Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 49 of 4 April 2019 on Approval of the Rules for Carrying Out Exchange Operations with Cash Foreign Currency in the Republic of Kazakhstan

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"NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN" REPUBLICAN STATE INSTITUTION		REPUBLICAN STATE INSTITUTION "NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN"
RESOLUTION OF THE BOARD 4 April 2019 Almaty city		RESOLUTION OF THE BOARD No. 49 Almaty city

On approval of the Rules for carrying out exchange operations with cash foreign currency in the Republic of Kazakhstan

(as amended and supplemented by Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 265 of 31.12.2019, Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 69 of 18.05.2020, Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 49 of 26.04.2021, Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 118 of 20.12.2021, Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 72 of 26.09.2023)

In accordance with the laws of the Republic of Kazakhstan of 30 March 1995 "On the National Bank of the Republic of Kazakhstan", of 19 March 2010 "On State Statistics", of 16 May 2014 "On Permits and Notifications" and of 2 July 2018 "On Currency Regulation and Currency Control", the Board of the National Bank of the Republic of Kazakhstan RESOLVES:

To approve the attached Rules for carrying out exchange operations with cash foreign currency in the Republic of Kazakhstan.
To recognize as no longer in force certain resolutions of the Board of the National Bank of the Republic of Kazakhstan according to the list in the annex to this resolution.
The Department of Balance of Payments and Currency Regulation (Kuandуkov A.A.) shall, in the manner established by the legislation of the Republic of Kazakhstan, ensure:

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

2) within ten calendar days from the day of state registration of this resolution, its sending in the Kazakh and Russian languages to the Republican State Enterprise with the right of economic management "Republican Centre for Legal Information" for official publication and inclusion in the Reference Control Bank of Normative Legal Acts of the Republic of Kazakhstan;

3) placement of this resolution on the official internet resource of the National Bank of the Republic of Kazakhstan after its official publication;

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

The Department for the Protection of the Rights of Consumers of Financial Services and External Communications (Terentyev A.L.) shall ensure, within ten calendar days after state registration of this resolution, the sending of its copy for official publication to periodical print publications.
Control over the execution of this resolution shall be entrusted to the Deputy Chairman of the National Bank of the Republic of Kazakhstan Smolyakov O.A.
This resolution is subject to official publication and enters into force on 1 July 2019.


Chairman of the National Bank	E. Dosayev

"AGREED"

Ministry of Finance

of the Republic of Kazakhstan

28 March 2019

"AGREED"

Committee on Statistics

of the Ministry of National Economy

of the Republic of Kazakhstan

28 March 2019

"AGREED"

Ministry of Digital Development,

Defence and Aerospace

Industry

of the Republic of Kazakhstan

29 March 2019

Approved

by resolution of the Board

of the National Bank

of the Republic of Kazakhstan

of 4 April 2019 No. 49

Rules

for carrying out exchange operations with cash foreign currency in the Republic of Kazakhstan

Chapter 1. General provisions

These Rules for carrying out exchange operations with cash foreign currency in the Republic of Kazakhstan (hereinafter – the Rules) have been developed in accordance with the laws of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan", "On Banks and Banking Activity in the Republic of Kazakhstan" (hereinafter – the Law on Banks), "On State Statistics", "On State Services", "On Permits and Notifications" (hereinafter – the Law on Permits), "On Currency Regulation and Currency Control" (hereinafter – the Law on Currency Regulation) and determine the procedure for licensing authorized organizations, including qualification requirements for them, notification by an authorized bank of the commencement or termination of the activity of exchange points, requirements for the activity of carrying out exchange operations with cash foreign currency, conditions for the functioning of exchange points and the procedure for carrying out operations for the purchase and (or) sale of refined gold in bars issued by the National Bank of the Republic of Kazakhstan (hereinafter – the National Bank), as well as the forms and deadlines for submission by authorized banks and authorized organizations of reports.
The following concepts are used in the Rules:

1) automated exchange point – an electronic-mechanical device belonging to a legal entity that has the right to carry out exchange operations with cash foreign currency, and allowing, without the participation of its employee, the carrying out of exchange operations by depositing cash into this device and receiving from it cash in an equivalent amount in another currency;

2) exchange operations – operations for the purchase, sale and exchange of cash foreign currency carried out through exchange points and automated exchange points;

3) exchange point – a specially equipped place for carrying out exchange operations with cash foreign currency, created by an authorized organization or an authorized bank that has the right to carry out exchange operations with cash foreign currency in the Republic of Kazakhstan on the basis of a licence of the National Bank of the Republic of Kazakhstan or the authorized body for regulation, control and supervision of the financial market and financial organizations or the laws of the Republic of Kazakhstan;

4) operating cash desk of an exchange point – a specially equipped part of the premises of an exchange point intended for a cashier (the cashier's working area), serving clients when carrying out operations with cash foreign currency, as well as when purchasing and (or) selling refined investment gold in certified measured bars corresponding to the national standard of the Republic of Kazakhstan ST RK 2049 "Measured gold bars. Technical conditions", issued by the National Bank of the Republic of Kazakhstan not earlier than 2017 (hereinafter – refined gold in bars);

5) hardware-software complex – a combination of software and technical means implementing the functions of a cash register machine, ensuring the recording of exchange operations, the purchase and (or) sale of refined gold in bars, non-adjustable registration and non-volatile storage of information on completed exchange operations, operations for the purchase and (or) sale of refined gold in bars;

6) airport – a complex of structures intended for the reception and dispatch of aircraft, servicing air transportation and having for these purposes an aerodrome, air terminal, other necessary structures and equipment;

7) single contact centre – a legal entity determined by the Government of the Republic of Kazakhstan, performing the functions of an information and reference service for providing service recipients with information on issues of the provision of state and other services, as well as for state bodies – information on issues of the provision of information and communication services;

8) casino – a gambling establishment in which gaming tables are used for organizing and conducting gambling;

9) service recipient – legal entities, with the exception of central state bodies, foreign institutions of the Republic of Kazakhstan, local executive bodies of regions, cities of republican significance, the capital, districts, cities of regional significance, akims of districts in a city, cities of district significance, settlements, villages, rural districts;

10) valid licence – an issued or reissued licence for exchange operations with cash foreign currency, the effect of which has not been suspended or terminated;

11) cash foreign currency – banknotes, coins and treasury notes in circulation accepted by foreign states as legal tender;

12) legal entity having the right to carry out exchange operations with cash foreign currency – an authorized organization or an authorized bank having the right to carry out exchange operations with cash foreign currency in accordance with a licence issued to them by the National Bank, the authorized body for regulation, control and supervision of the financial market and financial organizations or the laws of the Republic of Kazakhstan;

13) electronic copy of a document – a document fully reproducing the appearance and information (data) of the original document in electronic-digital form;

14) valid annex to a licence – an issued or reissued annex to a licence for exchange operations with cash foreign currency, the effect of which has not been suspended or terminated;

15) annex to a licence – an integral part of a licence for exchange operations with cash foreign currency, containing information on the actual location of the exchange point of the authorized organization;

16) state service – one of the forms of implementation of individual state functions or their combination, carried out upon or without application of service recipients and aimed at the realization of their rights, freedoms and legitimate interests, the provision to them of corresponding material or non-material benefits;

17) list of basic requirements for the provision of a state service – a list of basic requirements for the provision of a state service, including the characteristics of the process, the form, content and result of provision, as well as other information taking into account the specifics of the provision of the state service;

18) information system for monitoring the provision of state services – an information system intended for the automation and monitoring of the process of providing state services, including those provided through the State Corporation "Government for Citizens";

19) authorized body for the assessment and control of the quality of the provision of state services – a central state body carrying out, within its competence, activity on the assessment and control of the quality of the provision of state services;

20) checkpoint across the State Border – a territory (water area) within a railway, automobile station or station, sea or river port, international airport or aerodrome, as well as another specially designated area of terrain in the immediate vicinity of the State Border with corresponding infrastructure, at which the passage of persons, vehicles, cargoes and goods is carried out;

21) impeccable business reputation – the presence of facts confirming professionalism, conscientiousness, absence of an unexpunged or unspent criminal record, including the absence of a court decision that has entered into legal force on the application of a criminal penalty in the form of deprivation of the right to occupy the position of a managerial employee of a financial organization, a banking and (or) insurance holding and to be a major participant (major shareholder) of a financial organization for life;

22) stationary trade object – a building or part of a building (built-in, built-in-attached, attached premises), a structure or part of a structure (built-in, built-in-attached, attached premises), firmly connected with the land and connected (technologically connected) to engineering-technical support networks;

23) railway station – a complex of buildings, structures (including passenger platforms, station passages and station area) and other types of property intended for the provision to the population of services for transportation by railway transport and the reception and issuance of baggage, cargo baggage depending on the class;

24) authorized banks – banks and organizations created in the Republic of Kazakhstan carrying out certain types of banking operations (with the exception of authorized organizations), as well as branches of foreign banks carrying out activity in the Republic of Kazakhstan that conduct currency operations, including on client instructions;

25) authorized organizations – financial organizations of the Republic of Kazakhstan that are not banks, carrying out activity exclusively through exchange points on the basis of a licence of the National Bank of the Republic of Kazakhstan for exchange operations with cash foreign currency;

26) national currency – monetary notes in the form of banknotes and coins of the National Bank of the Republic of Kazakhstan in circulation and being legal tender on the territory of the Republic of Kazakhstan, as well as withdrawn or being withdrawn from circulation but subject to exchange for monetary notes in circulation, money in bank accounts in monetary units of the Republic of Kazakhstan;

27) foreign currency – monetary notes in the form of banknotes, coins in circulation and being legal tender on the territory of a foreign state (group of states), as well as withdrawn or being withdrawn from circulation but subject to exchange for monetary notes in circulation, money in bank accounts in monetary units of foreign states (group of states) and international monetary or settlement units;

28) electronic licence and electronic annex to a licence – a licence for exchange operations with cash foreign currency and an annex to a licence in the form of an electronic document, drawn up and issued using information technologies, equivalent to a licence and an annex to a licence on paper;

29) web portal of the "electronic government" – an information system representing a single window of access to all consolidated government information, including the normative legal base, and to state services, services for the issuance of technical conditions for connection to the networks of natural monopoly subjects and services of quasi-state sector subjects provided in electronic form;

30) electronic digital signature – a set of electronic digital symbols created by means of an electronic digital signature and confirming the authenticity of an electronic document, its belonging and the immutability of its content.

An authorized bank or an authorized organization (its branch) shall submit to the National Bank the reports provided for by the Rules by using information systems in compliance with the procedures for confirmation by electronic digital signature.

If the deadline for submitting a report established by the Rules expires on a non-working day, the date of the end of the deadline for submitting the report shall be the working day following it.

A legal entity having the right to carry out exchange operations with cash foreign currency, before carrying out exchange operations, the purchase and (or) sale of refined gold in bars, shall take measures for the proper verification of clients in accordance with Article 5 of the Law of the Republic of Kazakhstan "On Counteracting the Legalization (Laundering) of Proceeds from Crime and the Financing of Terrorism" (hereinafter – the Law on AML/CFT).

Chapter 2. Qualification requirements for authorized organizations

An authorized organization shall be created in the organizational-legal form of a limited liability partnership.
The founders, participants (one of the founders, participants) of an authorized organization shall be individuals and legal entities – residents and non-residents of the Republic of Kazakhstan, with the exception of:

1) persons who are founders, participants (one of the founders, participants) of an authorized organization in respect of which a decision was taken to deprive it of a licence for exchange operations with cash foreign currency, from the date of which three years have not elapsed;

2) persons who do not have an impeccable business reputation;

3) persons included in the list of organizations and persons connected with the financing of terrorism and extremism and (or) the financing of the proliferation of weapons of mass destruction, in accordance with the Law on AML/CFT;

4) persons registered in one of the following foreign states and (or) parts of the territories of foreign states characterized as offshore zones:

United States of America (only in respect of the territories of the American Virgin Islands, the State of Wyoming, the island of Guam, the State of Delaware and the Commonwealth of Puerto Rico);

Principality of Andorra;

State of Antigua and Barbuda;

Commonwealth of the Bahamas;

State of Barbados;

State of Belize;

State of Brunei Darussalam;

United Republic of Tanzania;

Republic of Vanuatu;

Republic of Guatemala;

State of Grenada;

Republic of Djibouti;

Commonwealth of Dominica;

Dominican Republic;

New Zealand (only in respect of the territory of the Cook Islands and Niue);

Spain (only in respect of the territory of the Canary Islands);

Federal Islamic Republic of the Comoros;

Cooperative Republic of Guyana;

Republic of Costa Rica;

People's Republic of China (only in respect of the territories of the special administrative region of Aomen (Macao);

Republic of Liberia;

Lebanese Republic;

Principality of Liechtenstein;

Islamic Republic of Mauritania;

Malaysia (only in respect of the territory of the Labuan enclave);

Republic of Maldives;

Republic of Malta;

Mariana Islands;

Republic of the Marshall Islands;

Kingdom of Morocco (only in respect of the territory of the city of Tangier);

Union of Myanmar;

Republic of Nauru;

Federal Republic of Nigeria;

Netherlands (only in respect of the territory of the island of Aruba and the dependent territories of the Antilles);

Republic of Palau;

Republic of Panama;

Portugal (only in respect of the territory of the Madeira Islands);

Independent State of Samoa;

Republic of Seychelles;

State of Saint Vincent and the Grenadines;

Federation of Saint Kitts and Nevis;

State of Saint Lucia;

Republic of Suriname;

Kingdom of Tonga;

Republic of Trinidad and Tobago;

United Kingdom of Great Britain and Northern Ireland (only in respect of the territories of the Island of Anguilla, the Bermuda Islands, the British Virgin Islands, Gibraltar, the Cayman Islands, the island of Montserrat, the Turks and Caicos Islands);

Sovereign Democratic Republic of Fiji;

Republic of the Philippines;

French Republic (only in respect of the territories of French Guiana and French Polynesia);

Republic of Montenegro;

Democratic Republic of Sri Lanka;

Jamaica;

5) persons registered (residing) in a state (territory) that does not fulfil or insufficiently fulfils the recommendations of the Financial Action Task Force on Money Laundering (FATF).

For the purposes of this subparagraph, a state (territory) that does not fulfil or insufficiently fulfils the recommendations of the Financial Action Task Force on Money Laundering (FATF) means a state (territory) included in the List compiled by the authorized body for financial monitoring in accordance with part two of paragraph 4 of Article 4 of the Law on AML/CFT;

6) legal entities whose founders, participants (one of the founders, participants) are persons registered (residing) in the territory of one of the foreign states and (or) parts of the territories of foreign states characterized as offshore zones specified in subparagraph 4) of this paragraph, as well as legal entities whose founders, participants (one of the founders, participants) are persons registered (residing) in a state (territory) that does not fulfil or insufficiently fulfils the recommendations of the Financial Action Task Force on Money Laundering (FATF).

