2026-08-11
Added
Investment portfolio managers, brokers, dealers, and voluntary accumulated pension funds must submit monthly reports by the 7th working day of the following month via the National Bank’s Web Portal. These filings include data on securities, repo transactions, deposits, investments, loans, derivatives, affiliated person transactions, and prudential norms, with amounts in tenge and US dollars. Brokers and dealers also file quarterly reports on unorganized market transactions, algorithmic trading users, derivative balances, services, and nominal custody holdings by the last day of the month following the quarter.
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| 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:
Approve the attached Rules for Reporting by Professional Securities Market Participants and the Unified Accumulative Pension Fund (hereinafter – the Rules).
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.
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:
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;
publication of this Resolution on the official Internet resource of the National Bank of the Republic of Kazakhstan after its official publication;
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.
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.
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
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).
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.
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.
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.
Data in the reporting shall be indicated in the national currency of the Republic of Kazakhstan – tenge, as well as in United States dollars.
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).
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".
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.
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
a report on securities acquired at the expense of own assets, according to the form attached in Appendix 1 to the Rules;
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;
a report on deposits and funds accounted for as part of own assets, according to the form attached in Appendix 3 to the Rules;
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;
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;
a report on investment funds, according to the form attached in Appendix 6 to the Rules;
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;
a report on the structure of other property of the investment fund, according to the form attached in Appendix 8 to the Rules;
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;
a report on concluded transactions for investing client assets, according to the form attached in Appendix 10 to the Rules;
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;
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;
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;
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.
a report on securities acquired at the expense of own assets, according to the form attached in Appendix 1 to the Rules;
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;
a report on deposits and funds accounted for as part of own assets, according to the form attached in Appendix 3 to the Rules;
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;
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;
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.
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.
Brokers and/or dealers shall submit to the National Bank quarterly, no later than the last day of the month following the reporting quarter:
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;
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.
a report on transactions with derivative financial instruments, according to the form attached in Appendix 18 to the Rules;
a report on balances of funds held in the broker's accounts, according to the form attached in Appendix 19 to the Rules;
a report on services provided by the broker and/or dealer, according to the form attached in Appendix 20 to the Rules.
a report on securities held in nominal custody, according to the form attached in Appendix 21 to the Rules;
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.
a report on securities acquired at the expense of own assets, according to the form attached in Appendix 1 to the Rules;
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;
a report on deposits and funds accounted for as part of own assets, according to the form attached in Appendix 3 to the Rules;
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;
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;
a report on investment funds, according to the form attached in Appendix 6 to the Rules;
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;
a report on the structure of other property of the investment fund, according to the form attached in Appendix 8 to the Rules;
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;
a report on concluded transactions for investing client assets, according to the form attached in Appendix 10 to the Rules;
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;
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;
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;
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;
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;
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;
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;
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;
a report on assets and liabilities for own assets, classified by economic sectors, according to the form attached in Appendix 28 to the Rules;
a report on assets and liabilities for pension assets, classified by economic sectors, according to the form attached in Appendix 29 to the Rules.
a report on securities acquired at the expense of own assets, according to the form attached in Appendix 1 to the Rules;
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;
a report on deposits and funds accounted for as part of own assets, according to the form attached in Appendix 3 to the Rules;
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;
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;
a report on investment funds, according to the form attached in Appendix 6 to the Rules;
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;
a report on the structure of other property of the investment fund, according to the form attached in Appendix 8 to the Rules;
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;
a report on concluded transactions for investing client assets, according to the form attached in Appendix 10 to the Rules;
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;
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;
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;
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;
a report on the value of pension assets, according to the form attached in Appendix 23 to the Rules;
a report on the structure of the investment portfolio of pension assets, according to the form attached in Appendix 24 to the Rules;
a report on compliance with investment limits, according to the form attached in Appendix 30 to the Rules;
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;
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
a report on securities held in nominal custody, according to the form attached in Appendix 21 to the Rules;
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;
a report on blocked (unexecuted) client orders, according to the form attached in Appendix 33 to the Rules;
a report on the number of clients of the custodian, according to the form attached in Appendix 34 to the Rules.
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;
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;
a report on the structure of the investment portfolio of pension assets, according to the form attached in Appendix 37 to the Rules;
a report on accrued and paid commissions, according to the form attached in Appendix 38 to the Rules.
a report on buy (sell) orders for securities, according to the form attached in Appendix 39 to the Rules;
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;
a report on orders for repo transactions with securities, according to the form attached in Appendix 41 to the Rules;
a report on repo transactions with securities indicating their participants, according to the form attached in Appendix 42 to the Rules;
a report on buy (sell) orders for derivative financial instruments, according to the form attached in Appendix 43 to the Rules;
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;
a report on buy (sell) orders for foreign currencies, according to the form attached in Appendix 45 to the Rules;
a report on the results of trading in foreign currencies, according to the form attached in Appendix 46 to the Rules.
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.
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:
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;
report on financial instruments, excluding securities included in the trading organizer's list, in the form according to Appendix 49 to the Rules;
report on transaction volumes in the form according to Appendix 50 to the Rules;
report on stock market capitalization in the form according to Appendix 51 to the Rules;
report on client accounts in the form according to Appendix 52 to the Rules;
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;
report on completed transactions on investing own assets in the form according to Appendix 54 to the Rules.
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.
