Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 54 of 21 April 2020 on Approval of the List, Forms, Deadlines for Submission of Reports by Second-Tier Banks and the Rules for Their Submission

Registered with the Ministry of Justice of the Republic of Kazakhstan on 24 April 2020 under No. 20474

«NATIONAL BANK OF THE
REPUBLIC OF KAZAKHSTAN»

REPUBLICAN
STATE INSTITUTION

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REPUBLICAN
STATE INSTITUTION

«NATIONAL BANK
OF THE REPUBLIC OF KAZAKHSTAN»

RESOLUTION OF THE BOARD

RESOLUTION
OF THE BOARD


No. 54 of «21» April 2020


Almaty city








On approval of the list, forms, deadlines for submission of reports by second-tier banks and the Rules for their submission



In accordance with the laws of the Republic of Kazakhstan of 30 March 1995 «On the National Bank of the Republic of Kazakhstan», of 31 August 1995
«On banks and banking activity in the Republic of Kazakhstan» and of 19 March 2010 «On state statistics», the Board of the National Bank
of the Republic of Kazakhstan RESOLVES:
1. To approve:
1) the list of reports of second-tier banks according to Appendix 1 to this resolution;
2) the form of the report on balances on balance sheet and off-balance sheet accounts of a second-tier bank according to Appendix 2 to this resolution;
3) the form of the report on additional information according to Appendix 3 to this resolution;
4) the form of the report on contingent assets and contingent liabilities according to Appendix 4 to this resolution;
5) the form of the report on interbank assets and liabilities, as well as contingent and possible claims and liabilities according to Appendix 5 to
this resolution;
6) the form of the report on the structure of the securities portfolio according to Appendix 6 to this resolution;
7) the form of the report on investments of a second-tier bank, as well as an Islamic bank, in the capital of other legal entities according to Appendix 7 to
this resolution;
8) the form of the report on the structure of assets and contingent liabilities according to Appendix 8 to this resolution;
9) the form of the report on loans, including those with overdue debt on principal and (or) accrued interest in
detail according to Appendix 9 to this resolution;
10) the form of the report on transactions with persons related to a second-tier bank by special relations, concluded during the reporting month, as well as
effective as of the reporting date, according to Appendix 10 to this resolution;
11) the form of the report on repo and reverse repo transactions according to Appendix 11 to this resolution;
12) the form of the report on the remaining term of payment until maturity according to Appendix 12 to this resolution;
13) the form of the report on the main sources of attracted money according to Appendix 13 to this resolution;
14) the form of the report on volumes and interest rates on deposits of individuals according to Appendix 14 to this resolution;
15) the form of the report on monitoring operational risk events that resulted in losses according to Appendix 15 to this resolution;
16) the form of the report on income paid to managerial employees of a second-tier bank according to Appendix 16 to this resolution;
17) the Rules for submission of reports by second-tier banks according to Appendix 17 to this resolution.
2. Second-tier banks shall submit in electronic format to the National Bank of the Republic of Kazakhstan:
1) the report provided for by subparagraph 2) of paragraph 1 of this resolution:
daily, not later than three working days following the reporting day (except for reports for the first reporting days of the month, which
are submitted simultaneously with the monthly report);
monthly, not later than five working days following the last day of the reporting month;
2) the reports provided for by subparagraphs 3), 4), 5), 6), 7), 8), 9), 11) and 12) of paragraph 1 of this resolution – monthly, not later than
the seventh working day of the month following the reporting month;
3) the report provided for by subparagraph 10) of paragraph 1 of this resolution – monthly, not later than the fifteenth working day of the month
following the reporting month;
4) the report provided for by subparagraph 13) of paragraph 1 of this resolution – monthly, not later than the fifteenth day of the month following the
reporting month. Upon completion of a calendar quarter in the reporting month, the report provided for by subparagraph 13) of paragraph 1 of this
resolution shall be submitted not later than the fifteenth working day of the month following the completed quarter;
5) the report provided for by subparagraph 14) of paragraph 1 of this resolution – monthly, not later than the tenth working day of the month following the
reporting month;
6) the report provided for by subparagraph 15) of paragraph 1 of this resolution – quarterly, not later than the thirtieth day of the month following the
reporting quarter;
7) the report provided for by subparagraph 16) of paragraph 1 of this resolution – annually, within one hundred and twenty calendar days after the end of
the financial year.
Monthly reporting (taking into account final turnovers on intra-bank operations), provided for by subparagraphs 2), 3), 4), 5), 6), 7), 8),
9), 11), 12) and 14) of paragraph 1 of this resolution, shall be submitted additionally for December by second-tier banks (including second-tier banks
that did not conduct final turnovers) not later than the first of February of the following financial year.
3. To recognize as no longer in force the resolution of the Board of the National Bank of the Republic of Kazakhstan of 29 June 2018 No. 137 «On approval of the list,
forms, deadlines for reporting of second-tier banks of the Republic of Kazakhstan and the Rules for their submission» (registered in the Register of state
registration of normative legal acts under No. 17313, published on 7 September 2018 in the Reference Control Bank of normative legal acts
of the Republic of Kazakhstan).
4. The Department of Financial Market Statistics shall, in the manner established by the legislation of the Republic of Kazakhstan, ensure:
1) together with the Legal Department, state registration of this resolution with the Ministry of Justice of the Republic of Kazakhstan;
2) placement of this resolution on the official internet resource of the National Bank of the Republic of Kazakhstan after its official
publication;
3) within ten working days after state registration of this resolution, submission to the Legal Department of information on the
implementation of the measures provided for by subparagraph 2) of this paragraph and paragraph 5 of this resolution.
5. The Department of Information and Communications – press service of the National Bank of the Republic of Kazakhstan shall ensure, within ten calendar days
after state registration of this resolution, sending its copy for official publication in periodicals.
6. Control over the execution of this resolution shall be entrusted to the supervising Deputy Chairman of the National Bank of the Republic of Kazakhstan.
7. This resolution shall enter into force on 1 July 2020.


Chairman
of the National Bank E. Dosayev
















AGREED
Agency of the Republic of Kazakhstan
for regulation and development
of the financial market
______
«___» ______ 2020


AGREED
Committee on Statistics
of the Ministry of National Economy
of the Republic of Kazakhstan
______
«___» ______ 2020

Appendix 1
to the resolution of the Board of the National Bank of the Republic of Kazakhstan of «21» April 2020 No. 54

List of reports of second-tier banks

Reports of second-tier banks include:
1) report on balances on balance sheet and off-balance sheet accounts of a second-tier bank;
2) report on additional information;
3) report on contingent assets and contingent liabilities;
4) report on interbank assets and liabilities, as well as contingent and possible claims and liabilities;
5) report on the structure of the securities portfolio;
6) report on investments of a second-tier bank, as well as an Islamic bank, in the capital of other legal entities;
7) report on the structure of assets and contingent liabilities;
8) report on loans, including those with overdue debt on principal and (or) accrued interest
in detail;
9) report on transactions with persons related to a second-tier bank by special relations, concluded during the reporting month, as well as effective as of the reporting date;
10) report on repo and reverse repo transactions;
11) report on the remaining term of payment until maturity;
12) report on the main sources of attracted money;
13) report on volumes and interest rates on deposits of individuals;
14) report on monitoring operational risk events that resulted in losses;
15) report on income paid to managerial employees of a second-tier bank.

Appendix 2
to the resolution of the Board of the National Bank of the Republic of Kazakhstan of «21» April 2020 No. 54

Form intended for collection of administrative data

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

Report on balances on balance sheet and off-balance sheet accounts of a second-tier bank

Index of the form of administrative data: 700-Н Periodicity: daily, monthly Reporting period: as of «» «_» 20 Circle of persons submitting the report: second-tier bank Deadlines for submission:
daily, not later than three working days following the reporting day (except for reports for the first reporting days of the month, which are submitted simultaneously with the monthly report); monthly, not later than five working days following the last day of the reporting month, as well as additionally for December (taking into account final turnovers on intra-bank operations) – not later than the first of February of the following financial year

Form

(in thousands of tenge)

Number of balance sheet	Names of balance sheet (off-balance sheet) accounts	Amount
(off-balance sheet) account
АААА
1	Assets	…
…	…	…
2	Liabilities	…
…	…	…
3	Equity	…
…	…	…
4	Income	…
…	…	…
5	Expenses	…
…	…	…
6	Contingent and possible claims and liabilities	…
…	…	…
7	Memorandum accounts	…
…	…	…

Name______ Address______

Telephone ______

Email address ______

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

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

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

Date «____» ______ 20__

Appendix
to the form of the report on balances on balance sheet and off-balance sheet accounts of a second-tier bank

Explanation on filling out the form of administrative data

Report on balances on balance sheet and off-balance sheet accounts of a second-tier bank

(index – 700-Н, periodicity – daily, monthly)

Chapter 1. General provisions

This explanation (hereinafter – the Explanation) defines uniform requirements for filling out the form intended for collection of administrative data, «Report on balances on balance sheet and off-balance sheet accounts of a second-tier bank» (hereinafter – the Form).
The Form is developed in accordance with subparagraph 69) of part two of article 15 of the Law of the Republic of Kazakhstan of 30 March 1995
«On the National Bank of the Republic of Kazakhstan» and paragraph 1 of article 54 of the Law of the Republic of Kazakhstan of 31 August 1995 «On banks and banking activity in the Republic of Kazakhstan».
The Form is compiled by second-tier banks daily and monthly and is filled out as of the end of the reporting period. Data in the Form are filled out in thousands of tenge. An amount less than 500 (five hundred) tenge is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (one thousand) tenge.
The Form is signed by the first head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation on filling out the Form

The Form discloses the structure of balance sheet items (by assets, liabilities, capital, income, expenses) and off-balance sheet items (by contingent and possible claims and liabilities, memorandum accounts) of a second-tier bank.
The Form is compiled depending on the activity carried out by the second-tier bank.
The Form discloses groups of accounts and indicates amounts by accounts in accordance with the resolution of the Board of the National Bank of the Republic of Kazakhstan of 31 January 2011 No. 3 «On approval of the Model chart of accounts for accounting in second-tier banks, mortgage organizations and the joint-stock company «Development Bank of Kazakhstan», registered in the Register of state registration of normative legal acts under No. 6793.
In the absence of information, the Form is submitted with zero balances.

