Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 294 of 29 November 2018 on Approval of the Rules for Monitoring Sources of Demand and Supply in the Domestic Foreign Exchange Market of the Republic of Kazakhstan

"NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN" REPUBLICAN STATE INSTITUTION		REPUBLICAN STATE INSTITUTION "NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN"
RESOLUTION OF THE BOARD		RESOLUTION OF THE BOARD
29 November 2018	No. 294
Almaty city	Almaty city

On approval of the Rules for monitoring sources of

demand and supply in the domestic foreign exchange market

of the Republic of Kazakhstan

(With amendments and additions:

1. Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 24 of 19.03.2020
2. Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 8 of 27.02.2023)

In accordance with subparagraph 59-1) of part two of Article 15 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan", subparagraph 2) of paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics" and part three of paragraph 5 of Article 10 of the Law of the Republic of Kazakhstan "On Currency Regulation and Currency Control", the Board of the National Bank of the Republic of Kazakhstan RESOLVES:

1. To approve the attached Rules for monitoring sources of demand and supply in the domestic foreign exchange market of the Republic of Kazakhstan (hereinafter - the Rules).

2. To recognize as having lost force the normative legal acts of the Republic of Kazakhstan, as well as structural elements of certain normative legal acts of the Republic of Kazakhstan, according to the list in the appendix to this resolution.

3. The Department of Balance of Payments and Currency Regulation (Kuandykov A.A.) shall, in the manner established by the legislation of the Republic of Kazakhstan, ensure:

1) together with the Legal Department (Sarsenova N.V.), state registration of this resolution with the Ministry of Justice of the Republic of Kazakhstan;

2) within ten calendar days from the day of state registration of this resolution, its sending 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) placement of this resolution on the official internet resource of the National Bank of the Republic of Kazakhstan after its official publication;

4) within ten working days after state registration of this resolution, submission to the Legal Department of information on the implementation of the measures provided for by subparagraphs 2), 3) of this paragraph and paragraph 4 of this resolution.

4. The Department for the Protection of the Rights of Consumers of Financial Services and External Communications (Terentyev A.L.) shall ensure, within ten calendar days after state registration of this resolution, the sending of its copy for official publication in periodicals.

5. Control over the execution of this resolution shall be entrusted to the Deputy Chairman of the National Bank of the Republic of Kazakhstan Smolyakov O.A.

6. This resolution is subject to official publication and enters into force on 1 July 2019, except for subparagraph 6) of paragraph 6 of the Rules, which enters into force on 1 January 2020.

Chairman of the National Bank	D. Akishev

"AGREED"

Committee on Statistics

of the Ministry of National Economy

of the Republic of Kazakhstan

Approved

by resolution

of the Board

of the National Bank

of the Republic of Kazakhstan

of 29 November 2018 No. 294

Rules for monitoring sources of demand and supply in the domestic foreign exchange market of the Republic of Kazakhstan

Chapter 1. General provisions

1. These Rules for monitoring sources of demand and supply in the domestic foreign exchange market of the Republic of Kazakhstan (hereinafter – the Rules) have been developed in accordance with subparagraph 59-1) of part two of Article 15 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan", subparagraph 2) of paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics" and part three of paragraph 5 of Article 10 of the Law of the Republic of Kazakhstan "On Currency Regulation and Currency Control" and determine the procedure for monitoring sources of demand and supply in the domestic foreign exchange market of the Republic of Kazakhstan and the purposes of using acquired foreign currency, as well as the forms and deadlines for submitting reports for its implementation.

2. Monitoring of sources of demand and supply in the domestic foreign exchange market of the Republic of Kazakhstan and the purposes of using acquired foreign currency is carried out by collecting information on operations of second-tier banks, joint-stock company "Development Bank of Kazakhstan", joint-stock company "Kazpost" (hereinafter - banks), professional participants of the securities market holding a license for exchange operations with foreign currency, not being banks, (hereinafter - professional participants) and their clients in the domestic foreign exchange market, the movement of money through clients' bank accounts and money transfers without opening and (or) using a bank account in foreign currency.

3. Reports on sources of demand and supply in the domestic foreign exchange market of the Republic of Kazakhstan and purposes of using acquired foreign currency (hereinafter - reports) are submitted by banks and professional participants.

4. For the purposes of the Rules, clients of a bank include resident and non-resident individuals, including entities carrying out entrepreneurial activity without forming a legal entity, as well as resident and non-resident legal entities that are not banks, including their branches and representative offices, for which bank accounts are opened in the given bank.

For the purposes of the Rules, clients of a professional participant include resident and non-resident individuals, including entities carrying out entrepreneurial activity without forming a legal entity, as well as resident and non-resident legal entities that are not banks, including their branches and representative offices, with which the given professional participant has concluded agreements on the provision of brokerage services.

5. When compiling reports, the classification of operations is carried out in accordance with the resolution of the Board of the National Bank of the Republic of Kazakhstan of 31 August 2016 No. 203 "On approval of the Rules for the application of codes of sectors of the economy and purpose of payments", registered in the Register of State Registration of Normative Legal Acts under No. 14365, taking into account the detail provided for by the report forms.

Chapter 2. Forms and deadlines for submitting reports

6. Reports are submitted in electronic format to the central office of the National Bank of the Republic of Kazakhstan (hereinafter - the National Bank) and include:

1) a consolidated report on the movement of money in foreign currency through clients' bank accounts and transfers without opening and (or) using a bank account, in the form intended for collecting administrative data, according to Appendix 1 to the Rules;

2) a report on the purchase (sale) of foreign currency by the bank and its clients, in the form intended for collecting administrative data, according to Appendix 2 to the Rules;

3) a report on the movement of money in clients' bank accounts in foreign currency, in the form intended for collecting administrative data, according to Appendix 3 to the Rules;

4) a report on operations of bank clients with large volumes of purchase of foreign currency, in the form intended for collecting administrative data, according to Appendix 4 to the Rules;

5) a report on the purchase (sale) of foreign currency by a professional participant of the securities market holding a license for exchange operations with foreign currency, not being a bank, in the form intended for collecting administrative data, according to Appendix 5 to the Rules;

6) a report on the movement of cash foreign currency, in the form intended for collecting administrative data, according to Appendix 6 to the Rules.

