Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 49 on Approval of Rules for Conducting Exchange Operations with Cash Foreign Currency in the Republic of Kazakhstan

Resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019 No. 49 On Approval of the Rules for Conducting Exchange Operations with Cash Foreign Currency in the Republic of Kazakhstan (as amended and supplemented as of February 28, 2022)

See Resolution of the Board of the National Bank of the RK dated December 20, 2021 No. 118 (enters into force upon expiration of ninety calendar days after the day of its first official publication)

See Resolution of the Board of the National Bank of the RK dated March 31, 2020 No. 42 on extending the deadlines for submission of certain types of reporting during the state of emergency introduced by the Decree of the President of the Republic of Kazakhstan dated March 15, 2020 No. 285

The title is presented in the edition of the Resolution of the Board of the National Bank of the RK dated December 31, 2019 No. 265 (see old edition)

The Preamble is presented in the edition of the Resolution of the Board of the National Bank of the RK dated April 26, 2021 No. 49 (entered into force from July 1, 2021) (see old edition) In accordance with paragraph 1 of Article 92 of the Administrative Procedural-Processual Code of the Republic of Kazakhstan dated June 29, 2020, subparagraph 58) of part two of Article 15 of the Law of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", subparagraph 2) of paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan dated March 19, 2010 "On State Statistics", paragraph 2 of Article 12 of the Law of the Republic of Kazakhstan dated May 16, 2014 "On Permits and Notifications", subparagraph 2) of paragraph 4 of Article 5 and paragraph 7 of Article 12 of the Law of the Republic of Kazakhstan dated July 2, 2018 "On Currency Regulation and Currency Control", the Board of the National Bank of the Republic of Kazakhstan RESOLVES:

Point 1 is presented in the edition of the Resolution of the Board of the National Bank of the RK dated December 31, 2019 No. 265 (see old edition)

Approve the attached Rules for Conducting Exchange Operations with Cash Foreign Currency in the Republic of Kazakhstan.
Recognize as invalid certain resolutions of the Board of the National Bank of the Republic of Kazakhstan according to the list specified in the appendix to this resolution.
The Department of Payment Balance and Currency Regulation (Kuandykov A.A.) shall ensure in the manner established by the legislation of the Republic of Kazakhstan:

jointly with the Legal Department (Sarsenova N.V.) the state registration of this resolution in the Ministry of Justice of the Republic of Kazakhstan;
within ten calendar days from the date of state registration of this resolution, its sending in Kazakh and Russian languages to the Republican State Enterprise on the right of economic management "Republican Center for Legal Information" for official publication and inclusion in the Reference Control Bank of Normative Legal Acts of the Republic of Kazakhstan;
placement of this resolution on the official Internet resource of the National Bank of the Republic of Kazakhstan after its official publication;
within ten working days after the state registration of this resolution, submission to the Legal Department of information on the execution of measures provided for in subparagraphs 2) and 3) of this point and point 4 of this resolution.

The Department for Protection of Rights of Consumers of Financial Services and External Communications (Terentyev A.L.) shall ensure within ten calendar days after the state registration of this resolution the sending of its copy for official publication in periodic printed editions.
Control over the execution of this resolution is imposed on 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 from July 1, 2019.

Chairman
National Bank	E. Dosayev

"AGREED"
Ministry of Finance
Republic of Kazakhstan
March 28, 2019

"AGREED"
Committee for Statistics
Ministry of National Economy
Republic of Kazakhstan
March 28, 2019

"AGREED"
Ministry of Digital Development,
Defensive and Aerospace Industry
Republic of Kazakhstan
March 29, 2019

Approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019 No. 49

The title is presented in the edition of the Resolution of the Board of the National Bank of the RK dated December 31, 2019 No. 265 (see old edition) Rules for conducting exchange operations with cash foreign currency in the Republic of Kazakhstan

Chapter 1. General Provisions

Point 1 is presented in the edition of the Resolution of the Board of the National Bank of the RK dated December 31, 2019 No. 265 (see old edition); Resolution of the Board of the National Bank of the RK dated May 18, 2020 No. 69 (see old edition)

These Rules for Conducting Exchange Operations with Cash Foreign Currency in the Republic of Kazakhstan (hereinafter - Rules) are developed in accordance with the laws of the Republic of Kazakhstan dated March 30, 1995 "On the National Bank of the Republic of Kazakhstan", dated August 31, 1995 "On Banks and Banking Activity in the Republic of Kazakhstan" (hereinafter - Bank Law), dated March 19, 2010 "On State Statistics", dated April 15, 2013 "On State Services" (hereinafter - Law on State Services), dated May 16, 2014 "On Permits and Notifications" (hereinafter - Law on Permits), dated July 2, 2018 "On Currency Regulation and Currency Control" (hereinafter - Law on Currency Regulation) and determine the procedure for licensing authorized organizations, including qualification requirements for them, notification by an authorized bank about the commencement or cessation of exchange point activities, requirements for activities related to conducting exchange operations with cash foreign currency, conditions for the functioning of exchange points, and the procedure for conducting operations on the purchase and/or sale of refined gold in bars issued by the National Bank of the Republic of Kazakhstan (hereinafter - National Bank), as well as the forms and deadlines for submission of reports by authorized banks and authorized organizations.

Point 2 is presented in the edition of the Resolution of the Board of the National Bank of the RK dated December 31, 2019 No. 265 (see old edition); amended in accordance with the Resolution of the Board of the National Bank of the RK dated May 18, 2020 No. 69 (see old edition); Resolution of the Board of the National Bank of the RK dated April 26, 2021 No. 49 (see old edition)
2. The following terms are used in the Rules:

automated exchange point - an electromechanical device belonging to a legal entity having the right to conduct exchange operations with cash foreign currency, allowing exchange operations to be carried out without the participation of its employee by inserting cash into this device and receiving in cash an equivalent amount in another currency;
exchange operations - operations for the purchase, sale, and exchange of cash foreign currency carried out through exchange points and automated exchange points;
exchange point - a specially equipped place for conducting exchange operations with cash foreign currency, created by an authorized organization or authorized bank having the right to conduct exchange operations with cash foreign currency in the Republic of Kazakhstan based on a license of the National Bank of the Republic of Kazakhstan or an authorized body for regulation, control and supervision of the financial market and financial organizations or laws of the Republic of Kazakhstan;
operational cashier of an exchange point - a specially equipped part of the premises of an exchange point intended for the cashier serving clients when conducting operations with cash foreign currency, as well as when purchasing and/or selling refined investment gold in certified measuring bars corresponding to the national standard of the Republic of Kazakhstan ST RK 2049 "Gold Bars Measuring. Technical Conditions", issued by the National Bank of the Republic of Kazakhstan no earlier than 2017 (hereinafter - refined gold in bars);
hardware-software complex - a set of software and technical means implementing the functions of a cash register, ensuring accounting for exchange operations, purchase and/or sale of refined gold in bars, uncorrectable registration and non-volatile storage of information on completed exchange operations, operations on the purchase and/or sale of refined gold in bars;
airport - a complex of structures intended for receiving and dispatching aircraft, servicing air transportation and having for these purposes an airfield, air terminal, other necessary structures and equipment;
unified contact center - a legal entity determined by the Government of the Republic of Kazakhstan performing the functions of an information reference service for providing service recipients with information on issues of provision of state and other services, as well as to state bodies - information on issues of provision of information and communication services;
casino - a gambling establishment in which gaming tables are used to organize and conduct games of chance;
service recipient - physical and legal entities, excluding central state bodies, foreign missions of the Republic of Kazakhstan, local executive bodies of oblasts, cities of republican significance, the capital, districts, cities of oblast significance, district akims in the city, cities of district significance, settlements, villages, rural okrugs;
valid license - a license issued or reissued for exchange operations with cash foreign currency, the action of which is not suspended or terminated;
cash foreign currency - banknotes, coins, and treasury bills in circulation accepted by foreign states as legal tender;
legal entity having the right to conduct exchange operations with cash foreign currency - an authorized organization or authorized bank having the right to conduct exchange operations with cash foreign currency in accordance with the license issued to it by the National Bank, an authorized body for regulation, control and supervision of the financial market and financial organizations or laws of the Republic of Kazakhstan;
electronic copy of a document - a document fully reproducing the appearance and information (data) of the original document in electronic-digital form;
valid attachment to the license - an attachment to the license issued or reissued for exchange operations with cash foreign currency, the action of which is not suspended or terminated;
attachment to the license - an integral part of the license for exchange operations with cash foreign currency containing information about the actual location of the exchange point of the authorized organization;
state service - one of the forms of implementation of individual state functions carried out individually upon application or without application by service recipients and aimed at realizing their rights, freedoms and legitimate interests, providing them with corresponding material or immaterial benefits;
standard of a state service - a list of basic requirements for providing a state service, including characteristics of the process, form, content and result of provision, as well as other information taking into account the features of providing the state service;
information system for monitoring the provision of state services - an information system designed to automate and monitor the process of providing state services, including those provided through the State Corporation "Government for Citizens";
authorized body for assessment and control of the quality of provision of state services - a central state body carrying out within its competence activities for assessment and control of the quality of provision of state services;
border crossing point through the State Border - territory (water area) within the railway or automobile station or terminal, sea or river port, international airport or airfield, as well as any other specially allocated piece of land in immediate proximity to the State Border with the corresponding infrastructure, on which the passage of persons, vehicles, cargo and goods is carried out;
stationary trading object - a building or part of a building (built-in, built-in-attached, attached premises), structure or part of a structure (built-in, built-in-attached, attached premises), firmly connected to the ground and connected (technically joined) to engineering and technical support networks;
railway station - a complex of buildings, structures (including passenger platforms, station passages and station territory) and other types of property intended for providing the population with services for transportation by rail and receipt/delivery of baggage, cargo baggage depending on class;
authorized banks - banks and organizations created in the Republic of Kazakhstan carrying out separate types of banking operations (excluding authorized organizations), as well as branches of foreign banks carrying out activity in the Republic of Kazakhstan that carry out currency operations, including on behalf of clients;
authorized organizations - financial organizations of the Republic of Kazakhstan that are not banks, carrying out activity exclusively through exchange points based on a license of the National Bank of the Republic of Kazakhstan for exchange operations with cash foreign currency;
national currency - money in the form of banknotes and coins of the National Bank of the Republic of Kazakhstan, in circulation and serving as legal tender on the territory of the Republic of Kazakhstan, as well as withdrawn or removed from circulation but subject to exchange for money in circulation, money in bank accounts in monetary units of the Republic of Kazakhstan;
foreign currency - money in the form of banknotes, coins, in circulation and serving as legal tender on the territory of a foreign state (group of states), as well as withdrawn or removed from circulation but subject to exchange for money in circulation, money in bank accounts in monetary units of foreign states (groups of states) and international monetary or accounting units;
electronic license and electronic attachment to the license - a license for exchange operations with cash foreign currency and an attachment to the license in the form of an electronic document, formatted and issued using information technologies, equivalent to a license and attachment to a license on paper;
web portal "e-government" - an information system representing a single window of access to all consolidated government information, including normative legal base, and to state services, services for issuing technical conditions for connection to networks of natural monopoly subjects and services of quasi-state sector subjects provided in electronic form;
electronic digital signature - a set of electronic digital symbols created by means of electronic digital signature and confirming the authenticity of an electronic document, its ownership and unchangeability of content.

An authorized bank (its branch) or authorized organization (its branch) submits reports provided for by the Rules to the National Bank using information systems in compliance with procedures for confirmation by electronic digital signature.
In the absence of the possibility of submitting reports electronically, reports are formed separately for each region and submitted in paper form to the territorial branch of the National Bank at the location of the authorized bank (its branch), authorized organization (its branch). When submitting reports by different methods, the date of submission of the report is considered the earliest of the dates. If the deadline for submitting a report established by the Rules falls on a non-working day, then the date of expiration of the reporting period is considered the next working day.

