Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 34 dated March 19, 2020 on Amendments to Regulatory Acts Regarding Reporting Submission and Suspension of Certain Structural Elements

Registered in the Ministry of Justice of the Republic of Kazakhstan on March 26, 2020 under No. 20168

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«ҚАЗАҚСТАН РЕСПУБЛИКАСЫНЫҢ		РЕСПУБЛИКАНСКОЕ
ҰЛТТЫҚ БАНКІ»		ГОСУДАРСТВЕННОЕ УЧРЕЖДЕНИЕ
РЕСПУБЛИКАЛЫҚ		«НАЦИОНАЛЬНЫЙ БАНК
МЕМЛЕКЕТТІК МЕКЕМЕСІ		РЕСПУБЛИКИ КАЗАХСТАН»
БАСҚАРМАСЫНЫҢ		ПОСТАНОВЛЕНИЕ
ҚАУЛЫСЫ		ПРАВЛЕНИЯ
19 марта 2020 года		№ 34
Алматы қаласы		город Алматы

On Amendments and Additions to Certain Regulatory Legal Acts of the Republic of Kazakhstan Regarding the Submission of Reporting and Suspension of the Effectiveness of Certain Structural Elements of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 28, 2017 No. 167 "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 dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan", dated December 18, 2000 "On Insurance Activity", dated July 2, 2003 "On the Securities Market", dated March 19, 2010 "On State Statistics", dated June 21, 2013 "On Pension Provision in the Republic of Kazakhstan" and for the purpose of improving the regulatory legal acts of the Republic of Kazakhstan, the Board of the National Bank of the Republic of Kazakhstan RESOLVES:

1. Approve the List of Regulatory Legal Acts of the Republic of Kazakhstan to which amendments and additions are made regarding the submission of reporting, according to the appendix to this Resolution (hereinafter – the List).

2. Suspend until January 1, 2023, the effectiveness of sub-items 6) and 10) of paragraph 1 of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 28, 2017 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 Registry of State Registration of Regulatory Legal Acts under No. 15863, published on October 20, 2017 in the Reference Control Bank of Regulatory Legal Acts of the Republic of Kazakhstan).

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

1. together with the Legal Department, the state registration of this Resolution in the Ministry of Justice of the Republic of Kazakhstan;
2. placement of this Resolution on the official Internet resource of the National Bank of the Republic of Kazakhstan after its official publication;
3. within ten working days after the state registration of this Resolution, submission to the Legal Department of information on the implementation of measures provided for in sub-item 2) of this paragraph and paragraph 4 of this Resolution.

4. The Department of Information and Communications – Press Service of the National Bank shall ensure, within ten calendar days after the state registration of this Resolution, sending a copy of it for official publication in periodic printed editions.

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

6. This Resolution[1] shall enter into force upon the expiration of ten calendar days after the day of its first official publication, except for paragraphs six and fifteen of item 3 of the List, which shall enter into force from January 1, 2023.

Chairman
of the National Bank	E. Dosayev
Correct:
Chief Specialist	M. Saитova

Appendix
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated "19" March 2020 No. 34

List of Regulatory Legal Acts of the Republic of Kazakhstan to which Amendments and Additions Are Made Regarding the Submission of Reporting

1. Make the following amendments to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated May 8, 2015 No. 75 "On Approval of the List, Forms, Deadlines for Reporting on Compliance by Second-Level Banks of Prudential Standards and Rules for Their Submission" (registered in the Registry of State Registration of Regulatory Legal Acts under No. 11162, published on June 2, 2015 in the informational legal system "Adilet"):

rephrase the preamble as follows:
"In accordance with the Laws of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan" and dated March 19, 2010 "On State Statistics", the Board of the National Bank of the Republic of Kazakhstan RESOLVES:";

rephrase subparagraph 15) of paragraph 1 as follows:
"15) the form of the report on the breakdown of the capitalization coefficient of banks to liabilities to non-residents of the Republic of Kazakhstan according to Appendix 16 to this resolution;";

rephrase Appendices 1, 2, 3, 4, 5, 6, 7, 8, 10, 11, 12, 13, 14, 15, 16, 17, 18, 19, 20, 20-1, 20-2 and 21 in the edition according to Appendices 1, 2, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16, 17, 18, 19, 20, 21 and 22 to the List of Regulatory Legal Acts of the Republic of Kazakhstan, which are amended and supplemented regarding reporting submission (hereinafter – the List).

2. Make the following amendments to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 26, 2016 No. 315 "On Approval of the List, Forms, Deadlines for Reporting by Large Participants of Second-Level Banks, Banking Holding Companies, Large Participants of Insurance (Reinsurance) Organizations, Insurance Holding Companies, Large Participants of Investment Portfolio Managers, Large Participants Owning (Having the Right to Vote) Twenty-Five or More Percent of Voting Shares of Investment Portfolio Managers, and Rules for Their Submission" (registered in the Registry of State Registration of Regulatory Legal Acts under No. 14832, published on March 13, 2017 in the Reference Control Bank of Regulatory Legal Acts of the Republic of Kazakhstan):

rephrase the title as follows:
"On Approval of the List, Forms, Deadlines for Reporting by Large Participants of Second-Level Banks, Banking Holding Companies, Large Participants of Insurance (Reinsurance) Organizations, Insurance Holding Companies, Large Participants of Investment Portfolio Managers, Second-Level Banks and Rules for Their Submission";

rephrase the preamble as follows:
"In accordance with the Laws of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan", dated December 18, 2000 "On Insurance Activity", dated July 2, 2003 "On the Securities Market" and dated March 19, 2010 "On State Statistics", the Board of the National Bank of the Republic of Kazakhstan RESOLVES:";

rephrase paragraphs 1 and 2 as follows:
"1. Approve:

1. the list of reporting by large participants of second-level banks, banking holding companies, large participants of insurance (reinsurance) organizations, insurance holding companies, large participants of investment portfolio managers, second-level banks according to Appendix 1 to this resolution;
2. the form of information on income and property of a large participant of a second-level bank, insurance (reinsurance) organization, investment portfolio manager being an individual according to Appendix 2 to this resolution;
3. the form of information on a large participant of a second-level bank, insurance (reinsurance) organization, investment portfolio manager being an individual according to Appendix 3 to this resolution;
4. the form of information on officials of a large participant of a second-level bank, insurance (reinsurance) organization being a legal entity, banking holding company, insurance holding company according to Appendix 4 to this resolution;
5. the form of information on organizations in which a large participant of a second-level bank, insurance (reinsurance) organization, investment portfolio manager being a legal entity, banking holding company and insurance holding company is a participant (shareholder), according to Appendix 5 to this resolution;
6. the form of information on large participants (shareholders) of a large participant of a second-level bank, insurance (reinsurance) organization, investment portfolio manager being a legal entity, banking holding company, insurance holding company, as well as information on persons exercising control over a large participant of a second-level bank, insurance (reinsurance) organization, investment portfolio manager being a legal entity, banking holding company, insurance holding company, according to Appendix 6 to this resolution;
7. the form of information on transactions with related, including affiliated persons, concluded during the reporting period, as well as those in effect as of the reporting date, and the register of related, including affiliated persons, according to Appendix 7 to this resolution;
8. the form of the report on the breakdown of working tables for preparing consolidated financial statements according to Appendix 8 to this resolution;
9. the form of consolidated and unconsolidated financial statements and explanatory note thereto according to Appendix 9 to this resolution;
10. the form of information on changes in the quantity and/or percentage ratio of shares of a second-level bank, insurance (reinsurance) organization belonging to a large participant of a second-level bank, insurance (reinsurance) organization being a legal or natural person, banking holding company, insurance holding company, as well as sources of funds used for acquiring shares, according to Appendix 10 to this resolution;
11. the form of information on all liabilities of participants of an insurance group to third parties (group of persons) constituting ten percent or more of the own capital of the insurance group, in effect as of the reporting date, according to Appendix 11 to this resolution;
12. the form of information on intra-group transactions of an insurance group concluded during the reporting period, as well as those in effect as of the reporting date, according to Appendix 12 to this resolution;
13. Rules for submitting reporting by large participants of second-level banks, banking holding companies, large participants of insurance (reinsurance) organizations, insurance holding companies, large participants of investment portfolio managers, second-level banks according to Appendix 13 to this resolution.

2. Large participants of second-level banks, banking holding companies, large participants of insurance (reinsurance) organizations, insurance holding companies, large participants of investment portfolio managers, second-level banks submit the following reporting to the National Bank of the Republic of Kazakhstan in electronic format:

1. a large participant of a second-level bank, insurance (reinsurance) organization, investment portfolio manager being an individual, the reporting provided for in subparagraphs 2) and 3) of paragraph 1 of this resolution, annually, within one hundred twenty calendar days after the end of the financial year;
2. a large participant of a second-level bank being a resident legal entity of the Republic of Kazakhstan, a banking holding company being a resident of the Republic of Kazakhstan, except for second-level banks having the status of a large participant of a second-level bank or banking holding company:
   the reporting provided for in subparagraphs 4), 5) and 7) of paragraph 1 of this resolution, quarterly, no later than thirty calendar days following the reporting quarter; the reporting provided for in subparagraph 6) of paragraph 1 of this resolution, quarterly, no later than the tenth day of the month following the reporting quarter;
3. an insurance holding company being a resident of the Republic of Kazakhstan, except for second-level banks having the status of an insurance holding company, as well as an insurance (reinsurance) organization having the status of an insurance holding company, the reporting provided for in subparagraphs 4), 5), 6) and 7) of paragraph 1 of this resolution, quarterly, no later than thirty calendar days following the reporting quarter;
4. a large participant of an insurance (reinsurance) organization being a resident legal entity of the Republic of Kazakhstan, except for second-level banks having the status of a large participant of an insurance (reinsurance) organization, as well as an insurance (reinsurance) organization having the status of a large participant of an insurance (reinsurance) organization, the reporting provided for in subparagraphs 4), 5), 6), 7) and 9) of paragraph 1 of this resolution, annually, no later than thirty calendar days after the end of the financial year;
5. a large participant of an insurance (reinsurance) organization being a resident legal entity of the Republic of Kazakhstan, in case the insurance (reinsurance) organization does not have an insurance holding company, except for second-level banks having the status of a large participant of an insurance (reinsurance) organization, as well as an insurance (reinsurance) organization having the status of a large participant of an insurance (reinsurance) organization or an insurance holding company, the reporting provided for in subparagraphs 4), 5), 6) and 7) of paragraph 1 of this resolution, quarterly, no later than thirty calendar days following the reporting quarter;
6. a large participant of an investment portfolio manager being a resident legal entity of the Republic of Kazakhstan, except for second-level banks having the status of a large participant of an investment portfolio manager, the reporting provided for in subparagraphs 5), 6) and 7) of paragraph 1 of this resolution, annually, no later than thirty calendar days after the end of the financial year;
7. a large participant being a legal entity owning (having the right to vote) twenty-five or more percent of voting shares of an investment portfolio manager being a resident of the Republic of Kazakhstan, except for second-level banks having the status of a large participant of an investment portfolio manager, the reporting provided for in subparagraphs 5), 6) and 7) of paragraph 1 of this resolution, quarterly, no later than thirty calendar days following the reporting quarter;
8. in case the investment portfolio manager does not have a large participant owning (having the right to vote) twenty-five or more percent of voting shares of the investment portfolio manager, a large participant of an investment portfolio manager being a legal entity and resident of the Republic of Kazakhstan, except for second-level banks having the status of a large participant of an investment portfolio manager, the reporting provided for in subparagraphs 5), 6) and 7) of paragraph 1 of this resolution, quarterly, no later than thirty calendar days following the reporting quarter;
9. a banking holding company, a second-level bank not having a banking holding company included in the composition of a banking conglomerate, an insurance holding company included in the composition of an insurance group, the reporting provided for in subparagraph 8) of paragraph 1 of this resolution:
   quarterly, no later than sixty calendar days following the reporting quarter; anually, within one hundred twenty calendar days after the end of the financial year;
10. a large participant of a second-level bank being a resident legal entity of the Republic of Kazakhstan, a banking holding company, an insurance holding company being residents of the Republic of Kazakhstan, a second-level bank not having a banking holding company included in the composition of a banking conglomerate, the reporting provided for in subparagraph 9) of paragraph 1 of this resolution, in part of consolidated financial statements:
    quarterly, no later than sixty calendar days following the reporting quarter; anually, within one hundred twenty calendar days after the end of the financial year; in part of unconsolidated financial statements:
    quarterly, within thirty calendar days following the reporting quarter; anually, within one hundred twenty calendar days after the end of the financial year;
11. a large participant of an insurance (reinsurance) organization being a legal entity, in case the insurance (reinsurance) organization does not have an insurance holding company, the reporting provided for in subparagraph 9) of paragraph 1 of this resolution, in part of unconsolidated financial statements:
    quarterly, no later than thirty calendar days following the reporting quarter; anually, within one hundred twenty calendar days after the end of the financial year;
12. a large participant of an investment portfolio manager being a resident legal entity of the Republic of Kazakhstan, the reporting provided for in subparagraph 9) of paragraph 1 of this resolution, annually, within one hundred twenty calendar days after the end of the financial year;
13. a large participant being a legal entity owning (having the right to vote) twenty-five or more percent of voting shares of an investment portfolio manager being a resident of the Republic of Kazakhstan, the reporting provided for in subparagraph 9) of paragraph 1 of this resolution, in part of consolidated financial statements:
    quarterly, no later than sixty calendar days following the reporting quarter; anually, within one hundred twenty calendar days after the end of the financial year; in part of unconsolidated financial statements:
    quarterly, no later than thirty calendar days following the reporting quarter; anually, within one hundred twenty calendar days after the end of the financial year;
14. in case the investment portfolio manager does not have a large participant owning (having the right to vote) twenty-five or more percent of voting shares of the investment portfolio manager, a large participant of an investment portfolio manager being a resident legal entity of the Republic of Kazakhstan, the reporting provided for in subparagraph 9) of paragraph 1 of this resolution, in part of consolidated financial statements:
    quarterly, no later than sixty calendar days following the reporting quarter; anually, within one hundred twenty calendar days after the end of the financial year; in part of unconsolidated financial statements:
    quarterly, no later than thirty calendar days following the reporting quarter; anually, within one hundred twenty calendar days after the end of the financial year;
15. a large participant of a second-level bank, insurance (reinsurance) organization being a legal or natural person, a banking holding company, an insurance holding company, the reporting provided for in subparagraph 10) of paragraph 1 of this resolution, within thirty calendar days from the date of adoption of the decision on changing the quantity and/or percentage ratio of shares owned by it;
16. an insurance holding company included in the composition of an insurance group, the reporting provided for in subparagraphs 11) and 12) of paragraph 1 of this resolution, quarterly no later than sixty calendar days following the reporting quarter;
17. a large participant of a second-level bank, insurance (reinsurance) organization, investment portfolio manager being a legal entity, a banking holding company, non-resident insurance holding companies of the Republic of Kazakhstan, annually, within one hundred twenty calendar days after the end of the financial year, consolidated, if available, annual unconsolidated financial statements and explanatory note thereto, certified by an audit organization, in the state or Russian language.
    The explanatory note is prepared in accordance with the requirements of the corresponding supervisory authority of the country of its location;
18. a non-resident banking holding company of the Republic of Kazakhstan, the reporting provided for in subparagraph 6) of paragraph 1 of this resolution, quarterly no later than the tenth day of the month following the reporting quarter.";

rephrase Appendices 1, 2, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12 and 13 in the edition according to Appendices 23, 24, 25, 26, 27, 28, 29, 30, 31, 32, 33, 34 and 35 to the List.

3. Make the following amendments and additions to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 28, 2017 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 Registry of State Registration of Regulatory Legal Acts under No. 15863, published on October 20, 2017 in the Reference Control Bank of Regulatory Legal Acts of the Republic of Kazakhstan):

rephrase the preamble as follows:
"In accordance with the Laws of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", dated March 19, 2010 "On State Statistics" and dated June 21, 2013 "On Pension Provision in the Republic of Kazakhstan", the Board of the National Bank of the Republic of Kazakhstan RESOLVES:";

supplement paragraph 1 with subparagraphs 20-1) and 20-2) of the following content:
"20-1) the form of the report on the cost of one conditional unit of pension assets formed due to mandatory pension contributions, mandatory professional pension contributions and voluntary pension contributions according to Appendix 20-1 to this resolution; 20-2) the form of the report on the cost of one conditional unit of conditional pension obligations according to Appendix 20-2 to this resolution;";

rephrase subparagraph 2) of paragraph 2 as follows:
"2) monthly:
the 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; the reporting provided for in subparagraphs 3), 5), 6), 7), 8), 9), 10), 11), 12), 13), 14), 15), 16), 17), 18), 19), 20-1) and 20-2) of paragraph 1 of this resolution, no later than the seventh working day of the month following the reporting month;";

rephrase the third paragraph of paragraph 7 as follows:
"subparagraph 14) of paragraph 1 of this resolution, which enters into force on January 1, 2028.";

rephrase Appendices 1, 2, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12, 13, 14, 15, 16, 17, 18, 19, 20 in the edition according to Appendices 36, 37, 38, 39, 40, 41, 42, 43, 44, 45, 46, 47, 48, 49, 50, 51, 52, 53, 54 and 55 to the List;

supplement with Appendix 20-1 in the edition according to Appendix 56 to the List; supplement with Appendix 20-2 in the edition according to Appendix 57 to the List;

in Appendix 21:
rephrase paragraph 1 as follows:
"1. Rules for submitting reporting by the Unified Accumulative Pension Fund (hereinafter – the Rules) are developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", paragraph 1 of Article 51 of the Law of the Republic of Kazakhstan dated June 21, 2013 "On Pension Provision in the Republic of Kazakhstan" 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 National Bank).";

rephrase paragraph 3 as follows:
"3. Reporting in electronic format is submitted to the National Bank using a guaranteed information delivery transport system with cryptographic protection means ensuring confidentiality and non-adjustability of the submitted data.".

Appendix 1
to the List of Regulatory Legal Acts of the Republic of Kazakhstan, which are amended and supplemented regarding reporting submission

Appendix 1
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated May 8, 2015 No. 75

List of Reporting on Compliance by Second-Level Banks of Prudential Standards

Reporting on compliance by second-level banks of prudential standards includes:

1. report on compliance with prudential standards;
2. report on the breakdown of assets weighted for credit risk;
3. report on the breakdown of contingent and possible liabilities weighted for credit risk;
4. report on the breakdown of contingent and possible claims and liabilities for derivative financial instruments weighted for credit risk;
5. report on the breakdown of the calculation of specific interest rate risk (by currencies);
6. report on the distribution of open positions by time intervals (by currencies);
7. report on the breakdown of the calculation of general interest rate risk (by currencies);
8. report on the breakdown of the maximum size of risk for one borrower (by borrowers);
9. report on the breakdown of the current liquidity coefficient k4;
10. report on the breakdown of the urgency liquidity coefficients k4-1, k4-2, k4-3;
11. report on the breakdown of the urgency currency liquidity coefficients k4-4, k4-5, k4-6;
12. report on currency positions for each foreign currency and currency net position for each working day of the week (month);
13. report on the calculation of the average monthly value of internal assets, internal and other liabilities, the coefficient of placement of part of funds into internal assets;
14. report on the breakdown of the capitalization coefficient of banks to liabilities to non-residents of the Republic of Kazakhstan;
15. report on the calculation of capital adequacy coefficients in securitization;
16. report on the breakdown of assets weighted for credit risk, submitted by Islamic banks;
17. report on the breakdown of contingent and possible liabilities weighted for credit risk, submitted by Islamic banks;
18. report on the breakdown of market risk associated with changes in the market value of inventory, submitted by Islamic banks;
19. report on the breakdown of the liquidity coverage coefficient;
20. report on the breakdown of the net stable funding coefficient.

Appendix 2
to the List of Regulatory Legal Acts of the Republic of Kazakhstan, which are amended and supplemented regarding reporting submission

Appendix 2
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated May 8, 2015 No. 75

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan Administrative data form is posted on the internet resource: www.nationalbank.kz

Report on Compliance with Prudential Standards

Administrative data form index: 1-BVU_Prud_norm Frequency: monthly Reporting period: on "____"______20____year Circle of persons submitting information: second-level bank Submission deadline: no later than the seventh working day of the month following the reporting month.

Form
(in thousands of tenge)

№	Name	Amount
1	2	3
1	Minimum size of own capital
2	Own capital
3	Tier 1 capital
4	Core capital as a sum
5	Paid-up ordinary shares
6	Additional paid-in capital
7	Retained net profit of previous years
8	Retained net profit of the current year
9	Accumulated disclosed reserve
10	Revaluation reserves
10.1	Revaluation reserves of fixed assets and revaluation reserves of securities valued at fair value through other comprehensive income
10.2	Revaluation reserves of loans valued at fair value through other comprehensive income
11	Core capital minus:
11.1	own repurchased ordinary shares
11.2	intangible assets, including goodwill
11.3	loss of previous years
11.4	loss of the current year
11.5	deferred tax asset (except for the portion of deferred tax assets recognized in respect of deductible temporary differences), reduced on a proportional basis by the amount of deferred tax liabilities (except for deferred tax liabilities recognized in respect of intangible assets, including goodwill)
11.6	reserves for other revaluations
11.7	income from sales related to asset securitization transactions
11.8	income or losses from changes in the fair value of a financial liability due to changes in the credit risk of such liability
11.9	regulatory adjustments subject to deduction from additional capital, but due to insufficient level thereof, deducted from core capital
11.10	excess amount subject to deduction from core capital if bank investments (bank investments in financial instruments of financial organizations in which the bank holds less than 10 (ten) percent of issued shares (participation interests in share capital)) exceed 10 (ten) percent of the bank's core capital after applying regulatory adjustments specified in rows 11.1, 11.2, 11.3, 11.4, 11.5, 11.6, 11.7, 11.8, 11.9
11.11	excess amount subject to deduction from core capital if bank investments (bank investments in ordinary shares of a financial organization in which the bank holds 10 (ten) percent or more of issued shares (participation interests in share capital)) exceed 10 (ten) percent of the bank's core capital after applying regulatory adjustments specified in rows 11.1, 11.2, 11.3, 11.4, 11.5, 11.6, 11.7, 11.8, 11.9, 11.10
11.12	excess amount subject to deduction from core capital if the portion of deferred tax assets recognized in respect of deductible temporary differences, reduced on a proportional basis by the amount of deferred tax liabilities (except for deferred tax liabilities recognized in respect of intangible assets, including goodwill) exceeds 10 (ten) percent of the bank's core capital after applying regulatory adjustments specified in rows 11.1, 11.2, 11.3, 11.4, 11.5, 11.6, 11.7, 11.8, 11.9, 11.10
11.13	excess amount subject to deduction from core capital if bank investments in ordinary shares of a financial organization in which the bank holds 10 (ten) percent or more of issued shares (participation interests in share capital) and the portion of deferred tax assets recognized in respect of deductible temporary differences, reduced on a proportional basis by the amount of deferred tax liabilities (except for deferred tax liabilities recognized in respect of intangible assets, including goodwill) together exceed 17.65 (seventeen and sixty-five hundredths) percent of the difference between the bank's core capital after applying regulatory adjustments specified in rows 11.1, 11.2, 11.3, 11.4, 11.5, 11.6, 11.7, 11.8, 11.9 and the amount subject to deduction from core capital specified in rows 11.10, 11.11, 11.12, reduced by amounts subject to deduction from core capital specified in rows 11.10, 11.11, 11.12
12	Additional capital as a sum:
12.1	perpetual contracts meeting criteria resulting in the simultaneous emergence of a financial asset for one party and a financial liability or other financial instrument confirming the right to a share of the assets of a legal entity remaining after deducting all its liabilities for another party
12.2	perpetual financial instruments attracted before January 1, 2015
12.3	paid-up preferred shares meeting established criteria
12.4	paid-up preferred shares not meeting established criteria
13	Additional capital minus:
13.1	bank investments in its own perpetual financial instruments directly or indirectly
13.2	own repurchased preferred shares of the bank
13.3	excess amount subject to deduction from additional capital if bank investments (bank investments in financial instruments of financial organizations in which the bank holds less than 10 (ten) percent of issued shares (participation interests in share capital)) exceed 10 (ten) percent of the bank's core capital after applying regulatory adjustments specified in rows 11.1, 11.2, 11.3, 11.4, 11.5, 11.6, 11.7, 11.8, 11.9
13.4	bank investments in perpetual financial instruments of financial organizations in which the bank holds 10 (ten) percent or more of issued shares (participation interests in share capital) subject to deduction from additional capital
13.5	regulatory adjustments subject to deduction from tier 2 capital, but due to insufficient level thereof, deducted from additional capital
14	Tier 2 capital
15	Subordinated debt
16	Subordinated debt attracted before January 1, 2015, in national currency
17	Subordinated debt attracted before January 1, 2015, in foreign currency
18	Tier 2 capital minus:
18.1	repurchased own subordinated debt of the bank
18.2	excess amount of bank investments (bank investments in financial instruments of financial organizations in which the bank holds less than 10 (ten) percent of issued shares (participation interests in share capital), together exceeding 10 (ten) percent of the bank's core capital after applying regulatory adjustments), multiplied by the share of investments in subordinated debt in the total amount of investments
18.3	bank investments in subordinated debt of financial organizations in which the bank holds 10 (ten) percent or more of issued shares (participation interests in share capital) of a legal entity, subject to deduction from tier 2 capital
19	Positive difference in accordance with paragraph 10 of the Normative Values and Methodology for Calculating Prudential Standards and Other Mandatory Norms and Limits for Islamic Banks, established by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated May 30, 2016 No. 144 "On Establishing Prudential Standards and Other Mandatory Norms and Limits for Islamic Banks, Their Normative Values and Methodology for Calculating Prudential Standards and Other Mandatory Norms and Limits for Islamic Banks", registered in the Registry of State Registration of Regulatory Legal Acts under No. 13939, and paragraph 6 of the Normative Values and Methodologies for Calculating Prudential Standards and Other Mandatory Norms and Limits, Size of Bank Capital, established by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated September 13, 2017 No. 170 "On Establishing Normative Values and Methodologies for Calculating Prudential Standards and Other Mandatory Norms and Limits, Size of Bank Capital and Rules for Calculation and Limits of Open Currency Position", registered in the Registry of State Registration of Regulatory Legal Acts under No. 15886, taken into account when calculating the regulatory buffer
20	Capital adequacy ratio (kl)
21	Capital adequacy ratio (kl-2)
22	Capital adequacy ratio (k2)
23	Undistributed net income of the bank, subject to restriction regarding cessation of dividend payments and share buybacks
24	Uninvested balances of funds accepted under a custodial agreement
25	Total assets weighted for credit risk
26	Total contingent and possible obligations weighted for credit risk
27	Total derivative financial instruments weighted for credit risk
28	Specific interest rate risk
29	General interest rate risk
30	Total market risk associated with changes in reward rate
31	Specific risk
32	General risk
33	Total market risk associated with changes in market value of shares and market value of derivative financial instruments whose underlying assets are shares or an index on shares
34	Total market risk associated with changes in exchange rates of foreign currencies (market value of precious metals)
35	Total market risk associated with changes in market value of shares (including Islamic securities acquired for sale)
36	Total commodity inventory risk associated with changes in market value
37	Sum of long and short positions in financial instruments with market risk associated with changes in market value
38	Difference between sums of long and short positions in financial instruments with market risk associated with changes in market value
39	Sum of open currency positions
40	Assets and contingent and possible claims and obligations calculated taking into account market risk
41	Average annual gross income
42	Operational risk
43	Total indebtedness of one borrower or group of interrelated borrowers not connected with the bank by special relations, on any type of obligations to the bank
44	Maximum risk coefficient per one borrower not connected with the bank by special relations - (k3)
45	Total indebtedness of one borrower or group of interrelated borrowers connected with the bank by special relations, on any type of obligations to the bank
46	Maximum risk coefficient per one borrower (group of borrowers) connected with the bank by special relations - (k3.1)
47	Sum of risks for all borrowers connected with the bank by special relations
48	Coefficient of sum of risks for borrowers connected with the bank by special relations (Po)
49	Maximum amount of unsecured loan, unsecured contingent obligations to a borrower or on behalf of a borrower to third parties, for which the bank may have claims against the borrower during the current and two subsequent months, on obligations of corresponding borrowers, as well as obligations of non-residents of the Republic of Kazakhstan, registered or being citizens of offshore zones, except for claims to residents of the Republic of Kazakhstan with Standard & Poor’s rating or rating of equivalent level of Fitch or Moody’s Investors Service agencies (hereinafter - other rating agencies) no lower than one point below the sovereign rating of the Republic of Kazakhstan and non-residents having rating not lower than “A” of Standard & Poor’s agency or rating of equivalent level of one of other rating agencies, except for non-residents with rating not lower than “A” of Standard & Poor’s agency or rating of equivalent level of one of other rating agencies, in respect of one borrower or group of interrelated borrowers
50	Coefficient of maximum size of unsecured credit (Bk)
51	Total sum of bank risks for one borrower, size of each of which exceeds 10 (ten) percent of own capital of the bank
52	Coefficient of total sum of risks for one borrower, size of each of which exceeds 10 (ten) percent of own capital (Pk)
53	Total sum of securitized credits transferred to the special financial company of the Joint Stock Company "Stress Assets Fund"
54	Coefficient of total sum of securitized credits transferred to the special financial company of the Joint Stock Company "Stress Assets Fund"
55	Sum of bank risks on obligations of the Joint Stock Company "Development Bank of Kazakhstan"
56	Coefficient of size of risk on obligations of the Joint Stock Company "Development Bank of Kazakhstan" (Pbrk)
57	Highly liquid assets
58	Demand liabilities
59	Current liquidity coefficient (k4)
60	Term liabilities with remaining maturity up to seven days inclusive
61	Liquidity coefficient (k4-1)
62	Liquid assets with remaining maturity up to one month inclusive, including highly liquid assets
63	Term liabilities with remaining maturity up to one month inclusive
64	Liquidity coefficient (k4-2)
65	Liquid assets with remaining maturity up to three months inclusive, including highly liquid assets
66	Term liabilities with remaining maturity up to three months inclusive
67	Liquidity coefficient (k4-3)
68	Assets for calculation of term currency liquidity coefficient k4-4:
68.1	for foreign currencies of countries having sovereign rating not lower than “A” of Standard&Poor’s agency or rating of equivalent level of one of other rating agencies, and "Euro" currency (with indication of amount (coefficient) for this group of currencies in aggregate)
68.2	for foreign currencies of countries having sovereign rating lower than “A” of Standard&Poor’s agency or rating of equivalent level of one of other rating agencies or lacking corresponding rating assessment
68.3	(type of currency is indicated)
68.4	(type of currency is indicated)
69	Liabilities for calculation of term currency liquidity coefficient k4-4
69.1	for foreign currencies of countries having sovereign rating not lower than “A” of Standard&Poor’s agency or rating of equivalent level of one of other rating agencies, and "Euro" currency (with indication of amount (coefficient) for this group of currencies in aggregate)
69.2	for foreign currencies of countries having sovereign rating lower than “A” of Standard&Poor’s agency or rating of equivalent level of one of other rating agencies or lacking corresponding rating assessment
69.3	(type of currency is indicated)
69.4	(type of currency is indicated)
70	Term currency liquidity coefficient (k4-4):
70.1	for foreign currencies of countries having sovereign rating not lower than “A” of Standard&Poor’s agency or rating of equivalent level of one of other rating agencies, and "Euro" currency (with indication of amount (coefficient) for this group of currencies in aggregate)
70.2	for foreign currencies of countries having sovereign rating lower than “A” of Standard&Poor’s agency or rating of equivalent level of one of other rating agencies or lacking corresponding rating assessment
70.3	(type of currency is indicated)
70.4	(type of currency is indicated)
71	Assets for calculation of term currency liquidity coefficient k4-5:
71.1	for foreign currencies of countries having sovereign rating not lower than “A” of Standard&Poor’s agency or rating of equivalent level of one of other rating agencies, and "Euro" currency (with indication of amount (coefficient) for this group of currencies in aggregate)
71.2	for foreign currencies of countries having sovereign rating lower than “A” of Standard&Poor’s agency or rating of equivalent level of one of other rating agencies or lacking corresponding rating assessment
71.3	(type of currency is indicated)
71.4	(type of currency is indicated)
72	Liabilities for calculation of term currency liquidity coefficient k4-5, multiplied by conversion coefficient equal to 90%
72.1	for foreign currencies of countries having sovereign rating not lower than “A” of Standard&Poor’s agency or rating of equivalent level of one of other rating agencies, and "Euro" currency (with indication of amount (coefficient) for this group of currencies in aggregate)
72.2	for foreign currencies of countries having sovereign rating lower than “A” of Standard&Poor’s agency or rating of equivalent level of one of other rating agencies or lacking corresponding rating assessment
72.3	(type of currency is indicated)
72.4	(type of currency is indicated)
73	Term currency liquidity coefficient (k4-5):
73.1	for foreign currencies of countries having sovereign rating not lower than “A” of Standard&Poor’s agency or rating of equivalent level of one of other rating agencies, and "Euro" currency (with indication of amount (coefficient) for this group of currencies in aggregate)
73.2	for foreign currencies of countries having sovereign rating lower than “A” of Standard&Poor’s agency or rating of equivalent level of one of other rating agencies or lacking corresponding rating assessment
73.3	(type of currency is indicated)
73.4	(type of currency is indicated)
74	Assets for calculation of term currency liquidity coefficient k4-6:
74.1	for foreign currencies of countries having sovereign rating not lower than “A” of Standard&Poor’s agency or rating of equivalent level of one of other rating agencies, and "Euro" currency (with indication of amount (coefficient) for this group of currencies in aggregate)
74.2	for foreign currencies of countries having sovereign rating lower than “A” of Standard&Poor’s agency or rating of equivalent level of one of other rating agencies or lacking corresponding rating assessment
74.3	(type of currency is indicated)
74.4	(type of currency is indicated)
75	Liabilities for calculation of term currency liquidity coefficient k4-6, multiplied by conversion coefficient equal to 80%
75.1	for foreign currencies of countries having sovereign rating not lower than “A” of Standard&Poor’s agency or rating of equivalent level of one of other rating agencies, and "Euro" currency (with indication of amount (coefficient) for this group of currencies in aggregate)
75.2	for foreign currencies of countries having sovereign rating lower than “A” of Standard&Poor’s agency or rating of equivalent level of one of other rating agencies or lacking corresponding rating assessment
75.3	(type of currency is indicated)
75.4	(type of currency is indicated)
76	Term currency liquidity coefficient (k4-6):
76.1	for foreign currencies of countries having sovereign rating not lower than “A” of Standard&Poor’s agency or rating of equivalent level of one of other rating agencies, and "Euro" currency (with indication of amount (coefficient) for this group of currencies in aggregate)
76.2	for foreign currencies of countries having sovereign rating lower than “A” of Standard&Poor’s agency or rating of equivalent level of one of other rating agencies or lacking corresponding rating assessment
76.3	(type of currency is indicated)
76.4	(type of currency is indicated)
77	Presence of overdue obligations of the bank to creditors during the reporting period (Yes (No))
78	Presence of fact of untimely execution by the bank of the action plan approved by the authorized body (Yes (No))
79	Short-term liabilities to non-residents
80	Coefficient of maximum limit of short-term liabilities to non-residents (k7)
81	Assets financed by means attracted under investment deposit agreement
82	Coefficient of placement of part of funds into domestic assets

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, name and patronymic (if any) phone

Chief Accountant or person authorized to sign the report ______ ______ surname, name and patronymic (if any) signature, phone

Head Manager or person authorized by him to sign the report ______ ______ surname, name and patronymic (if any) signature, phone

Date “____” ______ 20__ year

Appendix
to the report form on compliance with prudential standards

Explanation on filling out the form of administrative data

Report on compliance with prudential standards

(index – 1-BVU_Prud_norm, frequency – monthly)

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the form of administrative data "Report on compliance with prudential standards" (hereinafter - Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", with paragraph 1 of Article 54 of the Law of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan".
3. The Form is compiled monthly by second-tier banks as of the first day of each month. Data in the Form is filled in thousands of tenge.
4. The Form is signed by the head manager, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation on filling out the Form

5. The form is completed in accordance with the Resolutions of the Board of the National Bank of the Republic of Kazakhstan dated May 30, 2016 No. 144 "On Establishing Prudential Norms and Other Mandatory Compliance Norms and Limits for Islamic Banks, Their Numerical Values and Methodology for Calculating Prudential Norms and Other Mandatory Compliance Norms and Limits for Islamic Banks", registered in the Registry of State Registration of Regulatory Legal Acts under No. 13939 (hereinafter - Resolution No. 144) and dated September 13, 2017 No. 170 "On Establishing Numerical Values and Methodologies for Calculating Prudential Norms and Other Mandatory Compliance Norms and Limits, Bank Capital Size and Rules for Calculating and Limits of Open Currency Position", registered in the Registry of State Registration of Regulatory Legal Acts under No. 15886 (hereinafter - Resolution No. 170).

6. Line 1 is completed in accordance with Chapter 1 "Minimum Size of Authorized and Own Capital of a Bank" of the Numerical Values and Methodologies for Calculating Prudential Norms and Other Mandatory Compliance Norms and Limits for Islamic Banks, established according to Appendix 1 to Resolution No. 144 (hereinafter - Norms No. 144) and Chapter 2 "Minimum Size of Authorized and Own Capital of a Bank" of the Numerical Values and Methodologies for Calculating Prudential Norms and Other Mandatory Compliance Norms and Limits, Bank Capital Size, established according to Appendix 1 to Resolution No. 170 (hereinafter - Norms No. 170).

7. Line 5 indicates information on paid ordinary shares meeting the criteria established in Appendix 1 to Norms No. 144 and Appendix 4 to Norms No. 170.

8. Line 11.7 indicates future period income related to the expectation of full or partial income in the future arising from securitization conditions.

9. Line 12.1 indicates information on indefinite contracts meeting the criteria established in Appendix 1 to Norms No. 144 and Appendix 4 to Norms No. 170, resulting in the simultaneous emergence of a financial asset for one entity and a financial liability or other financial instrument confirming the right to a share of the assets of a legal entity remaining after deducting all its liabilities for another entity.

10. Line 12.2 indicates information on indefinite financial instruments in accordance with the requirements of paragraph 12 of Norms No. 170.

11. Line 12.3 indicates information on paid preferred shares meeting the criteria established in Appendix 1 to Norms No. 144 and Appendix 4 to Norms No. 170.

12. Line 12.4 indicates information on paid preferred shares in accordance with the requirements of paragraph 13 of Norms No. 170.

13. Line 15 indicates information on subordinated debt meeting the criteria established in Appendix 1 to Norms No. 144 and Appendix 4 to Norms No. 170.

14. Line 16 indicates information on subordinated debt attracted before January 1, 2015, in national currency in accordance with the requirements of paragraph 9 of Norms No. 144 and paragraph 15 of Norms No. 170.

15. Line 17 indicates information on subordinated debt attracted before January 1, 2015, in foreign currency in accordance with the requirements of paragraph 9 of Norms No. 144 and paragraph 15 of Norms No. 170.

16. Line 19 indicates the positive difference in accordance with paragraph 10 of Norms No. 144 and paragraph 6 of Norms No. 170, taken into account when calculating the regulatory buffer.

17. Line 23 indicates the sum of undistributed net income, which is subject to a restriction in accordance with Appendix 4 to Norms No. 144 and Appendix 3 to Norms No. 170, regarding the cessation of dividend payments and share buybacks.

18. Line 25 is completed in accordance with data from the report on the breakdown of assets weighted for credit risk.

19. Line 26 is completed in accordance with data from the report on the breakdown of contingent and possible liabilities weighted for credit risk.

20. Line 27 is completed in accordance with data from the report on the breakdown of contingent and possible claims and liabilities for derivative financial instruments weighted for credit risk.

21. Line 28 is completed in accordance with data from the report on the breakdown of specific interest risk calculation (by currency).

22. Line 29 is completed in accordance with data from the report on the breakdown of general interest risk calculation (by currency).

23. Lines 43, 44, 45, 46, 47, 48, 49, 50, 51, 52, 53 and 54 are completed in accordance with data from the report on the breakdown of maximum risk size per borrower (by borrowers).

24. Lines 57, 58 and 59 are completed in accordance with data from the report on the breakdown of the current liquidity coefficient k4.

25. Lines 60, 61, 62, 63, 64, 65, 66 and 67 are completed in accordance with data from the report on the breakdown of short-term liquidity coefficients k4-1, k4-2, k4-3.

26. Lines 68, 68.1, 68.2, 68.3, 68.4, 69, 69.1, 69.2, 69.3, 69.4, 70, 70.1, 70.2, 70.3, 70.4, 71, 71.1, 71.2, 71.3, 71.4, 72, 72.1, 72.2, 72.3, 72.4, 73, 73.1, 73.2, 73.3, 73.4, 74, 74.1, 74.2, 74.3, 74.4, 75, 75.1, 75.2, 75.3, 75.4, 76, 76.1, 76.2, 76.3 and 76.4 are completed in accordance with data from the report on the breakdown of short-term currency liquidity coefficients k4-4, k4-5, k4-6.