7. The bank's reports are submitted for the bank's system as a whole, based on information on all clients' bank accounts and money transfers without opening and (or) using a bank account in foreign currency, as well as information on operations between clients of one bank and money transfers through bank accounts in foreign currency of one client.

The professional participant's report reflects the volumes of purchase and sale of foreign currency by the professional participant and the number of clients that carried out operations of purchase and sale of foreign currency.

8. Banks shall submit monthly to the National Bank the reports provided for by subparagraphs 1), 2), 3), 4) and 6) of paragraph 6 of the Rules, by the fifteenth day (inclusive) of the month following the reporting month.

Professional participants shall submit monthly to the National Bank the report provided for by subparagraph 5) of paragraph 6 of the Rules, by the fifteenth day (inclusive) of the month following the reporting month.

9. If the last day of the deadline for submitting reports falls on a non-working day, the day of expiry of the deadline for submitting reports is considered the next working day.

Appendix 1

to the Rules for monitoring

sources of demand and supply

in the domestic foreign exchange market

of the Republic of Kazakhstan

Form intended for collecting administrative data

Submitted to: the National Bank of the Republic of Kazakhstan

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

Consolidated report on the movement of money in foreign currency

through clients' bank accounts and transfers without opening and (or) using a bank account

Index of the administrative data form: 1-INV

Periodicity: monthly

Reporting period: as of "____" __20

Circle of persons submitting information: second-tier banks, joint-stock company "Development Bank of Kazakhstan", joint-stock company "Kazpost"

Deadline for submission: monthly by the 15th day (inclusive) of the month following the reporting month

Form

in thousands of tenge

No.	Name of indicator	Line code	Total	residents		non-residents
including by operations: with		including by operations: with
residents	non-residents	residents	non-residents
A	B	C	1	2	3	4	5
Section 1. Receipt of foreign currency in favor of clients
1	Total	10000
2	including:
3	payments and money transfers of counterparties to bank accounts:	11000
4	of individuals	11100
5	of legal entities	11200
6	including by operations:
7	sale of goods and intangible assets	11210
8	provision of services	11220
9	receipt of the principal amount of debt and income on issued loans	11230
10	attraction of loans	11240
11	operations with securities, bills and contributions ensuring participation in capital:	11250
12	other money transfers	11260
13	transfers without opening and (or) using a bank account	12000
14	transfers by clients of money from their bank accounts	13000			X	X
15	of which opened in:
16	resident banks	13001			X	X
17	non-resident banks	13002			X	X
18	purchase of foreign currency for tenge	14000
19	including:
20	by individuals	14100
21	by legal entities	14200
22	crediting of cash foreign currency to bank accounts	15000
23	of which:
24	by individuals	15100
25	by legal entities	15200
Section 2. Withdrawal and (or) transfer of foreign currency by clients
26	Total	20000
27	including:
28	payments and money transfers to counterparties from bank accounts:	21000
29	of individuals	21100
30	of legal entities	21200
31	including by operations:
32	purchase of goods and intangible assets	21210
33	receipt of services	21220
34	issuance of loans	21230
35	fulfillment of obligations on loans	21240
36	operations with securities, bills and contributions ensuring participation in capital:	21250
37	other money transfers	21260
38	transfers without opening and (or) using a bank account	22000
39	transfers by clients of money to their bank accounts	23000			X	X
40	of which opened in:
41	resident banks	23001			X	X
42	non-resident banks	23002			X	X
43	sale of foreign currency for tenge	24000
44	including:
45	by individuals	24100
46	by legal entities	24200
47	withdrawal of cash foreign currency from their bank accounts	25000
48	of which:
49	by individuals	25100
50	by legal entities	25200

Name ______ Address______

Telephone ______

Email address ______

Executor ______ ______

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

Chief accountant or person authorized to sign the report ______ ______

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

First head or person authorized to sign the report

---

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

Date of signing the report "__" ______ 20_

Appendix

to the form of the consolidated report on the movement of money

in foreign currency through clients' bank accounts

and transfers without opening

and (or) using a bank account

Explanation on filling out the form of administrative data

Consolidated report on the movement of money in foreign currency through clients' bank accounts and transfers without opening and (or) using a bank account

(index – 1-INV, periodicity – monthly)

Chapter 1. General provisions

1. This explanation defines uniform requirements for filling out the form intended for collecting administrative data, "Consolidated report on the movement of money in foreign currency through clients' bank accounts and transfers without opening and (or) using a bank account" (hereinafter – Form 1).

2. Form 1 has been developed in accordance with part three of paragraph 5 of Article 10 of the Law of the Republic of Kazakhstan "On Currency Regulation and Currency Control".

3. Form 1 is filled out by second-tier banks, joint-stock company "Development Bank of Kazakhstan", joint-stock company "Kazpost" (hereinafter – banks) in the context of sources of receipt and directions of use of foreign currency.

4. Form 1 consists of two sections:

section 1 – Receipt of foreign currency in favor of clients;

section 2 – Withdrawal and (or) transfer of foreign currency by clients.

5. Data in Form 1 are indicated in the national currency of the Republic of Kazakhstan – tenge. An amount less than 500 (five hundred) tenge is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (one thousand) tenge.

6. For the purposes of forming the report, assets in foreign currency are indicated in conversion at the market exchange rate determined by the resolution of the Board of the National Bank of the Republic of Kazakhstan of 25 January 2013 No. 15 and the order of the Minister of Finance of the Republic of Kazakhstan of 22 February 2013 No. 99 "On the procedure for determining the market exchange rate", registered in the Register of State Registration of Normative Legal Acts under No. 8378, on the value date.