Point 4 is presented in the edition of the Resolution of the Board of the National Bank of the RK dated December 31, 2019 No. 265 (see old edition)
4. A legal entity having the right to conduct exchange operations with cash foreign currency, before conducting exchange operations, purchase and/or sale of refined gold in bars, takes measures for proper verification of clients in accordance with Article 5 of the Law of the Republic of Kazakhstan dated August 28, 2009 "On Countering the Legalization (Money Laundering) of Proceeds Obtained by Criminal Means and Financing of Terrorism" (hereinafter - Law on AML/CFT).

Chapter 2. Qualification Requirements for Authorized Organizations

The authorized organization is established in the organizational-legal form of a limited liability company.
Paragraph 6 is amended in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 No. 265 (see old version); changes were made in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 No. 69 (see old version); Resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 26, 2021 No. 49 (see old version); Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 20, 2021 No. 118 (entered into force on February 28, 2022) (see old version).
The founders, participants (some of the founders, participants) of the authorized organization are resident and non-resident natural and legal persons of the Republic of Kazakhstan, with the exception of:

persons who are founders, participants (some of the founders, participants) of an authorized organization regarding which a decision has been made to revoke the license for exchange operations with cash foreign currency, from the date of which three years have not yet passed;
persons against whom there is a final court decision applying criminal punishment in the form of deprivation of the right to hold the position of a senior employee of a financial organization, banking and/or insurance holding, and to be a major participant (major shareholder) of a financial organization;
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 on AML/CFT;
persons registered in one of the following foreign states and/or parts of territories of foreign states characterized as offshore zones:
United States of America (only in part of the territories of the US Virgin Islands, state of Wyoming, island of Guam, state of Delaware, and 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 part of the territory of the Cook Islands and Niue); Spain (only in part 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 part of the territories of the Special Administrative Region of Macau); Republic of Liberia; Lebanese Republic; Principality of Liechtenstein; Islamic Republic of Mauritania; Malaysia (only in part of the territory of the Labuan enclave); Maldives; Republic of Malta; Marianas Islands; Republic of the Marshall Islands; Kingdom of Morocco (only in part of the territory of the city of Tangier); Union of Myanmar; Republic of Nauru; Federative Republic of Nigeria; Netherlands (only in part of the territory of the island of Aruba and dependent territories of the Dutch Antilles); Republic of Palau; Republic of Panama; Portugal (only in part 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 part of the territories of Anguilla, Bermuda, British Virgin Islands, Gibraltar, Cayman Islands, Montserrat, Turks and Caicos Islands); Sovereign Democratic Republic of Fiji; Republic of the Philippines; French Republic (only in part of the territories of French Guiana and French Polynesia); Republic of Montenegro; Democratic Republic of Sri Lanka; Jamaica;
persons included in the list of states (territories) that do not perform or insufficiently perform the recommendations of the Financial Action Task Force (FATF), 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;
legal entities whose founders, participants (some of the founders, participants) are persons registered in one of the foreign states and/or parts of territories of foreign states characterized as offshore zones listed in subparagraph 4) of this paragraph, as well as legal entities whose founders, participants (some of the founders, participants) are persons included in the list of states (territories) that do not perform or insufficiently perform the recommendations of the Financial Action Task Force (FATF), 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;
persons who were founders, participants (some of the founders, participants) of an authorized organization, regarding which a check initiated by the National Bank has not been completed due to the voluntary return of the valid license and valid attachment(s) to the license, from the date of which three years have not yet passed.

Rules are supplemented with paragraph 6-1 in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 26, 2021 No. 49; re-drafted in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 20, 2021 No. 118 (entered into force on February 28, 2022) (see old version).

6-1. The following persons shall not be appointed as the head of the authorized organization (its branch):

lacking higher education;
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;
against whom there is a final court decision applying criminal punishment in the form of deprivation of the right to hold the position of a senior employee of a financial organization, banking and/or insurance holding, and to be a major participant (major shareholder) of a financial organization.

Paragraph 7 is re-drafted in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 No. 265 (see old version).

The charter capital of the authorized organization is formed in monetary form in full before the legal entity applies for a license for exchange operations with cash foreign currency and/or an attachment to the license.

Paragraph 8 is re-drafted in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 No. 265 (see old version).

The minimum size of the charter capital of the authorized organization is:

100,000,000 (one hundred million) Kazakhstani tenge (hereinafter - tenge) for each exchange point (automated exchange point) located in the city of Nur-Sultan, cities of republican significance, administrative centers of regions, and cities of regional significance;
50,000,000 (fifty million) tenge for each exchange point (automated exchange point) with any other location.

Upon opening an additional exchange point (automated exchange point) by the authorized organization, its charter capital, formed in monetary form, must be increased in accordance with the requirements of paragraph 8 of these Rules.

Paragraph 10 is re-drafted in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 No. 265 (see old version).

In the event that a city is classified as a city of republican or regional significance or recognized as an administrative center of a region, the authorized organization having an exchange point in that city must bring the size of its charter capital into compliance with the requirement established by subparagraph 1) of paragraph 8 of these Rules within six months from the date the city is classified as a city of republican or regional significance or recognized as an administrative center of a region.

Changes were made to paragraph 11 in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 No. 265 (see old version); re-drafted in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 26, 2021 No. 49 (see old version); Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 20, 2021 No. 118 (entered into force on February 28, 2022) (see old version).

Requirements for the premises, equipment, and personnel of the exchange point (excluding automated exchange point):

security organization and the arrangement of the exchange point premises shall be carried out in accordance with the requirements established in the Rules on Organization of Security and Arrangement of Premises of Second-Tier Banks, Branches of Non-Resident Banks of the Republic of Kazakhstan, the National Postal Operator, Legal Entities Whose Exclusive Activity Is Cash-in-Transit of Banknotes, Coins, and Valuables, and Legal Entities Carrying Out Activity Exclusively Through Exchange Points Based on a License of the National Bank of the Republic of Kazakhstan for Exchange Operations with Cash Foreign Currency, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated February 24, 2020 No. 14, registered in the Registry of State Registration of Normative Legal Acts under No. 20075;
the operating cashier of the exchange point is equipped with a video surveillance system ensuring recording and storage of information for 90 (ninety) calendar days on technical devices providing backup archiving of video data and protection of the archive from deletion and editing; at the same time, the cashier's work area and the client are within the field of view of the video surveillance, and the corresponding devices are installed in places ensuring no interference with video surveillance;
the cashier's workstation is equipped with a hardware-software complex or a cash register and software for accounting of exchange operations in accordance with the requirements of these Rules, as well as technical means for determining the authenticity of banknotes, ensuring verification of banknotes in ultraviolet light (control of paper luminescence and others) and verification of banknotes for the presence of magnetic marks;
the cashier has undergone training in working with cash foreign currency or has experience working with cash foreign currency of at least six months.

Chapter 3 heading is re-drafted in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 No. 265 (see old version).

Chapter 3. Procedure for Licensing Authorized Organizations

Paragraph 12 has been amended in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 No. 265 (see old edition); presented in the edition of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 26, 2021 No. 49 (see old edition).

To obtain a license and an attachment to the license, the authorized organization submits through the "e-government" web portal the following documents:

an electronic application for obtaining a license for exchange operations with cash foreign currency and an attachment to the license according to the form specified in Appendix 1 to these Rules, electronic copies of documents confirming the applicant's compliance with the qualification requirements provided for in paragraph 13 of these Rules;
an electronic copy of the charter;
an electronic copy of the document confirming payment of the license fee for the right to engage in certain types of activities, except for cases of payment through the "e-government" payment gateway;
an electronic copy of a certificate from a second-level bank or a branch of a non-resident bank of the Republic of Kazakhstan confirming the existence of a foreign currency bank account.

Paragraph 13 has been amended in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 No. 265 (see old edition); presented in the edition of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 26, 2021 No. 49 (see old edition).

As confirmation of compliance with qualification requirements, the authorized organization submits through the "e-government" web portal the following documents:

an electronic application for obtaining a license for exchange operations with cash foreign currency and an attachment to the license according to the form specified in Appendix 1 to these Rules (in the case provided for in paragraph 12 of these Rules), an electronic application for obtaining an attachment to a valid license for exchange operations with cash foreign currency for an additionally opened exchange point according to the form specified in Appendix 2 to these Rules (in the case provided for in paragraph 17 of these Rules);
an electronic copy of a document from a second-level bank or a branch of a non-resident bank of the Republic of Kazakhstan (including an extract on the movement of funds in the client's bank accounts) confirming the crediting of money to the bank account of the authorized organization as a contribution to the charter capital in accordance with the requirements of paragraph 8 of these Rules, issued no earlier than 30 (thirty) calendar days before the date of application for the license and/or attachment to the license, or an electronic copy of financial statements as of the first day of the month of submission of the application for obtaining an attachment to a valid license for exchange operations with cash foreign currency for an additionally opened exchange point according to the form specified in Appendix 2 to these Rules, which confirms that the size of the charter capital of the authorized organization meets the established requirements taking into account the additional exchange point (in the case provided for in paragraph 17 of these Rules);
an electronic copy of a certificate from a second-level bank or a branch of a non-resident bank of the Republic of Kazakhstan confirming that the cashier has undergone training on working with cash foreign currency, or an electronic copy of a document provided for by the Labor Code of the Republic of Kazakhstan dated November 23, 2015, confirming the labor activity of the employee for at least 6 (six) months as a cashier for working with cash foreign currency (except for an automated exchange point);
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 sale-purchase agreement, income certificate, other documents disclosing the source of origin of the contribution to the charter capital of the authorized organization).

When applying for an attachment to a valid license for an additionally opened exchange point (automated exchange point), the document provided for in subparagraph 4) of part one of this paragraph is submitted if the territorial branch of the National Bank lacks 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 qualification requirements when opening an automated exchange point, the authorized organization submits through the "e-government" web portal the electronic document indicated in subparagraph 1) of part one of this paragraph, electronic copies of the documents indicated in subparagraphs 2) and 4) of part one 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 these Rules.

Paragraph 14 is presented in the edition of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 No. 265 (see old edition); Resolution of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 No. 69 (see old edition).

A license for exchange operations with cash foreign currency and an attachment to the license for exchange operations with cash foreign currency are issued by the territorial branch of the National Bank through the "e-government" web portal in Kazakh and Russian languages according to the forms specified in Appendices 3 and 4 to these Rules.

Paragraph 15 is presented in the edition of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 No. 69 (see old edition).

The presence of a valid attachment 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 obtains an attachment to a valid license, which is issued in Kazakh and Russian languages according to the form specified in Appendix 4 to these Rules.
An authorized organization opens exchange points outside the region (region, city of republican significance, capital) of the place of state registration of the authorized organization upon having a valid license and a branch of the authorized organization in the corresponding region (region, city of republican significance, capital).

In the event of opening an exchange point outside the region (region, city of republican significance, capital) of the place of state registration of the authorized organization, the corresponding branch of the authorized organization applies to the territorial branch of the National Bank at the location of the opened exchange point for an attachment to a valid license.

To obtain an attachment to a valid license for an additionally opened exchange point (automated exchange point), the authorized organization (its branch) submits through the "e-government" web portal documents confirming the applicant's compliance with the qualification requirements provided for in paragraph 13 of these Rules.

These Rules are supplemented by paragraphs 17-1 - 17-5 in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 No. 69.

17-1. The list of basic requirements for providing the state service "Issuance of a license for exchange operations with cash foreign currency, issued to authorized organizations" (hereinafter - state service), including characteristics of the process, form, content and result of provision, as well as other information taking into account the features of providing the state service, is established in Appendix 4-1 to these 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 attachment to the license or an attachment to a valid license (hereinafter - application) through the "e-government" web portal, carries out its reception, registration and forwarding for execution to the department responsible for providing the state service (hereinafter - responsible department).

If the application arrives after the end of working hours, on weekends and holidays according to the Labor Code of the Republic of Kazakhstan dated November 23, 2015, reception of applications is carried out on the next working day.

When the service recipient sends an application through the "e-government" web portal, the status of acceptance of the request for the state service is automatically displayed in the personal account, indicating the date and time of receiving the result.

17-3. An employee of the responsible department within 2 (two) working days from the date of registration of the application checks the completeness of the submitted documents.

In the event of establishing the fact of incompleteness of the submitted documents, the employee of the responsible department within 2 (two) working days from the date of registration of the application prepares and sends a reasoned refusal to further consideration of the application.

