the financial instrument during the reporting period are indicated in tenge.

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

Appendix 50

to the Rules for Reporting by Professional Securities Market Participants and the Unified Accumulative Pension Fund

Form,

designed for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on the volume of deals

Index of the Form, designed for the collection of administrative data on a gratuitous basis: 1-KASE_VOLUME_DEALINGS

Frequency: monthly

Reporting period: as of “___” _______________ 20 year

Circle of persons submitting the Form, designed for the collection of administrative data on a gratuitous basis: trading organizer

Deadline for submitting the Form, designed for the collection of administrative data on a gratuitous basis: monthly, no later than the 5 (fifth) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

No.	Sectors of the list	Number of deals	Volume of deals, in tenge
1	2	3	4
1.	Placement:
1.1.
…
2.	Circulation:
2.1.
…
3.	Repo deals:
3.1.
…
4.	Total

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

Note: the form is completed in accordance with the instructions for completing the form intended for the collection of administrative data on a gratuitous basis, “Report on Trading Volumes.”

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, “Report on Trading Volumes”

Instructions for completing the form intended for the collection of administrative data on a gratuitous basis

“Report on Trading Volumes”

(index – 1-KASE_VOLUME_DEALINGS, frequency – monthly)

Chapter 1. General Provisions

1. These instructions define the uniform requirements for completing the form intended for the collection of administrative data on a gratuitous basis, “Report on Trading Volumes” (hereinafter – the Form).

2. The Form is compiled monthly by the trading organizer and completed as of the last day of the reporting month.

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

Chapter 2. Instructions for completing the Form

4. In column 2, the list of the stock exchange, separate trading platforms of the stock exchange, sectors, and categories of the stock exchange list are indicated in accordance with the internal documents of the stock exchange.

5. In column 3, the number of transactions completed with the financial instrument during the reporting period is indicated, in pieces.

6. In column 4, the volume of transactions completed with the financial instrument during the reporting period is indicated.

7. In the absence of information, the Form is submitted without completion.

Appendix 51

to the Rules for submitting reports by professional participants of the securities market and the Unified Accumulative Pension Fund

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on Securities Market Capitalization

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

Frequency: monthly

Reporting period: as of “_____” _______________ 20 __ year

List of persons submitting the form intended for the collection of administrative data on a gratuitous basis: trading organizer

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: monthly, no later than the 5 (fifth) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

Table 1. Securities Market Capitalization

No.	Platform sector, categories, subcategories	Number of securities issues	Number of issuers	Market Capitalization (in thousands of tenge)
1	2	3	4	5
1.
1.1.
…
2.
2.1.
…

Table 2. Capitalization of companies whose shares are included in the trading list of the trading organizer

No.	Name of the securities issuer	Issuer Code	Number of issued ordinary shares
1	2	3	4

continuation of the table:

Weighted average price of one ordinary share	Number of issued preferred shares	Weighted average price of one preferred share	Issuer Capitalization (in thousands of tenge)
5	6	7	8

Table 3. Total nominal value of corporate bonds in the official list of the trading organizer

No.	Name of the securities issuer	Issuer country of residence	Securities Code	Securities Identification Number
1	2	3	4	5
Platform sector, categories, subcategories
1
...
Platform sector, categories, subcategories
1
...

continuation of the table:

Date of inclusion of the security in the list	Currency code of the nominal value	Nominal value of one security	Number of issued bonds
6	7	8	9

continuation of the table:

Total nominal value of bonds (in thousands of tenge)	Exchange rate of the nominal currency	Indexation currency of the nominal value	Indexation rate of the nominal value
10	11	12	13

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

Note: the form is completed in accordance with the instructions for completing the form intended for the collection of administrative data on a gratuitous basis, “Report on Securities Market Capitalization.”

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, “Report on Securities Market Capitalization”

Instructions for completing the form intended for the collection of administrative data on a gratuitous basis

“Report on Securities Market Capitalization”

(index – 1-KASE_SС, frequency – monthly)

Chapter 1. General Provisions

1. These instructions define the uniform requirements for completing the form intended for the collection of administrative data on a gratuitous basis, “Report on Securities Market Capitalization” (hereinafter – the Form).

2. The Form is compiled monthly by the trading organizer and completed as of the last day of the reporting month.

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

Chapter 2. Instructions for completing the Form

4. For Table 1:

1. in column 2, the list of the stock exchange, separate trading platforms of the stock exchange, sectors, and categories of the stock exchange list are indicated in accordance with the internal documents of the stock exchange;

2. in column 3, the number of securities issues included in the trading organizer’s list is indicated.

3. in column 4, the number of issuers whose securities are included in the trading organizer’s list is indicated.

4. in column 5, an indicator indicating the total nominal value of issued bonds included in the official list (for bonds) and the market value of shares included in the official list of the trading organizer (for shares) is indicated, in accordance with the procedure established by its internal documents, in thousands of tenge. This column is completed only for the stock market and the corporate bond market.

5. For Table 2:

1. Table 2 is completed for issuers whose shares are included in the calculation of the total capitalization of the stock market in accordance with the procedure provided for by the internal documents of the trading organizer;

2. in column 3, identification codes assigned by the trading organizer in accordance with the procedure for coding securities issuers provided for by its internal documents are used as the issuer code;

3. in columns 4 and 6, the number of issued ordinary and preferred shares of the issuer is indicated in pieces;

4. in columns 5 and 7, the weighted average price of one ordinary and preferred share of the issuer, determined by the trading organizer in accordance with the procedure provided for by the internal documents of the trading organizer, is indicated in tenge;

5. in column 8, the capitalization of the issuer’s shares, determined by the trading organizer in accordance with the procedure provided for by the internal documents of the trading organizer, is indicated in thousands of tenge.

6. For Table 3:

1. Table 3 is completed for corporate bonds included in the calculation of the total nominal value of the corporate bond market in accordance with the procedure provided for by the internal documents of the trading organizer;

2. in column 3, the country of residence is indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK ISO 3166-1-2016 “Codes for the representation of names of countries and their administrative-territorial units. Part 1. Country codes”;

3. in column 4, identification codes assigned by the trading organizer in accordance with the procedure for coding securities provided for by its internal documents are used as the securities code;

4. in column 5, the international identification number (ISIN code) or another identifier of the security is indicated;

5. in column 6, the date of inclusion of the security in the trading organizer’s list is indicated in the format “dd.mm.yyyy”;

6. in column 7, the currency code of the nominal value of the security is indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 “Codes for the representation of currencies and funds”;

7. in column 9, the number of issued securities is indicated in pieces;

8. in column 10, the total nominal value of corporate bonds, determined by the trading organizer in accordance with the procedure provided for by the internal documents of the trading organizer, is indicated in thousands of tenge;

9. in column 11, the exchange rate of the nominal currency used to calculate the nominal value of corporate bonds in accordance with the internal documents of the trading organizer is indicated;

10. columns 12 and 13 are completed only for corporate bonds having a nominal value indexed to changes in the exchange rate of the tenge to foreign currency.

7. In the absence of information, the Form is submitted without completion.

Appendix 52

to the Rules for submitting reports by professional participants of the securities market and the Unified Accumulative Pension Fund

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on Client Accounts

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

Frequency: monthly

Reporting period: as of “_____” _______________ 20 __ year

List of persons submitting the form intended for the collection of administrative data on a gratuitous basis: trading organizer

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: monthly, no later than the 5 (fifth) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

(in thousands of tenge)

No.	Client Accounts		Legal Entities
Resident Banks	Non-resident Banks	Other Legal Entities
1	2		3	4	5
1.	Current Accounts	Total, including:
in foreign currency
2.	Correspondent Accounts	Total, including:
in foreign currency
3.	Other Accounts	Total, including:
in foreign currency
4.	Total	Total, including:
in foreign currency

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

Note: the form is completed in accordance with the instructions for completing the form intended for the collection of administrative data on a gratuitous basis, “Report on Client Accounts.”

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, “Report on Client Accounts”

Instructions for completing the form intended for the collection of administrative data on a gratuitous basis

“Report on Client Accounts”

(index – 1-KASE_SK, frequency – monthly)

Chapter 1. General Provisions

1. These instructions define the uniform requirements for completing the form intended for the collection of administrative data on a gratuitous basis, “Report on Client Accounts” (hereinafter – the Form).

2. The Form is compiled monthly by the trading organizer. Data in the Form is completed as of the end of the reporting period 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) thousand tenge.

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

Chapter 2. Instructions for completing the Form

4. The Form discloses the structure of current, correspondent, and other accounts attracted by the trading organizer, broken down by legal entities, including in foreign currency.

5. In columns 3, 4, and 5, the balances of money in the accounts are indicated.

6. In the absence of information, the Form is submitted without completion.

Appendix 53

to the Rules for submitting reports by professional participants of the securities market and the Unified Accumulative Pension Fund

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on transactions with persons related to the trading organizer by special relations, concluded during the reporting month, as well as those in effect as of the reporting date, and a register of persons related to the trading organizer by special relations

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

Frequency: monthly

Reporting period: as of “_____” _______________ 20 __ year

List of persons submitting the form intended for the collection of administrative data on a gratuitous basis: trading organizer

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: monthly, no later than the 5 (fifth) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

Table 1. Transactions with persons related to the trading organizer by special relations, concluded during the reporting month, as well as those in effect as of “_” _________________ 20 year

No.	Name of the legal entity or surname, first name and patronymic (if any) of the physical person	Business Identification Number (for a legal entity), Individual Identification Number (for a physical person, including for an individual entrepreneur) or other identification number (for non-residents of the Republic of Kazakhstan)	Country of residence	Indicator, according to which the person is classified as a person related by special relations to the trading organizer	Type of operation	Purpose of the transaction	Contract Number
1	2	3	4	5	6	7	8
	Total

continuation of the table:

Date of conclusion (date of commencement of performance of conditions) of the contract	Date of expiration (date of cessation of performance of conditions) of the contract	Details of the decision of the Board of Directors of the trading organizer or the General Meeting of Shareholders (in the absence of a Board of Directors)	Transaction amount under the contract (in thousands of tenge)	Currency Type	Collateral Type
9	10	11	12	13	14

continuation of the table:

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)	by a person related to the trading organizer by special relations in favor of the trading organizer	by the trading organizer in favor of a person related to the trading organizer by special relations	in accordance with the internal documents of the trading organizer
15	16	17	18	19

continuation of the table:

Accrued Income (Expenses)		Current Balance as of the Reporting Date		Sum of Created Reserves (Provisions) in accordance with International Financial Reporting Standards	Details of the decision of the Board of Directors of the organization carrying out certain types of banking operations or the 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 trading organizer with persons related to it by special relations, the amounts of which for each type of operation of the trading organizer with a person related to it by special relations, does not exceed 0.01 percent in aggregate of the size of the own capital of the trading organizer, calculated in accordance with the Resolution of the Board of the Agency for Regulation and Supervision of the Financial Market and Financial Organizations of the Republic of Kazakhstan dated March 29, 2010 No. 41 “On Approval of Rules and Methods for Calculating Prudential Norms for Trading Organizers” (registered in the Registry of State Registration of Normative Legal Acts under No. 6207), as of “__” __________ 20 __ year, amounts to ________ thousand tenge.