7. Form 1 is signed by the first head or person authorized to sign the report, the chief accountant or person authorized to sign the report, and the executor.

Chapter 2. Explanation on filling out Form 1

8. When filling out Form 1, the following conditions are ensured:

column 1 for all lines equals the sum of columns 2, 3, 4, 5;

line with code 10000 = line with code 11000 + line with code 12000 + line with code 13000 + line with code 14000 + line with code 15000;

line with code 11000 = line with code 11100 + line with code 11200;

line with code 11200 = line with code 11210 + line with code 11220 + line with code 11230 + line with code 11240 + line with code 11250 + line with code 11260;

in the line with code 11240, loans also include loans attracted by clients from the bank submitting the report;

in the line with code 11260, other money transfers also include transfers using payment cards;

line with code 13000 = line with code 13001 + line with code 13002;

in the line with code 13001, transfers by clients of money from their bank accounts opened in resident banks also include transfers by clients of money from a bank account opened in the bank submitting the report (intrabank transfers);

line with code 14000 = line with code 14100 + line with code 14200;

line with code 15000 = line with code 15100 + line with code 15200;

line with code 20000 = line with code 21000 + line with code 22000 + line with code 23000 + line with code 24000 + line with code 25000;

line with code 21000 = line with code 21100 + line with code 21200;

line with code 21200 = line with code 21210 + line with code 21220 + line with code 21230 + line with code 21240 + line with code 21250 + line with code 21260;

in the line with code 21240, operations for fulfilling obligations on loans also include operations for fulfilling obligations on loans attracted by clients from the bank submitting the report;

in the line with code 21260, other money transfers also include transfers using payment cards;

line with code 23000 = line with code 23001 + line with code 23002;

in the line with code 23001, transfers by clients of money to their bank accounts opened in resident banks also include transfers by clients of money to their bank accounts opened in the bank submitting the report (intrabank transfers);

line with code 24000 = line with code 24100 + line with code 24200;

line with code 25000 = line with code 25100 + line with code 25200.

9. Adjustments (changes, additions) of data in Form 1 are made within 2 (two) months after the deadline established for submitting Form 1.

10. In the absence of information for the reporting period, Form 1 is submitted with zero values.

Appendix 2

to the Rules for monitoring sources

of demand and supply in the domestic

foreign exchange market of the Republic of Kazakhstan

Form intended for collecting administrative data

Submitted to: the National Bank of the Republic of Kazakhstan

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

Report on the purchase (sale) of foreign currency by the bank and its clients

Index of the administrative data form: 2-INV

Periodicity: monthly

Reporting period: as of "____" __20

Circle of persons submitting information: second-tier banks, joint-stock company "Development Bank of Kazakhstan", joint-stock company "Kazpost" (hereinafter – banks)

Deadline for submission: monthly by the 15th day (inclusive) of the month following the reporting month

Form

Section 1. Operations of the bank

No.	Name of indicator	Line code	Total thousand (tenge)	Of which by types of currency (in thousands of currency units)
USD	EUR	RUB	CNY
A	B	C	1	2	3	4	5
1	Purchase of foreign currency by the bank	110000
2	including:
3	from clients of the bank	110001
4	on the Kazakhstan Stock Exchange	110002
5	on the interbank market	110003
6	Sale of foreign currency by the bank	120000
7	including:
8	to clients of the bank	120001
9	on the Kazakhstan Stock Exchange	120002
10	on the interbank market	120003

Section 2. Operations of clients of the bank

in thousands of tenge

No.	Name of indicator	Line code	Total	including:
for tenge		for another foreign currency
by clients of the bank
residents	non-residents	residents	non-residents
A	B	C	1	2	3	4	5
1	Purchase of foreign currency by clients of the bank	210000
2	including:
3	by individuals	211000
4	of which credited to clients' own bank accounts in foreign currency	211400
5	by legal entities	212000
6	of which credited to clients' own bank accounts in foreign currency	212400
7	including for the purposes of:
8	conducting exchange operations with cash foreign currency (authorized organizations)	212410			X		X
9	making payments and money transfers	212420
10	including by operations:
11	purchase of goods and intangible assets	212421
12	receipt of services	212422
13	payment of dividends and other income on participation in capital	212423
14	provision (issuance) of loans	212424
15	fulfillment of obligations on loans	212425
16	operations with securities	212426
17	other	212427
18	placement in savings deposits in resident banks	212430
19	transfer of own funds to accounts in non-resident banks	212440
20	Sale of foreign currency by clients of the bank	220000
21	including:
22	by individuals	221000
23	of which credited to clients' own bank accounts in national currency	221400				X	X
24	by legal entities	222000
25	of which credited to clients' own bank accounts in national currency	222400				X	X

Name ______ Address______

Telephone ______

Email address ______

Executor ______ ______

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

Chief accountant or person authorized to sign the report ______ ______

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

First head or person authorized to sign the report

---

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

Date of signing the report "__" ______ 20_

Appendix

to the form of the report on the purchase (sale)

of foreign currency by the bank

and its clients

Explanation on filling out the form of administrative data

Report on the purchase (sale) of foreign currency by a bank and its clients

(index – 2-INV, frequency – monthly)

Chapter 1. General provisions

1. This explanation defines the uniform requirements for completing the form intended for the collection of administrative data, "Report on the purchase (sale) of foreign currency by a bank and its clients" (hereinafter – Form 2).

2. Form 2 has been developed in accordance with part three of paragraph 5 of article 10 of the Law of the Republic of Kazakhstan "On Currency Regulation and Currency Control".

3. In Form 2, a second-tier bank, the joint-stock company "Bank Razvitiya Kazakhstana", the joint-stock company "Kazpochta" (hereinafter – banks) reflect the volumes of purchase and sale of foreign currency (Section 1. "Operations of the bank") and of the bank's clients (Section 2. "Operations of the bank's clients").

4. Form 2 reflects the volumes of purchase and sale of foreign currency, both for tenge and for another currency, with actual delivery of the underlying asset on the value date.