Upon establishing the fact of completeness of the submitted documents, the employee of the responsible department within 20 (twenty) working days from the date of registration of the application for obtaining a license and an attachment to the license, and within 10 (ten) working days from the date of registration of the application for obtaining an attachment to a valid license, reviews the documents for their compliance with the requirements of the legislation of the Republic of Kazakhstan, prepares a draft license and attachment to the license, attachments to a valid license, or a reasoned refusal.

17-4. Inspection of the premises and equipment of the exchange point of the authorized organization for compliance with the imposed requirements is conducted 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 attachment to the license.

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

Excluded in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 No. 69 (see old edition).

Paragraph 19 has been amended in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 No. 265 (see old edition); presented in the edition of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 No. 69 (see old edition); presented in the edition of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 26, 2021 No. 49 (see old edition).

An authorized organization applies to the territorial branch of the National Bank via the "e-government" web portal for reissuance of a valid license in the following cases:

reorganization of the authorized organization in the form of merger, accession;
change of name and/or place of state registration of the authorized organization;
change of the name of the type of activity of the authorized organization.

An authorized organization (its branch) applies to the territorial branch of the National Bank via the "e-government" web portal for reissuance of a valid attachment to a valid license in the following cases:

reissuance of a valid license for exchange operations with cash foreign currency;
change of the address of the location of the exchange point without its physical relocation.

Reissuance of a license and/or an attachment to a license is not carried out in the cases specified in subparagraph 2) of part one and subparagraph 2) of part two of this paragraph, if the change of 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 dated December 8, 1993 "On the Administrative-Territorial Device of the Republic of Kazakhstan".

An electronic application for reissuance of a license for exchange operations with cash foreign currency and/or an attachment to a license for exchange operations with cash foreign currency according to the form specified in Appendix 5 to these Rules is submitted through the "e-government" web portal within 30 (thirty) calendar days from the day the changes occurred, which served as the basis for reissuance of the valid license and/or valid attachment to the license.

These Rules are supplemented by paragraphs 19-1 - 19-6 in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 No. 69.

19-1. For reissuance of a valid license and/or valid attachment to a license, the authorized organization submits through the "e-government" web portal the following documents:

an electronic application for reissuance of a license for exchange operations with cash foreign currency and/or an attachment to a license for exchange operations with cash foreign currency according to the form specified in Appendix 5 to these Rules;
electronic copies of documents containing information about the changes that served as the basis for reissuance of the license and/or attachment to a valid license, except for documents whose information is contained in state information systems;
an electronic copy of a document confirming payment of the license fee for the right to engage in certain types of activities, except for cases of payment through the "e-government" payment gateway (in the case of reissuance of a valid license for exchange operations with cash foreign currency).

19-2. When reissuing a valid license and/or valid attachment to a valid license, the employee of the responsible department within 2 (two) working days from the date of registration of the application for reissuance of the license and/or attachment to the license checks the completeness of the submitted documents.

In the event of establishing the fact of incompleteness of the submitted documents, the employee of the responsible department within the period specified in part one of this paragraph prepares and sends a reasoned refusal to further consideration of the application.

Upon establishing the fact of completeness of the submitted documents, the employee of the responsible department within 10 (ten) working days from the date of registration of the application for reissuance of the license and/or attachment to the license reviews the documents for their compliance with the requirements of the legislation of the Republic of Kazakhstan, prepares a draft of the reissued license and/or attachment to a valid license, or a reasoned refusal.

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

19-3. Information about the stage of providing the state service is updated automatically in the monitoring system for the provision of state services.

Paragraph 19-4 is presented in the edition of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 26, 2021 No. 49 (see old edition).

19-4. Grounds for refusing to issue, reissue a license and/or an attachment to it are:

failure to submit documents and/or information provided for in paragraph 4 of Article 12 of the Law on Currency Regulation and paragraph 1 of Article 32 of the Law on Permits, as well as failure to submit documents provided for in paragraph 8 of Appendix 4-1 to these Rules;
non-compliance of the applicant and/or submitted documents and/or information with the requirements established by paragraph 4 of Article 12 of the Law on Currency Regulation and paragraph 1 of Article 32 of the Law on Permits.

Paragraph 19-5 is presented in the edition of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 26, 2021 No. 49 (entered into force from July 1, 2021) (see old edition).

19-5. Appeal of decisions, actions (inaction) of the territorial branch of the National Bank and/or its officials on issues of providing the state service is made in written (paper and/or electronic) form. An appeal in electronic form is submitted through the "e-government" web portal.

The appeal is submitted by the service recipient to the territorial branch of the National Bank no later than three months from the day they became aware of the decision taken.

If the term established by part two of this paragraph is missed for a valid reason, this term is restored by the National Bank upon the petition of the service recipient.

For the purpose of restoring the missed term for filing an appeal, the National Bank recognizes illness and circumstances of force majeure as valid reasons.

The missed term for appeal is not a ground for refusing to accept the appeal by the National Bank. Reasons for missing the term are clarified during the consideration of the appeal and are one of the grounds for refusing to satisfy the appeal.

The territorial branch of the National Bank no later than the next working day after receipt of the appeal forwards it for consideration to the department of the National Bank responsible for the quality of providing the state service.

In the appeal of a legal entity, its name, postal address, outgoing number and date of submission of the appeal are indicated. The appeal is signed by the service recipient.

Confirmation of acceptance of an appeal in paper form is its registration (stamp, incoming number and date) in the registry office of the territorial branch of the National Bank, indicating the surname and initials of the person who accepted the appeal, the term and place of receipt of the response to the submitted appeal. Confirmation of acceptance of an appeal in electronic form is the receipt in the user's personal account of the "e-government" web portal of a notification about the registration of the appeal with the indication of the registration date and the registration number assigned by the territorial branch of the National Bank.

An appeal of the service recipient regarding the provision of the state service, received by the territorial branch of the National Bank, is considered within 5 (five) working days from the date of its registration.

Excluded in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 No. 69 (see old edition).
Excluded in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 No. 69 (see old edition).
An authorized organization within 10 (ten) working days from the date of accounting registration (re-registration) of its branch in the justice authorities notifies the territorial branch of the National Bank at the place of state registration of the authorized organization in writing, attaching a copy of the certificate of accounting registration (re-registration) of the branch of the authorized organization.
An authorized organization notifies the territorial branch of the National Bank in writing about a change in the size of the charter capital formed in monetary form and/or the composition of founders (participants) no later than 10 (ten) working days from the date of registration and/or notification of the justice authorities, submitting copies of the new edition of the charter or changes and/or additions made to the charter (notarially certified in case of non-submission of originals for verification), as well as a document confirming that the authorized organization notified the justice authorities.

In the event of an increase in the size of the charter capital, the documents specified in subparagraphs 2) and 4) of paragraph 13 of these Rules are submitted.

Information about founders (participants) of the authorized organization is submitted according to the form specified in Appendix 6 to these Rules if the composition of founders (participants) and/or the size of the charter capital formed in monetary form has changed.

An authorized organization (its branch) within 10 (ten) working days from the date of adopting a decision to increase the number of operational cashiers at the exchange point notifies the territorial branch of the National Bank in writing, attaching a copy of the corresponding decision.
A valid license and/or valid attachment to the license cease to be valid in cases established by Article 35 of the Law on Permits.

Paragraph 26 has been amended in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 No. 265 (see old edition); presented in the edition of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 26, 2021 No. 49 (see old edition).

In the event of voluntary liquidation or refusal to engage in exchange operations with cash foreign currency, an authorized organization within 10 (ten) working days from the date of adopting the decision notifies the territorial branch of the National Bank in writing or via the "e-government" web portal about the adopted decision, attaching a copy of the corresponding decision.

In the event of voluntary cessation of activity of its branch, an authorized organization within 10 (ten) working days from the date of adopting the corresponding decision notifies the territorial branch of the National Bank at the place of accounting registration of the branch ceasing activity in writing or via the "e-government" web portal, attaching a copy of the corresponding decision.

Upon closing an exchange point, an authorized organization (its branch) within 10 (ten) working days from the date of closing the exchange point notifies the territorial branch of the National Bank in writing or via the "e-government" web portal about the adopted decision.

Paragraph 27 has been amended in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 No. 265 (see old edition).

In the event of suspension of action or deprivation of a valid license and/or valid attachment to the license of an authorized organization, the decision on deprivation (suspension) of the action of a license for exchange operations with cash foreign currency and/or an attachment to a license for exchange operations with cash foreign currency is оформляется (drawn up) according to the form specified in Appendix 7 to these Rules and approved by the head of the territorial branch of the National Bank.

A copy of the corresponding decision of the territorial branch of the National Bank is brought to the attention of the authorized organization on the day the decision is taken.

From the moment of receiving a copy of the corresponding 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:

the activity of all exchange points belonging to it - in the event of suspension of the action of a valid license;
the activity of an exchange point - in the event of suspension of the action of a valid attachment to the license.

Chapter 4. Procedure for Notification by an Authorized Bank about the Beginning or Cessation of Activity of Exchange Points

Paragraph 28 is amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 26, 2021 No. 49 (see previous version).

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), with the exception of a branch of an authorized bank located in the capital or a city of republican significance, which may open exchange offices (automated exchange offices) within the oblast adjacent to the capital or city of republican significance.
When opening or closing an exchange office (automated exchange office), the authorized bank (its branch) sends a notification of the start or cessation of the exchange office's activities to the territorial branch of the National Bank using the form specified in Appendix 8 to the Rules.
The territorial branch of the National Bank confirms receipt of the notification to the authorized bank within 3 (three) working days from the date of notification by sending a written confirmation using the form specified in Appendix 9 to the Rules.
Notification of the start of activities of an exchange office is submitted by the authorized bank no later than the date of commencement of operations by the exchange office and serves as confirmation by the authorized bank that the opened exchange office meets the requirements of the Rules.
Notification of the cessation of activities of an exchange office is sent on the next working day after the last operation conducted by the exchange office.
In case of changes in a previously submitted notification, including when errors are discovered in the notification of the start of activities of an exchange office regarding information or data mandatory for completion, the authorized bank (its branch) sends a notification of the start or cessation of activities of the exchange office to the territorial branch of the National Bank within 10 (ten) working days from the date of changes, using the form specified in Appendix 8 to the Rules.
A notification of the start or cessation of activities of an exchange office, as well as changes to the information indicated in the notification of the start of activities of an exchange office, is submitted electronically via the "e-government" web portal.

Heading of Chapter 5 is amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 No. 265 (see previous version).
Chapter 5. Requirements for Activities Related to Conducting Foreign Currency Cash Exchange Operations

Paragraph 33 is amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 No. 265 (see previous version).

A legal entity having the right to conduct foreign currency cash exchange operations ensures compliance with the requirements for the premises, equipment, and staff of the exchange office (except for automated exchange offices) during the operation of the exchange office, as established in paragraph 11 of the Rules.

The Rules are supplemented with paragraph 33-1 in accordance with Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 No. 265.

33-1. For activities related to conducting foreign currency cash exchange operations, the authorized organization ensures daily availability of funds in tenge or foreign currency, as well as refined gold in ingots (if available), in its bank accounts and/or in the cash register of the exchange office in an amount of not less than 100 (one hundred) percent of the minimum size of the authorized capital. The equivalent of the amount of money in foreign currency held in the bank accounts and/or in the cash register of the exchange office of the authorized organization is calculated in tenge using the market exchange rate.

The Rules are supplemented with paragraph 33-2 in accordance with Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 No. 265; amendments made in accordance with Resolution of the Board of the National Bank of the Republic of Kazakhstan dated May 18, 2020 No. 69 (see previous version).

33-2. The working hours of exchange offices (automated exchange offices) are determined independently by the legal entity having the right to conduct foreign currency cash exchange operations within the time frame from 09:00 to 20:00, with the exception of exchange offices (automated exchange offices) located inside railway station buildings, casinos, inside international airport terminals, as well as on the territory of automobile, sea, and river border crossing points of the Republic of Kazakhstan. The working hours of exchange offices (automated exchange offices) located in buildings of stationary retail facilities of category 1 (first) are determined independently by the legal entity having the right to conduct foreign currency cash exchange operations within the time frame from 09:00 to 22:00.