Appendix 3
to the resolution of the Board of the National Bank of the Republic of Kazakhstan of «21» April 2020 No. 54

Form intended for collection of administrative data

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

Report on additional information

Index of the form of administrative data: 700-ДС Periodicity: monthly Reporting period: as of «» «_» 20 Circle of persons submitting the report: second-tier bank Deadlines for submission: monthly, not later than the seventh working day of the month following the reporting month, as well as additionally for December (taking into account final turnovers on intra-bank operations) – not later than the first of February of the following financial year

Form

(in thousands of tenge)

Account numbers	Account names	1	2	…	31	Data as at
						reporting date
8713	Amount of principal debt on trade finance operations	x	x	x	x
8714	Amount of markup on trade finance operations	x	x	x	x
8715	Unencumbered government securities of the Republic of Kazakhstan denominated in foreign currency
8716	Unencumbered government securities of the Republic of Kazakhstan, including those denominated in foreign currency
8717	Unencumbered securities issued by the joint-stock company "Sovereign Wealth Fund "Samruk-Kazyna" and the joint-stock company "National Managing Holding "Baiterek"
8718	Claims in national currency under currency swap operations concluded for a term of not more than 2 (two) business days
8719	Liabilities in national currency under currency swap operations concluded for a term of not more than 2 (two) business days
8720	Reverse repo overnight
8721	Current indebtedness on mortgage housing loans issued to individuals meeting the conditions for buyout established by the legal entity carrying out the buyout of mortgage loans, one hundred percent of whose shares belong to the National Bank of the Republic of Kazakhstan (including overdue indebtedness), including those assigned (not assigned) to the legal entity carrying out the buyout of mortgage loans, one hundred percent of whose shares belong to the National Bank of the Republic of Kazakhstan, as well as loans for which the reverse buyout of rights of claim has been carried out	x	x	x	x
8722	Accrued remuneration on mortgage housing loans issued to individuals meeting the conditions for buyout established by the legal entity carrying out the buyout of mortgage loans, one hundred percent of whose shares belong to the National Bank of the Republic of Kazakhstan (including on overdue indebtedness), including those assigned (not assigned) to the legal entity carrying out the buyout of mortgage loans, one hundred percent of whose shares belong to the National Bank of the Republic of Kazakhstan, as well as loans for which the reverse buyout of rights of claim has been carried out	x	x	x	x
8723	Reserves (provisions) formed on mortgage housing loans issued to individuals meeting the conditions for buyout established by the legal entity carrying out the buyout of mortgage loans, one hundred percent of whose shares belong to the National Bank of the Republic of Kazakhstan (including overdue indebtedness), including those assigned (not assigned) to the legal entity carrying out the buyout of mortgage loans, one hundred percent of whose shares belong to the National Bank of the Republic of Kazakhstan, as well as loans for which the reverse buyout of rights of claim has been carried out	x	x	x	x
8724	Current indebtedness on mortgage housing loans issued to individuals meeting the conditions for buyout established by the legal entity carrying out the buyout of mortgage loans, one hundred percent of whose shares belong to the National Bank of the Republic of Kazakhstan (including overdue indebtedness), including those assigned (not assigned) to the legal entity carrying out the buyout of mortgage loans, one hundred percent of whose shares belong to the National Bank of the Republic of Kazakhstan, as well as loans for which the reverse buyout of rights of claim has been carried out, recorded in account group 1400 "Claims on customers" in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 3 of 31 January 2011 "On approval of the Model Chart of Accounts for Accounting in Second-Tier Banks, Mortgage Organizations and the Joint-Stock Company "Development Bank of Kazakhstan", registered in the Register of State Registration of Normative Legal Acts under No. 6793	x	x	x	x
8725	Accrued remuneration on mortgage housing loans issued to individuals meeting the conditions for buyout established by the legal entity carrying out the buyout of mortgage loans, one hundred percent of whose shares belong to the National Bank of the Republic of Kazakhstan (including on overdue indebtedness), including those assigned (not assigned) to the legal entity carrying out the buyout of mortgage loans, one hundred percent of whose shares belong to the National Bank of the Republic of Kazakhstan, as well as loans for which the reverse buyout of rights of claim has been carried out, recorded in account group 1400 "Claims on customers" in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 3 of 31 January 2011 "On approval of the Model Chart of Accounts for Accounting in Second-Tier Banks, Mortgage Organizations and the Joint-Stock Company "Development Bank of Kazakhstan", registered in the Register of State Registration of Normative Legal Acts under No. 6793	x	x	x	x
8726	Current indebtedness, including overdue indebtedness, on mortgage housing loans assigned to the legal entity carrying out the buyout of mortgage loans of individuals meeting the conditions for buyout established by the legal entity carrying out the buyout of mortgage loans, one hundred percent of whose shares belong to the National Bank of the Republic of Kazakhstan	x	x	x	x
8727	Accrued remuneration on mortgage housing loans assigned to the legal entity carrying out the buyout of mortgage loans of individuals meeting the conditions for buyout established by the legal entity carrying out the buyout of mortgage loans, one hundred percent of whose shares belong to the National Bank of the Republic of Kazakhstan, including on overdue indebtedness	x	x	x	x
8728	Reserves (provisions) formed on mortgage housing loans assigned to the legal entity carrying out the buyout of mortgage loans of individuals meeting the conditions for buyout established by the legal entity carrying out the buyout of mortgage loans, one hundred percent of whose shares belong to the National Bank of the Republic of Kazakhstan	x	x	x	x
8729	Current indebtedness, including overdue indebtedness, on mortgage housing loans for which the reverse buyout of rights of claim has been carried out, on rights of claim previously assigned to the legal entity that carried out the buyout of mortgage loans of individuals meeting the conditions for buyout established by the legal entity carrying out the buyout of mortgage loans, one hundred percent of whose shares belong to the National Bank of the Republic of Kazakhstan	x	x	x	x
8730	Accrued remuneration on mortgage housing loans for which the reverse buyout of rights of claim has been carried out, on rights of claim previously assigned to the legal entity that carried out the buyout of mortgage loans of individuals meeting the conditions for buyout established by the legal entity carrying out the buyout of mortgage loans, one hundred percent of whose shares belong to the National Bank of the Republic of Kazakhstan (including on overdue indebtedness)	x	x	x	x
8731	Reserves (provisions) formed on mortgage housing loans for which the reverse buyout of rights of claim has been carried out, on rights of claim previously assigned to the legal entity that carried out the buyout of mortgage loans of individuals meeting the conditions for buyout established by the legal entity carrying out the buyout of mortgage loans, one hundred percent of whose shares belong to the National Bank of the Republic of Kazakhstan.	x	x	x	x
8732	Net classified loans	x	x	x	x
8733	Classified loans	x	x	x	x
8734	Amount of reserves created on classified loans at the end of a certain month of the period under review	x	x	x	x
8735	Classified accounts receivable	x	x	x	x

Name______ Address______

Telephone ______

Email address ______

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

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

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

Date "____" ______ 20__ year

Annex
to the report form on additional information

Explanation on completion of the administrative data form

Report on additional information

(index – 700-DS, frequency – monthly)

Chapter 1. General provisions

This explanation (hereinafter – the Explanation) defines uniform requirements for completing the form intended for the collection of administrative data, "Report on additional information" (hereinafter – the Form).
The Form has been developed in accordance with subparagraph 69) of part two of article 15 of the Law of the Republic of Kazakhstan of 30 March 1995 "On the National Bank of the Republic of Kazakhstan" and paragraph 1 of article 54 of the Law of the Republic of Kazakhstan of 31 August 1995 "On banks and banking activity in the Republic of Kazakhstan".
The Form is compiled by second-tier banks monthly as at the end of the reporting period. Data in the Form are filled in in thousands of tenge. An amount of less than 500 (five hundred) tenge is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (one thousand) tenge.
The Form is signed by the first head, the chief accountant or persons authorized to sign the report.

Chapter 2. Explanation on completion of the Form

The Form discloses the structure of additional information to the report on balances on the bank's balance sheet and off-balance sheet accounts in the form according to annex 2 to this resolution.
The Form is compiled depending on the activity carried out by the second-tier bank.
The Form contains additional information that is not reflected in the report on balances on the bank's balance sheet and off-balance sheet accounts in the form according to annex 2 to this resolution.
The sum of accounts 8713 and 8714 corresponds to the balance on balance sheet account 1426 "Claims on the customer under trade finance operations" in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 3 of 31 January 2011 "On approval of the Model Chart of Accounts for Accounting in Second-Tier Banks, Mortgage Organizations and the Joint-Stock Company "Development Bank of Kazakhstan", registered in the Register of State Registration of Normative Legal Acts under No. 6793, and is compiled by Islamic banks carrying out the activity provided for by chapter 4-1 of the Law of the Republic of Kazakhstan of 31 August 1995 "On banks and banking activity in the Republic of Kazakhstan".
Data on accounts 8713, 8714, 8721, 8722, 8723, 8724, 8725, 8726, 8727, 8728, 8729, 8730, 8731, 8732, 8733, 8734 and 8735 are indicated in the column "Data as at the reporting date".
Under account 8715, unencumbered government securities of the Republic of Kazakhstan denominated in foreign currency are indicated in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 317 of 28 December 2018 "On establishing the factors influencing the deterioration of the financial position of a bank and a banking conglomerate, as well as approval of the Rules for approving an action plan providing for early response measures, and the Methodology for determining the factors influencing the deterioration of the financial position of a bank (banking conglomerate)", registered in the Register of State Registration of Normative Legal Acts under No. 18186 (hereinafter – Resolution No. 317).
Under account 8716, unencumbered government securities of the Republic of Kazakhstan, including those denominated in foreign currency, are indicated in accordance with Resolution No. 317. Accounts 8715 and 8716 include government securities of the Republic of Kazakhstan issued by the Government of the Republic of Kazakhstan, the National Bank of the Republic of Kazakhstan and local executive bodies.
Under account 8717, unencumbered securities issued by the joint-stock company "Sovereign Wealth Fund "Samruk-Kazyna" and the joint-stock company "National Managing Holding "Baiterek" are indicated in accordance with Resolution No. 317.
Account 8717 includes securities issued by the joint-stock company "Sovereign Wealth Fund "Samruk-Kazyna" and the joint-stock company "National Managing Holding "Baiterek", excluding securities issued by subsidiary organizations of the said companies.
Under accounts 8715, 8716 and 8717, the carrying value of securities is reflected (nominal value, less reserves (provisions) formed in accordance with international financial reporting standards, taking into account accrued remuneration, positive (negative) adjustments, discounts and premiums), less securities sold by the bank on the terms of their reverse buyout or transferred as collateral or otherwise encumbered.
The carrying value under accounts 8716 and 8717 must correspond to the value of unencumbered government securities of the Republic of Kazakhstan issued by the Government of the Republic of Kazakhstan and the National Bank of the Republic of Kazakhstan, as well as the value of securities issued by the joint-stock company "Sovereign Wealth Fund "Samruk-Kazyna" and the joint-stock company "National Managing Holding "Baiterek", reflected in the Report on the structure of the securities portfolio in the form according to annex 6 to this resolution.
Under account 8718, claims in national currency under currency swap operations concluded for a term of not more than 2 (two) business days are indicated in accordance with Resolution No. 317.
Under account 8719, liabilities in national currency under currency swap operations concluded for a term of not more than 2 (two) business days are indicated in accordance with Resolution No. 317.
The amounts under accounts 8718 and 8719 include: for a one-day swap – claims (liabilities) on the date of conclusion, for a two-day swap – claims (liabilities) on the date of conclusion and on the day following the date of conclusion of the swap.
Under accounts 8721, 8722, 8723, 8726 and 8727, the amount recorded on balance sheet and off-balance sheet accounts is indicated.
Under account 8728, the amount of reserves (provisions) formed as at the reporting date on mortgage housing loans assigned to the legal entity carrying out the buyout of mortgage loans of individuals meeting the conditions for buyout established by the legal entity carrying out the buyout of mortgage loans, one hundred percent of whose shares belong to the National Bank of the Republic of Kazakhstan, is indicated.
Under accounts 8729 and 8730, the amount recorded in account group 1400 "Claims on customers" in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 3 of 31 January 2011 "On approval of the Model Chart of Accounts for Accounting in Second-Tier Banks, Mortgage Organizations and the Joint-Stock Company "Development Bank of Kazakhstan", registered in the Register of State Registration of Normative Legal Acts under No. 6793, is indicated.
Under account 8731, the amount of reserves (provisions) formed as at the reporting date on mortgage housing loans for which the reverse buyout of rights of claim has been carried out, on rights of claim previously assigned to the legal entity that carried out the buyout of mortgage loans of individuals meeting the conditions for buyout established by the legal entity carrying out the buyout of mortgage loans, one hundred percent of whose shares belong to the National Bank of the Republic of Kazakhstan, is indicated.
Under account 8732, the amount of net classified loans (loans to banks and organizations carrying out certain types of banking operations, loans to individuals, including loans to individual entrepreneurs, loans to legal entities, including loans to small and medium-sized business entities, and reverse repo operations) at the end of a certain month of the period under review, less reserves created on them, is indicated in accordance with Resolution No. 317.
Net classified loans means the carrying value of loans (principal debt taking into account discounts (premiums), positive (negative) adjustments, accrued remuneration and reserves created on them) for which, according to accounting data, reserves have been formed at a level of more than 10 (ten) percent.
Under account 8733, the amount of classified loans (loans to banks and organizations carrying out certain types of banking operations, loans to individuals, including loans to individual entrepreneurs, loans to legal entities, including loans to small and medium-sized business entities, and reverse repo operations) without taking into account reserves created on them at the end of a certain month of the period under review is indicated in accordance with Resolution No. 317.
Classified loans means the amount of principal debt for which, according to accounting data, reserves have been formed at a level of more than 10 (ten) percent.
Under account 8734, the amount of reserves created on classified loans at the end of a certain month of the period under review is indicated in accordance with Resolution No. 317.
Under account 8735, the amount of classified accounts receivable without taking into account reserves created on it at the end of a certain month of the period under review is indicated in accordance with Resolution No. 317.
Classified accounts receivable means accounts receivable for which, according to accounting data, reserves have been formed at a level of more than 10 (ten) percent. The calculation of classified accounts receivable includes the amount of principal debt.
In the absence of information, the Form is submitted with zero balances.