Data in Form 2 are stated in the national currency of the Republic of Kazakhstan – tenge. An amount of less than 500 (five hundred) tenge is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge or more is rounded to 1000 (one thousand) tenge.

For the purposes of forming the report, assets in foreign currency are stated converted at the market exchange rate determined by Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 15 of 25 January 2013 and Order of the Minister of Finance of the Republic of Kazakhstan No. 99 of 22 February 2013 "On the procedure for determining the market exchange rate of currency", registered in the Register of State Registration of Normative Legal Acts under No. 8378, on the value date.

5. Form 2 is signed by the first head or a person authorized to sign the report, the chief accountant or a person authorized to sign the report, and the executor.

Chapter 2. Explanation on completing Form 2

6. Column 1 of Section 1 and Section 2 reflects the total volumes of foreign currency bought or sold in thousands of tenge. Columns 2, 3, 4, 5 of Section 1 reflect, respectively, the volumes of US dollars (USD), euros (EUR), Russian rubles (RUB) and Chinese yuan (CNY) bought and sold in thousands of units of the respective currency. To complete Form 2, data from the bank's journal of registration of transactions with cash and non-cash foreign currency (blotter) are used.

7. Rows with codes 110000 and 120000 of Section 1 include information on exchange transactions with the bank's clients (except transactions with individuals through the bank's exchange offices) and transactions effected on the Kazakhstan Stock Exchange and the interbank market.

8. In Section 2, data are reflected by breakdown of transactions of purchase (sale) of foreign currency for tenge and for another foreign currency, as well as transactions carried out by resident clients and non-resident clients.

Section 2 does not include transactions of individuals for the purchase (sale) of foreign currency through the bank's exchange offices.

9. When completing Form 2, the following conditions are ensured:

row with code 110000 > = rows with code 110001 + row with code 110002 + row with code 110003;

row with code 120000 > = rows with code 120001 + row with code 120002 + row with code 120003;

in Section 2, column 1 for all rows equals the sum of columns 2, 3, 4, 5;

row with code 210000 = row with code 211000 + row with code 212000;

row with code 211000 > = row with code 211400;

row with code 212000 > = row with code 212400;

row with code 212400 = row with code 212410 + row with code 212420 + row with code 212430 + row with code 212440;

row with code 212420 = row with code 212421 + row with code 212422 + row with code 212423 + row with code 212424 + row with code 212425 + row with code 212426 + row with code 212427;

row with code 220000 = row with code 221000 + row with code 222000;

row with code 221000 > = row with code 221400;

row with code 222000 > = row with code 222400.

When completing Form 2, the following reconciliation of the data of Form 2 and Form 1 is ensured:

row with code 211400 column 2 of Form 2 = row with code 14100 (column 2 + column 3) of Form 1;

row with code 211400 column 3 of Form 2 = row with code 14100 (column 4 + column 5) of Form 1;

row with code 212400 column 2 of Form 2 = row with code 14200 (column 2 + column 3) of Form 1;

row with code 212400 column 3 of Form 2 = row with code 14200 (column 4 + column 5) of Form 1;

row with code 221400 column 2 of Form 2 = row with code 24100 (column 2 + column 3) of Form 1;

row with code 221400 column 3 of Form 2 = row with code 24100 (column 4 + column 5) of Form 1;

row with code 222400 column 2 of Form 2 = row with code 24200 (column 2 + column 3) of Form 1;

row with code 222400 column 3 of Form 2 = row with code 24200 (column 4 + column 5) of Form 1.

10. Adjustments (changes, additions) of data in Form 2 are made within 2 (two) months after the deadline established for submitting Form 2.

11. In the absence of information for the reporting period, Form 2 is submitted with zero values.

Appendix 3

to the Rules for monitoring sources

of demand and supply in the domestic

foreign exchange market of the Republic of Kazakhstan

Form intended for the collection of administrative data

Submitted to: the National Bank of the Republic of Kazakhstan

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

Report on the movement of money on clients' bank accounts in foreign currency

Index of the administrative data form: 3-INV

Frequency: monthly

Reporting period: as of "____" __20

Circle of persons submitting information: second-tier banks, the joint-stock company "Bank Razvitiya Kazakhstana", the joint-stock company "Kazpochta"

Deadline for submission: monthly by the 15th (inclusive) of the month following the reporting month

Form

in thousands of units

of the bank account currency

No.	No.	Row code	Total			1			…
Name of client
Business identification number (BIN) of client
Name of indicator \Currency of bank account	USD	EUR	RUB	USD	EUR	RUB	USD	EUR	RUB
А	Б	В	1	2	3	4	5	6	7	8	9
1	Balance at the beginning of the period	100000
2	Receipts to clients' bank accounts in foreign currency, total	210000
3	including from:
4	residents	211000
5	including for transactions:
6	sale of goods and intangible assets	211110
7	provision of services	211120
8	receipt of the principal amount of debt and income on loans issued	211130
9	attraction of loans from resident banks	211140
10	transactions with securities, bills and contributions ensuring participation in capital:	211150
11	other money transfers	211160
12	non-residents	212000
13	including for transactions:
14	sale of goods and intangible assets	212110
15	provision of services	212120
16	receipt of the principal amount of debt and income on loans issued	212130
17	attraction of loans	212140
18	transactions with securities, bills and contributions ensuring participation in capital:	212150
19	other money transfers	212160
20	transfers by clients of money from their bank accounts	210300
21	of which opened in:
22	resident banks	210301
23	non-resident banks	210302
24	purchase of foreign currency for tenge	210400
25	crediting of cash foreign currency to one's bank accounts	210500
26	Withdrawal of money from clients' bank accounts in foreign currency, total	220000
27	including in favour of:
28	residents	221000
29	including for transactions:
30	purchase of goods and intangible assets	221110
31	receipt of services	221120
32	issuance of loans	221130
33	fulfilment of obligations on loans attracted from resident banks	221140
34	transactions with securities, bills and contributions ensuring participation in capital:	221150
35	other money transfers	221160
36	non-residents	222000
37	including for transactions:
38	purchase of goods and intangible assets	222110
39	receipt of services	222120
40	issuance of loans	222130
41	fulfilment of obligations on loans	222140
42	transactions with securities, bills and contributions ensuring participation in capital:	222150
43	other money transfers	222160
44	transfers by clients of money to their bank accounts	220300
45	of which opened in:
46	resident banks	220301
47	non-resident banks	220302
48	sale of foreign currency for tenge	220400
49	withdrawal of cash foreign currency from one's bank accounts	220500
50	Balance at the end of the period	300000
51	Purchase of foreign currency (including for another foreign currency), total	410400
52	including for making payments and transfers in favour of non-residents	412400
53	Sale of foreign currency (including for another foreign currency), total	420400

