Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 167 on Approval of the List, Forms, Deadlines for Reporting of the Unified Accumulative Pension Fund and Rules for Their Submission

Registered in the Ministry of Justice of the Republic of Kazakhstan on October 9, 2017, under No. 15863

REPUBLICAN STATE INSTITUTION
"NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN"		REPUBLICAN STATE INSTITUTION "NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN"
RESOLUTION OF THE BOARD		RESOLUTION OF THE BOARD
---	---	---
August 28, 2017
Almaty city		No. 167
Almaty city

On Approval of the List, Forms, Deadlines for Reporting of the Unified Accumulative Pension Fund and Rules for Their Submission

In accordance with the Laws of the Republic of Kazakhstan of March 30, 1995 "On the National Bank of the Republic of Kazakhstan", of July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations", of March 19, 2010 "On State Statistics", and of June 21, 2013 "On Pension Provision in the Republic of Kazakhstan", the Board of the National Bank of the Republic of Kazakhstan RESOLVES:

1. Approve:

1) the list of reporting of the unified accumulative pension fund according to Appendix 1 to this Resolution;

2) the form of the report on the value of pension assets according to Appendix 2 to this Resolution;

3) the form of the report on the structure of the investment portfolio of pension assets according to Appendix 3 to this Resolution;

4) the form of the report on assets under external management according to Appendix 4 to this Resolution;

5) the form of the report on the volumes of pension savings and the number of individual pension accounts of contributors/recipients of mandatory pension contributions according to Appendix 5 to this Resolution;

6) the form of the report on the volumes of employer's mandatory pension contributions and the number of conditional pension accounts of individuals according to Appendix 6 to this Resolution;

7) the form of the report on the volumes of pension savings and the number of individual pension accounts of contributors/recipients of voluntary pension contributions according to Appendix 7 to this Resolution;

8) the form of the report on the volumes of pension savings and the number of individual pension accounts of contributors/recipients of mandatory professional pension contributions according to Appendix 8 to this Resolution;

9) the form of the report on the volumes of pension savings and the number of individual pension accounts of contributors/recipients of mandatory pension contributions by regions of the Republic of Kazakhstan (by the place of residence of the contributor/recipient) according to Appendix 9 to this Resolution;

10) the form of the report on the volumes of employer's mandatory pension contributions and the number of conditional pension accounts of individuals by regions of the Republic of Kazakhstan (by the place of residence of the individual) according to Appendix 10 to this Resolution;

11) the form of the report on the volumes of pension savings and the number of individual pension accounts of contributors/recipients of voluntary pension contributions by regions of the Republic of Kazakhstan (by the place of residence of the contributor/recipient) according to Appendix 11 to this Resolution;

12) the form of the report on the volumes of pension savings and the number of individual pension accounts of contributors/recipients of mandatory professional pension contributions by regions of the Republic of Kazakhstan (by the place of residence of the contributor/recipient) according to Appendix 12 to this Resolution;

13) the form of the report on pension payments for mandatory pension contributions, mandatory professional pension contributions, voluntary pension contributions according to Appendix 13 to this Resolution;

14) the form of the report on pension payments for employer's mandatory pension contributions according to Appendix 14 to this Resolution;

15) the form of the report on securities acquired at the expense of own assets according to Appendix 15 to this Resolution;

16) the form of the report on reverse repo and repo transactions carried out at the expense of own assets according to Appendix 16 to this Resolution;

17) the form of the report on deposits and cash and cash equivalents placed at the expense of own assets according to Appendix 17 to this Resolution;

18) the form of the report on investments in the capital of other legal entities according to Appendix 18 to this Resolution;

19) the form of the report on transactions carried out for investing own assets according to Appendix 19 to this Resolution;

20) the form of the report on financial instruments of issuers who have defaulted, acquired at the expense of pension assets, according to Appendix 20 to this Resolution;

21) the rules for submitting reporting by the unified accumulative pension fund according to Appendix 21 to this Resolution.

2. The Unified Accumulative Pension Fund submits to the National Bank of the Republic of Kazakhstan in electronic format:

1) weekly – reporting provided for in subparagraph 3) of paragraph 1 of this Resolution, as of the second working day of the week, no later than the third working day of the week following the reporting week;

2) monthly:

reporting provided for in subparagraphs 2) and 4) of paragraph 1 of this Resolution, no later than the seventh working day of the month following the reporting month, in case the unified accumulative pension fund has pension assets transferred to external management - no later than the twentieth day of the month following the reporting month;

reporting provided for in subparagraphs 3), 5), 6), 7), 8), 9), 10), 11), 12), 13), 14), 15), 16), 17), 18) and 19) of paragraph 1 of this Resolution, no later than the seventh working day of the month following the reporting month;

3) quarterly – reporting provided for in subparagraph 20) of paragraph 1 of this Resolution, no later than the seventh working day of the month following the reporting quarter.

3. Recognize as having lost force the Resolution of the Board of the National Bank of the Republic of Kazakhstan of August 27, 2013 No. 227 "On Approval of the List, Forms, Deadlines and Rules for Submission of Reporting by the Unified Accumulative Pension Fund" (registered in the Registry of State Registration of Normative Legal Acts under No. 8856, published on January 15, 2014 in the newspaper "Kazakhstanskaya Pravda" No. 8 (27629)).

4. The Department of Research and Statistics (Tutushkin V.A.) shall ensure in the manner established by the legislation of the Republic of Kazakhstan:

1) jointly with the Legal Department (Sarsenova N.V.) the state registration of this Resolution in the Ministry of Justice of the Republic of Kazakhstan;

2) within ten calendar days from the date of state registration of this Resolution, sending a copy in paper and electronic form in Kazakh and Russian languages to the Republican State Enterprise on the Right of Economic Management "Republican Center for Legal Information" for official publication and inclusion in the Reference Control Bank of Normative Legal Acts of the Republic of Kazakhstan;

3) posting this Resolution on the official Internet resource of the National Bank of the Republic of Kazakhstan after its official publication.

5. The Department for Protection of Consumer Rights of Financial Services and External Communications (Terentyev A.L.) shall ensure within ten calendar days after the state registration of this Resolution sending a copy for official publication in periodic printed editions.

6. Control over the execution of this Resolution shall be entrusted to the Deputy Chairman of the National Bank of the Republic of Kazakhstan Pirmatov G.O.

7. This Resolution shall enter into force after the expiration of ten calendar days from the day of its first official publication, except for:

subparagraphs 6) and 10) of paragraph 1 of this Resolution, which shall enter into force from January 1, 2020;

subparagraph 14) of paragraph 1 of this Resolution, which shall enter into force from January 1, 2025.

Chairman

of the National Bank D. Akishev

"APPROVED"

Chairman of the Committee on Statistics
Ministry of National Economy
Republic of Kazakhstan

______ N. Aidapkellov

"21" September 2017

Appendix 1
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan of "28" August 2017 No. 167

List of Reporting of the Unified Accumulative Pension Fund

Reporting of the unified accumulative pension fund includes:

1) report on the value of pension assets;

2) report on the structure of the investment portfolio of pension assets;

3) report on assets under external management;

4) report on the volumes of pension savings and the number of individual pension accounts of contributors/recipients of mandatory pension contributions;

5) report on the volumes of employer's mandatory pension contributions and the number of conditional pension accounts of individuals;

6) report on the volumes of pension savings and the number of individual pension accounts of contributors/recipients of voluntary pension contributions;

7) report on the volumes of pension savings and the number of individual pension accounts of contributors/recipients of mandatory professional pension contributions;

8) report on the volumes of pension savings and the number of individual pension accounts of contributors/recipients of mandatory pension contributions by regions of the Republic of Kazakhstan (by the place of residence of the contributor/recipient);

9) report on the volumes of employer's mandatory pension contributions and the number of conditional pension accounts of individuals by regions of the Republic of Kazakhstan (by the place of residence of the individual);

10) report on the volumes of pension savings and the number of individual pension accounts of contributors/recipients of voluntary pension contributions by regions of the Republic of Kazakhstan (by the place of residence of the contributor/recipient);

11) report on the volumes of pension savings and the number of individual pension accounts of contributors/recipients of mandatory professional pension contributions by regions of the Republic of Kazakhstan (by the place of residence of the contributor/recipient);

12) report on pension payments for mandatory pension contributions, mandatory professional pension contributions, voluntary pension contributions;

13) report on pension payments for employer's mandatory pension contributions*;

14) report on securities acquired at the expense of own assets;

15) report on reverse repo and repo transactions carried out at the expense of own assets;

16) report on deposits and cash and cash equivalents placed at the expense of own assets;

17) report on investments in the capital of other legal entities;

18) report on transactions carried out for investing own assets;

19) report on financial instruments of issuers who have defaulted, acquired at the expense of pension assets.

Appendix 2
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan of "28" August 2017 No. 167

Form intended for the collection of administrative data

Report on the Value of Pension Assets

Reporting period: for ______20__year

Index: 1- ENPF_PA

Frequency: monthly

Submitted by: Unified Accumulative Pension Fund

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

Submission deadline: monthly, no later than the seventh working day of the month following the reporting month.

In case of the presence of pension assets transferred to external management, no later than the twentieth day of the month following the reporting month.

Form

Pension assets formed at the expense of ______

(in tenge)

No. p/p	Indicator	date, month, year	…	date, month, year
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.	Value of other assets at the beginning of the day, including:
6.1	in tenge
6.2	in foreign currencies
7.	Value of other assets at the end of the day, including:
7.1	in tenge
7.2	in foreign currencies
8.	Total value 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 disposed of by the end of the day
11.	Total value 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 depreciation 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.	Balance of 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.	Balance of 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 and transfers
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.	Balance of pension obligations at the end of the day
21.	Balance of amounts in Reserve Fund accounts at the beginning of the day (filled from January 1, 2020)
22.	Balance of amounts in Reserve Fund accounts at the end of the day (filled from January 1, 2020)
23.	Total obligations for pension assets at the end of the day ((15)+(17)+(20)+(22)):
24.	Total value of "net" pension assets at the end of the day ((13)-(23))

Note to the Form:______

First head or person authorized to sign the report

---

surname, first name, patronymic (if any) signature

Chief Accountant or person authorized to sign the report

---

surname, first name, patronymic (if any) signature

Executor ______ ______

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

Telephone:______

Date of signing the report "___"______20___year

Place for seal (if any)

Note: explanation on filling out the form intended for the collection of administrative data is provided in the appendix to this form.