Annex 4
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan of "21" April 2020 No. 54

Form intended for the collection of administrative data

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

Report on contingent assets and contingent liabilities

Index of the administrative data form: 4_FS_UO Frequency: monthly Reporting period: as at "" "_" 20 year Circle of persons submitting the report: second-tier bank Deadline for submission: monthly, not later than the seventh working day of the month following the reporting month, and additionally for the month of December (taking into account closing entries on intra-bank operations) – not later than the first of February of the following financial year

Form

(in thousands of tenge)

No.	Name of item	Total
		counterparties - financial organizations	counterparties - other

counterparties - financial organizations	counterparties - other

with a term of up to 6 (six)	with a term of more than 6	without a term	with a term of up to 6 (six)	with a term of more than 6	without a term
months	(six) months		months	(six) months
7	8	9	10	11	12

Name______ Address______

Telephone ______

Email address ______

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

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

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

Date "____" ______ 20__ year

Annex
to the report form on contingent assets and contingent liabilities

Explanation on completion of the administrative data form

Report on contingent assets and contingent liabilities

(index – 4_FS_UO, frequency – monthly)

Chapter 1. General provisions

This explanation (hereinafter – the Explanation) defines uniform requirements for completing the form intended for the collection of administrative data, "Report on contingent assets and contingent liabilities" (hereinafter – the Form).
The Form has been developed in accordance with subparagraph 69) of part two of article 15 of the Law of the Republic of Kazakhstan of 30 March 1995 "On the National Bank of the Republic of Kazakhstan" and paragraph 1 of article 54 of the Law of the Republic of Kazakhstan of 31 August 1995 "On banks and banking activity in the Republic of Kazakhstan".
The Form is compiled by second-tier banks monthly as at the end of the reporting period. Data in the Form are filled in in thousands of tenge. An amount of less than 500 (five hundred) tenge is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (one thousand) tenge.
The Form is signed by the first head, the chief accountant or persons authorized to sign the report.

Chapter 2. Explanation on completion of the Form

The Form shall state the amounts of contingent claims and the amounts of contingent liabilities in respect of counterparties that are financial organizations and counterparties that are non-financial organizations (including non-residents of the Republic of Kazakhstan), broken down by financial instruments and by maturities remaining until repayment.
Line 11 shall state the amount of balances for all other derivative financial instruments (including speculative transactions with the intention of making a profit as a result of changes and fluctuations in prices).
In the absence of information, the Form shall be submitted with zero balances.

Annex 5
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated "21" April 2020 No. 54

Form intended for the collection of administrative data

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

Report on interbank assets and liabilities, as well as contingent and possible claims and liabilities

Index of the form of administrative data: 5_ФС_МБ Periodicity: monthly Reporting period: as at "" "_" 20 Circle of persons submitting the report: second-tier bank Deadline for submission: monthly, no later than the seventh working day of the month following the reporting month, and additionally for the month of December (taking into account final turnovers on intra-bank operations) – no later than the first of February of the following financial year

Form

(in thousands of tenge)

No.	Name of bank	Assets	Liabilities
		number of the balance sheet account
number of the off-balance sheet account	amount at the end of the reporting period	number of the off-balance sheet account	amount at the end of the reporting period
7	8	9	10	11

Name______ Address______

Telephone ______

Email address ______

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

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

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

Date "____" ______ 20__

Annex
to the form of the report on interbank assets and liabilities, as well as contingent and possible claims and liabilities

Explanation on completing the form of administrative data

Report on interbank assets and liabilities, as well as contingent and possible claims and liabilities

(index – 5_ФС_МБ, periodicity – monthly)

Chapter 1. General provisions

This explanation (hereinafter – the Explanation) defines uniform requirements for completing the form intended for the collection of administrative data, "Report on interbank assets and liabilities, as well as contingent and possible claims and liabilities" (hereinafter – the Form).
The Form has been developed in accordance with subparagraph 69) of part two of Article 15 of the Law of the Republic of Kazakhstan dated 30 March 1995
"On the National Bank of the Republic of Kazakhstan" and paragraph 1 of Article 54 of the Law of the Republic of Kazakhstan dated 31 August 1995 "On banks and banking activity in the Republic of Kazakhstan".
The Form is compiled by second-tier banks monthly as at the end of the reporting period. Data in the Form are filled in in thousands of tenge. An amount of less than 500 (five hundred) tenge is rounded to 0 (zero), and an amount equal to
500 (five hundred) tenge and above is rounded to 1000 (one thousand) tenge.
The Form is signed by the first head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation on completing the Form

The Form shall state information on all interbank assets of the bank in relation to banks that are residents of the Republic of Kazakhstan and banks that are non-residents of the Republic of Kazakhstan, liabilities of the bank to banks that are residents of the Republic of Kazakhstan and banks that are non-residents of the Republic of Kazakhstan, contingent and possible claims of the bank to banks that are residents of the Republic of Kazakhstan and banks that are non-residents of the Republic of Kazakhstan, contingent and possible liabilities of the bank to banks that are residents of the Republic of Kazakhstan and banks that are non-residents of the Republic of Kazakhstan.
Banks that are residents of the Republic of Kazakhstan also include the National Bank of the Republic of Kazakhstan and the joint-stock company "Bank of Development of Kazakhstan".
The Form is filled in for each counterparty bank (bank that is a resident of the Republic of Kazakhstan, bank that is a non-resident of the Republic of Kazakhstan, the National Bank of the Republic of Kazakhstan and the joint-stock company "Bank of Development of Kazakhstan") separately, with which the bank has relationships as at the reporting date.
In the column "Name of bank", instead of the conventional designations "Bank that is a resident of the Republic of Kazakhstan", "Bank that is a non-resident of the Republic of Kazakhstan", when filling in, the name of the specific counterparty bank shall be stated.
When filling in columns 1, 4, 7 and 9, each balance sheet or off-balance sheet account of assets, liabilities, contingent and possible claims and liabilities shall be stated separately in accordance with the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 31 January 2011 No. 3 "On approval of the Model chart of accounts for accounting in second-tier banks, mortgage organizations and the joint-stock company "Bank of Development of Kazakhstan", registered in the Register of state registration of normative legal acts under No. 6793, corresponding to the amount at the end of the reporting period for each counterparty bank.
In columns 2 and 5, the type of currency shall be stated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 "Codes for the designation of currencies and funds".
When filling in columns 3, 6, 8 and 10, the amounts at the end of the reporting period corresponding to the counterparty bank shall be distributed in the breakdown of balances under the corresponding balance sheet or off-balance sheet accounts: for principal debt (acquisition cost), accrued remuneration, reserves (provisions), discounts, premiums, positive and negative adjustment accounts.
The amount of reserves (provisions) shall be stated in absolute value and with a plus sign.
In the absence of information, the Form shall be submitted with zero balances.

Annex 6
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated "21" April 2020 No. 54

Form intended for the collection of administrative data

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

Report on the structure of the securities portfolio

Index of the form of administrative data: 6_ФС_ССЦБ Periodicity: monthly Reporting period: as at "" "_" 20 Circle of persons submitting the report: second-tier bank Deadline for submission: monthly, no later than the seventh working day of the month following the reporting month, and additionally for the month of December (taking into account final turnovers on intra-bank operations) – no later than the first of February of the following financial year

Form

No.	Name of issuer	Name of country of issuer	Name of security	National identification number or
				international identification number


1	2	3	4	5
1	Government securities of the Republic of Kazakhstan
1.1	government securities of the Republic of Kazakhstan
1.1.1	notes of the National Bank of the Republic of Kazakhstan
1.1.2	securities of local executive bodies
1.1.3	securities of the Ministry of Finance of the Republic of Kazakhstan
1.1.4
1.1.n
1.2	securities previously accepted as collateral and transferred into
	ownership of the bank
1.2.1	notes of the National Bank of the Republic of Kazakhstan
1.2.2	securities of local executive bodies
1.2.3	securities of the Ministry of Finance of the Republic of Kazakhstan
1.2.4
1.2.n
2	non-government issue securities of organizations of the Republic of
	Kazakhstan
2.1	second-tier banks
2.1.1
2.1.n
2.2	legal entities, except second-tier banks
2.2.1	organizations carrying out certain types of banking operations
2.2.1.1
2.2.1.n
2.2.2	legal entities, except organizations carrying out certain
	types of banking operations
2.2.2.1
2.2.2.n
2.3	securities previously accepted as collateral and transferred into
	ownership of the bank
2.3.1	second-tier banks
2.3.1.1
2.3.1.n
2.3.2	legal entities, except second-tier banks
2.3.2.1
2.3.2.n
2.4	bonds of the joint-stock company "Bank of Development of Kazakhstan"
2.4.1
2.4.n
3	securities of foreign states
3.1	securities of foreign states
3.1.1
3.1.n
3.2	securities previously accepted as collateral and transferred into
	ownership of the bank
3.2.1
3.2.n
4	non-government securities of issuers that are non-residents of the Republic of
	Kazakhstan
4.1	non-government securities of issuers that are non-residents of the Republic of
	Kazakhstan
4.1.1	banks that are issuers and non-residents of the Republic of Kazakhstan
4.1.1.1
4.1.1.n
4.1.2	other financial organizations that are issuers and non-residents of the Republic of Kazakhstan
4.1.2.1
4.1.2.n
4.1.3	non-financial organizations that are issuers and non-residents of the Republic of Kazakhstan
4.1.3.1
4.1.3.n
4.2	securities previously accepted as collateral and transferred into
	ownership of the bank
4.2.1	banks that are issuers and non-residents of the Republic of Kazakhstan
4.2.1.1
4.2.1.n
4.2.2	other financial organizations that are issuers and non-residents of the Republic of Kazakhstan
4.2.2.1
4.2.2.n
4.2.3	non-financial organizations that are issuers and non-residents of the Republic of Kazakhstan
4.2.3.1
4.2.3.n
5	securities of international financial organizations
5.1
5.n
6	Islamic securities
6.1
6.n
	Total securities portfolio

continuation of the table:

Number of securities (units)	Nominal value, purchase	Currency of nominal value
	value of the security
Total	including encumbered securities
	encumbered securities, total	including securities transferred to
		repo
6	7	8	9	10

continuation of the table:

Securities accounted for at fair value through other comprehensive income	Reference:
	Reserves (provisions) for covering losses on securities
	accounted for at fair value
	through other comprehensive income
Carrying amount (net), in thousands of tenge	including securities
	encumbered by repo agreements
Acquisition cost	Discount, premium	Accrued remuneration	Positive, negative adjustment
11	12	13	14	15	16

continuation of the table:

Securities accounted for at fair value through profit or loss
Carrying amount (net), in thousands of tenge	including securities encumbered by repo agreements
Acquisition cost	Discount, premium	Accrued remuneration	Positive,
			negative adjustment

17	18	19	20	21

continuation of the table:

Securities accounted for at amortized cost
Carrying amount (net), in thousands of tenge	including securities encumbered by
	repo agreements
Acquisition cost	Discount, premium	Accrued remuneration	Amount of reserves (provisions) formed in
			accordance with international standards of financial
			reporting
22	23	24	25	26

continuation of the table:

Carrying amount of securities encumbered by	Date of acquisition	Date of repayment	Date of proposed sale	Category of the list	Rating
liabilities of the bank, in thousands of tenge				stock exchange

Total	including securities encumbered by						Issuer as at the reporting date
	repo agreements
1	2	3	4	5	6	7
I	Total investments in financial organizations
1	Residents of the Republic of Kazakhstan
1.1	second-tier banks
1.1.1
1.1.n
1.2	insurance (reinsurance) organizations
1.2.1
1.2.n
1.3	voluntary accumulative pension funds
1.3.1
1.3.n
1.4	professional participants of the securities market
1.4.1
1.4.n
1.5	stock exchange and central depository,
	carrying out activity in the territory of the Republic of
	Kazakhstan
1.5.1
1.5.n
1.6	subsidiary organizations, the exclusive activity
	of which is the collection of banknotes, coins and valuables
1.6.1
1.6.n
1.7	other financial organizations
1.7.1
1.7.n
2	Non-residents of the Republic of Kazakhstan
2.1	banks
2.1.1
2.1.n
2.2	insurance organizations
2.2.1
2.2.n
2.3	pension funds
2.3.1
2.3.n
2.4	professional participants of the securities market
2.4.1
2.4.n
2.5	subsidiary organizations, the exclusive activity
	of which is the collection of banknotes, coins and valuables
2.5.1
2.5.n
2.6	other financial organizations
2.6.1
2.6.n
II	Total investments in non-financial organizations
3	Subsidiary special organizations that are non-residents
	of the Republic of Kazakhstan, created for the purpose of issuing and
	placing securities under the guarantee of the bank
3.1
3.n
4	Subsidiary special financial companies created
	for securitization transactions in accordance with the
	legislation of the Republic of Kazakhstan on project
	financing and securitization
4.1
4.n
5	Subsidiary organizations that are residents of the Republic of Kazakhstan,
	acquiring doubtful and bad assets
	of the parent bank
5.1
5.n
6	Subsidiary organizations carrying out leasing
	activity
6.1
6.n
7	Organizations providing services for ensuring
	information, telecommunication and
	technological interaction between participants
	of settlements in banking activity, including settlements
	for operations with payment cards
7.1
7.n
8	Organizations carrying out activity on
	certification of compliance of the public key of the electronic
	digital signature with the private key of the electronic digital
	signature, as well as on confirmation of the authenticity
	of the registration certificate
8.1
8.n
9	Associations (unions) of banks
9.1
9.n
10	Legal entities, when shares or participatory interests in the charter capitals of these
	organizations accepted as collateral transfer into the ownership of banks in
	accordance with the civil legislation
	of the Republic of Kazakhstan and the legislation of a foreign
	state
10.1
10.n
11	Credit bureaus
11.1
11.n
12	Other legal entities – when an Islamic
	bank carries out banking activity provided for by Chapter
	4-1 of the Law of the Republic of Kazakhstan dated 31 August 1995
	"On banks and banking activity in the Republic of
	Kazakhstan"
12.1
12.n
13	The legal entity specified in paragraph 8 of Article 61-4
	of the Law of the Republic of Kazakhstan dated 31 August 1995 "On
	banks and banking activity in the Republic of
	Kazakhstan"
13.1
13.n
14	Other legal entities
14.1
14.n
	Total investments

continuation of the table:

Ratio of the number of shares owned by the bank to the total number of	Ratio of the carrying amount of shares	Date of acquisition	Equity financial instruments	Name of the international
placed (excluding preferred and repurchased) shares of the issuer or	of the issuer or participatory interest in the charter			stock exchange on which
share of participation in the charter capital of the legal entity (in percent)	capital of the legal entity to the			shares of legal entities that are
	bank's own capital			non-residents of the Republic of
	(in percent)			Kazakhstan are in free circulation
as at the date of acquisition	as at the reporting date
8	9	10	11	12	13

Name______ Address______

Telephone ______

Email address ______

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

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

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

Date "____" ______ 20__

Annex
to the form of the report on investments of a second-tier bank, as well as an Islamic bank in the capital of other legal entities

Explanation on completing the form of administrative data

Report on investments of a second-tier bank, as well as an Islamic bank in the capital of other legal entities

(index – 7_ФС_ИКДЮ, periodicity – monthly)

Chapter 1. General provisions

This explanation (hereinafter – the Explanation) defines uniform requirements for completing the form intended for the collection of administrative data, "Report on investments of a second-tier bank, as well as an Islamic bank in the capital of other legal entities" (hereinafter – the Form).
The Form has been developed in accordance with subparagraph 69) of part two of Article 15 of the Law of the Republic of Kazakhstan dated 30 March 1995
"On the National Bank of the Republic of Kazakhstan" and paragraph 1 of Article 54 of the Law of the Republic of Kazakhstan dated 31 August 1995 "On banks and banking activity in the Republic of Kazakhstan".
The Form is compiled by second-tier banks monthly as at the end of the reporting period. Data in the Form are filled in in thousands of tenge. An amount of less than 500 (five hundred) tenge is rounded to 0 (zero), and an amount equal to
500 (five hundred) tenge and above is rounded to 1000 (one thousand) tenge.
The Form is signed by the first head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation on completing the Form

The Form shall specify information on the amount of investments of a second-tier bank or an Islamic bank in the capital of subsidiary and associated organizations, as well as other legal entities.
All data in the Form shall be presented according to the nature of activity of the legal entity in whose capital the second-tier bank participates.
Column 3 shall specify the purchase cost of the entire block of shares (participation interests) as at the date of acquisition.
Column 4 shall specify the carrying amount of investments. The carrying amount means the amount at which a financial asset is recognized in the balance sheet after deducting reserves (provisions) formed on it.
Column 6 shall specify the balance sheet accounts for investments and reserves (provisions) created on them in accordance with Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 3 dated 31 January 2011 "On approval of the Model Chart of Accounts for Accounting in Second-Tier Banks, Mortgage Organizations and the Joint-Stock Company 'Bank for Development of Kazakhstan'," registered in the Register of State Registration of Normative Legal Acts under No. 6793.
In column 10, for calculating the ratio of the carrying amount of the issuer's shares or the share in the charter capital of a legal entity to the own capital of the second-tier bank, the regulatory own capital calculated in accordance with the Normative Values and Methodologies for Calculating Prudential Norms and Other Mandatory Norms and Limits, and the Amount of Bank Capital, approved by Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 170 dated 13 September 2017, registered in the Register of State Registration of Normative Legal Acts under No. 15886, shall be used.
Column 11 shall specify the date of registration of a transaction with issue-grade securities in the system of registers of securities holders. For other transactions, the date (moment) of the emergence of ownership rights in accordance with legislation shall be specified.
The amount of reserves (provisions) shall be specified in absolute value and with a plus sign.
In the absence of information, the Form shall be submitted with zero balances.

Annex 8
to Resolution of the Board of the National Bank of the Republic of Kazakhstan dated "21" April 2020 No. 54

Form intended for collecting administrative data

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

Report on the structure of assets and contingent liabilities

Index of the form of administrative data: 8_FS_KA Frequency: monthly Reporting period: as at "" "_" 20 Circle of persons submitting the report: second-tier bank Deadline for submission: monthly, no later than the seventh working day of the month following the reporting month, and additionally for December (taking into account final turnovers on intra-bank operations) – no later than the first of February of the following financial year

Form

(in thousands of tenge)

No.	Assets	Total, including

Principal debt	Accrued remuneration	Discount, premium	Positive, negative adjustment	Value of collateral	Reserves (provisions)

8	9	10	11	12	13

continuation of the table:

Assets and contingent liabilities for which a significant increase in credit risk is observed as at the reporting date (Stage 2)
Principal debt	Accrued remuneration	Discount, premium	Positive, negative adjustment	Value of collateral	Reserves (provisions)

14	15	16	17	18	19

continuation of the table:

Assets and contingent liabilities for which credit losses exist as at the reporting date (credit-impaired financial assets) (Stage 3)
Principal debt	Accrued remuneration	Discount, premium	Positive, negative adjustment	Value of collateral	Reserves (provisions)

20	21	22	23	24	25

continuation of the table:

For reference: Acquired or originated credit-impaired financial assets ("POCI")
Principal debt	Accrued remuneration	Discount, premium	Positive, negative adjustment	Value of collateral	Reserves (provisions)

26	27	28	29	30	31

Name______ Address______

Telephone ______

Email address ______

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

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

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

Date "____" ______ 20__

Annex
to the form of the report on the structure of assets and contingent liabilities

Explanation on completing the form of administrative data

Report on the structure of assets and contingent liabilities

(index – 8_FS_KA, frequency – monthly)

Chapter 1. General provisions

This explanation (hereinafter – the Explanation) defines uniform requirements for completing the form intended for collecting administrative data, "Report on the structure of assets and contingent liabilities" (hereinafter – the Form).
The Form has been developed in accordance with subparagraph 69) of part two of Article 15 of the Law of the Republic of Kazakhstan dated 30 March 1995 "On the National Bank of the Republic of Kazakhstan" and paragraph 1 of Article 54 of the Law of the Republic of Kazakhstan dated 31 August 1995 "On Banks and Banking Activity in the Republic of Kazakhstan".
The Form shall be compiled by second-tier banks monthly as at the end of the reporting period. Data in the Form shall be filled in thousands of tenge. An amount less than 500 (five hundred) tenge shall be rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above shall be rounded to 1000 (one thousand) tenge.
The Form shall be signed by the first head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation on completing the Form

The report form shall reflect information on the structure of assets and contingent liabilities classified by stages of impairment in accordance with International Financial Reporting Standards (IFRS) 9 "Financial Instruments" in accordance with the bank's internal Methodology for calculating provisions (reserves).
At the same time, the "Total" column shall reflect the total amount by asset breakdown in accordance with balances on balance sheet and off-balance sheet accounts of the second-tier bank according to Annex 2 to this resolution.
Line 3.3 shall reflect loans issued to individuals, including data on loan and overdue debt on loans issued to individual entrepreneurs for their own purposes, as well as loans issued to lawyers and notaries.
Lines 3.3.1 shall specify loans issued to individuals for the purchase of goods, works and services not related to entrepreneurial activity (except for mortgage housing loans, loans issued for the purchase and construction of commercial and residential real estate, credit cards). Consumer purposes include: purchase of vehicles, household appliances or furniture, repair or reconstruction of the borrower's housing (without real estate collateral), education expenses, medical expenses, taxes, vacation trips, overdrafts on savings accounts.
Line 3.4.2 shall specify loans issued to individual entrepreneurs for carrying out entrepreneurial activity.
Line 4 shall specify loans issued to individuals for consumer purposes without concluding a pledge agreement, surety agreement or guarantee.
Columns 6, 12, 18, 24 and 30 shall specify the market value of collateral.
Columns 7, 13, 19, 25 and 31 shall specify the amount of reserves (provisions) in absolute value and with a plus sign.
In the absence of information, the Form shall be submitted with zero balances.