7) persons who were founders, participants (one of the founders, participants) of an authorized organization in respect of which an inspection commenced by the National Bank has not been completed due to the voluntary return of a valid licence and a valid annex (valid annexes) to the licence, from the date of which three years have not elapsed.

6-1. A person shall not be appointed as the head of an authorized organization (its branch) if that person:

1) does not have a higher education;

2) is included in the list of organizations and persons connected with the financing of terrorism and extremism and (or) the financing of the proliferation of weapons of mass destruction, in accordance with the Law on AML/CFT;

3) does not have an impeccable business reputation.

The charter capital of an authorized organization shall be formed in monetary form in full before the legal entity applies for a licence for exchange operations with cash foreign currency and (or) an annex to a licence.
The minimum amount of the charter capital of an authorized organization shall be:

1) 100,000,000 (one hundred million) Kazakhstan tenge (hereinafter – tenge) for each exchange point (automated exchange point) located in the city of Astana, cities of republican significance, administrative centres of regions, cities of regional significance;

2) 50,000,000 (fifty million) tenge for each exchange point (automated exchange point) with another location.

When an authorized organization opens an additional exchange point (automated exchange point), its charter capital, formed in monetary form, shall be increased in accordance with the requirements of paragraph 8 of the Rules.
In the event of the classification of a city as a city of republican, regional significance or the recognition of a city as an administrative centre of a region, an authorized organization having an exchange point in that city shall bring the amount of its charter capital into compliance with the requirement established by subparagraph 1) of paragraph 8 of the Rules within six months from the date of the classification of the city as a city of republican, regional significance or the recognition of the city as an administrative centre of a region.
Requirements for the premises, equipment, personnel of an exchange point (with the exception of an automated exchange point):

1) the organization of security and the arrangement of the premises of an exchange point shall be carried out in accordance with the requirements established in the Rules for the organization of security and arrangement of premises of second-tier banks, the National Postal Operator, legal entities whose exclusive activity is the collection of banknotes, coins and valuables, and legal entities carrying out activity exclusively through exchange points on the basis of a licence of the National Bank of the Republic of Kazakhstan for exchange operations with cash foreign currency, approved by the National Bank in accordance with subparagraph 11) of part two of Article 15 of the Law of the Republic of Kazakhstan of 30 March 1995 "On the National Bank of the Republic of Kazakhstan";

2) the operating cash desk of an exchange point shall be equipped with a video surveillance system ensuring the recording and storage of information on the process of carrying out the activity of the exchange point for 90 (ninety) calendar days on technical devices ensuring backup copying of the video data archive and protection of the archive from deletion and editing, while the cashier's working area and the client are within the video surveillance visibility zone, and the corresponding devices are installed in places ensuring the absence of interference for video surveillance and the possibility of visual identification of national and foreign currency.

A legal entity entitled to conduct exchange operations with cash foreign currency shall ensure the availability and preservation of video recordings (video archives) in accordance with the requirements of this subparagraph;

3) the cashier's workplace shall be equipped with a hardware-software complex or a cash register and software for keeping records of exchange operations in accordance with the requirements of the Rules, as well as technical means for determining the authenticity of banknotes, ensuring verification of a banknote under ultraviolet light (control of paper luminescence and other) and verification of a banknote for the presence of magnetic marks;

4) compliance of the head of the authorized organization (its branch) with the requirements provided for by paragraph 6-1 of the Rules.

Chapter 3. Procedure for Licensing Authorized Organizations

To obtain a license and an annex to the license, a legal entity shall send through the web portal of the "electronic government" the following documents:

1) an electronic application for obtaining a license for exchange operations with cash foreign currency and an annex to the license in the form according to Appendix 1 to the Rules, electronic copies of documents confirming the applicant's compliance with the qualification requirements provided for by paragraph 13 of the Rules;

2) an electronic copy of the charter;

3) an electronic copy of the document confirming payment of the license fee for the right to engage in certain types of activities, except in cases of payment through the payment gateway of the "electronic government";

4) an electronic copy of a certificate from a second-tier bank confirming the existence of a bank account in foreign currency.

As confirmation of compliance with the qualification requirements, a legal entity shall send through the web portal of the "electronic government" the following documents:

1) an electronic application for obtaining a license for exchange operations with cash foreign currency and an annex to the license in the form according to Appendix 1 to the Rules (in the case provided for in paragraph 12 of the Rules), an electronic application for obtaining an annex to a valid license for exchange operations with cash foreign currency for an additionally opened exchange point in the form according to Appendix 2 to the Rules (in the case provided for in paragraph 17 of the Rules);

2) electronic copies of statements on the movement of money on bank accounts of a client of a second-tier bank or a branch of a non-resident bank of the Republic of Kazakhstan, confirming the crediting to the bank account of the legal entity of money as a contribution to the charter capital in accordance with the requirements of paragraph 8 of the Rules, issued not earlier than 30 (thirty) calendar days before the date of application for obtaining a license and (or) an annex to the license, or an electronic copy of financial statements as of the first day of the month of filing the application for obtaining an annex to a valid license for exchange operations with cash foreign currency for an additionally opened exchange point in the form according to Appendix 2 to the Rules, which confirms the compliance of the size of the charter capital of the legal entity with the established requirements taking into account the additional exchange point (in the case provided for in paragraph 17 of the Rules);

3) an electronic copy of a document disclosing the source of origin of the contribution to the charter capital of the authorized organization (loan agreement, property purchase and sale agreement, income statement, other documents disclosing the source of origin of the contribution to the charter capital of the authorized organization).

When an authorized organization applies for obtaining an annex to a valid license for an additionally opened exchange point (automated exchange point), the document provided for by subparagraph 3) of the first part of this paragraph shall be submitted if the territorial branch of the National Bank does not have information confirming the source of origin of the contribution to the charter capital of the authorized organization taking into account the additionally opened exchange point.

As confirmation of compliance with the qualification requirements when opening an automated exchange point, the authorized organization shall send through the web portal of the "electronic government" the electronic document specified in subparagraph 1) of the first part of this paragraph, electronic copies of the documents specified in subparagraphs 2) and 3) of the first part of this paragraph, as well as an electronic copy of a document confirming the technical characteristics and compliance of the automated exchange point with the requirements established by paragraph 37 of the Rules.

A license for exchange operations with cash foreign currency and an annex to the license for exchange operations with cash foreign currency shall be issued by the territorial branch of the National Bank through the web portal of the "electronic government" in the Kazakh and Russian languages in the forms according to Appendices 3 and 4 to the Rules.
The existence of a valid annex to a valid license is the basis for the functioning of an exchange point (automated exchange point) of the authorized organization. To open an additional exchange point, the authorized organization shall obtain an annex to the valid license, which is issued in the Kazakh and Russian languages in the form according to Appendix 4 to the Rules.
An authorized organization shall open exchange points outside the region (oblast, city of republican significance, capital) of the place of state registration of the authorized organization if it has a valid license and a branch of the authorized organization in the corresponding region (oblast, city of republican significance, capital).

In case of opening an exchange point outside the region (oblast, city of republican significance, capital) of the place of state registration of the authorized organization, the corresponding branch of the authorized organization shall apply for an annex to the valid license to the territorial branch of the National Bank at the location of the exchange point being opened.

To obtain an annex to a valid license for an additionally opened exchange point (automated exchange point), the authorized organization (its branch) shall send through the web portal of the "electronic government" documents confirming the applicant's compliance with the qualification requirements provided for by paragraph 13 of the Rules.

17-1. The list of basic requirements for the provision of the state service "Issuance of a license for exchange operations with cash foreign currency, issued to authorized organizations", including the characteristics of the process, form, content and result of provision, as well as other information taking into account the specifics of the provision of the state service, is established in Appendix 4-1 to the Rules.

Information on amendments and (or) additions made to the Rules, in the part determining the procedure for the provision of the state service, shall be posted on the official Internet resource of the National Bank and sent to the operator of the information and communication infrastructure of the "electronic government", as well as to the Unified Contact Center within 3 (three) working days after the day of official publication of the regulatory legal act on amendments and (or) additions to the Rules.

17-2. An employee of the territorial branch of the National Bank authorized to receive and register correspondence, on the day of receipt of an application for obtaining a license and an annex to the license or an annex to a valid license (hereinafter - the application) through the web portal of the "electronic government", shall receive, register and send it for execution to the subdivision responsible for the provision of the state service (hereinafter - the responsible subdivision).

If an application is received after the end of working hours, on weekends and holidays according to the Labor Code of the Republic of Kazakhstan, applications shall be received on the next working day.

When the service recipient sends an application through the web portal of the "electronic government", the status of acceptance of the request for the provision of the state service shall be automatically displayed in the personal account, indicating the date and time of receipt of the result.

17-3. An employee of the responsible subdivision within 2 (two) working days from the day of registration of the application shall check the completeness of the submitted documents.

If it is established that the submitted documents are incomplete, the employee of the responsible subdivision within 2 (two) working days from the day of registration of the application shall prepare and send a reasoned refusal for further consideration of the application.

If it is established that the submitted documents are complete, the employee of the responsible subdivision within 20 (twenty) working days from the day of registration of the application for obtaining a license and an annex to the license, within 10 (ten) working days from the day of registration of the application for obtaining an annex to a valid license, shall consider the documents for their compliance with the requirements of the legislation of the Republic of Kazakhstan, prepare a draft license and an annex to the license, an annex to a valid license or a reasoned refusal.

If grounds for refusal to issue a license and (or) an annex to the license are identified, the territorial branch of the National Bank shall notify the service recipient of the preliminary decision to refuse to issue the license and (or) an annex to the license, as well as the time and place of the hearing to provide the service recipient with the opportunity to express a position on the preliminary decision.

The notification of the hearing shall be sent not less than 3 (three) working days before the expiration of the period for issuing the license and (or) an annex to the license.

The hearing shall be held not later than 2 (two) working days from the day of notification.

17-4. Inspection of the premises and equipment intended for the exchange point of a legal entity for compliance with the requirements shall be carried out by the territorial branch of the National Bank within the period provided for the issuance of a license for exchange operations with cash foreign currency and (or) an annex to the license.

17-5. On the web portal of the "electronic government", the result of the provision of the state service shall be sent to the service recipient to the personal account in the form of an electronic document certified by the electronic digital signature of the authorized person.

Excluded in accordance with the resolution of the Board of the National Bank of the Republic of Kazakhstan dated 18.05.20 No. 69 (see old version).
An authorized organization shall apply to the territorial branch of the National Bank through the web portal of the "electronic government" for the re-issuance of a valid license in the following cases:

1) reorganization of the authorized organization in the form of merger, accession;

2) change of the name and (or) place of state registration of the authorized organization.

An authorized organization (its branch) shall apply to the territorial branch of the National Bank through the web portal of the "electronic government" for the re-issuance of a valid annex to a valid license in the following cases:

1) re-issuance of a valid license for exchange operations with cash foreign currency;

2) change of the address of the location of the exchange point without its physical movement.

Re-issuance of a license and (or) an annex to the license shall not be carried out in the cases specified in subparagraph 2) of the first part and subparagraph 2) of the second part of this paragraph, if changes in the place of state registration of the authorized organization, the address of the location of the exchange point of the authorized organization occurred due to a change in the names of settlements, street names in accordance with the requirements of the Law of the Republic of Kazakhstan "On Administrative-Territorial Structure of the Republic of Kazakhstan".

An electronic application for the re-issuance of a license for exchange operations with cash foreign currency and (or) an annex to the license for exchange operations with cash foreign currency in the form according to Appendix 5 to the Rules shall be sent through the web portal of the "electronic government" within 30 (thirty) calendar days from the day of occurrence of the changes that served as the basis for the re-issuance of the valid license and (or) valid annex to the license.

19-1. For the re-issuance of a valid license and (or) a valid annex to the license, the authorized organization shall send through the web portal of the "electronic government" the following documents:

1) an electronic application for the re-issuance of a license for exchange operations with cash foreign currency and (or) an annex to the license for exchange operations with cash foreign currency in the form according to Appendix 5 to the Rules;

2) electronic copies of documents containing information on the changes that served as the basis for the re-issuance of the license and (or) an annex to the valid license, except for documents whose information is contained in state information systems;

3) an electronic copy of a document confirming payment of the license fee for the right to engage in certain types of activities, except in cases of payment through the payment gateway of the "electronic government" (in case of re-issuance of a valid license for exchange operations with cash foreign currency).

19-2. When re-issuing a valid license and (or) a valid annex to a valid license, an employee of the responsible subdivision within 2 (two) working days from the day of registration of the application for re-issuance of the license and (or) an annex to the license shall check the completeness of the submitted documents.

If it is established that the submitted documents are incomplete, the employee of the responsible subdivision within the period specified in the first part of this paragraph shall prepare and send a reasoned refusal for further consideration of the application.

If it is established that the submitted documents are complete, the employee of the responsible subdivision within 10 (ten) working days from the day of registration of the application for re-issuance of the license and (or) an annex to the license shall consider the documents for their compliance with the requirements of the legislation of the Republic of Kazakhstan, prepare a draft of the re-issued license and (or) an annex to the valid license or a reasoned refusal.

If grounds for refusal to re-issue a valid license and (or) a valid annex to a valid license are identified, the territorial branch of the National Bank shall notify the service recipient of the preliminary decision to refuse to re-issue the valid license and (or) a valid annex to the valid license, as well as the time and place of the hearing to provide the service recipient with the opportunity to express a position on the preliminary decision.

The notification of the hearing shall be sent not less than 3 (three) working days before the expiration of the period for re-issuing the valid license and (or) a valid annex to the valid license. The hearing shall be held not later than 2 (two) working days from the day of notification.

On the web portal of the "electronic government", the result of the provision of the state service shall be sent to the service recipient to the personal account in the form of an electronic document certified by the electronic digital signature of the authorized person.

19-3. Information on the stage of the provision of the state service shall be updated automatically in the information system for monitoring the provision of state services.

19-4. The grounds for refusal to issue or re-issue a license and (or) an annex to it are:

1) failure to submit documents and (or) information provided for by paragraph 4 of Article 12 of the Law on Currency Regulation, Article 29 of the Law on Permits, paragraph 8 of Appendix 4-1 to the Rules, as well as cases provided for by Article 32 of the Law on Permits;

2) non-compliance of the applicant and (or) the submitted documents and (or) information with the requirements established by paragraphs 3 and 4 of Article 12 of the Law on Currency Regulation, Article 29 of the Law on Permits, paragraph 8 of Appendix 4-1 to the Rules.

19-5. Appeal against decisions, actions (inactions) of the territorial branch of the National Bank and (or) its officials on issues of the provision of the state service shall be made in written (paper and (or) electronic) form. A complaint in electronic form shall be submitted through the web portal of the "electronic government".

A complaint shall be submitted by the service recipient to the territorial branch of the National Bank not later than three months from the day when he became aware of the decision taken.