Exchange operations are not conducted in an exchange office if, due to circumstances arising (technical failure, breakdown, or other reasons), the premises of the exchange office, equipment for functioning of the exchange office, and/or staff of the exchange office do not meet the requirements of paragraph 11 of the Rules.

Paragraph 35 is amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 No. 265 (see previous version).

In the event of temporary suspension of activities of an exchange office initiated by the legal entity having the right to conduct foreign currency cash exchange operations (its branch) for a period of more than 30 (thirty) calendar days, as well as resumption of activities of the exchange office, the legal entity (its branch) notifies the territorial branch of the National Bank at the location of the exchange office in writing within 5 (five) working days from the date of adoption of the decision to suspend or resume activities of the exchange office, attaching a copy of the said decision.
The term of temporary suspension of activities of an exchange office initiated by the legal entity having the right to conduct exchange operations (its branch) cannot exceed 12 (twelve) consecutive months.
Equipping the premises of an exchange office with multiple operational cashier counters of the exchange office is permitted.
An automated exchange office, when performing an exchange operation, ensures the implementation of the function of determining the authenticity of banknotes by the following methods:
checking for conformity of the visible image on both sides of the banknote of the national currency of the Republic of Kazakhstan 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 others).
Combining the conduct of exchange operations and other banking operations conducted by the authorized bank in accordance with banking legislation is permitted in an exchange office located in the premises of the authorized bank (its branch), provided there is a hardware-software complex allowing separate accounting of exchange operations from other banking operations.

Amendments made to Paragraph 39 in accordance with Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 No. 265 (see previous version).

The following information is placed in each exchange office in a place accessible for viewing by clients:

a copy of the license for exchange operations with foreign currency cash in Kazakh and Russian languages, 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;
for authorized organizations - a copy of a valid appendix to the valid license issued by the territorial branch of the National Bank for this specific exchange office;
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 exchange office certificate (for exchange offices that have received an exchange office certificate before the entry into force of the Rules);
the working schedule of the exchange office;
an information stand for clients (at least 0.4 meters in height and 0.4 meters in width), containing information on the purchase rate and/or sale rate of foreign currency cash for tenge, established for each foreign currency with which operations for purchase and/or sale are conducted at the exchange office.
Placement of information on the purchase rate and/or sale rate of foreign currency cash for tenge on the monitor of an automated exchange office is permitted.
information for clients of the exchange office in the form specified in Appendix 10 to the Rules, containing information about the territorial branch of the National Bank carrying out supervision over the activities of the exchange office and about the possibility of submitting a complaint to this territorial branch of the National Bank in case of remarks regarding the work of this exchange office;
information on the main signs of banknotes fit for circulation and unfit for circulation, and the procedure and conditions for accepting non-negotiable or unfit for circulation foreign currency banknotes for collection (except for automated exchange offices);
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;
information about the cashier (surname, name, patronymic (if any)) who provides service to clients (except for automated exchange offices).

Amendments made to Paragraph 40 in accordance with Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 No. 265 (see previous version).

The following documents are stored in the premises of the exchange office (except for automated exchange offices):

a copy of the order of the head of the legal entity having the right to conduct foreign currency cash exchange operations (its branch) on hiring and/or appointing the corresponding person to the position of cashier;
a copy of the document certifying that the cashier of the exchange office has undergone special training in working with foreign currency cash, or a copy of the document confirming the experience of the cashier of the exchange office in working with foreign currency cash for at least 6 (six) months;
a copy of the document identifying the identity of the cashier of the exchange office;
a copy of the internal control rules of the legal entity having the right to conduct foreign currency cash exchange operations, developed and adopted in accordance with the requirements of Article 11 of the Law on AML/CFT, with a note indicating that the cashier of the exchange office has been acquainted with these rules.
In the premises of the exchange office of the authorized organization (its branch), storage of a document with specimen signatures of the head and other persons having the right to issue orders on establishing purchase, sale, and cross-rates is additionally ensured, along with a copy of the registration card of the cash register machine and a copy of the contract with the authorized bank specified in paragraph 55 of the Rules.

Paragraph 41 is amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 20, 2021 No. 118 (entered into force on January 9, 2022) (see previous version).

The presence of unauthorized persons in the premises of operational cashier counters of exchange offices is prohibited.
Funds not related to the activities of the legal entity having the right to conduct foreign currency cash exchange operations and other items are stored in a specially designated room or cabinets located outside the premises of the operational cashier counter of the exchange office.

Heading of Chapter 6 is amended by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 31, 2019 No. 265 (see previous version).
Chapter 6. Conditions for the Functioning of Exchange Offices

Exchange operations for the purchase and/or sale of cash foreign currency are conducted in exchange points in accordance with the purchase and sale rates established based on an order setting the rates.

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

It is permitted to set different rates simultaneously in one order setting the rates depending on the amounts of exchange operations conducted.

Paragraph 43 has been amended in accordance with the Resolution of the Board of the National Bank of RK dated December 31, 2019 No. 265 (see old version).

The order setting the rates is issued by the head of a legal entity having the right to conduct exchange operations with cash foreign currency (its branch) or another person to whom such powers have been granted, with mandatory indication of the number, date, and time (defined in hours and minutes) of its issuance.

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

Paragraph 44 is presented in the edition of the Resolution of the Board of the National Bank of RK dated December 31, 2019 No. 265 (see old version).

The order setting the rates is issued in electronic form (hereinafter - electronic order) in case a legal entity having the right to conduct exchange operations with cash foreign currency (its branch) uses a hardware-software complex providing for:

centralized delivery of the electronic order setting rates to exchange points;
the ability to identify the person who issued the electronic order;
storage of electronic orders for 3 (three) years.

The order setting the rates in paper form is issued in one copy in case the exchange point is located at the location of the legal entity having the right to conduct exchange operations with cash foreign currency (its branch). In other cases, one copy of the order setting the rates remains with the legal entity having the right to conduct exchange operations with cash foreign currency (its branch), and one copy of the order is sent to each exchange point for which such an order is issued.

The specified copies of orders are stored for 3 (three) years.

Paragraph 45 has been amended in accordance with the Resolution of the Board of the National Bank of RK dated December 31, 2019 No. 265 (see old version).

Change of the purchase and sale rates of cash foreign currency is carried out only on the basis of issuing a new order setting the rates. At the same time, from the beginning of the validity of the new order setting the rates, the previous order is canceled.

If the order setting the rates is issued for the purpose of changing the purchase and/or sale rates for specific types of currencies for which exchange operations are conducted in the exchange point, then the issued order setting the rates contains information both on the changed purchase and/or sale rates and on other currently valid purchase and sale rates for the exchange point.

It is permitted to set different rates in different exchange points of one legal entity having the right to conduct exchange operations with cash foreign currency (its branch).

Throughout the entire period of validity of the order setting the rates for all types of currencies for which exchange operations are conducted in the exchange point, the purchase and/or sale rates of currency indicated in this order are displayed on the information stand for clients.
The National Bank establishes limits for the deviation of the purchase rate from the sale rate of foreign currency for tenge for operations conducted through exchange points.

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 one unit of foreign currency in national currency and the sale rate of one unit of foreign currency in national currency, established for the exchange point based on a written order of an official of the authorized bank or authorized organization.

For foreign currencies, the exchange rate quotation for which 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 a ten (hundred, thousand) 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 points is established as a maximum permissible difference expressed in tenge between the sale rate and the purchase rate of foreign currency for tenge.

Paragraph 49 is presented in the edition of the Resolution of the Board of the National Bank of RK dated April 26, 2021 No. 49 (see old version).

Each exchange operation conducted in an exchange point, including through an automated exchange point, after its completion is recorded in the journal of registers of purchased and sold cash foreign currency, which is kept in electronic form and contains all requisites and indicators established in the journal of registers of purchased and sold cash foreign currency according to the form attached as Appendix 11 to the Rules (hereinafter - journal of registers).

The journal of registers is kept separately in each operating cash desk of the exchange point and in each automated exchange point in the hardware-software complex. The legal entity having the right to conduct exchange operations with cash foreign currency ensures storage in the hardware-software complex of information on completed exchange operations reflected in the journal of registers for 5 (five) years from the day of their completion.

For authorized organizations, keeping the journal of registers in electronic form using software is allowed, taking into account the requirements of this paragraph.

In case of a change in the purchase and/or sale rate during the working hours of the exchange point based on the order setting the rates, an interim summary of the volumes of purchased and sold cash foreign currency is compiled in the journal of registers before the start of operations under the new purchase and/or sale rate of cash foreign currency. After the end of the working day of the exchange point, summaries of operations conducted during the working day are reflected in the journal of registers.

Paragraph 51 is presented in the edition of the Resolution of the Board of the National Bank of RK dated December 31, 2019 No. 265 (see old version); Resolution of the Board of the National Bank of RK dated April 26, 2021 No. 49 (see old version).

For exchange operations conducted through exchange points (including automated exchange points), for an amount exceeding the equivalent of 500,000 (five hundred thousand) tenge at the rate of the exchange operation, the following are fixed in the journal of registers:

surname, first name, and patronymic of the client (if available) (first name and patronymic are indicated in full);
individual identification number of the client (if available);
data of the document certifying the identity of the client - type of document, date of issue, document number, validity period;
legal address of the client.

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

Fixing client data, except for the legal address of the client, in the journal of registers is carried out on the basis of data from the document certifying the identity of the client.

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

purchase by the exchange point of one foreign currency for tenge at the purchase rate of this type of currency by this exchange point;
sale by the exchange point of another foreign currency for tenge at the sale rate of this type of currency by this exchange point.

Paragraph 53 has been amended in accordance with the Resolution of the Board of the National Bank of RK dated December 31, 2019 No. 265 (see old version); Resolution of the Board of the National Bank of RK dated April 26, 2021 No. 49 (see old version).

Restrictions are not established on the acceptance of banknotes in circulation by denomination and years of issue when conducting exchange operations, nor is refusal to individuals to conduct an exchange operation carried out if there is cash foreign and cash national currency in the exchange point in the amount necessary to conduct the exchange operation, except for cases provided for in Article 13 of the Law on AML/CFT, or failure to present a document certifying the identity of the client, in accordance with part three of paragraph 51 of the Rules.

In case of refusal to an individual to conduct an exchange operation due to the absence in the exchange point of cash national or cash foreign currency for which purchase and/or sale rates were established in the exchange point, upon the request of the individual, a certificate in arbitrary form is issued by the cashier of the exchange point indicating the type and amount of currency missing in the exchange point, and the date and time of issuance of the certificate. The certificate is signed by the cashier of the exchange point and registered in the manner established by the internal rules of the legal entity having the right to conduct exchange operations with cash foreign currency (its branch).

Paragraph 54 is presented in the edition of the Resolution of the Board of the National Bank of RK dated April 26, 2021 No. 49 (see old version).

An exchange point (automated exchange point) confirms the conduct of an exchange operation by issuing a control check in accordance with subparagraph 2) of paragraph 5 of Article 166 of the Code of the Republic of Kazakhstan dated December 25, 2017 "On Taxes and Other Mandatory Payments to the Budget" (Tax Code) (hereinafter - Tax Code).
Replenishment of the cash desk of an exchange point of an authorized organization with cash national and/or foreign currency is carried out at the expense of operations with individuals, based on a contract with the authorized bank for the purchase of non-cash foreign currency or based on a contract 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.

Paragraph 56 is presented in the edition of the Resolution of the Board of the National Bank of RK dated December 31, 2019 No. 265 (see old version).

A legal entity having the right to conduct exchange operations with cash foreign currency independently makes a decision on conducting operations for the purchase, sale, and exchange of coins of foreign states (groups of states).
Commission remuneration for the purchase and/or sale of cash foreign currency that is legal tender in the country of the issuer, as well as for the exchange of cash foreign currency of earlier years of issue for cash foreign currency of later years of issue, is not charged.

Paragraph 58 has been amended in accordance with the Resolution of the Board of the National Bank of RK dated December 31, 2019 No. 265 (see old version).