The trading organizer confirms that preferential terms were not provided to persons related to it by special relations during the reporting month, and no other transactions, except those indicated in Table 1, were carried out by the trading organizer.

Table 2. Register of persons related to the trading organizer by special relations, as of “_” ______________ 20 year

No.	Business Identification Number (for a legal entity), Individual Identification Number (for a physical person, including for an individual entrepreneur) or other identification number (for non-residents of the Republic of Kazakhstan)	Name of the legal entity or surname, first name and patronymic (if any) of the physical person	Country of residence	Indicator, according to which the person is classified as a person related by special relations to the trading organizer
1	2	3	4	5

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

Note: the form is completed in accordance with the instructions for completing the form intended for the collection of administrative data on a gratuitous basis, “Report on transactions with persons related to the trading organizer by special relations, concluded during the reporting month, as well as those in effect as of the reporting date, and a register of persons related to the trading organizer by special relations.”

Appendix

to the form intended for the collection of administrative data on a gratuitous basis, “Report on transactions with persons related to the trading organizer by special relations, concluded during the reporting month, as well as those in effect as of the reporting date, and a register of persons related to the trading organizer by special relations”

Instructions for completing the form intended for the collection of administrative data on a gratuitous basis

“Report on transactions with persons related to the trading organizer by special relations, concluded during the reporting month, as well as those in effect as of the reporting date, and a register of persons related to the trading organizer by special relations”

(index – 1-KASE_DEALING_REGISTER, frequency – monthly)

Chapter 1. General Provisions

1. These instructions define the uniform requirements for completing the form intended for the collection of administrative data on a gratuitous basis, “Report on transactions with persons related to the trading organizer by special relations, concluded during the reporting month, as well as those in effect as of the reporting date, and a register of persons related to the trading organizer by special relations” (hereinafter – the Form).

2. The Form is compiled monthly by the trading organizer. Data in the Form is completed 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) thousand tenge.

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

Chapter 2. Instructions for completing the Form

4. The Form indicates information about all transactions of the trading organizer with persons related to it by special relations, concluded during the reporting period, as well as those in effect as of the reporting date (Table 1), and about persons related to the trading organizer by special relations (Table 2) as of the reporting date.

5. The indicator of a person’s relatedness to the trading organizer by special relations is determined by Article 49 of the Law of the Republic of Kazakhstan “On Banks and Banking Activity in the Republic of Kazakhstan” and Article 64 of the Law of the Republic of Kazakhstan “On Joint Stock Companies.”

6. When completing Table 2, all indicators of a person’s relatedness by special relations to the trading organizer are indicated.

7. In Table 1, information about all transactions of the trading organizer with persons related to it by special relations, the amount of which for each type of operation of the trading organizer with a person related to it by special relations, exceeds 0.01 percent in aggregate of the size of the own capital of the trading organizer, calculated in accordance with the Resolution of the Board of the Agency for Regulation and Supervision of the Financial Market and Financial Organizations of the Republic of Kazakhstan dated March 29, 2010 No. 41 “On Approval of Rules and Methods for Calculating Prudential Norms for Trading Organizers” (registered in the Registry of State Registration of Normative Legal Acts under No. 6207), is indicated.

8. If the own capital of the trading organizer has a negative value, Table 1 indicates information about all transactions of the trading organizer with persons related to it by special relations, the amount of which for each type of operation of the trading organizer with a person related to it by special relations, exceeds 0.001 percent in aggregate of the size of the assets of the trading organizer.

9. In column 2 of Table 1 and column 3 of Table 2, the name is indicated for a legal entity, and the surname, given name, and patronymic (if any) are indicated for an individual.

10. In column 4 of Table 1 and Table 2, the country of residence is indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK ISO 3166-1-2016 "Codes for the representation of names of countries and their administrative-territorial subdivisions. Part 1. Country codes".

11. In columns 14, 15, and 16 of Table 1, information is indicated on transactions whose terms imply the presence of collateral.

12. In columns 17, 18, and 19 of Table 1, information is indicated on transactions whose terms imply the payment of remuneration.

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

14. If at the time of concluding the transaction the person was not a person related to the trading organizer by special relations, in column 26 of Table 1 it is indicated that "the person is related to the trading organizer by special relations from ________ (date with day, month, and year indicated)".

15. In Table 2, all persons related to the trading organizer by special relations are indicated, including those with whom no transactions were concluded.

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

Appendix 54

to the Rules for Submission of Reports by Professional Securities Market Participants and the Unified Accumulative Pension Fund

Form,

designed for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on transactions made on investing own assets

Index of the form designed for the collection of administrative data on a gratuitous basis: 1-KASE_Dealings_SA

Frequency: monthly

Reporting period: as of "___" _______________ 20 year

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

Deadline for submitting the form designed for the collection of administrative data on a gratuitous basis: monthly, no later than the 5 (fifth) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

No.	Date of transaction	Name of broker and/or dealer	Payment for services			Type of transaction	Market	Type of security	Name of issuer
broker and/or dealer	bank	stock exchange
1	2	3	4	5	6	7	8	9	10

continuation of the table:

Identification number	Currency code of nominal value (issue price)	Nominal value of one security (issue price)	Volume of transaction	Currency code of payment	Purchase price of one security	Yield on securities (in percent)	Transaction amount
11	12	13	14	15	16	17	18

Name ______________________________________

Address__________________________________________________________

Phone ______________________________________

Email address _________________________

Executor ______________________________________ ________________

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

Head or person entrusted with the function of signing the report

---

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

Date "____" ______________ 20 year

Note: the form is filled out in accordance with the instructions for filling out the form designed for the collection of administrative data on a gratuitous basis, "Report on transactions made on investing own assets."

Appendix

to the form designed for the collection of administrative data on a gratuitous basis, "Report on transactions made on investing own assets"

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

"Report on transactions made on investing own assets"

(index – 1-KASE_Dealings_SA, frequency – monthly)

Chapter 1. General Provisions

1. These instructions define the unified requirements for filling out the form designed for the collection of administrative data on a gratuitous basis, "Report on transactions made on investing own assets" (hereinafter – Form).

2. The Form is compiled monthly by the trading organizer and filled out as of the end of the reporting period. Data in columns 4, 5, 6, 13, 14, 16, and 18 of the Form are filled out in tenge.

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

Chapter 2. Instructions for filling out the Form

4. In column 7, the type of transaction is indicated (purchase, sale, redemption, reverse repo operation – opening or closing, etc.).

5. In column 8, the type of securities market (organized or unorganized) is indicated. If the transaction was made on an organized securities market, the trading organizer in whose trading system the transaction was made is indicated.

6. In columns 12 and 15, currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the representation of currencies and funds".

7. In column 16, the price is indicated with accuracy to four decimal places, contained in the primary document confirming the transaction (stock exchange certificate, broker and/or dealer report, confirmation received via the international interbank system for transmitting information and making payments SWIFT (SWIFT)), taking into account the remuneration paid to the seller.

8. In column 17, the yield on debt securities is indicated in percent per annum (for a transaction with a bond – yield to maturity, resulting from disposal or acquisition).

9. In column 18, the amount is indicated without taking into account expenses related to the execution of the transaction, with accuracy to two decimal places.

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

Appendix 55

to the Rules for Submission of Reports by Professional Securities Market Participants and the Unified Accumulative Pension Fund

Form,

designed for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on net claims and net obligations of entities using the services of a clearing organization

Index of the form designed for the collection of administrative data on a gratuitous basis: f1_ko

Frequency: daily

Reporting period: for __________ 20__ year

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

Deadline for submitting the form designed for the collection of administrative data on a gratuitous basis: daily, by the end of the working day following the reporting day

BIN: _______________________

Collection method: in electronic form

No.	Name of the entity using the services of a clearing organization	Code of the entity using the services of a clearing organization	Obligations of the entity using the services of a clearing organization		Claims of the entity using the services of a clearing organization
currency name	currency name	currency name	currency name
1	2	3	4-1	…	5-1	…

continuation of the table:

Net position of the entity using the services of a clearing organization		Number of transactions of the entity using the services of a clearing organization	Amount of guarantee deposits		Amount of margin deposits (margin collateral)		Financial market
currency name	currency name	currency name	currency name	currency name	currency name
6-1	…	7	8-1	…	9-1	…	10

Name ______________________________________

Address__________________________________________________________

Phone ______________________________________

Email address _________________________

Executor ______________________________________ ________________

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

Head or person entrusted with the function of signing the report

---

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

Date "____" ______________ 20 year

Note: the form is filled out in accordance with the instructions for filling out the form designed for the collection of administrative data on a gratuitous basis "Report on net claims and net obligations of entities using the services of a clearing organization."

Appendix

to the form designed for the collection of administrative data on a gratuitous basis, "Report on net claims and net obligations of entities using the services of a clearing organization"

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

"Report on net claims and net obligations of entities using the services of a clearing organization"

(index – f1_ko, frequency – daily)

Chapter 1. General Provisions

1. These instructions define the unified requirements for filling out the form designed for the collection of administrative data on a gratuitous basis "Report on net claims and net obligations of entities using the services of a clearing organization" (hereinafter – Form).

2. The Form is compiled daily by clearing organizations.

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

4. The reporting form is provided only for transactions with financial instruments accepted for clearing services.

Chapter 2. Instructions for filling out the Form

5. In column 2, the name of the entity using the services of a clearing organization is indicated.

6. In column 3, the code of the entity using the services of a clearing organization is indicated.

7. In column 4, the obligations of the entity using the services of a clearing organization are indicated in the corresponding currency.

8. In columns 4-1 ˗ …, 5-1 ˗ …, 6-1 ˗ …, 8-1 ˗ …, 9-1 ˗ …, the currency name is indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the representation of currencies and funds".

9. In column 5, the claims of the entity using the services of a clearing organization are indicated in the corresponding currency.

10. In column 6, the net position of the entity using the services of a clearing organization is indicated, calculated as the difference between the data indicated in columns 4 and 5, in the corresponding currency.

11. In column 7, the number of transactions of the entity using the services of a clearing organization is indicated.

12. In column 8, the amount of guarantee deposits of the entity using the services of a clearing organization is indicated.

13. In column 9, the amount of margin deposits (margin collateral) of the entity using the services of a clearing organization and its clients is indicated.

14. In column 10, the financial market is indicated, including the stock market and/or currency market and/or derivatives market (derivatives market), on which the entity using the services of a clearing organization has been assigned a status.

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

Appendix 56

to the Rules for Submission of Reports by Professional Securities Market Participants and the Unified Accumulative Pension Fund

Form,

designed for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on transactions with persons related to the central depository by special relations, concluded during the reporting quarter, as well as those in effect as of the reporting date, and a registry of persons related to the central depository by special relations

Index of the form designed for the collection of administrative data on a gratuitous basis: CP_3

Frequency: quarterly

Reporting period: as of ""_________ 20__ year

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

Deadline for submitting the form designed for the collection of administrative data on a gratuitous basis: quarterly, no later than the 20 (twentieth) day of the month following the reporting quarter

BIN: _______________________

Collection method: in electronic form

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

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

continuation of the table:

Date of expiration of the contract (date of completion of performance of conditions) of the contract	Details of the decision of the board of directors of the central depository or the general meeting of shareholders (in the absence of a board of directors)	Transaction amount under the contract (in thousands of tenge)	Type of currency	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 related to the central depository by special relations	by the central depository in favor of a person related to the central depository by special relations	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 the 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 related by special relations to it, the amounts of which for each type of operations of the central depository with a person related by special relations to it, do not exceed 0.01 (zero point zero one) percent in aggregate of the size of the own capital of the central depository as of "__" _____ 20 __ year, amounts to ________ thousand tenge.