If the period established by the second part of this paragraph is missed for a valid reason, this period shall be restored by the National Bank upon the application of the service recipient.

For the purpose of restoring the missed period for filing a complaint, illness and force majeure circumstances shall be recognized by the National Bank as valid reasons.

The missed period for appeal shall not be a ground for refusal to accept the complaint by the National Bank. The reasons for missing the period shall be clarified during the consideration of the complaint and shall be one of the grounds for refusing to satisfy the complaint.

The territorial branch of the National Bank, not later than the next working day of receipt of the complaint, shall send it for consideration to the subdivision of the National Bank responsible for the quality of the provision of the state service.

In the complaint of a legal entity, its name, postal address, outgoing number and date of filing the complaint shall be indicated. The appeal shall be signed by the service recipient.

Confirmation of acceptance of a complaint in paper form shall be its registration (stamp, incoming number and date) in the office of the territorial branch of the National Bank, indicating the surname and initials of the person who accepted the complaint, the period and place of receiving the response to the submitted complaint. Confirmation of acceptance of a complaint in electronic form shall be the receipt in the personal account of the user of the web portal of the "electronic government" of a notification of registration of the appeal indicating the date of registration and the registration number assigned by the territorial branch of the National Bank.

A complaint of the service recipient on issues of the provision of the state service received by the territorial branch of the National Bank shall be considered within 5 (five) working days from the day of its registration.

19-6. In case of disagreement with the results of the provided state service, the service recipient shall apply with a complaint to the authorized body for the assessment and control of the quality of the provision of state services.

A complaint of the service recipient received by the authorized body for the assessment and control of the quality of the provision of state services shall be considered within 15 (fifteen) working days from the day of its registration.

In case of disagreement with the results of the provided state service, the service recipient shall apply to the court in the manner established by the legislation of the Republic of Kazakhstan.

Excluded in accordance with the resolution of the Board of the National Bank of the Republic of Kazakhstan dated 18.05.20 No. 69 (see old version).
Excluded in accordance with the resolution of the Board of the National Bank of the Republic of Kazakhstan dated 18.05.20 No. 69 (see old version).
An authorized organization within 10 (ten) working days from the day of registration (re-registration) of its branch in the justice authorities shall notify in writing the territorial branch of the National Bank at the place of state registration of the authorized organization, attaching a copy of the certificate of registration (re-registration) of the branch of the authorized organization.
An authorized organization shall notify in writing the territorial branch of the National Bank of a change in the size of the charter capital formed in monetary form and (or) the composition of founders (participants) within a period not later than 10 (ten) working days from the day of registration and (or) notification of the justice authorities, submitting copies of the new version of the charter or amendments and (or) additions made to the charter (notarized in case of non-submission of originals for verification), as well as a document confirming the notification by the authorized organization of the justice authorities.

In case of an increase in the size of the charter capital, the documents specified in subparagraphs 2) and 3) of paragraph 13 of the Rules shall be submitted.

In case of a change in the share and (or) composition of founders (participants), the documents specified in subparagraph 3) of paragraph 13 of the Rules shall be submitted.

Information about the founders (participants) of the authorized organization shall be submitted in the form according to Appendix 6 to the Rules, if the composition of founders (participants) and (or) the size of the charter capital formed in monetary form have changed.

23-1. An authorized organization (its branch) not later than 10 (ten) calendar days from the date of commencement of its activity shall notify in writing the territorial branch of the National Bank of the appointment of the head, attaching a copy of the corresponding order.

In case of a change of the head, the authorized organization (its branch) not later than 10 (ten) calendar days from the date of the decision shall notify in writing the territorial branch of the National Bank, attaching a copy of the corresponding order.

An authorized organization (its branch) within 10 (ten) working days from the day of the decision to increase or decrease the number of operating cash desks of the exchange point in the exchange point shall notify in writing the territorial branch of the National Bank, attaching a copy of the corresponding decision.
A valid license and (or) a valid annex to the license shall terminate in the cases established by Article 35 of the Law on Permits.
In case of voluntary liquidation or refusal from the activity of conducting exchange operations with cash foreign currency, the authorized organization within 10 (ten) working days from the date of the decision shall notify in writing or through the web portal of the "electronic government" the territorial branch of the National Bank of the decision taken, attaching a copy of the corresponding decision.

In case of voluntary termination of the activity of its branch, the authorized organization within 10 (ten) working days from the date of the corresponding decision shall notify in writing or through the web portal of the "electronic government" the territorial branch of the National Bank at the place of registration of the branch terminating its activity, attaching a copy of the corresponding decision.

In case of closure of an exchange point, the authorized organization (its branch) within 10 (ten) working days from the date of closure of the exchange point shall notify in writing or through the web portal of the "electronic government" the territorial branch of the National Bank of the decision taken.

In case of suspension of the validity or deprivation of the authorized organization of a valid license and (or) a valid annex to the license, the decision to deprive (suspend) the validity of the license for exchange operations with cash foreign currency and (or) an annex to the license for exchange operations with cash foreign currency shall be drawn up in the form according to Appendix 7 to the Rules and approved by the head of the territorial branch of the National Bank.

The territorial branch of the National Bank shall notify the authorized organization of the preliminary decision to suspend the validity or deprive the authorized organization of a valid license and (or) a valid annex to the license, as well as the time and place of the hearing to provide the authorized organization with the opportunity to express a position on the preliminary decision.

The notification of the hearing shall be sent not less than 3 (three) working days before the day of the decision to suspend the validity or deprive the authorized organization of a valid license and (or) a valid annex to the license.

The hearing shall be held not later than 2 (two) working days from the day of notification.

A copy of the relevant decision of the territorial branch of the National Bank is communicated to the authorized organization on the day the decision is adopted.

From the moment of receipt of a copy of the relevant decision of the territorial branch of the National Bank and until the end of the period specified in the decision of the territorial branch of the National Bank, the authorized organization suspends:

1) the activities of all exchange offices belonging to it – in the case of suspension of the validity of a valid license;

2) the activity of an exchange office – in the case of suspension of the validity of a valid annex to the license.

Chapter 4. Procedure for notification by an authorized bank of the commencement or termination of activities of exchange offices

An authorized bank (its branch) opens exchange offices (automated exchange offices) only within the region (oblast, city of republican significance, capital) of the location of the authorized bank (its branch).
When opening or closing an exchange office (automated exchange office), the authorized bank (its branch) sends to the territorial branch of the National Bank a notification of the commencement or termination of activities of the exchange office of the authorized bank in the form according to Appendix 8 to the Rules.

The territorial branch of the National Bank, within 3 (three) working days from the day of notification, confirms to the authorized bank its receipt by sending a written confirmation in the form according to Appendix 9 to the Rules.

Notification of the commencement of activities of an exchange office is carried out by the authorized bank no later than the date of commencement of operations by the exchange office and is confirmation by the authorized bank that the exchange office being opened complies with the requirements of the Rules.

Notification of the termination of activities of an exchange office is sent on the next working day after the last operation by the exchange office.

In the event of a change in the previously submitted notification, including upon detection of errors in the notification of the commencement of activities of an exchange office in information or data mandatory for filling in the notification, the authorized bank (its branch) within 10 (ten) working days from the day of the changes sends to the territorial branch of the National Bank a notification of the commencement or termination of activities of the exchange office of the authorized bank in the form according to Appendix 8 to the Rules.
Notification of the commencement or termination of activities of an exchange office, as well as of changes in the information specified in the notification of the commencement of activities of an exchange office, is submitted electronically through the web portal of the "electronic government".

Chapter 5. Requirements for activities involving exchange operations with cash foreign currency

A legal entity entitled to carry out exchange operations with cash foreign currency, in the process of carrying out the activities of an exchange office, ensures compliance with the requirements for the premises, equipment, and personnel of the exchange office (except for an automated exchange office) established by paragraphs 6-1 and 11 of the Rules.

33-1. For activities involving exchange operations with cash foreign currency, the authorized organization daily ensures the availability in its bank accounts and (or) in the cash desk of the exchange office of money in tenge or foreign currency, as well as refined gold in bars (if any) in an amount of not less than 100 (one hundred) percent of the minimum amount of charter capital.

The calculation of the equivalent of the amount of money in foreign currency held in bank accounts and (or) in the cash desk of the exchange office of the authorized organization, in tenge, is carried out using the market exchange rate.

33-2. The operating hours of exchange offices (automated exchange offices) are determined by the legal entity entitled to carry out exchange operations with cash foreign currency independently within the time from 9:00 to 20:00, except for exchange offices (automated exchange offices) located inside buildings of railway stations, casinos, inside air terminals of international airports, as well as on the territory of automobile, sea and river checkpoints across the State Border of the Republic of Kazakhstan.

The operating hours of exchange offices (automated exchange offices) located in buildings of stationary retail facilities of the 1st (first) category are determined by the legal entity entitled to carry out exchange operations with cash foreign currency independently within the time from 9:00 to 22:00.

Exchange operations are not conducted in an exchange office if, as a result of circumstances that have arisen (technical failure, breakdown or other reasons), the premises of the exchange office, the equipment for the functioning of the exchange office and (or) the personnel of the exchange office do not comply with the requirements of paragraph 11 of the Rules.
In the case of temporary suspension of the activities of an exchange office at the initiative of the legal entity entitled to carry out exchange operations with cash foreign currency (its branch) for a period of more than 30 (thirty) calendar days, as well as resumption of the activities of the exchange office, the legal entity (its branch) within 5 (five) working days from the date of adoption of the decision on suspension or resumption of the activities of the exchange office notifies in writing the territorial branch of the National Bank at the location of the exchange office, attaching a copy of the said decision.

The period of temporary suspension of the activities of an exchange office at the initiative of the legal entity entitled to carry out exchange operations (its branch) may not exceed 12 (twelve) consecutive months.

It is permitted to equip the premises of an exchange office with several operating cash desks of the exchange office.
An automated exchange office, when performing an exchange operation, ensures the implementation of the function of determining the authenticity of banknotes in the following ways:

checking the visible image on both sides of a banknote of the national currency of the Republic of Kazakhstan for compliance with the official description posted on the official internet resource of the National Bank;

checking for the presence of ferromagnetic components in the series and number printed with special ink;

checking the banknote under ultraviolet light (control of paper luminescence and other).

Combining exchange operations and other banking operations conducted by an authorized bank in accordance with banking legislation is permitted in an exchange office located in the premises of the authorized bank (its branch), if there is a hardware-software complex that allows accounting for exchange operations separately from other banking operations.
In each exchange office, in a place accessible for viewing by clients, the following information is posted:

1) a copy of the license for exchange operations with cash foreign currency in Kazakh and Russian, except in cases where obtaining a license is not required in accordance with part two of paragraph 5 of Article 30 of the Law on Banks;

2) for authorized organizations – a copy of a valid annex to a valid license issued by the territorial branch of the National Bank for the given exchange office;

3) for authorized banks – a copy of the written confirmation of the territorial branch of the National Bank (for exchange offices that have received such confirmation), or a copy of the certificate of the exchange office (for exchange offices that received a certificate of the exchange office before the entry into force of the Rules);

4) an information stand for clients (size not less than 0.4 meters in height and 0.4 meters in width), containing information on the purchase rate and (or) sale rate of cash foreign currency for tenge, established for each foreign currency with which purchase and (or) sale operations are conducted in the exchange office.

It is permitted to post information on the purchase rate and (or) sale rate of cash foreign currency for tenge on the monitor of an automated exchange office.

5) information for clients of the exchange office in the form according to Appendix 10 to the Rules, containing information about the territorial branch of the National Bank exercising control over the activities of the exchange office, and about the possibility of sending a complaint to this territorial branch of the National Bank if there are remarks about the work of this exchange office;

6) a copy of the act of the National Bank establishing the limits of deviation of the purchase rate from the sale rate of foreign currency for tenge for operations conducted through exchange offices, during the period of validity of such act;

7) information about the cashier (surname, name, patronymic (if any)) serving clients (except for an automated exchange office);

8) information about the internet resource of the legal entity entitled to carry out exchange operations with cash foreign currency (if any).

It is permitted to post the information provided for in subparagraphs 1), 3) and 6) of this paragraph on the internet resource of the legal entity entitled to carry out exchange operations with cash foreign currency.

At the request of an individual, the cashier of the exchange office provides information on the main features of banknotes fit for circulation and unfit for circulation, on the procedure and conditions for accepting for collection non-payment or unfit for circulation foreign currency banknotes (except for an automated exchange office).

In the premises of an exchange office (except for an automated exchange office) the following documents are stored:

1) a copy of the order of the head of the legal entity entitled to carry out exchange operations with cash foreign currency (its branch) on the acceptance and (or) appointment of the relevant person to the position of cashier;

2) excluded by resolution of the Board of the National Bank of the Republic of Kazakhstan dated 26.09.2023 No. 72 (see old edition);

3) a copy of the identity document of the cashier of the exchange office;

4) a copy of the internal control rules of the legal entity entitled to carry out exchange operations with cash foreign currency, developed and adopted in accordance with the requirements of Article 11 of the Law on AML/CFT, with a note that the cashier of the exchange office has familiarized himself with these rules.

In the premises of an exchange office of an authorized organization (its branch), storage of a document with specimen signatures of the head and other persons entitled to issue orders establishing purchase, sale and cross rates, a copy of the registration card of the cash register machine and a copy of the agreement with the authorized bank specified in paragraph 55 of the Rules is additionally ensured.

In the premises of operating cash desks of exchange offices, the presence of unauthorized persons is not allowed.

Money not related to the activities of the legal entity entitled to carry out exchange operations with cash foreign currency, and other items are stored in a specially designated room or cabinets located outside the premises of the operating cash desk of the exchange office.

Chapter 6. Conditions for the functioning of exchange offices

In exchange offices, operations for the purchase and (or) sale of cash foreign currency are conducted in accordance with the purchase and sale rates established on the basis of an order establishing rates.

The order establishing rates contains the purchase and sale rates for all types of currencies with which exchange operations are conducted in the exchange office, indicating the date and time (determined in hours and minutes) of the commencement of the validity of this order.

In one order establishing rates, it is permitted to simultaneously establish different rates depending on the amounts of exchange operations conducted.

The order establishing rates is issued by the head of the legal entity entitled to carry out exchange operations with cash foreign currency (its branch) or another person granted such powers, with mandatory indication of the number, date and time (determined in hours and minutes) of its issuance.

The transfer of the powers of the head of the authorized organization to issue orders establishing rates to another person is carried out only on the basis of an order of the head of the authorized organization.

The order establishing rates is issued in electronic form (hereinafter – electronic order) in the case of use by the legal entity entitled to carry out exchange operations with cash foreign currency (its branch) of a hardware-software complex providing for:

centralized communication to exchange offices of the electronic order establishing rates;

the possibility of identifying the person who issued the electronic order;

storage of electronic orders for 5 (five) years.