The Central Depository submits to the National Bank:
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;
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;
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
report on assets and liabilities of own assets, classified by economic sectors, in the form according to Appendix 28 to the Rules;
report on assets and liabilities of pension assets, classified by economic sectors, in the form according to Appendix 29 to the Rules.
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;
report on the structure of the investment portfolio of pension assets in the form according to Appendix 60 to the Rules;
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;
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;
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;
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;
report on securities acquired at the expense of own assets in the form according to Appendix 65 to the Rules;
report on completed transactions on investing own assets in the form according to Appendix 66 to the Rules;
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;
report on the cost of one conditional unit of conditional pension obligations in the form according to Appendix 68 to the Rules;
report on payments and return of targeted accumulations according to Appendix 69 to the Rules.
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;
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.
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
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).
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.
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
In column 2, the name of the issuer of the security is indicated.
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."
In column 4, the type of acquired security is indicated, specifying its type.
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.
In column 6, the quantity of acquired securities in pieces is indicated. Debt securities are indicated by nominal value in the currency of issue.
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.
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.
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."
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.
In column 11, the date of initial recognition in accounting is indicated in the format "dd.mm.yyyy."
In column 12, the maturity date of debt securities is indicated in the format "dd.mm.yyyy."
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.
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.
In column 16, the value of securities reflected in accounting is indicated.
In column 17, the unamortized part of the discount (with a minus sign) or premium (in absolute terms) is indicated.
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.
In column 19, a positive or negative adjustment is indicated.
In column 20, the value of securities with encumbrances and securities transferred to repo, indicated in accounting, is specified.
In column 21, the value of securities transferred to repo on the reporting date, indicated in accounting, is specified.
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.
In column 23, the security category "fair value through other comprehensive income", "fair value through profit or loss", or "amortized cost" is indicated.
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.
In column 26, the coupon rate for debt financial instruments on the date of submission of the Form is indicated.
Columns 7, 8, 20, and 21 are filled in respect of securities specified in columns 6 and 16.
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
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).
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.
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
In column 2, the name of the issuer of the security is indicated.
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."
In column 4, the type of security transferred and/or acquired under repo and/or "reverse repo" operations is indicated, specifying its type.
In column 6, the quantity of transferred and/or acquired securities under repo and/or "reverse repo" operations is indicated.
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."
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.
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.
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.
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
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).
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.
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
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.
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".
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.
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.
If there are restrictions on the right of ownership to the deposit, the word "yes" is indicated in column 15.
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.
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
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).
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.
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
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.
All data in the Form are presented by the nature of the activity of the legal entity in whose capital the organization participates.
In column 4, the book value of investments in the capital of legal entities reflected in accounting is indicated.
In column 5, the amount of dividends accrued on investments in the capital of legal entities is indicated.
In column 7, the date of initial recognition reflected in accounting is reflected in the "dd.mm.yyyy" format.
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
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).
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.
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
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.
In column 3, the name of the counterparty (debtor) is indicated.
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.
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.
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".
In columns 8 and 9, the current value of the claim is indicated, with accrued interest indicated if available.
In column 10, the amount of reserves (provisions) on the asset is reflected if available.
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.
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
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).
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.
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
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.
Columns 3, 4, 5 and 6 are reflected with four decimal places.
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.
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.
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
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).
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.
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
The Form is filled out in respect of each investment fund and for all clients who are not investment funds.
Regarding Table 1:
in column 2, the surname, first name, patronymic (if any) or name of the client of the investment portfolio manager is indicated;
in column 3, the name of the issuer of the security is indicated;
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";
in column 5, the type of acquired security is indicated with its type specified;
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;
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;
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;
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";
column 11 is filled out for debt securities;
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;
in column 14, the date of initial recognition in accounting in the format "dd.mm.yyyy." is reflected;
in column 15, the maturity date of debt securities in the format "dd.mm.yyyy." is indicated;
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;
in column 17, the cost of securities reflected in accounting is indicated;
in column 19, the cost of securities with encumbrances and securities that are the subject of repo transactions, indicated in accounting, is indicated;
in column 20, the cost of securities that are the subject of repo transactions as of the reporting date, indicated in accounting, is indicated;
in column 21, the amount of formed reserves (provisions) reflected in accounting is indicated;
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;
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;
in column 26, the coupon rate for debt financial instruments on the date of submission of the Form is indicated;
columns 8, 9, 19 and 20 are filled out in respect of securities specified in columns 7 and 17;
securities acquired from pension assets are not indicated in Table 1.
in column 2, the surname, first name, patronymic (if any) or name of the client of the investment portfolio manager is indicated;
in column 3, the name of the issuer of the security is indicated;
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";
in column 5, the type of security acquired through "reverse repo" operations is indicated with its type specified;
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";
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;
in column 16, the cost reflected in accounting is indicated;
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;
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;
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;
securities acquired through "reverse repo" operations from pension assets are not indicated in Table 2.
in column 2, the surname, first name, patronymic (if any) or name of the client of the investment portfolio manager is indicated;
in column 3, the name of the bank is indicated;
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;
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";
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;
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.";
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;
in column 16, the cost reflected in accounting is indicated;
Table 3 is filled out indicating the amount of deposits separately for each bank and for each deposit currency;
deposits placed from pension assets are not indicated in Table 3.
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.
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
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).
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.