The central depository confirms that preferential conditions were not provided to persons related by special relations to the central depository during the reporting quarter, and no other transactions were carried out by the central depository, except those indicated in Table 1.

Table 2. Registry of persons related to the central depository by special relations, as of "___" _______" 20 year

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

Name __________________________________________________

Address__________________________________________________________

Phone ______________________________________

Email address _________________________

Executor ____________________________________ ________ _______

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

Head or person entrusted with the function of signing the report _____________________________________ ____________________

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

Date "____" ______________ 20 year

Note: the form is filled out in accordance with the instructions for filling out the form designed for the collection of administrative data on a gratuitous basis, "Report on transactions with persons related to the central depository by special relations, concluded during the reporting quarter, as well as those in effect as of the reporting date, and a registry of persons related to the central depository by special relations."

Appendix

to the form designed for the collection of administrative data on a gratuitous basis, "Report on transactions with persons related to the central depository by special relations, concluded during the reporting quarter, as well as those in effect as of the reporting date, and a registry of persons related to the central depository by special relations"

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

"Report on transactions with persons related to the central depository by special relations, concluded during the reporting quarter, as well as those in effect as of the reporting date, and a registry of persons related to the central depository by special relations"

(index – CP_3, frequency – quarterly)

Chapter 1. General Provisions

1. These instructions define the unified requirements for filling out the form designed for the collection of administrative data on a gratuitous basis, "Report on transactions with persons related to the central depository by special relations, concluded during the reporting quarter, as well as those in effect as of the reporting date, and a registry of persons related to the central depository by special relations" (hereinafter – Form).

2. The Form is compiled quarterly by the central depository, and data is indicated on transactions concluded during the reporting period, as well as on transactions in effect as of the end of the reporting period. Data in the Form is filled out 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.

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

Chapter 2. Instructions for filling out the Form

4. The Form contains information on all transactions of the central depository with persons related to the central depository by special relations, concluded during the reporting period, as well as those in effect as of the reporting date (Table 1), and on persons related to the central depository by special relations (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.

5. The sign of a person's relation to the central depository is determined in accordance with Article 49 of the Law of the Republic of Kazakhstan "On Banks and Banking Activity in the Republic of Kazakhstan".

6. Persons may have one or several signs of relation by special relations to the central depository, and when filling out Table 2, all signs are indicated.

7. In Table 1, information is indicated on all transactions of the central depository with persons related to it by special relations, the amount of which for each type of operations of the central depository with a person related to it by special relations, exceeds 0.01 (zero point zero one) percent in aggregate of the size of the own capital of the central depository.

8. If the own capital of the central depository has a negative value, in Table 1, information is indicated on all transactions of the central depository with persons related to it by special relations, the amount of which for each type of operations of the central depository, with a person related to it by special relations, exceeds 0.001 (zero point zero zero one) percent in aggregate of the size of the assets of the central depository.

9. In column 2 of Table 1, for an individual, the surname, given name, and patronymic (if any) are indicated, and for a legal entity – the name.

10. In column 4 of Table 1, the country of residence is indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK ISO 3166-1-2016 "Codes for the representation of names of countries and their administrative-territorial subdivisions. Part 1. Country codes".

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

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

13. In columns 17, 18, and 19 of Table 1, information is indicated on transactions whose terms 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 related to the central depository by special relations, in column 26 of Table 1 it is indicated: "the person is related to the central depository by special relations from ________ (date with day, month, and year indicated)".

16. In Table 2, all persons related to the central depository by special relations are indicated, including those with whom no transactions were concluded.

17. In column 4 of Table 2, the country of residence is indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK ISO 3166-1-2016 "Codes for the representation of names of countries and their administrative-territorial subdivisions. Part 1. Country codes".

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

Appendix 57

to the Rules for Submission of Reports by Professional Securities Market Participants and the Unified Accumulative Pension Fund

Form,

designed for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Administrative form name: Report on operations conducted in the central depository system with non-state securities by economic sectors and subsectors

Form index, intended for the collection of administrative data on a gratuitous basis: OOGCBSE_6

Frequency: monthly

Reporting period: as of “_” ____________ 20 year

List of persons submitting the form, intended for the collection of administrative data on a gratuitous basis: central depository

Deadline for submitting the form, intended for the collection of administrative data on a gratuitous basis: monthly, no later than the 10th (tenth) day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

For the period from ________ to ________

(in thousands of tenge)

No.	Type of securities, economic sectors and subsectors	Balance at the beginning of the reporting period		Acquired
Total		On the primary market		Direct purchase		Repurchase 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	12
1
…
	Total securities
	Economic sectors and subsectors
	Non-residents
	Total residents-non-residents
	Depositors

continuation of the table:

Acquired				Sold
Pledge operations		Crediting to the main account		Total		Direct sale		Repurchase operations
Quantity (pieces)	Amount	Quantity (pieces)	Amount	Quantity (pieces)	Amount	Quantity (pieces)	Amount	Quantity (pieces)	Amount
13	14	15	16	17	18	19	20	21	22

continuation of the table:

Sold				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
23	24	25	26	27	28	29	30	31	32

Name __________________________________________________

Address__________________________________________________________

Phone ________________________________________

Email address _________________________

Executor ____________________________________ ________ _______

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

Head or person entrusted with the function of signing the report _____________________________________ ____________________

surname, first name and patronymic (if any) signature

Date “____” ______________ 20 year

Note: the form is filled out in accordance with the instructions for filling out the form, intended for the collection of administrative data on a gratuitous basis, “Report on operations conducted in the central depository system with non-state securities by economic sectors and subsectors.”

Appendix

to the form, intended for the collection of administrative data on a gratuitous basis, “Report on operations conducted in the central depository system with non-state securities by economic sectors and subsectors”

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

“Report on operations conducted in the central depository system with non-state securities by economic sectors and subsectors”

(index – OOGCBSE_6, frequency – monthly)

Chapter 1. General Provisions

1. These instructions define the uniform requirements for filling out the form, intended for the collection of administrative data on a gratuitous basis, “Report on operations conducted in the central depository system with non-state securities by economic sectors and subsectors” (hereinafter – Form).

2. 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 or more is rounded to 1000 (one thousand) tenge.

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

Chapter 2. Instructions for filling out the Form

4. The Form contains information on operations conducted in the central depository system with non-state securities of the Republic of Kazakhstan, broken down by economic sectors and subsectors for the reporting month.

5. The residency status is determined in accordance with Article 1 of the Law of the Republic of Kazakhstan “On Currency Regulation and Currency Control.”

6. For the purposes of classifying institutional units by economic sectors, the following structure and concepts of economic sectors and subsectors are applied:

1. Government of the Republic of Kazakhstan (ministries funded from the republican budget), agencies and departments, research institutes, institutional units – agents of the Government of the Republic of Kazakhstan, funds controlled by state authorities and funded 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 performing management functions at the region, city, and district levels, and organizations funded from regional (local) budgets;

3. central (national) banks – institutional units that exercise control over key aspects of the financial system, their main activities being the issuance of national currencies, management of international reserves, operations with the International Monetary Fund and other international financial organizations, providing loans 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 conducting Islamic finance;

5. other financial organizations – all other institutional units of this sector that provide 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 primarily engaged in market production and controlled by state authorities;

7. non-state non-financial organizations – institutional units primarily engaged in market production and/or providing non-financial market services, and not controlled by state authorities;

8. non-profit organizations serving households – institutional units producing goods or services but not generating profit or other financial benefits for institutional units controlling such organizations, 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 funded 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, etc.). This group also includes individuals engaged in entrepreneurial activity without forming a legal entity.

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

8. Column 2 indicates economic sectors and subsectors in accordance with the National Classifier of Economic Sectors (NCS).

9. Columns 4, 30, and 32 indicate the value of securities determined in the central depository system (nominal, market, or conditional).

10. Columns 6, 8, 10, 12, 14, 16, 18, 20, 22, 24, 26, and 28 indicate the value of securities according to orders received by the central depository.

11. Columns 5 through 16 indicate operations on acquired non-state securities by economic sectors and subsectors for the reporting month. Columns 15 and 16 also include operations related to the transfer of securities from one personal account to another.

12. Columns 17 through 28 indicate sold non-state securities of the Republic of Kazakhstan by economic sectors and subsectors for the reporting month. Columns 25 and 26 also include operations related to the transfer of securities from one personal account to another.

13. Column 30 indicates 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.

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

15. The amount in column 6 equals the sum of columns 8, 10, 12, 14, and 16.

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

17. The amount in column 18 equals the sum of columns 20, 22, 24, 26, and 28.

18. The amount in column 31 equals the sum of columns 3 and 5 minus the amount in column 17.

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

Appendix 58

to the Rules for submitting reports by professional participants of the securities market and the unified accumulated pension fund

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Administrative form name: Report on the register of holders of financial instruments

Form index, intended for the collection of administrative data on a gratuitous basis: 1-REG_RD

Frequency: monthly

Reporting period: as of “_” ____________ 20 year

List of persons submitting the form, intended for the collection of administrative data on a gratuitous basis: central depository

Deadline for submitting the form, intended for the collection of administrative data on a gratuitous basis: monthly, no later than the 20th (twentieth) day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

Table 1. Information on legal entities and issuance of financial instruments

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

Table 2. Register of holders of financial instruments

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

continuation of the table:

Type of holder of financial instrument	Country of residency			Type of financial instrument	Identifier of the financial instrument (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, encumbered	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 subject to repurchase operations

No.	Name of legal entity	BIN of the legal entity	Surname, first name and patronymic (if any) of the physical person 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 physical or legal entity (if available)	Identifier of the financial instrument (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 physical or legal entity (if available)	Surname, first name and patronymic (if any) or name of the trust manager	IIN, BIN or other identification number (for non-residents of the Republic of Kazakhstan)	Individual code of the physical or legal entity (if available)	Grounds
9	10	11	12	13	14	15	16

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

No.	Name of 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		Volume of transaction (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 physical or legal entity (when registering operations in the nominal holding accounting system)	Country of residency 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 physical or legal entity (when registering operations in the nominal holding accounting system)	Country of residency of the counterparty of the financial instrument		Date of registration of the transaction	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 entrusted with the function of signing the report _____________________________________ ____________________

surname, first name and patronymic (if any) signature

Date “____” ______________ 20 year

Note: the form is filled out in accordance with the instructions for filling out the form, intended for the collection of administrative data on a gratuitous basis, “Report on the register of holders of financial instruments.”

Appendix

to the form, intended for the collection of administrative data on a gratuitous basis, “Report on the register of holders of financial instruments”

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

“Report on the register of holders of financial instruments”

(index – 1-REG_RD, frequency – monthly)

Chapter 1. General Provisions

1. These instructions define the uniform requirements for filling out the form, intended for the collection of administrative data on a gratuitous basis, “Report on the register of holders of financial instruments” (hereinafter – Form).