The order establishing rates in paper form is issued in one copy in the case of the exchange office being located at the location of the legal entity entitled to carry out exchange operations with cash foreign currency (its branch). In other cases, one copy of the order establishing rates remains with the legal entity entitled to carry out exchange operations with cash foreign currency (its branch) and one copy of the order is sent to each exchange office for which such order is issued.

The said copies of orders are stored for 5 (five) years.

A change in the purchase or sale rate of cash foreign currency is carried out only on the basis of the issuance of a new order establishing rates. At the same time, from the commencement of the new order establishing rates, the previous order is cancelled.

If the order establishing rates is issued for the purpose of changing the purchase and (or) sale rate for certain types of currencies with which exchange operations are conducted in the exchange office, the issued order establishing rates contains information both on the changed purchase and (or) sale rates and on other purchase and sale rates in effect for the exchange office.

It is permitted to establish different rates in different exchange offices of one legal entity entitled to carry out exchange operations with cash foreign currency (its branch).

Throughout the entire period of validity of the order establishing rates for all types of currencies with which exchange operations are conducted in the exchange office, the purchase and (or) sale rates of currencies specified in this order are posted on the information stand for clients.
The National Bank establishes the limits of deviation of the purchase rate from the sale rate of foreign currency for tenge for operations conducted through exchange offices.

The deviation of the purchase rate from the sale rate of foreign currency for tenge is determined as the difference between the purchase rate of a unit of foreign currency in national currency and the sale rate of a unit of foreign currency in national currency established for the exchange office on the basis of a written order of an official of the authorized bank or authorized organization.

For foreign currencies for which the exchange quotation of the rate is established in tens (hundreds, thousands) of units of foreign currency, the deviation of the purchase rate from the sale rate of foreign currency for national currency is determined as the difference between the purchase rates and sale rates of tens (hundreds, thousands) of units of foreign currency in national currency, respectively.

The limit of deviation of the purchase rate from the sale rate of foreign currency for tenge for operations conducted through exchange offices is established in the form of the maximum permissible difference expressed in tenge between the sale rate and the purchase rate of foreign currency for tenge.
Each exchange operation conducted in an exchange office, including through an automated exchange office, after its completion is recorded in the journal of registers of purchased and sold cash foreign currency, which is maintained in electronic form and contains all the details and indicators established in the journal of registers of purchased and sold cash foreign currency in the form according to Appendix 11 to the Rules (hereinafter – journal of registers).

The journal of registers is maintained separately in each operating cash desk of the exchange office and in each automated exchange office within the framework of a hardware-software complex ensuring non-correctable registration and energy-independent storage of information on completed exchange operations for five years from the day of their completion.

For authorized organizations, it is permitted to maintain the journal of registers in electronic form using software, taking into account the requirements of this paragraph.

In the case of a change in the purchase and (or) sale rate during the working hours of the exchange office on the basis of an order establishing rates, an interim total for the volumes of purchased and sold cash foreign currency is summed up in the journal of registers before the commencement of operations at the new purchase and (or) sale rate of cash foreign currency. After the end of the working day of the exchange office, the journal of registers reflects the totals for operations conducted during the working day.
For exchange operations conducted through exchange offices (including automated exchange offices) for an amount exceeding the equivalent of 500,000 (five hundred thousand) tenge at the rate of the exchange operation, the journal of registers records:

surname, name and patronymic of the client (if any) (name and patronymic are indicated in full);

individual identification number of the client (if any);

data of the identity document of the client provided for in subparagraphs 1), 2), 3), 4), 9) and 11) of paragraph 1 of Article 6 of the Law of the Republic of Kazakhstan "On Identity Documents" – type of document, date of issue, document number, validity period;

legal address of the client (state, locality, street, house number, apartment number (if any)).

For exchange operations conducted through exchange offices (including automated exchange offices) for an amount not exceeding the equivalent of 500,000 (five hundred thousand) tenge at the rate of the exchange operation, the journal of registers records the surname, name and patronymic (if any) (name and patronymic are indicated in full) and the individual identification number of the client (if any).

Recording of client data, except for the legal address of the client, in the journal of registers is carried out on the basis of the data of the identity document of the client provided for in subparagraphs 1), 2), 3), 4), 9) and 11) of paragraph 1 of Article 6 of the Law of the Republic of Kazakhstan "On Identity Documents" or data confirming (identifying) the identity of the client obtained through the digital documents service.

The exchange of one foreign currency for another in the journal of registers and when compiling the reporting forms provided for by the Rules is reflected as two operations:

purchase by the exchange office of one foreign currency for tenge at the purchase rate of this type of currency by this exchange office;

sale by the exchange office of another foreign currency for tenge at the sale rate of this type of currency by this exchange office.

No restrictions are established on the acceptance of banknotes in circulation by denomination and years of issue when conducting exchange operations, and no refusal is made to individuals in conducting an exchange operation if the exchange office has cash foreign and cash national currency in the amount necessary for conducting the exchange operation, except for cases provided for by Article 13 of the Law on AML/CFT, or failure to provide an identity document of the client, or data confirming (identifying) the identity of the client obtained through the digital documents service, in accordance with part three of paragraph 51 of the Rules.

In case of refusal to an individual in conducting an exchange operation due to the absence in the exchange office of cash national or cash foreign currency for which purchase and (or) sale rates were established in the exchange office, at the request of the individual, the cashier of the exchange office issues a certificate in free form indicating the type and amount of currency absent in the exchange office, date and time of issuance of the certificate. The certificate is signed by the cashier of the exchange office and registered in the manner established by the internal rules of the legal entity entitled to carry out exchange operations with cash foreign currency (its branch).

An exchange office (automated exchange office) confirms the conduct of an exchange operation by issuing a control receipt in accordance with subparagraph 2) of paragraph 5 of Article 166 of the Code of the Republic of Kazakhstan "On Taxes and Other Mandatory Payments to the Budget" (Tax Code) (hereinafter – Tax Code).
Replenishment of the cash desk of an exchange office of an authorized organization with cash national and (or) foreign currency is carried out at the expense of operations with individuals, on the basis of an agreement with an authorized bank for the purchase of non-cash foreign currency or on the basis of an agreement concluded by the authorized bank with the authorized organization in accordance with subparagraph 11) of paragraph 1 of Article 7 of the Law on Currency Regulation for the purchase of cash foreign currency.
A legal entity entitled to carry out exchange operations with cash foreign currency independently decides on conducting operations for the purchase, sale and exchange of coins of foreign states (groups of states).
No commission fee is charged for the purchase and (or) sale of cash foreign currency that is legal tender in the country of issue, as well as for the exchange of cash foreign currency of early years of issue for cash foreign currency of later years of issue.
The main features of legal tender include the presence on the banknote of the name of the issuing bank, number and series, denomination in figures and words, the main design of the front and back sides, as well as anti-counterfeiting elements (watermark, magnetic marks, colored fibers embedded in the paper, including confetti visible under ultraviolet rays, security threads, microtext, luminescent designs and other anti-counterfeiting elements).

The country of issue of the currency may establish other or additional requirements for issued banknotes.

A legal entity entitled to carry out exchange operations with cash foreign currency (its branch) independently acquires reference and information materials for determining the authenticity and acceptability of banknotes from persons engaged in the reproduction of this type of product.

Banknotes of foreign currency that are legal means of cash payment on the territory of the respective country of issue (group of countries of issue), and also corresponding to the full description specified in the reference materials of the country of issue (group of countries of issue), are recognized as fit for circulation legal tender.
Banknotes of foreign currency are recognized as unfit for circulation if they do not comply with the requirements provided for in paragraph 59 of the Rules and (or) have the following damage:

1) torn into parts (including glued with adhesive tape);

2) burned or scorched;

3) filled with coloring substances over an area of more than 1 (one) square centimeter;

4) abrasions and contamination, as well as spots that led to the luminescence of the paper under ultraviolet rays in bright blue and (or) violet light, the largest of which in the widest part has a diameter of more than 2 cm or a rim along the edge of the banknote more than 0.5 cm wide;

5) of an intentional nature:

main designs have been changed, in particular, portraits of people, the security thread has been removed;

the presence of an extraneous inscription (inscriptions) consisting of 2 (two) or more signs (symbols), including those visible under ultraviolet rays, with the exception of punctuation marks;

the presence of more than 2 (two) impressions of stamps and (or) stamps indicating that the foreign currency banknote is counterfeit or a specimen;

the presence of a through hole (holes), puncture (punctures) with a diameter of more than 1 (one) millimeter;

6) lost corners or pieces (with an area of more than 1 (one) square centimeter);

7) more than 3 (three) tears (including those glued (sealed) with adhesive tape), the length of which exceeds one fourth of the width (length) of the banknote;

8) those that have changed their geometric dimensions by more than 3 (three) millimeters, both downward and upward;

9) an obvious printing defect (absence or improper location of a watermark or security thread, incomplete printing or blurring of images);

10) loosened and (or) have lost rigidity.

Foreign currency banknotes withdrawn from circulation after the date announced by the bank of issue of the corresponding foreign state are recognized as non-payable.

60-1. In the event that it is impossible to classify foreign currency banknotes as fit and (or) unfit for circulation in accordance with paragraphs 59 and 60 of the Rules, a legal entity entitled to conduct exchange operations with cash foreign currency (its branch) determines the degree of fitness and (or) unfitness for circulation of foreign currency banknotes in accordance with the reference recommendations of the countries of issue of the central banks.

The purchase and replacement of non-payable, as well as unfit for circulation foreign currency banknotes is carried out by authorized banks that have correspondent relations and (or) contractual relations with foreign banks for the conduct of collection operations with the corresponding foreign currencies.

Authorized banks are not permitted to sell to clients non-payable or unfit for circulation foreign currency banknotes acquired and accepted for replacement. The said banknotes are sent for collection to the banks of issue (foreign banks) or submitted for collection through their servicing banks.

In the event of acceptance for collection of non-payable or unfit for circulation foreign currency banknotes through their exchange offices, authorized banks warn clients about the amount of the commission fee (including all client expenses) and the possibility of refusal by the banks of issue (foreign banks) to exchange the said foreign currency banknotes, and also obtain the client's written consent to the terms of collection. In the event of refusal by the bank of issue (foreign bank) to exchange the sent foreign currency, authorized banks provide the client with the relevant supporting documents.

The commission fee charged for the replacement, purchase, acceptance for collection of non-payable or unfit for circulation foreign currency banknotes is established by authorized banks independently, but must not exceed 10 (ten) percent of the nominal value of the foreign currency banknotes presented for exchange (purchase, acceptance for collection).

Chapter 7. Procedure and deadlines for submitting reports by a legal entity entitled to conduct exchange operations with cash foreign currency

The authorized bank shall, on a monthly basis, by the 7th (seventh) day (inclusive) of the month following the reporting month, submit to the National Bank the form intended for the collection of administrative data, "Report on exchange operations conducted through exchange offices", in accordance with Appendix 12 to the Rules.
The authorized organization (its branch) shall, on a monthly basis, by the 7th (seventh) day (inclusive) of the month following the reporting month, submit to the National Bank or the territorial branch of the National Bank the form intended for the collection of administrative data, "Report on the movement of foreign currency and exchange operations conducted through exchange offices", in accordance with Appendix 13 to the Rules.
The authorized bank, authorized organization (its branch) shall, on a monthly basis, by the 10th (tenth) day (inclusive) of the month following the reporting month, submit to the National Bank or the territorial branch of the National Bank the form intended for the collection of administrative data, "Report on the purchase and (or) sale of cash foreign currency in an amount equal to or exceeding 50,000 (fifty thousand) United States dollars in equivalent", in accordance with Appendix 14 to the Rules.
In the event of temporary suspension of the activities of all existing exchange offices at the initiative of the authorized organization (its branch) for a period of more than 30 (thirty) calendar days, the submission of reports provided for by paragraphs 63, 64 and 75 of the Rules is not required, provided that no operations were conducted during the entire reporting period and a notification is sent in the manner provided for by paragraph 35 of the Rules.

Chapter 8. Procedure for conducting operations for the purchase and (or) sale

of refined gold in bars issued by the National Bank

The authorized organization conducts operations for the purchase and (or) sale of refined gold in bars through its exchange offices in the manner determined by the Rules.

Replenishment of the cash desk of the exchange office of the authorized organization with refined gold in bars is carried out through operations for the purchase of refined gold in bars from individuals and by acquiring refined gold in bars from the National Bank on the basis of a corresponding purchase and sale agreement.

The authorized organization conducting operations for the purchase and (or) sale of refined gold in bars through its exchange offices shall post on the information stand information on the purchase and (or) sale value of such bars.

When purchasing and (or) selling refined gold in bars, the authorized organization checks the integrity of the special packaging and the protective elements of the refined gold in bars using a technical device providing control of luminescence under ultraviolet light, as well as using an optical device providing at least 10 (ten) times magnification.
The purchase from individuals of refined gold in bars and (or) the sale to individuals of refined gold in bars is carried out at the value established by the authorized organization in an order establishing the value of refined gold in bars. The order establishing the value of refined gold in bars is issued by the head of the authorized organization or another person granted such powers, with the mandatory indication of the number, date and time (determined in hours and minutes) of its issuance.

The transfer of the powers of the head of the authorized organization to issue orders establishing the value of refined gold in bars to another person is carried out only on the basis of an order of the head of the authorized organization.

Information on the purchase and (or) sale value of refined gold in bars established by the order establishing the value of refined gold in bars shall be posted on the information stand for clients throughout the entire period of its validity.

In the event of absence of refined gold in bars in the cash desk of the exchange office, information on their sale value shall not be posted on the information stand of the authorized organization. In the event of absence of cash national currency in the cash desk of the exchange office, information on the purchase value of refined gold in bars shall not be posted on the information stand of the authorized organization.

No restrictions are established on the acceptance of refined gold in bars by types, and no refusal is made to individuals in conducting operations for the purchase and (or) sale of such bars if the exchange office has cash national currency in the amount necessary for conducting such an operation and (or) refined gold in bars in the volume necessary for conducting such an operation, except for cases provided for by Article 13 of the Law on AML/CFT, or failure to present a document identifying the client, or data confirming (identifying) the client's identity obtained through the digital documents service, in accordance with part five of paragraph 73 of the Rules.
In the event of refusal to an individual in the purchase of refined gold in bars due to the absence of cash national currency in the exchange office and if information on the purchase value of such gold is present on the information stand of the authorized organization, the cashier of the exchange office, at the request of the individual, shall issue a certificate in free form indicating the type of such gold, its value according to the order establishing the value of refined gold in bars, and the amount in national currency absent in the exchange office, the date and time of issuance of the certificate. The certificate is signed by the cashier of the exchange office of the authorized organization and registered in the manner established by the internal rules of the authorized organization.
The exchange office of the authorized organization confirms the conduct of an operation for the purchase and (or) sale of refined gold in bars by issuing a control receipt in accordance with subparagraph 2) of paragraph 6 of Article 166 of the Tax Code.
Each operation conducted in the exchange office of the authorized organization for the purchase and (or) sale of refined gold in bars is recorded in the electronic journal of accounting for operations for the purchase and (or) sale of refined gold in bars issued by the National Bank of the Republic of Kazakhstan, in the form in accordance with Appendix 15 to the Rules (hereinafter – the journal of accounting for operations with refined gold in bars).