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
In column 3, the name of other property and its location are indicated.
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.
In column 5, the cost of property reflected in accounting is indicated.
In column 7, the date of the last valuation of the property is indicated.
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.
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
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).
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.
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
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.
In column 4, the purchase cost of shares on the date of acquisition is reflected.
In column 6, the value of investments reflected in accounting is indicated.
The Form is completed separately for each client.
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.
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
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).
The Form is compiled monthly by the portfolio manager. Data in the Form is filled in tenge.
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
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;
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;
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.
in column 8, the name of the issuer and the type of securities are indicated;
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”;
in column 12, the quantity of securities in pieces is indicated. Debt securities are indicated at the nominal value in the currency of issue;
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;
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;
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);
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;
column 20 is completed for transactions concluded on international (foreign) securities markets;
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.
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;
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);
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;
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”;
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;
in column 3, the date of the transaction (trade date) is indicated;
in column 6, the type of transaction (purchase, sale) is indicated;
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);
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”;
in column 11, the amount is indicated with an accuracy of two decimal places.
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.
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.
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
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).
The Form is compiled monthly by the portfolio manager. Data in the Form is filled in tenge.
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
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;
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;
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;
in column 7, the name of the issuer and the type of securities are indicated;
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”;
in column 11, the quantity of securities in pieces is indicated. Debt securities are indicated at the nominal value in the currency of issue;
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;
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;
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);
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;
column 18 is completed for transactions concluded on international (foreign) securities markets;
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.
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;
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);
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;
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";
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;
In column 2, the transaction date (trade date) is indicated;
In column 5, the type of transaction (purchase, sale, and others) is indicated;
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);
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";
In column 10, the amount is indicated with an accuracy of two decimal places.
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.
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
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).
The Form is compiled monthly by the portfolio manager. Data in the Form is filled in tenge.
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
In column 3, the transaction date is indicated in the format "dd.mm.yyyy".
In column 5, the registration date is indicated in the format "dd.mm.yyyy" on the date of initial recognition in accounting.
In column 6, the settlement date of the transaction is indicated in the format "dd.mm.yyyy".
In column 7, the type of derivative financial instrument (option, futures, forward, swap, and other derivative financial instruments) is indicated.
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.
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".
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)".
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".
In column 12, the type of transaction (purchase, sale, and others) is indicated.
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".
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.
In column 18, the number and date of the investment committee's decision to execute the transaction are indicated.
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.
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.
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.
In column 22, the conditions for the emergence of claims and obligations of the parties to the transaction are indicated.
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.
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.
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
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).
The Form is compiled monthly by the portfolio manager. Data in the Form is filled in tenge.
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
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.
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).
In column 4, the transaction date is indicated in the format "dd.mm.yyyy".
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.
In column 6, the actual settlement date of the transaction is indicated.
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.
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.
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.
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.
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.
In column 15, the quantity of securities in pieces is indicated. Debt securities are indicated at the nominal value in the currency of issue.
In column 17, the expiration date of the bank deposit contract is indicated in the format "dd.mm.yyyy".
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.
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
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).
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.
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
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).
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).
If a financial instrument meets two or more criteria established by the Form, the Organization independently establishes the category of the financial instrument.
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.
Column 3 of Table 1 is filled with data as of the end of the last calendar day of the reporting period.
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.
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.
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
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).
The Form is compiled monthly by a broker and (or) dealer.
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
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.
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”.
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”.
In column 4, the actual settlement date of the transaction is indicated in the format “dd.mm.yyyy”.
Columns 3, 4, and 11 are not filled out if the organization acted as a nominal holder.
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”.
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.
In column 12, the quantity of securities in pieces is indicated. Debt securities are indicated by nominal value in the currency of issue.
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.
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.
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”.
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.
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.
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.
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.
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.
Columns 33, 34, and 35 are filled out when concluding transactions (registering operations) on the international (foreign) securities market.
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.
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.
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
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).
The Form is compiled quarterly by a broker and (or) dealer.
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
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.
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.
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
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).
The Form is compiled quarterly by a broker and/or dealer. Data in the Form is filled in tenge.
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
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.
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".
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.
In column 6, the start date of the algorithmic strategy is indicated in the format "dd.mm.yyyy".
In column 7, a detailed description of the investment strategy using algorithmic trading is indicated.
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.
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).
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
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).
The Form is compiled quarterly by a broker and/or dealer. Data in the Form is filled in tenge.
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
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).
Column 3 reflects the date of initial recognition in accounting.
In column 5, the type of derivative financial instrument (option, futures, forward, swap, and other derivative financial instruments) is indicated.
Column 6 is filled if the underlying asset of the derivative financial instrument is a security.
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.
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".
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.
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".
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".
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.
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.
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.
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.
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.
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.
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.
In column 23, one of the following statuses of the transaction is indicated:
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;
obligation performance is overdue;
obligation performance is suspended on grounds provided by the contract;
obligations terminated due to violation by the party of the transaction terms or events related to the insolvency of one of the parties;
extension of the performance period of the transaction as a result of the occurrence of a specified circumstance or event.
In column 24, the place of transaction conclusion is indicated.
Transactions with depositary receipts are not included in the Form.
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
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).
The Form is compiled quarterly by a broker and/or dealer. Data in the Form is filled in tenge.