27. Lines 79, 80 are completed in accordance with data from the report on the breakdown of the bank capitalization coefficient to liabilities towards non-residents of the Republic of Kazakhstan.

28. Line 82 is completed in accordance with data from the report on the calculation of the average monthly volume of internal assets, internal and other liabilities, and the coefficient for placing part of funds into internal assets.

29. Lines 35, 36 and 81 are filled only by Islamic banks.

30. In lines 20, 21, 22, 44, 46, 48, 50, 52, 54, 59, 61, 64, 67, 70, 70.1, 70.2, 70.3, 70.4, 73, 73.1, 73.2, 73.3, 73.4, 76, 76.1, 76.2, 76.3, 76.4, 80, 82, values are indicated with three decimal places.

31. In the absence of information in the reporting period, the Form is not completed and not submitted.

Appendix 3
to the List of Regulatory Legal Acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

Appendix 3
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated May 8, 2015 No. 75

Form intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan The Administrative Data Form is posted on the internet resource: www.nationalbank.kz

Report on the Breakdown of Assets Weighted for Credit Risk

Administrative Data Form Index: 2-BVU_RA
Frequency: Monthly
Reporting Period: as of "___"______20__year
Circle of persons submitting information: second-level bank Submission Deadline: no later than the seventh working day of the month following the reporting month.

Form

(in thousands of tenge)

№	Name of Items	Amount	Risk Degree in Percentages	Amount to Calculate
1	2	3	4	5
Group I
1	Cash in tenge		0
2	Cash foreign currency of countries having a sovereign rating not lower than 'AA-' by Standard & Poor's or a rating of equivalent level by Fitch or Moody’s Investors Service (hereinafter - other rating agencies)		0
3	Affined precious metals		0
4	Loans provided to the Government of the Republic of Kazakhstan		0
5	Loans provided to central governments of countries having a sovereign rating not lower than 'AA-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies		0
6	Loans provided to the National Bank of the Republic of Kazakhstan		0
7	Loans provided to central banks of countries with a sovereign rating not lower than 'AA-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies		0
8	Loans provided to international financial organizations with a debt rating not lower than 'AA-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies		0
9	Loans provided to JSC "National Welfare Fund Samruk-Kazyna"		0
10	Deposits at the National Bank of the Republic of Kazakhstan and other claims against the National Bank of the Republic of Kazakhstan		0
11	Deposits at central banks of countries with a sovereign rating not lower than 'AA-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies		0
12	Deposits at international financial organizations with a debt rating not lower than 'AA-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies, deposits at the Eurasian Development Bank in the national currency of the Republic of Kazakhstan		0
13	Accounts receivable of the Government of the Republic of Kazakhstan		0
14	Accounts receivable of local authorities of the Republic of Kazakhstan for taxes and other payments to the budget		0
15	State securities of the Republic of Kazakhstan issued by the Government of the Republic of Kazakhstan and the National Bank of the Republic of Kazakhstan		0
16	State securities of the Republic of Kazakhstan issued by local executive bodies of the cities of Nur-Sultan and Almaty		0
17	Securities issued by JSC "Kazakhstan Development Bank" in accordance with the legislation of the Republic of Kazakhstan on the securities market, joint stock companies "National Welfare Fund Samruk-Kazyna", "National Managing Holding Baiterek", "Problematic Credit Fund", as well as securities issued by the Eurasian Development Bank and denominated in the national currency of the Republic of Kazakhstan		0
18	Securities issued by a legal entity carrying out the repurchase of mortgage loans to individuals, one hundred percent of whose shares belong to the National Bank		0
19	Securities having the status of state securities issued by central governments of foreign states, the sovereign rating of which is not lower than 'AA-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies		0
20	Securities issued by international financial organizations having a debt rating not lower than 'AA-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies		0
21	Claims on open correspondent accounts to banks having a long-term rating not lower than 'BBB' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies		0
22	Accrued remuneration on assets included in Group I of risk		0
Group II
23	Cash foreign currency of countries having a sovereign rating below 'AA-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies, and countries without a corresponding rating assessment		20
24	Loans provided to central governments of countries having a sovereign rating from 'A+' to 'A-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies		20
25	Loans provided to central banks of countries having a sovereign rating from 'A+' to 'A-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies		20
26	Loans provided to international financial organizations having a debt rating from 'A+' to 'A-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies		20
27	Loans provided to local executive bodies of the Republic of Kazakhstan		20
28	Loans provided to local executive bodies of countries having a sovereign rating not lower than 'AA-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies		20
29	Loans provided to organizations having a debt rating not lower than 'AA-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies		20
30	Deposits at central banks of countries having a sovereign rating from 'A+' to 'A-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies		20
31	Deposits at international financial organizations having a debt rating from 'A+' to 'A-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies		20
32	Deposits at organizations having a debt rating not lower than 'AA-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies		20
33	Accounts receivable of local executive bodies of the Republic of Kazakhstan, except for accounts receivable referred to Group I of risk		20
34	Accounts receivable of organizations having a debt rating not lower than 'AA-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies		20
35	Securities having the status of state securities issued by central governments of countries having a sovereign rating from 'A+' to 'A-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies		20
36	Securities issued by international financial organizations having a debt rating from 'A+' to 'A-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies		20
37	State securities issued by local executive bodies of the Republic of Kazakhstan, except for state securities issued by local executive bodies of the cities of Nur-Sultan and Almaty		20
38	Securities issued by local authorities of countries, the sovereign rating of which is not lower than 'AA-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies		20
39	Securities issued by organizations having a debt rating not lower than 'AA-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies		20
40	Securitization positions held by the bank on the balance sheet and having a credit rating from 'AAA' to 'AA-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies or a rating assessment from 'kzAAA' to 'kzAA-' on the national scale of Standard & Poor's or a rating of equivalent level on the national scale of one of the other rating agencies		20
41	Accrued remuneration on assets included in Group II of risk		20
Group III
42	Unaffined precious metals		50
43	Loans provided to central governments of countries having a sovereign rating from 'BBB+' to 'BBB-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies		50
44	Loans provided to central banks of countries having a sovereign rating from 'BBB+' to 'BBB-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies		50
45	Loans provided to international financial organizations having a debt rating from 'BBB+' to 'BBB-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies		50
46	Loans provided to local authorities of countries having a sovereign rating not lower than from 'A+' to 'A-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies		50
47	Loans provided to organizations having a debt rating from 'A+' to 'A-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies		50
48	Mortgage housing loans (except for loans to individuals specified in lines 75, 77 and 78), meeting the condition: the ratio of the amount of the provided mortgage housing loan to the value of the collateral does not exceed 50 (fifty) percent inclusive of the collateral value		35
49	Mortgage housing loans, as well as remuneration on them, meeting the conditions for repurchase established by the legal entity carrying out the repurchase of mortgage loans to individuals not engaged in entrepreneurial activity, one hundred percent of whose shares belong to the National Bank		35
50	Claims on mortgage housing loans transferred to the legal entity carrying out the repurchase of mortgage loans to individuals not engaged in entrepreneurial activity, one hundred percent of whose shares belong to the National Bank		35
51	Mortgage housing loans (except for loans to individuals specified in lines 75, 77 and 78 of this table), meeting the condition: the ratio of the amount of the provided mortgage housing loan to the value of the collateral is within the range from 51 (fifty-one) percent to 85 (eighty-five) percent inclusive of the collateral value		50
52	Other mortgage housing loans (except for loans issued to individuals specified in lines 75, 77 and 78 of this table)		100
53	Loans with overdue debt on principal and/or accrued remuneration for more than 90 (ninety) calendar days, provided to residents of the Republic of Kazakhstan (except for mortgage housing loans and loans specified in lines 74, 75, 76, 77, 78 and 124 of this table, as well as unsecured consumer loans issued to individuals), for which less than 35 (thirty-five) percent of provisions (reserves) have been formed according to international financial reporting standards from the unpaid portion of loans		100
54	Loans with overdue debt on principal and/or accrued remuneration for more than 90 (ninety) calendar days, provided to residents of the Republic of Kazakhstan (except for mortgage housing loans and loans specified in lines 74, 75, 76, 77, 78 and 124 of this table, as well as unsecured consumer loans issued to individuals), for which more than 35 (thirty-five) percent and less than 50 (fifty) percent of provisions (reserves) have been formed according to international financial reporting standards from the unpaid portion of loans		75
55	Loans with overdue debt on principal and/or accrued remuneration for more than 90 (ninety) calendar days, provided to residents of the Republic of Kazakhstan (except for mortgage housing loans and loans specified in lines 74, 75, 76, 77, 78 and 124 of this table, as well as unsecured consumer loans issued to individuals), for which more than 50 (fifty) percent of provisions (reserves) have been formed according to international financial reporting standards from the unpaid portion of loans		50
56	Loans provided to entities classified as small or medium entrepreneurship according to the Entrepreneurial Code of the Republic of Kazakhstan dated October 29, 2015, meeting the following criteria: 1) the loan amount does not exceed 0.02 (zero point zero two) percent of equity; 2) the loan currency – tenge		75
57	Deposits at central banks of countries having a sovereign rating from 'BBB+' to 'BBB-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies		50
58	Deposits at international financial organizations having a debt rating from 'BBB+' to 'BBB-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies		50
59	Deposits at organizations having a debt rating from 'A+' to 'A-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies		50
60	Accounts receivable of organizations having a debt rating from 'A+' to 'A-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies		50
61	Securities having the status of state securities issued by central governments of countries having a sovereign rating from 'BBB+' to 'BBB-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies		50
62	Securities issued by international financial organizations having a debt rating from 'BBB+' to 'BBB-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies		50
63	Securities issued by local authorities of countries having a sovereign rating not lower than from 'A+' to 'A-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies		50
64	Securities issued by organizations having a debt rating from 'A+' to 'A-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies		50
65	Securitization positions held by the bank on the balance sheet and having a credit rating from 'A+' to 'A-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies or a rating assessment from 'kzA+' to 'kzA-' on the national scale of Standard & Poor's, or a rating of equivalent level on the national scale of one of the other rating agencies		50
66	Claims on open correspondent accounts to resident banks of the Republic of Kazakhstan having a debt rating from 'BBB-' to 'BB-' (inclusive) by Standard & Poor's or a rating of equivalent level by one of the other rating agencies, or to a non-resident bank having a debt rating from 'BBB-' to 'BB+' (inclusive) by Standard & Poor's, or a rating of equivalent level by one of the other rating agencies		50
67	Claims to JSC "Kazakhstan Stock Exchange"		50
68	Accrued remuneration on assets included in Group III of risk (except for accrued remuneration on assets specified in lines 49 and 50 of this table)		50
Group IV
69	Loans provided to central governments of countries having a sovereign rating from 'BB+' to 'B-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies, and countries without a corresponding rating assessment		100
70	Loans provided to central banks of countries having a sovereign rating from 'BB+' to 'B-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies, and countries without a corresponding rating assessment		100
71	Loans provided to international financial organizations having a debt rating from 'BB+' to 'B-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies, and international financial organizations without a corresponding rating assessment		100
72	Loans provided to local authorities of countries having a debt rating from 'BBB+' to 'BB-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies, and countries without a corresponding rating assessment		100
73	Loans provided to resident organizations having a debt rating below 'A-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies, resident organizations without a corresponding rating assessment, and non-resident organizations having a debt rating from 'BBB+' to 'BB-' by Standard & Poor's, or a rating of equivalent level by one of the other rating agencies		100
74	Loans issued from January 1, 2016 and provided for a term of more than 1 year in foreign currency to resident organizations having a debt rating below 'A-' by Standard & Poor's or a rating of equivalent level by one of the other rating agencies, resident organizations without a corresponding rating assessment, and non-resident organizations having a debt rating from 'BBB+' to 'BB-' by Standard & Poor's, or a rating of equivalent level by one of the other rating agencies, and lacking corresponding foreign currency earnings, and/or currency risks of which are not covered by appropriate hedging instruments by the borrower		200
75	Loans provided to individuals before January 1, 2016, including consumer loans, except those referred to Group III of risk		100
76	Loans issued from January 1, 2016 and provided for a term of more than 1 (one) year in foreign currency to individuals, including consumer loans, except those referred to Group III of risk, and lacking corresponding foreign currency earnings and/or currency risks of which are not covered by appropriate hedging instruments by the borrower		200
77	Unsecured loans issued to individuals from January 1, 2016 to December 31, 2019, including consumer loans, meeting one of the following criteria calculated by the bank:
from January 1, 2017 to December 31, 2019 during monthly monitoring of loans:

1. the level of the borrower's debt burden coefficient, calculated in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 25, 2013 No. 292 "On Introduction of Restrictions on Conducting Certain Types of Banking and Other Operations by Financial Organizations", registered in the Registry of State Registration of Regulatory Legal Acts under No. 9125 (hereinafter - Resolution No. 292), using for calculation the average monthly income of the borrower - an individual from an extract from the unified accumulated pension fund from the individual pension account for the last 6 (six) months or information about the borrower receiving salary through bank payment cards for 6 (six) consecutive months preceding the date of the borrower's application, exceeds 0.35;
2. delay in payments on debt on any active or closed loan and/or remuneration on it for the last 24 (twenty-four) months preceding the issuance date, is more than 60 (sixty) calendar days or delays in payments were allowed more than 3 (three) times for a term of more than 30 (thirty) calendar days;
3. during monthly monitoring of loans, there is no information for calculation specified in sub-item 1) or 2) of this line.
   In case of absence at the bank of information provided for in one of the above sub-items of this line, loans issued to individuals are recognized as unsecured and weighted by credit risk degree according to this line | | 150 | |
   | 78 | Other loans provided to individuals from January 1, 2016 to December 31, 2019, including consumer loans (except for mortgage housing loans and loans to individuals specified in line 77 of this table) | | 100 | |
   | --- | --- | --- | --- | --- |
   | 79 | Unsecured consumer loans issued to individuals meeting the criteria established by Table 1 "Values of Coefficients for Weighting by Credit Risk Degree of Investments in Unsecured Consumer Loans when Calculating the Debt Burden Coefficient Based on Income Having Official Confirmation" of Appendix 5-1 to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated September 13, 2017 No. 170 "On Establishment of Normative Values and Calculation Methodologies for Prudential Normatives and Other Mandatory Compliance Requirements" | | 100 | |

	norms and limits, bank capital size and Rules for calculating and limiting open currency position", registered in the Registry of State Registration of Regulatory Legal Acts under No. 15886 (hereinafter - Normatives No. 170):
	1) borrower's debt size does not exceed 120 MCI;
	2) overpayment size in annual percentage terms is within the range from 0 (zero) to 30 (thirty) percent.
80	Unsecured consumer loans issued to individuals meeting the criteria established by Table 2 "Values of risk weighting coefficients for credit risk of investments in unsecured consumer loans when calculating debt burden ratio based on income without official confirmation" of Appendix 5-1 to Normatives No. 170:
	1) borrower's debt size does not exceed 120 MCI;
	2) overpayment size in annual percentage terms is within the range from 0 (zero) to 30 (thirty) percent.
81	Unsecured consumer loans issued to individuals meeting the criteria established by Table 1 "Values of risk weighting coefficients for credit risk of investments in unsecured consumer loans when calculating debt burden ratio based on income with official confirmation" of Appendix 5-1 to Normatives No. 170:
	1) borrower's debt size is within the range from 120 MCI to 200 MCI;
	2) overpayment size in annual percentage terms is within the range from 0 (zero) to 30 (thirty) percent.
82	Unsecured consumer loans issued to individuals meeting the criteria established by Table 1 "Values of risk weighting coefficients for credit risk of investments in unsecured consumer loans when calculating debt burden ratio based on income with official confirmation" of Appendix 5-1 to Normatives No. 170:
	1) borrower's debt size does not exceed 120 MCI;
	2) overpayment size in annual percentage terms exceeds 30 (thirty) percent.
83	Unsecured consumer loans issued to individuals meeting the criteria established by Table 2 "Values of risk weighting coefficients for credit risk of investments in unsecured consumer loans when calculating debt burden ratio based on income without official confirmation" of Appendix 5-1 to Normatives No. 170:
	1) borrower's debt size is within the range from 120 MCI to 200 MCI;
	2) overpayment size in annual percentage terms is within the range from 0 (zero) to 30 (thirty) percent.
84	Unsecured consumer loans issued to individuals meeting the criteria established by Table 2 "Values of risk weighting coefficients for credit risk of investments in unsecured consumer loans when calculating debt burden ratio based on income without official confirmation" of Appendix 5-1 to Normatives No. 170:
	1) borrower's debt size does not exceed 120 MCI;
	2) overpayment size in annual percentage terms exceeds 30 (thirty) percent.
85	Unsecured consumer loans issued to individuals meeting the criteria established by Table 1 "Values of risk weighting coefficients for credit risk of investments in unsecured consumer loans when calculating debt burden ratio based on income with official confirmation" of Appendix 5-1 to Normatives No. 170:
	1) borrower's debt size is within the range from 200 MCI to 400 MCI;
	2) overpayment size in annual percentage terms is within the range from 0 (zero) to 30 (thirty) percent.
86	Unsecured consumer loans issued to individuals meeting the criteria established by Table 1 "Values of risk weighting coefficients for credit risk of investments in unsecured consumer loans when calculating debt burden ratio based on income with official confirmation" of Appendix 5-1 to Normatives No. 170:
	1) borrower's debt size is within the range from 120 MCI to 200 MCI;
	2) overpayment size in annual percentage terms exceeds 30 (thirty) percent.
87	Unsecured consumer loans issued to individuals meeting the criteria established by Table 2 "Values of risk weighting coefficients for credit risk of investments in unsecured consumer loans when calculating debt burden ratio based on income without official confirmation" of Appendix 5-1 to Normatives No. 170:
	1) borrower's debt size is within the range from 200 MCI to 400 MCI;
	2) overpayment size in annual percentage terms is within the range from 0 (zero) to 30 (thirty) percent.
88	Unsecured consumer loans issued to individuals meeting the criteria established by Table 2 "Values of risk weighting coefficients for credit risk of investments in unsecured consumer loans when calculating debt burden ratio based on income without official confirmation" of Appendix 5-1 to Normatives No. 170:
	1) borrower's debt size is within the range from 120 MCI to 200 MCI;
	2) overpayment size in annual percentage terms exceeds 30 (thirty) percent.
89	Unsecured consumer loans issued to individuals meeting the criteria established by Table 1 "Values of risk weighting coefficients for credit risk of investments in unsecured consumer loans when calculating debt burden ratio based on income with official confirmation" of Appendix 5-1 to Normatives No. 170:
	1) borrower's debt size is within the range from 400 MCI to 800 MCI;
	2) overpayment size in annual percentage terms is within the range from 0 (zero) to 30 (thirty) percent.
90	Unsecured consumer loans issued to individuals meeting the criteria established by Table 1 "Values of risk weighting coefficients for credit risk of investments in unsecured consumer loans when calculating debt burden ratio based on income with official confirmation" of Appendix 5-1 to Normatives No. 170:
	1) borrower's debt size is within the range from 200 MCI to 400 MCI;
	2) overpayment size in annual percentage terms exceeds 30 (thirty) percent.
91	Unsecured consumer loans issued to individuals meeting the criteria established by Table 2 "Values of risk weighting coefficients for credit risk of investments in unsecured consumer loans when calculating debt burden ratio based on income without official confirmation" of Appendix 5-1 to Normatives No. 170:
	1) borrower's debt size is within the range from 400 MCI to 800 MCI;
	2) overpayment size in annual percentage terms is within the range from 0 (zero) to 30 (thirty) percent.
92	Unsecured consumer loans issued to individuals meeting the criteria established by Table 2 "Values of risk weighting coefficients for credit risk of investments in unsecured consumer loans when calculating debt burden ratio based on income without official confirmation" of Appendix 5-1 to Normatives No. 170:
	1) borrower's debt size is within the range from 200 MCI to 400 MCI;
	2) overpayment size in annual percentage terms exceeds 30 (thirty) percent.
93	Unsecured consumer loans issued to individuals meeting the criteria established by Table 1 "Values of risk weighting coefficients for credit risk of investments in unsecured consumer loans when calculating debt burden ratio based on income with official confirmation" of Appendix 5-1 to Normatives No. 170:
	1) borrower's debt size is within the range from 800 MCI to 2000 MCI;
	2) overpayment size in annual percentage terms is within the range from 0 (zero) to 30 (thirty) percent.
94	Unsecured consumer loans issued to individuals meeting the criteria established by Table 1 "Values of risk weighting coefficients for credit risk of investments in unsecured consumer loans when calculating debt burden ratio based on income with official confirmation" of Appendix 5-1 to Normatives No. 170:
	1) borrower's debt size is within the range from 400 MCI to 800 MCI;
	2) overpayment size in annual percentage terms exceeds 30 (thirty) percent.
95	Unsecured consumer loans issued to individuals meeting the criteria established by Table 2 "Values of risk weighting coefficients for credit risk of investments in unsecured consumer loans when calculating debt burden ratio based on income without official confirmation" of Appendix 5-1 to Normatives No. 170:
	1) borrower's debt size is within the range from 800 MCI to 2000 MCI;
	2) overpayment size in annual percentage terms is within the range from 0 (zero) to 30 (thirty) percent.
96	Unsecured consumer loans issued to individuals meeting the criteria established by Table 2 "Values of risk weighting coefficients for credit risk of investments in unsecured consumer loans when calculating debt burden ratio based on income without official confirmation" of Appendix 5-1 to Normatives No. 170:
	1) borrower's debt size is within the range from 400 MCI to 800 MCI;
	2) overpayment size in annual percentage terms exceeds 30 (thirty) percent.
97	Unsecured consumer loans issued to individuals meeting the criteria established by Table 1 "Values of risk weighting coefficients for credit risk of investments in unsecured consumer loans when calculating debt burden ratio based on income with official confirmation" of Appendix 5-1 to Normatives No. 170:
	1) borrower's debt size exceeds 2000 MCI;
	2) overpayment size in annual percentage terms is within the range from 0 (zero) to 30 (thirty) percent.
98	Unsecured consumer loans issued to individuals meeting the criteria established by Table 1 "Values of risk weighting coefficients for credit risk of investments in unsecured consumer loans when calculating debt burden ratio based on income with official confirmation" of Appendix 5-1 to Normatives No. 170:
	1) borrower's debt size is within the range from 800 MCI to 2000 MCI;
	2) overpayment size in annual percentage terms exceeds 30 (thirty) percent.
99	Deposits in central banks of countries having a sovereign rating from 'BB+' to 'B-' by Standard & Poor's agency or a rating of similar level by one of other rating agencies, and countries lacking corresponding rating assessment	100
100	Deposits in international financial organizations having a debt rating from 'BB+' to 'B-' by Standard & Poor's agency or a rating of similar level by one of other rating agencies, and international financial organizations lacking corresponding rating assessment	100
101	Deposits in resident organizations having a debt rating below 'A-' by Standard & Poor's agency or a rating of similar level by one of other rating agencies, resident organizations lacking corresponding rating assessment, and non-resident organizations having a debt rating from 'BBB+' to 'BB-' by Standard & Poor's agency or a rating of similar level by one of other rating agencies	100
102	Receivables from resident organizations having a debt rating below 'A-' by Standard & Poor's agency or a rating of similar level by one of other rating agencies, resident organizations lacking corresponding rating assessment, and non-resident organizations having a debt rating from 'BBB+' to 'BB-' by Standard & Poor's agency, or a rating of similar level by one of other rating agencies	100
103	Receivables from individuals	100
104	Securities having status of government securities issued by central governments of countries having a sovereign rating from 'BB+' to 'B-' by Standard & Poor's agency or a rating of similar level by one of other rating agencies, and countries lacking corresponding rating assessment	100
105	Securities issued by local authorities of countries having a sovereign rating from 'BBB+' to 'BB-' by Standard & Poor's agency or a rating of similar level by one of other rating agencies, and countries lacking corresponding rating assessment	100
106	Securities issued by international financial organizations having a debt rating from 'BB+' to 'B-' by Standard & Poor's agency or a rating of similar level by one of other rating agencies, and international financial organizations lacking corresponding rating assessment	100
107	Securities issued by resident organizations having a debt rating below 'A-' by Standard & Poor's agency or a rating of similar level by one of other rating agencies, resident organizations lacking corresponding rating assessment, and non-resident organizations having a debt rating from 'BBB+' to 'BB-' by Standard & Poor's agency, or a rating of similar level by one of other rating agencies	100
108	Securitization positions held by the bank on balance sheet and having a credit rating from 'BBB+' to 'BBB-' by Standard & Poor's agency or a rating of similar level by one of other rating agencies, or rating assessment from 'kzBBB+' to 'kzBBB-' on the national scale of Standard & Poor's agency, or a rating of similar level on the national scale of one of other rating agencies	100
109	Securities issued by special finance company of Joint Stock Company "Stress Assets Fund"	100
110	Claims on open correspondent accounts with banks-residents of the Republic of Kazakhstan having a debt rating below 'BB-' by Standard & Poor's agency or a rating of similar level by one of other rating agencies, or with a non-resident bank having a debt rating below 'BB+' by Standard & Poor's agency, or a rating of similar level by one of other rating agencies	100
111	Accrued remuneration on assets included in Risk Group IV	100
112	Settlements on payments	100
113	Fixed assets	100
114	Material supplies	100
115	Prepayment of remuneration and expenses amount	100
Group V
116	Bank investments in shares (participatory interests in authorized capital), perpetual financial instruments, subordinated debt of legal entities whose financial statements are consolidated when preparing the bank's financial statements in accordance with IFRS	100
117	Sum of all bank investments, each of which constitutes less than 10 (ten) percent of issued shares (participatory interests in authorized capital) of a legal entity whose financial statements are not consolidated when preparing the bank's financial statements, not exceeding 10 (ten) percent of core capital	100
118	Sum of bank investments in ordinary shares of a financial organization in which the bank holds 10 (ten) and more percent of issued shares (participatory interests in authorized capital), and part of deferred tax assets recognized in respect of deductible temporary differences, in aggregate not exceeding 17.65 (seventeen and sixty-five hundredths) percent of the difference between the bank's core capital after applying regulatory adjustments specified in paragraph 10 of Normatives No. 170, and the amount subject to deduction from core capital specified in paragraphs third, fourth and fifth of paragraph 11 of Normatives No. 170	250
119	Loans provided to central governments of countries having a sovereign rating below 'B-' by Standard & Poor's agency or a rating of similar level by one of other rating agencies	150
120	Loans provided to central banks of countries having a sovereign rating below 'B-' by Standard & Poor's agency or a rating of similar level by one of other rating agencies	150
121	Loans provided to international financial organizations having a debt rating below 'B-' by Standard & Poor's agency or a rating of similar level by one of other rating agencies	150
122	Loans provided to local authorities of countries having a sovereign rating below 'BB-' by Standard & Poor's agency or a rating of similar level by one of other rating agencies	150
123	Loans provided to non-resident organizations having a debt rating below 'BB-' by Standard & Poor's agency or a rating of similar level by one of other rating agencies, and non-resident organizations lacking corresponding rating assessment	150
124	Loans issued from January 1, 2016 and provided for a term exceeding 1 (one) year in foreign currency to non-resident organizations having a debt rating below 'BB-' by Standard & Poor's agency or a rating of similar level by one of other rating agencies, and non-resident organizations lacking corresponding rating assessment, and lacking corresponding currency earnings and/or their currency risks not covered by corresponding hedging instruments by the borrower	200
125	Loans provided to non-residents of the Republic of Kazakhstan who are legal entities registered in the territory of the following foreign states*, or their* citizens:	150
126	Unsecured consumer loans issued to individuals meeting the criteria established by Table 2 "Values of risk weighting coefficients for credit risk of investments in unsecured consumer loans when calculating debt burden ratio based on income without official confirmation" of Appendix 5-1 to Normatives No. 170:
	1) borrower's debt size exceeds 2000 MCI;
	2) overpayment size in annual percentage terms is within the range from 0 (zero) to 30 (thirty) percent.
127	Unsecured consumer loans issued to individuals meeting the criteria established by Table 2 "Values of risk weighting coefficients for credit risk of investments in unsecured consumer loans when calculating debt burden ratio based on income without official confirmation" of Appendix 5-1 to Normatives No. 170:
	1) borrower's debt size is within the range from 800 MCI to 2000 MCI;
	2) overpayment size in annual percentage terms exceeds 30 (thirty) percent.
128	Unsecured consumer loans issued to individuals meeting the criteria established by Table 1 "Values of risk weighting coefficients for credit risk of investments in unsecured consumer loans when calculating debt burden ratio based on income with official confirmation" of Appendix 5-1 to Normatives No. 170:
	1) borrower's debt size exceeds 2000 MCI;
	2) overpayment size in annual percentage terms exceeds 30 (thirty) percent.
129	Unsecured consumer loans issued to individuals meeting the criteria established by Table 2 "Values of risk weighting coefficients for credit risk of investments in unsecured consumer loans when calculating debt burden ratio based on income without official confirmation" of Appendix 5-1 to Normatives No. 170:
	1) borrower's debt size exceeds 2000 MCI;
	2) overpayment size in annual percentage terms exceeds 30 (thirty) percent.
130	Deposits in central banks of countries having a sovereign rating below 'B-' by Standard & Poor's agency	150

	Poor's or a rating of equivalent level from one of other rating agencies
131	Deposits in international financial organizations having a debt rating below 'B-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies		150
	Standard & Poor's or a rating of equivalent level from one of other rating agencies
132	Deposits in non-resident organizations having a debt rating below 'BB-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies, and in non-resident organizations without a corresponding rating assessment		150
133	Deposits in non-resident organizations of the Republic of Kazakhstan registered in foreign states*		150
134	Accounts receivable of non-resident organizations having a debt rating below 'BB-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies, and of non-resident organizations without a corresponding rating assessment		150
135	Accounts receivable of non-resident organizations of the Republic of Kazakhstan registered in foreign states*		150
136	Securities issued by central governments of countries having a sovereign rating below 'B-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies		150
137	Securities issued by local authorities of countries whose sovereign rating is below 'BB-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies		150
138	Securities issued by international financial organizations having a debt rating below 'B-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies		150
139	Securities issued by non-resident organizations having a debt rating below 'BB-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies, and by non-resident organizations without a corresponding rating assessment		150
140	Securities issued by non-resident organizations of the Republic of Kazakhstan registered in foreign states*		150
141	Securitization positions held by the bank on its balance sheet and having a credit rating from 'BB+' to 'BB-' by Standard & Poor's or an equivalent level rating from one of other rating agencies, or a rating assessment from 'kzBB+' to 'kzBB-' on the national scale of Standard & Poor's, or an equivalent level rating on the national scale of one of other rating agencies		350
142	Accrued remuneration on assets included in Risk Group V		150
143	Total risk-weighted assets:

Note:

• List of foreign states:

1. Principality of Andorra;
2. State of Antigua and Barbuda;
3. Commonwealth of The Bahamas;
4. State of Barbados;
5. State of Bahrain;
6. State of Belize;
7. State of Brunei Darussalam;
8. Republic of Vanuatu;
9. Republic of Guatemala;
10. State of Grenada;
11. Republic of Djibouti;
12. Dominican Republic;
13. Republic of Indonesia;
14. Spain (only in part of the territory of the Canary Islands);
15. Republic of Cyprus;
16. People's Republic of China (only in part of the territories of the Special Administrative Regions of Macau and Hong Kong);
17. Federal Islamic Republic of the Comoros;
18. Republic of Costa Rica;
19. Malaysia (only in part of the territory of the Labuan enclave);
20. Republic of Liberia;
21. Principality of Liechtenstein;
22. Republic of Mauritius;
23. Portugal (only in part of the territory of the Madeira islands);
24. Maldives;
25. Republic of Malta;
26. Republic of the Marshall Islands;
27. Principality of Monaco;
28. Union of Myanmar;
29. Republic of Nauru;
30. Netherlands (only in part of the territory of Aruba island and dependent territories of the Dutch Caribbean);
31. Federal Republic of Nigeria;
32. New Zealand (only in part of the territory of the Cook Islands and Niue);
33. United Arab Emirates (only in part of the territory of Dubai city);
34. Republic of Palau;
35. Republic of Panama;
36. Independent State of Samoa;
37. Republic of Seychelles;
38. State of Saint Vincent and the Grenadines;
39. Federation of Saint Kitts and Nevis;
40. State of Saint Lucia;
41. United Kingdom of Great Britain and Northern Ireland (only in part of the following territories):
    Anguilla;
    Bermuda;
    British Virgin Islands;
    Gibraltar;
    Cayman Islands;
    Montserrat Island;
    Turks and Caicos Islands;
    Isle of Man;
    Channel Islands (Guernsey, Jersey, Sark, Alderney);
42. United States of America (only in part of the territories of the US Virgin Islands, Guam island, and Commonwealth of Puerto Rico);
43. Kingdom of Tonga;
44. Republic of the Philippines;
45. Democratic Socialist Republic of Sri Lanka.

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, name and patronymic (if any) phone

Chief Accountant or person authorized to sign the report ______ ______ surname, name and patronymic (if any) signature, phone

Head Manager or person authorized by him to sign the report ______ ______ surname, name and patronymic (if any) signature, phone

Date "____" ______ 20__ year

Appendix
to the form for breakdown of assets weighted for credit risk

Explanation for filling out the administrative data form

Report on the breakdown of assets weighted for credit risk

(index – 2-BVU_RA, frequency – monthly)

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the administrative data form "Report on the breakdown of assets weighted for credit risk" (hereinafter - Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", and paragraph 1 of Article 54 of the Law of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan".
3. The Form is compiled monthly by second-level banks as of the first day of each month. Data in the Form are filled in thousands of tenge.
4. The Form is signed by the head manager, chief accountant, or persons authorized to sign the report.

Chapter 2. Explanation for Filling out the Form

5. Column 3 indicates the amount of assets subject to weighting based on credit risk degree.
6. Column 4 indicates the risk degree in percent for each group of assets.
7. Column 5 indicates the amount of assets specified in Column 3, multiplied by the risk degree in percent (Column 4).
8. In the absence of information in the reporting period, the Form is not filled out and not submitted.

Appendix 4
to the List of regulatory legal acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

Appendix 4
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated May 8, 2015 No. 75

Form intended for collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan The administrative data form is posted on the internet resource: www.nationalbank.kz

Report on the breakdown of contingent and possible obligations weighted for credit risk

Administrative data form index: 2-BVU_RUIVO
Frequency: monthly
Reporting period: as of "___"______20__year
Circle of persons submitting information: second-level bank Submission deadline: no later than the seventh working day of the month following the reporting month.

Form

(in thousands of tenge)