Appendix
to the form of the report on the value of pension assets

Explanation on filling out the form, intended for the collection of administrative data

Report on the Value of Pension Assets

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for the collection of administrative data "Report on the Value of Pension Assets" (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan of July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".

3. The Form is filled out monthly by the unified accumulative pension fund. Data in the Form are indicated in tenge.

4. The Form is signed by the first head, chief accountant or persons authorized by them to sign the report, and the executor.

Chapter 2. Explanation on filling out the Form

5. From January 1, 2020, the Form is submitted separately for pension assets formed at the expense of mandatory pension contributions, mandatory professional pension contributions and voluntary pension contributions and for pension assets formed at the expense of employer's mandatory pension contributions.

In the line "Pension assets formed at the expense of" 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.

6. The Form is filled out for each day of the reporting month. Information on indicators "date, month, year" is indicated in the format "dd.mm.yyyy".

7. Lines 1.2, 2.2, 3.2, 4.2, 5.2, 6.2 and 7.2 reflect amounts equivalent to tenge.

8. Information on line 5 is indicated in accordance with the data of the report on assets under external management.

9. Assets reflected in lines 7.1. and 7.2. at the end of the reporting period are reflected in the note to the Form.

10. When filling out line 9, information on financial instruments that are valued at actual costs is indicated. Costs incurred in making a transaction (directly related to the acquisition of financial instruments), including remuneration and commission remuneration paid to agents, consultants, brokers (dealers), fees of stock exchanges, as well as bank expenses for transfer are included in the cost of these financial instruments. The cost of financial instruments also includes remuneration accrued for the period up to the moment of acquisition (if any).

11. When filling out line 10, information on realized or redeemed financial instruments at the actual cost of realization or redemption is indicated.

12. Information on line 11 is indicated in accordance with the data of the Report on the Structure of the Investment Portfolio of Pension Assets.

13. When filling out line 12.5, reserves (provisions) are reflected at the end of the day of its formation (restoration).

14. When filling out lines 12.6 and 12.7, information on received income and incurred losses included in the value of pension assets at the end of the reporting period is reflected in the note to the Form.

15. In line 13, the value reflected in accounting is indicated.

16. In lines 14 and 16, the amount of commission remuneration is indicated.

17. When filling out lines 15 and 17, the balance of debt on commission remuneration is indicated cumulatively taking into account data at the end of the reporting period.

18. In lines 18.2 and 19.2, amounts of transfers of pension savings to voluntary accumulative pension funds, to 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, voluntary pension contributions are indicated.

For employer's mandatory pension contributions, only the amount of pension payments is indicated.

19. When filling out lines 18.3 and 19.3, information on other obligations included in the value of pension assets at the end of the reporting period is reflected in the note to the Form.

20. Lines 21 and 22 are filled from January 1, 2020. In lines 21 and 22, the balance of the amount in Reserve Fund accounts is indicated. These lines are filled only when filling in information on employer's mandatory pension contributions.

21. In the absence of information, the Form is submitted with zero balances.

Appendix 3
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan of "28" August 2017 No. 167

Form intended for the collection of administrative data

Report on the Structure of the Investment Portfolio of Pension Assets

Reporting period: as of "___"______20__year

Index: 2- ENPF_SPPA

Frequency: weekly / monthly

Submitted by: Unified Accumulative Pension Fund

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

Submission deadline:

weekly, no later than the third working day of the week following the reporting week;

monthly, no later than the seventh working day of the month following the reporting month.

Form

Pension assets formed at the expense of ______

Table 1. Securities acquired at the expense of pension assets

(in tenge)

No. p/p	Name of Issuer	Type of Economic Activity	Country of Issuer	Type of Security	National Identification Number or International Identification Number
1	2	3	4	5	6
---	---	---	---	---	---
1	Government Securities of the Republic of Kazakhstan
1.1.		x
…		x
2	Non-governmental Issued 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-governmental Securities of Issuers-Non-residents of the Republic of Kazakhstan
4.1.		x
…		x
5.	Securities of International Financial Organizations
5.1.		x
…		x
6	Units of Investment Funds
6.1.
…
7	Total:	x

continuation of the table:

Number of Securities (pieces)	Nominal Value		Payment Currency	Purchase Price per Security		Period		Purchase Cost of Security
currency	value of one security	total (in tenge)	net price	date of registration	date of maturity
7	8	9	10	11	12	13	14	15
…

continuation of the table:

Current value of securities			Reference:
total (in tenge)	in the currency of nominal value	including accrued remuneration (in tenge)	Formed reserves (provisions)	accounts receivable for securities	overdue accounts receivable for securities	formed reserves (provisions) for overdue accounts receivable
16	17	18	19	20	21	22
…

continuation of the table:

Category of securities	Rating		Category of the stock exchange list		Current coupon rate in the portfolio
on the date of registration	on the reporting date	on the date of registration	on the reporting date
23	24	25	26	27	28
---	---	---	---	---	---
…

Table 2. Securities acquired through reverse repo operations

(in tenge)

No.	Name of issuer	Issuer country	Type of security	National identification number or international identification number	Quantity of securities (pieces)	Currency of nominal value	Currency 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
total (in tenge)	in the currency of nominal value	total (in tenge)	in the currency of nominal value	date of opening of the transaction	date of closing of the transaction
9	10	11	12	13	14	15	16
…

Table 3. Deposits placed from pension assets

(in tenge)

No.	Name of bank	Bank rating		Currency of deposit	Date of conclusion and number of bank deposit contract
on the date of deposit placement	on the reporting date	date	number
1	2	3	4	5	6	7
---	---	---	---	---	---	---
	Total:

continuation of the table:

Deposit term (in days)	Remuneration payment period		Remuneration rate (percent per annum)		Principal amount of the deposit
frequency	date	nominal	effective	total (in tenge)	in foreign currency
8	9	10	11	12	13	14
---	---	---	---	---	---	---
…

continuation of the table:

Current value			Country of residence	Reference:
total (in tenge)	including, accrued remuneration		formed reserves	accounts receivable for deposits	overdue accounts receivable for deposits	formed reserves (provisions) for overdue accounts receivable
in tenge	in foreign currency
15	16	17	18	19	20	21	22
…

Table 4. Affined precious metals

(in tenge)

No.	Name of affined precious metal	Quantity in troy ounces	Payment currency	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 and obligations

(in tenge)

No.	Name of the type of derivative financial instrument	Underlying asset	Currency	National identification number or international 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
1.1.n
2	Contingent obligations on derivative financial instruments
2.1
2.1.1
2.1.n

First head or person authorized to sign the report

---

surname, first name, patronymic (if any) signature

Chief accountant or person authorized to sign the report

---

surname, first name, patronymic (if any) signature

Executor ______ ______

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

Phone:______

Date of signing the report «___»______20___year

Place for seal (if any)

Note: explanation on filling out the form intended for the collection of administrative data is provided in the appendix to this form.

Appendix
to the reporting form on the structure of the investment portfolio of pension assets

Explanation on filling out the form, intended for the collection of administrative data

Report on the structure of the investment portfolio of pension assets

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for the collection of administrative data "Report on the structure of the investment portfolio of pension assets" (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".

3. The Form is filled out by the unified accumulative pension fund for pension assets under internal management, weekly as of the second working day of the week/monthly as of the end of the reporting period. Data in the Form are indicated in tenge.

4. The Form is signed by the first head, chief accountant or persons authorized by them to sign the report, and the executor.

Chapter 2. Explanation on filling out the Form

5. Starting from January 1, 2020, the Form is submitted separately for pension assets formed from mandatory pension contributions, mandatory professional pension contributions and voluntary pension contributions and for pension assets formed from mandatory employer pension contributions.

In the line "Pension assets formed from" information is provided on pension assets formed depending on pension contributions: "mandatory pension contributions, mandatory professional pension contributions and voluntary pension contributions" and "mandatory employer pension contributions".

6. Regarding Table 1:

1) the Form indicates data on securities and claims rights on the obligations of the issuer of issue securities;

2) column 2 indicates the name of the issuer of the security;

3) column 3 indicates the type of economic activity in accordance with the General Classifier of Types of Economic Activity of the Republic of Kazakhstan 03-2007. This column is filled out for non-state securities of issuers-residents of the Republic of Kazakhstan;

4) column 5 indicates the type of acquired security with indication of its type;

5) column 6 indicates the national identification number (with respect to foreign securities - international identification number (ISIN), with respect to claims rights on the obligations of the issuer of issue securities, the term of which has expired, and the issuer has not fulfilled the obligations for their redemption - identifier of claims rights;

6) column 7 indicates the quantity of acquired securities;

7) columns 8 and 10 indicate currency codes in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 "Codes for the designation of currencies and funds";

8) column 9 indicates the monetary expression of the value of the bond determined at its issue, on which the remuneration expressed in percent on the coupon bond is accrued, as well as the amount payable to the bondholder upon its redemption. The amount is indicated in the currency of issue;

9) columns 11 and 12 indicate the price reflected in the primary document confirming the transaction (exchange certificate, broker and/or dealer report, received confirmation on the international interbank system for the transfer of information and making payments (SWIFT). Column 12 indicates: for debt securities, the clean price in percentage terms to the nominal value, for equity securities - in absolute terms;

10) column 13 reflects the date of initial recognition in accounting;

11) column 14 indicates the maturity date of debt securities;

12) column 15 indicates the purchase cost of the security, including expenses directly related to acquisition, including remuneration 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 amount of the percentage paid by the buyer to the seller (if any);

13) column 16 indicates the value of securities reflected in accounting;

14) column 19 indicates the amount of reserves (provisions) reflected in accounting;

15) column 20 indicates the amount of accounts receivable for securities payable within the time established by the issue prospectus;

16) column 21 indicates the overdue accounts receivable for securities not paid within the time provided for by the issue prospectus;

17) column 22 indicates the amount of reserves (provisions) for accounts receivable and overdue debt reflected in accounting;

18) column 23 indicates the category of the security "evaluated at fair value", "evaluated at amortized cost";

19) when filling out columns 24 and 25, the rating of the security on bonds, the rating of the issuer on shares, the rating of the country on state securities, assigned by one of the rating agencies specified in paragraph 3 of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 24, 2012 No. 385 "On establishing the minimum rating for legal entities, the presence of which is required in accordance with the legislation of the Republic of Kazakhstan regulating the activities of financial organizations, the list of rating agencies assigning this rating", registered in the Registry of state registration of normative legal acts under No. 8318 (hereinafter - Resolution No. 385). In the absence of a rating in columns 24 and 25, "no rating" is indicated. These columns are not filled out for state securities of the Republic of Kazakhstan. Column 24 reflects the rating on the date of initial recognition in accounting;

20) columns 26 and 27 indicate 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. In the absence of a stock exchange list category of the Republic of Kazakhstan in columns 26 and 27, "no listing" is indicated. These columns are not filled out for securities of non-residents of the Republic of Kazakhstan and state securities of the Republic of Kazakhstan. Column 26 reflects the category of the stock exchange list on the date of initial recognition in accounting;

21) column 28 indicates the coupon rate on debt financial instruments on the date of submission of the Form.