The main signs of legal tender include the presence on the banknote of the name of the issuing bank, number and series, denomination in figures and words, 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 in ultraviolet light, 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 having the right to conduct exchange operations with cash foreign currency (its branch) independently acquires reference and informational materials on determining the authenticity and paymentability of banknotes from persons engaged in the reproduction of this type of product.

Valid legal tender are recognized as foreign currency banknotes having the following damages:

slight wear and dirt allowing determination of the image of the foreign currency banknote;
having glued-off corners or pieces (area no more than 1 (one) square centimeter), if the torn parts undoubtedly belong to the same foreign currency banknote;
having no more than 3 (three) tears (including glued ones), not exceeding 1 (one) centimeter in width, 4 (four) centimeters in length, along the diagonal of the foreign currency banknote;
having small oil and other spots, inscriptions, and stamp impressions (no more than 2 (two) stamps, inscriptions, except for stamps certifying the cancellation of the foreign currency banknote or that the foreign currency banknote is not genuine or a sample), if they do not prevent the determination of the authenticity of foreign currency banknotes and do not cover more than 50 (fifty) percent of the signs specified in paragraph 58 of the Rules;
having no more than 2 (two) holes with hole diameters no more than 1 (one) millimeter.

Foreign currency banknotes are recognized as invalid for circulation if they do not meet the requirements specified in paragraph 59 of the Rules and/or have the following damages:

torn into parts (including glued);
changed original color or discolored;
burned or scorched;
completely or significantly (more than 50 (fifty) percent of 1 (one) of the main signs of valid legal tender) covered with paint, ink, oil;
subjected to external influences leading to the glowing of paper in ultraviolet light;
having significant intentional damages (main designs changed, specifically portraits of people removed, security thread removed, presence of significant inscriptions, including those visible in ultraviolet light, more than 2 (two) stamp impressions and stamps certifying the cancellation of the foreign currency banknote or that the foreign currency banknote is not genuine or a sample, more than 2 (two) holes with hole diameters more than 1 (one) millimeter);
foreign currency banknotes with obvious printing defects (absence or improper placement of watermark or security thread, incomplete or smudged images);
changed geometric dimensions by more than 3 (three) millimeters, both in reduction and in increase;
having significant wear and/or dirt leading to loss of the image of the foreign currency banknote;
foreign currency banknotes that are significantly loosened and/or lost rigidity.

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

Purchase and replacement of non-payable and also invalid for circulation foreign currency banknotes is carried out by authorized banks having correspondent and/or contractual relations with foreign banks for carrying out collection operations with corresponding foreign currencies.

Sale to clients by authorized banks of non-payable or invalid for circulation foreign currency banknotes acquired and accepted in the course of replacement is not allowed. Such banknotes are sent for collection to issuing banks (foreign banks) or submitted for collection through their servicing banks.

In case of accepting for collection non-payable or invalid for circulation foreign currency banknotes through their exchange points, authorized banks warn clients about the size of commission remuneration (including all client expenses) and the possibility of refusal by issuing banks (foreign banks) to exchange said foreign currency banknotes, and obtain written consent from the client regarding the terms of collection. In case of refusal by the issuing bank (foreign bank) to exchange the sent foreign currency, authorized banks provide the client with corresponding confirming documents.

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

Chapter 7 heading is presented in the edition of the Resolution of the Board of the National Bank of RK dated December 31, 2019 No. 265 (see old version).
Chapter 7. Procedure and deadlines for submission of reports by a legal entity having the right to conduct exchange operations with cash foreign currency

An authorized bank (its branch) monthly by the 7th (seventh) day (inclusive) of the month following the reporting period submits to the National Bank or a territorial branch of the National Bank a form intended for collecting administrative data, "Report on Exchange Operations Conducted Through Exchange Points", established by Appendix 12 to the Rules.
An authorized organization (its branch) monthly by the 7th (seventh) day (inclusive) of the month following the reporting period submits to the National Bank or a territorial branch of the National Bank a form intended for collecting administrative data, "Report on Movement of Foreign Currency and Exchange Operations Conducted Through Exchange Points", according to Appendix 13 to the Rules.
An authorized bank (its branch), authorized organization (its branch) monthly by the 10th (tenth) day (inclusive) of the month following the reporting period submits to the National Bank or a territorial branch of the National Bank a form intended for collecting administrative data, "Report on Purchase and/or Sale of Cash Foreign Currency in an Amount Equal to or Exceeding 50,000 (Fifty Thousand) United States Dollars in Equivalent", according to Appendix 14 to the Rules.
In case of temporary suspension of activity of all existing exchange points at the initiative of the authorized organization (its branch) for a period of more than 30 (thirty) calendar days, 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 was sent in the manner provided for by paragraph 35 of the Rules.

Chapter 8 heading is presented in the edition of the Resolution of the Board of the National Bank of RK dated December 31, 2019 No. 265 (see old version).
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 carries out operations for the purchase and/or sale of refined gold in bars through its exchange points in the manner determined by the Rules.

Replenishment of the cash desk of an exchange point of an authorized organization with refined gold in bars is carried out at the expense of operations for the purchase of refined gold in bars from individuals and by acquiring refined gold in bars from the National Bank based on a corresponding sales contract.

An authorized organization carrying out operations for the purchase and/or sale of refined gold in bars through its exchange points places information on the cost of purchase and/or sale of such bars on an information board.

When purchasing and/or selling refined gold in bars, the authorized organization checks the integrity of the special packaging and protective elements of the refined gold in bars using a technical device providing control of luminescence in ultraviolet light, as well as using an optical instrument providing no less than 10 (ten) times magnification.
Purchase from individuals of refined gold in bars and/or sale to individuals of refined gold in bars is carried out at the cost established by the authorized organization in the order on establishing the cost of refined gold in bars. The order on establishing the cost of refined gold in bars is issued by the head of the authorized organization or another person to whom such powers are granted, with mandatory indication of the number, date, and time (determined in hours and minutes) of its issuance.

Transfer of powers of the head of the authorized organization to issue orders on establishing the cost 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 cost of purchase and/or sale of refined gold in bars, established by the order on establishing the cost of refined gold in bars, is placed on the information board for clients throughout the entire period of its validity.

In the absence of refined gold in bars in the cash desk of the exchange point, information on the cost of their sale is not placed on the information board of the authorized organization. In the absence of cash national currency in the cash desk of the exchange point, information on the cost of purchase of refined gold in bars is not placed on the information board of the authorized organization.

Paragraph 70 is amended by Resolution No. 49 of the Board of the National Bank of RK dated 26.04.21 (see old version).

Restrictions on the acceptance of refined gold in bars by variety are not established, nor is refusal to individuals to conduct operations for the purchase and/or sale of such bars carried out if there is cash national currency in the exchange point in the amount necessary to conduct such an operation, and/or refined gold in bars in the volume necessary to conduct such an operation, except for cases provided for in Article 13 of the Law on PODFT, or failure to present a document certifying the identity of the client, in accordance with paragraph 5 of point 73 of the Rules.
In case of refusal to an individual to purchase refined gold in bars due to the absence of cash national currency in the exchange point and in the presence on the information board of the authorized organization of information on the cost of purchase of such gold, the cashier of the exchange point issues a certificate in arbitrary form at the request of the individual, indicating the variety of such gold, its cost according to the order on establishing the cost of refined gold in bars, and the amount in national currency missing in the exchange point, the date and time of issuing the certificate. The certificate is signed by the cashier of the exchange point of the authorized organization and registered in the manner established by the internal rules of the authorized organization.

Paragraph 72 is amended by Resolution No. 49 of the Board of the National Bank of RK dated 26.04.21 (see old version).

The exchange point of the authorized organization confirms the completion of the operation for the purchase and/or sale of refined gold in bars by issuing a control receipt in accordance with sub-item 2) of paragraph 5 of Article 166 of the Tax Code.

Paragraph 73 is amended by Resolution No. 49 of the Board of the National Bank of RK dated 26.04.21 (see old version).

Each operation conducted in the exchange point 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 according to 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 kept separately in each operational cash desk of the exchange point of the authorized organization in the hardware-software complex. The authorized organization ensures storage in the hardware-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 are recorded in the journal of accounting for operations with refined gold in bars:

surname, name, and patronymic of the client (if available) (name and patronymic are indicated in full);
individual identification number of the client (if available);
data of the document certifying the identity of the client - type of document, date of issue, document number, validity period;
legal address of the client.

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

Recording of client data, except for the legal address of the client, in the journal of accounting for operations with refined gold in bars is carried out on the basis of data from the document certifying the identity of the client.

Change in the cost of refined gold in bars is carried out only on the basis of the issuance of a new order on establishing the cost of such gold. At the same time, with the start of action of the new order on establishing the cost of refined gold in bars, the previous order is canceled.

In case of issuance during the working hours of the exchange point of the authorized organization of a new order changing the cost of purchase and/or sale of refined gold in bars, an intermediate total is calculated in the journal of accounting for operations with refined gold in bars for the volumes of operations with such gold before the start of operations at the new cost. After the end of the working day of the exchange point of the authorized organization, totals for operations conducted during the working day are reflected in the journal of accounting for operations with refined gold in bars.

The authorized organization (its branch) by the 10th (tenth) day (inclusive) of the month following the reporting period submits to the National Bank or the territorial branch of the National Bank the form intended for collecting administrative data, "Report on operations for the purchase and/or sale of refined gold in bars conducted through exchange points, issued by the National Bank of the Republic of Kazakhstan", according to Appendix 16 to the Rules (hereinafter - report on operations with refined gold in bars).

Paragraph 76 is amended by Resolution No. 49 of the Board of the National Bank of RK dated 26.04.21 (see old version).

The authorized organization conducts operations for the purchase and/or sale of refined gold in bars in intact special packaging.

Sale of refined gold in bars with opened special packaging and/or without special packaging, as well as refined investment gold in certified measuring bars issued by the National Bank before 2017 (hereinafter - refined gold in bars of old sample) is not carried out.

Acceptance of refined gold in bars with opened special packaging and/or without special packaging, as well as refined gold in bars of old sample for the purpose of forwarding for repurchase to the National Bank is carried out by authorized organizations having contractual relations for their repurchase with the National Bank.

On the basis of an appeal from an individual, refined gold in bars with opened special packaging and/or without special packaging, as well as refined gold in bars of old sample, is forwarded to the National Bank for repurchase.

When accepting refined gold in bars with opened special packaging and/or without special packaging, as well as refined gold in bars of old sample, the authorized organization warns the individual about the collection of a commission fee for forwarding such gold to the National Bank for the purpose of its repurchase.

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

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

The authorized organization independently sets the commission fee for forwarding 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 old sample, for the purpose of their repurchase, not exceeding 10 (ten) percent of the nominal cost of refined gold in bars and/or refined gold in bars of old sample.

Paragraph 76-1 added to the Rules in accordance with Resolution No. 49 of the Board of the National Bank of RK dated 26.04.21.

76-1. Payment for the cost of refined gold in bars with opened special packaging and/or without special packaging, as well as refined gold in bars of old sample, forwarded to the National Bank for repurchase, is carried out to the individual by the authorized organization in cash national currency minus the commission fee within 5 (five) working days from the day of receiving confirmation from the National Bank about readiness to repurchase them due to positive results of expertise conducted by the National Bank.

Chapter 9. Transitional Provisions

Previously issued certificate of the exchange point to the authorized bank is considered a written confirmation of the territorial branch of the National Bank received in accordance with the Rules.

From the day of entry into force of the Rules, upon receipt of notification from the authorized bank about changes in the data specified in the notification about the start of activity of the exchange point, the territorial branch of the National Bank sends a written confirmation to the authorized bank preserving the number and date of the previously issued certificate of the exchange point.

Appendix 1 is amended by Resolution No. 265 of the Board of the National Bank of RK dated 31.12.19 (see old version); Resolution No. 49 of the Board of the National Bank of RK dated 26.04.21 (see old version); Resolution No. 118 of the Board of the National Bank of RK dated 20.12.21 (entered into force on February 28, 2022) (see old version).