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
The Form is filled in tenge at the market exchange rate of currencies on the reporting date.
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.
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.
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
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).
The Form is compiled quarterly by a broker and/or dealer.
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
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.
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.
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.
Columns 4, 5, and 6 are filled in the format "dd.mm.yyyy".
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;
Column 9 is filled if the broker and/or dealer provides services to the issuer on the placement of securities.
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
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).
The form is compiled quarterly by the broker and (or) dealer, unified operator, custodian.
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
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.
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.
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.
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.
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
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).
The form is compiled quarterly by the broker and (or) dealer, unified operator, custodian.
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
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.
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.
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.
In column 8, the number of securities in units is indicated. Debt securities are indicated at nominal value in the currency of issue.
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
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).
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.
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
The form is filled out for each day of the reporting month. The date is indicated in the format "dd.mm.yyyy".
In rows 1.2, 2.2, 3.2, 4.2, 5.2 and 6.2, amounts equivalent to tenge are reflected.
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.
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).
When filling out row 9, information on realized or redeemed financial instruments at actual cost of realization or redemption is indicated.
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.
When filling out row 11.5, reserves (provisions) are reflected once a month at the end of the day of their formation.
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.
In rows 13 and 15, the amount of commission remuneration of the voluntary accumulative pension fund, trustee is indicated.
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.
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.
When filling out rows 17.3 and 18.3, a list of liabilities included in the value of pension assets is attached.
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
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).
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.
The Form is signed by the head or person authorized to sign the report, and the executor.
Chapter 2. Instructions for completing the Form
Table 1 indicates data on securities and claims against the issuer of the issuer's securities;
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;
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";
in column 5, the type of acquired security is indicated, specifying its type;
in column 6, the international identification number (ISIN code) or another identifier of the security is indicated;
in column 7, the quantity of acquired securities in pieces is indicated. Debt securities are indicated by nominal value in the currency of issue;
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";
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;
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;
in column 13, the date of initial recognition in accounting is reflected;
in column 14, the maturity term of debt securities is indicated;
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);
in column 16, the current value of the securities, reflected in accounting, is indicated;
in column 20, the category of the security "evaluated at fair value" or "evaluated at amortized cost" is indicated;
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;
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;
in column 25, the coupon rate for debt financial instruments at the date of submission of the Form is indicated.
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";
in column 4, the type of security acquired through repurchase agreements is indicated, specifying its type;
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";
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;
in column 15, the current value, reflected in accounting, is indicated.
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;
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";
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;
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;
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;
in column 15, the value of deposits, reflected in accounting, is indicated;
in column 18, the amount of reserves (provisions), reflected in accounting, is indicated;
Table 3 is filled indicating the amount of deposits separately for each bank and for each currency of the deposit.
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";
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;
in column 9, the current value, reflected in accounting, is indicated.
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);
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";
column 5 is filled if the underlying asset of the derivative financial instrument is a security;
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);
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).
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
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).
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.
The Form is signed by the head or person authorized to sign the report, and the executor.
Chapter 2. Instructions for completing the Form
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.
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.
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
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).
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.
The Form is signed by the head or person authorized to sign the report, and the executor.
Chapter 2. Instructions for completing the Form
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.
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).
In column 5, the amount of payments for the period from the beginning of the year (cumulative) is indicated.
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
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).
The Form is compiled monthly by the voluntary accumulative pension fund. Data in the Form is indicated in tenge.
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
In column 1, the date is indicated in the format "dd.mm.yyyy".
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.
In column 9, the number of conditional units is indicated with a precision of up to three decimal places.
In column 10, the cost of one conditional unit of pension assets is indicated with a precision of up to seven decimal places.
Columns 11, 12, and 13 are filled out for reference.
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
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).
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.
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
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.
the first part corresponds to the number of the main balance sheet item;
the second part consists of two digits – the code of the residency indicator and the code of the economic sector;
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.
data in column 3 for all lines is equal to the sum of data in columns 4 and 5;
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”;
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
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).
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.
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
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.
the first part corresponds to the number of the main item of the report on net pension assets;
the second part consists of two digits – the code of the residency indicator and the code of the economic sector;
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.
data in column 3 for all lines is equal to the sum of data in columns 4 and 5;
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";
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";
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
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).
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.
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
The current cost of investments in financial instruments and pension assets, as well as percentage values, are indicated with two decimal places.
For Table 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;
column 6 is calculated as the ratio of column 5 to column 4.
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;
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;
column 7 is calculated as the ratio of column 5 to column 4;
column 8 is calculated as the ratio of column 6 to column 4.
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;
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;
column 6 is calculated as the ratio of column 4 to column 5.
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;
column 3 for securities indicates the international identification number (ISIN code) or other identifier of the security;
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";
column 7 is calculated as the ratio of column 5 to column 6.
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
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).
The Form is prepared monthly by the trustee. Data in the Form is indicated in tenge.
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
Column 5 indicates the number of conditional units of pension assets with an accuracy of three decimal places.
Column 6 indicates the cost of one conditional unit of pension assets with an accuracy of seven decimal places.
Columns 7, 8 and 9 are filled out for reference.
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
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).
The Form is prepared monthly by the trustee.
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
In rows 3, 5 and 7, the nominal yield coefficient is indicated with an accuracy of two decimal places.
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.
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
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).
The Form is prepared quarterly by the custodian. Data in the Form is filled out in tenge.