No	Item Name	Amount	Conversion Coefficient in Percentages	Credit Risk Coefficient in Percentages	Amount to be Calculated
			4	5	6
1	2	3
Group I
1.1	Bank guarantees and sureties, obligations under which are fully secured by: counter-guarantees (sureties) of the Government of the Republic of Kazakhstan, the National Bank of the Republic of Kazakhstan, JSC "National Welfare Fund Samruk-Kazyna", JSC "National Managing Holding Baiterek", central governments and central banks of foreign states having a sovereign rating at level 'AA-' and above from Standard & Poor's or a rating of similar level from Fitch or Moody's Investors Service (hereinafter - other rating agencies); funds or refined precious metals provided to the disposal of the bank; securities of the Government of the Republic of Kazakhstan, the National Bank of the Republic of Kazakhstan, JSC "National Welfare Fund Samruk-Kazyna", JSC "National Managing Holding Baiterek", central governments and central banks of foreign states having a sovereign rating not lower than 'AA-' from Standard & Poor's or a rating of similar level from one of the other rating agencies, issued in favor of persons included in Group I of assets weighted by credit risk		0	0
1.2	Bank guarantees and sureties, obligations under which are fully secured by: counter-guarantees (sureties) of the Government of the Republic of Kazakhstan, JSC "National Welfare Fund Samruk-Kazyna", central governments and central banks of foreign states having a sovereign rating at level 'AA-' and above from Standard & Poor's or a rating of similar level from one of the other rating agencies; funds or refined precious metals provided to the disposal of the bank; securities of the Government of the Republic of Kazakhstan, the National Bank of the Republic of Kazakhstan, JSC "National Welfare Fund Samruk-Kazyna", central governments and central banks of foreign states having a sovereign rating not lower than 'AA-' from Standard & Poor's or a rating of similar level from one of the other rating agencies, issued in favor of persons included in Group II of assets weighted by credit risk		0	20
1.3	Bank guarantees and sureties, obligations under which are fully secured by: counter-guarantees (sureties) of the Government of the Republic of Kazakhstan, JSC "National Welfare Fund Samruk-Kazyna", central governments and central banks of foreign states having a sovereign rating at level 'AA-' and above from Standard & Poor's or a rating of similar level from one of the other rating agencies; funds or refined precious metals provided to the disposal of the bank; securities of the Government of the Republic of Kazakhstan, the National Bank of the Republic of Kazakhstan, JSC "National Welfare Fund Samruk-Kazyna", central governments and central banks of foreign states having a sovereign rating not lower than 'AA-' from Standard & Poor's or a rating of similar level from one of the other rating agencies, issued in favor of persons included in Group III of assets weighted by credit risk		0	50
1.4	Bank guarantees and sureties, obligations under which are fully secured by: counter-guarantees (sureties) of the Government of the Republic of Kazakhstan, JSC "National Welfare Fund Samruk-Kazyna", central governments and central banks of foreign states having a sovereign rating at level 'AA-' and above from Standard & Poor's or a rating of similar level from one of the other rating agencies; funds or refined precious metals provided to the disposal of the bank; securities of the Government of the Republic of Kazakhstan, the National Bank of the Republic of Kazakhstan, JSC "National Welfare Fund Samruk-Kazyna", central governments and central banks of foreign states having a sovereign rating not lower than 'AA-' from Standard & Poor's or a rating of similar level from one of the other rating agencies, issued in favor of persons included in Group IV of assets weighted by credit risk		0	100
1.5	Bank guarantees and sureties, obligations under which are fully secured by: counter-guarantees (sureties) of the Government of the Republic of Kazakhstan, JSC "National Welfare Fund Samruk-Kazyna", central governments and central banks of foreign states having a sovereign rating at level 'AA-' and above from Standard & Poor's or a rating of similar level from one of the other rating agencies; funds or refined precious metals provided to the disposal of the bank; securities of the Government of the Republic of Kazakhstan, the National Bank of the Republic of Kazakhstan, JSC "National Welfare Fund Samruk-Kazyna", central governments and central banks of foreign states having a sovereign rating not lower than 'AA-' from Standard & Poor's or a rating of similar level from one of the other rating agencies, issued in favor of persons included in Group V of assets weighted by credit risk		0	150
1.6	Contingent (possible) obligations to purchase or sell securities issued by the Government of the Republic of Kazakhstan, the National Bank of the Republic of Kazakhstan, JSC "National Welfare Fund Samruk-Kazyna", JSC "National Managing Holding Baiterek" or securities issued by central governments and central banks of foreign states having a sovereign rating at level 'AA-' and above from Standard & Poor's or a rating of similar level from one of the other rating agencies, other highly liquid securities, concluded with counterparties included in Group I of assets weighted by credit risk		0	0
1.7	Contingent (possible) obligations to purchase or sell securities issued by the Government of the Republic of Kazakhstan, the National Bank of the Republic of Kazakhstan, JSC "National Welfare Fund Samruk-Kazyna" or securities issued by central governments and central banks of foreign states having a sovereign rating at level 'AA-' and above from Standard & Poor's or a rating of similar level from one of the other rating agencies, other highly liquid securities, concluded with counterparties included in Group II of assets weighted by credit risk		0	20
1.8	Contingent (possible) obligations to purchase or sell securities issued by the Government of the Republic of Kazakhstan, the National Bank of the Republic of Kazakhstan, JSC "National Welfare Fund Samruk-Kazyna" or securities issued by central governments and central banks of foreign states having a sovereign rating at level 'AA-' and above from Standard & Poor's or a rating of similar level from one of the other rating agencies, other highly liquid securities, concluded with counterparties included in Group III of assets weighted by credit risk		0	50
1.9	Contingent (possible) obligations to purchase or sell securities issued by the Government of the Republic of Kazakhstan, the National Bank of the Republic of Kazakhstan, JSC "National Welfare Fund Samruk-Kazyna" or securities issued by central governments and central banks of foreign states having a sovereign rating at level 'AA-' and above from Standard & Poor's or a rating of similar level from one of the other rating agencies, other highly liquid securities, concluded with counterparties included in Group IV of assets weighted by credit risk		0	100
1.10	Contingent (possible) obligations to purchase or sell securities issued by the Government of the Republic of Kazakhstan, the National Bank of the Republic of Kazakhstan, JSC "National Welfare Fund Samruk-Kazyna" or securities issued by central governments and central banks of foreign states having a sovereign rating at level 'AA-' and above from Standard & Poor's or a rating of similar level from one of the other rating agencies, other highly liquid securities, concluded with counterparties included in Group V of assets weighted by credit risk		0	150
1.11	Bank letters of credit: without financial obligations of the bank; obligations under which are secured by: guarantees (sureties) of the Government of the Republic of Kazakhstan, the National Bank of the Republic of Kazakhstan, JSC "National Welfare Fund Samruk-Kazyna", JSC "National Managing Holding Baiterek", central governments and central banks of foreign states having a sovereign rating at level 'AA-' and above from Standard & Poor's or a rating of similar level from one of the other rating agencies; securities of the Government of the Republic of Kazakhstan, the National Bank of the Republic of Kazakhstan, JSC "National Welfare Fund Samruk-Kazyna", JSC "National Managing Holding Baiterek", central governments and central banks of foreign states having a sovereign rating at level 'AA-' and above from Standard & Poor's or a rating of similar level from one of the other rating agencies; funds or refined precious metals provided to the disposal of the bank, issued in favor of persons included in Group I of assets weighted by credit risk		0	0
1.12	Bank letters of credit: without financial obligations of the bank; obligations under which are secured by: guarantees (sureties) of the Government of the Republic of Kazakhstan, JSC "National Welfare Fund Samruk-Kazyna", central governments and central banks of foreign states having a sovereign rating at level 'AA-' and above from Standard & Poor's or a rating of similar level from one of the other rating agencies; securities of the Government of the Republic of Kazakhstan, the National Bank of the Republic of Kazakhstan, JSC "National Welfare Fund Samruk-Kazyna", central governments and central banks of foreign states having a sovereign rating at level 'AA-' and above from Standard & Poor's or a rating of similar level from one of the other rating agencies; funds or refined precious metals provided to the disposal of the bank, issued in favor of persons included in Group II of assets weighted by credit risk		0	20
1.13	Bank letters of credit: without financial obligations of the bank; obligations under which are secured by: guarantees (sureties) of the Government of the Republic of Kazakhstan, JSC "National Welfare Fund Samruk-Kazyna", central governments and central banks of foreign states having a sovereign rating at level 'AA-' and above from Standard & Poor's or a rating of similar level from one of the other rating agencies; securities of the Government of the Republic of Kazakhstan, the National Bank of the Republic of Kazakhstan, JSC "National Welfare Fund Samruk-Kazyna", central governments and central banks of foreign states having a sovereign rating at level 'AA-' and above from Standard & Poor's or a rating of similar level from one of the other rating agencies; funds or refined precious metals provided to the disposal of the bank, issued in favor of persons included in Group III of assets weighted by credit risk		0	50
1.14	Bank letters of credit: without financial obligations of the bank; obligations under which are secured by: guarantees (sureties) of the Government of the Republic of Kazakhstan, JSC "National Welfare Fund Samruk-Kazyna", central governments and central banks of foreign states having a sovereign rating at level 'AA-' and above from Standard & Poor's or a rating of similar level from one of the other rating agencies; securities of the Government of the Republic of Kazakhstan, JSC "National Welfare Fund Samruk-Kazyna", central governments and central banks of foreign states having a sovereign rating at level 'AA-' and above from Standard & Poor's or a rating of similar level from one of the other rating agencies; funds or refined precious metals provided to the disposal of the bank, issued in favor of persons included in Group IV of assets weighted by credit risk		0	100
1.15	Bank letters of credit: without financial obligations of the bank; obligations under which are secured by: guarantees (sureties) of the Government of the Republic of Kazakhstan, JSC "National Welfare Fund Samruk-Kazyna", central governments and central banks of foreign states having a sovereign rating at level 'AA-' and above from Standard & Poor's or a rating of similar level from one of the other rating agencies; securities of the Government of the Republic of Kazakhstan, JSC "National Welfare Fund Samruk-Kazyna", central governments and central banks of foreign states having a sovereign rating at level 'AA-' and above from Standard & Poor's or a rating of similar level from one of the other rating agencies; funds or refined precious metals provided to the disposal of the bank, issued in favor of persons included in Group V of assets weighted by credit risk		0	150
1.16	Possible (contingent) obligations for the bank to place loans and deposits in the future, subject to cancellation at any time at the request of the bank, concluded with persons included in Group I of assets weighted by credit risk		0	0
1.17	Possible (contingent) obligations for the bank to place loans and deposits in the future, subject to cancellation at any time at the request of the bank, concluded with persons included in Group II of assets weighted by credit risk		0	20
1.18	Possible (contingent) obligations for the bank to place loans and deposits in the future, subject to cancellation at any time at the request of the bank, concluded with persons included in Group III of assets weighted by credit risk		0	50
1.19	Possible (contingent) obligations for the bank to place loans and deposits in the future, subject to cancellation at any time at the request of the bank, concluded with persons included in Group IV of assets weighted by credit risk		0	100
1.20	Possible (contingent) obligations for the bank to place loans and deposits in the future, subject to cancellation at any time at the request of the bank, concluded with persons included in Group V of assets weighted by credit risk		0	150
1.21	Bank guarantees and sureties issued in favor of subsidiary companies of the bank included in Group I of assets weighted by credit risk when attracting external loans through them and placing debt obligations of the bank		0	0
1.22	Bank guarantees and sureties issued in favor of subsidiary companies of the bank included in Group II of assets weighted by credit risk when attracting external loans through them and placing debt obligations of the bank		0	20
1.23	Bank guarantees and sureties issued in favor of subsidiary companies of the bank included in Group III of assets weighted by credit risk when attracting external loans through them and placing debt obligations of the bank		0	50
1.24	Bank guarantees and sureties issued in favor of subsidiary companies of the bank included in Group IV of assets weighted by credit risk when attracting external loans through them and placing debt obligations of the bank		0	100
1.25	Bank guarantees and sureties issued in favor of subsidiary companies of the bank included in Group V of assets weighted by credit risk when attracting external loans through them and placing debt obligations of the bank		0	150
1.26	Guarantees accepted by the bank to secure a loan issued, concluded with persons included in Group I of assets weighted by credit risk		0	0
1.27	Guarantees accepted by the bank to secure a loan issued, concluded with persons included in Group II of assets weighted by credit risk		0	20
1.28	Guarantees accepted by the bank to secure a loan issued, concluded with persons included in Group III of assets weighted by credit risk		0	50
1.29	Guarantees accepted by the bank to secure a loan issued, concluded with persons included in Group IV of assets weighted by credit risk		0	100
1.30	Guarantees accepted by the bank to secure a loan issued, concluded with persons included in Group V of assets weighted by credit risk		0	150
1.31	Liquidity instruments provided by the bank to a special finance company		0	-
Group II
2.1	Possible (contingent) obligations for the bank to place loans and deposits in the future with a maturity of less than 1 year, concluded with persons included in Group I of assets weighted by credit risk		20	0

	Weighted by Credit Risk Degree
2.2	Potential (contingent) obligations for the bank to place loans and deposits in the future with a maturity of less than 1 year, concluded with persons included in the II asset group, weighted by credit risk degree		20	20
2.3	Potential (contingent) obligations for the bank to place loans and deposits in the future with a maturity of less than 1 year, concluded with persons included in the III asset group, weighted by credit risk degree		20	50
2.4	Potential (contingent) obligations for the bank to place loans and deposits in the future with a maturity of less than 1 year, concluded with persons included in the IV asset group, weighted by credit risk degree		20	100
2.5	Potential (contingent) obligations for the bank to place loans and deposits in the future with a maturity of less than 1 year, concluded with persons included in the V asset group, weighted by credit risk degree		20	150
2.6	Bank guarantees and sureties, for which obligations are fully secured: by counter-guarantees (sureties) of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by securities of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies, issued in favor of borrowers included in the V asset group, weighted by credit risk degree		20	0
2.7	Bank guarantees and sureties, for which obligations are fully secured: by counter-guarantees (sureties) of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by securities of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies, issued in favor of persons included in the II asset group, weighted by credit risk degree		20	20
2.8	Bank guarantees and sureties, for which obligations are fully secured: by counter-guarantees (sureties) of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by securities of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies, issued in favor of persons included in the III asset group, weighted by credit risk degree		20	50
2.9	Bank guarantees and sureties, for which obligations are fully secured: by counter-guarantees (sureties) of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by securities of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies, issued in favor of persons included in the IV asset group, weighted by credit risk degree		20	100
2.10	Bank guarantees and sureties, for which obligations are fully secured: by counter-guarantees (sureties) of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by securities of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies, issued in favor of persons included in the V asset group, weighted by credit risk degree		20	150
2.11	Bank letters of credit, for which obligations are secured: by guarantees (sureties) of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by guarantees (sureties) of banks having a debt rating at the level of 'AA-' and above by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by securities of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by securities of banks having a debt rating at the level of 'AA-' and above by Standard & Poor's or a rating of equivalent level by one of other rating agencies, issued in favor of persons included in the I asset group, weighted by credit risk degree		20	0
2.12	Bank letters of credit, for which obligations are secured: by guarantees (sureties) of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by guarantees (sureties) of banks having a debt rating at the level of 'AA-' and above by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by securities of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by securities of banks having a debt rating at the level of 'AA-' and above by Standard & Poor's or a rating of equivalent level by one of other rating agencies, issued in favor of persons included in the II asset group, weighted by credit risk degree		20	20
2.13	Bank letters of credit, for which obligations are secured: by guarantees (sureties) of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by guarantees (sureties) of banks having a debt rating at the level of 'AA-' and above by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by securities of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by securities of banks having a debt rating at the level of 'AA-' and above by Standard & Poor's or a rating of equivalent level by one of other rating agencies, issued in favor of persons included in the III asset group, weighted by credit risk degree		20	50
2.14	Bank letters of credit, for which obligations are secured: by guarantees (sureties) of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by guarantees (sureties) of banks having a debt rating at the level of 'AA-' and above by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by securities of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by securities of banks having a debt rating at the level of 'AA-' and above by Standard & Poor's or a rating of equivalent level by one of other rating agencies, issued in favor of persons included in the IV asset group, weighted by credit risk degree		20	100
2.15	Bank letters of credit, for which obligations are secured: by guarantees (sureties) of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by guarantees (sureties) of banks having a debt rating at the level of 'AA-' and above by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by securities of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by securities of banks having a debt rating at the level of 'AA-' and above by Standard & Poor's or a rating of equivalent level by one of other rating agencies, issued in favor of persons included in the V asset group, weighted by credit risk degree		20	150
2.16	Securitization positions held by the bank in off-balance sheet accounts and having a credit rating from 'AAA' to 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies or a rating assessment from 'kzAAA' to 'kzAA-' on the national scale of Standard & Poor's or a rating of equivalent level on the national scale by one of other rating agencies, in relation to persons included in the II asset group, weighted by credit risk degree		20	20
2.17	Securitization positions held by the bank in off-balance sheet accounts and having a credit rating from 'AAA' to 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies or a rating assessment from 'kzAAA' to 'kzAA-' on the national scale of Standard & Poor's or a rating of equivalent level on the national scale by one of other rating agencies, in relation to persons included in the III asset group, weighted by credit risk degree		20	50
2.18	Securitization positions held by the bank in off-balance sheet accounts and having a credit rating from 'AAA' to 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies or a rating assessment from 'kzAAA' to 'kzAA-' on the national scale of Standard & Poor's or a rating of equivalent level on the national scale by one of other rating agencies, in relation to persons included in the IV asset group, weighted by credit risk degree		20	100
2.19	Securitization positions held by the bank in off-balance sheet accounts and having a credit rating from 'AAA' to 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies or a rating assessment from 'kzAAA' to 'kzAA-' on the national scale of Standard & Poor's or a rating of equivalent level on the national scale by one of other rating agencies, in relation to persons included in the V asset group, weighted by credit risk degree		20	150
2.20	Liquidity instruments provided by the bank to a special financial company with an initial maturity of up to one year inclusive		20	-
Group III
3.1	Potential (contingent) obligations for the bank to place loans and deposits in the future with a maturity of more than 1 year, concluded with persons included in the I asset group, weighted by credit risk degree		50	0
3.2	Potential (contingent) obligations for the bank to place loans and deposits in the future with a maturity of more than 1 year, concluded with persons included in the II asset group, weighted by credit risk degree		50	20
3.3	Potential (contingent) obligations for the bank to place loans and deposits in the future with a maturity of more than 1 year, concluded with persons included in the III asset group, weighted by credit risk degree		50	50
3.4	Potential (contingent) obligations for the bank to place loans and deposits in the future with a maturity of more than 1 year, concluded with persons included in the IV asset group, weighted by credit risk degree		50	100
3.5	Potential (contingent) obligations for the bank to place loans and deposits in the future with a maturity of more than 1 year, concluded with persons included in the V asset group, weighted by credit risk degree		50	150
3.6	Bank guarantees and sureties, for which obligations are fully secured: by counter-guarantees (sureties) of central governments and central banks of foreign states having a sovereign rating from 'BBB-' to 'A-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by guarantees (sureties) of banks having a debt rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by guarantees (sureties) of legal entities and insurance policies of insurance (reinsurance) organizations having a debt rating at the level of 'AA-' and above by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by securities of central governments and central banks of foreign states having a sovereign rating from 'BBB-' to 'A-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by securities of banks having a debt rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by securities of legal entities having a debt rating at the level of 'AA-' and above by Standard & Poor's or a rating of equivalent level by one of other rating agencies, issued in favor of persons included in the I asset group, weighted by credit risk degree		50	0
3.7	Bank guarantees and sureties, for which obligations are fully secured: by counter-guarantees (sureties) of central governments and central banks of foreign states having a sovereign rating from 'BBB-' to 'A-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by guarantees (sureties) of banks having a debt rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by guarantees (sureties) of legal entities and insurance policies of insurance (reinsurance) organizations having a debt rating at the level of 'AA-' and above by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by securities of central governments and central banks of foreign states having a sovereign rating from 'BBB-' to 'A-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by securities of banks having a debt rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by securities of legal entities having a debt rating at the level of 'AA-' and above by Standard & Poor's or a rating of equivalent level by one of other rating agencies, issued in favor of persons included in the I asset group, weighted by credit risk degree		50	20
3.8	Bank guarantees and sureties, for which obligations are fully secured: by counter-guarantees (sureties) of central governments and central banks of foreign states having a sovereign rating from 'BBB-' to 'A-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by guarantees (sureties) of banks having a debt rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by guarantees (sureties) of legal entities and insurance policies of insurance (reinsurance) organizations having a debt rating at the level of 'AA-' and above by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by securities of central governments and central banks of foreign states having a sovereign rating from 'BBB-' to 'A-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by securities of banks having a debt rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by securities of legal entities having a debt rating at the level of 'AA-' and above by Standard & Poor's or a rating of equivalent level by one of other rating agencies, issued in favor of persons included in the III asset group, weighted by credit risk degree		50	50
3.9	Bank guarantees and sureties, for which obligations are fully secured: by counter-guarantees (sureties) of central governments and central banks of foreign states having a sovereign rating from 'BBB-' to 'A-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by guarantees (sureties) of banks having a debt rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by guarantees (sureties) of legal entities and insurance policies of insurance (reinsurance) organizations having a debt rating at the level of 'AA-' and above by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by securities of central governments and central banks of foreign states having a sovereign rating from 'BBB-' to 'A-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by securities of banks having a debt rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies; by securities of legal entities having a debt rating at the level of 'AA-' and above by Standard & Poor's or a rating of equivalent level by one of other rating agencies, issued in favor of persons included in the IV asset group, weighted by credit risk degree		50	100

	levels of one of the other rating agencies; securities of central governments and central banks of foreign states having a sovereign rating from 'BBB-' to 'A-' by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies; securities of banks having a debt rating from 'A-' to 'AA-' by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies; securities of legal entities having a debt rating at the level of 'AA-' and above by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies, issued in favor of persons included in group IV of assets, weighted by credit risk
3.10	Guarantees and sureties of a bank, obligations under which are fully secured by: counter-guarantees (sureties) of central governments and central banks of foreign states having a sovereign rating from 'BBB-' to 'A-' by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies; guarantees (sureties) of banks having a debt rating from 'A-' to 'AA-' by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies; guarantees (sureties) of legal entities and insurance policies of insurance (reinsurance) organizations having a debt rating at the level of 'AA-' and above by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies; securities of central governments and central banks of foreign states having a sovereign rating from 'BBB-' to 'A-' by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies; securities of banks having a debt rating from 'A-' to 'AA-' by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies; securities of legal entities having a debt rating at the level of 'AA-' and above by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies, issued in favor of persons included in group V of assets, weighted by credit risk	50	150
3.11	Bank letters of credit, obligations under which are fully secured by: counter-guarantees (sureties) of central governments and central banks of foreign states having a sovereign rating from 'BBB-' to 'A-' by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies; guarantees (sureties) of banks having a debt rating from 'A-' to 'AA-' by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies; guarantees (sureties) of legal entities and insurance policies of insurance (reinsurance) organizations having a debt rating at the level of 'AA-' and above by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies; securities of central governments and central banks of foreign states having a sovereign rating from 'BBB-' to 'A-' by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies; securities of banks having a debt rating from 'A-' to 'AA-' by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies; securities of legal entities having a debt rating at the level of 'AA-' and above by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies, issued in favor of persons included in group I of assets, weighted by credit risk	50	0
3.12	Bank letters of credit, obligations under which are fully secured by: counter-guarantees (sureties) of central governments and central banks of foreign states having a sovereign rating from 'BBB-' to 'A-' by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies; guarantees (sureties) of banks having a debt rating from 'A-' to 'AA-' by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies; guarantees (sureties) of legal entities and insurance policies of insurance (reinsurance) organizations having a debt rating at the level of 'AA-' and above by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies; securities of central governments and central banks of foreign states having a sovereign rating from 'BBB-' to 'A-' by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies; securities of banks having a debt rating from 'A-' to 'AA-' by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies; securities of legal entities having a debt rating at the level of 'AA-' and above by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies, issued in favor of persons included in group II of assets, weighted by credit risk	50	20
3.13	Bank letters of credit, obligations under which are fully secured by: counter-guarantees (sureties) of central governments and central banks of foreign states having a sovereign rating from 'BBB-' to 'A-' by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies; guarantees (sureties) of banks having a debt rating from 'A-' to 'AA-' by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies; guarantees (sureties) of legal entities and insurance policies of insurance (reinsurance) organizations having a debt rating at the level of 'AA-' and above by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies; securities of central governments and central banks of foreign states having a sovereign rating from 'BBB-' to 'A-' by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies; securities of banks having a debt rating from 'A-' to 'AA-' by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies; securities of legal entities having a debt rating at the level of 'AA-' and above by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies, issued in favor of persons included in group III of assets, weighted by credit risk	50	50
3.14	Bank letters of credit, obligations under which are fully secured by: counter-guarantees (sureties) of central governments and central banks of foreign states having a sovereign rating from 'BBB-' to 'A-' by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies; guarantees (sureties) of banks having a debt rating from 'A-' to 'AA-' by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies; guarantees (sureties) of legal entities and insurance policies of insurance (reinsurance) organizations having a debt rating at the level of 'AA-' and above by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies; securities of central governments and central banks of foreign states having a sovereign rating from 'BBB-' to 'A-' by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies; securities of banks having a debt rating from 'A-' to 'AA-' by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies; securities of legal entities having a debt rating at the level of 'AA-' and above by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies, issued in favor of persons included in group IV of assets, weighted by credit risk	50	100
3.15	Bank letters of credit, obligations under which are fully secured by: counter-guarantees (sureties) of central governments and central banks of foreign states having a sovereign rating from 'BBB-' to 'A-' by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies; guarantees (sureties) of banks having a debt rating from 'A-' to 'AA-' by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies; guarantees (sureties) of legal entities and insurance policies of insurance (reinsurance) organizations having a debt rating at the level of 'AA-' and above by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies; securities of central governments and central banks of foreign states having a sovereign rating from 'BBB-' to 'A-' by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies; securities of banks having a debt rating from 'A-' to 'AA-' by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies; securities of legal entities having a debt rating at the level of 'AA-' and above by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies, issued in favor of persons included in group V of assets, weighted by credit risk	50	150
3.16	Possible (contingent) obligations for repurchase from JSC "Kazakhstan Mortgage Company" of claims rights under mortgage housing loans	50	100
3.17	Securitization positions held by the bank on contingent liability accounts and having a credit rating from 'A+' to 'A-' by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies or a rating assessment from 'kzA+' to 'kzA-' on the national scale of Standard & Poor's or a rating of an equivalent level on the national scale of one of the other rating agencies, with respect to persons included in group II of assets, weighted by credit risk	50	20
3.18	Securitization positions held by the bank on contingent liability accounts and having a credit rating from 'A+' to 'A-' by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies or a rating assessment from 'kzA+' to 'kzA-' on the national scale of Standard & Poor's or a rating of an equivalent level on the national scale of one of the other rating agencies, with respect to persons included in group III of assets, weighted by credit risk	50	50
3.19	Securitization positions held by the bank on contingent liability accounts and having a credit rating from 'A+' to 'A-' by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies or a rating assessment from 'kzA+' to 'kzA-' on the national scale of Standard & Poor's or a rating of an equivalent level on the national scale of one of the other rating agencies, with respect to persons included in group IV of assets, weighted by credit risk	50	100
3.20	Securitization positions held by the bank on contingent liability accounts and having a credit rating from 'A+' to 'A-' by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies or a rating assessment from 'kzA+' to 'kzA-' on the national scale of Standard & Poor's or a rating of an equivalent level on the national scale of one of the other rating agencies, with respect to persons included in group V of assets, weighted by credit risk	50	150
3.21	Liquidity instruments provided by the bank to a special purpose financial company with an initial maturity period of more than one year	50	-
Group IV
4.1	Agreement on sale to the bank and with an obligation for the bank to repurchase financial instruments, concluded with persons included in group I of assets, weighted by credit risk	100	0
4.2	Agreement on sale to the bank and with an obligation for the bank to repurchase financial instruments, concluded with persons included in group II of assets, weighted by credit risk	100	20
4.3	Agreement on sale to the bank and with an obligation for the bank to repurchase financial instruments, concluded with persons included in group III of assets, weighted by credit risk	100	50
4.4	Agreement on sale to the bank and with an obligation for the bank to repurchase financial instruments, concluded with persons included in group IV of assets, weighted by credit risk	100	100
4.5	Agreement on sale to the bank and with an obligation for the bank to repurchase financial instruments, concluded with persons included in group V of assets, weighted by credit risk	100	150
4.6	Other guarantees (sureties) of a bank issued in favor of persons included in group I of assets, weighted by credit risk	100	0
4.7	Other guarantees (sureties) of a bank issued in favor of persons included in group II of assets, weighted by credit risk	100	20
4.8	Other guarantees (sureties) of a bank issued in favor of persons included in group III of assets, weighted by credit risk	100	50
4.9	Other guarantees (sureties) of a bank issued in favor of persons included in group IV of assets, weighted by credit risk	100	100
4.10	Other guarantees (sureties) of a bank issued in favor of persons included in group V of assets, weighted by credit risk	100	150
4.11	Other bank letters of credit issued in favor of persons included in group I of assets, weighted by credit risk	100	0
4.12	Other bank letters of credit issued in favor of persons included in group II of assets, weighted by credit risk	100	20
4.13	Other bank letters of credit issued in favor of persons included in group III of assets, weighted by credit risk	100	50
4.14	Other bank letters of credit issued in favor of persons included in group IV of assets, weighted by credit risk	100	100
4.15	Other bank letters of credit issued in favor of persons included in group V of assets, weighted by credit risk	100	150
4.16	Securitization positions held by the bank on contingent liability accounts and having a credit rating from 'BBB+' to 'BBB-' by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies or a rating assessment from 'kzBBB+' to 'kzBBB-' on the national scale of Standard & Poor's or a rating of an equivalent level on the national scale of one of the other rating agencies, with respect to persons included in group II of assets, weighted by credit risk	100	20
4.17	Securitization positions held by the bank on contingent liability accounts and having a credit rating from 'BBB+' to 'BBB-' by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies or a rating assessment from 'kzBBB+' to 'kzBBB-' on the national scale of Standard & Poor's or a rating of an equivalent level on the national scale of one of the other rating agencies, with respect to persons included in group III of assets, weighted by credit risk	100	50
4.18	Securitization positions held by the bank on contingent liability accounts and having a credit rating from 'BBB+' to 'BBB-' by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies or a rating assessment from 'kzBBB+' to 'kzBBB-' on the national scale of Standard & Poor's or a rating of an equivalent level on the national scale of one of the other rating agencies, with respect to persons included in group IV of assets, weighted by credit risk	100	100
4.19	Securitization positions held by the bank on contingent liability accounts and having a credit rating from 'BBB+' to 'BBB-' by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies or a rating assessment from 'kzBBB+' to 'kzBBB-' on the national scale of Standard & Poor's or a rating of an equivalent level on the national scale of one of the other rating agencies, with respect to persons included in group V of assets, weighted by credit risk	100	150
4.20	Other contingent (possible) obligations of a bank to persons included in group I of assets, weighted by credit risk	100	0
4.21	Other contingent (possible) obligations of a bank to persons included in group II of assets, weighted by credit risk	100	20
4.22	Other contingent (possible) obligations of a bank to persons included in group III of assets, weighted by credit risk	100	50
4.23	Other contingent (possible) obligations of a bank to persons included in group IV of assets, weighted by credit risk	100	100
4.24	Other contingent (possible) obligations of a bank to persons included in group V of assets, weighted by credit risk	100	150
4.25	Securitization positions held by the bank on contingent liability accounts and having a credit rating from 'BB+' to 'BB-' by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies or a rating assessment from 'kzBB+' to 'kzBB-' on the national scale of Standard & Poor's or a rating of an equivalent level on the national scale of one of the other rating agencies, with respect to persons included in group II of assets, weighted by credit risk	350	20
4.26	Securitization positions held by the bank on contingent liability accounts and having a credit rating from 'BB+' to 'BB-' by Standard & Poor's or a rating of an equivalent level of one of the other rating agencies or a rating assessment from 'kzBB+' to 'kzBB-' on the national scale of Standard & Poor's or a rating of an equivalent level on the national scale of one of the other rating agencies, with respect to persons included in group III of assets, weighted by credit risk	350	50

	rating assessment from "kzBB+" to "kzBB-" on the national scale of Standard & Poor's or a rating of similar level on the national scale of one of other rating agencies, with respect to persons included in Group III of assets weighted by credit risk
4.27	Securitization positions held by the bank on accounts of contingent liabilities and having a credit rating from "BB+" to "BB-" of Standard & Poor's or a rating of similar level of one of other rating agencies or a rating assessment from "kzBB+" to "kzBB-" on the national scale of Standard & Poor's or a rating of similar level on the national scale of one of other rating agencies, with respect to persons included in Group IV of assets weighted by credit risk	350	100
4.28	Securitization positions held by the bank on accounts of contingent liabilities and having a credit rating from "BB+" to "BB-" of Standard & Poor's or a rating of similar level of one of other rating agencies or a rating assessment from "kzBB+" to "kzBB-" on the national scale of Standard & Poor's or a rating of similar level on the national scale of one of other rating agencies, with respect to persons included in Group V of assets weighted by credit risk	350	150
5	Total contingent liabilities weighted by credit risk:	X	X

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, name and patronymic (if any) phone

Chief Accountant or person authorized to sign the report ______ ______ surname, name and patronymic (if any) signature, phone

Head or person authorized by him to sign the report ______ ______ surname, name and patronymic (if any) signature, phone

Date “____” ______ 20__ year

Appendix
to the reporting form for the breakdown of contingent and possible liabilities, weighted taking into account credit risk

Explanation for filling out the administrative data form

Report on the breakdown of contingent and possible liabilities, weighted taking into account credit risk

(index – 1-BVU_ RUIVO, frequency – monthly)

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the administrative data form "Report on the breakdown of contingent and possible liabilities, weighted taking into account credit risk" (hereinafter - Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", with paragraph 1 of Article 54 of the Law of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan".
3. The Form is compiled monthly by second-level banks as of the first day of each month. Data in the Form are filled in thousands of tenge.
4. The Form is signed by the head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation for Filling out the Form

5. The Form is filled out in accordance with the Resolution of the Board of the National Bank of Kazakhstan dated September 13, 2017 No. 170 "On establishing normative values and calculation methodologies for prudential norms and other mandatory standards and limits, bank capital size and Rules for calculating and limiting open currency position", registered in the Registry of state registration of regulatory legal acts under No. 15886.
6. Column 3 indicates the amount of contingent and possible liabilities subject to weighting taking into account credit risk.
7. Column 6 indicates the amount of contingent and possible liabilities specified in column 3, multiplied by the value of the conversion coefficient in percent (column 4), and the value of the credit risk coefficient in percent (column 5).
8. In the absence of information in the reporting period, the Form is not filled out and not submitted.

Appendix 5
to the List of regulatory legal acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

Appendix 5
to the resolution of the Board of the National Bank of the Republic of Kazakhstan dated May 8, 2015 No. 75

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan Administrative data form is posted on the internet resource: www.nationalbank.kz

Report on the breakdown of contingent and possible claims and liabilities on derivative financial instruments, weighted taking into account credit risk

Index of administrative data form: 1-BVU_ RPFI Frequency: monthly Reporting period: as of “___”______20__year Circle of persons submitting information: second-level bank Submission deadline: no later than the seventh working day of the month following the reporting month.

Form

(in thousands of tenge)

No.	Name of items	Nominal	Credit Risk	Amount with	Market Value	Credit Risk
		Cost	Coefficient	Credit Risk	of Derivatives	Coefficient
		of Derivatives	for Derivatives	for Derivatives	Financial	for Counterparty
		Financial Instruments	Financial Instruments	Financial Instruments	Instruments	in Percent
			in Percent

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, name and patronymic (if any) phone

Chief Accountant or person authorized to sign the report ______ ______ surname, name and patronymic (if any) signature, phone

Head or person authorized by him to sign the report ______ ______ surname, name and patronymic (if any) signature, phone

Date “____” ______ 20__ year

Appendix
to the reporting form for the breakdown of contingent and possible claims and liabilities on derivative financial instruments, weighted taking into account credit risk

Explanation for filling out the administrative data form

Report on the breakdown of contingent and possible claims and liabilities on derivative financial instruments, weighted taking into account credit risk

(index – 1-BVU_ RPFI, frequency – monthly)

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the administrative data form "Report on the breakdown of contingent and possible claims and liabilities on derivative financial instruments, weighted taking into account credit risk" (hereinafter - Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", with paragraph 1 of Article 54 of the Law of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan".
3. The Form is compiled monthly by second-level banks as of the first day of each month. Data in the Form are filled in thousands of tenge.
4. The Form is signed by the head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation for Filling out the Form

5. Columns 3 and 6 indicate the nominal and market value of derivative financial instruments.
6. Column 5 indicates the nominal value of derivative financial instruments multiplied by the value of the credit risk coefficient for derivative financial instruments.
7. Column 8 indicates the sum of the nominal value of derivative financial instruments with credit risk for derivative financial instruments and the market value of derivative financial instruments, multiplied by the value of the credit risk coefficient for the counterparty.

Appendix 6
to the List of regulatory legal acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

Appendix 6
to the resolution of the Board of the National Bank of the Republic of Kazakhstan dated May 8, 2015 No. 75

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan Administrative data form is posted on the internet resource: www.nationalbank.kz

Report on the breakdown of specific interest risk calculation (by currency)

Index of administrative data form: 1-BVU_RSPR
Frequency: monthly
Reporting period: as of “___”______20__year
Circle of persons submitting information: second-level bank Submission deadline: no later than the seventh working day of the month following the reporting month.

Form

(in thousands of tenge)

No.	Name	Amount	Specific Risk	Amount for
			Coefficient in	Calculation
			Percent
1	2	3	4	5
1	Sum of open positions on homogeneous financial instruments with market risk related to changes in reward rate in the form of government securities of the Republic of Kazakhstan, securities for which there is a state guarantee of the Government of the Republic of Kazakhstan, securities having the status of state, issued by central Governments and central banks of foreign states, whose sovereign rating is not lower than "AA-" by Standard & Poor's or a rating of similar level by Fitch or Moody’s Investors Service (hereinafter - other rating agencies)		0
2	Sum of open positions on homogeneous financial instruments with market risk related to changes in reward rate with maturity less than 6 months in the form of government securities of the Republic of Kazakhstan, issued by local executive bodies of the Republic of Kazakhstan, securities for which there is a state guarantee of the Government of the Republic of Kazakhstan, securities having the status of state, issued by central Governments and central banks of foreign states, whose sovereign rating is not lower than "BBB-" by Standard & Poor's or a rating of similar level of one of other rating agencies, securities issued by international financial organizations, securities included in the official list of trading organizers of the Republic of Kazakhstan and trading organizers recognized by international stock exchanges		0.25
3	Sum of open positions on homogeneous financial instruments with market risk related to changes in reward rate with maturity from 6 months to 24 months in the form of government securities of the Republic of Kazakhstan, issued by local executive bodies of the Republic of Kazakhstan, securities for which there is a state guarantee of the Government of the Republic of Kazakhstan, securities having the status of state, issued by central Governments and central banks of foreign states, whose sovereign rating is not lower than "BBB-" by Standard & Poor's or a rating of similar level of one of other rating agencies, securities issued by international financial organizations, securities included in the official list of trading organizers of the Republic of Kazakhstan and trading organizers recognized by international stock exchanges		1
4	Sum of open positions on homogeneous financial instruments with market risk related to changes in reward rate with maturity more than 24 months in the form of government securities of the Republic of Kazakhstan, issued by local executive bodies of the Republic of Kazakhstan, securities for which there is a state guarantee of the Government of the Republic of Kazakhstan, securities having the status of state, issued by central Governments and central banks of foreign states, whose sovereign rating is not lower than "BBB-" by Standard & Poor's or a rating of similar level of one of other rating agencies, securities issued by international financial organizations, securities included in the official list of trading organizers of the Republic of Kazakhstan and trading organizers recognized by international stock exchanges		1.6
5	Sum of open positions on homogeneous financial instruments with market risk related to changes in reward rate		8
Total specific risk	0	X	0

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, name and patronymic (if any) phone

Chief Accountant or person authorized to sign the report ______ ______ surname, name and patronymic (if any) signature, phone

Head or person authorized by him to sign the report ______ ______ surname, name and patronymic (if any) signature, phone

Date “____” ______ 20__ year

Appendix
to the reporting form for the breakdown of specific interest risk calculation (by currency)

Explanation for filling out the administrative data form

Report on the breakdown of specific interest risk calculation (by currency)

(index – 1-BVU_RSPR, frequency – monthly)

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the administrative data form "Report on the breakdown of specific interest risk calculation (by currency)" (hereinafter - Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", with paragraph 1 of Article 54 of the Law of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan".
3. The Form is compiled monthly by second-level banks as of the first day of each month. Data in the Form are filled in thousands of tenge.
4. The Form is signed by the head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation for Filling out the Form

5. The Form is filled out in accordance with the Resolution of the Board of the National Bank of Kazakhstan dated September 13, 2017 No. 170 "On establishing normative values and calculation methodologies for prudential norms and other mandatory standards and limits, bank capital size and Rules for calculating and limiting open currency position", registered in the Registry of state registration of regulatory legal acts under No. 15886 (hereinafter - Resolution No. 170).
6. Column 3 indicates the sum of open positions on homogeneous financial instruments.
7. Column 5 indicates the sum of open positions on homogeneous financial instruments with the specific risk coefficient in percent.
8. Rows 2, 3 and 4 use international stock exchanges indicated in Appendix 8 of the Normative Values and Calculation Methodologies for Prudential Norms and Other Mandatory Standards and Limits, Bank Capital Size, established according to Appendix 1 to Resolution No. 170.
9. In the absence of information in the reporting period, the Form is not filled out and not submitted.

Appendix 7
to the List of regulatory legal acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

Appendix 7
to the resolution of the Board of the National Bank of the Republic of Kazakhstan dated May 8, 2015 No. 75

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan Administrative data form is posted on the internet resource: www.nationalbank.kz

Report on the distribution of open positions by time intervals (by currency)

Index of administrative data form: 1-BVU_ ROPVI Frequency: monthly Reporting period: as of “___”______20__year Circle of persons submitting information: second-level bank Submission deadline: no later than the seventh working day of the month following the reporting month.

Form

(in thousands of tenge)

Zones	Time Intervals	Open Positions	Weighting	Weighted Open	Closed	Total Weighted
			Coefficient	Positions	Weighted	Open Positions
					Positions
		Long Short		Long Short		Long

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, name and patronymic (if any) phone

Chief Accountant or person authorized to sign the report ______ ______ surname, name and patronymic (if any) signature, phone

Head or person authorized by him to sign the report ______ ______ surname, name and patronymic (if any) signature, phone

Date “____” ______ 20__ year

Appendix
to the reporting form for the distribution of open positions by time intervals (by currency)

Explanation for filling out the administrative data form

Report on the distribution of open positions by time intervals (by currency)

(index – 1-BVU_ ROPVI, frequency – monthly)

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the administrative data form "Report on the distribution of open positions by time intervals (by currency)" (hereinafter - Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", with paragraph 1 of Article 54 of the Law of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan".
3. The Form is compiled monthly by second-level banks as of the first day of each month. Data in the Form are filled in thousands of tenge.
4. The Form is signed by the head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation for Filling out the Form

5. Columns 3 and 4 indicate the sum of open positions.
6. Columns 6 and 7 indicate the sum of weighted open positions with the weighting coefficient.
7. Column 8 indicates the sum of closed weighted positions.
8. Columns 9 and 10 indicate the sum of total weighted open positions.

Appendix 8
to the List of regulatory legal acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

Appendix 8
to the resolution of the Board of the National Bank of the Republic of Kazakhstan dated May 8, 2015 No. 75

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan Administrative data form is posted on the internet resource: www.nationalbank.kz

Report on the breakdown of general interest risk calculation (by currency)

Index of administrative data form: 1-BVU_ ROPR Frequency: monthly Reporting period: as of “___”______20__year Circle of persons submitting information: second-level bank Submission deadline: no later than the seventh working day of the month following the reporting month.

Form

(in thousands of tenge)

No.	Position Names	Amount
1	2	3
1	Calculation of weighted positions compensated by zones
2	Zone 1
3	Total for weighted closed position by time intervals
4	Weighted open position (long)
5	Weighted open position (short)
6	Weighted closed position for total open positions
7	Weighted open position
8	Zone 2
9	Total for weighted closed position by time intervals
10	Weighted open position (long)
11	Weighted open position (short)
12	Weighted closed position for total open positions
13	Weighted open position
14	Zone 3
15	Total for weighted closed position by time intervals
16	Weighted open position (long)
17	Weighted open position (short)
18	Weighted closed position for total open positions
19	Weighted open position
20	Closed position between zones 1 and 2
21	Residual open position for zone 2
22	Residual open position for zone 1
23	Closed position for zones 2 and 3
24	Residual open position for zone 3
25	Residual open position for zone 2
26	Closed position for zones 1 and 3
27	Residual open position for zone 1
28	Residual open position for zone 3
29	Remaining open weighted position
30	10 percent of the sum of weighted closed positions by zones
31	40 percent of closed weighted position of zone 1
32	30 percent of closed weighted position of zone 2
33	30 percent of closed weighted position of zone 3
34	40 percent of closed weighted position between zones 1 and 2
35	40 percent of closed weighted position between zones 2 and 3
36	100 percent of closed weighted position between zones 1 and 3
37	100 percent of remaining open weighted position
38	Total general interest risk

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, name and patronymic (if any) phone

Chief Accountant or person authorized to sign the report ______ ______ surname, name and patronymic (if any) signature, phone

First Head or Person Authorized by Him to Sign the Report ______ ______ surname, first name and patronymic (if any) signature, phone

Date «____» ______ 20__ year

Appendix
to the reporting form for the breakdown of the calculation of total interest rate risk (by currency)

Explanation for filling out the administrative data form

Report on the breakdown of the calculation of total interest rate risk (by currency)

(index – 1-BVU_ ROPR, periodicity – monthly)

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines the unified requirements for filling out the administrative data form "Report on the breakdown of the calculation of total interest rate risk (by currency)" (hereinafter - Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", with paragraph 1 of Article 54 of the Law of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan".
3. The Form is compiled monthly by second-level banks as of the first day of each month. Data in the Form are filled in thousands of tenge.
4. The Form is signed by the first head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation for Filling out the Form

5. In column 3, amounts for weighted and residual open or closed positions by time intervals for each of the zones are indicated.
6. In column 3, row 38, information on total interest rate risk is indicated.

Appendix 9
to the List of regulatory legal acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

Appendix 10
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan of May 8, 2015 No. 75

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan Administrative data form is located on the internet resource: www.nationalbank.kz

Report on the breakdown of the maximum size of risk for one borrower (by borrowers)

Index of administrative data form: 1-BVU_ R_MRZ_R Periodicity: monthly Reporting period: as of "___"______20__year Circle of persons submitting information: second-level bank Submission deadline: no later than the seventh working day of the month following the reporting month.