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 attachments 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 to issue a license for exchange operations with cash foreign currency and an attachment to the license for opening an exchange point (automated exchange point) (indicate what is needed), located at the address:

(postal index, region, city, district, populated place, 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:

individuals:
data of the document certifying identity, (surname, name, and patronymic (if available), date of birth); individual identification number (for residents); place of residence; share in the charter capital (% (amount)).
legal entities:
name of the legal entity; business identification number (for residents); location; share in the charter capital (% (amount)).

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-software complex*:
| Model (Name) | Serial Number | Non-correctability 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 software*:
| Name | Manufacturer (Supplier) | Non-correctability 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 video surveillance system*:
| Name of video surveillance system | Manufacturer (Supplier) | Provision of recording and storage of information for 90 (ninety) calendar days on technical devices ensuring backup of video data archive and protection of archive from deletion and editing | Provision in the visible zone of video surveillance of the cashier's and client's work area, as well as establishment in places ensuring absence of interference for video surveillance | | |
| --- | --- | --- | --- | --- | --- |
| | | Yes | No | Yes | No |
| | | Yes | No | Yes | No |

Attached documents:
1.
2.
Email ______
Phones ______
Fax ______
Bank account in tenge ______
(account number, name of authorized bank)
Hereby confirmed that:
all specified data are official contacts for sending any information regarding the issuance or refusal to issue a license and attachment to the license; The applicant is not prohibited by the court from engaging in licensed activity; Throughout the entire period of activity for conducting exchange operations with cash foreign currency, purchase and/or sale of refined investment gold in certified measuring bars corresponding to the national standard of the Republic of Kazakhstan ST RK 2049 "Measuring Gold Bars. Technical Conditions", issued by the National Bank of the Republic of Kazakhstan no earlier than 2017, and other refined investment gold in measuring bars issued by the National Bank of the Republic of Kazakhstan before 2017, the exchange point (automated exchange point) is not located in a premises that is the location of another exchange point of the authorized organization; All attached documents (data) correspond to reality. Authorized representative of the applicant:

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

not filled in case of opening an automated exchange point

Appendix 2 is amended by Resolution No. 265 of the Board of the National Bank of RK dated 31.12.19 (see old version); Resolution No. 49 of the Board of the National Bank of RK dated 26.04.21 (see old version); Resolution No. 118 of the Board of the National Bank of RK dated 20.12.21 (entered into force on February 28, 2022) (see old version).

Appendix 2
to the Rules for Conducting 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 available) of the head)

Application for obtaining an attachment to a valid license for exchange operations with cash foreign currency for an additionally opened exchange point

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 license for exchange operations with cash foreign currency:

I request to issue an attachment to a valid license for exchange operations with cash foreign currency for an exchange point (automated exchange point) (indicate what is needed), located at the address: ______ Information on compliance with qualification requirements:

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

individuals:
data of the document certifying identity, (surname, name, and patronymic (if available), date of birth); individual identification number (for residents); place of residence; share in the charter capital (% (amount)).
legal entities:
name of the legal entity; location; business identification number (for residents); share in the charter capital (% (amount)).

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-software complex*:
| Model (Name) | Serial Number | Non-correctability 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 software*:
| Name | Manufacturer (Supplier) | Non-correctability 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 video surveillance system*:
| Name of video surveillance system | Manufacturer (Supplier) | Provision of recording and storage of information for 90 (ninety) calendar days on technical devices ensuring backup of video data archive and protection of archive from deletion and editing | Provision in the visible zone of video surveillance of the cashier's and client's work area, as well as establishment in places ensuring absence of interference for video surveillance | | |
| --- | --- | --- | --- | --- | --- |
| | | Yes | No | Yes | No |
| | | Yes | No | Yes | No |

Attached documents:
1.
2.
Email ______
Phones ______
Fax ______
Bank account in tenge ______
(account number, name of authorized bank)

Hereby confirmed that:
all specified data are official contacts for sending any information regarding the issuance or refusal to issue a license and attachment to the license; Throughout the entire period of activity for conducting exchange operations with cash foreign currency, purchase and/or sale of refined investment gold in certified measuring bars corresponding to the national standard of the Republic of Kazakhstan ST RK 2049 "Measuring Gold Bars. Technical Conditions", issued by the National Bank of the Republic of Kazakhstan no earlier than 2017, and other refined investment gold in measuring bars issued by the National Bank of the Republic of Kazakhstan before 2017, the exchange point (automated exchange point) is not located in a premises that is the location of another exchange point of the authorized organization; All attached documents (data) correspond to reality.

Authorized representative of the applicant:

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

Note: indicated when opening an additional exchange office outside the region of the licensee's location
Note: address where the exchange office premises are located, specifying, in case of placement of the exchange office in buildings and structures of multifunctional purpose (including business centers), in railway station buildings, casinos, inside international airport air terminals, data clarifying the location of the exchange office (for example, floor, sector, block)
not filled in case of opening an automated exchange office

Appendix 3 is presented in the edition of the Resolution of the Board of the National Bank of RK No. 265 dated December 31, 2019 (see old version)
Appendix 3
to the Rules for conducting exchange operations with cash foreign currency in the Republic of Kazakhstan

Form

License 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 authorized organization the functions of a currency control agent. This license 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, first name, patronymic (if any) (signature)

Appendix 4 is presented in the edition of the Resolution of the Board of the National Bank of RK No. 265 dated December 31, 2019 (see old version)
Appendix 4
to the Rules for conducting exchange operations with cash foreign currency in the Republic of Kazakhstan

Form

Attachment
No. ______ dated “____” ______ 20 ___ year to the license 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) cross out what is unnecessary Licensor: ______ branch of the National Bank of the Republic of Kazakhstan This attachment to the license 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, first name, patronymic (if any) (signature)

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

Appendix 4-1 was added to the Rules in accordance with the Resolution of the Board of the National Bank of RK No. 69 dated May 18, 2020; presented in the edition of the Resolution of the Board of the National Bank of RK No. 49 dated April 26, 2021 (see old version)
Appendix 4-1
to the Rules for conducting exchange operations with cash foreign currency in the Republic of Kazakhstan State Service Standard

State Service Standard
“Issuance of a license for exchange operations with cash foreign currency, issued to authorized organizations”

1.	Name	Territorial branches of the National Bank of the Republic of Kazakhstan
	Service Provider
2.	Methods of providing the state service	Web portal “Electronic Government” www.egov.kz (hereinafter - portal)
3.	Term for providing the state service	From the day of registration of the appeal on the portal:
		upon issuance of the license and its attachment - within 20 (twenty) working days;
		upon issuance of an attachment to a valid license - within 10 (ten) working
		days.
		upon re-issuance of the license and/or its attachment - within 10 (ten)
		working days.
4.	Form of providing the state service	Electronic
5.	Result of providing the state service	License and/or attachment to a valid license according to forms set forth in
		Appendices 3 and 4 to the Rules for conducting exchange operations with
		cash foreign currency in the Republic of Kazakhstan, approved by the Resolution
		of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019 No. 49,
		registered in the Registry of State Registration of Regulatory Legal Acts under No. 18545, (hereinafter - Rules), or a reasoned response refusing
		to provide the state service.
		On the portal, the result of providing the state service is sent and stored in
		the service recipient’s personal account in the form of an electronic document certified
		by the electronic digital signature of the head of the territorial branch of the National
		Bank.
6.	Amount of payment charged from the service recipient at	Upon provision of the state service, a license fee is paid for the issuance
	provision of the state service, and methods of its	of a license to engage in certain types of activities:
	collection in cases provided for by
	legislation of the Republic of Kazakhstan
	1) the license fee for issuing a license for the right to engage in this type of
		activity amounts to 40 (forty) monthly calculation indicators;
		2) the license fee for re-issuance of the license amounts to 10 (ten) percent
		of the rate for issuing a license.
		Payment of the license fee is made through second-level 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	Territorial branches of the National Bank - from Monday to Friday from 9.00 to
		18.30 hours with a lunch break from 13.00 to 14.30 hours according to the time of
		the city of Nur-Sultan, except weekends and holidays;
		portal - around the clock, except for technical breaks related to
		maintenance work.
8.	List of documents necessary for providing	To obtain a license for exchange operations with cash foreign currency and
	the state service	an attachment to the license, the authorized organization sends the following documents through the web portal
		“Electronic Government”:
		1) electronic application for obtaining a license for exchange operations with cash
		foreign currency and attachments to the license according to the form set forth in Appendix 1 to
		the Rules;
		2) electronic copy of the charter;
		3) 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 “Electronic Government” payment gateway;
		4) electronic copy of the certificate from a second-level bank or a branch of a
		non-resident bank of the Republic of Kazakhstan regarding the presence of a bank account
		in foreign currency;
		5) electronic copy of the document from a second-level bank or a branch of a
		non-resident bank of the Republic of Kazakhstan (including an extract on the movement of funds
		on client bank accounts), confirming the crediting of money to the bank account
		of the authorized organization as a contribution to the authorized capital in
		accordance with the requirements of paragraph 8 of the Rules, issued no earlier than 30 (thirty)
		calendar days before the date of application for obtaining a license and/or attachment to
		the license;
		6) electronic copy of the certificate from a second-level bank or a branch of a
		non-resident bank of the Republic of Kazakhstan confirming that the cashier has completed training on working with
		cash foreign currency, or an electronic copy of the document provided for by
		the Labor Code of the Republic of Kazakhstan dated November 23, 2015 confirming
		employment of the worker for at least 6 (six) months as a cashier for
		working with cash foreign currency (except for an automated
		exchange office);
		7) electronic copy of the document disclosing the source of origin of the contribution to
		the authorized capital of the authorized organization (loan agreement, purchase and sale agreement
		of property, income statement, other documents disclosing the source
		of origin of the contribution to the authorized capital of the
		authorized organization).
		To obtain an attachment to a valid license when opening an additional
		exchange office (automated exchange office), the authorized
		organization (its branch) sends the following documents through the web portal “Electronic Government”:
		1) electronic application for obtaining an attachment to a valid license for
		exchange operations with cash foreign currency for an additionally opened
		exchange office according to the form set forth in Appendix 2 to the Rules;
		2) electronic copy of the document from a second-level bank or a branch of a
		non-resident bank of the Republic of Kazakhstan (including an extract on the movement of funds
		on client bank accounts), confirming the crediting of money to the bank account
		of the authorized organization as a contribution to the authorized capital in
		accordance with the requirements of paragraph 8 of the Rules, issued no earlier than 30 (thirty)
		calendar days before the date of application for obtaining a license and/or attachment to
		the license;
		3) electronic copy of the certificate from a second-level bank or a branch of a
		non-resident bank of the Republic of Kazakhstan confirming that the cashier has completed training on working with
		cash foreign currency, or an electronic copy of the document provided for by
		the Labor Code of the Republic of Kazakhstan dated November 23, 2015 confirming
		employment of the worker for at least 6 (six) months as a cashier for
		working with cash foreign currency (except for an automated
		exchange office);
		4) electronic copy of the document disclosing the source of origin of the contribution to
		the authorized capital of the authorized organization (loan agreement, purchase and sale agreement
		of property, income statement, other documents disclosing the source
		of origin of the contribution to the authorized capital of the
		authorized organization);
		5) electronic copy of the document confirming the technical characteristics and
		compliance of the automated exchange office with the requirements established by
		the Rules (except for an exchange office).
		For re-issuance of a valid license for exchange operations with cash
		foreign currency and/or a valid attachment to the license, the authorized
		organization sends the following documents through the web portal “Electronic Government”:
		1) electronic application for re-issuance of a license for exchange operations with
		cash foreign currency and/or an attachment to the license for exchange operations with
		cash foreign currency according to the form set forth in Appendix 5 to the Rules;
		2) electronic copies of documents containing information about changes that served as
		the basis for re-issuance of the license and/or attachment to a valid
		license, except for documents whose information is contained in
		state information systems;
		3) 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 “Electronic Government” payment gateway (in case of re-issuance
		of a valid license for exchange operations with cash
		foreign currency).
9.	Grounds for refusal to provide the state	1) failure to submit documents and/or information specified in paragraph 4 of Article
	service, established by the legislation of	12 of the Law of the Republic of Kazakhstan dated July 2, 2018 “On Currency Regulation and
	the Republic of Kazakhstan	Currency Control” (hereinafter - Law on Currency Regulation) and paragraph 1 of Article 32
		of the Law of the Republic of Kazakhstan dated May 16, 2014 “On Permits and Notifications”
		(hereinafter - Law on Permits), as well as failure to submit documents
		specified in paragraph 8 of the Standard;
		2) non-compliance of the applicant and/or submitted documents and/or information
		with the requirements established by paragraph 4 of Article 12 of the Law on Currency Regulation and
		paragraph 1 of Article 32 of the Law on Permits.
10.	Other requirements taking into account the specifics of providing	The territorial branch of the National Bank within 2 (two) working days from
	the state service, including in electronic form	the moment of receiving documents from the service recipient checks the completeness of submitted
		documents.
		In case of establishing the fact of incompleteness of submitted documents, it gives a written
		reasoned refusal to 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: www.nationalbank.kz.
		The service recipient has the opportunity to obtain information about the procedure and status
		of providing the state service in remote access mode via the personal
		account of the portal, as well as the Unified Contact Center for questions regarding
		provision of state services.
		Contact phones of the service provider are indicated on the official Internet resource
		of the service provider: www.nationalbank.kz, section “For Service Users” hereafter
		“State Services”.
		Unified Contact Center for questions regarding provision of state services: 8-800-080-7777,
		1414.