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
Column 2 indicates the name of the investment portfolio manager, the organization carrying out brokerage and dealing activities, being clients of the custodian.
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.
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".
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".
Column 11 indicates the grounds on which the custodian blocked (did not execute) the order to conclude a transaction.
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
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).
The Form is prepared quarterly by the custodian.
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
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.
Column 3 indicates the residency status of the custodian's client (resident or non-resident).
In columns 4, 5 and 6, the number "1" is indicated in the corresponding column and summed in the "Total" row.
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
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).
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.
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
Column 1 is reflected in the format "dd.mm.yyyy".
Amounts not subject to reflection are included in columns 15 and 24 with explanatory notes.
Columns 3 and 4 indicate the amount of transfers from the unified accumulative pension fund, as well as from voluntary accumulative pension funds.
When filling out column 15, a list of sources of other inflows received is attached to the report form.
Column 16 indicates the total amount of inflows for each working day of the reporting period.
Columns 20 and 21 indicate the amounts of commission remuneration paid to the voluntary accumulative pension fund.
When filling out column 24, information on other expenses included in the cost of pension assets is attached to the report form.
Column 25 indicates the total amount of expenses for each working day of the reporting period.
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
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).
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.
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
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.
Column 1 is reflected in the format "dd.mm.yyyy".
Amounts not subject to reflection are included in columns 14, 15, 24 and 25 with explanations.
In the presence and movement of several foreign currencies, the Form is submitted separately for each foreign currency.
When filling out columns 14 and 15, a list of sources of other receipts received is attached.
Columns 16 and 17 are filled with the total amounts of receipts for each working day of the reporting period.
When filling out columns 24 and 25, a list of information on other expenses included in the cost of pension assets is attached.
Columns 26 and 27 are filled with the total amounts of expenses for each working day of the reporting period.
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
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).
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.
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
the Form indicates data on securities and claims to obligations of the issuer on issue securities;
column 2 indicates the name of the issuer of the security;
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;
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";
column 5 indicates the type of security with its type specified;
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;
column 7 indicates the quantity of acquired securities;
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";
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;
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;
column 13 reflects the date of initial recognition in accounting in the format "dd.mm.yyyy";
column 14 indicates the maturity date of debt securities in the format "dd.mm.yyyy";
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);
column 16 indicates the value of the securities reflected in accounting;
column 19 indicates the category of the security "evaluated at fair value", "evaluated at amortized cost";
column 20 indicates the coupon rate on debt financial instruments on the date of submission of the Form.
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";
column 4 indicates the type of security with its type specified;
column 6 indicates the quantity of acquired securities;
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";
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;
column 15 indicates the current value reflected in accounting.
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";
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;
columns 7 and 8 indicate the frequency and date of payment of accrued reward in accordance with the terms of the bank deposit contract;
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;
Table 3 is filled out indicating the amount of deposits separately for each bank and for each currency of the deposit.
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";
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;
column 9 indicates the current value reflected in accounting.
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);
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";
column 5 is filled out if the underlying asset of the derivative financial instrument is a security;
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);
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).
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
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).
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.
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
In column 1, a separate working day of the reporting month is indicated in the format “dd.mm.yyyy”.
In columns 2 and 3, the amount of accrued commission reward is indicated.
In columns 4 and 5, the amount of paid commission reward is indicated.
In the “Total” row, total amounts for all positions for the reporting month are indicated.
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
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).
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.
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
In column 1, the sequence number of the application is indicated.
In columns 2 and 21, the date of application submission and the date of application withdrawal are indicated in the format “dd.mm.yyyy”.
In columns 3 and 22, the time of application submission and the time of application withdrawal are indicated in the format “hours: minutes: seconds”.
In column 4, the type of application is indicated: “limit” – limit order, “market” – market order, “nego” – direct order.
In column 5, the direction of the application is indicated as purchase or sale.
In column 6, the type of market is indicated: “Tbills” – government securities market, “Equities” – stock market, “Debts” – bond market.
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.
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”.
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.
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.
In column 13, the quantity of securities in the application is indicated in pieces.
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.
In column 16, the account (sub-account) of the security holder opened in the central depository accounting system is indicated.
In column 17, the personal identification number of the stock exchange trader who submitted the application to conclude transactions is indicated.
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.
In column 19, the unique client code assigned by the central depository is indicated.
In column 20, the status of the application provided by the internal documents of the trading organizer is indicated.
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.
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.
In column 25, the trading mode provided by the trading system is indicated.
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
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).
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.
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
In column 1, the sequence number of the transaction is indicated.
In column 2, the date of the transaction conclusion is indicated in the format “dd.mm.yyyy”.
In column 3, the time of the transaction conclusion is indicated in the format “hours:minutes:seconds”.
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.
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.
In column 6, the type of market provided by the trading system is indicated.
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.
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”.
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.
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.
In column 14, the quantity of securities in the transaction is indicated in pieces.
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.
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).
In columns 18 and 22, the unique client codes assigned by the central depository are indicated.
In column 24, the status of the transaction provided by the internal documents of the trading organizer is indicated.
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.
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.
In column 28, the trading mode provided by the trading system is indicated.
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
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).
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.
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
In column 1, the sequence number of the application is indicated.
In columns 2 and 19, the date of application submission and the date of application withdrawal are indicated in the format “dd.mm.yyyy”.