Annex 9
to Resolution of the Board of the National Bank of the Republic of Kazakhstan dated "21" April 2020 No. 54

Form intended for collecting administrative data

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

Report on loans, including those with overdue debt on principal debt and (or) accrued remuneration in detail

Index of the form of administrative data: 9_FS_ZPD Frequency: monthly Reporting period: as at "" "_" 20 Circle of persons submitting the report: second-tier bank Deadline for submission: monthly, no later than the seventh working day of the month following the reporting month, and additionally for December (taking into account final turnovers on intra-bank operations) – no later than the first of February of the following financial year

Form

(in thousands of tenge)

No.	Name	Principal debt	Discount, premium	Accrued	Positive, negative
				remuneration	adjustment

to a person related to the second-tier bank by special	by the bank in favor of a person related to the bank	in accordance with the bank's internal documents	Amount	Balance sheet account number
relations in favor of the second-tier bank	by special relations		(in thousands of tenge)
18	19	20	21	22

continuation of the table:

Carrying amount of the transaction, including:	Note
Principal debt	Accrued remuneration	Discounts, premiums, positive,	Reserves (provisions)	Balance sheet account numbers
		negative adjustment
23	24	25	26	27	28

The total amount of transactions of the second-tier bank with persons related by special relations to it, the amounts of which for each type of operation of the second-tier bank with a person related by special relations to it do not exceed 0.01 (zero point one hundredth) percent in aggregate of the amount of own capital of the second-tier bank calculated in accordance with the Normative Values and Methodologies for Calculating Prudential Norms and Other Mandatory Norms and Limits, and the Amount of Bank Capital, approved by Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 170 dated 13 September 2017, registered in the Register of State Registration of Normative Legal Acts under No. 15886, as at ""____ 20__ is ______ thousand tenge. The total amount of loans of clients of the second-tier bank insured with an insurance organization that is a person related by special relations to the second-tier bank, as at ""____ 20__ is ______ thousand tenge. The second-tier bank confirms that during the reporting period no preferential terms were provided to persons related by special relations to the second-tier bank.

Table 2. Register of persons related to the second-tier bank by special relations

No.	Business identification number (for a legal entity), individual identification number (for	Name	Attribute according to which the person is classified as a person
	an individual, including for an individual entrepreneur) or other identification number	(for a legal entity),	related by special relations to the second-tier bank
	(for non-residents of the Republic of Kazakhstan)	surname, name, patronymic (if any) (for
		an individual)

1	2	3	4

Name______ Address______

Telephone ______

Email address ______

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

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

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

Date "____" ______ 20__

Annex
to the form of the report on transactions with persons related to the second-tier bank by special relations concluded during the reporting month, as well as effective as at the reporting date

Explanation on completing the form of administrative data

Report on transactions with persons related to the second-tier bank by special relations concluded during the reporting month, as well as effective as at the reporting date

(index – 10_FS_SDELKI_REESTR, frequency – monthly)

Chapter 1. General provisions

This explanation (hereinafter – the Explanation) defines uniform requirements for completing the form intended for collecting administrative data, "Report on transactions with persons related to the second-tier bank by special relations concluded during the reporting month, as well as effective as at the reporting date" (hereinafter – the Form).
The Form has been developed in accordance with subparagraph 69) of part two of Article 15 of the Law of the Republic of Kazakhstan dated 30 March 1995 "On the National Bank of the Republic of Kazakhstan" and paragraph 1 of Article 54 of the Law of the Republic of Kazakhstan dated 31 August 1995 "On Banks and Banking Activity in the Republic of Kazakhstan".
The Form shall be compiled by second-tier banks monthly as at the end of the reporting period. Data in the Form shall be filled in thousands of tenge. An amount less than 500 (five hundred) tenge shall be rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above shall be rounded to 1000 (one thousand) tenge.
The Form shall be signed by the first head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation on completing the Form

The Form discloses information on all transactions of the second-tier bank with persons related by special relations to it (Table 1), as well as the register of persons related to the second-tier bank by special relations (Table 2), concluded during the reporting month, as well as effective as at the reporting date.
The attribute of a person's relatedness to the second-tier bank by special relations is determined by Article 40 of the Law of the Republic of Kazakhstan dated 31 August 1995 "On Banks and Banking Activity in the Republic of Kazakhstan", Article 12-1 of the Law of the Republic of Kazakhstan dated 22 April 1998 "On Limited and Additional Liability Partnerships" and Article 64 of the Law of the Republic of Kazakhstan dated 13 May 2003 "On Joint-Stock Companies".
Persons may have one or several attributes of relatedness by special relations to the second-tier bank, and therefore, when filling in the said register, all attributes shall be specified.
Table 1 shall specify information on all transactions of the second-tier bank with persons related by special relations to it, the amount of which for each type of operation of the second-tier bank with a person related by special relations to it exceeds 0.01 (zero point one hundredth) percent in aggregate of the amount of own capital of the second-tier bank calculated in accordance with the Normative Values and Methodologies for Calculating Prudential Norms and Other Mandatory Norms and Limits, and the Amount of Bank Capital, approved by Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 170 dated 13 September 2017, registered in the Register of State Registration of Normative Legal Acts under No. 15886,
If the own capital of the second-tier bank has a negative value, Table 1 shall specify information on all transactions of the second-tier bank with persons related by special relations to it, the amount of which for each type of operation of the second-tier bank with a person related by special relations to it exceeds 0.001 (zero point one thousandth) percent in aggregate of the amount of assets of the bank.
In column 2 of Table 1, for an individual, the surname and name shall be mandatory, patronymic (if any).
For filling in column 6 of Table 1, the following types of operations are provided:
1) issuance of loans;
2) receipt of loans;
3) placement of a deposit;
4) acceptance of a deposit;
5) purchase of financial instruments issued by persons related by special relations to the second-tier bank;
6) purchase of securities from persons related by special relations to the second-tier bank (except for transactions concluded on the organized market by methods that do not allow the second-tier bank to identify the counterparty);
7) sale of securities, including securities of the second-tier bank, to persons related by special relations to the second-tier bank (except for transactions concluded on the organized market by methods that do not allow the bank to identify the counterparty);
8) purchase of securities on terms of their reverse sale from persons related by special relations to the second-tier bank (except for transactions concluded on the organized market by methods that do not allow the bank to identify the counterparty);
9) sale of securities on terms of their reverse purchase to persons related by special relations to the second-tier bank (except for transactions concluded on the organized market by methods that do not allow the bank to identify the counterparty);
10) purchase of derivative financial instruments;
11) sale of derivative financial instruments;
12) purchase of foreign currency (spot, forward);
13) sale of foreign currency (spot, forward);
14) subordinated debt accepted from a person related by special relations to the second-tier bank;
15) subordinated debt issued to a person related by special relations to the second-tier bank;
16) purchase of property from a person related by special relations to the second-tier bank;
17) acceptance of property as collateral from a person related by special relations to the second-tier bank;
18) sale of property to a person related by special relations to the second-tier bank;
19) acceptance of financial instruments issued by persons related by special relations to the second-tier bank as collateral;
20) future claim of the second-tier bank against a person related by special relations to the second-tier bank;
21) guarantees issued in favor of a person related by special relations to the second-tier bank;
22) acceptance of guarantees from a person related by special relations to the second-tier bank;
23) insurance premiums (contributions) paid by the second-tier bank under insurance contracts concluded with an insurance organization that is a person related by special relations to the second-tier bank (the insured amount under the insurance contract shall be specified);
24) insurance payments received by the second-tier bank from an insurance organization that is a person related by special relations to the second-tier bank;
25) letters of credit issued in favor of a person related by special relations to the second-tier bank;
26) letters of credit received from a person related by special relations to the second-tier bank;
27) dividends paid to persons related by special relations to the second-tier bank;
28) dividends paid to the second-tier bank by persons related by special relations to the second-tier bank;
29) investments in the form of other capital contributions, except for contributions to charter capital;
30) other types of transactions (transactions not provided for above).
In column 9 of Table 1, for the type of operation "dividends paid to persons related by special relations to the second-tier bank" and "dividends paid to the second-tier bank by persons related by special relations to the second-tier bank", the date of payment and the date of receipt of dividends, respectively, shall be specified.
In column 13 of Table 1, the amount of dividends paid shall be specified; in column 21 of Table 1 – the amount of accrued dividends.
In case of prolongation of the contract, column 10 of Table 1 shall specify the corresponding date until which the contract is prolonged; column 23 of Table 1 – the amount of the balance as at the reporting date during the period of the prolonged transaction contract.
Column 13 of Table 1 shall reflect the transaction amount specified in the contract, in thousands of tenge.
The transaction amount under a contract in foreign currency shall be specified converted at the market exchange rate determined in the manner provided for by paragraph 1 of Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 15 dated 25 January 2013 and Order of the Minister of Finance of the Republic of Kazakhstan No. 99 dated 22 February 2013 "On the procedure for determining the market exchange rate of currency", registered in the Register of State Registration of Normative Legal Acts under No. 8378, as at the date of conclusion of the contract.
In column 14 of Table 1, the type of currency shall be specified in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 "Codes for the designation of currencies and funds".
If the terms of the transaction do not imply the existence of collateral, payment of remuneration or accrual of reserves (provisions), then columns 15, 16, 17, 18, 19, 20, 21, 22, 24 and 26 of Table 1 shall not be filled in.
In case of several types of collateral for a transaction, column 15 of Table 1 shall specify all types of collateral.
Column 16 of Table 1 shall specify the collateral value of the collateral.
Column 21 of Table 1 shall specify the amounts of accumulated income and expenses on the transaction as at the reporting date, reflected in the corresponding balance sheet accounts of classes 4 and 5 in accordance with Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 3 dated 31 January 2011 "On approval of the Model Chart of Accounts for Accounting in Second-Tier Banks, Mortgage Organizations and the Joint-Stock Company 'Bank for Development of Kazakhstan'," registered in the Register of State Registration of Normative Legal Acts under No. 6793.
Column 27 of Table 1 shall specify the numbers of balance sheet accounts from which the carrying amount of the transaction is reflected, separated by commas.
If at the time of conclusion of the transaction the person did not have the attribute of relatedness to the second-tier bank by special relations, column 28 of Table 1 shall specify a note: "the person is related to the second-tier bank by special relations from dd.mm.yyyy."
In the absence of transactions with persons related by special relations to the second-tier bank concluded during the reporting month, as well as effective as at the reporting date, the Form shall be submitted with zero balances.