7. Regarding Table 2:

1) column 4 indicates the type of security acquired through reverse repo operations, with indication of its type;

2) column 6 indicates the quantity of acquired securities through reverse repo operations;

3) columns 7 and 8 indicate currency codes in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 "Codes for the designation of currencies and funds";

4) 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 case of payment for the acquired security in foreign currency, columns 10 and 12 are filled with simultaneous reflection of the equivalent in the national currency - tenge in columns 9 and 11, in case of payment for the acquired security in the national currency - tenge, columns 9 and 11 are filled;

5) column 15 indicates the value reflected in accounting.

8. Regarding Table 3:

1) when filling out columns 3 and 4, the bank rating assigned by one of the rating agencies specified in paragraph 3 of Resolution No. 385 is reflected. In the absence of a rating in columns 3 and 4, "no rating" is indicated. These columns are not filled out for deposits in the National Bank of the Republic of Kazakhstan;

2) column 5 indicates currency codes in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 "Codes for the designation of currencies and funds";

3) column 8 indicates the term of the deposit under the bank deposit contract, upon extension of the deposit, the term is reflected taking into account the extension;

4) columns 9 and 10 indicate the date and frequency of payment of accumulated remuneration in accordance with the terms of the bank deposit contract;

5) columns 13 and 14 indicate the amount of placement of pension assets in a deposit in a bank. In case of placement of pension assets in a deposit in a foreign currency, column 14 is filled with simultaneous reflection of the equivalent in the national currency - tenge in column 13, in case of placement of pension assets in a deposit in the national currency - tenge, column 13 is filled;

6) column 15 indicates the value of deposits reflected in accounting;

7) column 19 indicates the amount of reserves (provisions) reflected in accounting;

8) column 20 indicates the amount of accounts receivable for deposits;

9) column 21 indicates the overdue accounts receivable for deposits;

10) column 22 indicates the amount of reserves (provisions) for accounts receivable and overdue debt reflected in accounting;

11) the table is filled out with indication of the amount of deposits separately for each bank and for each currency of the deposit.

9. Regarding Table 4:

1) column 4 indicates the payment currency in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 "Codes for the designation of currencies and funds";

2) columns 5 and 7 indicate the purchase price and purchase cost at the market exchange rate of currency prevailing on the date of the transaction, in column 10 the amount is reflected at the market exchange rate of currency prevailing on the reporting date. In case of acquisition of affined precious metal in the national currency - tenge, columns 5, 7 and 9 are filled;

3) column 9 indicates the amount reflected in accounting.

10. Regarding Table 5:

1) column 3 indicates the underlying asset of the derivative financial instrument (name of the security and its issuer, currency, remuneration rate, commodity and other underlying assets);

2) column 4 indicates the currency of the transaction. The currency code is indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 "Codes for the designation of currencies and funds";

3) column 5 is filled in case if the underlying asset of the derivative financial instrument is a security;

4) column 6 indicates the amount of contingent claims and obligations, which is formed when carrying out a transaction 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 Carried Out by the Unified Accumulative Pension Fund and Voluntary Accumulative Pension Funds", registered in the Registry of state registration of normative legal acts under No. 7118;

5) 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 contract value of this derivative financial instrument (contingent claims), the amount of excess of the nominal contract 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 contract 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 contract value of this derivative financial instrument (contingent obligations).

11. In the absence of information, the Form is submitted with zero balances.

Appendix 4
to the Resolution of the Board of the
National Bank of the Republic of Kazakhstan dated "28" August 2017 No. 167

Form intended for the collection of administrative data

Report on assets under external management

Reporting period: as of "___"______20__year

Index: 3- ENPF_А-VNESH

Frequency: monthly

Submitted by: unified accumulative pension fund

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

Submission deadline: monthly, no later than the seventh working day of the month following the reporting month.

In case of the presence of pension assets transferred to external management, no later than the twentieth day of the month following the reporting month.

Form

Pension assets formed from ______

(in tenge)

No.	Name of external manager of pension assets	Number and date of trust management contract	Expected period of management of pension assets	Current value of pension assets under management	Note
1	2	3	4	5	6
	Total:

First head or person authorized to sign the report

---

surname, first name, patronymic (if any) signature

Chief accountant or person authorized to sign the report

---

surname, first name, patronymic (if any) signature

Executor ______ ______

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

Phone:______

Date of signing the report «___»______20___year

Place for seal (if any)

Note: explanation on filling out the form intended for the collection of administrative data is provided in the appendix to this form.

Appendix
to the reporting form on assets under external management

Explanation on filling out the form, intended for the collection of administrative data

Report on assets under external management

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for the collection of administrative data "Report on assets under external management" (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".

3. The Form is filled out monthly by the unified accumulative pension fund as of the end of the reporting period. Data in the Form are indicated in tenge.

4. The Form is signed by the first head, chief accountant or persons authorized by them to sign the report, and the executor.

Chapter 2. Explanation on filling out the Form

5. Starting from January 1, 2020, the Form is submitted separately for pension assets formed from mandatory pension contributions, mandatory professional pension contributions and voluntary pension contributions and for pension assets formed from mandatory employer pension contributions.

In the line "Pension assets formed from" information is provided on pension assets formed depending on pension contributions: "mandatory pension contributions, mandatory professional pension contributions and voluntary pension contributions" and "mandatory employer pension contributions".

6. The Form is submitted for assets under investment management by a foreign organization carrying out activities on managing an investment portfolio in accordance with the legislation of a foreign state, meeting the requirements of the National Bank of the Republic of Kazakhstan (hereinafter - pension asset manager).

7. The Form is filled out in respect of each pension asset manager.

8. Column 4 indicates the period of management of pension assets under the contract. In case if the contract does not provide for a period of management of pension assets, then in column 4 the sign "-" is indicated.

9. Column 5 indicates the current value of pension assets under management on the reporting date.

10. In case if during 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, 4 information is provided on this pension asset manager on the last day of transfer of assets and obligations and in column 6 information is provided on the results of transferred assets (amount of pension assets and where this amount was transferred).

11. In the absence of information, the Form is submitted with zero balances.

Appendix 5
to the Resolution of the Board of the
National Bank of the Republic of Kazakhstan dated "28" August 2017 No. 167

Form intended for the collection of administrative data

Report on the volumes of pension savings and the number of individual pension accounts of contributors/recipients of mandatory pension contributions

Reporting period: as of "___"______20__year

Index: 4- ENPF_OPV

Frequency: monthly

Submitted by: unified accumulative pension fund

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

Submission deadline: monthly, no later than the seventh working day of the month following the reporting month.

Form

(in thousands of tenge)

Age of contributors/beneficiaries	Individual pension accounts of contributors/beneficiaries who have concluded a pension provision agreement						Individual pension accounts of contributors/beneficiaries who do not have a pension provision agreement
Men		Women
Number of individual pension accounts of contributors/beneficiaries with pension savings	Amount of pension savings	Number of individual pension accounts of contributors/beneficiaries without pension savings	Number of individual pension accounts of contributors/beneficiaries with pension savings	Amount of pension savings	Number of individual pension accounts of contributors/beneficiaries without pension savings	Number of individual pension accounts of contributors/beneficiaries with pension savings	Amount of pension savings	Number of individual pension accounts of contributors/beneficiaries without pension savings
1	2	3	4	5	6	7	8	9	10
under 20 years
21 years
22 years
23 years
24 years
25 years
26 years
27 years
28 years
29 years
30 years
31 years
32 years
33 years
34 years
35 years
36 years
37 years
38 years
39 years
40 years
41 years
42 years
43 years
44 years
45 years
46 years
47 years
48 years
49 years
50 years
51 years
52 years
53 years
54 years
55 years
56 years
57 years
58 years
59 years
60 years
61 years
62 years
63 years
64 years
65 years
66 years
67 years
68 years
69 years
70 years
71 years
72 years
73 years
74 years
75 years
76 years
77 years
78 years
79 years
80 years
81 years and older
Total

First head or person authorized to sign the report

---

surname, first name, patronymic (if any) signature

Chief accountant or person authorized to sign the report

---

surname, first name, patronymic (if any) signature

Executor ______ ______

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

Telephone:______

Date of signing the report "___"______20___year

Place for stamp (if any)

Note: an explanation for filling out the form intended for the collection of administrative data is provided in the appendix to this form.

Appendix
to the report form on the volumes of pension savings and the number of individual pension accounts of contributors/beneficiaries of mandatory pension contributions

Explanation for filling out the form, intended for the collection of administrative data

Report on the volumes of pension savings and the number of individual pension accounts of contributors/beneficiaries of mandatory pension contributions

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for the collection of administrative data "Report on the volumes of pension savings and the number of individual pension accounts of contributors/beneficiaries of mandatory pension contributions" (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".

3. 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 of less than 500 (five hundred) tenge in the report is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (one thousand) tenge.

4. The Form is signed by the first head, chief accountant or persons authorized by them to sign the report, and the executor.

Chapter 2. Explanation for filling out the Form

5. In columns 2 and 5, the number of individual pension accounts of contributors/beneficiaries who have concluded a pension provision agreement and have pension savings is indicated separately for men and women (in the corresponding columns), broken down by the age of the contributor/beneficiary.

The amount of pension savings for them is indicated in columns 3 and 6 respectively.

6. In columns 4 and 7, the number of individual pension accounts of contributors/beneficiaries who have concluded a pension provision agreement and do not have pension savings is indicated separately for men and women, broken down by the age of the contributor/beneficiary.

7. In column 8, the number of individual pension accounts of contributors/beneficiaries who have pension savings and do not have a pension provision agreement is indicated, depending on the age of the contributor/beneficiary. The amount of pension savings for them is indicated in column 9.

8. In column 10, the number of individual pension accounts of contributors/beneficiaries without pension savings and without a pension provision agreement is indicated, depending on the age of the contributor/beneficiary.