Name ______ Address______

Telephone ______

Email address ______

Executor ______ ______

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

Chief accountant or person authorized to sign the report ______ ______

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

First head or person authorized to sign the report

---

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

Date of signing the report "__" ______ 20_

Appendix

to the form of the report on the movement of money on

clients' bank accounts

in foreign currency

Explanation on completing the administrative data form

Report on the movement of money on clients' bank accounts in foreign currency

(index – 3-INV, frequency – monthly)

Chapter 1. General provisions

1. This explanation defines the uniform requirements for completing the form intended for the collection of administrative data, "Report on the movement of money on clients' bank accounts in foreign currency" (hereinafter – Form 3).

2. Form 3 has been developed in accordance with part three of paragraph 5 of article 10 of the Law of the Republic of Kazakhstan "On Currency Regulation and Currency Control".

3. Form 3 is drawn up by a second-tier bank, the joint-stock company "Bank Razvitiya Kazakhstana", the joint-stock company "Kazpochta" (hereinafter – banks) for transactions of the bank's clients, the list of which is formed and updated by the National Bank of the Republic of Kazakhstan (hereinafter – the National Bank), based on the volume of currency transactions performed by them (hereinafter – the List of clients).

The List of clients includes legal entities of the Republic of Kazakhstan, as well as branches and representative offices of non-resident legal entities carrying out activities in the territory of the Republic of Kazakhstan, whose transactions ensure the main volumes of supply of foreign currency or demand for foreign currency in the domestic foreign exchange market.

The List of clients is updated by the National Bank and, as it is updated, is brought to the bank's attention in writing.

4. Form 3 is signed by the first head or a person authorized to sign the report, the chief accountant or a person authorized to sign the report, and the executor.

Chapter 2. Explanation on completing Form 3

5. Form 3 is completed for each client of the bank included in the List of clients. Form 3 reflects the general state of the bank's clients' bank accounts in foreign currency: balances at the beginning and end of the period, with identification of changes during the reporting period resulting from transactions on the bank's clients' bank accounts opened in the following currencies: US dollars, euros, Russian rubles. Data are filled in in thousands of units of the bank account currency. For data in thousands of units, an amount of less than 500 (five hundred) units is rounded to 0 (zero), and an amount equal to 500 (five hundred) units or more is rounded to 1000 (one thousand) units.

6. When completing Form 3, in the event the bank makes a payment (transfer) of a client in a currency different from the bank account currency, the payment (transfer) is reflected with its true purpose, and not as a currency conversion.

7. When completing Form 3, the following conditions are ensured:

for all rows of the table, columns 1, 2, 3 equal the sums of values for all clients for the respective bank account currency;

row with code 100000 = row with code 300000 for the previous reporting period;

row with code 300000 = row with code 100000 + (row with code 210000 - row with code 210400) + row with code 410400 - (row with code 220000 - row with code 220400) - row with code 420400;

row with code 210000 = row with code 211000 + row with code 212000 + row with code 210300 + row with code 210400 + row with code 210500;

row with code 211000 = row with code 211110 + row with code 211120 + row with code 211130 + row with code 211140 + row with code 211150 + row with code 211160;

in row with code 211140, transactions for attracting loans from resident banks also include loans attracted from the bank submitting the report;

row with code 212000 = row with code 212110 + row with code 212120 + row with code 212130 + row with code 212140 + row with code 212150 + row with code 212160;

row with code 210300 = row with code 210301 + row with code 210302;

in row with code 210301, transfers by clients of money from their bank accounts opened in resident banks also include transfers by clients of money from a bank account opened in the bank submitting the report (intra-bank transfers);

row with code 220000 = row with code 221000 + row with code 222000 + row with code 220300 + row with code 220400 + row with code 220500;

row with code 221000 = row with code 221110 + row with code 221120 + row with code 221130 + row with code 221140 + row with code 221150 + row with code 221160;

in row with code 221140, transactions for fulfilling obligations on loans attracted from resident banks also include transactions for fulfilling obligations on loans attracted from the bank submitting the report;

row with code 222000 = row with code 222110 + row with code 222120 + row with code 222130 + row with code 222140 + row with code 222150 + row with code 222160;

row with code 220300 = row with code 220301 + row with code 220302;

in row with code 220301, transfers by clients of money to their bank accounts opened in resident banks also include transfers by clients of money to their bank account opened in the bank submitting the report (intra-bank transfers);

row with code 410400 > = row with code 412400.

8. Adjustments (changes, additions) of data in Form 3 are made within 2 (two) months after the deadline established for submitting Form 3.