The journal of accounting for operations with refined gold in bars is maintained separately in each operating cash desk of the exchange office of the authorized organization in a hardware and software complex. The authorized organization ensures the storage in the hardware and software complex of information on completed operations for the purchase and (or) sale of refined gold in bars reflected in the journal of accounting for operations with refined gold in bars for 5 (five) years from the day of their completion.

For operations with refined gold in bars in an amount exceeding 500,000 (five hundred thousand) tenge, the following shall be recorded in the journal of accounting for operations with refined gold in bars:

surname, name and patronymic of the client (if any) (name and patronymic are indicated in full);

individual identification number of the client (if any);

data of the document identifying the client provided for by subparagraphs 1), 2), 3), 4), 9) and 11) of paragraph 1 of Article 6 of the Law of the Republic of Kazakhstan "On Identity Documents" – type of document, date of issue, document number, validity period;

legal address of the client (state, locality, street, house number, apartment number (if any)).

For operations with refined gold in bars in an amount not exceeding 500,000 (five hundred thousand) tenge, the journal of accounting for operations with refined gold in bars shall record the surname, name and patronymic (if any) (name, patronymic are indicated in full) and the individual identification number of the client (if any).

Recording of client data, with the exception of the client's legal address, in the journal of accounting for operations with refined gold in bars is carried out on the basis of the data of the document identifying the client provided for by subparagraphs 1), 2), 3), 4), 9) and 11) of paragraph 1 of Article 6 of the Law of the Republic of Kazakhstan "On Identity Documents" or data confirming (identifying) the client's identity obtained through the digital documents service.

A change in the value of refined gold in bars is carried out only on the basis of the issuance of a new order establishing the value of such gold. In this case, from the beginning of the validity of the new order establishing the value of refined gold in bars, the previous order is cancelled.

In the event of the issuance during the working hours of the exchange office of the authorized organization of a new order changing the purchase and (or) sale value of refined gold in bars, an interim total for the volumes of operations with such gold shall be summed up in the journal of accounting for operations with refined gold in bars before the start of operations at the new value. After the end of the working day of the exchange office of the authorized organization, the totals for operations conducted during the working day shall be reflected in the journal of accounting for operations with refined gold in bars.

The authorized organization (its branch) shall, by the 10th (tenth) day (inclusive) of the month following the reporting month, submit to the National Bank or the territorial branch of the National Bank the form intended for the collection of administrative data, "Report on operations conducted through exchange offices for the purchase and (or) sale of refined gold in bars issued by the National Bank of the Republic of Kazakhstan", in accordance with Appendix 16 to the Rules (hereinafter – the report on operations with refined gold in bars).
The authorized organization conducts operations for the purchase and (or) sale of refined gold in bars in intact special packaging.

The sale of refined gold in bars with opened special packaging and (or) without special packaging, as well as refined investment gold in certified measured bars issued by the National Bank before 2017 (hereinafter – refined gold in bars of the old type) is not carried out.

The acceptance of refined gold in bars with opened special packaging and (or) without special packaging, as well as refined gold in bars of the old type for the purpose of sending to the National Bank for buyback is carried out by authorized organizations that have contractual relations for their buyback with the National Bank.

On the basis of an application of an individual, refined gold in bars with opened special packaging and (or) without special packaging, as well as refined gold in bars of the old type, is sent to the National Bank for buyback.

When accepting refined gold in bars with opened special packaging and (or) without special packaging, as well as refined gold in bars of the old type, the authorized organization warns the individual about the charging of a commission fee for sending such gold to the National Bank for the purpose of its buyback.

A written certificate in free form on the acceptance of refined gold in bars with opened special packaging and (or) without special packaging, as well as refined gold in bars of the old type (hereinafter – the written certificate) is issued to the individual. The written certificate is signed by the head of the authorized organization (its branch) or another person granted such powers. The transfer of the powers of the head of the authorized organization to sign the written certificate on the acceptance of refined gold in bars with opened special packaging and (or) without special packaging, as well as refined gold in bars of the old type, is carried out only on the basis of an order of the head of the authorized organization.

The examination and calculation of the buyback price of refined gold in bars with opened special packaging and (or) without special packaging, as well as refined gold in bars of the old type, is carried out by the National Bank within 45 (forty-five) calendar days from the day of signing the act of acceptance for buyback of such bars.

The authorized organization independently establishes the commission fee for sending to the National Bank refined gold in bars with opened special packaging and (or) without special packaging, as well as refined gold in bars of the old type, for the purpose of their buyback, not exceeding 10 (ten) percent of the nominal value of the refined gold in bars and (or) refined gold in bars of the old type.

76-1. Payment of the value of refined gold in bars with opened special packaging and (or) without special packaging, as well as refined gold in bars of the old type, sent to the National Bank for buyback, is made to the individual by the authorized organization in cash national currency less the commission fee within 5 (five) working days from the day of receipt from the National Bank of confirmation of readiness to buy them back due to positive results of the examination conducted by the National Bank.

Chapter 9. Transitional provisions

A previously issued certificate of an exchange office to an authorized bank is considered a written confirmation of the territorial branch of the National Bank obtained in accordance with the Rules.

From the day of entry into force of the Rules, upon receipt of a notification from an authorized bank on a change in the data specified in the notification on the commencement of activity of an exchange office, the territorial branch of the National Bank shall send to the authorized bank a written confirmation while preserving the number and date of the previously issued certificate of the exchange office.

Appendix 1

to the Rules for conducting exchange operations

with cash foreign currency in the Republic of Kazakhstan

Form

Application for obtaining a license

for exchange operations with cash foreign currency

and appendices to the license

To ______

(name of the territorial branch of the National Bank of the Republic of Kazakhstan)

From ______

(name of the legal entity, business identification number, location)

I request the issuance of a license for exchange operations with cash foreign currency and an appendix to the license for opening an exchange office (automated exchange office) (indicate as necessary), located at the address:

(postal index, region, city, district, locality, street name, house (building) number (stationary premises), as well as floor, sector, block and other (if any))

Information on compliance with qualification requirements:

Share of participation of founders (participants) in the charter capital of the authorized organization:

1) individuals:

data of the identity document (surname, name and patronymic (if any), date of birth);

individual identification number (for residents);

place of residence;

share in the charter capital (% (amount)).

2) legal entities:

name of the legal entity;

business identification number (for residents);

location;

share in the charter capital (% (amount)).

Information on compliance of founders (participants) of the authorized organization with qualification requirements:


1)	Were the persons previously founders, participants (one of the founders, participants) of an authorized organization in respect of which a decision was made to revoke the license for exchange operations with cash foreign currency, from the date of which three years have not expired	Yes/No
2)	Do the persons have an impeccable business reputation	Yes/No
3)	Are the persons included in the list of organizations and persons associated with the financing of terrorism and extremism and (or) the financing of the proliferation of weapons of mass destruction, in accordance with the Law of the Republic of Kazakhstan "On Combating the Legalization (Laundering) of Proceeds from Crime and the Financing of Terrorism" (hereinafter – the Law on AML/CFT)	Yes/No
4)	Are the persons registered in one of the following foreign states and (or) parts of the territories of foreign states characterized as offshore zones specified in subparagraph 4) of paragraph 6 of the Rules for conducting exchange operations with cash foreign currency in the Republic of Kazakhstan approved by Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 49 of 4 April 2019, registered in the State Registration Register of Normative Legal Acts under No. 18545 (hereinafter – the Rules)	Yes/No
5)	Are the persons registered (do they reside) in a state (territory) that does not comply or insufficiently complies with the recommendations of the Financial Action Task Force on Money Laundering (FATF). A state (territory) that does not comply or insufficiently complies with the recommendations of the Financial Action Task Force on Money Laundering (FATF) means a state (territory) included in the List compiled by the authorized body for financial monitoring in accordance with part two of paragraph 4 of Article 4 of the Law on AML/CFT.	Yes/No
6)	For legal entities, are the founders, participants (one of the founders, participant) registered (do they reside) in one of the foreign states and (or) parts of the territories of foreign states characterized as offshore zones specified in subparagraph 4) of paragraph 6 of the Rules; for legal entities, are the founders, participants (one of the founders, participant) registered (do they reside) in a state (territory) that does not comply or insufficiently complies with the recommendations of the Financial Action Task Force on Money Laundering (FATF). A state (territory) that does not comply or insufficiently complies with the recommendations of the Financial Action Task Force on Money Laundering (FATF) means a state (territory) included in the List compiled by the authorized body for financial monitoring in accordance with part two of paragraph 4 of Article 4 of the Law on AML/CFT.	Yes/No
7)	Were the persons previously founders, participants (one of the founders, participants) of an authorized organization in respect of which a inspection started by the National Bank of the Republic of Kazakhstan was not completed due to the voluntary return of a valid license and a valid appendix (valid appendices) to the license, from the date of which three years have not expired.	Yes/No

Information on compliance of the head of the legal entity (its branch) with qualification requirements:


1)	Does the head of the authorized organization have a higher education	Yes/No
2)	Is the person included in the list of organizations and persons associated with the financing of terrorism and extremism and (or) the financing of the proliferation of weapons of mass destruction, in accordance with the Law on AML/CFT	Yes/No
3)	Does the person have an impeccable business reputation	Yes/No

Characteristics of technical means for determining the authenticity of monetary notes*:


Model (Name)	Serial number	Checking banknotes under ultraviolet light (control of paper luminescence and other)		Checking banknotes for the presence of magnetic marks
		Yes	No	Yes	No
		Yes	No	Yes	No

Technical characteristics of the hardware and software complex*:


Model (Name)	Serial number	Non-adjustability of daily registration of exchange operations		Energy independence of storage of information on completed exchange operations for 5 (five) years from the day of their completion
		Yes	No	Yes	No
		Yes	No	Yes	No

Technical characteristics of the software*:


Name	Manufacturer (Supplier)	Non-adjustability of daily registration of exchange operations		Energy-independent storage of information on completed exchange operations for 5 (five) years from the day of their completion
		Yes	No	Yes	No

Technical characteristics of the video surveillance system*:


Name of the video surveillance system	Manufacturer (Supplier)	Ensuring recording and storage of information on the process of carrying out the activities of the exchange office for 90 (ninety) calendar days on technical devices ensuring backup copying of the video data archive and protection of the archive from deletion and editing		Ensuring, within the video surveillance visibility zone, the working area of the cashier and the client, as well as installation in places ensuring the absence of interference for video surveillance and the possibility of visual identification of national and foreign currency
		Yes	No	Yes	No

Attached documents:

Email ______

Telephones______

Fax ______

Bank account in tenge ______

(account number, name of the authorised bank)

It is hereby confirmed that:

all the specified data are official contacts for sending any information on issues of issuing or refusing to issue a licence and an annex to the licence;

the applicant is not prohibited by a court from engaging in the licensed type of activity;

throughout the entire period of carrying out activities on exchange operations with cash foreign currency, purchase and (or) sale of refined investment gold in certified measured bars corresponding to the national standard of the Republic of Kazakhstan ST RK 2049 "Gold bars measured. Technical conditions", issued by the National Bank of the Republic of Kazakhstan not earlier than 2017, and other refined investment gold in measured bars issued by the National Bank of the Republic of Kazakhstan before 2017, the exchange office (automated exchange office) is not located in premises that are the location of another exchange office of the authorised organisation;

all attached documents (information) are true.

Authorised person of the applicant:

(position) (surname, name and patronymic (if any)

not filled in when opening an automated exchange office

Annex 2

to the Rules for carrying out exchange operations

with cash foreign currency in the Republic of Kazakhstan

Form

(name of the territorial branch

of the National Bank of the Republic of Kazakhstan)

(surname, name, patronymic (if any) of the head)

Application

for obtaining an annex to a valid licence

for exchange operations with cash foreign currency

for an additionally opened exchange office

Licensee: ______

(full name of the legal entity, place of state registration, business identification number)

Branch of the licensee*: ______

(name of the branch, location of the branch, business identification number)

Number and date of the licence for exchange operations with cash foreign currency: ______

I request the issuance of an annex to the valid licence for exchange operations with cash foreign currency for an exchange office (automated exchange office) (indicate as appropriate), located at the address: ______

Information on compliance with qualification requirements:

Share of participation of founders (participants) in the charter capital of the authorised organisation:

1) individuals:

data of the identity document, (surname, name and patronymic (if any), date of birth);

individual identification number (for residents);

place of residence;

share in the charter capital (% (amount)).

2) legal entities:

name of the legal entity;

location;

business identification number (for residents);

share in the charter capital (% (amount)).