9. In the absence of information, the Form is submitted with zero balances.

Appendix 6
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated "28" August 2017 No. 167

Form intended for the collection of administrative data

Report on the volumes of mandatory employer pension contributions and the number of conditional pension accounts of individuals

Reporting period: as of "___"______20__year

Index: 4- ENPF_OPVR

Periodicity: monthly

Submitted by: Unified Accumulative Pension Fund

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

Submission deadline: monthly, no later than the seventh working day of the month following the reporting month.

Form

(in thousands of tenge)

Age of the individual	Men		Women
Number of conditional pension accounts of individuals	Amount credited to conditional pension accounts	Number of conditional pension accounts of individuals	Amount credited to conditional pension accounts
1	2	3	4	5
under 20 years
21 years
22 years
23 years
24 years
25 years
26 years
27 years
28 years
29 years
30 years
31 years
32 years
33 years
34 years
35 years
36 years
37 years
38 years
39 years
40 years
41 years
42 years
43 years
44 years
45 years
46 years
47 years
48 years
49 years
50 years
51 years
52 years
53 years
54 years
55 years
56 years
57 years
58 years
59 years
60 years
61 years
62 years
63 years
64 years
65 years
66 years
67 years
68 years
69 years
70 years
71 years
72 years
73 years
74 years
75 years
76 years
77 years
78 years
79 years
80 years
81 years and older
Total

First head or person authorized to sign the report

---

surname, first name, patronymic (if any) signature

Chief accountant or person authorized to sign the report

---

surname, first name, patronymic (if any) signature

Executor ______ ______

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

Telephone:______

Date of signing the report "___"______20___year

Place for stamp (if any)

Note: an explanation for filling out the form intended for the collection of administrative data is provided in the appendix to this form.

Appendix
to the report form on the volumes of mandatory employer pension contributions and the number of conditional pension accounts of individuals

Explanation for filling out the form, intended for the collection of administrative data

Report on the volumes of mandatory employer pension contributions and the number of conditional pension accounts of individuals

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for the collection of administrative data "Report on the volumes of mandatory employer pension contributions and the number of conditional pension accounts of individuals" (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".

3. 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 filled out in thousands of tenge. An amount of less than 500 (five hundred) tenge in the report is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (one thousand) tenge.

4. The Form is signed by the first head, chief accountant or persons authorized by them to sign the report, and the executor.

Chapter 2. Explanation for filling out the Form

5. In columns 2 and 4, the number of conditional pension accounts of individuals opened in the name of an individual is indicated separately for men and women (in the corresponding columns), broken down by the age of the individual.

6. In columns 3 and 5, the amount credited to conditional pension accounts is indicated separately for men and women, broken down by the age of the individual.

7. In the absence of information, the Form is submitted with zero balances.

Appendix 7
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated "28" August 2017 No. 167

Form intended for the collection of administrative data

Report on the volumes of pension savings and the number of individual pension accounts of contributors/beneficiaries of voluntary pension contributions

Reporting period: as of "___"______20__year

Index: 5- ENPF_DPV

Periodicity: monthly

Submitted by: Unified Accumulative Pension Fund

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

Submission deadline: monthly, no later than the seventh working day of the month following the reporting month.

Form

(in thousands of tenge)

Age of contributors/beneficiaries	Men			Women
Number of individual pension accounts of contributors/beneficiaries with pension savings	Amount of pension savings	Number of individual pension accounts of contributors/beneficiaries without pension savings	Number of individual pension accounts of contributors/beneficiaries with pension savings	Amount of pension savings	Number of individual pension accounts of contributors/beneficiaries without pension savings
1	2	3	4	5	6	7
under 20 years
21 years
22 years
23 years
24 years
25 years
26 years
27 years
28 years
29 years
30 years
31 years
32 years
33 years
34 years
35 years
36 years
37 years
38 years
39 years
40 years
41 years
42 years
43 years
44 years
45 years
46 years
47 years
48 years
49 years
50 years
51 years
52 years
53 years
54 years
55 years
56 years
57 years
58 years
59 years
60 years
61 years
62 years
63 years
64 years
65 years
66 years
67 years
68 years
69 years
70 years
71 years
72 years
73 years
74 years
75 years
76 years
77 years
78 years
79 years
80 years
81 years and older
Total

First head or person authorized to sign the report

---

surname, first name, patronymic (if any) signature

Chief accountant or person authorized to sign the report

---

surname, first name, patronymic (if any) signature

Executor ______ ______

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

Telephone:______

Date of signing the report "___"______20___year

Place for stamp (if any)

Note: an explanation for filling out the form intended for the collection of administrative data is provided in the appendix to this form.

Appendix
to the report form on the volumes of pension savings and the number of individual pension accounts of contributors/beneficiaries of voluntary pension contributions

Explanation for filling out the form, intended for the collection of administrative data

Report on the volumes of pension savings and the number of individual pension accounts of contributors/beneficiaries of voluntary pension contributions

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for the collection of administrative data "Report on the volumes of pension savings and the number of individual pension accounts of contributors/beneficiaries of voluntary pension contributions" (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".

3. 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 of less than 500 (five hundred) tenge in the report is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (one thousand) tenge.

4. The Form is signed by the first head, chief accountant or persons authorized by them to sign the report, and the executor.

Chapter 2. Explanation for filling out the Form

5. In columns 2 and 5, the number of individual pension accounts of contributors/beneficiaries who have concluded a pension provision agreement and have pension savings is indicated separately for men and women (in the corresponding columns), broken down by the age of the contributor/beneficiary. The amount of pension savings for them is indicated in columns 3 and 6 respectively.

6. In columns 4 and 7, the number of individual pension accounts of contributors/beneficiaries who have concluded a pension provision agreement and do not have pension savings is indicated separately for men and women (in the corresponding columns), broken down by the age of the contributor/beneficiary.

7. In the absence of information, the Form is submitted with zero balances.

Appendix 8
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated "28" August 2017 No. 167

Form intended for the collection of administrative data

Report on the volumes of pension savings and the number of individual pension accounts of contributors/beneficiaries of mandatory professional pension contributions

Reporting period: as of "___"______20__year

Index: 6- ENPF_OPPV

Periodicity: monthly

Submitted by: Unified Accumulative Pension Fund

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

Submission deadline: monthly, no later than the seventh working day of the month following the reporting month.

Form

(in thousands of tenge)

Age of contributors/beneficiaries	Men			Women
Number of individual pension accounts of contributors/beneficiaries with pension savings	Amount of pension savings	Number of individual pension accounts of contributors/beneficiaries without pension savings	Number of individual pension accounts of contributors/beneficiaries with pension savings	Amount of pension savings	Number of individual pension accounts of contributors/beneficiaries without pension savings
1	2	3	4	5	6	7
under 20 years
21 years
22 years
23 years
24 years
25 years
26 years
27 years
28 years
29 years
30 years
31 years
32 years
33 years
34 years
35 years
36 years
37 years
38 years
39 years
40 years
41 years
42 years
43 years
44 years
45 years
46 years
47 years
48 years
49 years
50 years
51 years
52 years
53 years
54 years
55 years
56 years
57 years
58 years
59 years
60 years
61 years
62 years
63 years
64 years
65 years
66 years
67 years
68 years
69 years
70 years
71 years
72 years
73 years
74 years
75 years
76 years
77 years
78 years
79 years
80 years
81 years and older
Total

First head or person authorized to sign the report

---

surname, first name, patronymic (if any) signature

Chief accountant or person authorized to sign the report

---

surname, first name, patronymic (if any) signature

Executor ______ ______

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

Telephone:______

Date of signing the report "___"______20___year

Place for stamp (if any)

Note: an explanation for filling out the form intended for the collection of administrative data is provided in the appendix to this form.

Appendix
to the report form on the volumes of pension savings and the number of individual pension accounts of contributors/beneficiaries of mandatory professional pension contributions

Explanation for filling out the form, intended for the collection of administrative data

Report on the volumes of pension savings and the number of individual pension accounts of contributors/beneficiaries of mandatory professional pension contributions

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for the collection of administrative data "Report on the volumes of pension savings and the number of individual pension accounts of contributors/beneficiaries of mandatory professional pension contributions" (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".

3. 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 of less than 500 (five hundred) tenge in the report is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (one thousand) tenge.

4. The Form is signed by the first head, chief accountant or persons authorized by them to sign the report, and the executor.

Chapter 2. Explanation for filling out the Form

5. In columns 2 and 5, the number of individual pension accounts of contributors/beneficiaries who have concluded a pension provision agreement and have pension savings is indicated, separately for men and women (in the corresponding columns), broken down by the age of the contributor/beneficiary. The amount of pension savings for them is indicated in columns 3 and 6, respectively.

6. In columns 4 and 7, the number of contributors/beneficiaries who have concluded a pension provision agreement and do not have pension savings is indicated, separately for men and women (in the corresponding columns), broken down by the age of the contributor/beneficiary.

7. In the absence of information, the Form is submitted with zero balances.

Appendix 9
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated "28" August 2017 No. 167

Form intended for the collection of administrative data

Report on the volumes of pension savings and the number of individual pension accounts of contributors/beneficiaries of mandatory pension contributions by regions of the Republic of Kazakhstan (by place of residence of the contributor/beneficiary)

Reporting period: as of "___"____20

Index: 7- ENPF_OPV_OBL

Frequency: monthly

Submitted by: Unified Accumulative Pension Fund

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

Submission deadline: monthly, no later than the seventh working day of the month following the reporting month.

Form

(in thousands of tenge)

Name of region/city	Individual pension accounts of contributors/beneficiaries who have concluded a pension provision agreement			Individual pension accounts of contributors/beneficiaries who do not have a pension provision agreement
Number of individual pension accounts of contributors/beneficiaries with pension savings	Amount of savings	Number of individual pension accounts of contributors/beneficiaries without pension savings	Number of individual pension accounts of contributors/beneficiaries with pension savings	Amount of savings	Number of individual pension accounts of contributors/beneficiaries without pension savings
1	2	3	4	5	6	7
Akmola
Aktobe
Almaty Region
Atyrau
East Kazakhstan
Zhambyl
West Kazakhstan
Karaganda
Kyzylorda
Kostanay
Mangystau
Pavlodar
North Kazakhstan
South Kazakhstan
Astana city
Almaty city
Region not specified
Total

First head or person authorized to sign the report

---

surname, first name, patronymic (if any) signature

Chief accountant or person authorized to sign the report

---

surname, first name, patronymic (if any) signature

Executor ______ ______

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

Telephone:______

Date of signing the report "___"___20

Place for seal (if any)

Note: an explanation on how to fill out the form intended for the collection of administrative data is provided in the appendix to this form.