Form

Table 1. Report on the breakdown of the total debt of one borrower or a group of interconnected borrowers not related to the bank by special relations under any type of obligations to the bank

№	Borrower Name	BIN, IIN	Interconnectedness Sign	Amount of Claims	Collateral	Risk Size, thousands
			of borrowers			tenge
				balance account	thousands	collateral type	thousands
					tenge		tenge
1	2	3	4	5	6	7	8	9
1
2
...
	Total	X	X	X	X	X	X

Table 2. Report on the breakdown of the total debt of one borrower or a group of interconnected borrowers related to the bank by special relations under any type of obligations to the bank

№	Name	BIN, IIN	Sign	Interconnectedness Sign	Amount of Claims	Collateral	Risk Size,
	borrower		of connectedness	of borrowers			thousands
			with the bank by special				tenge
			relations
				balance account	thousands tenge
				balance account	thousands	collateral type	thousands
					tenge		tenge
1	2	3	4	5	6	7	8	9
1
2
...
	Total	X	X	X	X	X	X

Table 4. Report on the breakdown of the maximum amount of blank loans, unsecured conditional obligations to a borrower or on behalf of a borrower to third parties, for which the bank may have claims against the borrower during the current and two subsequent months, for obligations of corresponding borrowers, as well as obligations of non-residents of the Republic of Kazakhstan registered or being citizens of offshore zones, except for claims to residents of the Republic of Kazakhstan with an agency rating of Standard & Poor’s or a rating of a similar level of agencies Fitch or Moody’s Investors Service (hereinafter - other rating agencies) by no more than one point below the sovereign rating of the Republic of Kazakhstan and non-residents having a rating not lower than “A” of the agency Standard & Poor’s or a rating of a similar level of one of the other rating agencies, except for non-residents with a rating not lower than “A” of the agency Standard & Poor’s or a rating of a similar level of one of the other rating agencies, regarding one borrower or a group of interconnected borrowers

№	Borrower Name	BIN, IIN	Interconnectedness Sign of Borrowers	Risk Size, thousands tenge
				balance account	thousands tenge
1	2	3	4	5	6
2
...
	Total	X	X	X

Table 5. Report on the breakdown of the total sum of bank risks for one borrower, the size of each of which exceeds 10 percent of the bank's equity capital

№	Name	BIN, IIN	Sign	Amount of Claims	Collateral	Risk Size,
	borrower		of interconnectedness			thousands tenge
			of borrowers
				balance account	thousands tenge	collateral type	thousands tenge
1	2	3	4	5	6	7	8	9
2
...
	Total	X	X	X	X	X	X

Table 6. Report on the breakdown of the total sum of securitized credits transferred to the special financial company of the joint stock company "Stress Assets Fund"

№	Total Sum of Securitised Credits Transferred to the Special Financial	Sum of Transferred	Risk Size,
	Company of the Joint Stock Company "Stress Assets Fund"	Securitised Credits	thousands tenge
		balance account	thousands tenge
1	2	3	4	5
1
2
...
	Total	X

Name______ Address______

Phone ______

Email Address ______

Executor______ ______ surname, first name and patronymic (if any) phone

Chief Accountant or Person Authorized to Sign the Report ______ ______ surname, first name and patronymic (if any) signature, phone

First Head or Person Authorized by Him to Sign the Report ______ ______ surname, first name and patronymic (if any) signature, phone

Date «____» ______ 20__ year

Appendix
to the reporting form for the breakdown of the maximum size of risk for one borrower (by borrowers)

Explanation for filling out the administrative data form

Report on the breakdown of the maximum size of risk for one borrower (by borrowers)

(index – 1-BVU_ R_MRZ_R, periodicity – monthly)

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines the unified requirements for filling out the administrative data form "Report on the breakdown of the maximum size of risk for one borrower (by borrowers)" (hereinafter - Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", with paragraph 1 of Article 54 of the Law of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan".
3. The Form is compiled monthly by second-level banks as of the first day of each month. Data in the Form are filled in thousands of tenge.
4. The Form is signed by the first head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation for Filling out the Form

5. The Form is filled out in accordance with the Resolutions of the Board of the National Bank of the Republic of Kazakhstan dated May 30, 2016 No. 144 "On Establishing Prudential Norms and Other Mandatory Compliance Norms and Limits for Islamic Banks, Their Normative Values and Methodology for Calculating Prudential Norms and Other Mandatory Compliance Norms and Limits for Islamic Banks", registered in the Registry of State Registration of Regulatory Legal Acts under No. 13939 (hereinafter - Resolution No. 144) and dated September 13, 2017 No. 170 "On Establishing Normative Values and Methodologies for Calculating Prudential Norms and Other Mandatory Compliance Norms and Limits, Bank Capital Size and Rules for Calculating and Limits of Open Currency Position", registered in the Registry of State Registration of Regulatory Legal Acts under No. 15886 (hereinafter - Resolution No. 170).
6. When filling out the Form, information calculated in accordance with Chapter 3 "Maximum Size of Risk for One Borrower" of the Normative Values and Methodology for Calculating Prudential Norms and Other Mandatory Compliance Norms and Limits for Islamic Banks, established according to Appendix 1 to Resolution No. 144 and Chapter 4 "Maximum Size of Risk for One Borrower" of the Normative Values and Methodologies for Calculating Prudential Norms and Other Mandatory Compliance Norms and Limits, Bank Capital Size, established according to Appendix 1 to Resolution No. 170 is indicated.
7. The Form contains six tables. In the absence of information in the reporting period, these tables are not filled out and not submitted.

Appendix 10
to the List of regulatory legal acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

Appendix 11
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan of May 8, 2015 No. 75

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan Administrative data form is located on the internet resource: www.nationalbank.kz

Report on the breakdown of the current liquidity coefficient k4

Index of administrative data form: 1-BVU_R_K4
Periodicity: monthly
Reporting period: for "___"______20__year
Circle of persons submitting information: second-level bank Submission deadline: no later than the seventh working day of the month following the reporting month.

Form

Table 1. Report on the breakdown of the average monthly value of highly liquid assets
(in thousands of tenge)

№	Name	1	2	3	...	31

Number of working days:___.

Report on the breakdown of the average monthly value of demand liabilities

№	Name	1	2	3	...	31

Name______ Address______

Phone ______

Email Address ______

Executor______ ______ surname, first name and patronymic (if any) phone

Chief Accountant or Person Authorized to Sign the Report ______ ______ surname, first name and patronymic (if any) signature, phone

First Head or Person Authorized by Him to Sign the Report ______ ______ surname, first name and patronymic (if any) signature, phone

Date «____» ______ 20__ year

Appendix
to the reporting form for the breakdown of the coefficient of current liquidity k4

Explanation for filling out the administrative data form

Report on the breakdown of the current liquidity coefficient k4

(index – 1-BVU_R_K4, periodicity – monthly)

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines the unified requirements for filling out the form "Report on the breakdown of the current liquidity coefficient k4" (hereinafter - Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", with paragraph 1 of Article 54 of the Law of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan".
3. The Form is compiled monthly by second-level banks and filled out for each working day of the reporting period. Data in the Form are filled in thousands of tenge.
4. The Form is signed by the first head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation for Filling out the Form

5. The Form is filled out in accordance with the Resolutions of the Board of the National Bank of the Republic of Kazakhstan dated May 30, 2016 No.144 "On Establishing Prudential Norms and Other Mandatory Compliance Norms and Limits for Islamic Banks, Their Normative Values and Methodology for Calculating Prudential Norms and Other Mandatory Compliance Norms and Limits for Islamic Banks", registered in the Registry of State Registration of Regulatory Legal Acts under No.13939 (hereinafter - Resolution No. 144) and dated September 13, 2017 No.170 "On Establishing Normative Values and Methodologies for Calculating Prudential Norms and Other Mandatory Compliance Norms and Limits, Bank Capital Size and Rules for Calculating and Limits of Open Currency Position", registered in the Registry of State Registration of Regulatory Legal Acts under No.15886 (hereinafter - Resolution No. 170).
6. When filling out the table "Report on the breakdown of the average monthly value of highly liquid assets", information on highly liquid assets is indicated in accordance with paragraphs 44 and 45 of the Normative Values and Methodology for Calculating Prudential Norms and Other Mandatory Compliance Norms and Limits for Islamic Banks, established according to Appendix 1 to Resolution No.144 and paragraphs 65, 66 and 67 of the Normative Values and Methodologies for Calculating Prudential Norms and Other Mandatory Compliance Norms and Limits of Bank Capital, established according to Appendix 1 to Resolution No.170.
7. Rows 25, 26 and 27 of the table "Report on the breakdown of the average monthly value of highly liquid assets" are filled out only by Islamic banks.
8. When filling out the Form in the column "Average Monthly Value", the ratio of the total sum of highly liquid assets (liabilities) on demand for each working day of the reporting period to the number of working days in the reporting period is indicated.
9. When filling out the Form, the number of working days is indicated.
10. Requirements for foreign exchange swap operations accounted for on the bank's balance sheet accounts are included in the calculation of highly liquid assets if the obligations under these transactions are accounted for on the bank's balance sheet accounts and included in the calculation of maturity liquidity coefficients.
11. In the absence of information in the reporting period, the Form is not filled out and not submitted.

Appendix 11
to the List of regulatory legal acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

Appendix 12
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan of May 8, 2015 No. 75

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan Administrative data form is located on the internet resource: www.nationalbank.kz

Report on the breakdown of the maturity liquidity coefficients k4-1, k4-2, k4-3

Index of administrative data form: 1-BVU_ R_K4-1, k4-2, k4-3 Periodicity: monthly Reporting period: as of "___"______20__year Circle of persons submitting information: second-level bank Submission deadline: no later than the seventh working day of the month following the reporting month.

Form

Table 1. Report on the breakdown of the maturity liquidity coefficient k4-1

(in thousands of tenge)

Date	Highly Liquid Assets	Maturity Liabilities with Remaining Maturity up to Seven Days
		inclusive
1	2	3
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
26
27
28
29
30
31
Number of Working Days
Total: Average Monthly Asset Value		X
Total: Average Monthly Value	X
Liabilities

Table 2. Report on the breakdown of the maturity liquidity coefficient k4-2

(in thousands of tenge)

Date	Liquid Assets with Remaining Maturity up to One Month, Including Highly Liquid Assets	Maturity Liabilities with Remaining Maturity up to One Month Inclusive
1	2	3
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
26
27
28
29
30
31
Number of Working Days
Total: Average Monthly Asset Value		X
Total: Average Monthly Value	X
Liabilities

Table 3. Report on the breakdown of the maturity liquidity coefficient k4-3

(in thousands of tenge)

Date	Liquid Assets with Remaining Maturity up to Three Months Inclusive, Including Highly Liquid Assets	Maturity Liabilities with Remaining Maturity up to Three Months Inclusive
1	2	3
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
26
27
28
29
30
31
Number of Working Days
Total: Average Monthly Asset Value		X
Total: Average Monthly Value	X
Liabilities

Name______ Address______

Phone ______

Email Address ______

Executor______ ______ surname, first name and patronymic (if any) phone

Chief Accountant or Person Authorized to Sign the Report ______ ______ surname, first name and patronymic (if any) signature, phone

First Head or Person Authorized by Him to Sign the Report ______ ______ surname, first name and patronymic (if any) signature, phone

Date «____» ______ 20__ year

Appendix
to the reporting form for the breakdown of the coefficients of maturity liquidity k4-1, k4-2, k4-3

Explanation for filling out the administrative data form

Report on the breakdown of the maturity liquidity coefficients k4-1, k4-2, k4-3

(index – 1-BVU_R_K4-1, k4-2, k4-3, periodicity – monthly)

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines the unified requirements for filling out the administrative data form "Report on the breakdown of the maturity liquidity coefficients k4-1, k4-2, k4-3" (hereinafter - Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", with paragraph 1 of Article 54 of the Law of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan".
3. The Form is compiled monthly by second-level banks and filled out for each working day of the reporting period. Data in the Form are filled in thousands of tenge.
4. The Form is signed by the first head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation for Filling out the Form

5. The Form is filled out in accordance with the Resolutions of the Board of the National Bank of the Republic of Kazakhstan dated May 30, 2016 No. 144 "On Establishing Prudential Norms and Other Mandatory Compliance Norms and Limits for Islamic Banks, Their Normative Values and Methodology for Calculating Prudential Norms and Other Mandatory Compliance Norms and Limits for Islamic Banks", registered in the Registry of State Registration of Regulatory Legal Acts under No. 13939 (hereinafter - Resolution No. 144) and dated September 13, 2017 No. 170 "On Establishing Normative Values and Methodologies for Calculating Prudential Norms and Other Mandatory Compliance Norms and Limits, Bank Capital Size and Rules for Calculating and Limits of Open Currency Position", registered in the Registry of State Registration of Regulatory Legal Acts under No. 15886 (hereinafter - Resolution No. 170).
6. When filling out the form for calculating the maturity liquidity coefficient k4-1, the average monthly value of highly liquid assets and maturity liabilities with a remaining maturity of up to seven days inclusive, calculated in accordance with paragraphs 44, 45, 46, 47 and 48 of the Normative Values and Methodology for Calculating Prudential Norms and Other Mandatory Compliance Norms and Limits for Islamic Banks, established according to Appendix 1 to Resolution No. 144 (hereinafter - Normatives No. 144) and with paragraphs 65, 66, 67, 68, 69 and 70 of the Normative Values and Methodologies for Calculating Prudential Norms and Other Mandatory Compliance Norms and Limits of Bank Capital, established according to Appendix 1 to Resolution No. 170 (hereinafter - Normatives No. 170) is indicated.
7. When filling out the forms for calculating the maturity liquidity coefficients k4-2 and k4-3, the average monthly value of liquid assets with a remaining maturity of up to one month, including highly liquid assets and maturity liabilities with a remaining maturity of up to one month inclusive, calculated in accordance with paragraphs 46, 47 and 48 of Normatives No. 144 and paragraphs 68, 69 and 70 of Normatives No. 170 is indicated.
8. When filling out the forms for calculating the maturity liquidity coefficients k4-1, k4-2 and k4-3 in the rows "Total: Average Monthly Asset Value" and "Total: Average Monthly Liability Value", the ratio of the total sum of liquid assets (liabilities) included in the calculation for each working day of the reporting period to the number of working days in the reporting period is indicated.
9. When filling out the Form, the number of working days is indicated.
10. The Form contains three tables. In the absence of information in the reporting period, these tables are not filled out and not submitted.

Appendix 12
to the List of regulatory legal acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

Appendix 13
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan of May 8, 2015 No. 75

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 website: www.nationalbank.kz

Report on the breakdown of time-term foreign currency liquidity coefficients k4-4, k4-5, k4-6

Administrative data form index: 1-BVU_R_K4-4, k4-5, k4-6 Frequency: monthly Reporting period: as of "_" ______ 20 year Entities submitting information: second-tier banks Submission deadline: no later than the seventh working day of the month following the reporting month.

Form

Table 1. Report on the breakdown of the time-term foreign currency liquidity coefficient k4-4

(in thousands of tenge)

Date	Highly liquid assets	Term liabilities with remaining maturity up to seven days inclusive
		including
1	2	3
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
26
27
28
29
30
31
Number of working days
Total: average monthly asset value		X
Total: average monthly liability value	X

Table 2. Report on the breakdown of the time-term foreign currency liquidity coefficient k4-5

(in thousands of tenge)

Date	Liquid assets with remaining maturity up to one month, including highly liquid assets	Term liabilities with remaining maturity up to one month inclusive, multiplied by a conversion coefficient equal to 90%
1	2	3
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
26
27
28
29
30
31
Number of working days
Total: average monthly asset value		X
Total: average monthly liability value	X

Table 3. Report on the breakdown of the time-term foreign currency liquidity coefficient k4-6

(in thousands of tenge)

Date	Liquid assets with remaining maturity up to three months inclusive, including highly liquid assets	Term liabilities with remaining maturity up to three months inclusive, multiplied by a conversion coefficient equal to 80%
1	2	3
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
26
27
28
29
30
31
Number of working days
Total: average monthly asset value		X
Total: average monthly liability value	X

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, first name, patronymic (if any) phone

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

Head Manager or person authorized by him to sign the report ______ ______ surname, first name, patronymic (if any) signature, phone

Date "____" ______ 20__ year

Appendix
to the report form on the breakdown of time-term foreign currency liquidity coefficients k4-4, k4-5, k4-6

Explanation on filling out the administrative data form

Report on the breakdown of time-term foreign currency liquidity coefficients k4-4, k4-5, k4-6

(index – 1-BVU_R_K4-4, k4-5, k4-6, frequency – monthly)

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the administrative data form "Report on the breakdown of time-term foreign currency liquidity coefficients k4-4, k4-5, k4-6" (hereinafter - Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", with paragraph 1 of Article 54 of the Law of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan".
3. The Form is compiled monthly by second-tier banks and filled out for each working day of the reporting period. Data in the Form are filled out in thousands of tenge.
4. The Form is signed by the head manager, chief accountant, or persons authorized to sign the report.

Chapter 2. Explanation on Filling out the Form

5. The Form is filled out in accordance with the Resolutions of the Board of the National Bank of the Republic of Kazakhstan dated May 30, 2016 No. 144 "On establishing prudential norms and other mandatory standards and limits for Islamic banks, their normative values and methodology for calculating prudential norms and other mandatory standards and limits for Islamic banks", registered in the Registry of state registration of normative legal acts under No. 13939 (hereinafter - Resolution No. 144) and dated September 13, 2017 No. 170 "On establishing normative values and methodologies for calculating prudential norms and other mandatory standards and limits, bank capital size and Rules for calculating and limiting open currency positions", registered in the Registry of state registration of normative legal acts under No. 15886 (hereinafter - Resolution No. 170).
6. When filling out the Form for calculating the time-term foreign currency liquidity coefficient k4-4, the average monthly value of highly liquid assets in foreign currency and term liabilities in the same foreign currency with a remaining maturity of up to seven days inclusive is indicated, calculated in accordance with paragraphs 42, 43, 44, 45, 46, 47, and 48 of the Normative Values and Methodology for Calculating Prudential Norms and Other Mandatory Standards and Limits for Islamic Banks established according to Appendix 1 to Resolution No. 144 (hereinafter - Normatives No. 144) and paragraphs 63, 64, 65, 66, 67, 68, 69, and 70 of the Normative Values and Methodologies for Calculating Prudential Norms and Other Mandatory Standards and Limits, Bank Capital Size established according to Appendix 1 to Resolution No. 170 (hereinafter - Normatives No. 170).
7. When filling out the Form for calculating the time-term foreign currency liquidity coefficients k4-5, the average monthly value of liquid assets in foreign currency with a remaining maturity of up to one month, including highly liquid assets, and term liabilities in the same foreign currency with a remaining maturity of up to one month inclusive is indicated, calculated in accordance with paragraphs 42, 43, 44, 45, 46, 47, and 48 of Normatives No. 144 and paragraphs 63, 64, 65, 66, 67, 68, 69, and 70 of Normatives No. 170.
8. When filling out the Form for calculating the time-term foreign currency liquidity coefficients k4-6, the average monthly value of liquid assets in foreign currency with a remaining maturity of up to three months, including highly liquid assets, and term liabilities in the same foreign currency with a remaining maturity of up to three months inclusive is indicated, calculated in accordance with paragraphs 42, 43, 44, 45, 46, 47, and 48 of Normatives No. 144 and paragraphs 63, 64, 65, 66, 67, 68, 69, and 70 of Normatives No. 170.
9. When filling out the Form for calculating the time-term foreign currency liquidity coefficients k4-4, k4-5, and k4-6, information is indicated collectively for foreign currencies of countries having a sovereign rating not lower than 'A' by Standard & Poor's or a rating of similar level by Fitch or Moody's Investors Service, and the 'Euro' currency, and separately for foreign currencies of countries having a sovereign rating lower than 'A' by the above rating agencies or lacking such rating assessment.
10. In the rows "Total: average monthly asset value" and "Total: average monthly liability value", the ratio of the total sum of included liquid assets (liabilities) for each working day of the reporting period to the number of working days in the reporting period is indicated.
11. When filling out the Form, the number of working days is indicated.
12. The Form contains three tables. In the absence of information in the reporting period, these tables are not filled out and not submitted.

Appendix 13
to the List of normative legal acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

Appendix 14
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan of May 8, 2015 No. 75

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 website: www.nationalbank.kz

Report on currency positions by each foreign currency and net currency position for each working day of the week (month)

Administrative data form index: 1-BVU_DVP
Frequency: weekly
Reporting period: for "_" ______ 20 year
Entities submitting information: second-tier banks Submission deadline: weekly no later than the fifth working day of the week following the reporting week.
Upon completion of the calendar month, in the reporting week no later than the seventh working day of the month following the completed month, separately for calendar days of the reporting week belonging to the completed month and for calendar days of the reporting week of the month following the completed month.

Form

(in thousands of tenge)

Own Capital
Limit of open currency position (long or short) for foreign currencies of countries having a sovereign rating not lower than 'A'
by Standard & Poor's or a rating of similar level by Fitch or Moody's Investors Service (hereinafter - other rating
agencies), and foreign currency 'Euro', as well as refined precious metals at an amount of - 12.5 percent of the
own capital of the bank
Limit of open currency position (long and short) for foreign currencies of countries having a sovereign rating lower than 'A' by
'Standard & Poor's' or a rating of similar level by one of the other rating agencies - 5 percent of the own capital
of the bank
Limit of net currency position - 25 percent of own capital
Limit of open long and/or short position of the bank on derivative financial instruments in the currency of a separate foreign
state (group of foreign states), opened on escrow accounts and on escrow liability accounts - 50
percent of own capital

Name	Balance at the end of the operational day by days of the reporting period
currency
	1	2	3	4	5
	(date)	(date)	(date)	(date)	(date)
	Claims	Liabilities	Position
		1	2	3	…	31
1	Money and deposits
2	Loans issued
3	Equity and debt securities
4	Accounts receivable
5	Participation in share capital
6	Refined precious metals
7	Movable property
8	Immovable property
9	Intangible assets
10	Accrued remuneration, discounts, premiums, positive (negative)
	adjustments of fair value, provisions (reserves) formed on
	internal assets
11	Overdue indebtedness on internal assets
12	Total value of internal assets
13	Value of internal assets greater than or equal to the average monthly value of internal
	liabilities, subordinated debt, debt securities issued by the bank,
	own capital or share capital for the previous reporting month,
	multiplied by 0.95 (Yes (No)

Table 2. Report on the calculation of the average monthly value of internal and other liabilities, coefficient of placement of part of bank funds into internal assets

(in thousands of tenge)

No	Liabilities	Internal and other	Average monthly value
		liabilities by dates
		within the reporting period
		1	2	3	…	31
1	Deposits
2	Loans received
3	Accounts payable
4	Total value of internal liabilities
5	Share capital
6	Own capital, minus investments in subordinated debt of subsidiary organizations-non-residents
	of the Republic of Kazakhstan, in shares of subsidiary organizations-non-residents
	of the Republic of Kazakhstan, multiplied by 0.75
7	Subordinated debt
8	Debt securities issued by the bank, except for debt securities
	issued by the bank in foreign currency
9	Accrued remuneration, discounts, premiums, positive (negative)
	adjustments of fair value
10	Overdue indebtedness on internal and other liabilities
11	Uninvested balances of funds accepted by the bank from residents on the basis of
	custodial agreement
12	Total value of internal liabilities, subordinated debt, debt securities issued
	by the bank and own capital or share capital
13	Total value of internal liabilities, subordinated debt, debt securities issued
	by the bank
14	Number of working days
15	Coefficient of placement of part of bank funds into internal assets
16	Average monthly value of internal liabilities, subordinated debt, debt securities issued
	by the bank, own capital or share capital for the previous reporting month

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, first name, patronymic (if any) phone

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

Head Manager or person authorized by him to sign the report ______ ______ surname, first name, patronymic (if any) signature, phone

Date "____" ______ 20__ year

Appendix
to the report form on the calculation of the average monthly value of internal assets, internal and other liabilities, coefficient of placement of part of funds into internal assets

Explanation on filling out the administrative data form

Report on the calculation of the average monthly value of internal assets, internal and other liabilities, coefficient of placement of part of funds into internal assets

(index – 1-BVU_KVA, frequency – monthly)

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the administrative data form "Report on the calculation of the average monthly value of internal assets, internal and other liabilities, coefficient of placement of part of bank funds into internal assets" (hereinafter - Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", with paragraph 1 of Article 54 of the Law of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan".
3. The Form is compiled monthly by second-tier banks and filled out for each working day of the reporting period. Data in the Form are filled out in thousands of tenge.
4. The Form is signed by the head manager, chief accountant, or persons authorized to sign the report.

Chapter 2. Explanation on Filling out the Form

5. The Form is filled out in accordance with the Resolutions of the Board of the National Bank of the Republic of Kazakhstan dated May 30, 2016 No. 144 "On establishing prudential norms and other mandatory standards and limits for Islamic banks, their normative values and methodology for calculating prudential norms and other mandatory standards and limits for Islamic banks", registered in the Registry of state registration of normative legal acts under No. 13939 and dated September 13, 2017 No. 170 "On establishing normative values and methodologies for calculating prudential norms and other mandatory standards and limits, bank capital size and Rules for calculating and limiting open currency positions", registered in the Registry of state registration of normative legal acts under No. 15886.
6. For row 6 of the form "Report on the calculation of the average monthly value of internal and other liabilities, coefficient of placement of part of bank funds into internal assets", own capital according to accounting balance sheet data minus investments in subordinated debt of subsidiary organizations-non-residents of the Republic of Kazakhstan, in shares of subsidiary organizations-non-residents of the Republic of Kazakhstan, multiplied by 0.75 is indicated.
7. When filling out the form "Report on the calculation of the average monthly value of internal and other liabilities, coefficient of placement of part of bank funds into internal assets", for each working day, data indicated in row 5 or in row 6 are included in row 12, depending on which row's average monthly value constitutes the minimum value.
8. In the absence of information in the reporting period, the Form is not filled out and not submitted.

Appendix 15
to the List of normative legal acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

Appendix 16
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan of May 8, 2015 No. 75

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 website: www.nationalbank.kz

Report on the breakdown of the bank capitalization coefficient to obligations to non-residents of the Republic of Kazakhstan

Administrative data form index: 1-BVU_K7
Frequency: monthly
Reporting period: as of "_" ______ 20 year Entities submitting information: second-tier banks Submission deadline: no later than the seventh working day of the month following the reporting month.

Form

(in thousands of tenge)

No	Name	Amount
1	2	3
1	Obligations to non-residents of the Republic of Kazakhstan on demand, including obligations for which
	the deadline for settlement has not been established
2	Term obligations to non-residents of the Republic of Kazakhstan with an initial maturity of up to one year
	inclusive
3	Term obligations to non-residents of the Republic of Kazakhstan with the unconditional right of the creditor to demand early
	repayment of obligations, including term and conditional bank deposits, except for term and conditional deposits
	of individuals and legal entities
4	Current accounts of legal entity non-residents of the Republic of Kazakhstan
5	Short-term obligations to branches and representative offices of foreign companies operating on the territory
	of the Republic of Kazakhstan, which belong to the economic sectors "other financial organizations - code 5", "state non-financial organizations - code 6", "non-state non-financial organizations - code 7" and
	"non-commercial organizations serving households - code 8"
6	Short-term obligations to non-residents of the Republic of Kazakhstan who are international financial
	organizations
7	Short-term obligations to non-residents of the Republic of Kazakhstan who are international organizations, members
	of which is the Republic of Kazakhstan, as well as the Eurasian Development Bank
8	Short-term obligations to non-residents of the Republic of Kazakhstan who are international clearing systems
	(Clearstream Banking S.A. and Euroclear Bank S.A. (N.V.)
9	Own capital
10	Short-term obligations to non-residents included in the calculation of coefficient k7
11	Maximum limit of short-term obligations to non-residents (k7)

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, first name, patronymic (if any) phone

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

Head Manager or person authorized by him to sign the report ______ ______ surname, first name, patronymic (if any) signature, phone

Date "____" ______ 20__ year

Appendix
to the report form on the breakdown of the coefficient of bank capitalization to obligations to non-residents of the Republic of Kazakhstan

Explanation on filling out the administrative data form

Report on the breakdown of the bank capitalization coefficient to obligations to non-residents of the Republic of Kazakhstan

(index – 1-BVU_K7, frequency – monthly)

Chapter 1. General Provisions

1. This Explanation (hereinafter - the Explanation) defines uniform requirements for filling out the administrative data form "Report on the Breakdown of the Capitalization Ratio of Banks to Obligations to Non-Residents of the Republic of Kazakhstan" (hereinafter - the Form).

2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", and paragraph 1 of Article 54 of the Law of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan".

3. The Form is compiled monthly by second-level banks as of the first day of each month. Data in the Form is filled in thousands of tenge.

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

Chapter 2. Explanation for Filling out the Form

5. The Form is filled out in accordance with the Resolutions of the Board of the National Bank of the Republic of Kazakhstan dated May 30, 2016 No. 144 "On Establishing Prudential Norms and Other Mandatory Compliance Norms and Limits for Islamic Banks, Their Regulatory Values and Methodology for Calculating Prudential Norms and Other Mandatory Compliance Norms and Limits for Islamic Banks", registered in the Registry of State Registration of Regulatory Legal Acts under No. 13939, and dated September 13, 2017 No. 170 "On Establishing Regulatory Values and Methodologies for Calculating Prudential Norms and Other Mandatory Compliance Norms and Limits, Bank Capital Size and Rules for Calculating and Limits of Open Currency Position", registered in the Registry of State Registration of Regulatory Legal Acts under No. 15886.

6. In line 5, short-term obligations, obligations to branches and representative offices of foreign legal entities carrying out their activities on the territory of the Republic of Kazakhstan, which belong to the economic sectors "other financial organizations - code 5", "state non-financial organizations - code 6", "non-state non-financial organizations - code 7" and "non-commercial organizations serving households - code 8" according to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 31, 2016 No. 203 "On Approving the Rules for Applying Economic Sector Codes and Payment Purposes", registered in the Registry of State Registration of Regulatory Legal Acts under No. 14365, are indicated.

7. The capitalization ratio of second-level banks to obligations to non-residents of the Republic of Kazakhstan k7 is indicated with three decimal places.

8. In the absence of information in the reporting period, the Form is not filled out and not submitted.

Appendix 16
to the List of Regulatory Legal Acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

Appendix 17
to the Resolution of the Board of the
National Bank of the
Republic of Kazakhstan dated May 8, 2015 No. 75

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan The administrative data form is posted on the internet resource: www.nationalbank.kz

Report on the Calculation of Capital Adequacy Coefficients in Securitization

Administrative data form index: 1-BVU_KDSK
Frequency: Monthly
Reporting period: as of "___"____20 year
Entities submitting information: second-level bank Submission deadline: no later than the seventh working day of the month following the reporting month.

Form

(in thousands of tenge)

No	Component Name	Values as of the last reporting date preceding the transaction	Values after the transaction
1	Tier 1 Capital
1.1	Core Capital
1.2	Supplementary Capital
2	Tier 2 Capital
3	Investments
4	Own Capital (minus investments)
5	Sum of positions in the securitization transaction held by the bank and having an international rating assessment from 'BB+' and below by Standard & Poor's agency or a rating of a similar level by Fitch or Moody's Investors Service (hereinafter - other rating agencies) or a rating assessment from 'kzBB+' and below on the national scale of Standard & Poor's agency or a rating of a similar level on the national scale of one of the other rating agencies or having no rating assessment	X
6	Assets
7	Ratio of Tier 1 capital minus bank investments taken within the share of Tier 1 capital in the total sum of Tier 1 capital and included in the calculation of own capital part of Tier 2 capital, to the size of bank assets (K1)
8	Assets weighted for credit risk, including:
8.1	Sum of positions in the securitization transaction held by the bank, weighted for credit risk and having an international rating assessment from 'AAA' to 'AA-' by Standard & Poor's agency or a rating of a similar level by one of the other rating agencies or a rating assessment from 'kzAAA' to 'kzAA-' on the national scale of Standard & Poor's agency or a rating of a similar level on the national scale of one of the other rating agencies	X
8.2	Sum of positions in the securitization transaction held by the bank, weighted for credit risk and having an international rating assessment from 'A+' to 'A-' by Standard & Poor's agency or a rating of a similar level by one of the other rating agencies or a rating assessment from 'kzA+' to 'kzA-' on the national scale of Standard & Poor's agency or a rating of a similar level on the national scale of one of the other rating agencies	X
8.3	Sum of positions in the securitization transaction held by the bank, weighted for credit risk and having an international rating assessment from 'BBB+' to 'BBB-' by Standard & Poor's agency or a rating of a similar level by one of the other rating agencies or a rating assessment from 'kzBBB+' to 'kzBBB-' on the national scale of Standard & Poor's agency or a rating of a similar level on the national scale of one of the other rating agencies	X
8.4	Sum of positions in the securitization transaction held by the bank, weighted for credit risk and having an international rating assessment from 'BB+' to 'BB-' by Standard & Poor's agency or a rating of a similar level by one of the other rating agencies or a rating assessment from 'kzBB+' to 'kzBB-' on the national scale of Standard & Poor's agency or a rating of a similar level on the national scale of one of the other rating agencies	X
9	Contingent and possible liabilities, weighted for credit risk, including:
9-1	Sum of positions in the securitization transaction held by the bank, weighted for credit risk and having an international rating assessment from 'AAA' to 'AA-' by Standard & Poor's agency or a rating of a similar level by one of the other rating agencies or a rating assessment from 'kzAAA' to 'kzAA-' on the national scale of Standard & Poor's agency or a rating of a similar level on the national scale of one of the other rating agencies	X
9.2	Sum of positions in the securitization transaction held by the bank, weighted for credit risk and having an international rating assessment from 'A+' to 'A-' by Standard & Poor's agency or a rating of a similar level by one of the other rating agencies or a rating assessment from 'kzA+' to 'kzA-' on the national scale of Standard & Poor's agency or a rating of a similar level on the national scale of one of the other rating agencies	X
9.3	Sum of positions in the securitization transaction held by the bank, weighted for credit risk and having an international rating assessment from 'BBB+' to 'BBB-' by Standard & Poor's agency or a rating of a similar level by one of the other rating agencies or a rating assessment from 'kzBBB+' to 'kzBBB-' on the national scale of Standard & Poor's agency or a rating of a similar level on the national scale of one of the other rating agencies	X
9.4	Sum of positions in the securitization transaction held by the bank, weighted for credit risk and having an international rating assessment from 'BB+' to 'BB-' by Standard & Poor's agency or a rating of a similar level by one of the other rating agencies or a rating assessment from 'kzBB+' to 'kzBB-' on the national scale of Standard & Poor's agency or a rating of a similar level on the national scale of one of the other rating agencies	X
10	Derivative financial instruments, weighted for credit risk, including:
10.1	Sum of positions in the securitization transaction held by the bank, weighted for credit risk and having an international rating assessment from 'AAA' to 'AA-' by Standard & Poor's agency or a rating of a similar level by one of the other rating agencies or a rating assessment from 'kzAAA' to 'kzAA-' on the national scale of Standard & Poor's agency or a rating of a similar level on the national scale of one of the other rating agencies	X
10.2	Sum of positions in the securitization transaction held by the bank, weighted for credit risk and having an international rating assessment from 'A+' to 'A-' by Standard & Poor's agency or a rating of a similar level by one of the other rating agencies or a rating assessment from 'kzA+' to 'kzA-' on the national scale of Standard & Poor's agency or a rating of a similar level on the national scale of one of the other rating agencies	X
10.3	Sum of positions in the securitization transaction held by the bank, weighted for credit risk and having an international rating assessment from 'BBB+' to 'BBB-' by Standard & Poor's agency or a rating of a similar level by one of the other rating agencies or a rating assessment from 'kzBBB+' to 'kzBBB-' on the national scale of Standard & Poor's agency or a rating of a similar level on the national scale of one of the other rating agencies	X
10.4	Sum of positions in the securitization transaction held by the bank, weighted for credit risk and having an international rating assessment from 'BB+' to 'BB-' by Standard & Poor's agency or a rating of a similar level by one of the other rating agencies or a rating assessment from 'kzBB+' to 'kzBB-' on the national scale of Standard & Poor's agency or a rating of a similar level on the national scale of one of the other rating agencies	X
11	Total assets, contingent and possible liabilities, weighted by credit risk, reduced by the sum of general reserves (provisions) not included in the calculation of Tier 2 capital
12	Sum of specific interest rate risk
13	Sum of general interest rate risk
14	Total market risk related to changes in remuneration rate
15	Sum of specific risk related to changes in market value
16	Sum of general risk related to changes in market value
17	Total market risk related to changes in market value
18	Sum of market risk related to changes in exchange rate
19	Total assets and contingent and possible claims and liabilities, calculated taking into account market risk
20	Sum of operational risk
21	Ratio of own capital to the sum of assets, contingent and possible liabilities, weighted by credit risk, reduced by the sum of general reserves (provisions) not included in the calculation of Tier 2 capital, assets and contingent and possible claims and liabilities, calculated taking into account market risk, operational risk (K2)

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, name and patronymic (if any) phone

Chief Accountant or person authorized to sign the report ______ ______ surname, name and patronymic (if any) signature, phone

Head or person authorized by him to sign the report ______ ______ surname, name and patronymic (if any) signature, phone

Date "____" ______ 20__ year

Appendix
to the report form on the calculation of capital adequacy coefficients in securitization

Explanation for filling out the administrative data form

Report on the Calculation of Capital Adequacy Coefficients in Securitization

(index – 1-BVU_KDSK, frequency – monthly)

Chapter 1. General Provisions

1. This Explanation (hereinafter - the Explanation) defines uniform requirements for filling out the administrative data form "Report on the Calculation of Capital Adequacy Coefficients in Securitization" (hereinafter - the Form).

2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", and paragraph 1 of Article 54 of the Law of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan".

3. The Form is compiled monthly by second-level banks as of the first day of each month. Data in the Form is filled in thousands of tenge.

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

Chapter 2. Explanation for Filling out the Form

5. The Form is filled out in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated September 13, 2017 No. 170 "On Establishing Regulatory Values and Methodologies for Calculating Prudential Norms and Other Mandatory Compliance Norms and Limits, Bank Capital Size and Rules for Calculating and Limits of Open Currency Position", registered in the Registry of State Registration of Regulatory Legal Acts under No. 15886 (hereinafter - Resolution No. 170).

6. The Form is filled out by banks when calculating own capital in accordance with paragraphs 36, 37, 38, 39, 40, 41, 42, 43, 44, 45, 46, 47, 48, 49, 50 and 51 of the Regulatory Values and Methodologies for Calculating Prudential Norms and Other Mandatory Compliance Norms and Limits, Bank Capital Size, established according to Appendix 1 to Resolution No. 170.

7. In the absence of information in the reporting period, the Form is not filled out and not submitted.

Appendix 17
to the List of Regulatory Legal Acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

Appendix 18
to the Resolution of the Board of the
National Bank of the
Republic of Kazakhstan dated May 8, 2015 No. 75

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan The administrative data form is posted on the internet resource: www.nationalbank.kz

Report on the Breakdown of Assets Weighted for Credit Risk Submitted by Islamic Banks

Administrative data form index: 1-BVU_RA
Frequency: Monthly
Reporting period: as of "___"____20 year
Entities submitting information: second-level bank Submission deadline: no later than the seventh working day of the month following the reporting month.