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

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

Chapter 2. Instructions for filling out the Form

4. The Form discloses 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 conducting certain types of banking operations, excluding legal entities whose exclusive activity is organizing exchange operations with foreign currency in cash, 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 settlements, including settlements for operations with payment cards;

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

4. organizations conducting brokerage and/or dealing activities, and managing investment portfolios;

5. open-ended investment funds;

6. closed-ended investment funds;

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

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

Information regarding persons specified in subparagraph 7) of part one of this paragraph is filled out if such information exists in the central depository system.

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

6. In Table 1, the name of the legal entity, BIN, as well as the number of announced, issued, and repurchased financial instruments of the legal entity are indicated.

7. Regarding Table 2:

1. column 4 indicates the owner of the financial instrument, taking into account the disclosure of information about owners whose financial instruments are held in nominal custody and for which information is available in the central depository system.

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

2. column 5 indicates the subject of civil law: a physical or legal person;

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

4. column 8 indicates the type of holder of the financial instrument: owner or nominal holder;

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

6. 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 of the securities market and other licensed types of activities in the securities market, activities of open-ended investment funds, and activities of organizations conducting microfinance activities”, (registered in the Registry of State Registration of Normative Legal Acts under No. 20095);

7. column 12 indicates the type of financial instrument: shares, units, participation shares;

8. column 21 indicates 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.

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

9. Regarding Table 3:

1. column 9 uses the following symbols:

“1” – Information on financial instruments of a legal entity that are encumbered;

“2” – Information on blocked financial instruments of a legal entity;

“3” – Information on financial instruments of a legal entity transferred to trust management;

“4” – Information on financial instruments that are subject to repurchase operations;

2. columns 10 and 11 indicate 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 repurchase operation;

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

4. in column 16, the grounds for encumbrance, blocking, transfer into trust management, and repo operations are indicated, specifying the name and details of the supporting documents.

10. For Table 4:

1. in column 2, the name of the legal entity with which financial instrument transactions were concluded is indicated;

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

3. in column 7, the quantity of financial instruments for which the transaction was conducted is indicated;

4. in columns 8 and 9, the currency type and the cost of one financial instrument at which the transaction was conducted 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 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 of residence code of the holder of the financial instrument, from whose personal account 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 subdivisions. Part 1. Country codes";

8. in column 16, the counterparty to whose personal account 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 of residence code of the registered person, to whose personal account 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 subdivisions. 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 indicates data on transactions involving the debit (credit) of financial instruments from (to) personal accounts of registered persons, excluding data on opening and closing repo operations.

11. In the absence of information, the Form is submitted without completion.

Appendix 59
to the Rules for Reporting by Securities Market Professionals and the Unified Accumulative Pension Fund

Form, designed for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on the Value of Pension Assets

Index of the Form designed for the collection of administrative data on a gratuitous basis: 1-ENPF_PA

Frequency: monthly

Reporting period: as of "__" ________ 20 __ year

Circle of persons submitting the Form designed for the collection of administrative data on a gratuitous basis: Unified Accumulative Pension Fund

Deadline for submitting the Form designed for the collection of administrative data on a gratuitous basis: monthly, no later than the 7 (seventh) working day of the month following the reporting month, in case of having pension assets transferred to external management – no later than the 20 (twentieth) day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

Pension assets formed due to ______________________

(in tenge)

No	Indicator	date	date
1	2	3	…
1.	Balance in investment accounts at the beginning of the day, including:
1.1.	in tenge
1.2.	in foreign currencies
2.	Money received into investment accounts by the end of the day, including:
2.1.	in tenge
2.2.	in foreign currencies
3.	Money withdrawn from investment accounts by the end of the day, including:
3.1.	in tenge
3.2.	in foreign currencies
4.	Balance in investment accounts at the end of the day ((1)+(2)-(3)), including:
4.1.	in tenge
4.2.	in foreign currencies
5.	Amount of assets under external management at the end of the day, including:
5.1.	in tenge
5.2.	in foreign currencies
6.	Cost of other assets at the beginning of the day, including:
6.1.	in tenge
6.2.	in foreign currencies
7.	Cost of other assets at the end of the day, including:
7.1.	in tenge
7.2.	in foreign currencies
8.	Total cost of financial investments at the beginning of the day, including:
8.1.	derivative financial instruments
9.	Financial instruments received by the end of the day
10.	Financial instruments withdrawn by the end of the day
11.	Total cost of financial investments at the end of the day ((8)+(9)-(10)+(12)-(12.4.1)-(12.7)), including:
11.1.	derivative financial instruments
12.	Accrued investment income (expense) at the end of the day, including:
12.1.	income (expenses) related to receiving remuneration on financial instruments
12.2.	income (expenses) from changes in the value of securities valued at fair value
12.3.	income (expenses) from changes in the value of other assets
12.4.	income (expenses) from foreign currency revaluation, including:
12.4.1.	income (expenses) from revaluation of money in investment accounts and other assets
12.4.2.	income (expenses) from revaluation of financial investments
12.5.	income (expenses) related to the restoration (formation) of reserves (provisions) to cover possible losses from impairment of securities
12.6.	other income (expenses) on financial instruments
12.7.	other income (expenses) not related to financial instruments
13.	Total current value of pension assets at the end of the day ((4)+(5)+(7)+(11))
14.	Commission remuneration from pension assets at the end of the day, including:
14.1.	accrued
14.2.	paid
15.	Outstanding debt on commission remuneration from pension assets
16.	Commission remuneration from investment income at the end of the day, including:
16.1.	accrued
16.2.	paid
17.	Outstanding debt on commission remuneration from investment income
18.	Accrued pension obligations related to pension assets at the end of the day, including:
18.1.	erroneous (incorrectly credited) amounts
18.2.	payments, transfers, and lump-sum withdrawals
18.3.	other
19.	Executed pension obligations related to pension assets at the end of the day:
19.1.	erroneous (incorrectly credited) amounts from the investment account
19.2.	payments and transfers
19.3.	other
20.	Undistributed profit (uncovered loss)
21.	Balance of pension obligations at the end of the day
22.	Balance of amounts in reserve fund accounts at the beginning of the day
23.	Balance of amounts in reserve fund accounts at the end of the day
24.	Total obligations on pension assets and undistributed profit (uncovered loss) at the end of the day ((15)+(17)+(20)+(21)+(23)):
25.	Total cost of "net" pension assets at the end of the day ((13)-(24))

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

Note: the form is filled out in accordance with the explanation for filling out the Form designed for the collection of administrative data on a gratuitous basis, "Report on the Value of Pension Assets."

Appendix
to the Form designed for the collection of administrative data on a gratuitous basis, "Report on the Value of Pension Assets"

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

"Report on the Value of Pension Assets"

(index – 1-ENPF_PA, frequency – monthly)

Chapter 1. General Provisions

1. This explanation defines the unified requirements for filling out the Form designed for the collection of administrative data on a gratuitous basis, "Report on the Value of Pension Assets" (hereinafter – the Form).

2. The Form is filled out monthly by the Unified Accumulative Pension Fund. Data in the Form is indicated in tenge.

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

Chapter 2. Explanation for Filling out the Form

4. The Form is submitted separately for pension assets formed due to mandatory pension contributions, mandatory professional pension contributions, and voluntary pension contributions, and for pension assets formed due to employer's mandatory pension contributions.

In the line "Pension assets formed due to", information on pension assets formed depending on pension contributions: "mandatory pension contributions, mandatory professional pension contributions, and voluntary pension contributions" and "employer's mandatory pension contributions" is indicated.

5. The Form is filled out for each day of the reporting month. The date is indicated in the format "dd.mm.yyyy".

6. Lines 1.2., 2.2., 3.2., 4.2., 5.2., 6.2., and 7.2. reflect amounts equivalent to tenge.

7. Information for line 5 is indicated in accordance with the data from the Report on Pension Assets Under External Management, according to Appendix 61 to the Rules.

8. Assets reflected in lines 7.1. and 7.2. at the end of the reporting period are disclosed in the note to the Form provided for in the digital system.

9. When filling out line 9, information is indicated on financial instruments that are valued at actual costs. Costs incurred in making a transaction (directly related to the acquisition of financial instruments), including remuneration and commission fees paid to agents, consultants, brokers (dealers), stock exchange fees, as well as bank expenses for transferring money, are included in the cost of these financial instruments. Remuneration accrued for the period prior to the moment of acquisition (if any) is also included in the cost of financial instruments.

10. When filling out line 10, information is indicated on realized or redeemed financial instruments at the actual cost of realization or redemption.

11. Information for line 11 is indicated in accordance with the data from the Report on the Structure of the Investment Portfolio of Pension Assets according to Appendix 60 to these Rules.

12. When filling out line 12.5., reserves (provisions) are reflected at the end of the day of its formation (restoration).

13. When filling out lines 12.6. and 12.7., information on other income received and other expenses incurred, included in the cost of pension assets at the end of the reporting period, is disclosed in the note to the Form provided for in the digital system.

14. Line 13 indicates the value reflected in accounting records.

15. Lines 14 and 16 indicate the amount of commission remuneration.

16. When filling out lines 15 and 17, the outstanding debt on commission remuneration is indicated cumulatively, taking into account data at the end of the reporting period.

17. Lines 18.2. and 19.2. indicate amounts of transfers of pension accumulations to voluntary accumulated pension funds, insurance organizations, amounts paid to recipients and other persons, amounts of personal income tax from pension payments for mandatory pension contributions, mandatory professional pension contributions, and voluntary pension contributions.

For employer's mandatory pension contributions, only the amount of pension payments is indicated.

18. When filling out lines 18.3. and 19.3., information on other obligations included in the cost of pension assets at the end of the reporting period is disclosed in the note to the Form provided for in the digital system.

19. Lines 22 and 23 indicate the balance of the amount in reserve fund accounts. These lines are filled out only when filling out information on employer's mandatory pension contributions.