Appendix
to the report form on the volumes of pension savings and the number of individual pension accounts of contributors/beneficiaries of mandatory pension contributions by regions of the Republic of Kazakhstan (by place of residence of the contributor/beneficiary)

Explanation on how to fill out the form,

intended for the collection of administrative data

Report on the volumes of pension savings and the number of individual pension accounts of contributors/beneficiaries of mandatory pension contributions by regions of the Republic of Kazakhstan (by place of residence of the contributor/beneficiary)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for the collection of administrative data "Report on the volumes of pension savings and the number of individual pension accounts of contributors/beneficiaries of mandatory pension contributions by regions of the Republic of Kazakhstan (by place of residence of the contributor/beneficiary)" (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".

3. 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 of less than 500 (five hundred) tenge in the report is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (one thousand) tenge.

4. The Form is signed by the first head, chief accountant or persons authorized by them to sign the report, and the executor.

Chapter 2. Explanation on filling out the Form

5. In column 2, the number of individual pension accounts of contributors/beneficiaries who have concluded a pension provision agreement and have pension savings is indicated, broken down by place of residence of the contributor/beneficiary. The amount of pension savings for them is indicated in column 3.

6. In column 4, the number of individual pension accounts of contributors/beneficiaries who have concluded a pension provision agreement and do not have pension savings is indicated, broken down by place of residence of the contributor/beneficiary.

7. In column 5, the number of individual pension accounts of contributors/beneficiaries who have pension savings and do not have a pension provision agreement is indicated, broken down by place of residence of the contributor/beneficiary. The amount of pension savings for them is indicated in column 6.

8. In column 7, the number of individual pension accounts of contributors/beneficiaries without pension savings and without a pension provision agreement is indicated, broken down by place of residence of the contributor/beneficiary.

9. In the absence of information, the Form is submitted with zero balances.

Appendix 10
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated "28" August 2017 No. 167

Form intended for the collection of administrative data

Report on the volumes of employer's mandatory pension contributions and the number of conditional pension accounts of physical persons by regions of the Republic of Kazakhstan (by place of residence of the physical person)

Reporting period: as of "___"____20

Index: 7- ENPF_OPPV_OBL

Frequency: monthly

Submitted by: Unified Accumulative Pension Fund

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

Submission deadline: monthly, no later than the seventh working day of the month following the reporting month.

Form

(in thousands of tenge)

Name of region/city	Number of conditional pension accounts of physical persons	Amount recorded on conditional pension accounts
1	2	3
Akmola
Aktobe
Almaty Region
Atyrau
East Kazakhstan
Zhambyl
West Kazakhstan
Karaganda
Kyzylorda
Kostanay
Mangystau
Pavlodar
North Kazakhstan
South Kazakhstan
Astana city
Almaty city
Region not specified
Total

First head or person authorized to sign the report

---

surname, first name, patronymic (if any) signature

Chief accountant or person authorized to sign the report

---

surname, first name, patronymic (if any) signature

Executor ______ ______

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

Telephone:______

Date of signing the report "___"___20

Place for seal (if any)

Note: an explanation on how to fill out the form intended for the collection of administrative data is provided in the appendix to this form.

Appendix
to the report form on the volumes of employer's mandatory pension contributions and the number of conditional pension accounts of physical persons by regions of the Republic of Kazakhstan (by place of residence of the physical person)

Explanation on how to fill out the form,

intended for the collection of administrative data

Report on the volumes of employer's mandatory pension contributions and the number of conditional pension accounts of physical persons by regions of the Republic of Kazakhstan (by place of residence of the physical person)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for the collection of administrative data "Report on the volumes of employer's mandatory pension contributions and the number of conditional pension accounts of physical persons by regions of the Republic of Kazakhstan (by place of residence of the physical person)" (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".

3. 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 filled out in thousands of tenge. An amount of less than 500 (five hundred) tenge in the report is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (one thousand) tenge.

4. The Form is signed by the first head, chief accountant or persons authorized by them to sign the report, and the executor.

Chapter 2. Explanation on filling out the Form

5. In column 2, the number of conditional pension accounts of physical persons opened in the name of a physical person is indicated, broken down by regions. The amount of employer's mandatory pension contributions recorded on conditional pension accounts is indicated in column 3.

6. In the absence of information, the Form is submitted with zero balances.

Appendix 11
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated "28" August 2017 No. 167

Form intended for the collection of administrative data

Report on the volumes of pension savings and the number of individual pension accounts of contributors/beneficiaries of voluntary pension contributions by regions of the Republic of Kazakhstan (by place of residence of the contributor/beneficiary)

Reporting period: as of "___"____20

Index: 7- ENPF_DPV_OBL

Frequency: monthly

Submitted by: Unified Accumulative Pension Fund

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

Submission deadline: monthly, no later than the seventh working day of the month following the reporting month.

Form

(in thousands of tenge)

Name of region/city	Number of individual pension accounts of contributors/beneficiaries with pension savings	Amount of savings	Number of individual pension accounts of contributors/beneficiaries without pension savings
1	2	3	4
Akmola
Aktobe
Almaty Region
Atyrau
East Kazakhstan
Zhambyl
West Kazakhstan
Karaganda
Kyzylorda
Kostanay
Mangystau
Pavlodar
North Kazakhstan
South Kazakhstan
Astana city
Almaty city
Region not specified
Total

First head or person authorized to sign the report

---

surname, first name, patronymic (if any) signature

Chief accountant or person authorized to sign the report

---

surname, first name, patronymic (if any) signature

Executor ______ ______

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

Telephone:______

Date of signing the report "___"___20

Place for seal (if any)

Note: an explanation on how to fill out the form intended for the collection of administrative data is provided in the appendix to this form.

Appendix
to the report form on the volumes of pension savings and the number of individual pension accounts of contributors/beneficiaries of voluntary pension contributions by regions of the Republic of Kazakhstan (by place of residence of the contributor/beneficiary)

Explanation on how to fill out the form,

intended for the collection of administrative data

Report on the volumes of pension savings and the number of individual pension accounts of contributors/beneficiaries of voluntary pension contributions by regions of the Republic of Kazakhstan (by place of residence of the contributor/beneficiary)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for the collection of administrative data "Report on the volumes of pension savings and the number of individual pension accounts of contributors/beneficiaries of voluntary pension contributions by regions of the Republic of Kazakhstan (by place of residence of the contributor/beneficiary)" (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".

3. 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 of less than 500 (five hundred) tenge in the report is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (one thousand) tenge.

4. The Form is signed by the first head, chief accountant or persons authorized by them to sign the report, and the executor.

Chapter 2. Explanation on filling out the Form

5. In column 2, the number of individual pension accounts of contributors/beneficiaries who have concluded a pension provision agreement and have pension savings is indicated, broken down by place of residence of the contributor/beneficiary. The amount of pension savings for them is indicated in column 3.

6. In column 4, the number of individual pension accounts of contributors/beneficiaries who have concluded a pension provision agreement and do not have pension savings is indicated, broken down by place of residence of the contributor/beneficiary.

7. In the absence of information, the Form is submitted with zero balances.

Appendix 12
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated "28" August 2017 No. 167

Form intended for the collection of administrative data

Report on the volumes of pension savings and the number of individual pension accounts of contributors/beneficiaries of mandatory professional pension contributions by regions of the Republic of Kazakhstan (by place of residence of the contributor/beneficiary)

Reporting period: as of "___"____20

Index: 7- ENPF_OPPV_OBL

Frequency: monthly

Submitted by: Unified Accumulative Pension Fund

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

Submission deadline: monthly, no later than the seventh working day of the month following the reporting month.

Form

(in thousands of tenge)

Name of region/city	Number of individual pension accounts of contributors/beneficiaries with pension savings	Amount of savings	Number of individual pension accounts of contributors/beneficiaries without pension savings
1	2	3	4
Akmola
Aktobe
Almaty Region
Atyrau
East Kazakhstan
Zhambyl
West Kazakhstan
Karaganda
Kyzylorda
Kostanay
Mangystau
Pavlodar
North Kazakhstan
South Kazakhstan
Astana city
Almaty city
Region not specified
Total

First head or person authorized to sign the report

---

surname, first name, patronymic (if any) signature

Chief accountant or person authorized to sign the report

---

surname, first name, patronymic (if any) signature

Executor ______ ______

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

Telephone:______

Date of signing the report "___"___20

Place for seal (if any)

Note: an explanation on how to fill out the form intended for the collection of administrative data is provided in the appendix to this form.

Appendix
to the report form on the volumes of pension savings and the number of individual pension accounts of contributors/beneficiaries of mandatory professional pension contributions by regions of the Republic of Kazakhstan (by place of residence of the contributor/beneficiary)

Explanation on how to fill out the form,

intended for the collection of administrative data

Report on the volumes of pension savings and the number of individual pension accounts of contributors/beneficiaries of mandatory professional pension contributions by regions of the Republic of Kazakhstan (by place of residence of the contributor/beneficiary)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for the collection of administrative data "Report on the volumes of pension savings and the number of individual pension accounts of contributors/beneficiaries of mandatory professional pension contributions by regions of the Republic of Kazakhstan (by place of residence of the contributor/beneficiary)" (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".

3. 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 of less than 500 (five hundred) tenge in the report is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (one thousand) tenge.

4. The Form is signed by the first head, chief accountant or persons authorized by them to sign the report, and the executor.

Chapter 2. Explanation on filling out the Form

5. In column 2, the number of individual pension accounts of contributors/beneficiaries who have concluded a pension provision agreement and have pension savings is indicated, broken down by place of residence of the contributor/beneficiary. The amount of pension savings for them is indicated in column 3.

6. In column 4, the number of individual pension accounts of contributors/beneficiaries who have concluded a pension provision agreement and do not have pension savings is indicated, broken down by place of residence of the contributor/beneficiary.

7. In the absence of information, the Form is submitted with zero balances.

Appendix 13
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated "28" August 2017 No. 167

Form intended for the collection of administrative data

Report on pension payments for mandatory pension contributions, mandatory professional pension contributions, voluntary pension contributions

Reporting period: as of "___"____20

Index: 8- ENPF_Vyplaty

Frequency: monthly

Submitted by: Unified Accumulative Pension Fund

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

Submission deadline: monthly, no later than the seventh working day of the month following the reporting month.