Form

(in thousands of tenge)

№	Name of Items	Amount	Risk Degree in Percentages	Amount for Calculation
1	2	3	4	5
Group I
1	Cash in tenge		0
2	Cash foreign currency of countries with a sovereign rating not lower than 'AA-' by Standard & Poor’s or a rating of equivalent level by Fitch or Moody’s Investors Service (hereinafter - other rating agencies)		0
3	Affined precious metals		0
4	Claims against the Government of the Republic of Kazakhstan		0
5	Claims against central governments of countries with a sovereign rating not lower than 'AA-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies		0
6	Claims against the National Bank of the Republic of Kazakhstan		0
7	Claims against central banks of countries with a sovereign rating not lower than 'AA-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies		0
8	Claims against international financial organizations with a rating not lower than 'AA-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies		0
9	Claims against local executive bodies of the Republic of Kazakhstan for taxes and other payments to the budget		0
10	Claims against JSC "National Welfare Fund Samruk-Kazyna"		0
11	Islamic securities issued by an Islamic special purpose vehicle created with the originator being a national holding company or a national managing holding company of the Republic of Kazakhstan		0
12	Islamic securities having state status, issued by central governments of foreign states whose sovereign rating is not lower than 'AA-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies		0
13	Islamic securities issued by international financial organizations having a rating not lower than 'AA-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies		0
14	Securities issued by JSCs "National Managing Holding Company Baiterrek", "Problematic Loans Fund"		0
15	Claims under open correspondent accounts to banks having a long-term rating not lower than 'BBB' by Standard & Poor's or a rating of equivalent level by one of other rating agencies		0
Group II
16	Cash foreign currency of countries with a sovereign rating lower than 'AA-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies, and countries without corresponding rating assessment		20
17	Claims against central governments of countries with a sovereign rating from 'A+' to 'A-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies		20
18	Claims against central banks of countries with a sovereign rating from 'A+' to 'A-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies		20
19	Claims against international financial organizations having a rating from 'A+' to 'A-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies		20
20	Claims against local executive bodies of the Republic of Kazakhstan		20
21	Claims against local executive bodies of countries with a sovereign rating not lower than 'AA-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies		20
22	Claims against organizations having a rating not lower than 'AA-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies		20
23	Islamic securities having state status, issued by central governments of countries with a sovereign rating from 'A+' to 'A-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies		20
24	Islamic securities issued by international financial organizations having a rating from 'A+' to 'A-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies		20
25	Islamic securities of the Republic of Kazakhstan, issued by an Islamic special purpose vehicle created with the originator being a legal entity, 100 (one hundred) percent of voting shares (participation interests) of which belong to the national managing holding company		20
26	Islamic securities issued by local executive bodies of countries whose sovereign rating is not lower than 'AA-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies		20
27	Islamic securities issued by organizations having a rating not lower than 'AA-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies		20
Group III
28	Unaffined precious metals		50
29	Claims against central governments of countries with a sovereign rating from 'BBB+' to 'BBB-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies		50
30	Claims against central banks of countries with a sovereign rating from 'BBB+' to 'BBB-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies		50
31	Claims against international financial organizations having a rating from 'BBB+' to 'BBB-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies		50
32	Claims against local executive bodies of countries with a sovereign rating not lower than from 'A+' to 'A-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies		50
33	Claims against organizations having a rating from 'A+' to 'A-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies		50
34	Claims under open correspondent accounts to resident banks of the Republic of Kazakhstan having a debt rating from 'BBB-' to 'BB-' (inclusive) by Standard & Poor's or a rating of equivalent level by one of other rating agencies, or to a non-resident bank having a debt rating from 'BBB-' to 'BB+' (inclusive) by Standard & Poor's, or a rating of equivalent level by one of other rating agencies		50
35	Mortgage housing loans (excluding loans to individuals specified in lines 52, 56, 57 and 58 of this form), meeting the condition: the ratio of the amount of the provided mortgage housing loan to the value of collateral does not exceed 50 (fifty) percent inclusive of the collateral value		35
36	Mortgage housing loans (excluding loans to individuals specified in lines 52, 56, 57 and 58 of this form), meeting the condition: the ratio of the amount of the provided mortgage housing loan to the value of collateral is within the range from 51 (fifty-one) percent to 85 (eighty-five) percent inclusive of the collateral value		50
37	Claims with overdue principal debt and/or accrued remuneration exceeding 90 (ninety) calendar days, provided to residents of the Republic of Kazakhstan (excluding mortgage housing loans and loans specified in lines 51, 52, 53, 56, 57, 58 and 74 of this form), for which less than 35 (thirty-five) percent of provisions (reserves) have been formed according to International Financial Reporting Standards from the unpaid portion of loans		100
38	Claims with overdue principal debt and/or accrued remuneration exceeding 90 (ninety) calendar days, provided to residents of the Republic of Kazakhstan (excluding mortgage housing loans and loans specified in lines 51, 52, 53, 56, 57, 58 and 74 of this form), for which more than 35 (thirty-five) percent and less than 50 (fifty) percent of provisions (reserves) have been formed according to International Financial Reporting Standards from the unpaid portion of loans		75
39	Claims with overdue principal debt and/or accrued remuneration exceeding 90 (ninety) calendar days, provided to residents of the Republic of Kazakhstan (excluding mortgage housing loans and loans specified in lines 51, 52, 53, 56, 57, 58 and 74 of this form), for which more than 50 (fifty) percent of provisions (reserves) have been formed according to International Financial Reporting Standards from the unpaid portion of loans		50
40	Loans provided to entities classified as small or medium-sized enterprises according to the Entrepreneurial Code of the Republic of Kazakhstan dated October 29, 2015, meeting the following criteria: 1) the loan amount does not exceed 0.02 (zero point zero two) percent of equity capital; 2) loan currency - tenge		75
41	Islamic securities having state status, issued by central governments of countries with a sovereign rating from 'BBB+' to 'BBB-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies		50
42	Islamic securities issued by international financial organizations having a rating from 'BBB+' to 'BBB-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies		50
43	Islamic securities issued by local executive bodies of countries with a sovereign rating not lower than from 'A+' to 'A-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies		50
44	Islamic securities issued by organizations having a rating from 'A+' to 'A-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies		50
45	Claims against JSC "Kazakhstan Stock Exchange"		50
Group IV
46	Claims against central governments of countries with a sovereign rating from 'BB+' to 'B-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies, and countries without corresponding rating assessment		100
47	Claims against central banks of countries with a sovereign rating from 'BB+' to 'B-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies, and countries without corresponding rating assessment		100
48	Claims against international financial organizations having a rating from 'BB+' to 'B-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies, and international financial organizations without corresponding rating assessment		100
49	Claims against local executive bodies of countries with a rating from 'BBB+' to 'BB-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies, and countries without corresponding rating assessment		100
50	Claims against resident organizations having a rating lower than 'A-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies, resident organizations without corresponding rating assessment, and non-resident organizations having a rating from 'BBB+' to 'BB-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies		100
51	Claims with a term of more than 1 year on loans issued from January 1, 2016 in foreign currency to resident organizations having a debt rating lower than 'A-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies, resident organizations without corresponding rating assessment, and non-resident organizations having a debt rating from 'BBB+' to 'BB-' by Standard & Poor's, or a rating of equivalent level by one of other rating agencies, and not having corresponding currency earnings and/or their currency risks are not covered by corresponding hedging instruments by the borrower		200
52	Claims to individuals arising before January 1, 2016, including consumer credits, excluding those classified into Group III risk		100
53	Claims with a term of more than 1 year on loans issued from January 1, 2016 in foreign currency to individuals, including consumer credits, excluding those classified into Group III risk, and not having corresponding currency earnings and/or their currency risks are not covered by corresponding hedging instruments by the borrower		200
54	Claims under open correspondent accounts to resident banks of the Republic of Kazakhstan having a debt rating lower than 'BB-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies, or to a non-resident bank having a debt rating lower than 'BB+' by Standard & Poor's, or a rating of equivalent level by one of other rating agencies		100
55	Other mortgage housing loans (excluding loans issued to individuals specified in lines 52, 56, 57 and 58 of this form)		100
56	Unsecured loans issued to individuals from January 1, 2016, including consumer credits meeting one of the criteria according to line 56 of Appendix 2 to the Normative Values and Methodology for Calculating Prudential Normatives and Other Mandatory Norms and Limits for Islamic Banks established by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated May 30, 2016 No. 144 "On Establishing Prudential Normatives and Other Mandatory Norms and Limits for Islamic Banks, Their Normative Values and Methodology for Calculating Prudential Normatives and Other Mandatory Norms and Limits for Islamic Banks", registered in the Registry of State Registration of Regulatory Legal Acts under No. 13939 (hereinafter - Normatives No. 144)		150
57	Unsecured loans issued to individuals from January 1, 2016, including consumer credits meeting one of the criteria according to line 57 of Appendix 2 to Normatives No. 144		150
58	Other loans provided to individuals from January 1, 2016, including consumer credits (excluding mortgage housing loans and loans to individuals specified in lines 56 and 57 of this form)		100
59	Islamic securities having state status, issued by central governments of countries with a sovereign rating from 'BB+' to 'B-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies, and countries without corresponding rating assessment		100
60	Islamic securities issued by local executive bodies of countries with a sovereign rating from 'BBB+' to 'BB-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies, and countries without corresponding rating assessment		100
61	Islamic securities issued by international financial organizations having a rating from 'BB+' to 'B-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies, and international financial organizations without corresponding rating assessment		100
62	Islamic securities issued by resident organizations having a rating lower than 'A-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies, resident organizations without corresponding rating assessment, and non-resident organizations having a rating from 'BBB+' to 'BB-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies		100
63	Payment settlements		100
64	Fixed assets		100
65	Material reserves		100
66	Investments accounted for at fair value, in part of shares (interests in share capital) excluding bank investments		100
67	Sum of all bank investments, each of which constitutes less than 10 (ten) percent of issued shares (interests in share capital) of a legal entity, whose financial statements are not consolidated when preparing the bank's financial statements, not exceeding 10 (ten) percent of core capital		100
68	Sum of all bank investments, each of which constitutes 10 (ten) and more percent of issued shares (interests in share capital) of a legal entity, whose financial statements are not consolidated when preparing the bank's financial statements, not exceeding 15 (fifteen) percent of core capital		250
Group V
69	Claims against central governments of countries with a sovereign rating lower than 'B-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies		150
70	Claims against central banks of countries with a sovereign rating lower than 'B-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies		150
71	Claims against international financial organizations having a rating lower than 'B-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies		150
72	Claims against local executive bodies of countries with a sovereign rating lower than 'BB-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies		150
73	Claims against non-resident organizations having a rating lower than 'BB-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies, and non-resident organizations without corresponding rating assessment		150
74	Claims with a term of more than 1 (one) year on loans issued from January 1, 2016 in foreign currency to non-resident organizations having a rating lower than 'BB-' by Standard & Poor's or a rating of equivalent level by one of other rating agencies, and non-resident organizations without corresponding rating assessment, and not having corresponding currency earnings, and/or their currency risks are not covered by corresponding hedging instruments by the borrower		200
75	Claims to non-residents of the Republic of Kazakhstan who are legal entities registered on the territory of foreign states*, or citizens of foreign states*		150
76	Islamic securities issued by central governments of countries with a sovereign rating lower than 'B-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies		150
77	Islamic securities issued by local executive bodies of countries whose sovereign rating is lower than 'BB-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies		150
78	Islamic securities issued by international financial organizations having a rating lower than 'B-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies		150
79	Islamic securities issued by non-resident organizations having a rating lower than 'BB-' by Standard & Poor’s or a rating of equivalent level by one of other rating agencies, and non-resident organizations without corresponding rating assessment		150
80	Islamic securities issued by non-resident organizations of the Republic of Kazakhstan registered on the territory of foreign states*		150
81	Total risk-weighted assets:

Note:

• List of foreign states:

1. Principality of Andorra;
2. State of Antigua and Barbuda;
3. Commonwealth of The Bahamas;
4. State of Barbados;
5. State of Bahrain;
6. State of Belize;
7. State of Brunei Darussalam;
8. Republic of Vanuatu;
9. Republic of Guatemala;
10. State of Grenada;
11. Republic of Djibouti;
12. Dominican Republic;
13. Republic of Indonesia;
14. Spain (only in part of the territory of the Canary Islands);
15. Republic of Cyprus;
16. People's Republic of China (only in part of the territories of the Special Administrative Regions of Macau and Hong Kong);
17. Federal Islamic Republic of the Comoros;
18. Republic of Costa Rica;
19. Malaysia (only in part of the territory of the Labuan enclave);
20. Republic of Liberia;
21. Principality of Liechtenstein;
22. Republic of Mauritius;
23. Portugal (only in part of the territory of the Madeira Islands);
24. Maldives;
25. Republic of Malta;
26. Republic of the Marshall Islands;
27. Principality of Monaco;
28. Union of Myanmar;
29. Republic of Nauru;
30. Netherlands (only in part of the territory of Aruba Island and dependent territories of the Antilles);
31. Federal Republic of Nigeria;
32. New Zealand (only in part of the territory of the Cook Islands and Niue);
33. United Arab Emirates (only in part of the territory of Dubai city);
34. Republic of Palau;
35. Republic of Panama;
36. Independent State of Samoa;
37. Republic of Seychelles;
38. State of Saint Vincent and the Grenadines;
39. Federation of Saint Kitts and Nevis;
40. State of Saint Lucia;
41. United Kingdom of Great Britain and Northern Ireland (only in part of the following territories):
    Anguilla;
    Bermuda;
    British Virgin Islands;
    Gibraltar;
    Cayman Islands;
    Montserrat Island;
    Turks and Caicos Islands;
    Isle of Man;
    Channel Islands (Guernsey, Jersey, Sark, Alderney);
42. United States of America (only in part of the territories of the US Virgin Islands, Guam Island, and Commonwealth of Puerto Rico);
43. Kingdom of Tonga;
44. Republic of the Philippines;
45. Democratic Republic of Sri Lanka.

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, first name and patronymic (if any) phone

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

Head or person authorized by him to sign the report ______ ______ surname, first name and patronymic (if any) signature, phone

Date “____” ______ 20__ year

Appendix
to the reporting form for the breakdown of assets weighted according to credit risk submitted by Islamic banks

Explanation on filling out the administrative data form

Report on the breakdown of assets weighted according to credit risk submitted by Islamic banks

(index – 1-BVU_RA, frequency – monthly)

Chapter 1. General Provisions

1. This Explanation (hereinafter referred to as the Explanation) defines uniform requirements for filling out the administrative data form "Report on the breakdown of assets weighted according to credit risk submitted by Islamic banks" (hereinafter referred to as the Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", with paragraph 1 of Article 54 of the Law of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan".
3. The Form is compiled monthly by Islamic banks as of the first day of each month. Data in the Form are filled in thousands of tenge.
4. The Form is signed by the head, chief accountant, or persons authorized to sign the report.

Chapter 2. Explanation on Filling out the Form

5. Column 3 indicates the amount of assets subject to weighting according to credit risk degree.
6. Column 5 indicates the amount of assets (Column 3) multiplied by the risk degree in percent (Column 4).

Appendix 18
to the List of regulatory legal acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

Appendix 19
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated May 8, 2015 No. 75

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan The administrative data form is posted on the internet resource: www.nationalbank.kz

Report on the breakdown of contingent and possible liabilities weighted according to credit risk submitted by Islamic banks

Administrative data form index: 2-BVU_RUIVO
Frequency: monthly
Reporting period: as of “___”______20 year
Circle of persons submitting information: second-tier bank Submission deadline: no later than the seventh working day of the month following the reporting month.

Form

№	Description of Items	Amount (in thousands of tenge)	Conversion Coefficient (%)	Credit Risk Coefficient	Amount to be Calculated
1	2	3	4	5	6
Group I
1	Bank guarantees and sureties, obligations under which are fully secured by: counter-guarantees (sureties) of the Government of the Republic of Kazakhstan, Joint Stock Company "National Welfare Fund" "Samruk-Kazyna", Joint Stock Company "National Management Holding" "Baiterek", central governments and central banks of foreign states having a sovereign rating at level "AA-" and above by Standard & Poor's agency or a rating of similar level by Fitch or Moody's Investors Service (hereinafter - other rating agencies); funds or refined precious metals placed at the disposal of the bank; securities of the Government of the Republic of Kazakhstan, National Bank of the Republic of Kazakhstan, Joint Stock Company "National Welfare Fund" "Samruk-Kazyna", Joint Stock Company "National Management Holding" "Baiterek", central governments and central banks of foreign states having a sovereign rating not lower than "AA-" by Standard & Poor's agency or a rating of similar level by one of other rating agencies, issued in favor of persons included in Group I of assets weighted by credit risk		0	0
2	Bank guarantees and sureties, obligations under which are fully secured by: counter-guarantees (sureties) of the Government of the Republic of Kazakhstan, Joint Stock Company "National Welfare Fund" "Samruk-Kazyna", central governments and central banks of foreign states having a sovereign rating at level "AA-" and above by Standard & Poor's agency or a rating of similar level by one of other rating agencies; funds or refined precious metals placed at the disposal of the bank; securities of the Government of the Republic of Kazakhstan, National Bank of the Republic of Kazakhstan, Joint Stock Company "National Welfare Fund" "Samruk-Kazyna", central governments and central banks of foreign states having a sovereign rating not lower than "AA-" by Standard & Poor's agency or a rating of similar level by one of other rating agencies, issued in favor of persons included in Group II of assets weighted by credit risk		0	20
3	Bank guarantees and sureties, obligations under which are fully secured by: counter-guarantees (sureties) of the Government of the Republic of Kazakhstan, Joint Stock Company "National Welfare Fund" "Samruk-Kazyna", central governments and central banks of foreign states having a sovereign rating at level "AA-" and above by Standard & Poor's agency or a rating of similar level by one of other rating agencies; funds or refined precious metals placed at the disposal of the bank; securities of the Government of the Republic of Kazakhstan, National Bank of the Republic of Kazakhstan, Joint Stock Company "National Welfare Fund" "Samruk-Kazyna", central governments and central banks of foreign states having a sovereign rating not lower than "AA-" by Standard & Poor's agency or a rating of similar level by one of other rating agencies, issued in favor of persons included in Group III of assets weighted by credit risk		0	50
4	Bank guarantees and sureties, obligations under which are fully secured by: counter-guarantees (sureties) of the Government of the Republic of Kazakhstan, Joint Stock Company "National Welfare Fund" "Samruk-Kazyna", central governments and central banks of foreign states having a sovereign rating at level "AA-" and above by Standard & Poor's agency or a rating of similar level by one of other rating agencies; funds or refined precious metals placed at the disposal of the bank; securities of the Government of the Republic of Kazakhstan, National Bank of the Republic of Kazakhstan, Joint Stock Company "National Welfare Fund" "Samruk-Kazyna", central governments and central banks of foreign states having a sovereign rating not lower than "AA-" by Standard & Poor's agency or a rating of similar level by one of other rating agencies, issued in favor of persons included in Group IV of assets weighted by credit risk		0	100
5	Bank guarantees and sureties, obligations under which are fully secured by: counter-guarantees (sureties) of the Government of the Republic of Kazakhstan, Joint Stock Company "National Welfare Fund" "Samruk-Kazyna", central governments and central banks of foreign states having a sovereign rating at level "AA-" and above by Standard & Poor's agency or a rating of similar level by one of other rating agencies; funds or refined precious metals placed at the disposal of the bank; securities of the Government of the Republic of Kazakhstan, National Bank of the Republic of Kazakhstan, Joint Stock Company "National Welfare Fund" "Samruk-Kazyna", central governments and central banks of foreign states having a sovereign rating not lower than "AA-" by Standard & Poor's agency or a rating of similar level by one of other rating agencies, issued in favor of persons included in Group V of assets weighted by credit risk		0	150
6	Contingent (possible) obligations to acquire or sell securities issued by the Government of the Republic of Kazakhstan, National Bank of the Republic of Kazakhstan, Joint Stock Company "National Welfare Fund" "Samruk-Kazyna", Joint Stock Company "National Management Holding" "Baiterek" or securities issued by central governments and central banks of foreign states having a sovereign rating at level "AA-" and above by Standard & Poor's agency or a rating of similar level by one of other rating agencies, other highly liquid securities, concluded with counterparties included in Group I of assets weighted by credit risk		0	0
7	Contingent (possible) obligations to acquire or sell securities issued by the Government of the Republic of Kazakhstan, National Bank of the Republic of Kazakhstan, Joint Stock Company "National Welfare Fund" "Samruk-Kazyna" or securities issued by central governments and central banks of foreign states having a sovereign rating at level "AA-" and above by Standard & Poor's agency or a rating of similar level by one of other rating agencies, other highly liquid securities, concluded with counterparties included in Group II of assets weighted by credit risk		0	20
8	Contingent (possible) obligations to acquire or sell securities issued by the Government of the Republic of Kazakhstan, National Bank of the Republic of Kazakhstan, Joint Stock Company "National Welfare Fund" "Samruk-Kazyna" or securities issued by central governments and central banks of foreign states having a sovereign rating at level "AA-" and above by Standard & Poor's agency or a rating of similar level by one of other rating agencies, other highly liquid securities, concluded with counterparties included in Group III of assets weighted by credit risk		0	50
9	Contingent (possible) obligations to acquire or sell securities issued by the Government of the Republic of Kazakhstan, National Bank of the Republic of Kazakhstan, Joint Stock Company "National Welfare Fund" "Samruk-Kazyna" or securities issued by central governments and central banks of foreign states having a sovereign rating at level "AA-" and above by Standard & Poor's agency or a rating of similar level by one of other rating agencies, other highly liquid securities, concluded with counterparties included in Group IV of assets weighted by credit risk		0	100
10	Contingent (possible) obligations to acquire or sell securities issued by the Government of the Republic of Kazakhstan, National Bank of the Republic of Kazakhstan, Joint Stock Company "National Welfare Fund" "Samruk-Kazyna" or securities issued by central governments and central banks of foreign states having a sovereign rating at level "AA-" and above by Standard & Poor's agency or a rating of similar level by one of other rating agencies, other highly liquid securities, concluded with counterparties included in Group V of assets weighted by credit risk		0	150
11	Bank letters of credit: without financial obligations of the bank; obligations under which are secured by: guarantees (sureties) of the Government of the Republic of Kazakhstan, Joint Stock Company "National Welfare Fund" "Samruk-Kazyna", Joint Stock Company "National Management Holding" "Baiterek", central governments and central banks of foreign states having a sovereign rating at level "AA-" and above by Standard & Poor's agency or a rating of similar level by one of other rating agencies; securities of the Government of the Republic of Kazakhstan, National Bank of the Republic of Kazakhstan, Joint Stock Company "National Welfare Fund" "Samruk-Kazyna", Joint Stock Company "National Management Holding" "Baiterek", central governments and central banks of foreign states having a sovereign rating at level "AA-" and above by Standard & Poor's agency or a rating of similar level by one of other rating agencies; funds or refined precious metals placed at the disposal of the bank, included in Group I of assets weighted by credit risk		0	0
12	Bank letters of credit: without financial obligations of the bank; obligations under which are secured by: guarantees (sureties) of the Government of the Republic of Kazakhstan, Joint Stock Company "National Welfare Fund" "Samruk-Kazyna", central governments and central banks of foreign states having a sovereign rating at level "AA-" and above by Standard & Poor's agency or a rating of similar level by one of other rating agencies; securities of the Government of the Republic of Kazakhstan, National Bank of the Republic of Kazakhstan, Joint Stock Company "National Welfare Fund" "Samruk-Kazyna", central governments and central banks of foreign states having a sovereign rating at level "AA-" and above by Standard & Poor's agency or a rating of similar level by one of other rating agencies; funds or refined precious metals placed at the disposal of the bank, included in Group II of assets weighted by credit risk		0	20
13	Bank letters of credit: without financial obligations of the bank; obligations under which are secured by: guarantees (sureties) of the Government of the Republic of Kazakhstan, Joint Stock Company "National Welfare Fund" "Samruk-Kazyna", central governments and central banks of foreign states having a sovereign rating at level "AA-" and above by Standard & Poor's agency or a rating of similar level by one of other rating agencies; securities of the Government of the Republic of Kazakhstan, National Bank of the Republic of Kazakhstan, Joint Stock Company "National Welfare Fund" "Samruk-Kazyna", central governments and central banks of foreign states having a sovereign rating at level "AA-" and above by Standard & Poor's agency or a rating of similar level by one of other rating agencies; funds or refined precious metals placed at the disposal of the bank, included in Group III of assets weighted by credit risk		0	50
14	Bank letters of credit: without financial obligations of the bank; obligations under which are secured by: guarantees (sureties) of the Government of the Republic of Kazakhstan, Joint Stock Company "National Welfare Fund" "Samruk-Kazyna", central governments and central banks of foreign states having a sovereign rating at level "AA-" and above by Standard & Poor's agency or a rating of similar level by one of other rating agencies; securities of the Government of the Republic of Kazakhstan, National Bank of the Republic of Kazakhstan, Joint Stock Company "National Welfare Fund" "Samruk-Kazyna", central governments and central banks of foreign states having a sovereign rating at level "AA-" and above by Standard & Poor's agency or a rating of similar level by one of other rating agencies; funds or refined precious metals placed at the disposal of the bank, included in Group IV of assets weighted by credit risk		0	100
15	Bank letters of credit: without financial obligations of the bank; obligations under which are secured by: guarantees (sureties) of the Government of the Republic of Kazakhstan, Joint Stock Company "National Welfare Fund" "Samruk-Kazyna", central governments and central banks of foreign states having a sovereign rating at level "AA-" and above by Standard & Poor's agency or a rating of similar level by one of other rating agencies; securities of the Government of the Republic of Kazakhstan, National Bank of the Republic of Kazakhstan, Joint Stock Company "National Welfare Fund" "Samruk-Kazyna", central governments and central banks of foreign states having a sovereign rating at level "AA-" and above by Standard & Poor's agency or a rating of similar level by one of other rating agencies; funds or refined precious metals placed at the disposal of the bank, included in Group V of assets weighted by credit risk		0	150
16	Possible (contingent) obligations for the bank to place loans and deposits in the future, subject to cancellation at any time at the request of the bank, included in Group I of assets weighted by credit risk		0	0
17	Possible (contingent) obligations for the bank to place loans and deposits in the future, subject to cancellation at any time at the request of the bank, included in Group II of assets weighted by credit risk		0	20
18	Possible (contingent) obligations for the bank to place loans and deposits in the future, subject to cancellation at any time at the request of the bank, included in Group III of assets weighted by credit risk		0	50
19	Possible (contingent) obligations for the bank to place loans and deposits in the future, subject to cancellation at any time at the request of the bank, included in Group IV of assets weighted by credit risk		0	100
20	Possible (contingent) obligations for the bank to place loans and deposits in the future, subject to cancellation at any time at the request of the bank, included in Group V of assets weighted by credit risk		0	150
21	Bank guarantees and sureties issued in favor of subsidiary organizations of the bank, included in Group I of assets weighted by credit risk when attracting external loans through them and placing bank obligations		0	0
22	Bank guarantees and sureties issued in favor of subsidiary organizations of the bank, included in Group II of assets weighted by credit risk when attracting external loans through them and placing bank obligations		0	20
23	Bank guarantees and sureties issued in favor of subsidiary organizations of the bank, included in Group III of assets weighted by credit risk when attracting external loans through them and placing bank obligations		0	50
24	Bank guarantees and sureties issued in favor of subsidiary organizations of the bank, included in Group IV of assets weighted by credit risk when attracting external loans through them and placing bank obligations		0	100
25	Bank guarantees and sureties issued in favor of subsidiary organizations of the bank, included in Group V of assets weighted by credit risk when attracting external loans through them and placing bank obligations		0	150
26	Guarantees accepted by the bank to secure a granted loan, concluded with persons included in Group I of assets weighted by credit risk		0	0
27	Guarantees accepted by the bank to secure a granted loan, concluded with persons included in Group II of assets weighted by credit risk		0	20
28	Guarantees accepted by the bank to secure a granted loan, concluded with persons included in Group III of assets weighted by credit risk		0	50
29	Guarantees accepted by the bank to secure a granted loan, concluded with persons included in Group IV of assets weighted by credit risk		0	100
30	Guarantees accepted by the bank to secure a granted loan, concluded with persons included in Group V of assets weighted by credit risk		0	150
Group II
31	Possible (contingent) obligations for the bank to place loans and deposits in the future with a maturity of less than 1 year, concluded with persons included in Group I of assets weighted by credit risk	20	0
32	Possible (contingent) obligations for the bank to place loans and deposits in the future with a maturity of less than 1 year, concluded with persons included in Group II of assets weighted by credit risk	20	20
33	Possible (contingent) obligations for the bank to place loans and deposits in the future with a maturity of less than 1 year, concluded with persons included in Group III of assets weighted by credit risk	20	50

34	Contingent obligations for future loans and deposits placed by the bank with a maturity of less than 1 year, entered into with persons belonging to asset group IV, weighted by credit risk degree		20	100
35	Contingent obligations for future loans and deposits placed by the bank with a maturity of less than 1 year, entered into with persons belonging to asset group V, weighted by credit risk degree		20	150
36	Bank guarantees and sureties, obligations under which are fully secured: counter-guarantees (sureties) of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; securities of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies, issued in favor of persons belonging to asset group I, weighted by credit risk degree		20	0
37	Bank guarantees and sureties, obligations under which are fully secured: counter-guarantees (sureties) of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; securities of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies, issued in favor of persons belonging to asset group II, weighted by credit risk degree		20	20
38.	Bank guarantees and sureties, obligations under which are fully secured: counter-guarantees (sureties) of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; securities of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies, issued in favor of persons belonging to asset group III, weighted by credit risk degree		20	50
39	Bank guarantees and sureties, obligations under which are fully secured: counter-guarantees (sureties) of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; securities of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies, issued in favor of persons belonging to asset group IV, weighted by credit risk degree		20	100
40	Bank guarantees and sureties, obligations under which are fully secured: counter-guarantees (sureties) of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; securities of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies, issued in favor of persons belonging to asset group V, weighted by credit risk degree		20	150
41	Bank letters of credit, obligations under which are secured: by guarantees (sureties) of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by guarantees (sureties) of banks having a rating at level 'AA-' and above by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by securities of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by securities of banks having a rating at level 'AA-' and above by Standard & Poor's or a rating of equivalent level from one of other rating agencies, issued in favor of persons belonging to asset group I, weighted by credit risk degree		20	0
42	Bank letters of credit, obligations under which are secured: by guarantees (sureties) of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by guarantees (sureties) of banks having a rating at level 'AA-' and above by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by securities of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by securities of banks having a rating at level 'AA-' and above by Standard & Poor's or a rating of equivalent level from one of other rating agencies, issued in favor of persons belonging to asset group II, weighted by credit risk degree		20	20
43	Bank letters of credit, obligations under which are secured: by guarantees (sureties) of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by guarantees (sureties) of banks having a rating at level 'AA-' and above by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by securities of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by securities of banks having a rating at level 'AA-' and above by Standard & Poor's or a rating of equivalent level from one of other rating agencies, issued in favor of persons belonging to asset group III, weighted by credit risk degree		20	50
44	Bank letters of credit, obligations under which are secured: by guarantees (sureties) of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by guarantees (sureties) of banks having a rating at level 'AA-' and above by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by securities of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by securities of banks having a rating at level 'AA-' and above by Standard & Poor's or a rating of equivalent level from one of other rating agencies, issued in favor of persons belonging to asset group IV, weighted by credit risk degree		20	100
45	Bank letters of credit, obligations under which are secured: by guarantees (sureties) of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by guarantees (sureties) of banks having a rating at level 'AA-' and above by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by securities of central governments and central banks of foreign states having a sovereign rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by securities of banks having a rating at level 'AA-' and above by Standard & Poor's or a rating of equivalent level from one of other rating agencies, issued in favor of persons belonging to asset group V, weighted by credit risk degree		20	150
Group III
46	Contingent obligations for future loans and deposits placed by the bank with a maturity of more than 1 year, entered into with persons belonging to asset group I, weighted by credit risk degree		50	0
47	Contingent obligations for future loans and deposits placed by the bank with a maturity of more than 1 year, entered into with persons belonging to asset group II, weighted by credit risk degree		50	20
48	Contingent obligations for future loans and deposits placed by the bank with a maturity of more than 1 year, entered into with persons belonging to asset group III, weighted by credit risk degree		50	50
49	Contingent obligations for future loans and deposits placed by the bank with a maturity of more than 1 year, entered into with persons belonging to asset group IV, weighted by credit risk degree		50	100
50	Contingent obligations for future loans and deposits placed by the bank with a maturity of more than 1 year, entered into with persons belonging to asset group V, weighted by credit risk degree		50	150
51	Bank guarantees and sureties, obligations under which are fully secured: by counter-guarantees (sureties) of central governments and central banks of foreign states having a sovereign rating from 'BBB-' to 'A-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by guarantees (sureties) of banks having a rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by guarantees (sureties) of legal entities and insurance policies of insurance (reinsurance) organizations having a rating at level 'AA-' and above by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by securities of central governments and central banks of foreign states having a sovereign rating from 'BBB-' to 'A-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by securities of banks having a rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by securities of legal entities having a rating at level 'AA-' and above by Standard & Poor's or a rating of equivalent level from one of other rating agencies, issued in favor of persons belonging to asset group I, weighted by credit risk degree		50	0
52	Bank guarantees and sureties, obligations under which are fully secured: by counter-guarantees (sureties) of central governments and central banks of foreign states having a sovereign rating from 'BBB-' to 'A-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by guarantees (sureties) of banks having a rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by guarantees (sureties) of legal entities and insurance policies of insurance (reinsurance) organizations having a rating at level 'AA-' and above by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by securities of central governments and central banks of foreign states having a sovereign rating from 'BBB-' to 'A-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by securities of banks having a rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by securities of legal entities having a rating at level 'AA-' and above by Standard & Poor's or a rating of equivalent level from one of other rating agencies, issued in favor of persons belonging to asset group II, weighted by credit risk degree		50	20
53	Bank guarantees and sureties, obligations under which are fully secured: by counter-guarantees (sureties) of central governments and central banks of foreign states having a sovereign rating from 'BBB-' to 'A-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by guarantees (sureties) of banks having a rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by guarantees (sureties) of legal entities and insurance policies of insurance (reinsurance) organizations having a rating at level 'AA-' and above by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by securities of central governments and central banks of foreign states having a sovereign rating from 'BBB-' to 'A-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by securities of banks having a rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by securities of legal entities having a rating at level 'AA-' and above by Standard & Poor's or a rating of equivalent level from one of other rating agencies, issued in favor of persons belonging to asset group III, weighted by credit risk degree		50	50
54	Bank guarantees and sureties, obligations under which are fully secured: by counter-guarantees (sureties) of central governments and central banks of foreign states having a sovereign rating from 'BBB-' to 'A-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by guarantees (sureties) of banks having a rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by guarantees (sureties) of legal entities and insurance policies of insurance (reinsurance) organizations having a rating at level 'AA-' and above by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by securities of central governments and central banks of foreign states having a sovereign rating from 'BBB-' to 'A-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by securities of banks having a rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by securities of legal entities having a rating at level 'AA-' and above by Standard & Poor's or a rating of equivalent level from one of other rating agencies, issued in favor of persons belonging to asset group IV, weighted by credit risk degree		50	100
55	Bank guarantees and sureties, obligations under which are fully secured: by counter-guarantees (sureties) of central governments and central banks of foreign states having a sovereign rating from 'BBB-' to 'A-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by guarantees (sureties) of banks having a rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by guarantees (sureties) of legal entities and insurance policies of insurance (reinsurance) organizations having a rating at level 'AA-' and above by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by securities of central governments and central banks of foreign states having a sovereign rating from 'BBB-' to 'A-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by securities of banks having a rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by securities of legal entities having a rating at level 'AA-' and above by Standard & Poor's or a rating of equivalent level from one of other rating agencies, issued in favor of persons belonging to asset group V, weighted by credit risk degree		50	150
56	Bank letters of credit, obligations under which are fully secured: by counter-guarantees (sureties) of central governments and central banks of foreign states having a sovereign rating from 'BBB-' to 'A-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by guarantees (sureties) of banks having a rating from 'A-' to 'AA-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by guarantees (sureties) of legal entities and insurance policies of insurance (reinsurance) organizations having a rating at level 'AA-' and above by Standard & Poor's or a rating of equivalent level from one of other rating agencies; by securities of central governments and central banks of foreign states having a sovereign rating from 'BBB-' to 'A-' by Standard & Poor's or a rating of equivalent level from one of other rating agencies

	banks of foreign states having a sovereign rating from
	'BBB-' to 'A-' by Standard & Poor's or a rating
	of equivalent level by one of other rating agencies;
	securities of banks having a rating from 'A-' to 'AA-'
	by Standard & Poor's or a rating of equivalent level
	by one of other rating agencies; securities of
	legal entities having a rating at the level of 'AA-' and above
	by Standard & Poor's or a rating of equivalent level
	by one of other rating agencies, issued in favor of
	persons included in Group I of assets weighted for credit risk
57	Bank letters of credit, obligations under which are fully		50	20
	secured by: counter-guarantees (sureties)
	of central governments and central banks of foreign
	states having a sovereign rating from 'BBB-' to 'A-'
	by Standard & Poor's or a rating of equivalent level
	by one of other rating agencies; guarantees
	(sureties) of banks having a rating from 'A-' to 'AA-'
	by Standard & Poor's or a rating of equivalent level
	by one of other rating agencies; guarantees
	(sureties) of legal entities and insurance policies
	of insurance (reinsurance) organizations having a rating at
	the level of 'AA-' and above by Standard & Poor's or a rating
	of equivalent level by one of other rating agencies;
	securities of central governments and central
	banks of foreign states having a sovereign rating from
	'BBB-' to 'A-' by Standard & Poor's or a rating
	of equivalent level by one of other rating agencies;
	securities of banks having a rating from 'A-' to 'AA-'
	by Standard & Poor's or a rating of equivalent level
	by one of other rating agencies; securities of
	legal entities having a rating at the level of 'AA-' and above
	by Standard & Poor's or a rating of equivalent level
	by one of other rating agencies, issued in favor of
	persons included in Group II of assets weighted for
	credit risk
58	Bank letters of credit, obligations under which are fully		50	50
	secured by: counter-guarantees (sureties)
	of central governments and central banks of foreign
	states having a sovereign rating from 'BBB-' to 'A-'
	by Standard & Poor's or a rating of equivalent level
	by one of other rating agencies; guarantees
	(sureties) of banks having a rating from 'A-' to 'AA-'
	by Standard & Poor's or a rating of equivalent level
	by one of other rating agencies; guarantees
	(sureties) of legal entities and insurance policies
	of insurance (reinsurance) organizations having a rating at
	the level of 'AA-' and above by Standard & Poor's or a rating
	of equivalent level by one of other rating agencies;
	securities of central governments and central
	banks of foreign states having a sovereign rating from
	'BBB-' to 'A-' by Standard & Poor's or a rating
	of equivalent level by one of other rating agencies;
	securities of banks having a rating from 'A-' to 'AA-'
	by Standard & Poor's or a rating of equivalent level
	by one of other rating agencies; securities of
	legal entities having a rating at the level of 'AA-' and above
	by Standard & Poor's or a rating of equivalent level
	by one of other rating agencies, issued in favor of
	persons included in Group III of assets weighted for
	credit risk
59	Bank letters of credit, obligations under which are fully		50	100
	secured by: counter-guarantees (sureties)
	of central governments and central banks of foreign
	states having a sovereign rating from 'BBB-' to 'A-'
	by Standard & Poor's or a rating of equivalent level
	by one of other rating agencies; guarantees
	(sureties) of banks having a rating from 'A-' to 'AA-'
	by Standard & Poor's or a rating of equivalent level
	by one of other rating agencies; guarantees
	(sureties) of legal entities and insurance policies
	of insurance (reinsurance) organizations having a rating at
	the level of 'AA-' and above by Standard & Poor's or a rating
	of equivalent level by one of other rating agencies;
	securities of central governments and central
	banks of foreign states having a sovereign rating from
	'BBB-' to 'A-' by Standard & Poor's or a rating
	of equivalent level by one of other rating agencies;
	securities of banks having a rating from 'A-' to 'AA-'
	by Standard & Poor's or a rating of equivalent level
	by one of other rating agencies; securities of
	legal entities having a rating at the level of 'AA-' and above
	by Standard & Poor's or a rating of equivalent level
	by one of other rating agencies, issued in favor of
	persons included in Group IV of assets weighted for
	credit risk
60	Bank letters of credit, obligations under which are fully		50	150
	secured by: counter-guarantees (sureties)
	of central governments and central banks of foreign
	states having a sovereign rating from 'BBB-' to 'A-'
	by Standard & Poor's or a rating of equivalent level
	by one of other rating agencies; guarantees
	(sureties) of banks having a rating from 'A-' to 'AA-'
	by Standard & Poor's or a rating of equivalent level
	by one of other rating agencies; guarantees
	(sureties) of legal entities and insurance policies
	of insurance (reinsurance) organizations having a rating at
	the level of 'AA-' and above by Standard & Poor's or a rating
	of equivalent level by one of other rating agencies;
	securities of central governments and central
	banks of foreign states having a sovereign rating from
	'BBB-' to 'A-' by Standard & Poor's or a rating
	of equivalent level by one of other rating agencies;
	securities of banks having a rating from 'A-' to 'AA-'
	by Standard & Poor's or a rating of equivalent level
	by one of other rating agencies; securities of
	legal entities having a rating at the level of 'AA-' and above
	by Standard & Poor's or a rating of equivalent level
	by one of other rating agencies, issued in favor of
	persons included in Group V of assets weighted for
	credit risk
Group IV
61	Agreement on sale to the bank with an obligation for the		100	0
	bank to repurchase financial instruments, concluded with persons
	included in Group I of assets weighted for
	credit risk
62	Agreement on sale to the bank with an obligation for the		100	20
	bank to repurchase financial instruments, concluded with persons
	included in Group II of assets weighted for
	credit risk
63	Agreement on sale to the bank with an obligation for the		100	50
	bank to repurchase financial instruments, concluded with persons
	included in Group III of assets weighted for
	credit risk
64	Agreement on sale to the bank with an obligation for the		100	100
	bank to repurchase financial instruments, concluded with persons
	included in Group IV of assets weighted for
	credit risk
65	Agreement on sale to the bank with an obligation for the		100	150
	bank to repurchase financial instruments, concluded with persons
	included in Group V of assets weighted for
	credit risk
66	Other guarantees (sureties) of the bank issued in favor of persons		100	0
	included in Group I of assets weighted for credit risk
67	Other guarantees (sureties) of the bank issued in favor of persons		100	20
	included in Group II of assets weighted for
	credit risk
68	Other guarantees (sureties) of the bank issued in favor of persons		100	50
	included in Group III of assets weighted for
	credit risk
69	Other guarantees (sureties) of the bank issued in favor of persons		100	100
	included in Group IV of assets weighted for
	credit risk
70	Other guarantees (sureties) of the bank issued in favor of persons		100	150
	included in Group V of assets weighted for credit risk
71	Other bank letters of credit issued in favor of persons included in		100	0
	Group I of assets weighted for credit risk
72	Other bank letters of credit issued in favor of persons included in		100	20
	Group II of assets weighted for credit risk
73	Other bank letters of credit issued in favor of persons included in		100	50
	Group III of assets weighted for credit risk
74	Other bank letters of credit issued in favor of persons included in		100	100
	Group IV of assets weighted for credit risk
75	Other bank letters of credit issued in favor of persons included in		100	150
	Group V of assets weighted for credit risk
76	Other contingent (possible) obligations of the bank to persons		100	0
	included in Group I of assets weighted for
	credit risk
77	Other contingent (possible) obligations of the bank to persons		100	20
	included in Group II of assets weighted for
	credit risk
78	Other contingent (possible) obligations of the bank to persons		100	50
	included in Group III of assets weighted for
	credit risk
79	Other contingent (possible) obligations of the bank to persons		100	100
	included in Group IV of assets weighted for
	credit risk
80	Other contingent (possible) obligations of the bank to persons		100	150
	included in Group V of assets weighted for
	credit risk
Total contingent liabilities weighted for credit risk:		X	X

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, first name and patronymic (if any) phone

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

Head or person authorized by him to sign the report ______ ______ surname, first name and patronymic (if any) signature, phone

Date "____" ______ 20__ year

Appendix
to the form of the report on the breakdown of contingent and possible liabilities, weighted for credit risk, submitted by Islamic banks

Explanation on filling out the administrative data form

Report on the breakdown of contingent and possible liabilities, weighted for credit risk, submitted by Islamic banks

(index – 2-BVU_RUIVO, frequency – monthly)

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the administrative data form "Report on the breakdown of contingent and possible liabilities, weighted for credit risk, submitted by Islamic banks" (hereinafter - Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", with paragraph 1 of Article 54 of the Law of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan".
3. The Form is compiled monthly by Islamic banks as of the first day of each month. Data in the Form is filled in thousands of tenge.
4. The Form is signed by the head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation on Filling out the Form

5. The Form is filled out in accordance with Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 144 "On Establishing Prudential Norms and Other Mandatory Compliance Norms and Limits for Islamic Banks, Their Reference Values and Methodology for Calculating Prudential Norms and Other Mandatory Compliance Norms and Limits for Islamic Banks", registered in the Registry of State Registration of Regulatory Legal Acts under No. 13939.
6. Column 3 indicates the amount of contingent and possible liabilities subject to weighting for credit risk.
7. Column 6 indicates the amount of contingent and possible liabilities (Column 3), multiplied by the value of the conversion coefficient in percent (Column 4) and the value of the credit risk coefficient in percent (Column 5).