9. In the absence of information for the reporting period, Form 3 is submitted with zero values.

Appendix 4

to the Rules for monitoring sources

of demand and supply in the domestic

foreign exchange market of the Republic of Kazakhstan

Form intended for the collection of administrative data

Submitted to: the National Bank of the Republic of Kazakhstan

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

Report on transactions of the bank's clients with large volumes of purchase of foreign currency

Index of the administrative data form: 4-INV

Frequency: monthly

Reporting period: as of "____" __20

Circle of persons submitting information: second-tier banks, the joint-stock company "Bank Razvitiya Kazakhstana", the joint-stock company "Kazpochta"

Deadline for submission: monthly by the 15th (inclusive) of the month following the reporting month

Form

No.	Name of client	Row code	Total
Business identification number (BIN) of client	Total (thousands of tenge)	of which by types of currency (in thousands of units of currency)
Name of indicator	USD	EUR	RUB	CNY
А	Б	В	1	2	3	4	5
Section 1. Purchase and sale of foreign currency (all types of currency)
1	Purchase of foreign currency, total	212100
2	including:
3	credited to a current account in foreign currency	212101
4	credited to a savings account in foreign currency	212102
5	transferred to own accounts in other resident banks	212103
6	transferred in favour of other persons to accounts in resident banks	212104
7	transferred in favour of other persons to accounts in non-resident banks	212105
8	transferred to own accounts in non-resident banks	212106
9	issued in cash	212107
10	Sale of foreign currency, total	222100
11	including:
12	for another foreign currency	222120
13	for tenge	222110
14	of which credited to bank accounts in the national currency	222111
Section 2. Purposes of purchasing foreign currency for the national currency
15	Purchase of foreign currency for tenge, total	121100
16	including for the purposes of:
17	purchase of goods and intangible assets	121101
18	receipt of services	121102
19	payment of dividends and other income on participation in capital	121103
20	provision (issuance) of loans	121104
21	fulfilment of obligations on loans	121105
22	transactions with securities	121106
23	gratuitous financial (material) assistance and other gratuitous transfers	121107
24	placement in savings deposits in resident banks	121108
25	transfer of own funds to accounts in non-resident banks	121109
26	conduct of exchange transactions with cash foreign currency (authorized organizations)	121110
27	other	121111

continuation of the table

1					…
Total (thousands of tenge)	of which by types of currency (in thousands of units of currency)				Total (thousands of tenge)	of which by types of currency (in thousands of units of currency)
USD	EUR	RUB	CNY	USD	EUR	RUB	CNY
1	2	3	4	5	1	2	3	4	5
Section 1. Purchase and sale of foreign currency (all types of currency)
Section 2. Purposes of purchasing foreign currency for the national currency

Name ______ Address______

Telephone ______

Email address ______

Executor ______ ______

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

Chief accountant or person authorized to sign the report ______ ______

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

First head or person authorized to sign the report

---

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

Date of signing the report "__" ______ 20_

Appendix

to the form of the report on transactions of

the bank's clients with large volumes of

purchase of foreign currency

Explanation on completing the administrative data form

Report on transactions of the bank's clients with large volumes of purchase of foreign currency

(index – 4-INV, frequency – monthly)

Chapter 1. General provisions

1. This explanation defines the uniform requirements for completing the form intended for the collection of administrative data, "Report on transactions of the bank's clients with large volumes of purchase of foreign currency" (hereinafter – Form 4).

2. Form 4 has been developed in accordance with part three of paragraph 5 of article 10 of the Law of the Republic of Kazakhstan "On Currency Regulation and Currency Control".

3. Form 4 is drawn up monthly by second-tier banks, the joint-stock company "Bank Razvitiya Kazakhstana", the joint-stock company "Kazpochta" (hereinafter – banks) for transactions of resident and non-resident legal entities that made a purchase of foreign currency during the reporting period for a total amount exceeding one billion tenge in equivalent.

4. Form 4 is completed for each client of the bank and reflects the volumes of purchase and sale of foreign currency by the client for the national currency and another foreign currency (Section 1) and the volumes of purchase of foreign currency for the national currency by breakdown of acquisition purposes (Section 2).

5. In Form 4, the volumes of purchase and sale of foreign currency are reflected based on the actual delivery of foreign currency on the value date.

For the purposes of forming the report, assets in foreign currency are stated converted at the market exchange rate determined by Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 15 of 25 January 2013 and Order of the Minister of Finance of the Republic of Kazakhstan No. 99 of 22 February 2013 "On the Procedure for Determining the Market Exchange Rate of Currency", registered in the Register of State Registration of Normative Legal Acts under No. 8378, on the value date.

For data in thousands of units, an amount less than 500 (five hundred) units is rounded to 0 (zero), and an amount equal to 500 (five hundred) or more units is rounded to 1000 (one thousand) units.

6. Form 4 is signed by the first head or a person authorized to sign the report, the chief accountant or a person authorized to sign the report, and the executor.

Chapter 2. Explanation on completing Form 4

7. Column 1 of Section 1 and Section 2 reflects the total volumes of foreign currency purchased or sold in thousands of tenge. Columns 2, 3, 4, 5 of Section 1 and Section 2 reflect, respectively, the volumes of US dollars (USD), euros (EUR), Russian rubles (RUB) and Chinese yuan (CNY) purchased and sold in thousands of units of the respective currency.

In Section 2, the purposes of purchasing foreign currency for tenge are indicated on the basis of applications for the acquisition of foreign currency for national currency executed by the client.

When completing Form 4, the following conditions must be met:

line with code 212100 = line with code 212101 + line with code 212102 + line with code 212103 + line with code 212104 + line with code 212105 + line with code 212106 + line with code 212107;

line with code 222100 = line with code 222120 + line with code 222110;

line with code 222110 > = line with code 222111;

line with code 212100 > = line with code 121100;

line with code 121100 = line with code 121101 + line with code 121102 + line with code 121103 + line with code 121104 + line with code 121105 + line with code 121106 + line with code 121107 + line with code 121108 + line with code 121109 + line with code 121110 + line with code 121111.

Line with code 212104 also includes transfers to bank accounts of other persons at the bank submitting the report.

8. Adjustments (changes, additions) to the data in Form 4 are made within 2 (two) months after the deadline established for submitting Form 4.