Appendix 5 is presented in the edition of the Resolution of the Board of the National Bank of RK No. 265 dated December 31, 2019 (see old version)
Appendix 5
to the Rules for conducting 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, first name, patronymic (if any) of the head)

Application for re-issuance of a license for exchange operations with cash foreign currency and/or attachment to the license 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 license No. ____ dated ______ year and/or attachment No. _____ dated ______ year to license No. ______ dated ______ year for an exchange office located at the address:

Grounds for re-issuance: ______
Attached documents:
1.
2.
…………
Authorized representative of the applicant:

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

Note: indicated when submitting an application for re-issuance of an attachment to a license for an exchange office located outside the region of the licensee's location
Note: address where the exchange office premises are located, specifying, in case of placement of the exchange office in buildings and structures of multifunctional purpose (including business centers), in railway station buildings, casinos, inside international airport air terminals, data clarifying the location of the exchange office (for example, floor, sector, block)

Appendix 6 is presented in the edition of the Resolution of the Board of the National Bank of RK No. 265 dated December 31, 2019 (see old version)
Appendix 6
to the Rules for conducting 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. p/p | Surname, First Name, | Date of Birth | ID Document Data, | Individual Identification Number | Place of Residence | Share in Authorized Capital | |
| --- | --- | --- | --- | --- | --- | --- | --- |
| | Patronymic (if any) | | certifying identity | (for residents) | | | |
| | | | | | | in % | amount |
| | | | | | | | |
| | | | | | | | |
| | | | | | | | |
Legal Entities:
| No. p/p | Name of Legal Entity | Organizational-Legal Form | Business Identification Number (for | Location | Share in Authorized Capital | |
| --- | --- | --- | --- | --- | --- | --- |
| | | | residents) | | in % | amount |
| | | | | | | |
| | | | | | | |
| | | | | | | |

Hereby confirmed that the founders (participants) of the authorized organization comply with the requirements of paragraph 6 of the Rules for conducting exchange operations with cash foreign currency in the Republic of Kazakhstan.

Head ______
(signature)

Appendix 7 is presented in the edition of the Resolution of the Board of the National Bank of RK No. 265 dated December 31, 2019 (see old version)
Appendix 7
to the Rules for conducting exchange operations with cash foreign currency in the Republic of Kazakhstan

Form

|city ______ |date ______ |

Decision on deprivation (suspension) of action (indicated depending on the decision taken) of the license for exchange operations with cash foreign currency and/or attachment to the license for exchange operations with cash foreign currency

For violation of requirements provided for by ______ ______, (specify norms of regulatory legal acts, requirements of which were violated) guided by Article 48 of the Law of the Republic of Kazakhstan dated August 31, 1995 “On Banks and Banking Activity in the Republic of Kazakhstan” ______ branch of the National Bank of the Republic of Kazakhstan DECIDED:

Deprive (Suspend) for a term* of ______ action (indicated depending on the decision taken) of the license for exchange operations with cash foreign currency No. ____ dated ______ and/or attachment to the license for exchange operations with cash foreign currency No. ____ dated , issued to Limited Liability Partnership “” (hereinafter - LLP).
Department of ______ (surname, first name, patronymic (if any) of the department head) to send (deliver) a copy of this decision to the LLP for execution.
I retain control over the execution of this decision.

Head of the territorial branch of the National Bank of the Republic of Kazakhstan ______ ______ (surname, first name, patronymic (if any) (signature)

Place of seal

Note: indicated in case of making a decision to suspend the action of the license and/or attachment to the license and is calculated from the day of receipt of a copy of this decision by the LLP.

Appendix 8 is presented in the edition of the Resolution of the Board of the National Bank of RK No. 265 dated December 31, 2019 (see old version)
Appendix 8
to the Rules for conducting 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 cessation of activities of an exchange office of an authorized bank (indicated depending on the decision taken)

______ about commencement of activities (opening of an exchange office)
______ about cessation of activities (closing of an exchange office) ______ about 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 office:
exchange office (automated exchange office) cross out what is unnecessary
Location of the exchange office (automated exchange office) ______
Number of operational counters in the exchange office of the authorized bank ______
Number and date of the certificate of the exchange office of the authorized bank or written confirmation ______
The authorized bank (its branch) hereby confirms by this notification that the exchange office located at the address ______ complies with the requirements of the Rules for conducting exchange operations with cash foreign currency in the Republic of Kazakhstan (hereinafter - Rules)

Authorized representative of the notifier:

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

Instructions for completing Appendix 8

When opening a currency exchange office (automated currency exchange office), the authorized bank sends a notification of the start of the currency exchange office's activities with all items of Appendix 8 to the Rules filled out, except for item 8 of this Appendix.

When closing a currency exchange office (automated currency exchange office) of an authorized bank, a notification of the cessation of the currency exchange office's activities is sent with all items of Appendix 8 to the Rules filled out.

When changing the mandatory information specified in the previously submitted notification of the start of the currency exchange office's activities, a notification of data change is sent with all items of Appendix 8 to the Rules filled out.

In item 6 of Appendix 8 to the Rules, the address where the currency exchange office premises are located is indicated, specifying, in case the currency exchange office is located in buildings and structures of multifunctional purpose (including business centers), railway station buildings, casinos, inside international airport terminals, data clarifying the location of the currency exchange office (for example, floor, sector, block).

Text in the upper right corner of Appendix 9 is edited by the Resolution of the Board of the National Bank of RK dated December 31, 2019 No. 265 (see old edition); Resolution of the Board of the National Bank of RK dated April 26, 2021 No. 49 (see old edition)

Appendix 9
to the Rules for conducting exchange operations with cash foreign currency in the Republic of Kazakhstan

Form

Written Confirmation

No. ______ from "____" ______ year

______ branch of the National Bank of the Republic of Kazakhstan confirms ______ (name of the authorized bank (branch of the authorized bank) about receipt of notification about the start (change of data, cessation of activity of the currency exchange office) under No. ______ from ______ year. Registration data of the currency exchange office ______ from ______ year. Address of the currency exchange office ______ ______ The activity of this currency exchange office is controlled by ______ branch of the National Bank of the Republic of Kazakhstan (not indicated in case of closing the currency exchange office 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 is edited by the Resolution of the Board of the National Bank of RK dated December 31, 2019 No. 265 (see old edition)

Appendix 10
to the Rules for conducting exchange operations with cash foreign currency in the Republic of Kazakhstan

Form

Information for clients of the currency exchange office

             (name and location of the legal entity having the right to conduct exchange operations with cash foreign currency, (its branch) License number and date ______ The activity of this currency exchange office is controlled by ______ branch of the National Bank of the Republic of Kazakhstan. If there are remarks regarding the work of the currency exchange office, please send complaints to the address: ______ (postal address of the territorial branch of the National Bank of the Republic of Kazakhstan) To consider a complaint, please provide the following information in it:

surname, name and patronymic (if available) of the applicant; individual identification number; applicant's address; currency exchange office address; name of the legal entity having the right to conduct exchange operations, (its branch), which opened this currency exchange office; content of the complaint; date and time indicating when the violation was committed by the currency exchange office; surname, name and patronymic (if available) of the cashier of the currency exchange office. A signature of the applicant is required to submit a complaint.

Appendix 11 is edited by the Resolution of the Board of the National Bank of RK dated December 31, 2019 No. 265 (see old edition)

Appendix 11
to the Rules for conducting 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 having the right to conduct exchange operations, (its branch), business identification number ______ Number of valid application to the valid license of the authorized organization (certificate of the currency exchange office of the authorized bank or written confirmation) (after receiving such certificate or such confirmation by the authorized bank) ______ «____»______20____year

Balance in the operating cash desk of the currency exchange office at the beginning of the day*	______ tenge ______
	(for all types of currencies)
Balance in the operating cash desk of the currency exchange office at the end of the day*	______ tenge ______
	(for all types of currencies)

*Not filled in when combining exchange operations with other banking operations

Date and time of start	Number and date	USD	EUR	...
of the order's action	of the order
	head of
		Purchase	Sale	Purchase	Sale	Purchase	Sale

No. p/p	Resident status indicator*	Document data	Individual identification	Legal address	Name of foreign	Currency amount	Time of operation
		confirming identity	number of client	of client	currency		(in hours and
		of client					minutes)*
						Purchased	Sold


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

Name of the authorized organization (its branch) ______ Address ______ Phone ______ Email address ______ Executor ______ ______ surname, name and patronymic (if any) signature, phone First head or person authorized by him to sign the report ______ ______ surname, name and patronymic (if any) signature, phone Date «____» ______ 20 __ year

Appendix
to the form of the report on the movement of foreign currency and exchange operations, carried out through currency exchange offices

Explanation on filling out the form of administrative data "Report on the movement of foreign currency and exchange operations carried out through currency exchange offices"

General Provisions
This explanation defines the requirements for filling out the form intended for collecting administrative data, "Report on the movement of foreign currency and exchange operations carried out through currency exchange offices", (hereinafter - Form).
The Form is developed in accordance with subparagraph 9) of Article 56 of the Law of the Republic of Kazakhstan dated March 30, 1995 "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 from Registers of purchased and sold cash foreign currency, filled out in accordance with Appendix 11 to the Rules for conducting exchange operations with cash foreign currency in the Republic of Kazakhstan, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019 No. 49, registered in the Registry of state registration of normative legal acts under No. 18545. The branch of the authorized organization compiles a separate Form.
When compiling the Form, for calculations for data in tenge, the sum of the exchange operation in tenge indicated in columns 8 and 10 of the Register of purchased and sold cash foreign currency is used respectively.
If there is no data for the reporting period, the Form is submitted with zero values.
Corrections (corrections, additions) to data are made within six months after the deadline established for submitting the Form.
Explanation on filling out the Form

for sections 1 and 2

When forming the report, for calculations for data in tenge, the equivalent of the sum of the exchange operation in tenge indicated in columns 8 and 10 of the Register of purchased and sold cash foreign currency is used respectively.
In column 1 of the report (except for rows marked with the sign "X"), data on all types of foreign currencies with which the currency exchange offices of the authorized organization (its branch) conducted exchange operations in the reporting period are presented. Aggregate data on the volumes of exchange operations are calculated in tenge.
In column 1, data for rows with codes 110, 111, 120 and 121 are filled in thousands of tenge rounded to the whole value (data less than five hundred tenge are rounded to zero, from five hundred to one thousand tenge - to one unit).
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 on other types of currencies with which the currency exchange offices of the authorized organization (its branch) conducted exchange operations in the reporting period are provided.
In columns 2, 3, 4, 5 and 6 and subsequently numbered columns, data for rows 110, 111, 120 and 121 are presented in units of the corresponding currency.
If the currency exchange offices did not conduct exchange operations with any of the currencies specified in columns 2, 3, 4, 5 and 6 in the reporting period, the corresponding column is not filled.
Rows 210, 211, 212, 213, 220, 221, 222 and 223 are filled in units of account.
In columns 2, 3, 4, 5, 6 and subsequently numbered columns for rows 311, 312, 321 and 322, the rate of the corresponding foreign currency is indicated. For row 311 (321), the lowest rate of this foreign currency established for the currency exchange offices of the authorized organization (its branch) in the reporting month for purchase (sale) for tenge is indicated in the corresponding column; for row 312 (322) - the highest rate of this foreign currency established for the currency exchange offices of the authorized organization (its branch) in the reporting month for purchase (sale) for tenge.
When filling out sections 1 and 2 of the report for all columns, the following conditions are ensured:
row with code 111 ≤ row with code 110; row with code 121 ≤ row with code 120; row with code 210 ≥ row with code 211 + row with code 212 + row with code 213; row with code 220 ≥ row with code 221 + row with code 222 + row with code 223.

for section 3

In section 3 of the report, column 1 is not filled.
In columns 2, 3, 4, 5 and 6 and subsequently numbered columns, data for rows are presented in thousands of units of the corresponding currency.
In columns 2, 3, 4, 5 and 6 and subsequently numbered columns, data for rows 423 and 433 must be equal to data in rows 110 and 120 respectively, converted into thousands of units.
When filling out section 3 of the report for columns 2, 3, 4, 5 and 6 and subsequently numbered columns for rows 410, 420, 430 and 440, the conditions specified in the names of the corresponding indicators are ensured.