20. In the absence of information, the Form is submitted without completion.

Appendix 60
to the Rules for Reporting by Securities Market Professionals and the Unified Accumulative Pension Fund

Form, designed for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on the Structure of the Investment Portfolio of Pension Assets

Index of the Form designed for the collection of administrative data on a gratuitous basis: 1-ENPF_SPPA

Frequency: monthly

Reporting period: as of "__" ________ 20 __ year

Circle of persons submitting the Form designed for the collection of administrative data on a gratuitous basis: Unified Accumulative Pension Fund

Deadline for submitting the Form designed for the collection of administrative data on a gratuitous basis: monthly, no later than the 7 (seventh) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

Table 1. Securities acquired due to pension assets

Pension assets formed due to____________________________

No	Name of Trustee	Name of Issuer	Type of Economic Activity	Issuer Country	Type of Security	Identification Number of Security
1	2	3	4	5	6	7
1.	State Securities of the Republic of Kazakhstan
1.1.			x
…			x
2.	Non-state issuing securities of organizations of the Republic of Kazakhstan
2.1.	securities of second-level banks
2.1.1.
…
2.2.	securities of legal entities, excluding second-level banks
2.2.1.
…
3.	Securities of foreign states
3.1.			x
…			x
4.	Non-state securities of issuer non-residents of the Republic of Kazakhstan
4.1.			x
…			x
5.	Securities of international financial organizations
5.1.			x
…			x
6.	Shares of investment funds
6.1.
…
7.	Total:		х

continuation of the table:

Quantity of Securities (units)	Nominal Value		Payment Currency Code	Purchase Price per Security		Period		Purchase Cost of Security (in tenge)
Currency Code	Cost of one security (in tenge)	total (in tenge)	net price	date of registration	date of redemption
8	9	10	11	12	13	14	15	16

continuation of the table:

Current Value of Securities			Reference (in tenge):
total (in tenge)	in nominal currency	including accrued remuneration (in tenge)	formed reserves (provisions)	receivables on securities	overdue receivables on securities	formed reserves (provisions) on overdue receivables
17	18	19	20	21	22	23

continuation of the table:

Category of Securities	Rating of Security		Category of Stock Exchange List		Current Coupon Rate in Portfolio (in percent)
at date of registration	at reporting date	at date of registration	at reporting date
24	25	26	27	28	29

Table 2. Securities acquired and placed under "reverse repo" and repo operations

No	Name of Trustee	Name of Issuer	Issuer Country	Type of Security	Identification Number of Security	Quantity of Securities (units)	Currency Code of Nominal Value	Currency Code of Transaction
1	2	3	4	5	6	7	8	9
1	"Reverse Repo" Operation
1.1.	direct method
1.1.1.
…
1.2.	automatic method
1.2.1.
…
	Total:
2	Repo Operation
2.1.	direct method
2.1.1.
…
2.2	automatic method
2.2.1.
…
	Total:

continuation of the table:

Opening Price per Security		Closing Price per Security		Period		Current Value of Securities (in tenge)	Yield Rate on Operation (in percent)	Note
in tenge	in nominal currency	in tenge	in nominal currency	date of operation opening	date of operation closing
10	11	12	13	14	15	16	17	18

Table 3. Deposits placed due to pension assets

No	Name of Trustee	Name of Bank	Bank Rating		Deposit Currency Code	Date of Conclusion and Number of Bank Deposit Contract
at date of deposit placement	at reporting date	date	number
1	2	3	4	5	6	7	8
	Total:

continuation of the table:

Deposit Term (in days)	Remuneration Payment Period		Remuneration Rate (percent per annum)		Principal Amount on Deposit
periodicity	date	nominal	effective	total (in tenge)	in foreign currency
9	10	11	12	13	14	15

continuation of the table:

Current Value			Country of Residence	Reference (in tenge):
total (in tenge)	including accrued remuneration		formed reserves	receivables on deposits	overdue receivables on deposits	formed reserves (provisions) on overdue receivables
in tenge	in foreign currency
16	17	18	19	20	21	22	23

Table 4. Refined Precious Metals

No	Name of Trustee	Name of Refined Precious Metal	Quantity in Troy Ounces	Payment Currency Code	Purchase Price per Troy Ounce		Total Purchase Cost		Current Value
in tenge	in foreign currency	in tenge	in foreign currency	in tenge	in foreign currency
1	2	3	4	5	6	7	8	9	10	11
	Total:

Table 5. Contingent Claims and Obligations

No	Name of Trustee	Name of Type of Derivative Financial Instrument	Underlying Asset	Currency Code	Identification Number of Security	Amount of Claims (Obligations) at the date of transaction with derivative instrument (in tenge)	Current Value at Reporting Date (in tenge)
1	2	3	4	5	6	7	8
1.	Contingent Claims on Derivative Financial Instruments
1.1
1.1.1
…
	Total:
2.	Contingent Obligations on Derivative Financial Instruments
2.1
2.1.1
…
	Total:

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

Note: the form is filled out in accordance with the explanation for filling out the Form designed for the collection of administrative data on a gratuitous basis, "Report on the Structure of the Investment Portfolio of Pension Assets."

Appendix
to the Form designed for the collection of administrative data on a gratuitous basis, "Report on the Structure of the Investment Portfolio of Pension Assets"

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

"Report on the Structure of the Investment Portfolio of Pension Assets"

(index – 1-ENPF_SPPA, frequency – monthly)

Chapter 1. General Provisions

1. This explanation defines the unified requirements for filling out the Form designed for the collection of administrative data on a gratuitous basis, "Report on the Structure of the Investment Portfolio of Pension Assets" (hereinafter – the Form).

2. The Form is filled out monthly by the Unified Accumulative Pension Fund as of the end of the reporting period. Data on financial instruments for which recognition has ceased is not included in the Form. Data in the Form is indicated in tenge.

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

Chapter 2. Explanation for Filling out the Form

4. The Form is submitted separately for pension assets formed from mandatory pension contributions, mandatory professional pension contributions, and voluntary pension contributions, and for pension assets formed from mandatory employer pension contributions.

In the line "Pension assets formed from", information is provided on pension assets formed depending on pension contributions: "mandatory pension contributions, mandatory professional pension contributions, and voluntary pension contributions" and "mandatory employer pension contributions".

5. Regarding Table 1:

1. data on securities are indicated in the Form;

2. in column 2, the National Bank of the Republic of Kazakhstan or the name of the investment portfolio manager to whom pension assets have been transferred in trust management is indicated;

3. in column 3, the name of the issuer of the security is indicated;

4. in column 4, the type of economic activity is indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 03 "General Classifier of Types of Economic Activity". This column is filled for non-state securities of issuers-residents of the Republic of Kazakhstan;

5. in column 5, the country of the issuer is indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK ISO 3166-1-2016 "Codes for the representation of names of countries and their administrative-territorial subdivisions. Part 1. Country codes";

6. in column 6, the type of acquired security is indicated, including its type;

7. in column 7, the international identification number (ISIN code) or another identifier of the security is indicated;

8. in column 8, the quantity of acquired securities is indicated;

9. in columns 9 and 11, currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the representation of currencies and funds";

10. in column 10, for bonds, the monetary expression of the bond's value determined at its issuance, on which a reward expressed as a percentage of the coupon bond accrues, as well as the amount payable to the bondholder upon its redemption, are indicated. The amount is indicated in the currency of issuance;

11. in columns 12 and 13, the price reflected in the primary document confirming the transaction (exchange certificate, broker's and/or dealer's report, received confirmation via the international interbank system for information transfer and payment transactions SWIFT) is indicated. In column 13, for debt securities, the net price as a percentage of the nominal value is indicated; for equity securities, it is indicated in absolute terms;

12. in column 14, the date of initial recognition in accounting is reflected;

13. in column 15, the maturity date of debt securities is indicated;

14. in column 16, the purchase cost of the security is indicated, including expenses directly related to the acquisition, including rewards and commissions paid to agents, consultants, brokers, and/or dealers, fees of stock exchanges, as well as banking services for transfer, and reduced by the percentage paid by the buyer to the seller (if any);

15. in column 17, the value of securities reflected in accounting is indicated;

16. in column 20, the amount of reserves (provisions) reflected in accounting is indicated;

17. in column 21, the amount of accounts receivable for securities payable within the term established by the offering prospectus is indicated;

18. in column 22, the overdue accounts receivable for securities not paid within the term provided for in the offering prospectus is indicated;

19. in column 23, the amount of reserves (provisions) for accounts receivable and overdue debt reflected in accounting is indicated;

20. in column 24, the category of the security "evaluated at fair value" or "evaluated at amortized cost" is indicated;

21. when filling in columns 25 and 26, the rating of the security for bonds, the rating of the issuer for stocks, the rating of the country for government securities, assigned by one of the rating agencies specified in paragraph 2 of the Resolution of the Board of the Agency of the Republic of Kazakhstan for Regulation and Development of the Financial Market dated April 14, 2026 No. 64 "On establishing the minimum rating for legal entities and states, the presence of which is required in accordance with the legislation of the Republic of Kazakhstan regulating the activities of financial organizations, branches of non-resident banks of the Republic of Kazakhstan, branches of non-resident insurance (reinsurance) organizations of the Republic of Kazakhstan, the list of rating agencies assigning this rating" (registered in the Registry of State Registration of Normative Legal Acts under No. 38437) (hereinafter - Resolution No. 64), is reflected. In the absence of a rating, "no rating" is indicated in columns 25 and 26. These columns are not filled for government securities of the Republic of Kazakhstan. Column 25 reflects the rating on the date of initial recognition in accounting;

22. in columns 27 and 28, the category of securities of residents of the Republic of Kazakhstan according to the official list of the stock exchange of the Republic of Kazakhstan is indicated. In the absence of a category from the list of the stock exchange of the Republic of Kazakhstan, "no listing" is indicated in columns 27 and 28. These columns are not filled for securities of non-residents of the Republic of Kazakhstan and government securities of the Republic of Kazakhstan. Column 27 reflects the category of the stock exchange list on the date of initial recognition in accounting;

23. in column 29, the coupon rate for debt financial instruments on the date of submission of the Form is indicated.

6. Regarding Table 2:

1. in column 2, the National Bank of the Republic of Kazakhstan or the name of the investment portfolio manager to whom pension assets have been transferred in trust management is indicated;

2. in column 4, the country of the issuer is indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK ISO 3166-1-2016 "Codes for the representation of names of countries and their administrative-territorial subdivisions. Part 1. Country codes";

3. in column 5, the type of security acquired (placed) under "reverse repo" (repo) operations is indicated, including its type;

4. in column 6, the international identification number (ISIN code) or another identifier of the security is indicated;

5. in column 7, the quantity of acquired (placed) securities under "reverse repo" (repo) operations is indicated;

6. in columns 8 and 9, currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the representation of currencies and funds";

7. in columns 10 and 11, the price with a precision of four decimal places, reflected in the primary document confirming the execution of the "reverse repo" (repo) operation, is indicated. In the case of payment for the acquired (placed) security in foreign currency, columns 11 and 13 are filled with simultaneous reflection of the equivalent in the national currency - tenge in columns 10 and 12; in the case of payment for the acquired (placed) security in the national currency - tenge, columns 10 and 12 are filled;

8. in column 16, the value reflected in accounting is indicated.