Information on compliance of founders (participants) of the authorised organisation with qualification requirements*:


1)	Were the persons previously founders, participants (one of the founders, participants) of an authorised organisation in respect of which a decision was taken to revoke the licence for exchange operations with cash foreign currency, from the date of which three years have not expired	Yes/No
2)	Do the persons have an impeccable business reputation	Yes/No
3)	Are the persons on the list of organisations and persons associated with the financing of terrorism and extremism and (or) financing of the proliferation of weapons of mass destruction, in accordance with the Law of the Republic of Kazakhstan "On Counteracting the Legalisation (Laundering) of Proceeds from Crime and the Financing of Terrorism" (hereinafter – the AML/CFT Law)	Yes/No
4)	Are the persons registered in one of the following foreign states and (or) parts of the territories of foreign states characterised as offshore zones specified in subparagraph 4) of paragraph 6 of the Rules for carrying out exchange operations with cash foreign currency in the Republic of Kazakhstan, approved by resolution of the Board of the National Bank of the Republic of Kazakhstan dated 4 April 2019 No. 49, registered in the Register of state registration of normative legal acts under No. 18545 (hereinafter – the Rules)	Yes/No
5)	Are the persons registered (do they reside) in a state (territory) that does not comply or insufficiently complies with the recommendations of the Financial Action Task Force on Money Laundering (FATF). A state (territory) that does not comply or insufficiently complies with the recommendations of the Financial Action Task Force on Money Laundering (FATF) means a state (territory) included in the List compiled by the authorised body for financial monitoring in accordance with part two of paragraph 4 of Article 4 of the AML/CFT Law.	Yes/No
6)	For legal entities, are the founders, participants (one of the founders, participant) registered (do they reside) in one of the foreign states and (or) parts of the territories of foreign states characterised as offshore zones specified in subparagraph 4) of paragraph 6 of the Rules, for legal entities, are the founders, participants (one of the founders, participant) registered (do they reside) in a state (territory) that does not comply or insufficiently complies with the recommendations of the Financial Action Task Force on Money Laundering (FATF). A state (territory) that does not comply or insufficiently complies with the recommendations of the Financial Action Task Force on Money Laundering (FATF) means a state (territory) included in the List compiled by the authorised body for financial monitoring in accordance with part two of paragraph 4 of Article 4 of the AML/CFT Law.	Yes/No
7)	Were the persons previously founders, participants (one of the founders, participants) of an authorised organisation in respect of which a inspection started by the National Bank of the Republic of Kazakhstan was not completed due to the voluntary return of the valid licence and the valid annex (valid annexes) to the licence, from the date of which three years have not expired.	Yes/No

Information on compliance of the head of the legal entity (its branch) with qualification requirements*:


1)	Does the head of the authorised organisation have higher education	Yes/No
2)	Is the head of the authorised organisation on the list of organisations and persons associated with the financing of terrorism and extremism and (or) financing of the proliferation of weapons of mass destruction, in accordance with the AML/CFT Law	Yes/No
3)	Does the person have an impeccable business reputation	Yes/No

Characteristics of technical means for determining the authenticity of banknotes*:


Model (Name)	Serial number	Checking banknotes in ultraviolet light (control of paper luminescence and other)			Checking banknotes for the presence of magnetic marks
		Yes	No	Yes		No
		Yes	No	Yes		No

Technical characteristics of the hardware and software complex *:


Model (Name)	Serial number	Non-adjustability of daily registration of exchange operations			Energy-independent storage of information on completed exchange operations for 5 (five) years from the day of their completion
		Yes	No	Yes		No
		Yes	No	Yes		No

Technical characteristics of the software*:


Name	Manufacturer (Supplier)	Non-adjustability of daily registration of exchange operations		Energy-independent storage of information on completed exchange operations for 5 (five) years from the day of their completion
		Yes	No	Yes	No

Technical characteristics of the video surveillance system*:


Name of the video surveillance system	Manufacturer (Supplier)	Ensuring recording and storage of information on the process of carrying out the activities of the exchange office for 90 (ninety) calendar days on technical devices ensuring backup copying of the video data archive and protection of the archive from deletion and editing			Ensuring, within the video surveillance visibility zone, the working area of the cashier and the client, as well as installation in places ensuring the absence of interference for video surveillance and the possibility of visual identification of national and foreign currency
		Yes	No	Yes		No

Attached documents:

Email ______

Telephones______

Fax ______

Bank account in tenge ______

(account number, name of the authorised bank)

It is hereby confirmed that:

all the specified data are official contacts for sending any information on issues of issuing or refusing to issue a licence and an annex to the licence;

all attached documents (information) are true.

Authorised person of the applicant:

(position) surname, name, patronymic (if any) (signature)

Note: indicated when opening an additional exchange office outside the region of the licensee's location

Note: the address at which the premises of the exchange office is located, indicating, in the case of placement of the exchange office in buildings and structures for multifunctional purposes (including business centres), in buildings of railway stations, casinos, inside air terminals of international airports, data specifying the location of the exchange office (for example, floor, sector, block)

not filled in when opening an automated exchange office

Annex 3

to the Rules for carrying out exchange operations

with cash foreign currency in the Republic of Kazakhstan

Form

Licence for exchange operations with cash foreign currency

No. ____ dated "____" ______ 20 ___ year

Licensee: ______

(full name, place of state registration, business identification

number of the legal entity)

Licensor: ______ branch of the National Bank of the Republic of Kazakhstan

______ branch of the National Bank of the Republic of Kazakhstan assigns to the authorised organisation the functions of a currency control agent.

This licence is issued in a single copy for an unlimited period and cannot be transferred to other persons.

Head

of the territorial branch

of the National Bank

of the Republic of Kazakhstan ______ ______

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

Annex 4

to the Rules for carrying out exchange operations

with cash foreign currency in the Republic of Kazakhstan

Form

Annex
No. ______ dated "____" ______ 20 ___ year to the licence for exchange operations with cash foreign currency No. ______ dated "_____" ______ 20 ___ year

Licensee: ______

(full name of the legal entity, place of state registration, business identification number)

Branch of the licensee*: ______

(name of the branch, location of the branch, business identification number)

Location of the exchange office: ______

(region, city, district, street, house, floor, sector, block)

Type of exchange office:

exchange office (automated exchange office)

underline as appropriate

Licensor: ______ branch of the National Bank of the Republic of Kazakhstan

This annex to the licence is the basis for the functioning of this exchange office.

The activities of this exchange office are controlled by ______ branch of the National Bank of the Republic of Kazakhstan.

Head

of the territorial branch

of the National Bank

of the Republic of Kazakhstan ______ ______

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

Note: indicated when opening an additional exchange office outside the region of the licensee's location

Annex 4-1

to the Rules for carrying out exchange

operations with cash foreign

currency in the Republic of Kazakhstan

List of main requirements for the provision of the state service

"Issuance of a licence for exchange operations with cash foreign currency, issued to authorised organisations"


Name of the state service		Issuance of a licence for exchange operations with cash foreign currency, issued to authorized organizations
Name of sub-types of the state service		1) Obtaining a licence for exchange operations with cash foreign currency and an annex to the licence; 2) Obtaining an annex to a valid licence when opening an additional exchange point; 3) Re-issuance of the licence and its annex; 4) Re-issuance of the annex to the licence.
1.	Name of the service provider	Territorial branches of the National Bank of the Republic of Kazakhstan (hereinafter – the service provider)
2.	Methods of providing the state service	For all sub-types: Web portal of the "electronic government" www.egov.kz (hereinafter – the portal)
3.	Timeframe for providing the state service	From the day of registration of the application on the portal: when issuing a licence and an annex thereto – within 20 (twenty) working days; when issuing an annex to a valid licence – within 10 (ten) working days; when re-issuing a licence and (or) an annex thereto – within 10 (ten) working days.
4.	Form of providing the state service	For all sub-types: Electronic (partially automated)
5.	Result of providing the state service	By sub-types: 1) for obtaining a licence for exchange operations with cash foreign currency and an annex to the licence – notification of issuance of the licence for exchange operations with cash foreign currency and the annex to the licence or a reasoned response refusing issuance of the licence for exchange operations with cash foreign currency and the annex to the licence; 2) for obtaining an annex to a valid licence when opening an additional exchange point – notification of issuance of the annex to the valid licence when opening an additional exchange point or a reasoned response refusing issuance of the annex to the valid licence when opening an additional exchange point; 3) for re-issuance of the licence and its annex – notification of re-issuance of the licence and its annex or a reasoned response refusing re-issuance of the licence and its annex; 4) for re-issuance of the annex to the licence – notification of re-issuance of the annex to the licence or a reasoned response refusing re-issuance of the annex to the licence. Form of provision of the result of the state service: electronic.
6.	Amount of payment charged from the service recipient when providing the state service, and methods of its collection in cases provided for by the legislation of the Republic of Kazakhstan	When providing the state service, a licence fee is paid for the issuance of a licence for the right to engage in certain types of activity: 1) the licence fee for issuing a licence for the right to engage in this type of activity is 40 (forty) monthly calculation indices; 2) the licence fee for re-issuance of a licence is 10 (ten) percent of the rate for issuing a licence. Payment of the licence fee is made through second-tier banks, branches of non-resident banks of the Republic of Kazakhstan or organizations carrying out certain types of banking operations, in non-cash form through the payment gateway of the "electronic government".
7.	Working schedule of the service provider, the State Corporation and information objects	1) portal – around the clock, except for technical breaks due to repair work (if the service recipient applies after the end of working hours, on weekends and holidays, in accordance with the Labour Code of the Republic of Kazakhstan and the Law of the Republic of Kazakhstan "On Holidays in the Republic of Kazakhstan" (hereinafter – the Law on Holidays), acceptance of applications and issuance of results of the state service is carried out on the next working day). 2) service provider – daily from 9:00 to 18:30 Astana time, with a lunch break from 13:00 to 14:30, except Saturday, Sunday, weekends and holidays in accordance with the Labour Code of the Republic of Kazakhstan and the Law on Holidays.
8.	List of documents and information required from the service recipient for the provision of the state service	To obtain a licence for exchange operations with cash foreign currency and an annex to the licence, a legal entity sends through the web portal of the "electronic government" the following documents: 1) an electronic application for obtaining a licence for exchange operations with cash foreign currency and an annex to the licence in the form according to Appendix 1 to the Rules for Carrying Out Exchange Operations with Cash Foreign Currency in the Republic of Kazakhstan, approved by Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 49 of 4 April 2019, registered in the Register of State Registration of Normative Legal Acts under No. 18545 (hereinafter – the Rules); 2) an electronic copy of the charter; 3) an electronic copy of the document confirming payment of the licence fee for the right to engage in certain types of activity, except in cases of payment through the payment gateway of the "electronic government"; 4) an electronic copy of a certificate from a second-tier bank or a branch of a non-resident bank of the Republic of Kazakhstan on the existence of a bank account in foreign currency; 5) electronic copies of statements on the movement of money on bank accounts of a client of a second-tier bank or a branch of a non-resident bank of the Republic of Kazakhstan, confirming the crediting to the bank account of the legal entity of money as a contribution to the charter capital in accordance with the requirements of paragraph 8 of the Rules, issued not earlier than 30 (thirty) calendar days before the date of application for obtaining a licence and (or) an annex to the licence, or an electronic copy of financial statements as of the first day of the month of filing the application for obtaining an annex to a valid licence for exchange operations with cash foreign currency for an additionally opened exchange point in the form according to Appendix 2 to the Rules, which confirms the compliance of the size of the charter capital of the authorized organization with the established requirements taking into account the additional exchange point; 6) an electronic copy of a document disclosing the source of origin of the contribution to the charter capital of the authorized organization (loan agreement, property purchase and sale agreement, income statement, other documents disclosing the source of origin of the contribution to the charter capital of the authorized organization). To obtain an annex to a valid licence when opening an additional exchange point (automated exchange point), the authorized organization (its branch) sends through the web portal of the "electronic government" the following documents: 1) an electronic application for obtaining an annex to a valid licence for exchange operations with cash foreign currency for an additionally opened exchange point in the form according to Appendix 2
to the Rules; 2) electronic copies of statements on the movement of money on bank accounts of a client of a second-tier bank or a branch of a non-resident bank of the Republic of Kazakhstan, confirming the crediting to the bank account of the legal entity of money as a contribution to the charter capital in accordance with the requirements of paragraph 8 of the Rules, issued not earlier than 30 (thirty) calendar days before the date of application for obtaining a licence and (or) an annex to the licence, or an electronic copy of financial statements as of the first day of the month of filing the application for obtaining an annex to a valid licence for exchange operations with cash foreign currency for an additionally opened exchange point in the form according to Appendix 2 to the Rules, which confirms the compliance of the size of the charter capital of the authorized organization with the established requirements taking into account the additional exchange point; 3) an electronic copy of a document disclosing the source of origin of the contribution to the charter capital of the authorized organization (loan agreement, property purchase and sale agreement, income statement, other documents disclosing the source of origin of the contribution to the charter capital of the authorized organization); 4) an electronic copy of a document confirming the technical characteristics and compliance of the automated exchange point with the requirements established by the Rules (except for an exchange point).
		For re-issuance of a valid licence for exchange operations with cash foreign currency and (or) a valid annex to the licence, the authorized organization sends through the web portal of the "electronic government" the following documents: 1) an electronic application for re-issuance of the licence for exchange operations with cash foreign currency and (or) an annex to the licence for exchange operations with cash foreign currency in the form according to Appendix 5 to the Rules; 2) electronic copies of documents containing information on changes that served as the basis for re-issuance of the licence and (or) the annex to the valid licence, except for documents information from which is contained in state information systems; 3) an electronic copy of the document confirming payment of the licence fee for the right to engage in certain types of activity, except in cases of payment through the payment gateway of the "electronic government" (in case of re-issuance of a valid licence for exchange operations with cash foreign currency).
9.	Grounds for refusal to provide the state service established by the legislation of the Republic of Kazakhstan	1) failure to submit documents and (or) information provided for by paragraph 4 of Article 12 of the Law of the Republic of Kazakhstan "On Currency Regulation and Currency Control" (hereinafter – the Law on Currency Regulation), Article 29 of the Law of the Republic of Kazakhstan "On Permits and Notifications" (hereinafter – the Law on Permits), paragraph 8 of Appendix 4-1 to the Rules, as well as cases provided for by Article 32 of the Law on Permits; 2) non-compliance of the applicant and (or) submitted documents and (or) information with the requirements established by paragraphs 3 and 4 of Article 12 of the Law on Currency Regulation, Article 29 of the Law on Permits, paragraph 8 of Appendix 4-1 to the Rules.
10.	Other requirements taking into account the specifics of providing the state service, including those provided in electronic form	The territorial branch of the National Bank of the Republic of Kazakhstan within 2 (two) working days from the moment of receipt of the service recipient's documents checks the completeness of the submitted documents. In case of establishing the fact of incompleteness of the submitted documents, it gives a written reasoned refusal for further consideration of the application. The address of the place of provision of the state service is posted on the official internet resource of the National Bank of the Republic of Kazakhstan: www.nationalbank.kz. The service recipient has the opportunity to obtain information on the procedure and status of the provision of the state service in remote access mode through the personal account of the portal, as well as the Unified Contact Centre for State Service Provision. Contact telephone numbers of the service provider are indicated on the official internet resource of the service provider: www.nationalbank.kz, section "For Service Consumers" then "State Services". Unified Contact Centre for State Service Provision: 8-800-080-7777, 1414.

Appendix 5

to the Rules for Carrying Out Exchange Operations

with Cash Foreign Currency in the Republic of Kazakhstan

Form

(name of the territorial branch

of the National Bank of the Republic of Kazakhstan)

(surname, name, patronymic (if any) of the head)

Application for re-issuance of the licence for exchange operations with cash foreign currency and (or) the annex to the licence for exchange operations with cash foreign currency

Licensee:

(full name of the legal entity, place of state registration, business identification number)

Branch of the licensee*: ______

(name of the branch, location of the branch, business identification number)

I request to re-issue licence No. ____ dated ______ year and (or) annex No. _____ dated ______ year to licence No. ______ dated ______ year for the exchange point located at:

Grounds for re-issuance: ______

Attached documents:

…………

Authorized person of the applicant:

(position) (surname, name, patronymic (if any)

Note: indicated when submitting an application for re-issuance of the annex to the licence for an exchange point located outside the region of the licensee's location

Note: the address at which the premises of the exchange point is located, indicating, in case the exchange point is located in buildings and structures of multifunctional purpose (including business centres), in buildings of railway stations, casinos, inside air terminals of international airports, data specifying the location of the exchange point (for example, floor, sector, block)

Appendix 6

to the Rules for Carrying Out Exchange Operations

with Cash Foreign Currency in the Republic of Kazakhstan

Form

Information on founders (participants) of the authorized organization

(name of the authorized organization)

Individuals:


No.	Surname, name, patronymic (if any)	Date of birth	Data of identity document	Individual identification number (for residents)	Place of residence	Share in charter capital
in %	amount

Legal entities:

This confirms that the founders (participants) of the authorized organization comply with the requirements of paragraph 6 of the Rules for Carrying Out Exchange Operations with Cash Foreign Currency in the Republic of Kazakhstan.