In columns 3 and 20, the time of application submission and the time of application withdrawal are indicated in the format “hours:minutes:seconds”.
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.
In column 5, the transaction method is indicated: “direct repo” or “automatic repo”.
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.
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.
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”.
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.
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.
In column 12, the quantity of securities (in pieces) offered by the seller of securities for the “direct (automatic) repo” operation is indicated.
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.
In column 15, the account (sub-account) of the security holder opened in the central depository accounting system is indicated.
Column 16 indicates the unique client code assigned by the central depository.
Column 17 indicates the personal identification number of the stock exchange trader who submitted the application to conclude a securities repo transaction.
Column 18 indicates the status of the application, as provided for by the internal documents of the trading organizer.
Column 21 indicates the term of the repo transaction, determined by the trading organizer in accordance with its internal documents.
Column 22 indicates the discount rate applied to the price of the instrument that is the subject of the repo transaction.
Column 23 indicates the trading mode provided for by the trading system.
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
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).
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.
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
Column 1 indicates the sequential number of the deal.
Column 2 indicates the date of the deal conclusion in the format “dd.mm.yyyy”.
Column 3 indicates the time of the deal conclusion in the format “hours:minutes:seconds”.
Column 4 indicates the method of the deal: “direct repo” or “automatic repo”.
Column 5 indicates the type of repo transaction as opening or closing.
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”).
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.
Column 11 indicates the quantity of securities (in pieces) offered by the seller of the repo transaction.
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.
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.
In columns 15 and 19, unique client codes assigned by the central depository are indicated.
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.
Column 21 indicates the status of the deal, provided for by the internal documents of the trading organizer.
Column 22 indicates the term of the repo transaction, determined by the trading organizer in accordance with its internal documents.
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.
Column 24 indicates the discount rate applied to the price of the financial instrument that is the subject of the repo transaction.
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.
Column 26 indicates the trading mode provided for by the trading system.
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
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).
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.
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
Column 1 indicates the sequential number of the application.
In columns 2 and 17, the date of application submission and the date of application cancellation are indicated in the format “dd.mm.yyyy”.
In columns 3 and 18, the time of application submission and the time of application cancellation are indicated in the format “hours:minutes:seconds”.
Column 4 indicates the type of application: “limit” – limit order, “nego” – direct order.
Column 5 indicates the direction of the application as purchase or sale.
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.
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”.
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.
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.
Column 15 indicates the personal identification number of the stock exchange trader who submitted the application to conclude a transaction with derivative financial instruments.
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.
Column 19 indicates the status of the application, provided for by the internal documents of the trading organizer.
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
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).
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.
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
Column 1 indicates the sequential number of the deal.
Column 2 indicates the date of the deal conclusion in the format “dd.mm.yyyy”.
Column 3 indicates the time of the deal conclusion in the format “hours:minutes:seconds”.
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.
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.
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”.
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.
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.
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.
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.
Column 19 indicates the actual date of the deal settlement in the format “dd.mm.yyyy”.
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
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).
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.
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
Column 1 indicates the sequential number of the application.
Column 2 indicates the date of application submission in the format “dd.mm.yyyy”.
Column 3 indicates the time of application submission in the format “hours:minutes:seconds”.
Column 4 indicates the direction of the application as purchase or sale.
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.
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.
Column 7 indicates the quantity of financial instruments of the application in pieces.
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.
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.
Column 12 indicates the type of application: “limit” – limit order, “market” – market order, “nego” – direct order.
Column 13 indicates the status of the application, provided for by the internal documents of the trading organizer.
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.
Column 15 indicates the trading mode provided for by the trading system.
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
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).
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.
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
Column 1 indicates the sequential number of the deal.
Columns 2 and 18 indicate the date of the deal and the actual settlement date of the deal in the format “dd.mm.yyyy”.
Column 3 indicates the time of the deal and the actual settlement time of the deal in the format “hours:minutes:seconds”.
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.
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”).
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.
Column 7 indicates the quantity of financial instruments in pieces.
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.
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.
Column 17 indicates the deal status provided for by the internal documents of the trading organizer.
Column 19 indicates the number of the main swap deal. Column 19 is filled out for currency swap operations.
Column 20 indicates the trading mode provided for by the trading system.
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
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).
The Form is compiled quarterly by the trading organizer and filled out as of the end of the reporting period.
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
The Form is filled out in chronological order of admission of trading organizer members;
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;
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;
in columns 7, 8 and subsequent columns, membership categories are indicated, determined by the internal documents of the trading organizer.
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;
in columns 4 and 5, the dates of granting and loss of the market maker status are indicated in the format “dd.mm.yyyy”;
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.
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
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).
The Form is compiled monthly by the trading organizer and filled out as of the last day of the reporting month.
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
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”.
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.
Column 5 indicates the international identification number (ISIN code) or another identifier of the security.
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”.
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”.
In columns 10, 11 and 12, the number of deals made with the security during the reporting period is indicated in pieces.
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.
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.
In column 21, the current coupon rate is filled out for debt securities.
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
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).
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.
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
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.
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”.
In column 6, the number of deals made with the financial instrument during the reporting period is indicated in pieces.
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.
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
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).
The Form is compiled monthly by the trading organizer and completed as of the last day of the reporting month.