Appendix 19
to the List of regulatory legal acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

Appendix 20
to the resolution of the Board of the
National Bank of the
Republic of Kazakhstan dated May 8, 2015 No. 75

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan Administrative data form is posted on the website: www.nationalbank.kz

Report on the breakdown of market risk associated with changes in the market value of inventories, submitted by Islamic banks

Administrative data form index: 2-BVU_RRRTMZ
Frequency: monthly
Reporting period: as of "___"____20 year
Persons submitting information: second-tier bank Submission deadline: no later than the seventh working day of the month following the reporting month.

Form

(in thousands of tenge)

No.	Commodity, commodity group	Open positions	Net position	Gross position	15 percent of	3 percent of	Magnitude
			2-3		2	+	3		of net magnitude	of gross	inventory
					position	gross position	credit risk 6+7
		Long	Short
1	2	3	4	5	6	7	8	9
1
2
...

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, first name and patronymic (if any) phone

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

Head or person authorized by him to sign the report ______ ______ surname, first name and patronymic (if any) signature, phone

Date "____" ______ 20__ year

Appendix
to the form of the report on the breakdown of market risk associated with changes in the market value of inventories, submitted by Islamic banks

Explanation on filling out the administrative data form

Report on the breakdown of market risk associated with changes in the market value of inventories, submitted by Islamic banks

(index – 2-BVU_RRRTMZ, frequency – monthly)

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the administrative data form "Report on the breakdown of market risk associated with changes in the market value of inventories, submitted by Islamic banks" (hereinafter - Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", with paragraph 1 of Article 54 of the Law of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan".
3. The Form is compiled monthly by Islamic banks as of the first day of each month. Data in the Form is filled in thousands of tenge.
4. The Form is signed by the head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation on Filling out the Form

5. The Form is filled out in accordance with paragraphs 26 and 27 of Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 144 "On Establishing Prudential Norms and Other Mandatory Compliance Norms and Limits for Islamic Banks, Their Reference Values and Methodology for Calculating Prudential Norms and Other Mandatory Compliance Norms and Limits for Islamic Banks", registered in the Registry of State Registration of Regulatory Legal Acts under
   No. 13939.

Appendix 20
to the List of regulatory legal acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

Appendix 20-1
to the resolution of the Board of the
National Bank of the
Republic of Kazakhstan dated May 8, 2015 No. 75

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan Administrative data form is posted on the website: www.nationalbank.kz

Report on the breakdown of the liquidity coverage ratio

Administrative data form index: 1-BVU_LCR
Frequency: monthly
Reporting period: as of "___"____20 year
Persons submitting information: second-tier bank Submission deadline: no later than the tenth working day of the month following the reporting month.

Form

(in thousands of tenge)

№	Name of Items	Amount	Coefficient for accounting in percentages	Amount for calculation
1	2	3	4	5
	High-quality liquid assets of level 1
1	Cash		100
2	Deposits at the National Bank of the Republic of Kazakhstan		100
3	Claims on the Government of the Republic of Kazakhstan, the National Bank,		100
	a legal entity engaged in the buyout of mortgage loans to individuals,
	one hundred percent of the shares of which belong to the National Bank, central governments
	of foreign states, central banks of foreign states and
	international financial organizations, weighted by credit risk degree
	0 (zero) percent:
3.1	securities guaranteed by the Government of the Republic of Kazakhstan,		100
	the National Bank of the Republic of Kazakhstan
3.2	securities guaranteed by central governments of foreign		100
	states and central banks of foreign states having a sovereign rating not lower than “AA-” by Standard & Poor’s or a rating
	of an equivalent level by Fitch or Moody’s Investors Service (hereinafter referred to as
	other rating agencies)
3.3	securities guaranteed by international financial organizations,		100
	having a debt rating not lower than “AA-” by Standard & Poor’s or
	a rating of an equivalent level by one of the other rating agencies
3.4	loans provided to the Government of the Republic of Kazakhstan		100
3.5	loans provided to the National Bank of the Republic of Kazakhstan		100
3.6	loans provided to central governments of countries having		100
	a sovereign rating not lower than “AA-” by Standard & Poor’s or a rating
	of an equivalent level by one of the other rating agencies
3.7	loans provided to central banks of countries with a sovereign rating not		100
	lower than “AA-” by Standard & Poor’s or a rating of an equivalent level
	by one of the other rating agencies
3.8	loans provided to international financial organizations with a debt		100
	rating not lower than “AA-” by Standard & Poor’s or a rating
	of an equivalent level by one of the other rating agencies
3.9	deposits in central banks of countries with a sovereign rating not lower than “AA-”		100
	by Standard & Poor’s or a rating of an equivalent level by one of the
	other rating agencies
3.10	deposits in international financial organizations with a debt rating not		100
	lower than “AA-” by Standard & Poor’s or a rating of an equivalent level
	by one of the other rating agencies
3.11	accounts receivable of the Government of the Republic of Kazakhstan		100
3.12	state securities of the Republic of Kazakhstan issued by		100
	the Government of the Republic of Kazakhstan and the National Bank of the Republic of
	Kazakhstan
3.13	securities having the status of state securities, issued by central		100
	governments of foreign states, whose sovereign rating is not
	lower than “AA-” by Standard & Poor’s or a rating of an equivalent level
	by one of the other rating agencies
3.14	securities issued by international financial organizations,		100
	having a debt rating not lower than “AA-” by Standard & Poor’s or
	a rating of an equivalent level by one of the other rating agencies
4	Securities of central governments of foreign states and		100
	central banks of foreign states, denominated in the currency
	of the respective countries, in case of weighting by credit risk degree
	above 0 (zero) percent
	High-quality liquid assets of level 2
5	Claims on local executive bodies of the Republic of Kazakhstan, including		85
	state securities issued by local executive bodies of the Republic of Kazakhstan, weighted by credit risk degree
	20 (twenty) percent
5.1	loans provided to local executive bodies of the Republic of		85
	Kazakhstan
5.2	accounts receivable of local executive bodies of the Republic of		85
	Kazakhstan
5.3	securities issued by local executive bodies of the Republic of		85
	Kazakhstan
6	Claims on central governments of foreign states,		85
	central banks of foreign states, local authorities
	of foreign states, international financial organizations,
	weighted by credit risk degree 20 (twenty) percent, including:
6.1	securities guaranteed by central governments of foreign		85
	states and central banks of foreign states having a sovereign rating from “A+” to “A-” by Standard & Poor’s or a rating
	of an equivalent level by one of the other rating agencies
6.2	securities guaranteed by local authorities of foreign		85
	states having a sovereign rating not lower than “AA-” by Standard &
	Poor’s or a rating of an equivalent level by one of the other
	rating agencies
6.3	securities guaranteed by international financial organizations,		85
	having a debt rating from “A+” to “A-” by Standard & Poor’s or a rating
	of an equivalent level by one of the other rating agencies
6.4	loans provided to central governments of countries having		85
	a sovereign rating from “A+” to “A-” by Standard & Poor’s or a rating
	of an equivalent level by one of the other rating agencies
6.5	loans provided to central banks of countries having a sovereign		85
	rating from “A+” to “A-” by Standard & Poor’s or a rating
	of an equivalent level by one of the other rating agencies
6.6	loans provided to international financial organizations having		85
	a debt rating from “A+” to “A-” by Standard & Poor’s or a rating
	of an equivalent level by one of the other rating agencies
6.7	loans provided to local authorities of countries having a sovereign		85
	rating not lower than “AA-” by Standard & Poor’s or a rating
	of an equivalent level by one of the other rating agencies
6.8	deposits in central banks of countries having a sovereign rating from “A+” to		85
	“A-” by Standard & Poor’s or a rating of an equivalent level by one
	of the other rating agencies
6.9	deposits in international financial organizations having a debt rating		85
	from “A+” to “A-” by Standard & Poor’s or a rating of an
	equivalent level by one of the other rating agencies
6.10	securities having the status of state securities, issued by central		85
	governments of countries having a sovereign rating from “A+” to “A-”
	by Standard & Poor’s or a rating of an equivalent level by one of the
	other rating agencies
6.11	securities issued by international financial organizations,		85
	having a debt rating from “A+” to “A-” by Standard & Poor’s or a rating
	of an equivalent level by one of the other rating agencies
6.12	securities issued by local authorities of countries, sovereign		85
	rating of which is not lower than “AA-” by Standard & Poor’s or a rating
	of an equivalent level by one of the other rating agencies
7	Securities issued by non-financial organizations having a		85
	long-term rating not lower than “AA-” by Standard & Poor’s or
	a rating of an equivalent level by one of the other rating agencies
8	Mortgage securities that are not obligations of the bank, having		85
	a long-term rating not lower than “AA-” by Standard & Poor’s or
	a rating of an equivalent level by one of the other rating agencies
	Cash outflows on deposits of individuals
9	Stable deposits		5
10	Less stable deposits		10
11	Other cash outflows on obligations to individuals, not		100
	included in lines 9 and 10 of this table
	Cash outflows on obligations to legal entities, subjects of
	small business, unsecured by bank assets
12	Deposits placed by non-financial organizations that are subjects of		10
	small business, the total volume of which does not exceed in
	equivalent 1 (one) million United States dollars
13	Deposits related to clearing, custodial activities, with		25
	liquidity management activities
14	Deposits of non-financial organizations, the Government of the Republic of Kazakhstan,		40
	the National Bank, local executive bodies of the Republic of Kazakhstan,
	international financial organizations, central governments
	of foreign states, central banks of foreign states,
	local authorities of foreign states
15	Deposits of non-financial organizations (groups of non-financial organizations, in		60
	cases when one legal entity is a major participant in another
	legal entity, provided that the size of obligations of each of the legal
	entities exceeds 0.5 (zero point five) percent of the core capital
	of the bank), in an amount exceeding 5 (five) percent of the sum of obligations of the bank
16	Obligations to other legal entities, including obligations		100
	on issued securities
	Cash outflows on obligations to legal entities,
	secured by bank assets
17	Obligations secured by high-quality liquid assets		0
	of level 1
18	Obligations to the Government of the Republic of Kazakhstan and the National		0
	Bank of the Republic of Kazakhstan
19	Obligations secured by high-quality liquid assets		15
	of level 2
20	Obligations to local executive bodies of the Republic of		25
	Kazakhstan, international financial organizations, weighted by
	credit risk degree no higher than 20 (twenty) percent, secured by
	assets that are not high-quality liquid assets of level 1
	and level 2
21	Other secured obligations		100
	Additional cash outflows on contingent and possible obligations
22	Additional liquidity requirement for contingent obligations,		100
	transactions with derivative financial instruments and other operations in
	full amount in case of downgrade of the bank's rating by 1 (one), 2 (two) or 3
	(three) steps from the current rating of the bank
23	Need for additional liquidity in case of change in market valuation		Largest 30
	of positions in derivative financial instruments or other operations
			(thirty-day)
			net outflow for
			previous 24
			(twenty-four)
			months
24	Need for additional liquidity in revaluation of collateral		20
	(except for high-quality liquid assets of level 1) for
	derivative financial instruments and other operations
25	Size of excess collateral held by the bank in connection with		100
	maintaining a position in derivative financial instruments, for which
	withdrawal is possible at any time
26	Need for additional liquidity for operations,		100
	providing for the provision of collateral by the bank, upon request
	of the counterparty in accordance with the terms of the contract in case if
	collateral is not provided
27	Need for additional liquidity related to the possibility		100
	of replacing collateral with assets that are not high-quality
	liquid assets
28	Outflow on securities issued by the bank, secured by inflow		100
	of funds from assets, and having a maturity within the calendar month
	following the date of calculation of the liquidity coverage ratio (including
	including mortgage securities)
29	Outflow on securities secured by inflow of funds from assets and		100
	issued by subsidiary special-purpose organizations of the bank, having a maturity
	within the calendar month following the date of calculation
	of the liquidity coverage ratio
30	Unused portion of credit lines and liquidity lines,		5
	provided to individuals and subjects of small business
31	Unused portion of credit lines, provided to non-financial		10
	organizations, the Government of the Republic of Kazakhstan, the National Bank,
	local executive bodies of the Republic of Kazakhstan and international
	financial organizations
32	Unused portion of liquidity lines, provided to non-financial		30
	organizations, the Government of the Republic of Kazakhstan, the National Bank,
	local executive bodies of the Republic of Kazakhstan and international
	financial organizations
33	Unused portion of credit lines and liquidity lines,		40
	provided to other banks
34	Unused portion of credit lines, provided to financial		40
	organizations that are not banks
35	Unused portion of liquidity lines, provided to other financial		100
	organizations that are not banks
36	Unused portion of credit lines and liquidity lines,		100
	provided to other legal entities (including subsidiary
	special-purpose organizations of the bank)
37	Obligations related to financing of export and import of goods and		5
	services (on guarantees and sureties, letters of credit, related to
	conducting factoring and forfaiting operations)
38	Obligations on guarantees and sureties, letters of credit, not related		10
	to financing of export and import of goods and services
39	Other cash outflows on obligations, not included in lines 12-38.		100
	Cash inflows
40	Borrowing operations secured by high-quality liquid assets		0
	of level 1
41	Borrowing operations secured by high-quality liquid assets		15
	of level 2
42	Loans provided for the purpose of buying and selling securities under		50
	collateral of assets that do not belong to high-quality liquid
	assets (margin transactions)
43	Borrowing operations secured by other assets		100
44	Credit lines, liquidity lines, provided by other banks		0
45	Deposits related to clearing, custodial activities, with		0
	liquidity management activities of the client in other financial
	organizations
46	Inflows on credits, except for loans with overdue debt
	on principal and/or accrued remuneration, including
	issued:
46.1	to individuals and subjects of small business		50
46.2	to non-financial organizations		50
46.3	to financial organizations		100
47	Net inflows on derivative financial instruments		100
48	Other cash inflows from operations, under the contracts of which expected		100
	cash inflows within the calendar month following the date
	of calculation of the liquidity coverage ratio
49	High-quality liquid assets		x
50	Cash inflows		x
51	Cash outflows		x
52	Net cash outflow on bank operations during the calendar	x	x
	month following the date of calculation of the liquidity coverage ratio
53	Liquidity coverage ratio	x	x

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, name and patronymic (if any) phone

Chief Accountant or person authorized to sign the report ______ ______ surname, name and patronymic (if any) signature, phone

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

Date “____” ______ 20__ year

Appendix
to the reporting form for the breakdown of the coefficient of liquidity coverage

Explanation for filling in the form of administrative data

Report on the breakdown of the liquidity coverage ratio

(form index – 1-BVU_LCR, periodicity – monthly)

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling in the form of administrative data "Report on the breakdown of the liquidity coverage ratio" (hereinafter - Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", with paragraph 1 of Article 54 of the Law of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan".
3. The Form is compiled monthly by second-tier banks as of the first day of each month. Data in the Form is filled in in thousands of tenge.
4. The Form is signed by the head of the organization, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation for filling in the Form

5. The Form is filled in accordance with the Resolution of the Board of the National Bank of Kazakhstan dated September 13, 2017 No. 170 "On establishing regulatory values and methods for calculating prudential norms and other mandatory standards and limits, bank capital size and Rules for calculating and limits of open currency position", registered in the Registry of state registration of normative legal acts under No. 15886 (hereinafter - Resolution No. 170).
6. High-quality liquid assets of the bank are calculated taking into account the requirements established by paragraph 73 of the Regulatory Values and Methods for Calculating Prudential Norms and Other Mandatory Standards and Limits, Bank Capital Size, established according to Appendix 1 to Resolution No. 170 (hereinafter – Norms No. 170) and applying the accounting coefficients established in Appendix 13 to Norms No. 170.
7. Cash outflow (inflow) is calculated as the sum of cash outflows (inflows) during the subsequent calendar month after the reporting date, applying the outflow (inflow) coefficients established in Appendix 14 to Norms No. 170.
8. When filling in the Form for column 5 of line 49, data on level 1 and level 2 high-quality assets are summed up taking into account the requirements of part 3 of paragraph 75 of Norms No. 170.
9. Line 50 sums up data from lines 40-48.
10. Line 51 sums up data from lines 9-39.
11. When filling in the Form in column 5 of line 52, the calculation is performed taking into account paragraph 76 of Norms No. 170.
12. When filling in the Form in line 53, the ratio of high-quality liquid assets to net cash outflow on bank operations during the subsequent calendar month is indicated with three decimal places.
13. Column 5 indicates amounts from column 3 multiplied by the accounting coefficients in percentages established in column 4.
14. In the absence of information in the reporting period, the Form is not filled in and not submitted.

Appendix 21
to the List of normative legal acts of the Republic of Kazakhstan, which are subject to amendments and additions regarding reporting

Appendix 20-2
to the Resolution of the Board of the
National Bank of
Kazakhstan dated May 8, 2015 No. 75

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan The form of administrative data is posted on the internet resource: www.nationalbank.kz

Report on the breakdown of the net stable funding ratio

Form index of administrative data: 1-BVU_NFSR
Periodicity: monthly
Reporting period: as of “___”______20__year
Circle of persons submitting information: second-tier bank Submission deadline: no later than the tenth working day of the month following the reporting month.

Form

(in thousands of tenge)

№	Name of Items	Amount	Coefficient	Amount to be taken into account in percentages
1	2	3	4	5
1	Available Stable Funding
1.1	Own capital included before deductions established by paragraph 11 of the Normative Values and Calculation Methodologies for Prudential Standards and Other Mandatory Compliance Norms and Limits, Bank Capital Size, established by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated September 13, 2017 No. 170 "On Establishing Normative Values and Calculation Methodologies for Prudential Standards and Other Mandatory Compliance Norms and Limits, Bank Capital Size and Rules for Calculating and Limiting Open Currency Position", registered in the Registry of State Registration of Regulatory Legal Acts under No. 15886 (excluding Tier 2 capital instruments with a maturity of less than 1 (one) year)		100
1.2	other capital instruments and liabilities with a remaining maturity of 1 (one) year or more		100
1.3	stable deposits		95
1.4	less stable deposits		90
1.5	liabilities with a remaining maturity of less than 1 (one) year provided by non-financial organizations		50
1.6	deposits related to clearing, custodial activities, and client liquidity management activities		50
1.7	liabilities with a remaining maturity of less than 1 (one) year provided by central governments of foreign states, local authorities of foreign states, and international financial organizations		50
1.8	other types of liabilities, including corporate deposits, with a remaining maturity of more than 6 (six) months and less than 1 (one) year		50
1.9	corporate deposits with a remaining maturity of less than 6 (six) months		0
1.10	Corporate deposits with unconditional early withdrawal options		0
1.11	other liabilities, including perpetual liabilities (with a special regime established for deferred tax liabilities)		0
1.12	net stable funding ratio coefficient for derivative financial instrument liabilities minus derivative financial instrument assets, if the size of liabilities exceeds the size of assets for derivative financial instruments		0
1.13	payments arising from the purchase of financial instruments, foreign currency on the day of purchase		0
2	Required Stable Funding Assets
2.1	cash		0
2.2	Claims on the National Bank		0
2.3	claims on central banks of foreign states with a remaining maturity of less than 6 (six) months		0
2.4	inflow arising from the sale of financial instruments, foreign currency on the day of sale		0
2.5	unencumbered high-quality liquid assets of Level 1, excluding cash and reserves at the National Bank		5
2.6	unencumbered loans provided to financial organizations with a remaining maturity of less than 6 (six) months, secured by high-quality liquid assets of Level 1, for which the bank has the right to repledge		10
2.7	other unencumbered loans provided to financial organizations with a remaining maturity of less than 6 (six) months		15
2.8	unencumbered high-quality liquid assets of Level 2		15
2.9	Loans issued to JSC "National Welfare Fund Samruk-Kazyna" and JSC "National Managing Holding Baitererek", loans guaranteed by the Government of the Republic of Kazakhstan, with a remaining maturity of less than 1 (one) year		25
2.10	Loans issued to JSC "National Welfare Fund Samruk-Kazyna" and JSC "National Managing Holding Baitererek", loans guaranteed by the Government of the Republic of Kazakhstan, with a remaining maturity of 1 (one) year or more		30
2.11	high-quality liquid assets encumbered for a period of more than 6 (six) months and less than 1 (one) year		50
2.12	loans provided to financial organizations, central banks of foreign states with a remaining maturity of more than 6 (six) months and less than 1 (one) year		50
2.13	deposits related to clearing, custodial activities, and client liquidity management activities in other banks		50
2.14	other assets that are not high-quality liquid assets, with a remaining maturity of less than 1 (one) year, including loans to non-financial organizations, consumer loans, loans to small business entities		50
2.15	unencumbered mortgage loans with a remaining maturity of 1 (one) year or more weighted by credit risk no more than 35 (thirty-five) percent		65
2.16	other unencumbered loans, except for loans provided to financial organizations with a remaining maturity of 1 (one) year or more, weighted by credit risk no more than 35 (thirty-five) percent		65
2.17	money, securities, and other assets serving as collateral for initial margin for transactions with derivative financial instruments, money or other assets provided as mandatory payment to the central counterparty		85
2.18	unencumbered credits, except for loans with overdue principal debt and/or accrued remuneration, weighted by credit risk more than 35 (thirty-five) percent and with a remaining maturity of 1 (one) year or more, except for loans provided to financial organizations		85
2.19	unencumbered securities (shares) with a remaining maturity of 1 (one) year or more, not being high-quality liquid assets and traded on stock exchanges		85
2.20	goods traded on stock exchanges, including refined gold		85
2.21	assets encumbered for a period of 1 (one) year or more		100
2.22	net stable funding ratio coefficient for assets for derivative financial instruments minus liabilities for derivative financial instruments, if the size of assets exceeds the size of liabilities for derivative financial instruments		100
2.23	other assets, including non-performing loans, loans issued to financial organizations with a remaining maturity of 1 (one) year or more		100
2.24	shares not traded on stock exchanges, tangible assets, items deducted from own capital of the bank, accumulated remuneration, insurance assets, share in subsidiary organizations, interest rate on overdue debt		100
3	Required Contingent and Potential Obligations of Stable Funding
3.1	irrevocable and conditionally revocable credit lines and liquidity lines provided to any clients (share of unused volume)		5
3.2	other obligations, including the following instruments: unconditionally revocable credit lines and liquidity lines; trade financing obligations (including guarantees and sureties); guarantees and sureties not related to export and import financing of goods and services; non-contractual obligations, including possible claims for buyback of debt issued by the bank or related to structured products		5
4	Net Stable Funding Ratio Coefficient

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, name and patronymic (if any) phone

Chief Accountant or person authorized to sign the report ______ ______ surname, name and patronymic (if any) signature, phone

First Head or person authorized by him to sign the report ______ ______ surname, name and patronymic (if any) signature, phone

Date «____» ______ 20__ year

Appendix
to the reporting form for the breakdown of the coefficient of net stable funding ratio

Explanation for filling out the administrative data form

Report on the breakdown of the net stable funding ratio coefficient

(index – 1-BVU_NFSR, periodicity – monthly)

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines unified requirements for filling out the administrative data form "Report on the breakdown of the net stable funding ratio coefficient" (hereinafter - Form).
2. The Form is developed in accordance with sub-item 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", with item 1 of Article 54 of the Law of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan".
3. The Form is compiled monthly by second-level banks as of the first day of each month. Data in the Form is filled in thousands of tenge.
4. The Form is signed by the first head, chief accountant, or persons authorized to sign the report.

Chapter 2. Explanation for Filling out the Form

5. The Form is filled out in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated September 13, 2017 No. 170 "On Establishing Normative Values and Calculation Methodologies for Prudential Standards and Other Mandatory Compliance Norms and Limits, Bank Capital Size and Rules for Calculating and Limiting Open Currency Position", registered in the Registry of State Registration of Regulatory Legal Acts under No. 15886.
6. In the absence of information in the reporting period, the Form is not filled out and not submitted.

Appendix 22
to the List of regulatory legal acts of the Republic of Kazakhstan, which are subject to amendments and additions on issues of reporting submission

Appendix 21
to the resolution of the Board of the
National Bank of the
Republic of Kazakhstan dated May 8, 2015 No. 75

Rules for submitting reports on compliance with prudential standards by second-level banks

1. Rules for submitting reports on compliance with prudential standards by second-level banks (hereinafter - Rules) are developed in accordance with the laws of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan" and define the procedure for submitting reports on compliance with prudential standards by second-level banks (hereinafter - bank) to the National Bank of the Republic of Kazakhstan.
2. Banks submit reports on compliance with prudential standards to the National Bank of the Republic of Kazakhstan in electronic format.
3. Reports on paper media are signed by the first head, chief accountant, or persons authorized by them to sign the report and are stored in the bank.
4. Identity of data submitted in electronic format to data on paper media is ensured by the first head of the bank (during his absence - by a person authorized to sign the report) and the chief accountant of the bank.

Appendix 23
to the List of regulatory legal acts of the Republic of Kazakhstan, which are subject to amendments and additions on issues of reporting submission

Appendix 1
to the resolution of the Board of the
National Bank of the
Republic of Kazakhstan dated December 26, 2016 No. 315

List of reporting by major participants of second-level banks, banking holding companies, major participants of insurance (reinsurance) organizations, insurance holding companies, major participants managing an investment portfolio, second-level banks

Reporting by major participants of banks, banking holding companies, major participants of insurance (reinsurance) organizations, insurance holding companies, major participants managing an investment portfolio, second-level banks includes:

1. form of information on income and property of a major participant of a second-level bank, insurance (reinsurance) organization, managing an investment portfolio, being a natural person;
2. form of information on a major participant of a second-level bank, insurance (reinsurance) organization, managing an investment portfolio, being a natural person;
3. form of information on officials of a major participant of a second-level bank, insurance (reinsurance) organization, being a legal entity, banking holding company, insurance holding company;
4. form of information on organizations in which a major participant of a second-level bank, insurance (reinsurance) organization, managing an investment portfolio, being a legal entity, banking holding company, and insurance holding company is a participant (shareholder);
5. form of information on major participants (shareholders) of a major participant of a second-level bank, insurance (reinsurance) organization, managing an investment portfolio, being a legal entity, banking holding company, insurance holding company, as well as information on persons exercising control over a major participant of a second-level bank, insurance (reinsurance) organization, managing an investment portfolio, being a legal entity, banking holding company, insurance holding company;
6. form of information on transactions with related, including affiliated persons, concluded during the reporting period, as well as acting as of the reporting date, and registry of related, including affiliated persons;
7. form of report on the breakdown of working tables for preparing consolidated financial statements;
8. form of consolidated and unconsolidated financial statements and explanatory note thereto;
9. form of information on changes in the quantity and/or percentage ratio of shares of a second-level bank, insurance (reinsurance) organization owned by a major participant of a second-level bank, insurance (reinsurance) organization, being a legal or natural person, banking holding company, insurance holding company, as well as sources of funds used for acquiring shares;
10. form of information on all obligations of participants of an insurance group to third parties (group of persons) constituting ten or more percent of the own capital of the insurance group, acting as of the reporting date;
11. form of information on intra-group transactions of an insurance group concluded during the reporting period, as well as acting as of the reporting date.

Appendix 24
to the List of regulatory legal acts of the Republic of Kazakhstan, which are subject to amendments and additions on issues of reporting submission

Appendix 2
to the resolution of the Board of the
National Bank of the
Republic of Kazakhstan dated December 26, 2016 No. 315

Form intended for collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan Administrative data form is located on the internet resource: www.nationalbank.kz

Information on income and property of a major participant of a second-level bank, insurance (reinsurance) organization, managing an investment portfolio, being a natural person

Index of administrative data form: KUF_L_F2
Periodicity: annual
Reporting period: as of "" "" 20 year from "" "" 20_ year to "" "__" 20 year.
Circle of persons providing information: major participant of a second-level bank, insurance (reinsurance) organization, managing an investment portfolio, being a natural person.
Submission deadline: annually, within one hundred twenty calendar days after the end of the financial year.

Form

Table 1. Received income and other monetary receipts

№	Name of type of income and other monetary receipts	Amount (in
		thousands of tenge)
1	2	3
1.	Income and other monetary receipts, total, including:
1.1	salary and other remuneration for labor activity
1.2	dividends and income from participation shares in charter capitals (shares) of organizations owned by the major participant of the bank
	second-level bank, insurance (reinsurance) organization, managing an investment portfolio (with breakdown)
1.2.1
1.2.n
1.3	paid remuneration on deposits
1.4	paid remuneration on securities, units held in the management of a unit investment fund
1.5	income from leasing of property
1.6	other income from entrepreneurial activity (with breakdown)
1.6.1
1.6.n
1.7	sale of property
1.8	receipt of loans
1.9	receipt of financial, material, and sponsorship assistance
1.10	receipt of property as a gift
1.11	other (with breakdown)
1.11.1
1.11.n

Table 2. Information on property

№	Name of type of property	Property Value	Degree of Liquidity
		(in thousands of tenge) at
		end of reporting
		period
1	2	3	4
1.	Property, total, including:
1.1	money total, including:
	1) in cash:
	in national currency;
	in foreign currency;
	2) in bank accounts in second-level banks:
	in national currency;
	in foreign currency;
	3) in bank accounts in foreign banks in foreign currency;
	4) in another form (with breakdown)
1.1.4.1
1.1.4.n
1.2	refined precious metals and products made thereof
1.3	real estate (with breakdown)
1.3.1
1.3.n
1.4	participation shares in charter capitals (shares) of organizations owned by the major participant
	of a second-level bank, insurance (reinsurance) organization, managing an
	investment portfolio
1.4.1	incl. held in trust management
1.5	securities, units held in the management of a unit investment fund
1.6	other property, including:
1.6.1	objectified results of creative intellectual activity
1.6.2	trade names, trademarks, and other means of individualizing products
1.6.3	other property rights
1.6.4	other
1.7	property, right to possession, use, and disposal of which is restricted (with breakdown
	and indication of the basis for restriction)
1.7.1
1.7.n
2	Maximum value of property provided by the major participant of a second-level		X
	bank, insurance (reinsurance) organization, managing an investment portfolio,
	as recapitalization of a financial organization, in case of deterioration of the financial
	position of the financial organization
2.1
2.n
3	For reference: short-term liabilities		X
3.1			X
3.n			X

Table 3. Information on participation shares in charter capitals (shares) of organizations belonging to the major participant of a second-level bank, insurance (reinsurance) organization, managing an investment portfolio, being a natural person, as well as on sources of funds for their acquisition

№	Business Identification Number or other identification number (for non-residents of the Republic	Name of Organization, Shares
	of Kazakhstan)	of Participation in Charter Capital or
		Shares Belonging to the Major
		Participant of a Second-Level Bank,
		Insurance (Reinsurance)
		Organization, Managing an
		Investment Portfolio
2.	Name of second-level banks, insurance (reinsurance) organizations, managing investment
	portfolios in which the reporting person has the status of a major participant
3.	ID Card (Passport) (series, number, issued by and when)
4.	Individual Identification Number or other identification number (for non-residents of the Republic
	of Kazakhstan)
5.	Information on whether the major participant of a second-level bank, insurance (reinsurance)	together with other persons	otherwise
	organization, managing an investment portfolio, being a natural person, exerts influence on	due to agreement between them
	decisions taken by the bank, insurance (reinsurance) organization, managing an investment portfolio:
1	2	3	4
5.1
5.n.

Table 2. Information on positions held by the major participant of a second-level bank, insurance (reinsurance) organization, managing an investment portfolio, being a natural person, in organizations, indicating participating shares in charter capitals (shares) belonging to him

№	Business	Name of	Held	Book Value	Ratio of the number of shares belonging to the major participant of a second-level
	Identification	Organization	Position	of Shares	bank, insurance (reinsurance) organization, managing an investment
	Number or other			(amount of	portfolio, being a natural person, to the total number of issued (excluding
	Identification			participation) (in	preferred and repurchased) shares of the organization and/or share of participation in
	Number (for			thousands	its charter capital (in percent)
	non-residents			of tenge
	of the Republic
	of Kazakhstan)				individually	jointly
					Name of Organization	Ratio of the number of
						shares belonging to the total
						number of issued (excluding
						preferred and repurchased) shares of the organization
						or share of participation in its charter
						capital (in percent)
1	2	3	4	5	6

continuation of the table:

Occupied by a close relative	Book value of shares (participation amount)	Ratio of the number of shares owned by a close relative, spouse or close relative of the spouse (spouses), to the total number of issued (excluding preferred and repurchased) shares of a second-level bank, insurance (reinsurance) organization, investment portfolio manager (in percent)
spouse (spouse) of a large participant in an insurance (reinsurance) organization, investment portfolio manager		individually jointly
		directly indirectly directly indirectly
		percentage percentage name of legal entity, surname, first name, patronymic (if any) of physical person through which ownership of shares is exercised	percentage name of legal entity, surname, first name, patronymic (if any) of physical person jointly with whom indirect ownership of shares is exercised	percentage name of legal entity, surname, first name, patronymic (if any) of physical person through which indirect ownership of shares is exercised
10	11	12	13	14	15	16

Table 2. Information on obtaining loans by a large participant of a second-level bank, insurance (reinsurance) organization, banking holding company, insurance holding company for the acquisition of participation shares in the charter capital (shares) of organizations

No.	Organization, physical person, providing the loan	Organization, shares (participation shares in charter capital) acquired due to the loan	Loan amount (in thousands of tenge)	Book value of shares (participation amount) (in thousands of tenge)	Number of shares	Ratio of the number of shares acquired by a large participant of a second-level bank, insurance (reinsurance) organization, banking holding company, insurance holding company, to the total number of issued (excluding preferred and repurchased) shares of the organization or participation share in its charter capital (in percent)
Business identification number, individual identification number or other identification number (for non-residents of the Republic of Kazakhstan)	jointly directly indirectly	percentage name of organization, surname, first name, patronymic (if any) of physical person jointly with whom indirect ownership of shares is exercised	percentage name of organization, surname, first name, patronymic (if any) of physical person through whom indirect ownership of shares is exercised
14	15	16	18	18	19

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, first name and patronymic (if any) phone

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

Head or person authorized by him to sign the report ______ ______ surname, first name and patronymic (if any) signature, phone

Date “____” ______ 20__ year

Appendix to the form of information on organizations in which a large participant of a second-level bank, insurance (reinsurance) organization, investment portfolio manager, being a legal entity, banking holding company, insurance holding company is a participant (shareholder)

Explanation on filling out the administrative data form

Information on organizations in which a large participant of a second-level bank, insurance (reinsurance) organization, investment portfolio manager, being a legal entity, banking holding company, insurance holding company is a participant (shareholder)

(index – KU BSX YUL_F5, frequency – quarterly (annual))

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines uniform requirements for filling out the administrative data form "Information on organizations in which a large participant of a second-level bank, insurance (reinsurance) organization, investment portfolio manager, being a legal entity, banking holding company, insurance holding company is a participant (shareholder)" (hereinafter - Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", paragraph 1 of Article 54-1 of the Law of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan", paragraph 1 of Article 74-1 of the Law of the Republic of Kazakhstan dated December 18, 2000 "On Insurance Activity", paragraph 1 of Article 72-4 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".
3. The Form is compiled:
   quarterly - by a large participant of a second-level bank, insurance (reinsurance) organization, in the absence of an insurance holding company at the insurance (reinsurance) organization, by a large participant owning (having the right to vote) twenty-five or more percent of voting shares of an investment portfolio manager, by a large participant of an investment portfolio manager, in the absence of a large participant of an investment portfolio manager owning (having the right to vote) twenty-five or more percent of voting shares of an investment portfolio manager, being resident legal entities of the Republic of Kazakhstan, by a banking holding company, insurance holding company, being residents of the Republic of Kazakhstan; anually - by large participants of an insurance (reinsurance) organization, investment portfolio manager, being resident legal entities of the Republic of Kazakhstan.
4. The Form is signed by the head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation on filling out the Form

5. Column 4 is filled in according to the nature of activity of the legal entity specified in column 3, in the capital of which the large participant of a second-level bank, insurance (reinsurance) organization, investment portfolio manager, being a legal entity, banking and/or insurance holding company participates.
6. In column 7, the amount of reserves (provisions) is reflected in absolute value and with a plus sign.
7. The Form reflects data on all organizations in which the large participant of a second-level bank, insurance (reinsurance) organization, investment portfolio manager, being a legal entity, banking holding company, insurance holding company are participants (directly or indirectly).

Appendix 28
to the List of regulatory legal acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

Appendix 6
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 26, 2016 No. 315

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan Administrative data form is posted on the internet resource: www.nationalbank.kz

Information on large participants (shareholders) of a large participant of a second-level bank, insurance (reinsurance) organization, investment portfolio manager, being a legal entity, banking holding company, insurance holding company, as well as information on persons exercising control over a large participant of a second-level bank, insurance (reinsurance) organization, investment portfolio manager, being a legal entity, banking holding company, insurance holding company

Index of administrative data form: KU BSX YUL_F6 Frequency: quarterly (annual) Reporting period: as of “” “_” 20 year Circle of persons submitting information:
large participant of a second-level bank, insurance (reinsurance) organization, investment portfolio manager, being a legal entity-resident of the Republic of Kazakhstan, banking holding company, including non-resident of the Republic of Kazakhstan, insurance holding company, being a resident of the Republic of Kazakhstan Submission deadline:
quarterly, no later than the tenth day of the month following the reporting quarter, by a large participant of a second-level bank, being a legal entity-resident of the Republic of Kazakhstan, banking holding company; quarterly no later than thirty calendar days following the reporting quarter, by an insurance holding company, being a resident of the Republic of Kazakhstan, a large participant of an insurance (reinsurance) organization, in the absence of an insurance holding company at the insurance (reinsurance) organization, by a large participant owning (having the right to vote) twenty-five or more percent of voting shares of an investment portfolio manager, by a large participant of an investment portfolio manager, in the absence of a large participant of an investment portfolio manager owning (having the right to vote) twenty-five or more percent of voting shares of an investment portfolio manager, being resident legal entities of the Republic of Kazakhstan; anually, no later than thirty calendar days after the end of the financial year, by large participants of an insurance (reinsurance) organization, investment portfolio manager, being resident legal entities of the Republic of Kazakhstan.