7. Regarding Table 3:

1. in column 2, the National Bank of the Republic of Kazakhstan or the name of the investment portfolio manager to whom pension assets have been transferred in trust management is indicated;

2. when filling in columns 4 and 5, the bank rating assigned by one of the rating agencies specified in paragraph 3 of Resolution No. 64 is reflected. In the absence of a rating, "no rating" is indicated in columns 4 and 5. These columns are not filled for deposits in the National Bank of the Republic of Kazakhstan;

3. in column 6, currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the representation of currencies and funds";

4. in column 9, the term of the deposit under the bank deposit contract is indicated; in case of extension of the deposit, the term is reflected with consideration of the extension;

5. in columns 10 and 11, the date and frequency of payment of the accumulated reward are indicated in accordance with the terms of the bank deposit contract;

6. in columns 14 and 15, the amount of placement of pension assets in a deposit in a bank is indicated. In the case of placement of pension assets in a deposit in a foreign currency, column 15 is filled with simultaneous reflection of the equivalent in the national currency - tenge in column 14; in the case of placement of pension assets in a deposit in the national currency - tenge, column 14 is filled;

7. in column 16, the value of deposits reflected in accounting is indicated;

8. in column 19, the country of the issuer is indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK ISO 3166-1-2016 "Codes for the representation of names of countries and their administrative-territorial subdivisions. Part 1. Country codes";

9. in column 20, the amount of reserves (provisions) reflected in accounting is indicated;

10. in column 21, the amount of accounts receivable for deposits is indicated;

11. in column 22, the overdue accounts receivable for deposits is indicated;

12. in column 23, the amount of reserves (provisions) for accounts receivable and overdue debt reflected in accounting is indicated;

13. Table 3 is filled with the amount of deposits separately for each bank and for each currency of the deposit.

8. Regarding Table 4:

1. in column 2, the National Bank of the Republic of Kazakhstan or the name of the investment portfolio manager to whom pension assets have been transferred in trust management is indicated;

2. in column 5, the payment currency code is indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the representation of currencies and funds";

3. in columns 6 and 8, the purchase price and purchase cost are indicated at the market exchange rate prevailing on the date of the transaction; in column 11, the amount is reflected at the market exchange rate prevailing on the reporting date. In the case of acquisition of refined precious metal in the national currency - tenge, columns 6, 8, and 10 are filled;

4. in column 10, the amount reflected in accounting is indicated.

9. Regarding Table 5:

1. in column 2, the National Bank of the Republic of Kazakhstan or the name of the investment portfolio manager to whom pension assets have been transferred in trust management is indicated;

2. in column 4, the underlying asset of the derivative financial instrument is indicated (name of the security and its issuer, currency, reward rate, commodity, and other underlying assets);

3. in column 5, the currency of the transaction is indicated. The currency code is indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the representation of currencies and funds";

4. in column 6, the international identification number (ISIN code) or another identifier of the security is indicated; column 6 is filled if the underlying asset of the derivative financial instrument is a security;

5. in column 7, the amount of conditional claims and obligations, which is formed when conducting operations with derivative instruments, in accordance with the requirements of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated July 1, 2011 No. 69 "On Approval of the Instruction on Accounting for Operations with Pension Assets, Target Assets, and Target Accumulations, carried out by the Unified Accumulative Pension Fund and Voluntary Accumulative Pension Funds" (registered in the Registry of State Registration of Normative Legal Acts under No. 7118), is indicated;

6. in column 8, the market value (replacement cost) of the derivative financial instrument is indicated, which represents:

for purchase transactions - the amount of excess of the current market value of the derivative financial instrument over the nominal contractual value of this derivative financial instrument (conditional claims), the amount of excess of the nominal contractual value of the derivative financial instrument over the current market value of this derivative financial instrument (conditional obligations);

for sale transactions - the amount of excess of the nominal contractual value of the derivative financial instrument over the current market value of this derivative financial instrument (conditional claims), the amount of excess of the current market value of the derivative financial instrument over the nominal contractual value of this derivative financial instrument (conditional obligations).

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

Appendix 61
to the Rules for Reporting by Securities Market Professionals and the Unified Accumulative Pension Fund

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on Pension Assets under External Management

Index of the Form intended for the collection of administrative data on a gratuitous basis: 1-ENPF_A-VNESH

Frequency: monthly

Reporting period: as of "__" ________ 20 __ year

Circle of persons submitting the Form intended for the collection of administrative data on a gratuitous basis: Unified Accumulative Pension Fund

Deadline for submitting the Form intended for the collection of administrative data on a gratuitous basis: monthly, no later than the 7th (seventh) working day of the month following the reporting month, in the presence of pension assets transferred to external management - no later than the 20th (twentieth) day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

Pension assets formed from _______________________

No.	Name of the external manager of pension assets	Number and date of the trust management agreement	Expected period of pension asset management	Current value of pension assets under management (in tenge)	Note
1	2	3	4	5	6
	Total:

Name ______________________________________

Address__________________________________________________________

Phone ______________________________________

Email address _________________________

Executor ______________________________________ ________________

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

Head or person entrusted with the function of signing the report

---

surname, name, and patronymic (if any) signature

Date "____" ______________ 20 year

Note: the form is filled in accordance with the explanation for filling out the Form intended for the collection of administrative data on a gratuitous basis, "Report on Pension Assets under External Management".

Appendix
to the Form intended for the collection of administrative data on a gratuitous basis, "Report on Pension Assets under External Management"

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

"Report on Pension Assets under External Management"

(index - 1-ENPF_A-VNESH, frequency - monthly)

Chapter 1. General Provisions

1. This explanation defines the unified requirements for filling out the Form intended for the collection of administrative data on a gratuitous basis, "Report on Pension Assets under External Management" (hereinafter - Form).

2. The Form is filled out monthly by the Unified Accumulative Pension Fund as of the end of the reporting period. Data in the Form is indicated in tenge.

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

Chapter 2. Explanation for filling out the Form

4. The Form is submitted separately for pension assets formed from mandatory pension contributions, mandatory professional pension contributions, and voluntary pension contributions, and for pension assets formed from mandatory employer pension contributions.

In the line "Pension assets formed from", information is provided on pension assets formed depending on pension contributions: "mandatory pension contributions, mandatory professional pension contributions, and voluntary pension contributions" and "mandatory employer pension contributions".

5. The Form is submitted for assets under investment management by a foreign organization carrying out investment portfolio management activities in accordance with the legislation of a foreign state, meeting the requirements of the National Bank of the Republic of Kazakhstan, or transferred in trust management to an investment portfolio manager (hereinafter - pension asset manager).

6. The Form is filled out separately for each pension asset manager.

7. In column 4, the period of pension asset management under the contract is indicated. If the contract does not provide for a period of pension asset management, then a sign "-" is indicated in column 4.

8. In column 5, the current value of pension assets under management as of the reporting date is indicated.

9. If in the reporting period the pension asset manager transfers the entire amount of pension assets to another manager, or returns them to the Unified Accumulative Pension Fund and terminates the contract, then in columns 2, 3, and 4, information on this pension asset manager is indicated for the last day of transfer of assets and obligations, and in column 6, information on the results of transferred assets (amount of pension assets and where this amount was transferred) is indicated.

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

Appendix 62
to the Rules for Reporting by Securities Market Professionals and the Unified Accumulative Pension Fund

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on the Volume of Pension Accumulations and the Number of Individual Pension Accounts (Sub-accounts) of Contributors (Recipients)

Index of the Form intended for the collection of administrative data on a gratuitous basis: 1-ENPF_PV

Frequency: monthly

Reporting period: as of "__" ________ 20 __ year

Circle of persons submitting the Form intended for the collection of administrative data on a gratuitous basis: Unified Accumulative Pension Fund

Deadline for submitting the Form intended for the collection of administrative data on a gratuitous basis: monthly, no later than the 7th (seventh) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

For pension accumulations under trust management

---

(name of the pension asset manager)

(in thousands of tenge)

Age of contributors (recipients)	Individual pension accounts (sub-accounts) of contributors (recipients)
for mandatory pension contributions
Men			Women
Number of individual pension accounts (sub-accounts) of contributors (recipients) with pension accumulations	Amount of pension accumulations	Number of individual pension accounts (sub-accounts) of contributors (recipients) without pension accumulations	Number of individual pension accounts (sub-accounts) of contributors (recipients) with pension accumulations	Amount of pension accumulations	Number of individual pension accounts (sub-accounts) of contributors (recipients) without pension accumulations
1	2	3	4	5	6	7
up to 20 years
21 years
...
81 years and older
Total

continuation of the table:

Individual pension accounts (sub-accounts) of contributors (recipients)
for mandatory professional pension contributions
Men			Women
Number of individual pension accounts (sub-accounts) of contributors (recipients) with pension accumulations	Amount of pension accumulations	Number of individual pension accounts (sub-accounts) of contributors (recipients) without pension accumulations	Number of individual pension accounts (sub-accounts) of contributors (recipients) with pension accumulations	Amount of pension accumulations	Number of individual pension accounts (sub-accounts) of contributors (recipients) without pension accumulations
8	9	10	11	12	13

continuation of the table:

Individual pension accounts (sub-accounts) of contributors (recipients)
for voluntary pension contributions
Men			Women
Number of individual pension accounts (sub-accounts) of contributors (recipients) with pension accumulations	Amount of pension accumulations	Number of individual pension accounts (sub-accounts) of contributors (recipients) without pension accumulations	Number of individual pension accounts (sub-accounts) of contributors (recipients) with pension accumulations	Amount of pension accumulations	Number of individual pension accounts (sub-accounts) of contributors (recipients) without pension accumulations
14	15	16	17	18	19

continuation of the table:

Conditional pension accounts of individuals
for mandatory employer pension contributions
Men		Women
Number of conditional pension accounts of individuals	Amount recorded on conditional pension accounts	Number of conditional pension accounts of individuals	Amount recorded on conditional pension accounts
20	21	22	23

The amount of pension accumulations for unidentified contributors is ________ thousand tenge.

The amount of money in reserve fund accounts is ________ thousand tenge.

Name ______________________________________

Address__________________________________________________________

Phone ______________________________________

Email address _________________________

Executor ______________________________________ ________________

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

Head or person entrusted with the function of signing the report

---

surname, name, and patronymic (if any) signature

Date "____" ______________ 20 year

Note: the form is filled in accordance with the explanation for filling out the Form intended for the collection of administrative data on a gratuitous basis, "Report on the Volume of Pension Accumulations and the Number of Individual Pension Accounts (Sub-accounts) of Contributors (Recipients)".

Explanation for Completing the Form for Collecting Administrative Data on a Gratuitous Basis

"Report on the Volumes of Pension Accumulations and the Number of Individual Pension Accounts (Sub-accounts) of Contributors (Beneficiaries)"

(index – 1-ENPF_PV, periodicity – monthly)

Chapter 1. General Provisions

1. This explanation establishes uniform requirements for completing the form intended for the collection of administrative data on a gratuitous basis, "Report on the Volumes of Pension Accumulations and the Number of Individual Pension Accounts (Sub-accounts) of Contributors (Beneficiaries)" (hereinafter – the Form).

2. The Form is completed monthly by the Single Accumulative Pension Fund separately for pension accumulations held in trust management by the National Bank of the Republic of Kazakhstan and for pension accumulations held in trust management by an investment portfolio manager, as of the end of the reporting period. Data in the Form are indicated 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 or more is rounded to 1000 (one thousand) tenge.

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

Chapter 2. Explanation for Completing the Form

4. In columns 2, 5, 8, 11, 14, and 17, the number of individual pension accounts of contributors (beneficiaries) having pension accumulations held in trust management by the National Bank of the Republic of Kazakhstan, and the number of sub-accounts of contributors (beneficiaries) opened as part of an individual pension account and intended for accounting for pension accumulations transferred to trust management by an investment portfolio manager, are indicated separately for men and women (in the corresponding columns), with breakdown depending on the age of the contributor (beneficiary).