Annex 11
to Resolution of the Board of the National Bank of the Republic of Kazakhstan dated "21" April 2020 No. 54

Form intended for collecting administrative data

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

Report on repo and reverse repo operations

Index of the administrative data form: 11_FS_REPO Periodicity: monthly Reporting period: as of "" "_" 20 Circle of persons submitting the report: second-tier bank Deadline for submission: monthly, no later than the seventh working day of the month following the reporting month, and additionally for December (taking into account final turnover on intra-bank operations) – no later than the first of February of the following financial year

Form

No.	Content of operation	Type of securities	National identification number, international	Name of counterparty
			identification number

1	2	3	4	5
1.	Repo operations
1.1.	Organized market
1.1.1.	"Direct" method
1.1.1.1
1.1.1.n
1.1.2.	"Automatic" method
1.1.2.1
1.1.2.n
1.2.	Unorganized market
1.2.1
1.2.n
2.	Reverse repo operations
2.1.	Organized market
2.1.1.	"Direct" method
2.1.1.1
2.1.1.n
2.1.2.	"Automatic" method
2.1.2.1
2.1.2.n
2.2.	Unorganized market
2.2.1
2.2.n

continuation of the table:

Date of conclusion of the repo transaction	Number of the confirming document	Date
		of opening of the repo	of closing of the repo	transaction prolonged until
6	7	8	9	10

continuation of the table:

Term of the repo operation	Rate of remuneration	Quantity of securities	Amount of repo	Accrued	Note
		in repo (units)		remuneration
			in thousands of tenge	in foreign currency (equivalent in
				thousands of tenge)

11	12	13	14	15	16	17

Name______ Address______

Telephone ______

Email address ______

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

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

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

Date "____" ______ 20__

Appendix
to the form of the report on repo, reverse repo operations

Explanation on filling out the administrative data form

Report on repo, reverse repo operations

(index – 11_REPO, periodicity – monthly)

Chapter 1. General provisions

This explanation (hereinafter – the Explanation) defines uniform requirements for filling out the form intended for collection of administrative data, "Report on repo, reverse repo operations" (hereinafter – the Form).
The Form is developed in accordance with subparagraph 69) of part two of Article 15 of the Law of the Republic of Kazakhstan of 30 March 1995 "On the National Bank of the Republic of Kazakhstan" and paragraph 1 of Article 54 of the Law of the Republic of Kazakhstan of 31 August 1995 "On banks and banking activity in the Republic of Kazakhstan".
The Form is compiled by second-tier banks monthly as of the end of the reporting period. Data in the Form are filled out in thousands of tenge. An amount less than 500 (five hundred) tenge is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (one thousand) tenge.
The Form is signed by the first head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation on filling out the Form

The Form is submitted for all types of securities participating in repo operations on the organized and unorganized market, indicating the method of the transaction (direct or automatic) as of the reporting date.
In column 7, for transactions carried out on the organized market, the number assigned by the trade organizers is indicated; for transactions conducted on the unorganized market, the number of the repo agreement is indicated.
In column 17, it is indicated which of the parties to the transaction owns the right to use the securities.
In the absence of information, the Form is submitted with zero balances.

Appendix 12
to the resolution of the Board of the National Bank of the Republic of Kazakhstan of "21" April 2020 No. 54

Form intended for collection of administrative data

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

Report on the remaining term of payment until maturity

Index of the administrative data form: 12_FS_GA Periodicity: monthly Reporting period: as of "" "_" 20 Circle of persons submitting the report: second-tier bank Deadline for submission: monthly, no later than the seventh working day of the month following the reporting month, and additionally for December (taking into account final turnover on intra-bank operations) – no later than the first of February of the following financial year Form

(in thousands of tenge)

No.	Assets	for which there is no overdue debt on principal and accrued remuneration, as well as for which there is overdue debt on principal
		and (or) accrued remuneration not more than 30 (thirty) days
		On demand
from 2 (two) to 3 (three) years	from 3 (three) to 5 (five) years	more than 5 (five) years	Total	of which in	Total	of which in foreign
				foreign currency		currency
Total	of which in foreign	Total
	currency
from 2 (two) to 3 (three) years	from 3 (three) to 5 (five) years	more than 5 (five) years	Total
Total	of which in foreign	Total	of which in foreign currency	Total	of which in foreign currency
	currency
					Balance	of which in foreign
					value, total	currency
1	2	3	4	5	6	7
1			х
1.1.
…
2			х
2.1.
…
3			х
3.1.
…
4			х
4.1.
…
5			х
5.1.
…
6			х
6.1.
…
7			х
7.1.
…
8			х
8.1.
…
9			х
9.1.
…
10			х
10.1.
…
11			х
11.1.
…
12			х
12.1.
…
13			х
13.1.
…
14			х
14.1.
…
15			х
15.1.
…
16			х
16.1.
…
17			х
17.1.
…
18			х
18.1.
…
19			х
19.1.
…
20			х
20.1.
…
21			х
21.1.
…
22			х
22.1.
…
23			х
23.1.
…
24			х
24.1.
…
25			х
25.1.
…
	Total

continuation of the table:

Demand deposits	Conditional deposit
Balance value, total	of which in foreign currency	Balance value, total	of which in foreign currency
8	9	10	11

continuation of the table:

Term deposit	Savings deposit
Balance value, total	of which in foreign currency
Balance value, total	of which in foreign currency
	Balance value, total	of which in foreign currency
28	29	30

Name______ Address______

Telephone ______

Email address ______

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

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

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

Date "____" ______ 20__
Appendix
to the form of the report on the main sources of attracted money

Explanation on filling out the administrative data form

Report on the main sources of attracted money

(index – 13_FS_OI, periodicity – monthly, quarterly)

Chapter 1. General provisions

This Explanation (hereinafter – the Explanation) defines uniform requirements for filling out the form intended for collection of administrative data, "Report on the main sources of attracted money" (hereinafter – the Form).
The Form is developed in accordance with subparagraph 69) of part two of Article 15 of the Law of the Republic of Kazakhstan of 30 March 1995 "On the National Bank of the Republic of Kazakhstan" and paragraph 1 of Article 54 of the Law of the Republic of Kazakhstan of 31 August 1995 "On banks and banking activity in the Republic of Kazakhstan".
The Form is compiled by second-tier banks monthly as of the end of the reporting period. Data in the Form are filled out in thousands of tenge. An amount less than 500 (five hundred) tenge is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (one thousand) tenge.
The Form is signed by the first head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation on filling out the Form

When filling out the Form, second-tier banks disclose the 25 (twenty-five) largest depositors (creditors) of the second-tier bank in the context of individuals and legal entities (the largest depositors (creditors) of the bank are persons to whom the second-tier bank has in aggregate the largest amount of obligations). Information in the Form is given in descending order of the aggregate amount of obligations of the second-tier bank to each depositor (creditor).
The Form indicates the balance value of money attracted by the second-tier bank, taking into account accrued remuneration, positive (negative) adjustments, discounts and premiums, as well as the weighted average annual effective remuneration rate (calculated without taking into account discounts (premiums) and adjustments) on term and savings deposits, issued securities, perpetual financial instruments and loans received.
If a second-tier bank has obligations to a legal entity that is among the 25 (twenty-five) largest depositors (creditors) of the second-tier bank, and obligations to major participants (whose share of participation is 10 (ten) or more percent), subsidiary organizations of this person, the Form also indicates information on major participants (whose share of participation is 10 (ten) or more percent), subsidiary organizations in the relevant subparagraphs of the Form.
If a second-tier bank has obligations to a legal entity and its major participants (whose share of participation is 10 (ten) or more percent), subsidiary organizations, which in aggregate are among the 25 (twenty-five) largest depositors (creditors) of the second-tier bank, information is indicated on this person and its major participants (whose share of participation is 10 (ten) or more percent), subsidiary organizations.
Determination of major participants (whose share of participation is 10 (ten) or more percent), subsidiary organizations of legal entities for the purposes of paragraphs 7 and 8 of the Explanation is carried out by the second-tier bank as of the beginning of each calendar quarter.
If among the 25 (twenty-five) largest depositors (creditors) of the second-tier bank there are funds of the joint-stock company "Unified Accumulative Pension Fund", placed by it independently and (or) by the National Bank of the Republic of Kazakhstan as a trustee of pension assets, this information is not reflected in the Form of the report.
For individuals, column 2 is not filled out.
The Form does not separately indicate the debt of the second-tier bank to each branch of one legal entity – information is reflected in aggregate for one legal entity.
In column 4, code "1" is indicated if the creditor (depositor) is a legal entity, code "2" if the creditor (depositor) is an individual (including individual entrepreneurs).
Column 28 is filled out by Islamic second-tier banks, indicating balances on balance account 7830 "Obligations under an investment deposit agreement" in accordance with the resolution of the Board of the National Bank of the Republic of Kazakhstan of 31 January 2011 No. 3 "On approval of the Model chart of accounts for accounting in second-tier banks, mortgage organizations and the joint-stock company "Development Bank of Kazakhstan", registered in the Register of state registration of normative legal acts under No. 6793.
In the absence of information, the Form is submitted with zero balances.
Appendix 14
to the resolution of the Board of the National Bank of the Republic of Kazakhstan of "21" April 2020 No. 54

Form intended for collection of administrative data

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

Report on volumes and rates of remuneration of deposits of individuals

Index of the administrative data form: 14_FS_DFL Periodicity: monthly Reporting period: as of "" "_" 20 Circle of persons submitting the report: second-tier bank that is a participant in the system of mandatory guarantee of deposits Deadlines for submission: monthly, no later than the tenth working day of the month following the reporting month, and additionally for December (taking into account final turnover on intra-bank operations) – no later than the first of February of the following financial year

Form

Table 1. Report on deposits of individuals

(in thousands of tenge)

No.	Name	Total deposits, including:	Up to 3 (three) months inclusive	From 3 (three) to 6 (six) months	From 6 (six) to 12 (twelve)
				inclusive	months
9	10	11	12	13	14

Table 3. Report on the amount of reimbursement

1	Amount of reimbursement of the joint-stock company "Kazakhstan Deposit Guarantee Fund" (hereinafter – the Fund) on deposits (without taking into account counterclaims of the bank to depositors) (in thousands of
	tenge)
2	Amount of reimbursement of the Fund on deposits (taking into account counterclaims of the bank to depositors) (in thousands of tenge)
3	Number of clients (in units), including:
3.1	clients with zero balances on all accounts (in units)
4	Number of accounts with zero balances (in units)