9. In the absence of information for the reporting period, Form 4 is submitted with zero values.

Annex 5

to the Rules for Monitoring Sources

of Demand and Supply in the Domestic

Foreign Exchange Market of the Republic of Kazakhstan

Form intended for the collection of administrative data

Submitted to: the National Bank of the Republic of Kazakhstan

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

Report on the purchase (sale) of foreign currency by a professional participant of the securities market holding a licence for currency exchange operations with foreign currency, not being a bank

Index of the administrative data form: 5-INV

Frequency: monthly

Reporting period: as of "____" __20

Circle of persons submitting information: professional participants of the securities market holding a licence for currency exchange operations with foreign currency, not being banks (hereinafter – professional participant)

Deadline for submission: monthly by the 15th (inclusive) of the month following the reporting month

Form

Section 1. Operations of the professional participant

No.	Name of indicator	Line code	Total thousands (tenge)	Including by types of currency (in thousands of units of currency)
USD	EUR	RUB	CNY
A	B	C	1	2	3	4	5
1	Purchase of foreign currency by the professional participant on client orders	111
2	Sale of foreign currency by the professional participant on client orders	112
3	Maximum volume of purchase of foreign currency by one client per day	120

Section 2. Number of clients who carried out operations with foreign currency

No.	Name of indicator	Line code	Number of clients who carried out operations by types of currency
USD	EUR	RUB	CNY
A	B	C	1	2	3	4
1	number of clients who purchased foreign currency	210
2	number of clients who sold foreign currency	220

Name ______ Address______

Telephone ______

Email address ______

Executor ______ ______

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

Chief accountant or person authorized to sign the report ______ ______

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

First head or person authorized to sign the report

---

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

Date of signing the report "__" ______ 20_

Annex

to the form of the report on the purchase (sale)

of foreign currency

by a professional participant

of the securities market holding a licence

for currency exchange operations with

foreign currency, not being a bank

Explanation on completing the administrative data form

Report on the purchase (sale) of foreign currency by a professional participant of the securities market holding a licence for currency exchange operations with foreign currency, not being a bank

(index – 5-INV, frequency – monthly)

Chapter 1. General provisions

1. This explanation defines uniform requirements for completing the form intended for the collection of administrative data "Report on the purchase (sale) of foreign currency by a professional participant of the securities market holding a licence for currency exchange operations with foreign currency, not being a bank" (hereinafter – Form 5).

2. Form 5 was developed in accordance with part three of paragraph 5 of article 10 of the Law of the Republic of Kazakhstan "On Currency Regulation and Currency Control".

3. In Form 5, the professional participant holding a licence for currency exchange operations with foreign currency, not being a bank (hereinafter – professional participant) reflects the volumes of purchase and sale of foreign currency (Section 1. "Operations of the professional participant"), and the number of clients who carried out operations of purchase and sale of foreign currency (Section 2. "Number of clients who carried out operations with foreign currency").

4. Form 5 reflects the volumes of purchase and sale of foreign currency, both for tenge and for another currency, with actual delivery of the underlying asset on the value date.

Data in Form 5 are indicated in the national currency of the Republic of Kazakhstan – tenge. An amount less than 500 (five hundred) tenge is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (one thousand) tenge.

For the purposes of forming the report, assets in foreign currency are stated converted at the market exchange rate determined by Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 15 of 25 January 2013 and Order of the Minister of Finance of the Republic of Kazakhstan No. 99 of 22 February 2013 "On the Procedure for Determining the Market Exchange Rate of Currency", registered in the Register of State Registration of Normative Legal Acts under No. 8378, on the value date.

5. Form 5 is signed by the first head or a person authorized to sign the report, the chief accountant or a person authorized to sign the report, and the executor.

Chapter 2. Explanation on completing Form 5

6. Column 1 of Section 1 reflects the total volumes of foreign currency purchased or sold in thousands of tenge. Columns 2, 3, 4 and 5 of Section 1 reflect, respectively, the volumes of US dollars (USD), euros (EUR), Russian rubles (RUB) and Chinese yuan (CNY) purchased and sold in thousands of units of the respective currency.

7. Lines with codes 111 and 112 of Section 1 include information on the exchange operations of the professional participant on client orders on the Kazakhstan Stock Exchange.

8. Line with code 120 of Section 1 reflects the maximum volume of foreign currency purchased by the professional participant on behalf of one client during one operating day for each type of currency.

9. Section 2 reflects data on the number of clients of the professional participant who purchased and sold foreign currency, by types of currency.

10. Adjustments (changes, additions) to the data in Form 5 are made within 2 (two) months after the deadline established for submitting Form 5.

11. In the absence of information for the reporting period, Form 5 is submitted with zero values.

Annex 6

to the Rules for Monitoring Sources

of Demand and Supply in the Domestic

Foreign Exchange Market of the Republic of Kazakhstan

Form intended for the collection of administrative data

Submitted to: the National Bank of the Republic of Kazakhstan

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

Report on the movement of cash foreign currency

Index of the administrative data form: 16-PB

Frequency: monthly

Reporting period: as of "____" __20

Circle of persons submitting information: second-tier banks, joint-stock company "Development Bank of Kazakhstan", joint-stock company "Kazpost" (hereinafter – banks)

Deadline for submission: monthly by the 15th (inclusive) of the month following the reporting month

Form

in thousands of units of currency

No.	Name of indicator	Line code	US dollar	Euro	Russian ruble	…
A	B	C	1	2	3	…
1	Balance of cash foreign currency at the beginning of the period	100
2	Receipt of cash foreign currency, total	200
3	including:
4	imported by the bank into Kazakhstan	210
5	operations with resident banks and the National Bank	220
6	operations with non-resident banks	225
7	receipt from non-bank resident legal entities for crediting to currency accounts	230
8	receipt from non-bank non-resident legal entities for crediting to currency accounts	240
9	purchased from authorized organizations	245
10	purchased from individuals through the bank's exchange offices	250
11	accepted from resident individuals for crediting to currency accounts	260
12	accepted from non-resident individuals for crediting to currency accounts	270
13	accepted from resident individuals for a one-time transfer without opening and (or) using a bank account	280
14	accepted from non-resident individuals for a one-time transfer without opening and (or) using a bank account	300
15	accepted from the sale of traveller's cheques to individuals	311
16	other receipts	320
17	Cash foreign currency expended, total	400
18	including:
19	exported by the bank from Kazakhstan	410
20	operations with resident banks and the National Bank	420
21	operations with non-resident banks	425
22	issued to non-bank resident legal entities from currency accounts	430
23	issued to non-resident legal entities from currency accounts	440
24	sold to authorized organizations	445
25	sold to individuals through the bank's exchange offices	450
26	issued to resident individuals from currency accounts	460
27	issued to non-resident individuals from currency accounts	470
28	issued to resident individuals for a one-time transfer without opening and (or) using a bank account	480
29	issued to non-resident individuals for a one-time transfer without opening and (or) using a bank account	500
30	issued to individuals upon redemption (acceptance) of traveller's cheques	511
31	other expenditures	520
32	Balance of cash foreign currency at the end of the period	600