Form

(in thousands of tenge)

| | | | |

Article Name	Symbol	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
Pension accumulation payments	100
from:
mandatory pension contributions:	101
by age	102
by disability	103
due to departure beyond the borders of the Republic of Kazakhstan	104
to heirs	105
for burial	106
to other persons	107
from:
mandatory professional pension contributions:	200
by age	201
by disability	202
due to departure beyond the borders of the Republic of Kazakhstan	203
to heirs	204
for burial	205
to other persons	206
from:
voluntary pension contributions:	300
upon reaching the age of fifty	301
by disability	302
due to departure beyond the borders of the Republic of Kazakhstan	303
to heirs	304
for burial	305
to other persons	306
Transfer of pension accumulations to an insurance organization	400
from:
mandatory pension contributions:	401
by age	402
by disability	403
with sufficient pension accumulations to ensure payment not lower than the size of the minimum pension and reaching the age established by subparagraph 2) of paragraph 1 of Article 31 of the Law of the Republic of Kazakhstan dated June 21, 2013 "On Pension Provision in the Republic of Kazakhstan"	404
with insufficient pension accumulations from mandatory professional pension contributions	405
from:
mandatory professional pension contributions:	500
by age	501
by disability	502
with sufficient pension accumulations to ensure payment not lower than the size of the minimum pension and reaching the age established by subparagraph 1) of paragraph 1 of Article 32 of the Law of the Republic of Kazakhstan dated June 21, 2013 "On Pension Provision in the Republic of Kazakhstan"	503
with insufficient pension accumulations from mandatory pension contributions	504
from:
voluntary pension contributions:	600
by age	601
by disability	602
with insufficient pension accumulations from mandatory pension contributions	603
with insufficient pension accumulations from mandatory professional pension contributions	604
Other pension payments	700
Total	1000

First Head or Person Authorized to Sign the Report

---

surname, first name, patronymic (if any) signature

Chief Accountant or Person Authorized to Sign the Report

---

surname, first name, patronymic (if any) signature

Executor ______ ______

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

Telephone:______

Date of signing the report "___"______20___year

Place for stamp (if any)

Note: an explanation for filling out the form intended for the collection of administrative data is provided in the appendix to this form.

Appendix
to the report form on pension payments for mandatory pension contributions, mandatory professional pension contributions, voluntary pension contributions

Explanation for filling out the form, intended for the collection of administrative data

Report on pension payments for mandatory pension contributions, mandatory professional pension contributions, voluntary pension contributions

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for the collection of administrative data "Report on pension payments for mandatory pension contributions, mandatory professional pension contributions, voluntary pension contributions" (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".

3. The Form is filled out monthly by the Unified 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 in the report is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (thousand) tenge.

4. The Form is signed by the first head, chief accountant or persons authorized by them to sign the report, and the executor.

Chapter 2. Explanation for Filling out the Form

5. In column 3, the number of contributors/beneficiaries from whose accounts payments were made for the period from the beginning of the year (cumulative total) is indicated.

6. In column 4, the number of payments made to contributors/beneficiaries for the period from the beginning of the year (cumulative total) is indicated. Information on the number of payments is reflected based on the payments made (transactions) to contributors/beneficiaries.

7. In column 5, the amount of payments for the period from the beginning of the year (cumulative total) is indicated.

8. In column 6, the number of contributors/beneficiaries from whose accounts payments were made for the analogous period of the previous year is indicated.

9. 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 the payments made (transactions) to contributors/beneficiaries.

10. In column 8, the amount of payments for the analogous period of the previous year is indicated.

11. In rows 405, 504, 603 and 604, the number of contributors/beneficiaries is indicated for reference and is not summed up in rows 401, 500, 600.

12. In the absence of information, the Form is submitted with zero balances.

Appendix 14
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan of "28" August 2017 No. 167

Form intended for the collection of administrative data

Report on pension payments for mandatory employer pension contributions

Reporting period: as of "___"______20__year

Index: 8- ENPF_Vyplaty_OPVR

Frequency: monthly

Submitted by: Unified Accumulative Pension Fund

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

Submission deadline: monthly, no later than the seventh working day of the month following the reporting month.

Form

(in thousands of tenge)

Article Name	Symbol	For the period from the beginning of the current year			For the analogous period of the previous year
Number of physical persons	Number of payments	Amount	Number of physical persons	Number of payments	Amount
1	2	3	4	5	6	7	8
Pension accumulation payments	100
by age	110
by disability	111
to other persons	112
Total pension payments for mandatory employer pension contributions:	1000

First Head or Person Authorized to Sign the Report

---

surname, first name, patronymic (if any) signature

Chief Accountant or Person Authorized to Sign the Report

---

surname, first name, patronymic (if any) signature

Executor ______ ______

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

Telephone:______

Date of signing the report "___"______20___year

Place for stamp (if any)

Note: an explanation for filling out the form intended for the collection of administrative data is provided in the appendix to this form.

Appendix
to the report form on pension payments for mandatory employer pension contributions

Explanation for filling out the form, intended for the collection of administrative data

Report on pension payments for mandatory employer pension contributions

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for the collection of administrative data "Report on pension payments for mandatory employer pension contributions" (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".

3. The Form is filled out monthly by the Unified 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 in the report is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (thousand) tenge.

4. The Form is signed by the first head, chief accountant or persons authorized by them to sign the report, and the executor.

Chapter 2. Explanation for Filling out the Form

5. In column 3, the number of physical persons to whom payments were made for the period from the beginning of the year (cumulative total) is indicated.

6. In column 4, the number of payments made to physical persons for the period from the beginning of the year (cumulative total) is indicated. Information on the number of payments is reflected based on the payments made (transactions) to physical persons.

7. In column 5, the amount of payments for the period from the beginning of the year (cumulative total) is indicated.

8. In column 6, the number of physical persons from whose accounts payments were made for the analogous period of the previous year is indicated.

9. In column 7, the number of payments made to physical persons for the analogous period of the previous year is indicated. Information on the number of payments is reflected based on the payments made (transactions) to physical persons.

10. In column 8, the amount of payments for the analogous period of the previous year is indicated.

11. In the absence of information, the Form is submitted with zero balances.

Appendix 15

to the Resolution of the Board of the National Bank of the Republic of Kazakhstan of "28" August 2017 No. 167

Form intended for the collection of administrative data

Report on securities acquired from own assets

Reporting period: as of "___"______20__year

Index: 1- ENPF_CBSA

Frequency: monthly

Submitted by: Unified Accumulative Pension Fund

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

Submission deadline: monthly, no later than the seventh working day of the month following the reporting month.

Form

(in thousands of tenge)

No. p/p	Name of Issuer	Country of Issuer	Type of Security	National Identification Number or International Identification Number	Number of Securities (pieces)			Nominal Value		Payment Currency	Purchase Price per Security	Period		Purchase Cost of Security	Book Value of Securities							Rating
total	including encumbered securities		currency	cost of one security	date of registration	date of maturity	Total
encumbered securities, total	including securities transferred to repo	total	discount, premium	accrued reward	positive/negative adjustment	encumbered securities, total	including securities transferred to repo
1	2	3	4	5	6	7	8	9	10	11	12	13	14	15	16	17	18	19	20	21	22	23	24	25
1	Government Securities of the Republic of Kazakhstan
1.1.
…
2	Non-governmental issue 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.
…
4	Non-governmental securities of non-resident issuers of the Republic of Kazakhstan
4.1.
…
5	Securities of international financial organizations
5.1.
…
6	Shares of investment funds
6.1.
…
7	Total

First Head or Person Authorized to Sign the Report

---

surname, first name, patronymic (if any) signature

Chief Accountant or Person Authorized to Sign the Report

---

surname, first name, patronymic (if any) signature

Executor ______ ______

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

Telephone:______

Date of signing the report "___"______20___year

Place for stamp (if any)

Note: an explanation for filling out the form intended for the collection of administrative data is provided in the appendix to this form.

Appendix
to the report form on securities acquired from own assets

Explanation for filling out the form, intended for the collection of administrative data

Report on securities acquired from own assets

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for the collection of administrative data "Report on securities acquired from own assets" (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".

3. The Form is filled out monthly by the Unified 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 in the report is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (thousand) tenge.

4. The Form is signed by the first head, chief accountant or persons authorized by them to sign the report, and the executor.

Chapter 2. Explanation for Filling out the Form

5. The Form indicates data on securities and claims rights under the issuer's obligations for issue securities. For depositary receipts, information on its underlying asset is indicated.

6. In columns 2 and 3, the name of the issuer of the security and the country of its residence are indicated.

7. In column 4, the type of acquired security is indicated with its type specified.

8. In column 5, the national identification number is indicated (for foreign securities - international identification number (ISIN), for claims rights under the issuer's obligations for issue securities, the term of which has expired and the issuer has not fulfilled its obligations for their redemption - identifier of claims rights.

9. In column 6, the number of acquired securities is indicated.

10. In columns 9 and 11, currency codes are indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 "Codes for the designation of currencies and funds".

11. In column 10, the monetary expression of the cost of the bond, determined at its issuance, on which a reward expressed in percent is accrued for 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 issuance. Column 10 is filled out for debt securities.

12. In column 12, the price reflected in the primary document confirming the transaction (exchange certificate, broker's report and/or dealer's confirmation, confirmation received via the international interbank system for information transfer and payment transactions (SWIFT)) is indicated.

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

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

15. In column 15, the purchase cost of securities is indicated, including expenses directly related to the acquisition, including rewards and commissions paid to agents, consultants, brokers (dealers), fees of stock exchanges, as well as banking services for transfer and reduced by the amount of the percentage paid by the buyer to the seller (if any).

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

17. In column 20, the cost of encumbered securities indicated in accounting is indicated.

18. In column 21, the cost of securities encumbered by repo agreements indicated in accounting is indicated.

19. 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 with a plus sign.

20. In column 23, as a category of security, the symbol is indicated: 1 - "available for sale", 2 - "measured at fair value through profit or loss", 3 - "held to maturity".

21. When filling out columns 24 and 25, the rating of the security for bonds, the rating of the issuer for shares, the rating of the country for government securities, assigned by one of the rating agencies specified in paragraph 3 of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 24, 2012 No. 385 "On Establishing the Minimum Rating for Legal Entities, the Necessity of Which is Required in accordance with the Legislation of the Republic of Kazakhstan Regulating the Activities of Financial Organizations, the List of Rating Agencies Assigning this Rating", registered in the Registry of State Registration of Regulatory Legal Acts under No. 8318, is indicated. In the absence of a rating in columns 24 and 25, "no rating" is indicated. These columns are not filled out for government securities of the Republic of Kazakhstan.