Head ______

(signature)

Appendix 7

to the Rules for Carrying Out Exchange Operations

with Cash Foreign Currency in the Republic of Kazakhstan

Form


city ______	date ______

Decision on deprivation (suspension) of validity (indicated depending on the decision taken) of the licence for exchange operations with cash foreign currency and (or) the annex to the licence for exchange operations with cash foreign currency

Detailed description of the essence of the committed violations indicating the norms of normative legal acts whose requirements were violated: ______ ______

______,

Guided by subparagraph _____ of paragraph _____ of Article 48 of the Law of the Republic of Kazakhstan "On Banks and Banking Activity in the Republic of Kazakhstan" ______ branch of the National Bank of the Republic of Kazakhstan DECIDED:
To deprive (Suspend) for a term* of ______ the validity (indicated depending on the decision taken) of the licence for exchange operations with cash foreign currency No. ____ dated ______ and (or) the annex to the licence for exchange operations with cash foreign currency No. ____ dated , issued to the Limited Liability Partnership "" (hereinafter – the LLP).
To the Department ______ (surname, name, patronymic (if any) of the head of the department) to send (deliver) a copy of this decision to the LLP for execution.
The LLP ______ from the date of receipt of this decision to suspend/terminate the activity provided for by the licence for exchange operations with cash foreign currency No. ______ dated ______ and (or) the annex to the licence for exchange operations with cash foreign currency No. ____ dated ______
The LLP ______ has the right to appeal the adopted decision of the ______ branch of the National Bank of the Republic of Kazakhstan in the manner provided for by Chapter 13 of the Administrative Procedural and Processual Code of the Republic of Kazakhstan.
I reserve control over the execution of this decision.

Head

of the territorial branch

of the National Bank

of the Republic of Kazakhstan ______ ______

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

Place of seal

Note: indicated in case of adoption of a decision on suspension of the validity of the licence and (or) the annex to the licence and is calculated from the day the LLP receives a copy of this decision.

Appendix 8

to the Rules for Carrying Out Exchange Operations

with Cash Foreign Currency in the Republic of Kazakhstan

Form

(name of the territorial branch

of the National Bank of the Republic of Kazakhstan)


No. ____	dated "____" ______ 20 ___ year

Notification on the commencement or termination of activity of the exchange point of an authorized bank

(indicated depending on the decision taken)

______ on the commencement of activity (on the opening of an exchange point)

______ on the termination of activity (on the closing of an exchange point)

______ on the change of data

Name of the authorized bank (territorial branch of the authorized bank ______
Location of the authorized bank (its branch) ______
Business identification number of the authorized bank (its branch) ______
Type of exchange point:

exchange point (automated exchange point)

underline as appropriate

Location of the exchange point (automated exchange point) ______
Number of operating cash desks in the exchange point of the authorized bank ______
Number and date of the certificate of the exchange point of the authorized bank or written confirmation ______
The authorized bank (its branch) by this notification confirms that the exchange point located at the address ______, complies with the requirements of the Rules for Carrying Out Exchange Operations with Cash Foreign Currency in the Republic of Kazakhstan (hereinafter – the Rules)

Authorized person of the notifier:

(position) (surname, name, patronymic (if any)

Instructions for filling out Appendix 8

When opening an exchange point (automated exchange point) of an authorized bank, a notification on the commencement of activity of the exchange point is sent with all paragraphs of Appendix 8 to the Rules filled in, except for paragraph 8 of this appendix.

When closing an exchange point (automated exchange point) of an authorized bank, a notification on the termination of activity of the exchange point of the authorized bank is sent with all paragraphs of Appendix 8 to the Rules filled in.

When changing the mandatory information specified in the previously submitted notification on the commencement of activity of the exchange point, a notification on the change of data is sent with all paragraphs of Appendix 8 to the Rules filled in.

In paragraph 6 of Appendix 8 to the Rules, the address at which the premises of the exchange point is located is indicated, indicating, in case the exchange point is located in buildings and structures of multifunctional purpose (including business centres), in buildings of railway stations, casinos, inside air terminals of international airports, data specifying the location of the exchange point (for example, floor, sector, block).

Appendix 9

to the Rules for Carrying Out Exchange Operations

with Cash Foreign Currency in the Republic of Kazakhstan

Form

Written confirmation

Outgoing No. ______

"____" ______ year

______ branch of the National Bank of the Republic of Kazakhstan confirms

(name of the authorized bank (branch of the authorized bank)

on receipt of the notification on the commencement (change of data, termination of activity of the exchange point)

under No.______ dated ______ year.

Registration data of the exchange point ______ dated ______ year.

Address of the exchange point ______

The activity of this exchange point is controlled by ______

branch of the National Bank of the Republic of Kazakhstan (not indicated in case of closing of the exchange point of the authorized bank).

Head

of the territorial branch

of the National Bank

of the Republic of Kazakhstan

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

Place of seal

Appendix 10

to the Rules for Carrying Out Exchange Operations

with Cash Foreign Currency in the Republic of Kazakhstan

Form

Information for clients of the exchange point

(name and location of the legal entity entitled to carry out exchange operations with cash foreign currency, (its branch)

Number and date of licence ______

The activity of this exchange point is controlled by ______ branch of the National Bank of the Republic of Kazakhstan.

If there are comments on the work of the exchange point, please send complaints to the address: ______

(postal address of the territorial branch of the National Bank of the Republic of Kazakhstan)

For consideration of the complaint, please provide the following information in it:

surname, name and patronymic (if any) of the applicant;

individual identification number;

address of the applicant;

address of the exchange point;

name of the legal entity entitled to carry out exchange operations, (its branch) that opened this exchange point;

content of the complaint;

date and time indicating when the violation was committed by the exchange point;

surname, name and patronymic (if any) of the cashier of the exchange point.

To submit a complaint, the signature of the applicant is required.

Appendix 11

to the Rules for Carrying Out Exchange Operations

with Cash Foreign Currency in the Republic of Kazakhstan

Form

JOURNAL

of registers of purchased and sold cash foreign currency

Name of the legal entity entitled to conduct exchange operations (its branch), business identification number


No.	Date of operation	Residency indicator*	Data of the client's identity document	Client's individual identification number	Client's legal address	Name of foreign currency	Amount of currency					Time of operation (in hours and minutes) *
Bought			Sold
in foreign currency	tenge *	in foreign currency		tenge
1	2	3	4	5	6	7	8	9	10	11	12

						Total for:

continuation of the table:


Rate of operation, according to the order	Number and date of the manager's order	Date and time of commencement of the order	Data on the certificate of the exchange office of the authorized bank or written confirmation **		Cashier (surname, name and patronymic (if any))	Balance in the operating cash desk of the exchange office at the beginning of the day***		Balance in the operating cash desk of the exchange office at the end of the day*
Number	Date of issue
Currency	Amount	Currency	Amount
13	14	15	16	17	18	19	20	21	22

Total:

Note:

- indicated in accordance with the document submitted by the client during the exchange operation: 1 – for residents (citizens of the Republic of Kazakhstan, foreigners and stateless persons permanently residing in the Republic of Kazakhstan on the basis of a permit for permanent residence in the Republic of Kazakhstan), 2 – for non-residents;

in the cases provided for in part two of paragraph 51 of the Rules for Conducting Exchange Operations with Cash Foreign Currency in the Republic of Kazakhstan, approved by Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 49 of 4 April 2019, registered in the Register of State Registration of Normative Legal Acts under No. 18545, the surname, name and patronymic (if any) of the client are filled in.

- calculated at the purchase rate;

calculated at the sale rate;

- time of the operation indicated in the control receipt;

number of the valid annex to the valid license of the authorized organization (certificate of the exchange office of the authorized bank or written confirmation) (after the authorized bank receives such certificate or such confirmation);

- for all types of currencies and in tenge (not filled in when exchange operations are combined with other banking operations);

columns 7 to 11 are filled in.

Annex 12

to the Rules for Conducting Exchange Operations

with Cash Foreign Currency in the Republic of Kazakhstan

Form intended for the collection of administrative data

Submitted to: the central office of the National Bank of the Republic of Kazakhstan

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

Report on exchange operations conducted through exchange offices

Index of the administrative data form: 12-NIV_UB

Frequency: monthly

Reporting period: for ______ 20 ____

Circle of persons submitting the report: authorized bank

Deadline for submission: monthly, by the 7th (seventh) day (inclusive) of the month following the reporting month

Form


Name of indicator	Line code	All currencies		including by types of currencies
USD		EUR	RUB	CNY	GBP			Other currencies (specify type of foreign currency)
A	B	1		2		3	4	5	6		(...)
Name of region
Section 1. Operations for the purchase of cash foreign currency from individuals
Cash foreign currency purchased, total	110
including from non-residents	111
Number of cash foreign currency purchase operations	210
including for the amount of:
up to one million tenge (inclusive)	211
over two million tenge to ten million tenge	212
from ten million tenge (inclusive) and above	213
Lowest purchase rate	311		X								X
Highest purchase rate	312		X								X
Section 2. Operations for the sale of cash foreign currency to individuals
Cash foreign currency sold, total	120
including to non-residents	121
Number of cash foreign currency sale operations	220
including for the amount of:
up to one million tenge (inclusive)	221
over two million tenge to ten million tenge	222
from ten million tenge (inclusive) and above	223
Lowest sale rate	321		X							X
Highest sale rate	322		X							X

Name of authorized bank ______

Address ______

Telephone ______

Email address ______

Executor______ ______

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

Head or person entrusted with the function of signing the report ______ ______

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

Date "____" ______ 20__

Annex

to the form of the report on exchange

operations conducted through

exchange offices

Explanation on completing the administrative data form "Report on exchange operations conducted through exchange offices"

(index – 12-NIV_UB, frequency - monthly)

Chapter 1. General provisions

This explanation defines the requirements for completing the form intended for the collection of administrative data "Report on exchange operations conducted through exchange offices" (hereinafter – the Form).
The Form has been developed in accordance with subparagraph 9) of Article 56 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan".
The Form is compiled monthly by the authorized bank based on the data for the reporting month of the Registers of cash foreign currency bought and sold, filled in in accordance with Annex 11 to the Rules for Conducting Exchange Operations with Cash Foreign Currency in the Republic of Kazakhstan, approved by Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 49 of 4 April 2019, registered in the Register of State Registration of Normative Legal Acts under No. 18545.
The authorized bank compiles the Form by regions, cities of republican significance, and the capital, according to the data for the reporting month of the respective branches.

If a branch of an authorized bank has exchange offices located within a region adjacent to the capital or a city of republican significance, the data for the reporting month are accounted for in the Form of the respective region, at the place where the exchange operations were conducted.

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

Chapter 2. Explanation on completing the Form

In column 1 of the report, data are presented for all types of foreign currencies with which the exchange offices of the authorized bank (its branch) conducted exchange operations in the reporting period. Summary data on the volumes of exchange operations are calculated in tenge.
In column 1, data for lines with codes 110, 111, 120 and 121 are filled in in thousands of tenge with rounding to the nearest whole number (data less than five hundred tenge are rounded to zero, from five hundred to one thousand tenge – to one).
In columns 2, 3, 4, 5 and 6, data are presented for the United States dollar (USD), euro (EUR), Russian ruble (RUB), Chinese yuan (CNY), British pound sterling (GBP), and in columns with subsequent numbering, data are provided for the remaining types of currencies with which the exchange offices of the authorized bank (its branch) conducted exchange operations in the reporting period.
In columns 2, 3, 4, 5 and 6 and further numbered columns, data for lines 110, 111, 120 and 121 are presented in units of the respective currency.

If the exchange offices did not conduct exchange operations in the reporting period with any of the currencies specified in columns 2, 3, 4, 5 and 6, the respective column is not filled in.

Lines 210, 211, 212, 213, 220, 221, 222 and 223 are filled in in units of account.
In columns 2, 3, 4, 5 and 6 and further numbered columns, for lines 311, 312, 321 and 322, the rate of the respective foreign currency is indicated. On line 311 (321), in the respective column, the lowest of the rates of the given foreign currency established for the exchange offices of the authorized bank (its branch) in the reporting month for purchase (sale) for tenge is indicated; on line 312 (322) – the highest of the rates of the given foreign currency established for the exchange offices of the authorized bank (its branch) in the reporting month for purchase (sale) for tenge.
When completing this report, for all columns, the following conditions must be met:

line with code 111 ≤ line with code 110;

line with code 121 ≤ line with code 120;

line with code 210 ≥ line with code 211 + line with code 212 + line with code 213;

line with code 220 ≥ line with code 221 + line with code 222 + line with code 223.

When compiling the Form, in calculations for data in tenge, the amount of the exchange operation in tenge indicated respectively in columns 8 and 10 of the Register of cash foreign currency bought and sold is used.
In the absence of data for the reporting period, the Form is submitted with zero values.
Adjustments (corrections, additions) of data are made within six months after the deadline established for submitting the Form.