Name ______ Address______

Telephone ______

Email address ______

Executor ______ ______

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

Chief accountant or person authorized to sign the report ______ ______

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

First head or person authorized to sign the report

---

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

Date of signing the report "__" ______ 20_

Annex

to the form of the report on the movement

of cash foreign currency

Explanation on completing the administrative data form

Report on the movement of cash foreign currency

(index – 16-PB**, frequency – monthly)**

Chapter 1. General provisions

1. This explanation defines uniform requirements for completing the form intended for the collection of administrative data "Report on the movement of cash foreign currency" (hereinafter – Form 16-PB).

2. Form 16-PB was developed in accordance with part three of paragraph 5 of article 10 of the Law of the Republic of Kazakhstan "On Currency Regulation and Currency Control".

3. In Form 16-PB, indicators are reflected by second-tier banks, joint-stock company "Development Bank of Kazakhstan", joint-stock company "Kazpost" (hereinafter – banks) by those types of foreign currencies in which operations were carried out in the reporting period or there are balances of cash foreign currency at the beginning or end of the reporting period.

4. Data are indicated in thousands of units of currency with accuracy to the unit. For data in thousands of units, an amount less than 500 (five hundred) units is rounded to 0 (zero), and an amount equal to 500 (five hundred) or more units is rounded to 1000 (one thousand) units.

5. Form 16-PB is signed by the first head or a person authorized to sign the report, the chief accountant or a person authorized to sign the report, and the executor.

Chapter 2. Explanation on completing Form 16-PB

6. Lines with codes 220 and 420 "Operations with resident banks and the National Bank" reflect operations for the purchase and sale, as well as withdrawal from bank accounts and crediting to bank accounts of cash foreign currency.

7. Lines with codes 225 and 425 "Operations with non-resident banks" reflect operations for the purchase and sale, as well as withdrawal from bank accounts and crediting to bank accounts of cash foreign currency, except for operations that are included in lines with codes 210 or 410.

8. When completing Form 16-PB, the following conditions must be met:

for each column of Form 16-PB:

line with code 100 = line with code 600 of the report for the previous period;

line with code 200 = line with code 210 + line with code 220 + line with code 225 + line with code 230 + line with code 240 + line with code 254 + line with code 250 + line with code 260 + line with code 270 + line with code 280 + line with code 300 + line with code 311 + line with code 320;

line with code 400 = line with code 410 + line with code 420 + line with code 425 + line with code 430 + line with code 440 + line with code 445 + line with code 450 + line with code 460 + line with code 470 + line with code 480 + line with code 500 + line with code 511 + line with code 520;

line with code 600 = line with code 100 + line with code 200 - line with code 400.

9. Adjustments (changes, additions) to the data in Form 16-PB are made within 2 (two) months after the deadline established for submitting Form 16-PB.

10. In the absence in the reporting period of operations and (or) balances of cash foreign currency at the beginning or end of the period, Form 16-PB is not submitted.

11. Line 320 "Other receipts" and line 520 "Other expenditures" must be equal. In case of inequality of the specified lines, a covering document must be attached.

12. If the difference during control with the balance (700-N) is more than 500 (five hundred) dollars (in equivalent), a calculation of the difference arising during rounding must be attached.

Annex

to the Resolution of the Board

of the National Bank

of the Republic of Kazakhstan

No. 294 of 29 November 2018

List of certain resolutions of the Board of the National Bank of the Republic of Kazakhstan, as well as structural elements of certain resolutions of the Board of the National Bank of the Republic of Kazakhstan, recognized as no longer in force

1. Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 221 of 27 July 2012 "On approval of the Instruction on monitoring sources of demand and supply, as well as directions of use of foreign currency in the domestic foreign exchange market" (registered in the Register of State Registration of Normative Legal Acts under No. 7913, published on 17 October 2012 in the newspaper "Kazakhstanskaya Pravda" No. 356-357 (27175-27176)).

2. Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 33 of 16 March 2015 "On introducing changes and additions to Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 221 of 27 July 2012 "On approval of the Instruction on monitoring sources of demand and supply, as well as directions of use of foreign currency in the domestic foreign exchange market" (registered in the Register of State Registration of Normative Legal Acts under No. 10775, published on 30 April 2015 in the information-legal system "Adilet").

3. Paragraph 2 of the List of resolutions of the Board of the National Bank of the Republic of Kazakhstan to which changes and additions are made on issues of payments and payment systems, approved by Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 248 of 22 December 2017 "On introducing changes and additions to certain resolutions of the Board of the National Bank of the Republic of Kazakhstan on issues of payments and payment systems" (registered in the Register of State Registration of Normative Legal Acts under No. 16446, published on 13 March 2018 in the Reference Control Bank of Normative Legal Acts of the Republic of Kazakhstan).

4. Paragraph 1 of Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 33 of 26 February 2018 "On introducing changes and additions to certain normative legal acts of the Republic of Kazakhstan on issues of regulation of the financial market" (registered in the Register of State Registration of Normative Legal Acts under No. 16700, published on 12 April 2018 in the Reference Control Bank of Normative Legal Acts of the Republic of Kazakhstan.