22. In the absence of information, the Form is submitted with zero balances.

Appendix 16

to the Resolution of the Board of the National Bank of the Republic of Kazakhstan of "28" August 2017 No. 167

Form intended for the collection of administrative data

Report on reverse repo and repo operations carried out from own assets

Reporting period: as of "___"______20__year

Index: 1- ENPF_REPO_SA

Frequency: monthly

Submitted by: Unified Accumulative Pension Fund

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

Submission deadline: monthly, no later than the seventh working day of the month following the reporting month.

Form

(in thousands of tenge)

No. p/p	Name of Issuer	Country of Issuer	Type of Security	National Identification Number or International Identification Number	Number of Securities	Currency of Nominal Value	Period
							date of opening the operation	date of closing the 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:

Term of operation in days	Reward Rate	Book Value	For reference: formed reserves	Rating		Category of stock exchange list
		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
…

Note: an explanation for completing the form intended for the collection of administrative data is provided in the appendix to this form.

Appendix
to the report form on repurchase and reverse repurchase operations carried out at the expense of own assets

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

Report on repurchase and reverse repurchase operations carried out at the expense of own assets

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for the collection of administrative data "Report on repurchase and reverse repurchase operations carried out at the expense of own assets" (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".

3. The Form is filled out monthly by the unified accumulative pension fund as of the end of the reporting period. Data in the Form are indicated in thousands of tenge. An amount of less than 500 (five hundred) tenge in the report is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (one thousand) tenge.

4. The Form is signed by the first head, chief accountant or persons authorized by them to sign the report, and the executor.

Chapter 2. Explanation for completing the Form

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

6. In column 6, the number of securities transferred and/or acquired under repurchase and/or reverse repurchase operations is indicated.

7. In column 7, currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 "Codes for the designation of currencies and funds".

8. When filling out columns 14 and 15, the rating of the security for bonds, the rating of the issuer for stocks, the country rating for government securities, assigned by one of the rating agencies specified in paragraph 3 of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 24, 2012 No. 385 "On establishing the minimum rating for legal entities, the presence of which is required in accordance with the legislation of the Republic of Kazakhstan regulating the activities of financial organizations, the list of rating agencies assigning this rating", registered in the Registry of State Registration of Normative Legal Acts under No. 8318. In the absence of a rating in columns 14 and 15, "no rating" is indicated. These columns are not filled out for government securities of the Republic of Kazakhstan. Column 14 reflects the rating on the date of initial recognition in accounting.

9. In columns 16 and 17, the category of securities of residents of the Republic of Kazakhstan is indicated according to the official list of the stock exchange of the Republic of Kazakhstan. In the absence of a category from the list of the stock exchange of the Republic of Kazakhstan in columns 16 and 17, "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.

10. In the absence of information, the Form is submitted with zero balances.

Appendix 17
to the Resolution of the Board of the
National Bank of the Republic of Kazakhstan dated "28" August 2017 No. 167

Form intended for the collection of administrative data

Report on deposits and money and cash equivalents placed at the expense of own assets

Reporting period: as of "___"______20__year

Index: 1- ENPF_Vklady_SA

Periodicity: monthly

Submitted by: unified accumulative pension fund

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

Submission deadline: monthly, no later than the seventh working day of the month following the reporting month.

Form

(in thousands of tenge)

No. p/p	Organization Name	Rating		Currency	Date of conclusion and number of bank deposit contract		Deposit term (in days)	Interest rate on deposit (percent per annum)		Amount deposited in deposit		Book value		Reference: formed reserves (provisions)	Note
at the date of placement	at the reporting date	date	number	nominal	effective	in tenge	in foreign currency	total	including accrued interest on deposit
1	2	3	4	5	6	7	8	9	10	11	12	13	14	15	16
1	Cash in vault
2	Cash in transit
2.1.
…
3	Money in accounts in second-tier banks
3.1.
…
4	Money in accounts in organizations carrying out certain types of banking operations
4.1
…
5	Other money and cash equivalents
5.1.
…
6	Total money and cash equivalents
7	Demand deposits
7.1.
…
8	Time deposits in second-tier banks of the Republic of Kazakhstan
8.1.
…
9	Conditional deposits
9.1.
…
10	Time deposits in non-resident organizations
10.1.
…
11	Total deposits

First head or person authorized to sign the report

---

surname, first name, patronymic (if any) signature

Chief accountant or person authorized to sign the report

---

surname, first name, patronymic (if any) signature

Executor ______ ______

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

Telephone:______

Date of signing the report "___"______20___year

Place for stamp (if any)

Note: an explanation for completing the form intended for the collection of administrative data is provided in the appendix to this form.

Appendix
to the report form on deposits and money and cash equivalents placed at the expense of own assets

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

Report on deposits and money and cash equivalents placed at the expense of own assets

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for the collection of administrative data "Report on deposits and money and cash equivalents placed at the expense of own assets" (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".

3. The Form is filled out monthly by the unified accumulative pension fund as of the end of the reporting period. Data in the Form are indicated in thousands of tenge. An amount of less than 500 (five hundred) tenge in the report is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (one thousand) tenge.

4. The Form is signed by the first head, chief accountant or persons authorized by them to sign the report, and the executor.

Chapter 2. Explanation for completing the Form

5. When filling out columns 3 and 4, the rating of the bank or organization assigned by one of the rating agencies specified in paragraph 3 of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 24, 2012 No. 385 "On establishing the minimum rating for legal entities, the presence of which is required in accordance with the legislation of the Republic of Kazakhstan regulating the activities of financial organizations, the list of rating agencies assigning this rating", registered in the Registry of State Registration of Normative Legal Acts under No. 8318. In the absence of a rating in columns 4 and 5, "no rating" is indicated. These columns are not filled out for the National Bank of the Republic of Kazakhstan.

6. In column 5, currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 "Codes for the designation of currencies and funds".

7. In columns 5 and 13, rows 1, 2, 3, 4, 5 and 6 are filled.

8. In column 8, the deposit term according to the bank deposit contract is indicated; in case of deposit extension, the term is indicated taking into account the extension.

9. In columns 11 and 12, the amount of own assets placed in the deposit is indicated. In case of placing assets in a deposit in tenge, column 11 is filled. In case of placing assets in a deposit in foreign currency, column 12 is filled with simultaneous reflection of the equivalent in tenge in column 11. Column 11 is filled in thousands of tenge, column 12 – in thousands of units of foreign currency.

10. The Form is compiled indicating the amount of deposits and money separately for each currency, bank and organization, as well as for each account and deposit.

11. In the absence of information, the Form is submitted with zero balances.

Appendix 18
to the Resolution of the Board of the
National Bank of the Republic of Kazakhstan dated "28" August 2017 No. 167

Form intended for the collection of administrative data

Report on investments in the capital of other legal entities

Reporting period: as of "___"______20__year

Index: 1- ENPF_IKDU

Periodicity: monthly

Submitted by: unified accumulative pension fund

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

Submission deadline: monthly, no later than the seventh working day of the month following the reporting month.

Form

(in thousands of tenge)

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

First head or person authorized to sign the report

---

surname, first name, patronymic (if any) signature

Chief accountant or person authorized to sign the report

---

surname, first name, patronymic (if any) signature

Executor ______ ______

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

Telephone:______

Date of signing the report "___"______20___year

Place for stamp (if any)

Note: an explanation for completing the form intended for the collection of administrative data is provided in the appendix to this form.

Appendix
to the report form on investments in the capital of other legal entities

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

Report on investments in the capital of other legal entities

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for the collection of administrative data "Report on investments in the capital of other legal entities" (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".

3. The Form is filled out monthly by the unified accumulative pension fund as of the end of the reporting period. Data in the Form are filled in thousands of tenge. An amount of less than 500 (five hundred) tenge in the report is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (one thousand) tenge.

4. The Form is signed by the first head, chief accountant or persons authorized by them to sign the report, and the executor.

Chapter 2. Explanation for completing the Form

5. The Form reflects information on the size of investments of the unified accumulative pension fund in the capital of associated organizations, as well as other legal entities.

6. In column 3, the purchase price of shares on the date of acquisition is reflected.

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

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

9. In column 7, the date of initial recognition in accounting is reflected.

10. In the absence of information, the Form is submitted with zero balances.

Appendix 19
to the Resolution of the Board of the
National Bank of the Republic of Kazakhstan dated "28" August 2017 No. 167

Form intended for the collection of administrative data

Report on transactions carried out on the investment of own assets

Reporting period: for ______20__year

Index: 1- ENPF_DEALINGS_SA

Periodicity: monthly

Submitted by: unified accumulative pension fund

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

Submission deadline: monthly, no later than the seventh working day of the month following the reporting month.

Form

Table 1. Securities acquired at the expense of own assets

(in tenge)

No.	Date of transaction	Name of broker and/or dealer	Payment for services			Type of transaction	Market
broker and/or dealer	bank	organizer of trading
1	2	3	4	5	6	7	8

continuation of the table:

Type of security and name of its issuer	National identification number	Currency of nominal value	Nominal value of one security	Volume of transaction (number of securities)	Currency of payment	Purchase (sale) price for one security
9	10	11	12	13	14	15
---	---	---	---	---	---	---

continuation of the table:

Minimum price for one security on the date of conclusion of the transaction	Maximum price for one security on the date of conclusion of the transaction	Yield on securities (in percent)	Transaction amount	Name of counterparty	Rating of counterparty
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 deposit	Date of conclusion and number of bank deposit contract	Deposit term (in days)	Interest rate (percent per annum)	Currency of deposit	Amount of deposit
1	2	3	4	5	6	7	8	9

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

(in tenge)

No.	Date of transaction	Name of counterparty	Payment for services	Type of transaction	Type of refined precious metal	Volume of transaction (units)	Currency of payment	Purchase price per unit	Transaction amount
1	2	3	4	5	6	7	8	9	10

Table 4. Derivative financial instruments acquired at the expense of own assets

(in tenge)

No.	Date of transaction conclusion	Name of broker and/or dealer	Date of recognition of financial instruments	Date of settlement of transaction	Type of derivative financial instrument	Identification number of security	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 transaction terms			Hedged object	Number and date of investment decision	Variation margin on the date of transaction conclusion, tenge	Initial margin on the date of transaction conclusion, percent	Trading regime	Note
Type of transaction	Number of financial instruments, pieces	Transaction price, tenge	Transaction amount, thousand tenge	Currency of transaction
11	12	13	14	15	16	17	18	19	20	21

First head or person authorized to sign the report

---

surname, first name, patronymic (if any) signature

Chief accountant or person authorized to sign the report

---

surname, first name, patronymic (if any) signature

Executor ______ ______

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

Telephone:______

Date of signing the report "___"______20___year

Place for stamp (if any)

Note: an explanation for completing the form intended for the collection of administrative data is provided in the appendix to this form.