Form

Table 1. Information on large participants (shareholders) of a large participant of a second-level bank, insurance (reinsurance) organization, investment portfolio manager, being a legal entity, banking holding company and insurance holding company

No.	Business identification number (for legal entity), individual identification number (for physical person) or other identification number (for non-residents of the Republic of Kazakhstan)	Resident, non-resident	Name of large participant	Description of activity type	Book value of shares (participation amount) (in thousands of tenge)	Number of shares owned (pieces)
1	2	3	4	5	6	7

continuation of table:

Ratio of the number of shares owned by a large participant (shareholder) of a large participant of a second-level bank, insurance (reinsurance) organization, investment portfolio manager, banking holding company, insurance holding company, to the total number of issued (excluding preferred and repurchased) shares of a large participant of a second-level bank, insurance (reinsurance) organization, investment portfolio manager, banking holding company, insurance holding company, or participation share in its charter capital (in percent)
individually jointly
directly indirectly directly indirectly
(percent)
percentage name of organization, surname, first name, patronymic (if any) of physical person through whom indirect ownership of shares is exercised	percentage name of organization, surname, first name, patronymic (if any) of physical person jointly with whom indirect ownership of shares is exercised	percentage name of organization, surname, first name, patronymic (if any) of physical person through whom indirect ownership of shares is exercised
8	9	10	11	12	13	14

Table 2. Register of persons exercising control over a large participant of a second-level bank, insurance (reinsurance) organization, investment portfolio manager, being a legal entity, banking holding company, insurance holding company

No.	Business identification number (for legal entity), individual identification number (for physical person) or other identification number (for non-residents of the Republic of Kazakhstan)	Name of person	Grounds for control	Information on organizations in which the person controlling the large participant of a second-level bank, insurance (reinsurance) organization, investment portfolio manager, being a legal entity, banking holding company, insurance holding company owns more than 20 percent of voting shares (participation shares in charter capital)
				name of subsidiary organization	name of other organizations
1	2	3	4	5	6

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, first name and patronymic (if any) phone

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

Head or person authorized by him to sign the report ______ ______ surname, first name and patronymic (if any) signature, phone

Date “____” ______ 20__ year

Appendix to the form of information on
large participants (shareholders) of a large participant of a second-level bank, insurance (reinsurance) organization, investment portfolio manager, being a legal entity, banking holding company, insurance holding company, as well as information on persons exercising control over a large participant of a second-level bank, insurance (reinsurance) organization, investment portfolio manager, being a legal entity, banking holding company, insurance holding company

Explanation on filling out the administrative data form

Information on large participants (shareholders) of a large participant of a second-level bank, insurance (reinsurance) organization, investment portfolio manager, being a legal entity, banking holding company, insurance holding company, as well as information on persons exercising control over a large participant of a second-level bank, insurance (reinsurance) organization, investment portfolio manager, being a legal entity, banking holding company, insurance holding company

(index – KU BSX YUL_F6, frequency – quarterly (annual))

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines uniform requirements for filling out the administrative data form "Information on large participants (shareholders) of a large participant of a second-level bank, insurance (reinsurance) organization, investment portfolio manager, being a legal entity, banking holding company, insurance holding company, as well as information on persons exercising control over a large participant of a second-level bank, insurance (reinsurance) organization, investment portfolio manager, being a legal entity, banking holding company, insurance holding company" (hereinafter - Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", paragraph 1 of Article 54-1 of the Law of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan", paragraph 1 of Article 74-1 of the Law of the Republic of Kazakhstan dated December 18, 2000 "On Insurance Activity", paragraph 1 of Article 72-4 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".
3. The Form is compiled:
   quarterly - by a large participant of a second-level bank, being a legal entity-resident of the Republic of Kazakhstan, banking holding company; quarterly - by a large participant of an insurance (reinsurance) organization, in the absence of an insurance holding company at the insurance (reinsurance) organization, by a large participant owning (having the right to vote) twenty-five or more percent of voting shares of an investment portfolio manager, by a large participant of an investment portfolio manager, in the absence of a large participant of an investment portfolio manager owning (having the right to vote) twenty-five or more percent of voting shares of an investment portfolio manager, being resident legal entities of the Republic of Kazakhstan, insurance holding company; anually - by large participants of an insurance (reinsurance) organization, investment portfolio manager, being resident legal entities of the Republic of Kazakhstan.
4. The Form is signed by the head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation on filling out the Form

5. In column 4 of Table 1, persons owning ten or more percent of issued (excluding preferred and repurchased) shares of a large participant of a second-level bank, insurance (reinsurance) organization, investment portfolio manager, banking holding company, insurance holding company are indicated.
6. Column 5 of Table 1 is filled in according to the nature of activity of the person specified in column 4.
7. Columns 7 and 8 of Table 1 are filled in if the large participant of a second-level bank, insurance (reinsurance) organization, investment portfolio manager, banking holding company, insurance holding company is created in the organizational-legal form of a joint-stock company.
8. In column 4 of Table 2, grounds for control are indicated in accordance with Article 2 of the Law of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan", Article 3 of the Law of the Republic of Kazakhstan dated December 18, 2000 "On Insurance Activity" and Article 1 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".
9. The requirement to fill out Table 2 does not apply to banking holding companies - non-residents of the Republic of Kazakhstan.

Appendix 29
to the List of regulatory legal acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

Appendix 7
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 26, 2016 No. 315

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan Administrative data form is posted on the internet resource: www.nationalbank.kz

Information on transactions with related, including affiliated persons, concluded during the reporting period, as well as acting as of the reporting date and register of related, including affiliated persons

Index of administrative data form: KU BSX YUL_F7 Frequency: quarterly (annual) Reporting period: as of “” “_” 20 year Circle of persons submitting information: large participant of a second-level bank, insurance (reinsurance) organization, investment portfolio manager, being a legal entity-resident of the Republic of Kazakhstan, banking holding company, insurance holding company, being residents of the Republic of Kazakhstan Submission deadline:
quarterly, no later than thirty calendar days following the reporting quarter, by a large participant of a second-level bank, large participant of an insurance (reinsurance) organization, in the absence of an insurance holding company at the insurance (reinsurance) organization, by a large participant owning (having the right to vote) twenty-five or more percent of voting shares of an investment portfolio manager, by a large participant of an investment portfolio manager, in the absence of a large participant of an investment portfolio manager owning (having the right to vote) twenty-five or more percent of voting shares of an investment portfolio manager, being resident legal entities of the Republic of Kazakhstan, banking holding company, insurance holding company, being residents of the Republic of Kazakhstan anually, no later than thirty calendar days after the end of the financial year, by large participants of an insurance (reinsurance) organization, investment portfolio manager, being resident legal entities of the Republic of Kazakhstan.

Form

Table 1. Report on transactions with related, including affiliated persons

|No.|Name of organization or surname, first name, patronymic (if any) of related (affiliated) person|

continuation of table:

Details of decision	Transaction amount	Currency	Information on presence	Remuneration (in percent	Balance on	Note (other information not
of authorized body	(in thousands	of transaction	of collateral (yes	per annum)	the reporting date	provided in columns
	of tenge)		(no))		(in thousands	2-16)
					of tenge)

Table 2. Register of related, including affiliated persons

No.	Business identification number (for legal entity), individual identification number (for physical person) or identification number (for non-residents of the Republic of Kazakhstan)	Name of related (affiliated) person	Country of residence	Sign according to which the person is classified as a person related by special relations (affiliated)
1	2	3	4	5

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, first name and patronymic (if any) phone

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

Head or person authorized by him to sign the report ______ ______ surname, first name and patronymic (if any) signature, phone

Date “____” ______ 20__ year

Appendix to the form of information on
transactions with related, including affiliated persons, closed during the reporting period, as well as acting as of the reporting date and register of related, including affiliated persons

Explanation for filling out the administrative data form

Information on transactions with related, including affiliated persons, closed during the reporting period, as well as acting as of the reporting date and register of related, including affiliated persons

(index – KU BSX YUL_F7, frequency – quarterly (annual))

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the administrative data form "Information on transactions with related, including affiliated persons, closed during the reporting period, as well as acting as of the reporting date and register of related, including affiliated persons" (hereinafter - Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", paragraph 1 of Article 54-1 of the Law of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan", paragraph 1 of Article 74-1 of the Law of the Republic of Kazakhstan dated December 18, 2000 "On Insurance Activity", paragraph 1 of Article 72-4 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".
3. The Form is compiled
   quarterly – by a large participant of a second-level bank, a large participant of an insurance (reinsurance) organization, in case of absence of an insurance holding at the insurance (reinsurance) organization, a large participant owning (having the right to vote) twenty-five or more percent of voting shares of an investment portfolio manager, a large participant managing an investment portfolio, in case of absence at the investment portfolio manager of a large participant owning (having the right to vote) twenty-five or more percent of voting shares of the investment portfolio manager, being legal entities-residents of the Republic of Kazakhstan, a banking holding company, an insurance holding company, being residents of the Republic of Kazakhstan; annually - by large participants of an insurance (reinsurance) organization, an investment portfolio manager, being legal entities-residents of the Republic of Kazakhstan.
4. The Form is signed by the head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation for filling out the Form

5. The sign according to which a person is classified as a person related by special relations (affiliated person) with the reporting person is determined by Article 40 of the Law of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan", Article 12-1 of the Law of the Republic of Kazakhstan dated April 22, 1998 "On Limited and Additional Liability Partnerships", Article 15-1 of the Law of the Republic of Kazakhstan dated December 18, 2000 "On Insurance Activity", Article 64 of the Law of the Republic of Kazakhstan dated May 13, 2003 "On Joint Stock Companies".
6. In Tables 1 and 2:

1. a banking holding company, an insurance holding company reflect information on persons related to it by special relations;
2. a large participant of a second-level bank, an insurance (reinsurance) organization, an investment portfolio manager being legal entities reflect information on affiliated persons.

7. Table 1 discloses information on all transactions of the reporting person with persons related, including affiliated with the reporting person by special relations, the amount of which for each type of operations with a related, including affiliated person exceeds 0.01 percent in aggregate of the size of the reporting person's equity capital as of the reporting date.
8. If a person has one or several signs of relatedness by special relations, including affiliation with the reporting person, all signs are indicated in Table 2.
9. Column 11 of Table 1 is not mandatory for completion in the absence of information.
10. When compiling the quarterly Form at the beginning of the year, Table 1 reflects transactions with related, including affiliated persons, closed during the fourth quarter, as well as those acting as of the reporting date.

Appendix 30
to the List of regulatory legal acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

Appendix 8
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 26, 2016 No. 315

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan Administrative data form is posted on the internet resource: www.nationalbank.kz

Report on the breakdown of working tables for preparing consolidated financial statements

Index of administrative data form: KU BSX RT_F8 Frequency: quarterly (annual) Reporting period: as of “” “_” 20 year Circle of persons providing information: banking holding company, second-level bank without a banking holding company included in the banking conglomerate, insurance holding company included in the insurance group Submission deadline:
quarterly, no later than sixty calendar days following the reporting quarter; annually, within one hundred twenty calendar days after the end of the financial year.

Form

Table 1. Working table for preparing the consolidated balance sheet

№	Indicators
………..
………..
Total assets
………..
………..
Total liabilities
…………
………….
Total equity
Total liabilities and equity

Table 2. Consolidated and non-consolidated income statement, statement of comprehensive income

Indicators	for the period from the beginning of the year to the end of the reporting period
………..
………..
…………..
……..
………
Net profit (net loss) before tax
………
Income tax expenses
Profit (loss) after income tax
Net profit (net loss)
……..

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, first name and patronymic (if any) phone

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

Head or person authorized by him to sign the report ______ ______ surname, first name and patronymic (if any) signature, phone

Date “____” ______ 20__ year

Appendix to the form of consolidated
and non-consolidated financial statements and explanatory note thereto

Explanation for filling out the administrative data form

Consolidated and non-consolidated financial statements and explanatory note thereto

(index – KU BSX FO_F9, frequency – quarterly (annual))

Chapter 1. General Provisions

1. This Explanation (hereinafter – Explanation) defines uniform requirements for filling out the administrative data form "Consolidated and non-consolidated financial statements and explanatory note thereto" (hereinafter – Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", paragraph 1 of Article 54 and paragraph 1 of Article 54-1 of the Law of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan", paragraph 1 of Article 74-1 of the Law of the Republic of Kazakhstan dated December 18, 2000 "On Insurance Activity", paragraph 1 of Article 72-4 of the Law of the Republic of Kazakhstan dated July 2, 2003 "On the Securities Market".
3. The Form is submitted quarterly and annually by a large participant of a second-level bank, being a legal entity-resident of the Republic of Kazakhstan, a banking holding company, an insurance holding company, being residents of the Republic of Kazakhstan, second-level banks without a banking holding company included in the banking conglomerate, a large participant owning (having the right to vote) twenty-five or more percent of voting shares of an investment portfolio manager, a large participant managing an investment portfolio, being a legal entity-resident of the Republic of Kazakhstan, in case of absence at the investment portfolio manager of a large participant owning (having the right to vote) twenty-five or more percent of voting shares of the investment portfolio manager, being legal entities-residents of the Republic of Kazakhstan, except:
   a large participant of an insurance (reinsurance) organization, being a legal entity, in case of absence of an insurance holding at the insurance (reinsurance) organization, regarding non-submission of consolidated financial statements and explanatory note thereto; a large participant of an insurance (reinsurance) organization, an investment portfolio manager, being a legal entity-resident of the Republic of Kazakhstan, regarding non-submission of the Form on a quarterly basis.
4. The Form is signed by the head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation for filling out the Form

5. Consolidated and non-consolidated financial statements include: consolidated (non-consolidated) balance sheet, statement of financial position according to Table 1, consolidated (non-consolidated) income statement, statement of comprehensive income according to Table 2, statement of cash flows and statement of changes in equity in arbitrary form.
6. Data is filled in from consolidated and non-consolidated financial statements, not audited by an audit organization, or audited by an audit organization if available, and is indicated in thousands of tenge. Reports provided in arbitrary form, as well as the explanatory note to consolidated and non-consolidated financial statements may be provided in millions of tenge.
7. The explanatory note to consolidated and non-consolidated financial statements is provided in arbitrary form and must contain, among other things, the following information:

1. basic information, including for consolidated reporting - a list of organizations whose data is included in the financial statements, detailed description of methods for preparing financial statements, methods of accounting for investments in subsidiary and associated (dependent) organizations broken down by each organization;
2. breakdowns and explanations to the financial statements;
3. information about significant events after the reporting date (events that occur in the period between the reporting date and the date of preparation of the financial statements and which have or may have an impact on the financial position).

8. For a large participant of a second-level bank, being a legal entity-resident of the Republic of Kazakhstan, the Form for non-consolidated reporting is compiled for the large participant of a second-level bank and each organization in which the large participant of a second-level bank is a large participant (large shareholder), excluding second-level banks.
9. For a banking holding company (insurance holding company) included in a banking conglomerate (insurance group), the Form for non-consolidated financial statements is compiled for each participant of the banking conglomerate (insurance group) separately, excluding a participant of the banking conglomerate that is a second-level bank.
10. The requirement to submit consolidated and non-consolidated financial statements and explanatory note thereto does not apply to a second-level bank without a banking holding company included in the banking conglomerate.
    A second-level bank without a banking holding company included in the banking conglomerate submits the Form for non-consolidated financial statements for each subsidiary organization separately.
11. In case if several banking holding companies are included in one banking conglomerate, then submission of the Form for non-consolidated reporting for each participant of the banking conglomerate is required only for one of the banking holding companies (upper level of the banking conglomerate).
12. In case if a banking holding company and a second-level bank without a banking holding company included in the banking conglomerate have previously submitted non-consolidated financial statements for the reporting period to the National Bank of the Republic of Kazakhstan, their submission to the National Bank of the Republic of Kazakhstan is not required.
13. In case if information from the consolidated and non-consolidated balance sheets and income statements of participants of the banking conglomerate, insurance group is reflected in Appendix 8 to this Resolution, then submission of such information for each participant of the banking conglomerate (insurance group) separately is not required.

Appendix 32
to the List of regulatory legal acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

Appendix 10
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 26, 2016 No. 315

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan Administrative data form is posted on the internet resource: www.nationalbank.kz

Information on changes in the quantity and/or percentage ratio of shares of a second-level bank, insurance (reinsurance) organization, owned by a large participant of a second-level bank, insurance (reinsurance) organization, being a legal or physical person, banking holding company, insurance holding company, as well as sources of funds used for acquiring shares

Index of administrative data form: KU FYUL F10 Frequency: in case of change in quantity and/or percentage ratio of shares Date of decision adoption “” “____” 20__ year Circle of persons providing information: large participant of a second-level bank, insurance (reinsurance) organization, being a legal or physical person, banking holding company, insurance holding company Submission deadline: within thirty calendar days from the day of adoption of the decision on changing the quantity and/or percentage ratio of shares owned by a large participant of a second-level bank, insurance (reinsurance) organization, being a legal or physical person, banking holding company, insurance holding company.

Form

Table 1. Information on changes in the quantity and/or percentage ratio of shares of a second-level bank, insurance (reinsurance) organization, owned by a large participant of a second-level bank, insurance (reinsurance) organization, being a legal or physical person, banking holding company, insurance holding company

Business identification number	Name of second-level bank, insurance organization through which indirect ownership of shares of second-level bank, insurance (reinsurance) organization is exercised	Name of second-level bank, insurance (reinsurance) organization	Quantity of shares owned by large participant of second-level bank, insurance (reinsurance) organization, being a legal or physical person, banking holding company, insurance holding company	Information on changes in quantity and percentage ratio of shares of second-level bank, insurance (reinsurance) organization
Quantity of shares owned	Percentage ratio of quantity of shares owned to total voting shares of second-level bank, insurance (reinsurance) organization	Percentage ratio of quantity of shares owned of second-level bank, insurance (reinsurance) organization to total issued (excluding preferred and repurchased) shares of second-level bank, insurance (reinsurance) organization
of second-level bank, insurance (reinsurance) organization (pieces)
13	14	15

Table 2. Sources of funds used for acquiring shares

№	Information on conditions and procedure for acquisition by large participant of second-level bank, insurance (reinsurance) organization, being a legal or physical person, banking holding company, insurance holding company of shares of second-level bank, insurance (reinsurance) organization	Description of sources and funds used for acquiring shares of second-level bank, insurance (reinsurance) organization, with attached supporting documents
1	2	3

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, first name and patronymic (if any) phone

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

Head or person authorized by him to sign the report ______ ______ surname, first name and patronymic (if any) signature, phone

Date “____” ______ 20__ year

Appendix to the form of information on
changes in the quantity and/or percentage ratio of shares of a second-level bank, insurance (reinsurance) organization, owned by a large participant of a second-level bank, insurance (reinsurance) organization, being a legal or physical person, banking holding company, insurance holding company, as well as sources of funds used for acquiring shares

Explanation for filling out the administrative data form

Information on changes in the quantity and/or percentage ratio of shares of a second-level bank, insurance (reinsurance) organization, owned by a large participant of a second-level bank, insurance (reinsurance) organization, being a legal or physical person, banking holding company, insurance holding company, as well as sources of funds used for acquiring shares

(index – KU FYUL _F10, frequency – in case of change in quantity and/or percentage ratio of shares)

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the administrative data form "Information on changes in the quantity and/or percentage ratio of shares of a second-level bank, insurance (reinsurance) organization, owned by a large participant of a second-level bank, insurance (reinsurance) organization, being a legal or physical person, banking holding company, insurance holding company, as well as sources of funds used for acquiring shares" (hereinafter - Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", paragraph 1 of Article 54-1 of the Law of the Republic of Kazakhstan dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan", paragraph 1 of Article 74-1 of the Law of the Republic of Kazakhstan dated December 18, 2000 "On Insurance Activity".
3. The reporting Form is compiled by a large participant of a second-level bank, insurance (reinsurance) organization, being a legal or physical person, banking holding company, insurance holding company, in case of change in the quantity of shares owned by a large participant of a second-level bank, insurance (reinsurance) organization, being a legal or physical person, banking holding company, insurance holding company.
4. The Form is signed by the head, chief accountant or persons authorized to sign the report. When submitting the Form by a physical person, it is signed by the physical person.

Chapter 2. Explanation for filling out the Form

5. In electronic format, documents confirming the fact of adoption of a decision on changing the quantity and/or percentage ratio of shares, as well as documents confirming the sources and funds used for acquiring shares of a second-level bank, insurance (reinsurance) organization, are attached to the report in arbitrary form.

Appendix 33
to the List of regulatory legal acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

Appendix 11
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 26, 2016 No. 315

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan Administrative data form is posted on the internet resource: www.nationalbank.kz

Information on all obligations of participants of an insurance group to third parties (group of persons), constituting ten percent or more of the equity capital of the insurance group, acting as of the reporting date

Index of administrative data form: SG YUL_F11
Frequency: quarterly
Reporting period: for ___ quarter 20__ year
Circle of persons providing information: insurance holding company included in the insurance group Submission deadline: quarterly, no later than sixty calendar days following the reporting quarter.

Form

№	Counterparty Name	Type of Operation	Currency Type	Amount (in thousands of tenge)	Date of Conclusion (date of commencement of performance)	Date of Expiration (date of termination of performance)
1	2	3	4	5	6	7
1. (Name of insurance group participant 1)
1.1
1.2
…
Total obligations of participant 1
…
n. (Name of insurance group participant n)
n.1
n.2
…
Total obligations of participant n

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, first name and patronymic (if any) phone

Chief Accountant or person authorized to sign the report ______ ______ surname, first name and patronymic (if any) signature, phone number

Head Manager or person authorized by him to sign the report ______ ______ surname, first name and patronymic (if any) signature, phone number

Date “____” ______ 20__ year

Appendix
to the form information on all obligations of participants of the insurance group to third persons (group of persons), making up ten or more percent of the own capital of the insurance group, acting as of the reporting date

Explanation on filling out the administrative data form

Information on all obligations of participants of the insurance group to third persons (group of persons), making up ten or more percent of the own capital of the insurance group, acting as of the reporting date

(index – SG YUL_F11, frequency – quarterly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines uniform requirements for filling out the administrative data form "Information on all obligations of participants of the insurance group to third persons (group of persons), making up ten or more percent of the own capital of the insurance group, acting as of the reporting date" (hereinafter - Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", paragraph 1 of Article 74-1 of the Law of the Republic of Kazakhstan dated December 18, 2000 "On Insurance Activity".
3. The Form is compiled quarterly by an insurance holding included in the insurance group.
4. The Form is signed by the head manager, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation on filling out the Form

5. Column 5 indicates the amount of obligations of participants of the insurance group to third persons (group of persons), making up ten or more percent of the own capital of the insurance group, as of the reporting date.
6. Symbol n - number of participants in the insurance group.
7. Names of participants of the insurance group are indicated in the lines “1. (Name of participant of the insurance group 1) n. (Name of participant of the insurance group n)”.

Appendix 34
to the List of regulatory legal acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

Appendix 12
to the resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 26, 2016 No. 315

Form intended for collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan Administrative data form is posted on the internet resource: www.nationalbank.kz

Information on intra-group transactions of the insurance group concluded during the reporting period, as well as acting as of the reporting date

Index of administrative data form: SG YUL_F12
Frequency: quarterly
Reporting period: for ___ quarter 20__ year
Circle of persons submitting information: insurance holding included in the insurance group Submission deadline: quarterly, no later than sixty calendar days following the reporting quarter.

Form

	Participant of the insurance group	Participant of the insurance group	Type	Amount of transaction (in thousands of tenge)
	(party 1 to the contract of the transaction)	(party 2 to the contract of the transaction)	of transaction
	Name	Business identification number (if available)	Name
13	14	15	16

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, first name and patronymic (if any) phone

Chief Accountant or person authorized to sign the report ______ ______ surname, first name and patronymic (if any) signature, phone number

Head Manager or person authorized by him to sign the report ______ ______ surname, first name and patronymic (if any) signature, phone number

Date “____” ______ 20__ year

Appendix to the form information on
intra-group transactions of the insurance group concluded during the reporting period, as well as acting as of the reporting date

Explanation on filling out the administrative data form

Information on intra-group transactions of the insurance group concluded during the reporting period, as well as acting as of the reporting date

(index – SG YUL_F12, frequency – quarterly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines uniform requirements for filling out the administrative data form "Information on intra-group transactions of the insurance group concluded during the reporting period, as well as acting as of the reporting date" (hereinafter - Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", paragraph 1 of Article 74-1 of the Law of the Republic of Kazakhstan dated December 18, 2000 "On Insurance Activity".
3. The Form is compiled quarterly by an insurance holding included in the insurance group.
4. The Form is signed by the head manager, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation on filling out the Form

5. Transaction in the Form is indicated once.
6. In case if the transaction involves participation of several participants of the insurance group, party 1 is indicated in the report - participant of the insurance group from which the movement of money begins and party 2 - final participant of the insurance group - beneficiary of the transaction. In this case, intermediate participants and the purpose of their participation in the transaction must be indicated in the note.
   Appendix 35
   to the List of regulatory legal acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

Appendix 13
to the resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 26, 2016 No. 315

Rules for reporting submission by large participants of second-tier banks, banking holdings, large participants of insurance (reinsurance) organizations, insurance holdings, large participants managing investment portfolios, second-tier banks

1. These Rules for reporting submission by large participants of second-tier banks, banking holdings, large participants of insurance (reinsurance) organizations, insurance holdings, large participants managing investment portfolios, second-tier banks (hereinafter - Rules) are developed in accordance with the Laws of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan" (hereinafter - Bank Law), dated December 18, 2000 "On Insurance Activity" (hereinafter - Insurance Activity Law), dated July 2, 2003 "On Securities Market" (hereinafter - Securities Market Law) and establish the procedure for submitting reporting to the National Bank of the Republic of Kazakhstan by large participants of banks, banking holdings, large participants of insurance (reinsurance) organizations, insurance holdings, large participants managing investment portfolios, second-tier banks.
2. Reporting of a large participant of a second-tier bank, banking holding, insurance (reinsurance) organization, insurance holding, managing investment portfolio, second-tier bank is submitted to the National Bank of the Republic of Kazakhstan in electronic format.
   Reporting on paper carrier of a legal entity is signed by the head manager of the organization, chief accountant or persons authorized by them to sign the report, and is stored at the large participant of the second-tier bank, banking holding, insurance (reinsurance) organization, insurance holding, managing investment portfolio, second-tier bank. Identity of data submitted in electronic format to data on paper carrier is ensured by the head manager of the organization (during his absence - by person authorized to sign the report) and chief accountant.
3. Large participant of a second-tier bank, insurance (reinsurance) organization, managing investment portfolio - natural person, who is simultaneously a large participant of another second-tier bank and/or another insurance (reinsurance) organization and/or another managing investment portfolio, submits to the National Bank of the Republic of Kazakhstan information and data for the reporting period, taking into account information on another bank and/or another insurance (reinsurance) organization and/or another managing investment portfolio, in which he is a large participant.
4. Accounting policy is attached in arbitrary form to financial reporting of large participant of second-tier bank, insurance (reinsurance) organization, managing investment portfolio, banking holding, insurance holding, second-tier bank in case of submitting financial reporting to the National Bank of the Republic of Kazakhstan for the first time, as well as when making changes to accounting policy.
5. Legal entity, which is simultaneously a banking holding and/or insurance holding and/or large participant managing investment portfolio, and/or large participant of another second-tier bank and/or another insurance (reinsurance) organization and/or managing investment portfolio, submits to the National Bank of the Republic of Kazakhstan reporting provided by this resolution for the required period, compiled taking into account information on another bank and/or another insurance (reinsurance) organization and/or another managing investment portfolio, in which it is a large participant and/or banking holding and/or insurance holding and/or large participant managing investment portfolio.
6. Requirements for providing reporting provided by subparagraphs 4), 5), 6) and 7) of paragraph 1 of this resolution do not apply to second-tier banks having status of large participant of second-tier bank, insurance (reinsurance) organization, managing investment portfolio or banking holding, insurance holding, as well as insurance (reinsurance) organization having status of large participant of insurance (reinsurance) organization or insurance holding.
7. When submitting annual reporting by large participants of second-tier banks, insurance (reinsurance) organizations, managing investment portfolio, banking holdings, insurance holdings, large participants owning (having the right to vote) twenty-five or more percent of voting shares of managing investment portfolio, second-tier banks, provided by subparagraphs 8) and 9) of paragraph 1 of this resolution, submission of these forms for the fourth quarter is not required.
8. In case if, by the deadline for submitting reporting established by paragraph 2 of this resolution, the reporting person has lost status of large participant of second-tier bank, banking holding, large participant of insurance (reinsurance) organizations, insurance holding, large participant managing investment portfolio, reporting for the last reporting period preceding the date of loss of status is submitted within established deadlines.
9. In case of absence of information on reporting forms provided by subparagraphs 5), 6) and 7) of paragraph 1 of this resolution, large participants of second-tier banks, insurance (reinsurance) organizations, managing investment portfolio, indicate these forms with empty columns.
   Appendix 36
   to the List of regulatory legal acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

Appendix 1
to the resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 28, 2017 No. 167

List of reporting of unified accumulative pension fund

Reporting of unified accumulative pension fund includes:

1. report on cost of pension assets;
2. report on structure of investment portfolio of pension assets;
3. report on assets under external management;
4. report on volumes of pension accumulations and number of individual pension accounts of contributors (recipients) of mandatory pension contributions;
5. report on volumes of mandatory pension contributions of employer and number of conditional pension accounts of physical persons;
6. report on volumes of pension accumulations and number of individual pension accounts of contributors (recipients) of voluntary pension contributions;
7. report on volumes of pension accumulations and number of individual pension accounts of contributors (recipients) of mandatory professional pension contributions;
8. report on volumes of pension accumulations and number of individual pension accounts of contributors (recipients) of mandatory pension contributions by regions of the Republic of Kazakhstan (by place of residence of contributor (recipient));
9. report on volumes of mandatory pension contributions of employer and number of conditional pension accounts of physical persons by regions of the Republic of Kazakhstan (by place of residence of physical person);
10. report on volumes of pension accumulations and number of individual pension accounts of contributors (recipients) of voluntary pension contributions by regions of the Republic of Kazakhstan (by place of residence of contributor (recipient));
11. report on volumes of pension accumulations and number of individual pension accounts of contributors (recipients) of mandatory professional pension contributions by regions of the Republic of Kazakhstan (by place of residence of contributor (recipient));
12. report on pension payments on mandatory pension contributions, mandatory professional pension contributions, voluntary pension contributions;
13. report on pension payments on mandatory pension contributions of employer;
14. report on securities acquired at expense of own assets;
15. report on reverse repo and repo transactions carried out at expense of own assets;
16. report on deposits and cash and cash equivalents placed at expense of own assets;
17. report on investments in capital of other legal entities;
18. report on transactions carried out on investing own assets;
19. report on financial instruments of issuers who defaulted, acquired at expense of pension assets;
20. report on cost of one conditional unit of pension assets formed at expense of mandatory pension contributions, mandatory professional pension contributions and voluntary pension contributions;
21. report on cost of one conditional unit of conditional pension liabilities.

Appendix 37
to the List of regulatory legal acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

Appendix 2
to the resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 28, 2017 No. 167

Form intended for collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan Administrative data form is posted on the internet resource: www.nationalbank.kz

Report on cost of pension assets

Index of administrative data form: 1- ENPF_PA
Frequency: monthly
Reporting period: as of “”____ 20 ___ year Circle of persons submitting information: unified accumulative pension fund Submission deadline: monthly, no later than seventh working day of month following the reporting month (in case of presence of pension assets transferred to external management, no later than twentieth day of month following the reporting month)

Form

Pension assets formed at expense of ______

(in tenge)

No. p/p	Indicator	date, month,	…	date, month,
		year		year
1	2	3	…	…
1.	Balance on investment accounts at beginning of day, including:
1.1.	in tenge
1.2.	in foreign currencies
2.	Money received on investment accounts at end of day, including:
2.1.	in tenge
2.2.	in foreign currencies
3.	Money withdrawn from investment accounts at end of day, including:
3.1.	in tenge
3.2.	in foreign currencies
4.	Balance on investment accounts at end of day ((1)+(2)-(3)), including:
4.1.	in tenge
4.2.	in foreign currencies
5.	Amount of assets under external management at end of day, including:
5.1.	in tenge
5.2.	in foreign currencies
6.	Cost of other assets at beginning of day, including:
6.1.	in tenge
6.2.	in foreign currencies
7.	Cost of other assets at end of day, including:
7.1.	in tenge
7.2.	in foreign currencies
8.	Total cost of financial investments at beginning of day, including:
8.1.	derivative financial instruments
9.	Financial instruments received at end of day
10.	Financial instruments withdrawn at end of day
11.	Total cost of financial investments at end of day ((8)+(9)-(10)+(12)-(12.4.1)-(12.7)), including
	:
11.1.	derivative financial instruments
12.	Accrued investment income (expense) at end of day, including:
12.1.	income (expenses) related to receiving remuneration on financial instruments
12.2.	income (expenses) from change in cost of securities evaluated at fair value
12.3.	income (expenses) from change in cost of other assets
12.4.	income (expenses) from revaluation of foreign currency, including:
12.4.1.	income (expenses) from revaluation of money on investment account and other assets
12.4.2.	income (expenses) from revaluation of financial investments
12.5.	income (expenses) related to restoration (formation) of reserves (provisions) for coverage
	possible losses from impairment of securities
12.6.	other income (expenses) on financial instruments
12.7.	other income (expenses) not related to financial instruments
13.	Total current cost of pension assets at end of day ((4)+(5)+(7)+(11))
14.	Commission remuneration from pension assets at end of 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 end of day, including:
16.1.	accrued
16.2.	paid
17.	Balance of debt on commission remuneration from investment income
18.	Accrued pension liabilities related to pension assets at end of day, including
	:
18.1.	erroneous (incorrectly credited) amounts
18.2.	payments and transfers
18.3.	other
19.	Executed pension liabilities related to pension assets at end of day:
19.1.	erroneous (incorrectly credited) amounts from investment account
19.2.	payments and transfers
19.3.	other
20.	Balance of pension liabilities at end of day
21.	Balance of sums on accounts of Reserve Funds at beginning of day (filled from January 1, 2023)
22.	Balance of sums on accounts of Reserve Funds at end of day (filled from January 1, 2023)
23.	Total liabilities on pension assets at end of day ((15)+(17)+(20)+(22)):
24.	Total cost of "net" pension assets at end of day ((13)-(23))

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, first name and patronymic (if any) phone

Chief Accountant or person authorized to sign the report ______ ______ surname, first name and patronymic (if any) signature, phone number

Head Manager or person authorized by him to sign the report ______ ______ surname, first name and patronymic (if any) signature, phone number

Date “____” ______ 20__ year

Appendix
to the form report on cost of pension assets

Explanation on filling out the administrative data form

Report on cost of pension assets

(index – 1- ENPF_PA, frequency – monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines uniform requirements for filling out the administrative data form "Report on cost of pension assets" (hereinafter - Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", paragraph 1 of Article 51 of the Law of the Republic of Kazakhstan dated June 21, 2013 "On Pension Provision in the Republic of Kazakhstan".
3. The Form is filled out monthly by unified accumulative pension fund. Data in the Form is indicated in tenge.
4. The Form is signed by the head manager, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation on filling out the Form

5. From January 1, 2023, 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 employer's mandatory pension contributions.
   In the line "Pension assets formed from", 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. In lines 1.2., 2.2., 3.2., 4.2., 5.2., 6.2. and 7.2., amounts equivalent to tenge are reflected.
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 measured at cost is indicated. Costs incurred in making a transaction (directly related to the acquisition of financial instruments), including remuneration and commission fees paid to agents, consultants, brokers (dealers), stock exchange fees, as well as bank expenses for transfers, are included in the cost of these financial instruments. The cost of financial instruments also includes remuneration accrued for the period prior to the moment of acquisition (if any).
11. When filling out line 10, information on realized or redeemed financial instruments at 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 income received and losses incurred, included in the cost of pension assets at the end of the reporting period, is reflected in the note to the Form.
15. Line 13 indicates the value reflected in accounting.
16. Lines 14 and 16 indicate the amount of commission remuneration.
17. When filling out lines 15 and 17, the cumulative balance of debt on commission remuneration is indicated, 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 accumulation pension funds, insurance organizations, amounts paid to recipients and other persons, amounts of personal income tax on 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 liabilities included in the cost 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 out from January 1, 2023. In lines 21 and 22, the balance of amounts in the accounts of Reserve Funds is indicated. These lines are filled out only when filling out information on employer's mandatory pension contributions.
21. In the absence of information, the Form is submitted with zero balances.

Appendix 38
to the List of regulatory legal acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

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

Form intended for the collection of 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 structure of the investment portfolio of pension assets

Index of administrative data form: 2- ENPF_SPPA Frequency: weekly (monthly) Reporting period: as of ""____ 20 ___ year Circle of persons providing information: single accumulated pension fund 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 from ______

Table 1. Securities acquired from pension assets

(in tenge)

No. p/p	Name of issuer	Type of economic activity	Country of issuer	Type of security	Identification number
1	2	3	4	5	6
1.	State securities of the Republic of Kazakhstan
1.1.		x
…		x
2.	Non-state issue securities
	of organizations of the Republic of Kazakhstan
2.1.	securities of second-tier banks
2.1.1.
…
2.2.	securities of legal entities, except
	second-tier banks
2.2.1.
…
3.	Securities of foreign states
3.1.		x
…		x
4.	Non-state securities
	of non-resident issuers of the Republic of Kazakhstan
4.1.		x
…		x
5.	Securities of international financial organizations
5.1.		x
…		x
6.	Shares of investment funds
6.1.
…
7.	Total:	х

continuation of the table:

Quantity	Nominal value	Payment currency	Purchase price per one	Period	Purchase cost
securities			security		of security
(pieces)
	currency	cost of one		total (in	net price	date of posting	date of maturity
		security		tenge)		to the register
7	8	9	10	11	12	13	14	15
…

continuation of the table:

Current value of securities	Reference:
total (in	in currency	including accrued	formed	debtor's debt on	overdue	formed reserves
tenge)	nominal	remuneration (in tenge)	reserves (provisions)	securities	debtor's debt on	(provisions) on
	value				securities	overdue debtor's
						debt
16	17	18	19	20	21	22
…

continuation of the table:

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

Table 2. Securities acquired through reverse repurchase agreements

(in tenge)

No. p/p	Name of issuer	Country of issuer	Type of security	Identification number
				number
total (in	in currency nominal	total (in	in currency nominal	date of opening	date of closing
tenge)	value	tenge)	value	of operation	of operation
9	10	11	12	13	14	15	16
…

Table 3. Deposits placed from pension assets

(in tenge)

No. p/p	Name of bank	Bank rating	Currency of deposit	Date of conclusion and number of banking contract
				of deposit
		on the date of placement of deposit	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 deposit
	periodicity	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	including, accrued		formed	debtor's debt on	overdue	formed reserves
tenge)	remuneration		reserves	deposits	debtor's debt on	(provisions) on
					deposits	overdue
						debtor's
						debt
	in tenge	in foreign currency
				in tenge	in currency	in tenge	in currency	in tenge	in currency
	Total:

Table 5. Contingent claims and obligations

(in tenge)

No.	Name of type	Underlying asset	Currency	Identification number	Amount of claims	Current value
	derivative financial				(obligations) on the date	on the reporting date
	instrument				of transaction with
					derivative instrument
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

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, first name and patronymic (if any) phone

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

Head or person authorized by him to sign the report ______ ______ surname, first name and patronymic (if any) signature, phone

Date "____" ______ 20__ year

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

Explanation on filling out the form of administrative data

Report on the structure of the investment portfolio of pension assets

(index – 2- ENPF_SPPA, frequency – weekly (monthly))

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the form 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 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", paragraph 1 of Article 51 of the Law of the Republic of Kazakhstan dated June 21, 2013 "On Pension Provision in the Republic of Kazakhstan".
3. The Form is filled out by the single accumulated 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 is indicated in tenge.
4. The Form is signed by the head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation on filling out the Form

5. From January 1, 2023, 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 employer's mandatory pension contributions.
   In the line "Pension assets formed from", 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. Regarding Table 1:

1. the Form indicates data on securities and rights to claim against the issuer's obligations on issue securities;
2. column 2 indicates the name of the issuer of the security;
3. column 3 indicates the type of economic activity in accordance with the general classifier of types of economic activity GK RK 03-2007. This column is filled out for non-state securities of resident issuers of the Republic of Kazakhstan;
4. column 5 indicates the type of acquired security with indication of its type;
5. column 6 indicates the identification number of the security, regarding rights to claim against the issuer's obligations, the term of which has expired, and the issuer has not fulfilled obligations for their redemption - identifier of rights to claim;
6. column 7 indicates the quantity of acquired securities;
7. columns 8 and 10 currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 "Codes for designation of currencies and funds";
8. column 9 for bonds indicates the monetary expression of the bond's value determined upon its issuance, on which remuneration expressed in percent is accrued on the coupon bond, as well as the amount payable to the bondholder upon its redemption. The amount is indicated in the currency of issuance;
9. columns 11 and 12 indicate the price reflected in the primary document confirming the transaction (exchange certificate, broker's and/or dealer's report, obtained confirmation via the international interbank system of information transfer and payment transactions (SWIFT). Column 12 indicates: for debt securities, the net price in percentage terms relative 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, stock exchange fees, as well as bank 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 debtor's debt on securities subject to payment within the time established by the offering prospectus;
16. column 21 indicates the overdue debtor's debt on securities that is not paid within the time provided by the offering prospectus;
17. column 22 indicates the amount of reserves (provisions) on debtor's and overdue debt reflected in accounting;
18. column 23 indicates the category of security "measured at fair value", "measured at amortized cost";
19. when filling out columns 24 and 25, the rating of the security on bonds, the rating of the issuer on stocks, the rating of the country on state securities, assigned by one of the rating agencies listed 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 and countries, 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 regulatory 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 the 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 stock exchange list category 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 repurchase operations, with indication of its type;
2. column 6 indicates the quantity of acquired securities through reverse repurchase operations;
3. columns 7 and 8 currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 "Codes for designation of currencies and funds";
4. columns 9 and 10 indicate the price with accuracy up to four decimal places, reflected in the primary document confirming the reverse repurchase operation. In case of payment for the acquired security in foreign currency, columns 10 and 12 are filled out 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 out;
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 listed 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 currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 "Codes for designation of currencies and funds";
3. column 8 indicates the term of the deposit under the banking deposit agreement; upon extension of the deposit, the term is reflected taking into account the extension;
4. columns 9 and 10 date and periodicity of payment of accrued remuneration are indicated in accordance with the conditions of the banking deposit agreement;
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 foreign currency, column 14 is filled out 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 out;
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 debtor's debt on deposits;
9. column 21 indicates the overdue debtor's debt on deposits;
10. column 22 indicates the amount of reserves (provisions) on debtor's and overdue debt reflected in accounting;
11. the table is filled out indicating the amount of deposits separately for each bank and for each currency of deposit.