The Form is signed by the head or person authorized to sign the report, and the executor.
Chapter 2. Instructions for completing the Form
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.
In column 3, the number of transactions completed with the financial instrument during the reporting period is indicated, in pieces.
In column 4, the volume of transactions completed with the financial instrument during the reporting period is indicated.
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
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).
The Form is compiled monthly by the trading organizer and completed as of the last day of the reporting month.
The Form is signed by the head or person authorized to sign the report, and the executor.
Chapter 2. Instructions for completing the Form
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;
in column 3, the number of securities issues included in the trading organizer’s list is indicated.
in column 4, the number of issuers whose securities are included in the trading organizer’s list is indicated.
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.
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;
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;
in columns 4 and 6, the number of issued ordinary and preferred shares of the issuer is indicated in pieces;
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;
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.
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;
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”;
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;
in column 5, the international identification number (ISIN code) or another identifier of the security is indicated;
in column 6, the date of inclusion of the security in the trading organizer’s list is indicated in the format “dd.mm.yyyy”;
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”;
in column 9, the number of issued securities is indicated in pieces;
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;
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;
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.
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
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).
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.
The Form is signed by the head or person authorized to sign the report, and the executor.
Chapter 2. Instructions for completing the Form
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.
In columns 3, 4, and 5, the balances of money in the accounts are indicated.
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
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).
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.
The Form is signed by the head or person authorized to sign the report, and the executor.
Chapter 2. Instructions for completing the Form
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.
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.”
When completing Table 2, all indicators of a person’s relatedness by special relations to the trading organizer are indicated.
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.
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.
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.
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".
In columns 14, 15, and 16 of Table 1, information is indicated on transactions whose terms imply the presence of collateral.
In columns 17, 18, and 19 of Table 1, information is indicated on transactions whose terms imply the payment of remuneration.
In column 20 of Table 1, the amount of accrued income or expense accumulated from the beginning of the current year is indicated.
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)".
In Table 2, all persons related to the trading organizer by special relations are indicated, including those with whom no transactions were concluded.
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
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).
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.
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
In column 7, the type of transaction is indicated (purchase, sale, redemption, reverse repo operation – opening or closing, etc.).
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.
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".
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.
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).
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.
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
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).
The Form is compiled daily by clearing organizations.
The Form is signed by the head or person entrusted with the function of signing the report, and the executor.
The reporting form is provided only for transactions with financial instruments accepted for clearing services.
Chapter 2. Instructions for filling out the Form
In column 2, the name of the entity using the services of a clearing organization is indicated.
In column 3, the code of the entity using the services of a clearing organization is indicated.
In column 4, the obligations of the entity using the services of a clearing organization are indicated in the corresponding currency.
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".
In column 5, the claims of the entity using the services of a clearing organization are indicated in the corresponding currency.
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.
In column 7, the number of transactions of the entity using the services of a clearing organization is indicated.
In column 8, the amount of guarantee deposits of the entity using the services of a clearing organization is indicated.
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.
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.
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
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).
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.
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
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.
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".
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.
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.
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.
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.
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".
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.
In columns 14, 15, and 16 of Table 1, information is indicated on transactions whose terms imply the presence of collateral.
In columns 17, 18, and 19 of Table 1, information is indicated on transactions whose terms imply the payment of remuneration.
In column 20 of Table 1, the amount of accrued income or expense accumulated from the beginning of the current year is indicated.
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)".
In Table 2, all persons related to the central depository by special relations are indicated, including those with whom no transactions were concluded.
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".
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
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).
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.
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
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.
The residency status is determined in accordance with Article 1 of the Law of the Republic of Kazakhstan “On Currency Regulation and Currency Control.”
For the purposes of classifying institutional units by economic sectors, the following structure and concepts of economic sectors and subsectors are applied:
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;
local state authorities include institutional units performing management functions at the region, city, and district levels, and organizations funded from regional (local) budgets;
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;
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;
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;
state non-financial organizations – institutional units primarily engaged in market production and controlled by state authorities;
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;
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;
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.
For the depositor sub-account for aggregated accounting of financial instruments (omnibus), the economic sector is indicated according to the depositor's order.
Column 2 indicates economic sectors and subsectors in accordance with the National Classifier of Economic Sectors (NCS).
Columns 4, 30, and 32 indicate the value of securities determined in the central depository system (nominal, market, or conditional).
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.
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.
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.
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.
The amount in column 5 equals the sum of columns 7, 9, 11, 13, and 15.
The amount in column 6 equals the sum of columns 8, 10, 12, 14, and 16.
The amount in column 17 equals the sum of columns 19, 21, 23, 25, and 27.
The amount in column 18 equals the sum of columns 20, 22, 24, 26, and 28.
The amount in column 31 equals the sum of columns 3 and 5 minus the amount in column 17.
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
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).
The Form is compiled monthly by the central depository as of the end of the reporting period.
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
second-tier banks and banking holding companies;
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;
insurance (reinsurance) organizations and insurance holding companies;
organizations conducting brokerage and/or dealing activities, and managing investment portfolios;
open-ended investment funds;
closed-ended investment funds;
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;
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.
The Form is filled out for each type of financial organization specified in paragraph 5 separately.
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.
Regarding Table 2:
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;
column 5 indicates the subject of civil law: a physical or legal person;
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;
column 8 indicates the type of holder of the financial instrument: owner or nominal holder;
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”;
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);
column 12 indicates the type of financial instrument: shares, units, participation shares;
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.