Annex 13

to the Rules for Conducting Exchange Operations

with Cash Foreign Currency in the Republic of Kazakhstan

Form intended for the collection of administrative data

Submitted to: the central office or territorial branch of the National Bank of the Republic of Kazakhstan

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

Report on the movement of foreign currency and exchange operations conducted through exchange offices

Index of the administrative data form: 13-NIV_UO

Frequency: monthly

Reporting period: for ______ 20 ___

Circle of persons submitting the report: authorized organization (its branch)

Deadline for submission: monthly by the 7th (seventh) day (inclusive) of the month following the reporting month

Form

Number and date of the license for exchange operations with cash foreign currency


Name of indicator	Line code	All currencies	including by types of currencies
USD	EUR	RUB	CNY	GBP	Other currencies (specify type of foreign currency)
A	B	1	2	3	4	5	6	(...)
Section 1. Operations for the purchase of cash foreign currency from individuals
Cash foreign currency purchased, total	110
including from non-residents	111
Number of cash foreign currency purchase operations	210
including for the amount of:
up to one million tenge (inclusive)	211
over two million tenge to ten million tenge	212
from ten million tenge (inclusive) and above	213
Lowest purchase rate	311	X						X
Highest purchase rate	312	Х						X
Section 2. Operations for the sale of cash foreign currency to individuals
Cash foreign currency sold, total	120
including to non-residents	121
Number of cash foreign currency sale operations	220
including for the amount of:
up to one million tenge (inclusive)	221
over two million tenge to ten million tenge	222
from ten million tenge (inclusive) and above	223
Lowest sale rate	321	X						X
Highest sale rate	322	X						X
Section 3. Report on the movement of foreign currency
Balance of foreign currency at the beginning of the reporting period (410 = 411 + 412)	410
including:
cash foreign currency in the cash desk (including the cash desk of exchange offices)	411
foreign currency in currency accounts with authorized banks (specify authorized banks) ______ ______	412
Foreign currency received during the reporting period (420 > = 421 + 422 + 423 + 424).	420
including:
foreign currency purchased from authorized banks (specify authorized banks) ______ ______	421
loans from authorized banks (specify authorized banks) ______ ______	422
purchased from individuals through exchange offices	423
other receipts	424
Foreign currency expended (430 > = 431+432 + 433 + 434)	430
of which:
foreign currency sold to an authorized bank (specify name of authorized bank) ______ ______	431
loans of authorized banks repaid (specify name of authorized bank) ______ ______	432
cash foreign currency sold to individuals through exchange offices	433
other expenses	434
Balance of foreign currency at the end of the reporting period (440 = 441 + 442)	440
including:
cash foreign currency in the cash desk (including the cash desk of exchange offices)	441
foreign currency in currency accounts with authorized banks (specify authorized banks) ______ ______	442

Name of authorized organization (its branch) ______

Address______

Telephone ______

Email address ______

Executor ______ ______

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

Head or person entrusted with the function of signing the report ______ ______

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

Date "____" ______ 20__

Annex to the form of the report on the movement of foreign

currency and exchange operations

conducted through exchange offices

Explanation on completing the administrative data form "Report on the movement of foreign currency and exchange operations conducted through exchange offices"

(index – 13-NIV_UO, frequency - monthly)

Chapter 1. General provisions

This explanation defines the requirements for completing the form intended for the collection of administrative data, "Report on the movement of foreign currency and exchange operations conducted through exchange offices", (hereinafter – the Form).
The Form has been developed in accordance with subparagraph 9) of Article 56 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan".
The Form is compiled monthly by the authorized organization (its branch) based on the data for the reporting month of the Registers of cash foreign currency bought and sold, filled in in accordance with Annex 11 to the Rules for Conducting Exchange Operations with Cash Foreign Currency in the Republic of Kazakhstan, approved by Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 49 of 4 April 2019, registered in the Register of State Registration of Normative Legal Acts under No. 18545. A branch of an authorized organization compiles a separate Form.
The Form is signed by the head or the person entrusted with the function of signing the report, and the executor.

Chapter 2. Explanation on completing the Form for sections 1 and 2

When forming the report, in calculations for data in tenge, the equivalent of the amount of the exchange operation in tenge indicated respectively in columns 8 and 10 of the Register of cash foreign currency bought and sold is used.
In column 1 of the report (except for lines marked with an "X"), data are presented for all types of foreign currencies with which the exchange offices of the authorized organization (its branch) conducted exchange operations in the reporting period. Summary data on the volumes of exchange operations are calculated in tenge.
In column 1, data for lines with codes 110, 111, 120 and 121 are filled in in thousands of tenge with rounding to the nearest whole number (data less than five hundred tenge are rounded to zero, from five hundred to one thousand tenge – to one).
In columns 2, 3, 4, 5 and 6, data are presented for the United States dollar (USD), euro (EUR), Russian ruble (RUB), Chinese yuan (CNY), British pound sterling (GBP), and in columns with subsequent numbering, data are provided for the remaining types of currencies with which the exchange offices of the authorized organization (its branch) conducted exchange operations in the reporting period.
In columns 2, 3, 4, 5 and 6 and further numbered columns, data for lines 110, 111, 120 and 121 are presented in units of the respective currency.

If the exchange offices did not conduct exchange operations in the reporting period with any of the currencies specified in columns 2, 3, 4, 5 and 6, the respective column is not filled in.

Lines 210, 211, 212, 213, 220, 221, 222 and 223 are filled in in units of account.
In columns 2, 3, 4, 5, 6 and further numbered columns, for lines 311, 312, 321 and 322, the rate of the respective foreign currency is indicated. On line 311 (321), in the respective column, the lowest of the rates of the given foreign currency established for the exchange offices of the authorized organization (its branch) in the reporting month for purchase (sale) for tenge is indicated; on line 312 (322) – the highest of the rates of the given foreign currency established for the exchange offices of the authorized organization (its branch) in the reporting month for purchase (sale) for tenge.
When completing sections 1 and 2 of the report, for all columns, the following conditions must be met:

line with code 111 ≤ line with code 110;

line with code 121 ≤ line with code 120;

line with code 210 ≥ line with code 211 + line with code 212 + line with code 213;

line with code 220 ≥ line with code 221 + line with code 222 + line with code 223.

for section 3

In section 3 of the report, column 1 is not filled in.
In columns 2, 3, 4, 5 and 6 and further numbered columns, data for the lines are presented in thousands of units of the respective currency.
In columns 2, 3, 4, 5 and 6 and further numbered columns, data for lines 423 and 433 must be equal to the data in lines 110 and 120 respectively, converted into thousands of units.
When completing section 3 of the report, for columns 2, 3, 4, 5 and 6 and further numbered columns, for lines 410, 420, 430 and 440, the conditions specified in the name of the respective indicators must be met.
When compiling the Form, in calculations for data in tenge, the amount of the exchange operation in tenge indicated respectively in columns 8 and 10 of the Register of cash foreign currency bought and sold is used.
In the absence of data for the reporting period, the Form is submitted with zero values.
Adjustments (corrections, additions) of data are made within six months after the deadline established for submitting the Form.

Annex 14

to the Rules for Conducting Exchange Operations

with Cash Foreign Currency in the Republic of Kazakhstan

Form intended for the collection of administrative data

Submitted to: the central office or territorial branch of the National Bank of the Republic of Kazakhstan

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

Report on the purchase and (or) sale of cash foreign currency in an amount equal to or exceeding 50,000 (fifty thousand) United States dollars in equivalent

Index of the administrative data form: 14-NIV_VAL

Frequency: monthly

Reporting period: for ______ 20 ___

Circle of persons submitting the report: authorized bank or authorized organization (its branch)

Deadline for submission: by the 10th (tenth) day (inclusive) of the month following the reporting period

Form


1. Information about the client			2. Information about the currency operation
Surname, name, patronymic (if any)	Individual identification number (other data)	Residency indicator*	Date	Purchase (sale)	Amount in thousands of units of currency	Currency code	Name of region, city of republican significance, capital	Code by KATO
1.1	1.2	1.3	2.1	2.2	2.3	2.4	2.5	2.6

– indicated in accordance with the document submitted by the client during the exchange operation: 1 – for residents (citizens of the Republic of Kazakhstan, foreigners and stateless persons permanently residing in the Republic of Kazakhstan on the basis of a permit for permanent residence in the Republic of Kazakhstan), 2 – for non-residents

Name of authorized bank or authorized organization (its branch) ______

Address ______

Telephone ______

Email address ______

Executor ______ ______

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

Head or person entrusted with the function of signing the report ______ ______

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

Date "____" ______ 20__ year

Annex

to the form of the report on the purchase and (or)

sale of cash foreign currency

in an amount equal to or exceeding

50,000 (fifty thousand) US dollars

in equivalent

Explanation on filling out the form, administrative data

"Report on the purchase and (or) sale of cash foreign currency in an amount equal to or exceeding 50,000 (fifty thousand) US dollars in equivalent"

(index – 14-NIV_VAL, frequency - monthly)

Chapter 1. General provisions

This explanation defines uniform requirements for filling out the form intended for collecting administrative data "Report on the purchase and (or) sale of cash foreign currency in an amount equal to or exceeding 50,000 (fifty thousand) US dollars (hereinafter – USA) in equivalent" (hereinafter – the Form).
The Form is submitted by an authorized bank or authorized organization (its branch) monthly and includes information on operations of purchase or sale of cash foreign currency in an amount equal to or exceeding 50,000 (fifty thousand) US dollars in equivalent.
The head or chief accountant and the executor sign the Form indicating last name, first name, patronymic (if any).
The Form is signed by the head or the person entrusted with the function of signing the report, and the executor.

Chapter 2. Explanation on filling out the Form

The Form is sent if there are operations for the purchase and (or) sale to one individual during the reporting period of cash foreign currency in an amount equal to or exceeding 50,000 (fifty thousand) US dollars in equivalent.
Information on operations for the purchase or sale of cash foreign currency is reflected in the report on the date of the operation.
In part 1 of the Form, information is indicated on the client-individual who carried out the operation for the purchase or sale of cash foreign currency.
In column 1.2, the individual identification number is indicated. In the absence of an individual identification number for an individual, in column 1.2 the data of the identity document are indicated.
In part 2 of the Form, information is indicated on the operation for the purchase or sale of foreign currency.

In column 2.2, "1" is indicated when the client purchases cash foreign currency, "2" – when the client sells cash foreign currency.

In column 2.4, the three-letter currency code is indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the designation of currencies and funds".

In column 2.5, the name of the region, city of republican significance, capital is indicated.

In column 2.6, the code according to the Classifier of Administrative-Territorial Objects KATO NK RK 11-2021 (KATO code) is indicated.

If a branch of an authorized bank has exchange offices located within the region adjacent to the capital or city of republican significance, data for the reporting month are accounted for in the Form of the corresponding region, at the place of exchange operations.

In the absence of data for the reporting period, the Form is submitted with zero values.
Adjustments (corrections, additions) of data are made within six months after the deadline established for submitting the Form.

Annex 15

to the Rules for conducting exchange operations

with cash foreign currency in the Republic of Kazakhstan

Form

Log of accounting for operations on the purchase and (or) sale of refined gold in bars issued by the National Bank of the Republic of Kazakhstan

Name of the authorized organization or its branch, business identification number ______

Number of the annex to the license for exchange operations with cash foreign currency in the Republic of Kazakhstan of the authorized organization______ "____"______20____year


Balance of refined gold in bars in the operating cash desk of the exchange office			Number of bars by varieties in masses (grams)
…				…		…	…	…
at the beginning of the day
at the end of the day
Date and time of commencement of the order on establishing the value of refined gold in bars	Number and date of the order of the head on establishing the value of refined gold in bars	Value of one bar of refined gold in national currency by varieties in masses (grams)
Purchase (by masses)					Sale (by masses)
…	…	…	…	…	…	…	…	…	…

of accounting for operations on the purchase and (or) sale of refined gold in bars issued by the National Bank

for "____"______20____year


No.	Residency attribute*	Data of the client's identity document	Purchased			Sold			Time of operation (in hours and minutes) *
Bar mass (grams)	Value in tenge*	Unique bar number	Bar mass (grams)	Value in tenge	Unique bar number
1	2	3	4	5	6	7	8	9	10

			Total for:

Cashier ______ ______

(last name, first name, patronymic (if any) (signature)

Note: – indicated in accordance with the document presented by the client during the operation: 1 – for residents (citizens of the Republic of Kazakhstan, foreigners and stateless persons permanently residing in the Republic of Kazakhstan on the basis of a permit for permanent residence in the Republic of Kazakhstan), 2 – for non-residents, 0 – for operations less than 2 (two) million tenge (inclusive), during which an identity document was not presented;

filled in the case provided for in part three of paragraph 73 of the Rules;

Note: – calculated by the purchase value;

Note: – calculated by the sale value;

Note: – time of the operation indicated in the control receipt.

Annex 16

to the Rules for conducting exchange operations

with cash foreign currency in the Republic of Kazakhstan

Form intended for collecting administrative data

Submitted to: the central office or territorial branch of the National Bank of the Republic of Kazakhstan

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

Report on operations conducted through exchange offices for the purchase and (or) sale of refined gold in bars issued by the National Bank of the Republic of Kazakhstan

Administrative data form index: 16-SMSAZ_UO

Frequency: monthly

Reporting period: for ______ 20 ___ year

Circle of persons submitting the report: authorized organization (its branch)

Deadline: by the 10th (tenth) day (inclusive) of the month following the reporting month

Form

Number and date of the license for exchange operations with cash foreign currency

______


Name of indicator	Line code	Total in tenge	Varieties by masses (grams)
…	…	…	…	…
А	Б	1	2	3	4	5	6
Section 1. Operations on the purchase of refined gold in bars from individuals
Value of purchased refined gold in bars total	110
including from non-residents	111
Quantity of purchased refined gold in bars total	120	X
Section 2. Operations on the sale of refined gold in bars to individuals
Value of sold refined gold in bars total	210
including to non-residents	211
Quantity of sold refined gold in bars total	220	X
Section 3. Operations on the purchase from the National Bank of the Republic of Kazakhstan and sale to the National Bank of the Republic of Kazakhstan of refined gold in bars
Quantity of sold refined gold in bars	310	X
Quantity of purchased refined gold in bars	320	X
Section 4. Results on operations with refined gold in bars
Balance of refined gold in bars at the beginning of the reporting period in the cash desk of the exchange office	410	X
Balance of refined gold in bars at the end of the reporting period	420	X

Name of the authorized organization (its branch) ______

Address ______ Telephone ______

Email address ______

Executor ______

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

Head or person entrusted with the function of signing the report ______ ______

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

Date "____" ______ 20__ year

Annex

to the form of the report on operations conducted

through exchange offices

for the purchase and (or)

sale of refined gold in bars issued

by the National Bank

of the Republic of Kazakhstan

Explanation on filling out the form, administrative data

"Report on operations conducted through exchange offices for the purchase and (or) sale of refined gold in bars issued by the National Bank of the Republic of Kazakhstan"

(index – 16-SMSAZ_UO, frequency - monthly)

Chapter 1. General provisions

This explanation defines requirements for filling out the form intended for collecting administrative data "Report on operations conducted through exchange offices for the purchase and (or) sale of refined gold in bars issued by the National Bank of the Republic of Kazakhstan" (hereinafter – the Form).
The Form is developed in accordance with subparagraph 9) of article 56 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan".
The Form is compiled monthly by the authorized organization (its branch) based on data for the reporting month of the log of accounting for operations on the purchase and (or) sale of refined gold in bars issued by the National Bank of the Republic of Kazakhstan, in the form according to Annex 15 to the Rules for conducting exchange operations with cash foreign currency in the Republic of Kazakhstan, approved by resolution of the Board of the National Bank of the Republic of Kazakhstan dated 4 April 2019 No. 49, registered in the Register of state registration of normative legal acts under No. 18545. A branch of the authorized organization compiles an independent Form.
The Form is signed by the head or the person entrusted with the function of signing the report, and the executor.

Chapter 2. Explanation on filling out the Form

When compiling the Form, in calculations for data in tenge, the amount of operations in tenge indicated respectively in columns 7 and 10 of the Register of accounting for operations with refined gold in bars is used.
In the absence of data for the reporting period, the Form is submitted with zero values.
Adjustments (corrections, additions) of data are made within six months after the deadline established for submitting the Form.

Name of legal entity

Organizational-legal form

Business identification number (for residents)

Share in charter capital