5. In columns 3, 6, 9, 12, 15, and 18, the amount of pension accumulations on individual pension accounts of contributors (beneficiaries) having pension accumulations held in trust management by the National Bank of the Republic of Kazakhstan, and the amount of pension accumulations on sub-accounts of contributors (beneficiaries) opened as part of an individual pension account and intended for accounting for pension accumulations transferred to trust management by an investment portfolio manager, are indicated separately for men and women (in the corresponding columns), with breakdown depending on the age of the contributor (beneficiary).

6. In columns 4, 7, 10, 13, 16, and 19, the number of individual pension accounts of contributors (beneficiaries) without pension accumulations held in trust management by the National Bank of the Republic of Kazakhstan, and the number of sub-accounts of contributors (beneficiaries) opened as part of an individual pension account and intended for accounting for pension accumulations transferred to trust management by an investment portfolio manager, without pension accumulations, are indicated separately for men and women, with breakdown depending on the age of the contributor (beneficiary).

7. In columns 20 and 22, the number of conditional pension accounts of individuals with accumulations held in trust management by the National Bank of the Republic of Kazakhstan is indicated, separately for men and women, with breakdown depending on the age of the individual.

8. In columns 21 and 23, the amount credited to conditional pension accounts is indicated.

9. The amount of pension accumulations for unidentified contributors and the amount of money in reserve fund accounts are indicated in the note to the Form provided for in the digital system.

10. In the absence of information, the Form is submitted without completion.

Appendix 63
to the Rules for Submission of Reporting by Professional Participants of the Securities Market and the Single Accumulative Pension Fund

Form, intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on the Volumes of Pension Accumulations and the Number of Individual Pension Accounts (Sub-accounts) of Contributors (Beneficiaries) by Regions of the Republic of Kazakhstan (by place of residence of the contributor (beneficiary))

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

Periodicity: monthly

Reporting period: as of "__" ________ 20 __ year

Circle of persons submitting the form intended for the collection of administrative data on a gratuitous basis: single accumulative pension fund

Deadline for submission of the form intended for the collection of administrative data on a gratuitous basis: monthly, no later than the 7th (seventh) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

For pension accumulations held in trust management

---

(name of the pension asset manager)
(in thousands of tenge)

No	Capital, oblast, city of republican significance		Individual pension accounts (sub-accounts) of contributors (beneficiaries)
Name	Code according to the classifier of administrative-territorial objects	For accounting of mandatory pension contributions			For accounting of mandatory professional pension contributions
Number of individual pension accounts (sub-accounts) of contributors (beneficiaries) with pension accumulations	Amount of pension accumulations	Number of individual pension accounts (sub-accounts) of contributors (beneficiaries) without pension accumulations	Number of individual pension accounts (sub-accounts) of contributors (beneficiaries) with pension accumulations	Amount of pension accumulations	Number of individual pension accounts (sub-accounts) of contributors (beneficiaries) without pension accumulations
1	2	3	4	5	6	7	8	9
	…
	Region not specified
	Total

continuation of the table:

Individual pension accounts (sub-accounts) of contributors (beneficiaries)			Conditional pension accounts of individuals
For accounting of voluntary pension contributions			For accounting of mandatory employer pension contributions
Number of individual pension accounts (sub-accounts) of contributors (beneficiaries) with pension accumulations	Amount of pension accumulations	Number of individual pension accounts (sub-accounts) of contributors (beneficiaries) without pension accumulations	Number of conditional pension accounts of individuals with accumulations	Amount of accumulations	Number of conditional pension accounts of individuals without accumulations
10	11	12	13	14	15

The amount of pension accumulations for unidentified contributors is ________ thousand tenge.

The amount of money in reserve fund accounts is ________ thousand tenge.

Name ______________________________________

Address__________________________________________________________

Telephone ______________________________________

Email address _________________________

Executor ______________________________________ ________________

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

Head or person entrusted with the function of signing the report

---

surname, name and patronymic (if any) signature

Date "____" ______________ 20 year

Note: the form is completed in accordance with the explanation for completing the form intended for the collection of administrative data on a gratuitous basis, "Report on the Volumes of Pension Accumulations and the Number of Individual Pension Accounts (Sub-accounts) of Contributors (Beneficiaries) by Regions of the Republic of Kazakhstan (by place of residence of the contributor (beneficiary))."

Appendix
to the form intended for the collection of administrative data on a gratuitous basis, "Report on the Volumes of Pension Accumulations and the Number of Individual Pension Accounts (Sub-accounts) of Contributors (Beneficiaries) by Regions of the Republic of Kazakhstan (by place of residence of the contributor (beneficiary))"

Explanation for Completing the Form for Collecting Administrative Data on a Gratuitous Basis

"Report on the Volumes of Pension Accumulations and the Number of Individual Pension Accounts (Sub-accounts) of Contributors (Beneficiaries) by Regions of the Republic of Kazakhstan (by place of residence of the contributor (beneficiary))"

(index – 1-ENPF_PV_OBL, periodicity – monthly)

Chapter 1. General Provisions

1. This explanation establishes uniform requirements for completing the form intended for the collection of administrative data on a gratuitous basis, "Report on the Volumes of Pension Accumulations and the Number of Individual Pension Accounts (Sub-accounts) of Contributors (Beneficiaries) by Regions of the Republic of Kazakhstan (by place of residence of the contributor (beneficiary))" (hereinafter – the Form).

2. The Form is completed monthly by the Single Accumulative Pension Fund separately for pension accumulations held in trust management by the National Bank of the Republic of Kazakhstan and for pension accumulations held in trust management by an investment portfolio manager, as of the end of the reporting period. Data in the Form are indicated 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 or more is rounded to 1000 (one thousand) tenge.

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

Chapter 2. Explanation for Completing the Form

4. In column 2, the code of the capital, oblasts, or cities of republican significance is indicated in accordance with the Classifier of Administrative-Territorial Objects (KATO), posted on the official internet resource of the Bureau of National Statistics of the Agency for Strategic Planning and Reforms of the Republic of Kazakhstan.

5. In columns 4, 7, and 10, the number of individual pension accounts of contributors (beneficiaries) having pension accumulations held in trust management by the National Bank of the Republic of Kazakhstan, and the number of sub-accounts of contributors (beneficiaries) opened as part of an individual pension account and intended for accounting for pension accumulations transferred to trust management by an investment portfolio manager, are indicated, with breakdown depending on the place of residence of the contributor (beneficiary).

6. In columns 5, 8, and 11, the amount of pension accumulations on individual pension accounts of contributors (beneficiaries) having pension accumulations held in trust management by the National Bank of the Republic of Kazakhstan, and the amount of pension accumulations on sub-accounts of contributors (beneficiaries) opened as part of an individual pension account and intended for accounting for pension accumulations transferred to trust management by an investment portfolio manager, are indicated, with breakdown depending on the place of residence of the contributor (beneficiary).

7. In columns 6, 9, and 12, the number of individual pension accounts of contributors (beneficiaries) without pension accumulations held in trust management by the National Bank of the Republic of Kazakhstan, and the number of sub-accounts of contributors (beneficiaries) opened as part of an individual pension account and intended for accounting for pension accumulations transferred to trust management by an investment portfolio manager, without pension accumulations, are indicated, with breakdown depending on the place of residence of the contributor (beneficiary).

8. In columns 13 and 15, the number of conditional pension accounts of individuals with accumulations and without accumulations held in trust management by the National Bank of the Republic of Kazakhstan is indicated, with breakdown depending on the place of residence of the individual.

9. In column 14, the amount credited to conditional pension accounts is indicated.

10. The amount of pension accumulations for unidentified contributors and the amount of money in reserve fund accounts are indicated in the note to the Form provided for in the digital system.

11. In the absence of information, the Form is submitted without completion.

Appendix 64
to the Rules for Submission of Reporting by Professional Participants of the Securities Market and the Single Accumulative Pension Fund

Form, intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on Pension Payments for Mandatory Pension Contributions, Mandatory Professional Pension Contributions, Voluntary Pension Contributions

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

Periodicity: monthly

Reporting period: as of "__" ________ 20 __ year

Circle of persons submitting the form intended for the collection of administrative data on a gratuitous basis: single accumulative pension fund

Deadline for submission of the form intended for the collection of administrative data on a gratuitous basis: monthly, no later than the 7th (seventh) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

(in thousands of tenge)

Line Code	Item Name	For the period from the beginning of the current year			For the analogous period of the previous year
		Number of contributors (beneficiaries)	Number of payments	Amount	Number of contributors (beneficiaries)	Number of payments	Amount
1	2	3	4	5	6	7	8
100	Pension accumulation payments
	at the expense of:
101	Mandatory pension contributions:
102	By age
	including by countries of the Eurasian Economic Union (hereinafter – EAEU):
1021
…
103	By disability
	including by countries of the EAEU:
1031
…
104	Due to departure beyond the borders of the Republic of Kazakhstan
105	To heirs
	including by countries of the EAEU:
1051
…
106	For burial
107	To other persons
108	For improvement of housing conditions
109	For payment of treatment
	at the expense of:
200	Mandatory professional pension contributions:
201	By age
	including by countries of the EAEU:
2011
…
202	By disability
	including by countries of the EAEU:
2021
…
203	Due to departure beyond the borders of the Republic of Kazakhstan
204	To heirs
	including by countries of the EAEU:
2041
…
205	For burial
206	To other persons
207	For improvement of housing conditions
208	For payment of treatment
	at the expense of:
300	Voluntary pension contributions:
301	Upon reaching fifty years of age
	including by countries of the EAEU:
3011
…
302	By disability
	including by countries of the EAEU:
3021
…
303	Due to departure beyond the borders of the Republic of Kazakhstan
304	To heirs
	including by countries of the EAEU:
3041
…
305	For burial
306	To other persons
400	Transfer of pension accumulations to an insurance organization
	at the expense of:
401	Mandatory pension contributions:
402	By age
403	By disability
404	Upon conclusion of a pension annuity contract
405	In case of insufficiency of pension accumulations due to mandatory professional pension contributions
	at the expense of:
500	Mandatory professional pension contributions:
501	By age
502	By disability
503	Upon conclusion of a pension annuity contract
504	In case of insufficiency of pension accumulations due to mandatory pension contributions
	at the expense of:
600	Voluntary pension contributions:
601	By age
602	By disability
603	In case of insufficiency of pension accumulations due to mandatory pension contributions
604	In case of insufficiency of pension accumulations due to mandatory professional pension contributions
700	Other pension payments
1000	Total

Name ______________________________________

Address__________________________________________________________

Telephone ______________________________________

Email address _________________________

Executor ______________________________________ ________________

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

Head or person entrusted with the function of signing the report

---

surname, name and patronymic (if any) signature

Date "____" ______________ 20 year

Note: the form is completed in accordance with the explanation for completing the form intended for the collection of administrative data on a gratuitous basis, "Report on Pension Payments for Mandatory Pension Contributions, Mandatory Professional Pension Contributions, Voluntary Pension Contributions."

Appendix
to the form intended for the collection of administrative data on a gratuitous basis, "Report on Pension Payments for Mandatory Pension Contributions, Mandatory Professional Pension Contributions, Voluntary Pension Contributions"

Explanation for Completing the Form for Collecting Administrative Data on a Gratuitous Basis

"Report on Pension Payments for Mandatory Pension Contributions, Mandatory Professional Pension Contributions, Voluntary Pension Contributions"

(index – 1-ENPF_Vyplaty, periodicity – monthly)

Chapter 1. General Provisions

1. This explanation establishes uniform requirements for completing the form intended for the collection of administrative data on a gratuitous basis, "Report on Pension Payments for Mandatory Pension Contributions, Mandatory Professional Pension Contributions, Voluntary Pension Contributions" (hereinafter – the Form).