Text in the upper right corner of Appendix 14 is edited by the Resolution of the Board of the National Bank of RK dated December 31, 2019 No. 265 (see old edition); Resolution of the Board of the National Bank of RK dated May 18, 2020 No. 69 (entered into force after the expiration of two months from the day of first official publication) (see old edition); amendments were made in accordance with the Resolution of the Board of the National Bank of RK dated April 26, 2021 No. 49 (see old edition)

Appendix 14
to the Rules for conducting exchange operations with cash foreign currency in the Republic of Kazakhstan

Form intended for collection of administrative data

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

Administrative data form is posted on the official website www.nationalbank.kz

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

Index of administrative data form: NIV_VAL
Frequency: monthly
Reporting period: for ______ 20 ___ year
Circle of persons submitting the report: authorized bank (its branch) or authorized organization (its branch) Submission deadline: until the 10th (inclusive) day of the month following the reporting period

Form

1. Client Information	2. Currency Operation Information
Surname, name,	Individual identification	Resident status indicator*	Date	Purchase (sale)	Amount in thousands	Currency code
patronymic (if any)	number (other data)				units of currency
1.1	1.2	1.3	2.1	2.2	2.3	2.4

- indicated in accordance with the document presented by the client when conducting 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 residence permit in the Republic of Kazakhstan), 2 - for non-residents

Name of the authorized bank (its branch) or authorized organization (its branch) ______ Address______ Phone______ Email address______ Executor ______ ______ surname, name and patronymic (if any) signature, phone First head or person authorized by him to sign the report ______ ______ surname, name and patronymic (if any) signature, phone Date «____» ______ 20__ year

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

General Provisions
This explanation defines uniform requirements for filling out the form intended for collecting administrative data "Report on 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 - Form).
The Form is submitted by the authorized bank (its branch) 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 accountant or chief accountant and executor sign the Form indicating their surname, name, patronymic (if any).
In case of absence of data for the reporting period, the Form is submitted with zero values.
Corrections (corrections, additions) to data are made within six months after the deadline established for submitting the Form.
Explanation on filling out the Form
The Form is submitted in case of operations on 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 on purchase or sale of cash foreign currency is reflected in the report on the date of the operation.
Part 1 of the Form indicates information about the client-individual who carried out the operation on purchase or sale of cash foreign currency.
Column 1.2 indicates the individual identification number. In the absence of an individual identification number for an individual, column 1.2 indicates the data of the document confirming identity.
Part 2 of the Form indicates information about the operation on purchase or sale of foreign currency.
Column 2.2 indicates "1" when purchasing cash foreign currency by the client, "2" - when selling cash foreign currency by the client.
Column 2.4 indicates the three-letter code of the currency in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for presentation of currencies and funds".

Appendix 15 is edited by the Resolution of the Board of the National Bank of RK dated December 31, 2019 No. 265 (see old edition); Resolution of the Board of the National Bank of RK dated April 26, 2021 No. 49 (see old edition)

Appendix 15
to the Rules for conducting exchange operations with cash foreign currency in the Republic of Kazakhstan

Form

Journal of accounting for operations on purchase and/or sale of refined gold in ingots issued by the National Bank of the Republic of Kazakhstan

Name of the authorized organization or its branch, business identification number ______ Number of application 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 operational cash desk of the exchange point	Number of bars by varieties in weights (grams)
	…	…	…	…	…
at the beginning of the day
at the end of the day
Date and time of commencement of action	Number and date of the directive	Cost of one bar of refined gold in national currency by varieties in weights (grams)
of the directive on establishing	of the directive on establishing
cost of refined gold	cost of refined gold
in bars	in bars
		Purchase (by weights)	Sale (by weights)
		…	…	…
1	2	3	4	5

continuation of the table:

Purchased	Sold	Time of operation (in hours and minutes) *

Mass of the bar	Cost in tenge*	Unique number of the bar	Mass of the bar	Cost in tenge	Unique number of the bar
(grams)			(grams)
6	7	8	9	10	11	12

Total for:

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

Note:

- indicated in accordance with the document presented by the client during the transaction: 1 - for residents (citizens of the Republic of Kazakhstan, foreigners and stateless persons permanently residing in the Republic of Kazakhstan based on a residence permit), 2 - for non-residents;

in cases provided for in paragraph 4 of item 73 of the Rules, the surname, name, and patronymic (if any) of the client are filled in;

- calculated based on purchase price;

calculated based on sale price;

- time of the transaction indicated in the control receipt.

Appendix 16 is published in the edition of Resolution of the Board of the National Bank of RK dated December 31, 2019 No. 265 (see old version); Resolution of the Board of the National Bank of RK dated May 18, 2020 No. 69 (entered into force after the expiration of two months from the day of its first official publication) (see old version); amendments made in accordance with Resolution of the Board of the National Bank of RK dated April 26, 2021 No. 49 (see old version).

Appendix 16
to the Rules for conducting exchange operations with cash foreign currency in the Republic of Kazakhstan

Form intended for collection of administrative data

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

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

Report on operations conducted through exchange points 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: SMSAZ_UO
Frequency: monthly
Reporting period: for ______ 20 __ year
List of persons submitting the report: authorized organization (its branch) Submission deadline: until the 10th (inclusive) day of the month following the reporting period

Form

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

Indicator Name	Line Code	Total in tenge	Varieties by weights (grams)
			…	…	…	…	…
A	B	1	2	3	4	5	6
Section 1. Operations for the purchase of refined gold in bars from individuals
Total cost of purchased refined gold in bars	110
including from non-residents	111
Total quantity of purchased refined gold in bars	120	X
Section 2. Operations for the sale of refined gold in bars to individuals
Total cost of sold refined gold in bars	210
including to non-residents	211
Total quantity of sold refined gold in bars	220	X
Section 3. Operations for 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. Totals for operations with refined gold in bars
Balance of refined gold in bars at the beginning of the reporting period in the	410	X
exchange point cash desk
Balance of refined gold in bars at the end of the reporting period	420	X

Name of the authorized organization (its branch) ______ Address ______ Phone ______ Email address ______ Executor ______ ______ surname, name, and patronymic (if any) signature, phone First head or person authorized by him to sign the report ______ ______ surname, name, and patronymic (if any) signature, phone Date “____” ______ 20__ year

Appendix
to the report form on operations conducted through exchange points for the purchase and/or sale of refined gold in bars issued by the National Bank of the Republic of Kazakhstan

Explanation for filling out the administrative data form "Report on operations conducted through exchange points for the purchase and/or sale of refined gold in bars issued by the National Bank of the Republic of Kazakhstan"

This explanation defines the requirements for filling out the form intended for the collection of administrative data "Report on operations conducted through exchange points for the purchase and/or sale of refined gold in bars issued by the National Bank of the Republic of Kazakhstan" (hereinafter - Form).
The Form is developed in accordance with subparagraph 9) of Article 56 of the Law of the Republic of Kazakhstan dated March 30, 1995 "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 from the journal of accounting of operations for the purchase and/or sale of refined gold in bars issued by the National Bank of the Republic of Kazakhstan, according to the form specified in Appendix 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 April 4, 2019 No. 49, registered in the Registry of State Registration of Normative Legal Acts under No. 18545. A branch of an authorized organization compiles a separate Form.
When compiling the Form, for calculations for data in tenge, the sum of operations in tenge indicated respectively in columns 7 and 10 of the Register of Accounting of Operations with Refined Gold in Bars is used.
In the absence of data for the reporting period, the Form is submitted with zero values.
Corrections (edits, additions) to data are made within six months after the deadline established for the submission of the Form.

Appendix to the Resolution
of the Board of the National Bank of the Republic of Kazakhstan dated April 4, 2019 No. 49

List of certain Resolutions of the Board of the National Bank of the Republic of Kazakhstan recognized as having lost force

Resolution of the Board of the National Bank of the Republic of Kazakhstan dated July 16, 2014 No. 144 "On Approval of the Rules for Organizing Exchange Operations with Cash Foreign Currency in the Republic of Kazakhstan" (registered in the Registry of State Registration of Normative Legal Acts under No. 9801, published on November 12, 2014 in the informational and legal system of normative legal acts of the Republic of Kazakhstan "Adilet").
Resolution of the Board of the National Bank of the Republic of Kazakhstan dated March 26, 2015 No. 46 "On Amendments and Additions to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated July 16, 2014 No. 144 'On Approval of the Rules for Organizing Exchange Operations with Cash Foreign Currency in the Republic of Kazakhstan'" (registered in the Registry of State Registration of Normative Legal Acts under No. 10873, published on May 6, 2015 in the informational system "Adilet").
Resolution of the Board of the National Bank of the Republic of Kazakhstan dated December 19, 2015 No. 224 "On Amendments to Certain Normative Legal Acts of the Republic of Kazakhstan" (registered in the Registry of State Registration of Normative Legal Acts under No. 12970, published on March 1, 2016 in the informational system "Adilet").
Resolution of the Board of the National Bank of the Republic of Kazakhstan dated January 28, 2016 No. 55 "On Amendments and Additions to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated July 16, 2014 No. 144 'On Approval of the Rules for Organizing Exchange Operations with Cash Foreign Currency in the Republic of Kazakhstan'" (registered in the Registry of State Registration of Normative Legal Acts under No. 13219, published on February 29, 2016 in the informational system "Adilet").
Resolution of the Board of the National Bank of the Republic of Kazakhstan dated November 28, 2016 No. 269 "On Some Issues of Currency Regulation and Currency Control" (registered in the Registry of State Registration of Normative Legal Acts under No. 14564, published on December 28, 2016 in the informational system "Adilet").
Resolution of the Board of the National Bank of the Republic of Kazakhstan dated September 27, 2017 No. 188 "On Amendments and Additions to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated July 16, 2014 No. 144 'On Approval of the Rules for Organizing Exchange Operations with Cash Foreign Currency in the Republic of Kazakhstan'" (registered in the Registry of State Registration of Normative Legal Acts under No. 16162, published on January 4, 2018 in the Reference Control Bank of Normative Legal Acts of the Republic of Kazakhstan).
Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 27, 2018 No. 183 "On Amendments and Additions to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated July 16, 2014 No. 144 'On Approval of the Rules for Organizing Exchange Operations with Cash Foreign Currency in the Republic of Kazakhstan'" (registered in the Registry of State Registration of Normative Legal Acts under No. 17677, published on November 8, 2018 in the Reference Control Bank of Normative Legal Acts of the Republic of Kazakhstan).

Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 49 on Approval of Rules for Conducting Exchange Operations with Cash Foreign Currency in the Republic of Kazakhstan

Lineage: In force

Similar documents from other regulators