Table 4. Report on deposits of individuals in regional context

No.	Regions	In tenge	In foreign currency
		Number of accounts	Total deposits	Number of accounts	Total deposits
			(in thousands of tenge)		(in thousands of tenge)
1	2	3	4	5	6
1	Akmola
2	Aktobe
3	Almaty
4	Atyrau
5	East Kazakhstan
6	Zhambyl
7	West Kazakhstan
8	Karaganda
9	Kostanay
10	Kyzylorda
11	Mangistau
12	Pavlodar
13	North Kazakhstan
14	Turkestan
15	city of Almaty
16	city of Nur-Sultan
17	city of Shymkent
Total:

Table 5. Rates of remuneration and volumes of attraction for the reporting month on attracted deposits of individuals with a fixed interest rate

(deposits with a fixed interest rate)

	Category of deposit with a fixed interest rate	Volume of newly attracted deposits	Maximum rate	Weighted average rate
		(deposits),
		in thousands of tenge
1	2	3	4	5
1	Deposits in national currency
1.1	Deposits not meeting term conditions, including:
1.1.1	Conditional deposits
1.1.2	Term deposits, including:
1.1.2.1	up to 3 (three) months inclusive
1.1.2.2	from 3 (three) to 6 (six) months inclusive
1.1.2.3	from 6 (six) to 12 (twelve) months
1.1.2.4	12 (twelve) months
1.1.2.5	over 12 (twelve) months
1.2	Deposits meeting term conditions, with the right of replenishment, including:
1.2.1	up to 3 (three) months inclusive
1.2.2	from 3 (three) to 6 (six) months inclusive
1.2.3	from 6 (six) to 12 (twelve) months
1.2.4	12 (twelve) months
1.2.5	over 12 (twelve) months
1.3	Deposits meeting term conditions, without the right of replenishment, including:
1.3.1	up to 3 (three) months inclusive
1.3.2	from 3 (three) to 6 (six) months inclusive
1.3.3	from 6 (six) to 12 (twelve) months
1.3.4	12 (twelve) months
1.3.5	over 12 (twelve) months
1.4	Savings deposits with the right of replenishment, including:
1.4.1	up to 3 (three) months inclusive
1.4.2	from 3 (three) to 6 (six) months inclusive
1.4.3	from 6 (six) to 12 (twelve) months
1.4.4	12 (twelve) months
1.4.5	over 12 (twelve) months
1.5	Savings deposits without the right of replenishment, including:
1.5.1	up to 3 (three) months inclusive
1.5.2	from 3 (three) to 6 (six) months inclusive
1.5.3	from 6 (six) to 12 (twelve) months
1.5.4	12 (twelve) months
1.5.5	over 12 (twelve) months
1.6	Current accounts
1.7	Demand deposits
2	Deposits in foreign currency
2.1	Deposits not meeting term conditions, including:
2.1.1	Conditional deposits
2.1.2	Term deposits, including:
2.1.2.1	up to 12 (twelve) months
2.1.2.2	12 (twelve) months and more
2.2	Deposits meeting term conditions, including:
2.2.1	up to 12 (twelve) months
2.2.2	12 (twelve) months and more
2.3	Savings deposits, including:
2.3.1	up to 12 (twelve) months
2.3.2	12 (twelve) months and more
2.4	Current accounts
2.5	Demand deposits
3	Deposits for which part of the remuneration is subsidized by the state (within the system
	of housing construction savings, state educational accumulative system)

Table 6. Rates of remuneration and volumes of attraction for the reporting month on attracted deposits of individuals

(deposits in national currency with a floating interest rate)

No.	Benchmark	Benchmark value	Volume of newly attracted deposits	Spread,	Maximum rate
			(deposits),	percentage point
			in thousands of tenge
1	2	3	4	5	6
1	Base rate of the National Bank
	of the Republic of Kazakhstan
2	Inflation level
3	TONIA
4	TWINA

Table 7. Report on the presence or absence of an agency network for attracting deposits of individuals

Name	Presence	Number of agents	Attraction of deposits of individuals	Attraction of deposits of individuals
	(yes or no)		through the services of an agent	through a housing construction
			(yes or no)	savings bank and (or)
				National postal operator
		individuals	legal entities
1	2	3	4	5	6
Agency network for attracting
deposits of individuals

Name______ Address______

Telephone ______

Email address ______

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

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

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

Date "____" ______ 20__

Appendix
to the form of the report on volumes and rates of remuneration of deposits of individuals

Explanation on filling out the administrative data form

Report on volumes and rates of remuneration of deposits of individuals

(index – 14_FS_DFL, periodicity – monthly)

Chapter 1. General provisions

This Explanation (hereinafter – the Explanation) defines uniform requirements for completing the form intended for collecting administrative data, "Report on the volumes and rates of remuneration on deposits of individuals" (hereinafter – the Form).
The Form has been developed in accordance with subparagraph 69) of part two of Article 15 of the Law of the Republic of Kazakhstan dated 30 March 1995 "On the National Bank of the Republic of Kazakhstan" and paragraph 1 of Article 54 of the Law of the Republic of Kazakhstan dated 31 August 1995 "On Banks and Banking Activity in the Republic of Kazakhstan".
The Form is compiled by second-tier banks that are participants in the mandatory deposit insurance system, monthly as of the end of the reporting period. Data in the Form are filled in thousands of tenge. An amount less than 500 (five hundred) tenge is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (one thousand) tenge.
Deposits are distributed by term on the basis of bank deposit agreements with clients. By term, deposits are classified into deposits:
up to 3 (three) months inclusive; from 3 (three) to 6 (six) months inclusive; from 6 (six) to 12 (twelve) months; 12 (twelve) months; over 12 (twelve) months; without a fixed term (current accounts, demand deposits, conditional deposits).
The Form is signed by the first head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation on completing the Form

When completing Table 1, second-tier banks disclose information on deposits of individuals, including those with zero balances.
For deposits in foreign currency, amounts must be recalculated at the exchange rate of the National Bank of the Republic of Kazakhstan effective as of the reporting date.
When distributing deposits into groups depending on the deposit amount, data as of the end of the reporting period must be used.
In columns 3 and 10 of Table 1, the aggregate amounts of deposits and the number of accounts opened by individuals in tenge and (or) in foreign currency are indicated.
In columns 4, 5, 6, 7, 8, 9, 11, 12, 13, 14, 15 and 16 of Table 1, the aggregate amounts of deposits and the number of accounts opened by individuals in tenge and in foreign currency are indicated, broken down by term (absence of term).
In columns 9 and 16 of Table 1, in addition to current accounts, demand deposits and conditional deposits, taking into account the existence of restrictions in the legislation of the Republic of Kazakhstan, deposits for which the contract term has expired but the deposit has not been claimed by the client are indicated, where:
1) the client is an inactive taxpayer or has tax and social payment arrears, and there are restrictions on the client's account (collection orders to suspend debit operations) issued by the tax authorities of the Republic of Kazakhstan;
2) third parties have presented claims to the client's account for withdrawal of money from the bank account and (or) seizure of money in the bank account;
3) the bank rolls over this deposit on the terms of a "demand deposit".
In line 3 of Table 1, information is indicated on deposits for which part of the remuneration is subsidized by the state (within the framework of housing construction savings, the state educational savings system) or state premiums are provided.
In line 4 of Table 1, information is indicated on deposits for which remuneration is accrued at a floating interest rate.
The lines "For reference: Deposits of persons related to the second-tier bank by special relations" are already included in the corresponding lines 1.1.1.1, 1.1.1.2, 1.1.2.1, 1.1.2.2., 1.1.3.1, 1.1.3.2, 1.1.4, 1.1.5, 2.1.1, 2.1.2, 2.2, 2.3, 2.4, 2.5, 3, 4.1 and 4.2 of Table 1.
The attribute of a person's relatedness to a second-tier bank by special relations is determined by Article 40 of the Law of the Republic of Kazakhstan dated 31 August 1995 "On Banks and Banking Activity in the Republic of Kazakhstan", Article 12-1 of the Law of the Republic of Kazakhstan dated 22 April 1998 "On Limited and Additional Liability Partnerships" and Article 64 of the Law of the Republic of Kazakhstan dated 13 May 2003 "On Joint-Stock Companies".
Table 2 indicates turnover on deposits of individuals for the reporting month.
If during the reporting month operations of rollover, replenishment, partial withdrawal provided for in the report were carried out on deposits in foreign currency, the amounts must be recalculated at the exchange rate of the National Bank of the Republic of Kazakhstan effective on the date of the foreign currency operations.
In columns 3 and 4 of Table 2, the amount of deposits and the number of accounts opened by individuals during the reporting month are indicated, broken down by term.
In columns 5 and 6 of Table 2, the number of accounts and the amount of deposits whose terms were rolled over in the reporting month are indicated.
In columns 7 and 8 of Table 2, the number of accounts and the amount of deposits replenished by clients and (or) third parties in the reporting month are indicated (excluding capitalization). At the same time, columns 7 and 8 of Table 2 do not indicate the return of money to the accounts of a client of a second-tier bank previously debited without acceptance in order to repay debt.
In columns 9 and 10 of Table 2, the number of accounts and the amount of deposits from which money was partially withdrawn by clients in the reporting month are indicated, including withdrawal from the client's account by the second-tier bank, a third party for the purpose of fulfilling taxation (issuance by tax authorities of collection orders, as well as for the purpose of executing a court decision, issuance by bailiffs of court orders with collection orders, commissions of the second-tier bank).
In columns 11 and 12 of Table 2, the number of accounts and the amount of deposits closed in the reporting month due to expiration of the contract term are indicated, including current accounts.
In lines 13-14 of Table 2, the number of accounts and the amount of deposits closed early in the reporting month are indicated.
In line 1 of Table 3, the total amount of compensation for all deposits of individuals of the second-tier bank payable by the Fund is indicated, without taking into account counterclaims of the second-tier bank against depositors.
The amount of compensation of the Fund on deposits – guaranteed compensation on guaranteed deposits payable by the Fund, in the amount of the deposit balance, but not more than:
15 (fifteen) million tenge for a guaranteed savings deposit in national currency; 10 (ten) million tenge for other types of guaranteed deposits in national currency; 5 (five) million tenge for a guaranteed deposit in foreign currency.
If a depositor has several guaranteed deposits in a second-tier bank, differing in types and currency, the aggregate compensation is calculated not exceeding 15 (fifteen) million tenge.
In line 2 of Table 3, the total amount of compensation for all deposits of individuals of the second-tier bank payable by the Fund is indicated, taking into account (minus) the total amount of counterclaims of the second-tier bank against depositors.
In line 3 of Table 3, the total number of individuals who are clients – depositors of the second-tier bank is indicated.
In line 3.1 of Table 3, the number of clients with a zero balance on all accounts is indicated. If a client of a second-tier bank has several accounts in the second-tier bank and one of them has a zero balance, then when filling in this line such clients having a zero balance only on individual accounts are not taken into account.
In line 4 of Table 3, the total number of accounts of individuals with zero balances is indicated.
In Table 4, it is necessary to indicate the amount and number of accounts on deposits of individuals broken down by regions, according to the corresponding branches of the second-tier bank (relative to the location of the branches of the second-tier bank), in tenge and in foreign currency. If there are no deposits in branches, the corresponding cells of the report are provided with zero balances.
Table 5 of the report is filled in on attracted deposits of individuals with a fixed interest rate of second-tier banks and current accounts, for the period from the first to the last (inclusive) day of the reporting month.
For newly attracted multi-currency deposits of individuals, the second-tier bank in the information indicates the maximum remuneration rates for each type of currency.
When rolling over a bank deposit (account) agreement, the second-tier bank in the information indicates the maximum remuneration rates under the extended bank deposit (account) agreement.
In column 3 of Table 5, the volume of deposits of the second-tier bank attracted during the reporting month for each category of deposit with a fixed interest rate is indicated. When calculating the volume of newly attracted deposits for the reporting month, all inflows on the newly attracted deposit for the reporting month are taken into account.
Newly attracted deposits in foreign currency must be recalculated at the exchange rate of the National Bank of the Republic of Kazakhstan effective on the date of attraction of the deposit in foreign currency.
In column 4 of Table 5, the maximum annual effective remuneration rate within each category of deposit attracted during the reporting month is indicated, including depending on the deposit term (where indicated).
In column 5 of Table 5, the weighted average annual effective remuneration rate is indicated, which is calculated separately for each category of deposit attracted during the reporting month, including depending on the deposit term (where indicated) using the following formula:

n
∑ AESRi * Vi i=1
AESR w.avg. = n
∑ Vi i=1 where:
AESR w.avg. – weighted average annual effective remuneration rate for a certain category of deposit; AESRi – annual effective remuneration rate for a certain category of deposit; Vi – amount of newly attracted deposits (all inflows) for the reporting month for each category of deposit with a fixed interest rate attracted at the same AESRi, excluding remuneration (except for the capitalized amount of remuneration). When calculating the amount of newly attracted deposits for the reporting month, all inflows on the newly attracted deposit for the reporting month are taken into account.
37. If, when calculating the annual effective remuneration rate, the resulting number has more than one decimal place, it is subject to rounding to tenths as follows:
if the hundredth part is greater than or equal to 5 (five), the tenth part is increased by 1 (one), all following digits are discarded; if the hundredth part is less than 5 (five), the tenth part remains unchanged, all following digits are discarded.
38. Table 6 is filled in on attracted deposits of individuals in national currency with a floating interest rate of second-tier banks, for the period from the first to the last (inclusive) day of the reporting month.
39. In column 3 of Table 6, the benchmark value within each category of deposit with a floating interest rate attracted during the reporting month is indicated.
40. In column 4 of Table 6, the volume of deposits of the second-tier bank attracted during the reporting month for each category of deposit with a floating interest rate is indicated. When calculating the volume of newly attracted deposits for the reporting month, all inflows on the newly attracted deposit for the reporting month are taken into account.
41. In column 5 of Table 6, the value of the interest spread rate is indicated, which is calculated and set by the second-tier bank independently for each category of deposit with a floating interest rate.
42. In column 6 of Table 6, the maximum annual effective remuneration rate within each category of deposit attracted during the reporting month is indicated.
43. If there are no deposits in one or several categories, the columns and corresponding lines are not subject to filling in.
44. In column 2 of Table 7, the presence or absence of an agency network for attracting deposits of individuals is indicated (yes or no).
45. If there is no information (that is, "no" in column 2 of Table 7), columns 3, 4, 5 and 6 of Table 7 are not filled in.
46. In column 3, the number of agents – individuals with whom the second-tier bank has concluded agreements (contracts) on attracting deposits of individuals is indicated.
47. In column 4 of Table 7, the number of agents – legal entities with whom the second-tier bank has concluded agreements (contracts) on attracting deposits of individuals is indicated, including the joint-stock company "Kazpost".
48. In column 5 of Table 7, data on the presence or absence of facts of attraction by the second-tier bank of deposits of individuals through the services of an agent are indicated (yes or no).
49. In column 6 of Table 7, the attraction of deposits of individuals through the housing construction savings bank and (or) the National Post Operator is indicated (select from the list).

Appendix 15
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated "21" April 2020 No. 54

Form intended for collecting administrative data

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

Report on monitoring operational risk events that resulted in losses

Index of the administrative data form: 15_FS_RISK Frequency: quarterly Reporting period: as of "" "___" 20 ___ year Circle of persons submitting the report: second-tier bank Deadline for submission: quarterly – not later than the thirtieth day of the month following the reporting quarter

Form
Table 1. Operational risk events that resulted in losses (causes of losses)

(in thousands of tenge)

No.	Form and amount of consequences from the realization of operational risk events
	Imposed and collected fines on the grounds established by legislative acts of the Republic of Kazakhstan	Court costs, recoveries by court decision	Extrajudicial compensations to bank employees	Extrajudicial compensations to clients	Early write-off of tangible assets	Costs of eliminating the consequences of the realization of operational risk
1
2
3
4
5
…

continuation of the table:


Other losses not covered by reserves	Decrease in asset value	Other (specify which)


9	10	11

Table 2. Aggregate amount of losses from the realization of operational risk

Name of indicator	Amount
Aggregate amount of losses from the realization of operational risk

Name______ Address______

Telephone ______

Email address ______

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

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

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

Date "____" ______ 20__ year

Appendix
to the form of the report on monitoring operational risk events that resulted in losses

Explanation on completing the administrative data form

Report on monitoring operational risk events that resulted in losses

(index – 15_FS_RISK, frequency – quarterly)

Chapter 1. General provisions

This explanation (hereinafter – the Explanation) defines the requirements for completing the form intended for collecting administrative data "Report on monitoring operational risk events that resulted in losses" (hereinafter – the Form).
The Form has been developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan dated 30 March 1995 "On the National Bank of the Republic of Kazakhstan" and paragraph 1 of Article 54 of the Law of the Republic of Kazakhstan dated 31 August 1995 "On Banks and Banking Activity in the Republic of Kazakhstan".
The Form is compiled by second-tier banks quarterly as of the end of the reporting period. Data in the Form are filled in thousands of tenge. An amount less than 500 (five hundred) tenge is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (one thousand) tenge.
The Form is signed by the first head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation on completing the Form

In column 2 of Table 1, a separate operational risk event (causes of losses) realized in the reporting period that resulted in a loss of 500,000 (five hundred thousand) tenge or more is disclosed.
The amount of loss is reflected taking into account compensation.
The concept of operational risk is defined by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated 12 November 2019 No. 188 "On approval of the Rules for forming a risk management and internal control system for second-tier banks", registered in the Register of state registration of normative legal acts under No. 19632.
Table 2 indicates the total amount of all losses taking into account compensation incurred by the bank from the beginning of the current calendar year as of the reporting date, including losses of 500,000 (five hundred thousand) tenge or more.
If there is no information, the Form is submitted with zero balances.

Appendix 16
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated "21" April 2020 No. 54

Form intended for collecting administrative data

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

Report on income paid to executive employees of a second-tier bank

Index of the administrative data form: 16_FS_DRR Frequency: annual Reporting period: for the period from 1 January to 31 December 20__ year Circle of persons submitting the report: second-tier bank Deadline for submission: within one hundred and twenty calendar days after the end of the financial year

Form

No.	Surname, name, patronymic (if any)	Individual identification number or other identification number (for non-residents of the Republic of Kazakhstan)	Position of the executive employee of the second-tier bank	Supervised type of activity


1	2	3	4	5
1
2
…
	Total	x	x	x

continuation of the table:

Presence of facts of non-payment of non-fixed remuneration (yes/no)	Remuneration accrued in the reporting period	Remuneration suspended in reporting periods preceding the reporting period and paid in the reporting period
	fixed paid	non-fixed paid	suspended	year n	year n-1	……
6	7	8	9	10	11	12
	x	x	x	x	x	x
	x	x	x	x	x	x
	x	x	x	x	x	x
x

Name______ Address______

Telephone ______

Email address ______

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

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

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

Date "____" ______ 20__ year

Appendix
to the form of the report on income paid to executive employees of a second-tier bank

Explanation on completing the administrative data form

Report on income paid to executive employees of a second-tier bank

(index – 16_FS_DRR, frequency – annual)

Chapter 1. General provisions

This explanation (hereinafter – the Explanation) defines uniform requirements for completing the form intended for collecting administrative data "Report on income paid to executive employees of a second-tier bank" (hereinafter – the Form).
The Form has been developed in accordance with subparagraph 69) of part two of Article 15 of the Law of the Republic of Kazakhstan dated 30 March 1995 "On the National Bank of the Republic of Kazakhstan" and paragraph 1 of Article 54 of the Law of the Republic of Kazakhstan dated 31 August 1995 "On Banks and Banking Activity in the Republic of Kazakhstan".
The Form is compiled by second-tier banks annually as of the end of the reporting period. Data in the Form are filled in thousands of tenge. An amount less than 500 (five hundred) tenge is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (one thousand) tenge.
The Form is signed by the first head, chief accountant or persons authorized to sign the report.

Chapter 2. Explanation on completing the Form

The report form reflects information on income paid to executive employees of the second-tier bank during the financial year.
Amounts of income are reflected on a gross basis taking into account mandatory payments to the budget.
Column 6 indicates the presence of facts of non-payment of non-fixed remuneration during the reporting period.
The report reflects information on executive employees of the second-tier bank, including those dismissed in the reporting period.

Appendix 17
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated "21" April 2020 No. 54

Rules for submission of reports by second-tier banks

The Rules for the submission of reporting by second-tier banks (hereinafter – the Rules) have been developed in accordance with the laws of the Republic of Kazakhstan dated 30 March 1995 "On the National Bank of the Republic of Kazakhstan", dated 31 August 1995 "On banks and banking activity in the Republic of Kazakhstan" (hereinafter – the Law on banks and banking activity) and determine the procedure for the submission of reporting by second-tier banks (hereinafter – the bank) to the National Bank of the Republic of Kazakhstan.
For the purposes of drawing up the reporting forms established by the List of reporting of second-tier banks, according to Appendix 1 to this resolution, the concepts provided for by the Law on banks and banking activity are used, as well as the following concepts:
1) loan – the carrying out by a second-tier bank of banking loan, leasing, factoring, forfeiting operations, the carrying out by an Islamic bank of the operations specified in subparagraphs 3), 4) and 5) of paragraph 1 of Article 52-5 of the Law on banks and banking activity, as well as accounting of bills of exchange, reverse repo operations;
2) prolongation – amendment of the terms of a contract in the part concerning extension of the final term of the contract;
3) contingent liability – a liability:
whose recognition is possible only upon the occurrence (non-occurrence) of one or more uncertain future events which are not under the full control of the second-tier bank; accepted by the second-tier bank for a client in favour of third parties and carrying the client's credit risks arising from the terms of the contract.
A second-tier bank shall submit to the National Bank of the Republic of Kazakhstan reporting including data on all its branches.
Reporting signed by the first head, chief accountant or persons authorized to sign the report, by means of an electronic digital signature, shall be stored in electronic format.
Reporting shall be submitted to the National Bank of the Republic of Kazakhstan in electronic format by means of an automated information subsystem.
The completeness and reliability of the data in the reporting shall be ensured by the first head, chief accountant of the second-tier bank or persons authorized to sign the report.
For the purposes of forming the reporting, assets and liabilities in foreign currency shall be stated converted at the market exchange rate determined in the procedure provided for in paragraph 1 of the resolution of the Board of the National Bank of the Republic of Kazakhstan dated 25 January 2013 No. 15 and the order of the Minister of Finance of the Republic of Kazakhstan dated 22 February 2013 No. 99 "On establishing the procedure for determining and applying the market exchange rate", registered in the Register of state registration of normative legal acts under No. 8378, as at the reporting date.

Lineage: No known changes

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