9. Regarding Table 4:

1. column 4 payment currency is indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 "Codes for designation of currencies and funds";
2. columns 5 and 7 purchase price and purchase cost are indicated at the market exchange rate prevailing on the date of the transaction; in column 10 the amount is reflected at the market exchange rate prevailing on the reporting date. In case of acquisition of refined precious metal in the national currency - tenge, columns 5, 7 and 9 are filled out;
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. Currency code is indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 "Codes for designation of currencies and funds";
3. column 5 is filled out if the underlying asset of the derivative financial instrument is a security;
4. column 6 indicates the amount of contingent claims and obligations, which is formed during the 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 single accumulated pension fund and voluntary accumulation pension funds" (registered in the Registry of state registration of regulatory 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 exceeding the current market value of the derivative financial instrument over the nominal contractual value of this derivative financial instrument (contingent claims); the amount exceeding the nominal contractual value of the derivative financial instrument over the current market value of this derivative financial instrument (contingent obligations); for sale transactions - the amount exceeding the nominal contractual value of the derivative financial instrument over the current market value of this derivative financial instrument (contingent claims); the amount exceeding the current market value of the derivative financial instrument over the nominal contractual value of this derivative financial instrument (contingent obligations).

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

Appendix 39
to the List of regulatory legal acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

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

Form intended for the collection of 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 assets under external management

Administrative data form index: 3-ENPF_A-VNESH Frequency: monthly Reporting period: as of "__" ______ 20 __ year Entities submitting information: Unified Accumulative Pension Fund Submission deadline: monthly, no later than the seventh working day of the month following the reporting month (in case pension assets are 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	Number and Date of Trust Management Agreement	Expected Period of Pension Asset Management	Current Value of Pension Assets in Management	Note
1	2	3	4	5	6
Total:

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, name and patronymic (if any) phone

Chief Accountant or person authorized to sign the report ______ ______ surname, name and patronymic (if any) signature, phone

Head or person authorized by him to sign the report ______ ______ surname, name and patronymic (if any) signature, phone

Date "____" ______ 20__ year

Appendix
to the report form on assets under external management

Explanation on filling out the administrative data form

Report on assets under external management

(index –3-ENPF_A-VNESH, frequency – monthly)

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the administrative data form "Report on assets under external management" (hereinafter - Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", paragraph 1 of Article 51 of the Law of the Republic of Kazakhstan dated June 21, 2013 "On Pension Provision in the Republic of Kazakhstan".
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 head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation on Filling out the Form

5. Starting January 1, 2023, 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 employer's mandatory 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 "employer's mandatory pension contributions".
6. The Form is submitted for assets under investment management by a foreign organization carrying out activities for 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. In column 4, the period of pension asset management under the agreement is indicated. If the agreement does not provide for a period of pension asset management, then a dash "-" is indicated in column 4.
9. In column 5, the current value of pension assets under management as of the reporting date is indicated.
10. 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 agreement, then in columns 2, 3, 4, information about this pension asset manager is provided for the last day of transfer of assets and liabilities, and in column 6, information on the results of transferred assets (amount of pension assets and where this amount was transferred) is indicated.
11. In the absence of information, the Form is submitted with zero balances.

Appendix 40
to the List of regulatory legal acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

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

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan The administrative data form is posted on the website: www.nationalbank.kz

Report on the volume of pension savings and the number of individual pension accounts of contributors (recipients) of mandatory pension contributions

Administrative data form index: 4-ENPF_OPV
Frequency: monthly
Reporting period: as of "__" ______ 20 __ year Entities submitting information: Unified Accumulative Pension Fund 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	Individual Pension Accounts of Contributors (Recipients) who have concluded a Pension Provision Agreement
(Recipients)
	Men	Women
	Quantity	Amount	Quantity	Quantity	Amount	Quantity
	Individual	Pension	Individual	Individual	Pension	Individual
	Pension Accounts	Savings	Pension Accounts	Pension Accounts	Savings	Pension Accounts
	of Contributors		of Contributors (Recipients)	of Contributors		of Contributors (Recipients)
	(Recipients) with		without pension	(Recipients) with		without pension
	Pension Savings		Savings	Pension Savings		Savings
1	2	3	4	5	6	7
up to 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

The amount of pension savings for unidentified contributors is ______ thousand tenge.

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, name and patronymic (if any) phone

Chief Accountant or person authorized to sign the report ______ ______ surname, name and patronymic (if any) signature, phone

Head or person authorized by him to sign the report ______ ______ surname, name and patronymic (if any) signature, phone

Date "____" ______ 20__ year

Appendix
to the report form on the volume of pension savings and the number of individual pension accounts of contributors (recipients) of mandatory pension contributions

Explanation on filling out the administrative data form

Report on the volume of pension savings and the number of individual pension accounts of contributors (recipients) of mandatory pension contributions

(index –4-ENPF_OPV, frequency – monthly)

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the administrative data form "Report on the volume of pension savings and the number of individual pension accounts of contributors (recipients) of mandatory pension contributions" (hereinafter - Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", paragraph 1 of Article 51 of the Law of the Republic of Kazakhstan dated June 21, 2013 "On Pension Provision in the Republic of Kazakhstan".
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 head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation on Filling out the Form

5. In columns 2 and 5, the number of individual pension accounts of contributors (recipients) 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 (recipient).
   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 (recipients) 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 (recipient).
7. The amount of pension savings for unidentified contributors is indicated in the note to the Form.
8. In the absence of information, the Form is submitted with zero balances.

Appendix 41
to the List of regulatory legal acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

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

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan The administrative data form is posted on the website: www.nationalbank.kz

Report on the volume of employer's mandatory pension contributions and the number of conditional pension accounts of individuals

Administrative data form index: 4-ENPF_OPVR
Frequency: monthly
Reporting period: as of "__" ______ 20 __ year Entities submitting information: Unified Accumulative Pension Fund Submission deadline: monthly, no later than the seventh working day of the month following the reporting month

Form

(in thousands of tenge)

Age of Individual	Men	Women
	Number of Conditional Pension	Amount Recorded on	Number of Conditional Pension	Amount Recorded on
	Accounts of Individuals	Conditional Pension Accounts	Accounts of Individuals	Conditional Pension Accounts
1	2	3	4	5
up to 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

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, name and patronymic (if any) phone

Chief Accountant or person authorized to sign the report ______ ______ surname, name and patronymic (if any) signature, phone

Head or person authorized by him to sign the report ______ ______ surname, name and patronymic (if any) signature, phone

Date "____" ______ 20__ year

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

Explanation on filling out the administrative data form

Report on the volume of employer's mandatory pension contributions and the number of conditional pension accounts of individuals

(index –4-ENPF_OPVR, frequency – monthly)

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the administrative data form "Report on the volume of employer's mandatory pension contributions and the number of conditional pension accounts of individuals" (hereinafter - Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", paragraph 1 of Article 51 of the Law of the Republic of Kazakhstan dated June 21, 2013 "On Pension Provision in the Republic of Kazakhstan".
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 out 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 head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation on 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 recorded on 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 42
to the List of regulatory legal acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

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

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan The administrative data form is posted on the website: www.nationalbank.kz

Report on the volume of pension savings and the number of individual pension accounts of contributors (recipients) of voluntary pension contributions

Administrative data form index: 5-ENPF_DPV
Frequency: monthly
Reporting period: as of "__" ______ 20 __ year Entities submitting information: Unified Accumulative Pension Fund 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	Men	Women
(Recipients)
	Quantity	Amount	Quantity	Quantity	Amount	Quantity
	Individual	Pension	Individual	Individual	Pension	Individual
	Pension Accounts	Savings	Pension Accounts	Pension Accounts	Savings	Pension Accounts
	of Contributors		of Contributors (Recipients)	of Contributors		of Contributors (Recipients)
	(Recipients) with		without pension	(Recipients) with		without pension
	Pension Savings		Savings	Pension Savings		Savings
1	2	3	4	5	6	7
up to 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

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, name and patronymic (if any) phone

Chief Accountant or person authorized to sign the report ______ ______ surname, name and patronymic (if any) signature, phone

Head or person authorized by him to sign the report ______ ______ surname, name and patronymic (if any) signature, phone

Date "____" ______ 20__ year

Appendix
to the report form on the volume of pension savings and the number of individual pension accounts of contributors (recipients) of voluntary pension contributions

Explanation on filling out the administrative data form

Report on the volume of pension savings and the number of individual pension accounts of contributors (recipients) of voluntary pension contributions

(index –5-ENPF_DPV, frequency – monthly)

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the administrative data form "Report on the volume of pension savings and the number of individual pension accounts of contributors (recipients) of voluntary pension contributions" (hereinafter - Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", paragraph 1 of Article 51 of the Law of the Republic of Kazakhstan dated June 21, 2013 "On Pension Provision in the Republic of Kazakhstan".
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 head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation on Filling out the Form

5. In columns 2 and 5, the number of individual pension accounts of contributors (recipients) 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 (recipient). 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 (recipients) 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 (recipient).
7. In the absence of information, the Form is submitted with zero balances.

Appendix 43
to the List of regulatory legal acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

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

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan Data form published on the website: www.nationalbank.kz

Report on the Volume of Pension Accumulations and Number of Individual Pension Accounts of Contributors (Recipients) of Mandatory Professional Pension Contributions

Data form index: 6-ENPF_OPPV
Frequency: Monthly
Reporting period: as of "__" ______ 20 __ year Entities submitting information: Unified Accumulative Pension Fund 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
(recipients)
	Men	Women
	Quantity	Amount	Quantity of individual	Quantity	Amount	Quantity
	individual	pension	pension accounts	individual	pension	individual
	pension accounts	accumulations	of contributors (recipients)	pension accounts	accumulations	pension accounts
	of contributors (recipients)		without pension accumulations	of contributors (recipients)		of contributors
	with pension			with pension		(recipients) without
	accumulations			accumulations		pension accumulations
1	2	3	4	5	6	7
up to 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

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, name and patronymic (if any) phone

Chief Accountant or person authorized to sign the report ______ ______ surname, name and patronymic (if any) signature, phone

Head or person authorized by him to sign the report ______ ______ surname, name and patronymic (if any) signature, phone

Date "____" ______ 20__ year

Appendix
to the report form on the volume of pension accumulations and number of individual pension accounts of contributors (recipients) of mandatory professional pension contributions

Explanation on filling out the data form

Report on the Volume of Pension Accumulations and Number of Individual Pension Accounts of Contributors (Recipients) of Mandatory Professional Pension Contributions

(index –6-ENPF_OPPV, frequency – monthly)

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the data form "Report on the Volume of Pension Accumulations and Number of Individual Pension Accounts of Contributors (Recipients) of Mandatory Professional Pension Contributions" (hereinafter - Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", paragraph 1 of Article 51 of the Law of the Republic of Kazakhstan dated June 21, 2013 "On Pension Provision in the Republic of Kazakhstan".
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 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 head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation on Filling out the Form

5. In columns 2 and 5, the number of individual pension accounts of contributors (recipients) who have concluded a pension provision agreement and have pension accumulations is indicated separately for men and women (in the corresponding columns), broken down depending on the age of the contributor (recipient). The amount of pension accumulations for them is indicated in columns 3 and 6 respectively.
6. In columns 4 and 7, the number of contributors (recipients) who have concluded a pension provision agreement and do not have pension accumulations is indicated separately for men and women (in the corresponding columns), broken down depending on the age of the contributor (recipient).
7. In the absence of information, the Form is submitted with zero balances.

Appendix 44
to the List of regulatory legal acts of the Republic of Kazakhstan, which are subject to amendments and additions on issues of reporting submission

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

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan Data form published on the website: www.nationalbank.kz

Report on the Volume of Pension Accumulations and Number of Individual Pension Accounts of Contributors (Recipients) of Mandatory Pension Contributions by Regions of the Republic of Kazakhstan (by place of residence of the contributor (recipient))

Data form index: 7-ENPF_OPV_OBL
Frequency: Monthly
Reporting period: as of "__" ______ 20 __ year Entities submitting information: Unified Accumulative Pension Fund Submission deadline: Monthly, no later than the seventh working day of the month following the reporting month

Form

(in thousands of tenge)

Region (city)	Individual pension accounts of contributors (recipients) who have concluded an agreement
	on pension provision
Name	Code according to the classifier	Quantity of individual	Amount of accumulations	Quantity of individual
	of administrative-territorial	pension accounts		pension accounts
	objects (KATO)	of contributors (recipients) with		of contributors (recipients)
		pension accumulations		without pension accumulations
1	2	3	4	5
Akmola
Aktobe
Almaty
Atyrau
East Kazakhstan
Zhambyl
West Kazakhstan
Karaganda
Kyzylorda
Kostanay
Mangystau
Pavlodar
North Kazakhstan
Turkistan
city of Nur-Sultan
city of Almaty
city of Shymkent
Region not specified
Total

The amount of pension accumulations for unidentified contributors is ______ thousand tenge.

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, name and patronymic (if any) phone

Chief Accountant or person authorized to sign the report ______ ______ surname, name and patronymic (if any) signature, phone

Head or person authorized by him to sign the report ______ ______ surname, name and patronymic (if any) signature, phone

Date "____" ______ 20__ year

Appendix to the report form on the volume of pension accumulations
and number of individual pension accounts of contributors (recipients) of mandatory pension contributions by regions of the Republic of Kazakhstan (by place of residence of the contributor (recipient))

Explanation on filling out the data form

Report on the Volume of Pension Accumulations and Number of Individual Pension Accounts of Contributors (Recipients) of Mandatory Pension Contributions by Regions of the Republic of Kazakhstan (by place of residence of the contributor (recipient))

(index –7-ENPF_OPV_OBL, frequency – monthly)

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the data form "Report on the Volume of Pension Accumulations and Number of Individual Pension Accounts of Contributors (Recipients) of Mandatory Pension Contributions by Regions of the Republic of Kazakhstan (by place of residence of the contributor (recipient))" (hereinafter - Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", paragraph 1 of Article 51 of the Law of the Republic of Kazakhstan dated June 21, 2013 "On Pension Provision in the Republic of Kazakhstan".
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 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 head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation on Filling out the Form

5. In column 2, the code of the region (city) is indicated in accordance with the classifier of administrative-territorial objects (KATO), posted on the official website of the Committee for Statistics of the Ministry of National Economy of the Republic of Kazakhstan.
6. In column 3, the number of individual pension accounts of contributors (recipients) who have concluded a pension provision agreement and have pension accumulations is indicated, broken down depending on the place of residence of the contributor (recipient). The amount of pension accumulations for them is indicated in column 4.
7. In column 5, the number of individual pension accounts of contributors (recipients) who have concluded a pension provision agreement and do not have pension accumulations is indicated, broken down depending on the place of residence of the contributor (recipient).
8. The amount of pension accumulations for unidentified contributors is indicated in the note to the Form.
9. In the absence of information, the Form is submitted with zero balances.

Appendix 45
to the List of regulatory legal acts of the Republic of Kazakhstan, which are subject to amendments and additions on issues of reporting submission

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

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan Data form published on the website: www.nationalbank.kz

Report on the Volume of Employer's Mandatory Pension Contributions and Number of Conditional Pension Accounts of Individuals by Regions of the Republic of Kazakhstan (by place of residence of the individual)

Data form index: 7-ENPF_OPVR_OBL
Frequency: Monthly
Reporting period: as of "__" ______ 20 __ year Entities submitting information: Unified Accumulative Pension Fund Submission deadline: Monthly, no later than the seventh working day of the month following the reporting month

Form

(in thousands of tenge)

Region (city)	Number of conditional pension
	accounts of individuals	Amount credited to conditional
		pension accounts
Name	Code according to the classifier
	of administrative-territorial objects
	(KATO)
1	2	3	4
Akmola
Aktobe
Almaty
Atyrau
East Kazakhstan
Zhambyl
West Kazakhstan
Karaganda
Kyzylorda
Kostanay
Mangystau
Pavlodar
North Kazakhstan
Turkistan
city of Nur-Sultan
city of Almaty
city of Shymkent
Region not specified
Total

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, name and patronymic (if any) phone

Chief Accountant or person authorized to sign the report ______ ______ surname, name and patronymic (if any) signature, phone

Head or person authorized by him to sign the report ______ ______ surname, name and patronymic (if any) signature, phone

Date "____" ______ 20__ year

Appendix
to the report form on the volume of employer's mandatory pension contributions and number of conditional pension accounts of individuals by regions of the Republic of Kazakhstan (by place of residence of the individual)

Explanation on filling out the data form

Report on the Volume of Employer's Mandatory Pension Contributions and Number of Conditional Pension Accounts of Individuals by Regions of the Republic of Kazakhstan (by place of residence of the individual)

(index –7-ENPF_OPVR_OBL, frequency – monthly)

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the data form "Report on the Volume of Employer's Mandatory Pension Contributions and Number of Conditional Pension Accounts of Individuals by Regions of the Republic of Kazakhstan (by place of residence of the individual)" (hereinafter - Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", paragraph 1 of Article 51 of the Law of the Republic of Kazakhstan dated June 21, 2013 "On Pension Provision in the Republic of Kazakhstan".
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 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 head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation on Filling out the Form

5. In column 2, the code of the region (city) is indicated in accordance with the classifier of administrative-territorial objects (KATO), posted on the official website of the Committee for Statistics of the Ministry of National Economy of the Republic of Kazakhstan.
6. In column 3, the number of conditional pension accounts of individuals opened in the name of an individual is indicated, broken down by regions. The amount of employer's mandatory pension contributions credited to conditional pension accounts is indicated in column 4.
7. In the absence of information, the Form is submitted with zero balances.

Appendix 46
to the List of regulatory legal acts of the Republic of Kazakhstan, which are subject to amendments and additions on issues of reporting submission

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

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan Data form published on the website: www.nationalbank.kz

Report on the Volume of Pension Accumulations and Number of Individual Pension Accounts of Contributors (Recipients) of Voluntary Pension Contributions by Regions of the Republic of Kazakhstan (by place of residence of the contributor (recipient))

Data form index: 7-ENPF_DPV_OBL
Frequency: Monthly
Reporting period: as of "__" ______ 20 __ year Entities submitting information: Unified Accumulative Pension Fund Submission deadline: Monthly, no later than the seventh working day of the month following the reporting month

Form

(in thousands of tenge)

Region (city)	Number of individual
	pension accounts of contributors
	(recipients) with pension
	accumulations
Name	Code according to the classifier
	of administrative-territorial
	objects (KATO)
1	2	3	4	5
Akmola
Aktobe
Almaty
Atyrau
East Kazakhstan
Zhambyl
West Kazakhstan
Karaganda
Kyzylorda
Kostanay
Mangystau
Pavlodar
North Kazakhstan
Turkistan
city of Nur-Sultan
city of Almaty
city of Shymkent
Region not specified
Total

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, name and patronymic (if any) phone

Chief Accountant or person authorized to sign the report ______ ______ surname, name and patronymic (if any) signature, phone

Head or person authorized by him to sign the report ______ ______ surname, name and patronymic (if any) signature, phone

Date "____" ______ 20__ year

Appendix
to the report form on the volume of pension accumulations and number of individual pension accounts of contributors (recipients) of voluntary pension contributions by regions of the Republic of Kazakhstan (by place of residence of the contributor (recipient))

Explanation on filling out the data form

Report on the Volume of Pension Accumulations and Number of Individual Pension Accounts of Contributors (Recipients) of Voluntary Pension Contributions by Regions of the Republic of Kazakhstan (by place of residence of the contributor (recipient))

(index –7-ENPF_DPV_OBL, frequency – monthly)

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the data form "Report on the Volume of Pension Accumulations and Number of Individual Pension Accounts of Contributors (Recipients) of Voluntary Pension Contributions by Regions of the Republic of Kazakhstan (by place of residence of the contributor (recipient))" (hereinafter - Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", paragraph 1 of Article 51 of the Law of the Republic of Kazakhstan dated June 21, 2013 "On Pension Provision in the Republic of Kazakhstan".
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 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 head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation on Filling out the Form

5. In column 2, the code of the region (city) is indicated in accordance with the classifier of administrative-territorial objects (KATO), posted on the official website of the Committee for Statistics of the Ministry of National Economy of the Republic of Kazakhstan.
6. In column 3, the number of individual pension accounts of contributors (recipients) who have concluded a pension provision agreement and have pension accumulations is indicated, broken down depending on the place of residence of the contributor (recipient). The amount of pension accumulations for them is indicated in column 4.
7. In column 5, the number of individual pension accounts of contributors (recipients) who have concluded a pension provision agreement and do not have pension accumulations is indicated, broken down depending on the place of residence of the contributor (recipient).
8. In the absence of information, the Form is submitted with zero balances.

Appendix 47
to the List of regulatory legal acts of the Republic of Kazakhstan, which are subject to amendments and additions on issues of reporting submission

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

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan Data form published on the website: www.nationalbank.kz

Report on the Volume of Pension Accumulations and Number of Individual Pension Accounts of Contributors (Recipients) of Mandatory Professional Pension Contributions by Regions of the Republic of Kazakhstan (by place of residence of the contributor (recipient))

Data form index: 7-ENPF_OPPV_OBL
Frequency: Monthly
Reporting period: as of "__" ______ 20 __ year Entities submitting information: Unified Accumulative Pension Fund Submission deadline: Monthly, no later than the seventh working day of the month following the reporting month

Form

(in thousands of tenge)

Region (city)	Number of individual	Accumulation amount	Number of individual
	depositors' pension accounts		depositors' pension accounts
	(beneficiaries) with pension		(beneficiaries) without pension
	accumulations		accumulations
Name	Code according to the classifier
	of administrative-territorial
	objects (KATO)
1	2	3	4	5
Akmola
Aktobe
Almaty
Atyrau
East Kazakhstan
Zhambyl
West Kazakhstan
Karaganda
Kyzylorda
Kostanay
Mangystau
Pavlodar
North Kazakhstan
Turkestan
city of Nur-Sultan
city of Almaty
city of Shymkent
Region not specified
Total

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, first name and patronymic (if any) phone

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

Head or person authorized by him to sign the report ______ ______ surname, first name and patronymic (if any) signature, phone

Date “____” ______ 20__ year

Appendix
to the report form on the volume of pension accumulations and the number of individual pension accounts of depositors (beneficiaries) of mandatory professional pension contributions by regions of the Republic of Kazakhstan (by place of residence of the depositor (beneficiary))

Explanation on filling out the administrative data form

Report on the volume of pension accumulations and the number of individual pension accounts of depositors (beneficiaries) of voluntary pension contributions by regions of the Republic of Kazakhstan (by place of residence of the depositor (beneficiary))

(index –7- ENPF_OPPV_OBL, frequency – monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines uniform requirements for filling out the administrative data form "Report on the volume of pension accumulations and the number of individual pension accounts of depositors (beneficiaries) of mandatory professional pension contributions by regions of the Republic of Kazakhstan (by place of residence of the depositor (beneficiary))" (hereinafter - Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", paragraph 1 of Article 51 of the Law of the Republic of Kazakhstan dated June 21, 2013 "On Pension Provision in the Republic of Kazakhstan".
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 head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation on Filling out the Form

5. In column 2, the code of the region (city) is indicated in accordance with the classifier of administrative-territorial objects (KATO), posted on the official Internet resource of the Committee on Statistics of the Ministry of National Economy of the Republic of Kazakhstan.
6. In column 3, the number of individual pension accounts of depositors (beneficiaries) who have concluded a pension provision agreement and have pension accumulations is indicated, broken down depending on the place of residence of the depositor (beneficiary). The amount of pension accumulations for them is indicated in column 4.
7. In column 5, the number of individual pension accounts of depositors (beneficiaries) who have concluded a pension provision agreement and do not have pension accumulations is indicated, broken down depending on the place of residence of the depositor (beneficiary).
8. In the absence of information, the Form is submitted with zero balances.

Appendix 48
to the List of normative legal acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

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

Form intended for collecting administrative data

Submitted to: the National Bank of the Republic of Kazakhstan Administrative data form is posted on the Internet resource: www.nationalbank.kz

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

Index of administrative data form: 8- ENPF_Vyplaty Frequency: monthly Reporting period: as of “”____ 20 ___ year Circle of persons providing information: unified accumulative pension fund Submission deadline: monthly, no later than the seventh working day of the month following the reporting month

Form

(in thousands of tenge)

Article names	Symbol	For the period from the beginning of the current year	For the similar period of the previous year
		number of depositors (beneficiaries)	number of payments
		quantity	number of payments	amount	quantity	number of payments	amount
		natural persons			natural persons
1	2	3	4	5	6	7	8
Pension payment	100
accumulations
by age	110
by disability	111
to other persons	112
Total pension payments	1000
for mandatory
pension contributions
employer:

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, first name and patronymic (if any) phone

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

Head or person authorized by him to sign the report ______ ______ surname, first name and patronymic (if any) signature, phone

Date “____” ______ 20__ year

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

Explanation on filling out the administrative data form

Report on pension payments for mandatory pension contributions of the employer

(index –8- ENPF_Vyplaty_OPVR, frequency – monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines uniform requirements for filling out the administrative data form "Report on pension payments for mandatory pension contributions of the employer" (hereinafter - Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", paragraph 1 of Article 51 of the Law of the Republic of Kazakhstan dated June 21, 2013 "On Pension Provision in the Republic of Kazakhstan".
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 head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation on Filling out the Form

5. In column 3, the number of natural persons to whom payments were made for the period from the beginning of the year (cumulatively) is indicated.
6. In column 4, the number of payments made to natural persons for the period from the beginning of the year (cumulatively) is indicated. Information on the number of payments is reflected based on payments (transactions) made to natural persons.
7. In column 5, the amount of payments for the period from the beginning of the year (cumulatively) is indicated.
8. In column 6, the number of natural persons from whose accounts payments were made for the similar period of the previous year is indicated.
9. In column 7, the number of payments made to natural persons for the similar period of the previous year is indicated. Information on the number of payments is reflected based on payments (transactions) made to natural persons.
10. In column 8, the amount of payments for the similar period of the previous year is indicated.
11. In the absence of information, the Form is submitted with zero balances.

Appendix 50
to the List of normative legal acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

Appendix 15
to the resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 28, 2017 No. 167

Form intended for collecting administrative data

Submitted to: the National Bank of the Republic of Kazakhstan Administrative data form is posted on the Internet resource: www.nationalbank.kz

Report on securities acquired at the expense of own assets

Index of administrative data form: 1- ENPF_CBSA Frequency: monthly Reporting period: as of “”____ 20 ___ year Circle of persons providing information: unified accumulative pension fund 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	Identification number	Number of securities (pieces)
currency	cost of one security			date of recognition	maturity date
	per security
9	10
Total	including encumbered	Reference:	Book	as of the date	as of the reporting
	securities	formed reserves (provisions)	category	of recognition	date
total	discount, premium	accrued	positive	encumbered securities,	including
		remuneration	(negative)	total	securities transferred
			adjustment		to repo
							opening date	closing date
							of operation	of operation
1	2	3	4	5	6	7	8	9
1.	Reverse operations
	repo
1.1.	direct method
1.1.1.
1.2.	automatic method
1.2.1.
2.	Repo operations
2.1.	direct method
2.1.1.
2.2.	automatic method
2.2.1.

continuation of the table:

Operation term in	Rate	Book value	Reference:	Rating	Category of stock exchange list
days	remuneration		formed
			reserves
				as of the	as of the reporting	as of the	as of the reporting
				date of deal conclusion	date	date of deal conclusion	date
10	11	12	13	14	15	16	17
…

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, first name and patronymic (if any) phone

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

Head or person authorized by him to sign the report ______ ______ surname, first name and patronymic (if any) signature, phone

Date “____” ______ 20__ year

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

Explanation on filling out the administrative data form

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

(index –1- ENPF_REPO_SA, frequency – monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines uniform requirements for filling out the administrative data form "Report on reverse repo and repo operations carried out at the expense of own assets" (hereinafter - Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", paragraph 1 of Article 51 of the Law of the Republic of Kazakhstan dated June 21, 2013 "On Pension Provision in the Republic of Kazakhstan".
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 head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation on Filling out the Form

5. In column 4, the type of security transferred and/or acquired under repo and/or reverse repo operations is indicated, specifying its type.
6. In column 6, the number of securities transferred and/or acquired under repo and/or reverse repo operations is indicated.
7. Currency codes in columns 7 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 rating of the country for government securities, assigned by one of the rating agencies listed 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 and countries, 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) is reflected. 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 as of the date of initial recognition in accounting.
9. In columns 16 and 17, the category of securities of residents of the Republic of Kazakhstan according to the official list of the stock exchange of the Republic of Kazakhstan is indicated. In the absence of a stock exchange list category 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 52
to the List of normative legal acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

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

Form intended for collecting administrative data

Submitted to: the National Bank of the Republic of Kazakhstan Administrative data form is posted on the Internet resource: www.nationalbank.kz

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

Index of administrative data form: 1- ENPF_Vklady_SA Frequency: monthly Reporting period: as of “”____ 20 ___ year Circle of persons providing information: unified accumulative pension fund 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	Deposit term
				of bank deposit agreement	(in days)
		as of placement	as of reporting date		date	number
1	2	3	4	5	6	7	8
1.	Money in cash
2.	Money in transit
2.1.
…
3.	Money in accounts in level-2 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.	Term deposits in level-2 banks
	of the Republic of Kazakhstan
8.1.
…
9.	Conditional deposits
9.1.
…
10.	Term deposits in
	non-resident organizations
10.1.
…
11.	Deposits total

continuation of the table:

Interest rate on deposit	Amount deposited	Book value	Reference:	Note
(percent per annum)			formed
			reserves (provisions)
nominal	effective	in tenge	in foreign currency	total	including
					accrued
					interest on
					deposit
			total	including
				accrued dividends
1	2	3	4	5	6	7	8
1.
2.
…

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, first name and patronymic (if any) phone

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

Head or person authorized by him to sign the report ______ ______ surname, first name and patronymic (if any) signature, phone

Date “____” ______ 20__ year

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

Explanation on filling out the administrative data form

Report on investments in the capital of other legal entities

(index – 1- ENPF_IKDU, frequency – monthly)

Chapter 1. General Provisions

1. This explanation (hereinafter - Explanation) defines uniform requirements for filling out the administrative data form "Report on investments in the capital of other legal entities" (hereinafter - Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", paragraph 1 of Article 51 of the Law of the Republic of Kazakhstan dated June 21, 2013 "On Pension Provision in the Republic of Kazakhstan".
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 out 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 head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation on Filling out 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 as of the acquisition date 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 54
to the List of normative legal acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

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

Form intended for collecting administrative data

Submitted to: the National Bank of the Republic of Kazakhstan Administrative data form is posted on the Internet resource: www.nationalbank.kz

Report on completed transactions on investing own assets

Index of administrative data form: 1- ENPF_DEALINGS_SA Frequency: monthly Reporting period: as of “”____ 20 ___ year Circle of persons providing information: unified accumulative pension fund 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
			of broker and/or dealer	bank	organizer of trading
1	2	3	4	5	6	7	8

continuation of the table:

Type of security and	Identification number	Currency of nominal	Nominal value	Transaction volume	Currency	Purchase price
name of its		value	of one security	(number of securities	of payment	(sale) for
issuer			paper	of securities)		one security
						paper
9	10	11	12	13	14	15

continuation of the table:

Minimum price per security on the date	Maximum price per security on the date	Yield on securities (in percent)	Transaction amount	Counterparty name	Counterparty rating
of the transaction conclusion	of the transaction conclusion
16	17	18	19	20	21

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

(in tenge)

No.	Transfer date	Bank name	Money operations	Date of conclusion and	Deposit term	Reward rate (annual %	Currency	Amount
	related to deposits		contract number	(in days)	)	of deposit	of deposit
	bank 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	Counterparty name	Payment for services	Transaction type	Type of refined precious metal	Transaction volume (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	Broker and/or dealer name	Date of recognition of financial instruments	Date of settlement on transaction	Type of derivative financial instrument	Identification number of security	Market	Underlying asset and its rating	Counterparty and its rating
	of transaction conclusion		for accounting
1	2	3	4	5	6	7	8	9	10

continuation of table:

Description of transaction conditions	Hedging object	Number and date of investment decision	Variation margin on transaction conclusion date, tenge	Initial margin on transaction conclusion date, percent	Trading mode	Note
Type of transaction	Quantity of financial instruments, pieces	Transaction price, tenge	Transaction amount, thousand tenge	Currency of transaction
1	2	3	4	5	6	7	8
	Total

continuation of table:

Debt size	Total debt	Type of settlement and
---	---	amounts of debts
for principal debt	for reward	penalty for principal	penalty for reward
		debt
9	10	11	12	13	14
…

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, first name and patronymic (if any) phone

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

Head or person authorized by him to sign the report ______ ______ surname, first name and patronymic (if any) signature, phone

Date “____” ______ 20__ year

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

Explanation on filling out the administrative data form

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

(index – 9- ENPF_DEFAULT_PA, frequency – quarterly)

Chapter 1. General Provisions

1. This Explanation (hereinafter - Explanation) defines uniform requirements for filling out the administrative data form "Report on financial instruments of issuers who have defaulted, acquired at the expense of pension assets" (hereinafter - Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", paragraph 1 of Article 51 of the Law of the Republic of Kazakhstan dated June 21, 2013 "On Pension Provision in the Republic of Kazakhstan".
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, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation on filling out the Form

5. Starting from January 1, 2023, 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 employer's mandatory 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" or "employer's mandatory pension contributions".
6. Column 3 indicates the type of acquired security with indication of its type or contract number of the deposit.
7. Column 4 indicates the identification number of securities.
8. Column 5 indicates the identifier of the right of claim if available.
9. Column 6 indicates the quantity of acquired securities.
10. Column 7 indicates the maturity date of the financial instrument.
11. Column 8 reflects the date of discontinuation of recognition of the financial instrument in accounting.
12. Column 13 is the sum of columns 9, 10, 11 and 12.
13. Column 14 indicates the type of debt settlement: 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 creditor claims.
14. In the absence of information, the Form is submitted with zero balances.

Appendix 56
to the List of regulatory legal acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

Appendix 20-1
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 28, 2017 No. 167

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan Administrative data form is posted on the Internet resource: www.nationalbank.kz

Report on the cost of a conditional unit of conditional pension assets formed from mandatory pension contributions, mandatory professional pension contributions and voluntary pension contributions

Index of administrative data form: 1 - ENPF_UEA Frequency: monthly Reporting period: as of ""____ 20 ___ year Circle of persons providing information: unified accumulative pension fund Submission deadline: monthly, no later than the seventh working day of the month following the reporting month

Form

(in tenge)

Date	Pension contributions, received	Transfers from voluntary	Penalty received for	Payments and transfers	Obligations for returns
		accumulative pension funds	untimely transfer of pension		of pension contributions and/or
			contributions		penalty received for
					untimely transfer
					of pension contributions
1	2	3	4	5	6

continuation of table:

Commission	Commission	Current cost of	Quantity of	Cost of one conditional	Investment income on
---	---	"net" pension assets	conditional units	unit of pension assets	pension assets,
reward of pension assets	reward from investment income				accrued for the day
7	8	9	10	11	12

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, first name and patronymic (if any) phone

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

Head or person authorized by him to sign the report ______ ______ surname, first name and patronymic (if any) signature, phone

Date “____” ______ 20__ year

Appendix
to the reporting form on the cost of a conditional unit of conditional pension assets formed from mandatory pension contributions, mandatory professional pension contributions and voluntary pension contributions

Explanation on filling out the administrative data form

Report on the cost of a conditional unit of conditional pension assets formed from mandatory pension contributions, mandatory professional pension contributions and voluntary pension contributions (index – 1 - ENPF_UEA, frequency – monthly)

Chapter 1. General Provisions

1. This Explanation (hereinafter – Explanation) defines uniform requirements for filling out the administrative data form "Report on the cost of a conditional unit of conditional pension assets formed from mandatory pension contributions, mandatory professional pension contributions and voluntary pension contributions" (hereinafter – Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", paragraph 1 of Article 51 of the Law of the Republic of Kazakhstan dated June 21, 2013 "On Pension Provision in the Republic of Kazakhstan".
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 head, chief accountant or other persons authorized to sign the report.

Chapter 2. Explanation on filling out the Form

5. Column 10 indicates the quantity of conditional units with accuracy up to three decimal places.

6. Column 11 indicates the cost of one conditional unit of pension assets with accuracy up to seven decimal places.

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

Appendix 57
to the List of regulatory legal acts of the Republic of Kazakhstan, which are amended and supplemented on issues of reporting submission

Appendix 20-2
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 28, 2017 No. 167

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan Administrative data form is posted on the Internet resource: www.nationalbank.kz

Report on the cost of one conditional unit of conditional pension liabilities

Index of administrative data form: 1- ENPF_UEO Frequency: monthly Reporting period: as of ""____ 20 ___ year Circle of persons providing information: unified accumulative pension fund Submission deadline: monthly, no later than the seventh working day of the month following the reporting month

Form

(in tenge)

Date	Pension contributions, received	Penalty for untimely	Payments, accrued	Obligations for returns
---	---	transfer of pension contributions		of pension contributions and/or penalty,
				received for untimely
				transfer
				of pension contributions
1	2	3	4	5

continuation of table:

Commission reward from	Current cost of conditional	Quantity of conditional units	Cost of one conditional	Investment income on
---	pension liabilities		unit of conditional	conditional pension
investment income			pension liabilities	liabilities, accrued for
				the day
6	7	8	9	10

Name______ Address______

Phone ______

Email address ______

Executor______ ______ surname, first name and patronymic (if any) phone

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

Head or person authorized by him to sign the report ______ ______ surname, first name and patronymic (if any) signature, phone

Date “____” ______ 20__ year

Appendix
to the reporting form on the cost of one conditional unit of conditional pension liabilities

Explanation on filling out the administrative data form

Report on the cost of one conditional unit of conditional pension liabilities

(index – 1- ENPF_UEO, frequency – monthly)

Chapter 1. General Provisions

1. This Explanation (hereinafter – Explanation) defines uniform requirements for filling out the administrative data form "Report on the cost of one conditional unit of conditional pension liabilities" (hereinafter – Form).
2. The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", paragraph 1 of Article 51 of the Law of the Republic of Kazakhstan dated June 21, 2013 "On Pension Provision in the Republic of Kazakhstan".
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 head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation on filling out the Form

5. Column 8 indicates the quantity of conditional units with accuracy up to three decimal places.
6. Column 9 indicates the cost of one conditional unit of conditional pension liabilities with accuracy up to seven decimal places.
7. In the absence of information, the Form is submitted with zero balances.