2. The Form is completed monthly by the Single Accumulative Pension Fund as of the end of the reporting period. Data in the Form are indicated 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 or more is rounded to 1000 (one thousand) tenge.

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

Chapter 2. Explanation for Completing the Form

4. In column 3, the number of contributors (beneficiaries) from whose accounts payments were made for the period from the beginning of the year (cumulatively) is indicated.

5. In column 4, the number of payments made to contributors (beneficiaries) for the period from the beginning of the year (cumulatively) is indicated. Information on the number of payments is reflected based on payments (transactions) made to contributors (beneficiaries).

6. In column 5, the amount of payments for the period from the beginning of the year (cumulatively) is indicated.

7. In column 6, the number of contributors (beneficiaries) from whose accounts payments were made for the analogous period of the previous year is indicated.

8. In column 7, the number of payments made to contributors (beneficiaries) for the analogous period of the previous year is indicated. Information on the number of payments is reflected based on payments (transactions) made to contributors (beneficiaries).

9. In column 8, the amount of payments for the analogous period of the previous year is indicated.

10. In rows with codes 405, 504, 603, and 604, the number of contributors (beneficiaries) is indicated for reference purposes and is not summed up in rows with codes 401, 500, and 600.

11. In the absence of information, the Form is submitted without completion.

Appendix 65
to the Rules for Submission of Reporting by Professional Participants of the Securities Market and the Single Accumulative Pension Fund

Form, intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on Securities Acquired from Own Assets

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

Periodicity: monthly

Reporting period: as of "__" ________ 20 __ year

Circle of persons submitting the form intended for the collection of administrative data on a gratuitous basis: single accumulative pension fund

Deadline for submission of the form intended for the collection of administrative data on a gratuitous basis: monthly, no later than the 7th (seventh) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

(in thousands of tenge)

No.	Issuer Name	Issuer Country	Security Type	Security Identification Number	Quantity of Securities (units)
total	including securities with encumbrances and securities that are the subject of repo transactions
total	including securities that are the subject of repo transactions
1	2	3	4	5	6	7	8
1.	State Securities of the Republic of Kazakhstan
1.1.
…
2.	Non-state issue securities of organizations of the Republic of Kazakhstan
2.1.	securities of second-tier banks
2.1.1.
…
2.2.	securities of legal entities, excluding second-tier banks
2.2.1.
…
3.	Securities of foreign states
3.1.
…
4.	Non-state securities of issuers who are non-residents of the Republic of Kazakhstan
4.1.
…
5.	Securities of international financial organizations
5.1.
…
6.	Units of investment funds
6.1.
…
7.	Total

continuation of the table:

Nominal Value		Payment Currency Code	Purchase Price per One Security	Period		Purchase Cost of Security
currency code	cost of one security	date of registration	maturity date
9	10	11	12	13	14	15

continuation of the table:

Book Value of Securities								Rating of Security
Total				including for securities with encumbrances and securities that are the subject of repo transactions		Reference: Formed Reserves (Provisions)	Accounting Category	at the date of registration	at the reporting date
total	discount, premium	accrued reward	positive (negative) adjustment	total	including for securities that are the subject of repo transactions
16	17	18	19	20	21	22	23	24	25

Name ______________________________________

Address__________________________________________________________

Phone ________________________________________

Email address _________________________

Executor ______________________________________ ________________

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

Head or person vested with the function of signing the report

---

surname, first name and patronymic (if any) signature

Date «____» ______________ 20 year

Note: the form is filled out in accordance with the explanation for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on securities acquired from own assets".

Appendix
to the form intended for the collection of administrative data on a gratuitous basis, "Report on securities acquired from own assets"

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

"Report on securities acquired from own assets"

(index – 1-ENPF_CBSA, periodicity – monthly)

Chapter 1. General Provisions

1. This explanation defines the uniform requirements for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on securities acquired from own assets" (hereinafter – the Form).

2. The Form is filled out monthly by the unified accumulative pension fund as of the end of the reporting period. Data in the Form is indicated 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.

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

Chapter 2. Explanation for Filling out the Form

4. The Form indicates data on securities and claims against the issuer's obligations under issue securities. For depositary receipts, information about its underlying asset is indicated.

5. Column 2 indicates the name of the issuer of the security.

6. Column 3 indicates the issuer's country in accordance with the national classifier of the Republic of Kazakhstan NK RK ISO 3166-1-2016 "Codes for the representation of names of countries and their administrative-territorial subdivisions. Part 1. Country codes".

7. Column 4 indicates the type of acquired security with indication of its type.

8. Column 5 indicates the international identification number (ISIN code) or another identifier of the security, regarding claims against the issuer's obligations under issue securities whose term of circulation has expired and for which the issuer has not fulfilled obligations for their redemption – identifier of claims.

9. Column 6 indicates the quantity of acquired securities.

10. Columns 9 and 11 indicate currency codes in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the representation of currencies and funds".

11. Column 10 indicates the monetary expression of the bond's cost determined upon its issuance, on which percentage-based reward for coupon bonds accrues, as well as the amount payable to the bondholder upon its redemption. The amount is indicated in the currency of issuance. Column 10 is filled out for debt securities.

12. Column 12 indicates the price reflected in the primary document confirming the transaction (exchange certificate, broker and/or dealer report, confirmation received via the international interbank system for information transfer and payment execution SWIFT), taking into account the reward paid to the seller.

13. Column 13 indicates the date of initial recognition in accounting, in the format "dd.mm.yyyy".

14. Column 14 indicates the maturity term of debt securities, in the format "dd.mm.yyyy".

15. Column 15 indicates the purchase cost of securities, including expenses directly related to acquisition, including rewards and commissions paid to agents, consultants, brokers (dealers), fees of stock exchanges, as well as banking services for transfer, reduced by the amount of the percentage paid by the buyer to the seller (if any).

16. Column 16 indicates the cost of securities reflected in accounting.

17. Column 20 indicates the cost of securities with encumbrances and securities that are the subject of repo transactions, in thousands of tenge, indicated in accounting.

18. Column 21 indicates the cost of securities that are the subject of repo transactions, in thousands of tenge, indicated in accounting.

19. Column 22 indicates the size of reserves (provisions) formed in accordance with international financial reporting standards. The size of reserves (provisions) is indicated in absolute terms with a plus sign.

20. In column 23, as the category of security, the symbol is indicated: 1 – "measured at fair value through other comprehensive income", 2 – "measured at fair value through profit or loss", 3 – "measured at amortized cost".

21. When filling out columns 24 and 25, the rating of the security for bonds, the rating of the issuer for stocks, the rating of the country for state securities, assigned by one of the rating agencies specified in paragraph 2 of the Resolution of the Board of the Agency of the Republic of Kazakhstan for Regulation and Development of the Financial Market dated April 14, 2026 No. 64 "On establishing the minimum rating for legal entities and states, the presence of which is required in accordance with the legislation of the Republic of Kazakhstan regulating the activities of financial organizations, branches of non-resident banks of the Republic of Kazakhstan, branches of non-resident insurance (reinsurance) organizations, the list of rating agencies assigning this rating" (registered in the Registry of State Registration of Normative Legal Acts under No. 38437). If there is no rating in columns 24 and 25, "no rating" is indicated. These columns are not filled out for state securities of the Republic of Kazakhstan.

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

Appendix 66
to the Rules for Reporting by Professional Securities Market Participants and the Unified Accumulative Pension Fund

Form, intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Name of the administrative form: Report on completed transactions on investing own assets

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

Periodicity: monthly

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

Circle of persons submitting the form intended for the collection of administrative data on a gratuitous basis: unified accumulative pension fund

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: monthly, no later than the 7th (seventh) working day of the month following the reporting month

BIN: _______________________

Collection method: in electronic form

Table 1. Securities acquired from own assets

(in tenge)

No.	Date of conclusion of the deal (registration of the operation)	Established date of settlement for the deal	Actual date of settlement for the deal	Name of broker and/or dealer	Type of deal	Market
1	2	3	4	5	6	7

continuation of the table:

Type of security and name of its issuer	Security Identification Number	Currency Code of Nominal Value	Nominal Value of One Security	Quantity of Securities	Payment Currency Code	Purchase (Sale) Price per One Security
8	9	10	11	12	13	14

continuation of the table:

Minimum Price per One Security at the Date of Conclusion of the Deal	Maximum Price per One Security at the Date of Conclusion of the Deal	Market Price per One Security at the Date of Conclusion of the Deal	Yield on Securities (in percent)	Deal Amount	Name of Counterparty	Counterparty Rating
15	16	17	18	19	20	21

Table 2. Deposits in the National Bank of the Republic of Kazakhstan and in second-tier banks

(in tenge)

No.	Date of money transfer	Name of bank	Operations on the deposit	Amount of operation	Date of conclusion and number of the bank deposit contract	Term of deposit (in days)	Reward Rate (percent per annum)	Currency Code of Deposit	Deposit Amount
1	2	3	4	5	6	7	8	9	10

Table 3. Refined precious metals acquired from own assets

(in tenge)

No.	Date of transaction	Name of counterparty	Payment for services	Type of deal	Type of refined precious metal	Volume of deal (units)	Payment Currency Code	Purchase Price per One Unit	Deal Amount
1	2	3	4	5	6	7	8	9	10

Table 4. Derivative financial instruments acquired from own assets

(in tenge)

No.	Date of conclusion of the deal	Name of broker and/or dealer	Date of registration of financial instruments	Date of settlement for the deal	Type of derivative financial instrument	Security Identification Number	Market	Underlying Asset and its Rating	Counterparty and its Rating
1	2	3	4	5	6	7	8	9	10

continuation of the table:

Description of Deal Conditions					Hedging Object	Number and Date of Investment Decision	Variation Margin at the Date of Conclusion of the Deal, tenge	Initial Margin at the Date of Conclusion of the Deal, percent	Trading Mode	Note
Type of deal	Quantity of financial instruments, units	Deal Price, tenge	Deal Amount, thousand tenge	Currency Code of Deal
11	12	13	14	15	16	17	18	19	20	21

Name ______________________________________

Address__________________________________________________________

Phone ________________________________________

Email address _________________________

Executor ______________________________________ ________________

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

Head or person vested with the function of signing the report

---

surname, first name and patronymic (if any) signature

Date «____» ______________ 20 year

Note: the form is filled out in accordance with the explanation for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on completed transactions on investing own assets".

Appendix
to the form intended for the collection of administrative data on a gratuitous basis, "Report on completed transactions on investing own assets"

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

"Report on completed transactions on investing own assets"

(index – 1-ENPF_DEALINGS_SA, periodicity – monthly)

Chapter 1. General Provisions

1. This explanation defines the uniform requirements for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on completed transactions on investing own assets" (hereinafter – the Form).

2. The Form is filled out monthly by the unified accumulative pension fund for the reporting period (month). Data in the Form is indicated in tenge.