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.
Regarding Table 3:
“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;
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;
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;
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.
in column 2, the name of the legal entity with which financial instrument transactions were concluded is indicated;
in column 6, the type of transaction (purchase, sale, and other transactions, excluding opening and closing repo operations) is indicated;
in column 7, the quantity of financial instruments for which the transaction was conducted is indicated;
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;
in column 10, the volume of transactions (in tenge) is indicated;
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;
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";
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;
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";
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.
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
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).
The Form is filled out monthly by the Unified Accumulative Pension Fund. Data in the Form is indicated in tenge.
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
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.
The Form is filled out for each day of the reporting month. The date is indicated in the format "dd.mm.yyyy".
Lines 1.2., 2.2., 3.2., 4.2., 5.2., 6.2., and 7.2. reflect amounts equivalent to tenge.
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.
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.
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.
When filling out line 10, information is indicated on realized or redeemed financial instruments at the actual cost of realization or redemption.
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.
When filling out line 12.5., reserves (provisions) are reflected at the end of the day of its formation (restoration).
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.
Line 13 indicates the value reflected in accounting records.
Lines 14 and 16 indicate the amount of commission remuneration.
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.
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.
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.
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.
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
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).
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.
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
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".
data on securities are indicated in the Form;
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;
in column 3, the name of the issuer of the security is indicated;
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;
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";
in column 6, the type of acquired security is indicated, including its type;
in column 7, the international identification number (ISIN code) or another identifier of the security is indicated;
in column 8, the quantity of acquired securities is indicated;
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";
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;
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;
in column 14, the date of initial recognition in accounting is reflected;
in column 15, the maturity date of debt securities is indicated;
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);
in column 17, the value of securities reflected in accounting is indicated;
in column 20, the amount of reserves (provisions) reflected in accounting is indicated;
in column 21, the amount of accounts receivable for securities payable within the term established by the offering prospectus is indicated;
in column 22, the overdue accounts receivable for securities not paid within the term provided for in the offering prospectus is indicated;
in column 23, the amount of reserves (provisions) for accounts receivable and overdue debt reflected in accounting is indicated;
in column 24, the category of the security "evaluated at fair value" or "evaluated at amortized cost" is indicated;
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;
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;
in column 29, the coupon rate for debt financial instruments on the date of submission of the Form is indicated.
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;
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";
in column 5, the type of security acquired (placed) under "reverse repo" (repo) operations is indicated, including its type;
in column 6, the international identification number (ISIN code) or another identifier of the security is indicated;
in column 7, the quantity of acquired (placed) securities under "reverse repo" (repo) operations is indicated;
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";
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;
in column 16, the value reflected in accounting is indicated.
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;
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;
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";
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;
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;
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;
in column 16, the value of deposits reflected in accounting is indicated;
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";
in column 20, the amount of reserves (provisions) reflected in accounting is indicated;
in column 21, the amount of accounts receivable for deposits is indicated;
in column 22, the overdue accounts receivable for deposits is indicated;
in column 23, the amount of reserves (provisions) for accounts receivable and overdue debt reflected in accounting is indicated;
Table 3 is filled with the amount of deposits separately for each bank and for each currency of the deposit.
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;
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";
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;
in column 10, the amount reflected in accounting is indicated.
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;
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);
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";
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;
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;
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).
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
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).
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.
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
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".
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).
The Form is filled out separately for each pension asset manager.
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.
In column 5, the current value of pension assets under management as of the reporting date is indicated.
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.
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
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).
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.
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
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).
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).
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).
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.
In columns 21 and 23, the amount credited to conditional pension accounts is indicated.
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.
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
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).
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.
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
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.
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).
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).
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).
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.
In column 14, the amount credited to conditional pension accounts is indicated.
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.
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
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).
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.
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
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.
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).
In column 5, the amount of payments for the period from the beginning of the year (cumulatively) is indicated.
In column 6, the number of contributors (beneficiaries) from whose accounts payments were made for the analogous period of the previous year is indicated.
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).
In column 8, the amount of payments for the analogous period of the previous year is indicated.
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.
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
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).
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.
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
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.
Column 2 indicates the name of the issuer of the security.
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".
Column 4 indicates the type of acquired security with indication of its type.
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.
Column 6 indicates the quantity of acquired securities.
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".
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.
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.
Column 13 indicates the date of initial recognition in accounting, in the format "dd.mm.yyyy".
Column 14 indicates the maturity term of debt securities, in the format "dd.mm.yyyy".
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).
Column 16 indicates the cost of securities reflected in accounting.
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.
Column 21 indicates the cost of securities that are the subject of repo transactions, in thousands of tenge, indicated in accounting.
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.
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".
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.
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
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).
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.
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361 new obligations · 12 changed obligations · 4 amounts or limits changed · 7 deadlines changed · 7 changes of scope · 10 changes of who is bound · 106 not carried over
311 obligations are the same in both texts.
The first 60 of 361 are shown.
The first 60 of 106 are shown.
“Not carried over” means the sentence has no counterpart in this text; the rule can still be in force in another text.
Source: National Bank of Kazakhstan — original document · Summary generated with machine assistance and reviewed before publication; the authoritative text is the regulator's original document. How RegAlert works
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