Appendix
to the report form on transactions carried out on the investment of own assets

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

Report on transactions carried out on the investment of own assets

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines the unified requirements for filling out the form intended for the collection of administrative data "Report on transactions carried out on the investment of own assets" (hereinafter - Form).

2. The Form is developed in accordance with subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".

3. The Form is filled out monthly by the unified accumulative pension fund for the reporting period (month). Data in the Form are indicated in tenge.

4. The Form is signed by the first head, chief accountant or persons authorized by them to sign the report, and the executor.

Chapter 2. Explanation for completing the Form

5. For Table 1:

1) in column 2, in case of making a transaction on an international (foreign) securities market, the date of its conclusion (trade date) is indicated;

2) in column 7, the type of transaction (purchase, sale, redemption, coupon redemption, dividend payment, reverse repurchase operation – opening (closing) and others) is indicated;

3) in column 8, the organizer of trading is indicated, in the trading system of which the transaction was carried out, or that the transaction was made on an unorganized market;

4) in column 9, the name of the issuer and the type of securities admitted to trading on the trading platforms of organizers of trading in securities are indicated;

5) in columns 11 and 14, currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 "Codes for the designation of currencies and funds";

6) in column 15, the price in the currency of payment is indicated with an accuracy of four decimal places, reflected in the primary document confirming the completion of the transaction (exchange certificate, broker-dealer report, confirmation received via SWIFT system), taking into account the remuneration paid to the seller. In the absence of a price expressed in currency in the primary document, the price expressed as a percentage of the nominal value is indicated;

7) in columns 16 and 17, 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 information-analytical systems Bloomberg or REUTER in the currency of nominal value;

8) in column 18, the yield on securities in percent is indicated (for a transaction with a bond - yield resulting from alienation or acquisition in the trading system of the organizer of trading in securities; for reverse repurchase operations - yield resulting from making a transaction in the automatic repo sector);

9) in column 19, the amount is indicated with an accuracy of two decimal places;

10) columns 20 and 21 are filled for transactions concluded on international (foreign) securities markets.

6. For Table 2:

1) in column 2, in case of making a deposit, the date of transfer of money from the investment account of the unified accumulative pension fund to the current account in the National Bank of the Republic of Kazakhstan or a second-tier bank is indicated, or the date of early return or, in case of termination of the contract, the date of return of money to the investment account;

2) in column 4, operations on the deposit (depositing money into the deposit, payment of interest on the deposit, early return of the deposit or return of the deposit upon expiration of the bank deposit contract term) are indicated;

3) in column 9, the amount is indicated with an accuracy of two decimal places.

7. For Table 3:

1) in column 2, the date of conclusion of the transaction (trade date) is indicated;

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

3) in column 6, the names of types of refined precious metals are indicated;

4) in column 8, currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 "Codes for the designation of currencies and funds";

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

8. For Table 4:

1) in column 2, the date of conclusion of the transaction is indicated in the format "dd.mm.yyyy";

2) in column 4, the date of initial recognition of financial instruments in accounting is indicated in the format "dd.mm.yyyy";

3) in column 5, the date of settlement of the transaction is indicated in the format "dd.mm.yyyy";

4) in column 6, the type of derivative financial instrument (option, futures, forward, swap and other derivative financial instruments) is indicated;

5) in column 7, the identification number of the security is indicated if the underlying asset of the derivative financial instrument is a security;

6) in column 8, the name of the organizer of trading, in the trading system of which the transaction was carried out, and the country of its residence are indicated in the format "name of stock exchange (country)" or that the transaction was made not on a stock exchange in the format "unorganized market";

7) in column 9, 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 assigned to the underlying asset by a rating agency (if available) are indicated in the format "underlying asset (rating) (rating agency)". If the underlying asset has no ratings, the underlying asset and an indication that the rating is absent are indicated in the format "underlying asset (no rating)";

8) in column 10, if the transaction is concluded not on a stock exchange, the counterparty, its country of residence, and the rating assigned to this counterparty are indicated in the format "counterparty/country/rating (rating agency)". In the absence of a rating for the counterparty, information is indicated in the format "counterparty/country/no rating";

9) in column 11, the type of transaction (purchase, sale, etc.) is indicated;

10) in column 16, if the transaction is concluded for hedging purposes, the word "yes" and the details of the hedged object (identification number of the security, quantity, cost, volume, currency) are indicated in the format "yes/details of the hedged object". If the transaction is not concluded for hedging purposes, the word "no" is indicated;

11) in column 17, the number and date of the investment committee's decision to conclude the transaction are indicated;

12) in column 18, if available, the variation margin is indicated – the monetary expression of the change in the obligations of the trading participant, calculated by the exchange and taking into account the change in the quote of the futures contract;

13) in column 19, if available, the initial margin is indicated – the share of the total market value of the underlying asset, determined by the exchange, which the client must deposit for each open position;

14) in column 20, the trading regime is indicated in the format T+0 or T+n, or another trading regime provided for by the exchange rules is described;

15) in column 21, the conditions for the emergence of claims and obligations of the parties to the transaction are indicated.

9. In the absence of information, the Form is submitted with zero balances.

Appendix 20
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated "28" August 2017 No. 167

Form intended for the collection of administrative data

Report on financial instruments of issuers who have defaulted, acquired at the expense of pension assets

Reporting period: as of "___" ______20__year

Index: 9- ENPF_DEFAULT_PA

Frequency: quarterly

Submitted by: Unified Accumulative Pension Fund

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

Submission deadline: quarterly, no later than the seventh working day of the month following the reporting quarter.

Form

Pension assets formed at the expense of ______

(in tenge)

No.	Name of issuer	Type of security or deposit contract number	National identification number or international identification number	Identifier of the right to claim	Number of securities (pieces)	Maturity date	Date of cessation of recognition
1	2	3	4	5	6	7	8
---	---	---	---	---	---	---	---
	Total

continuation of the table:

Debt amount				Total debt	Type of settlement and debt amounts
on principal	on remuneration	penalty on principal	penalty on remuneration
9	10	11	12	13	14
…

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

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

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

Phone:______

Date of signing the report "___"______20___year

Place for seal (if available)

Note: an explanation of how to fill out the form intended for the collection of administrative data is provided in the appendix to this form.

Appendix
to the report form on financial instruments of issuers who have defaulted, acquired at the expense of pension assets

Explanation on filling out the form, intended for the collection of administrative data

Report on financial instruments of issuers who have defaulted, acquired at the expense of pension assets

Chapter 1. General Provisions

1. This explanation (hereinafter – the Explanation) defines the unified requirements for filling out the form intended for the collection of administrative data "Report on financial instruments of issuers who have defaulted, acquired at the expense of pension assets" (hereinafter – the Form).

2. The Form is developed in accordance with subparagraph 6) of paragraph 1 of Article 9 of the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations".

3. The Form is filled out quarterly by the Unified Accumulative Pension Fund as of the end of the reporting period. Data in the Form are indicated in tenge.

4. The Form is signed by the head of the organization, the chief accountant, or persons authorized by them to sign the report, and the executor.

Chapter 2. Explanation on filling out the Form

5. Starting from January 1, 2020, the Form is submitted separately for pension assets formed at the expense of mandatory pension contributions, mandatory professional pension contributions, and voluntary pension contributions, and for pension assets formed at the expense of mandatory employer pension contributions.

In the line "Pension assets formed at the expense of", information on pension assets formed depending on pension contributions is indicated: "mandatory pension contributions, mandatory professional pension contributions, and voluntary pension contributions" or "mandatory employer pension contributions".

6. In column 3, the type of acquired security is indicated with its type or the number of the deposit contract.

7. In column 4, the national identification number or international identification number of the securities is indicated.

8. In column 5, the identifier of the right to claim is indicated, if available.

9. In column 6, the number of acquired securities is indicated.

10. In column 7, the maturity date of the financial instrument is indicated.

11. In column 8, the date of cessation of recognition of the financial instrument in accounting is reflected.

12. Column 13 is the sum of columns 9, 10, 11, and 12.

13. In column 14, the type of debt settlement is indicated: rehabilitation/restructuring, bankruptcy, enforcement proceedings, out-of-court settlement, as well as debt amounts determined by a court decision, in accordance with concluded agreements on debt repayment, recognized in the register of creditors' claims.

14. In the absence of information, the Form is submitted with zero balances.

Appendix 21
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated "28" August 2017 No. 167

Rules for submitting reporting by the Unified Accumulative Pension Fund

1. The Rules for submitting reporting by the Unified Accumulative Pension Fund (hereinafter – the Rules) are developed in accordance with the Law of the Republic of Kazakhstan dated July 4, 2003 "On State Regulation, Control and Supervision of the Financial Market and Financial Organizations" and define the procedure for submitting reporting by the Unified Accumulative Pension Fund (hereinafter – the Fund) to the National Bank of the Republic of Kazakhstan (hereinafter – the authorized body).

2. Reporting on paper medium as of the reporting date is signed by the head of the Fund (in his absence – by the person acting in his place), the chief accountant of the Fund, and the executor, sealed, and stored in the Fund.

3. Reporting in electronic format is submitted to the authorized body using a guaranteed information delivery system with cryptographic protection means, ensuring confidentiality and non-corrigibility of the submitted data.

4. The identity of data submitted in electronic format to data on paper medium is ensured by the head of the Fund (in his absence – by the person acting in his place) and the chief accountant of the Fund.

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

6. For the purpose of forming reporting, assets in foreign currency are indicated in conversion at the market exchange rate determined in accordance with the procedure established by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated January 25, 2013 No. 15 and the Order of the Minister of Finance of the Republic of Kazakhstan dated February 22, 2013 No. 99 "On Establishing the Procedure for Determining and Applying the Market Exchange Rate of Currency", registered in the Registry of State Registration of Normative Legal Acts under No. 8378.