Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 60 dated June 21, 2021 on Amendments and Additions to Resolutions No. 167 and No. 211

Lineage: No known changes

Timeline

Registered in the Ministry of Justice of the Republic of Kazakhstan on June 29, 2021 under No. 23208


REPUBLICAN STATE INSTITUTION "NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN"		DECISION OF THE BOARD No. 60 Nur-Sultan city
DECISION OF THE BOARD June 21, 2021 Nur-Sultan city

On amendments and additions to the decisions of the Board of the National Bank of the Republic of Kazakhstan dated August 28, 2017 No. 167 "On approval of the list, forms, deadlines for reporting of the unified accumulative pension fund and Rules for their submission" and dated November 26, 2019 No. 211 "On approval of the list, forms, deadlines for submission of reporting by licensees carrying out activities in the securities market, the single operator and Rules for its submission"

In accordance with subparagraph 65-2) of part two of Article 15 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan" and subparagraph 2) of paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics", the Board of the National Bank of the Republic of Kazakhstan DECIDES:

Make the following changes and additions to the Decision of the Board of the National Bank of the Republic of Kazakhstan dated August 28, 2017 No. 167 "On approval of the list, forms, deadlines for reporting of the unified accumulative pension fund and Rules for their submission" (registered in the Registry of state registration of normative legal acts under No. 15863):

supplement paragraph 1 with subparagraph 13-1) of the following content:

"13-1) the form of the report on the volumes of pension and pension savings payments to workers (family members) of states that are members of the Eurasian Economic Union on the territory of the Republic of Kazakhstan, according to Appendix 13-1 to this decision;";

in paragraph 2:

exclude subparagraph 1);

rephrase subparagraph 3) as follows:

"3) quarterly – reporting provided for by subparagraphs 13-1) and 20) of paragraph 1 of this decision, no later than the seventh working day of the month following the reporting quarter.";

rephrase Appendix 3 in the edition according to Appendix 1 to this decision;

in Appendix 9:

in the explanation for filling out the form of administrative data:

rephrase paragraph 5 as follows:

"5. In column 2, the code of the region (city) is indicated in accordance with the classifier of administrative-territorial objects (KATO).";

rephrase Appendix 13 in the edition according to Appendix 2 to this decision;

supplement with Appendix 13-1 according to Appendix 3 to this decision.

Make the following changes and additions to the Decision of the Board of the National Bank of the Republic of Kazakhstan dated November 26, 2019 No. 211 "On approval of the list, forms, deadlines for submission of reporting by licensees carrying out activities in the securities market, the single operator and Rules for its submission" (registered in the Registry of state registration of normative legal acts under No. 19672):

supplement paragraph 1 with subparagraphs 27-1), 27-2) and 27-3) of the following content:

"27-1) the form of the report on the cost of one conditional unit of pension assets held in trust management, according to Appendix 27-1 to this decision;

27-2) the form of the report on the cost of one conditional unit of pension assets of the voluntary accumulative pension fund according to Appendix 27-2 to this decision;

27-3) the form of the report on the coefficients of nominal yield of pension assets according to Appendix 27-3 to this decision;";

rephrase paragraph 2 as follows:

"2. Organizations carrying out activities in managing an investment portfolio (hereinafter – investment portfolio manager), brokerage and (or) dealer activities in the securities market (hereinafter – brokers and (or) dealers), organizers of trading submit to the National Bank of the Republic of Kazakhstan (hereinafter – National Bank) in electronic format, monthly, no later than the fifth working day of the month following the reporting month, reporting in accordance with Appendices 2, 3, 4 and 5 to this decision.

In addition to the reporting provided for by the first part of this paragraph, the investment portfolio manager submits to the National Bank in electronic format, monthly, no later than the fifth working day of the month following the reporting month, reporting in accordance with Appendices 6, 7, 8, 9, 10, 15, 16, 17, 18 and 26 to this decision.

An investment portfolio manager with the right to attract voluntary pension contributions (hereinafter – voluntary accumulative pension fund) additionally submits to the National Bank in electronic format, monthly, no later than the fifth working day of the month following the reporting month, reporting in accordance with Appendices 11, 12, 13, 14, and 27-2 to this decision.

An investment portfolio manager to whom pension assets have been transferred in trust management (hereinafter – trustee) additionally submits to the National Bank in electronic format, monthly, no later than the fifth working day of the month following the reporting month, reporting in accordance with Appendices 11, 12, 27, 27-1 and 27-3 to this decision.

In case of management of voluntary accumulative pension fund pension assets of the unified accumulative pension fund in accordance with a contract on investment management of assets concluded with the National Bank, the voluntary accumulative pension fund submits reporting in accordance with Appendices 11, 12, 13 and 14 to this decision separately for assets of the unified accumulative pension fund and pension assets held in management.

In addition to the reporting provided for by the first part of this paragraph, brokers and (or) dealers submit to the National Bank in electronic format, monthly, no later than the fifth working day of the month following the reporting month, reporting in accordance with Appendices 6, 19, 22 and 26 to this decision.

Brokers and (or) dealers additionally submit to the National Bank in electronic format, quarterly, no later than the last day of the month following the reporting quarter, reporting in accordance with Appendices 20, 21, 23, 24 and 25 to this decision.

The single operator submits to the National Bank in electronic format, quarterly, no later than the last day of the month following the reporting quarter, reporting in accordance with Appendices 24 and 25 to this decision.

The custodian submits to the National Bank in electronic format quarterly, no later than the last day of the month following the reporting quarter, reporting in accordance with Appendices 24, 25, 28 and 29 to this decision.

The custodian of the voluntary accumulative pension fund, the custodian carrying out storage and accounting of pension assets held in trust management of the investment portfolio manager, additionally submits to the National Bank in electronic format, monthly, no later than the fifth working day of the month following the reporting month, reporting in accordance with Appendices 30, 31, 32 and 33 to this decision.

The organizer of trading submits to the National Bank in electronic format, daily, until the end of the next working day, reporting in accordance with Appendices 34, 35, 36, 37, 38, 39, 40, 41, 42 and 43 to this decision.

The organizer of trading submits to the National Bank in electronic format, monthly, no later than the fifth working day of the month following the reporting month, reporting in accordance with Appendices 44, 45, 46, 47, 48, 49, 50, 51, 52, 53 and 54 to this decision.

The clearing organization submits to the National Bank in electronic format, daily, until the end of the next working day, reporting in accordance with Appendix 55 to this decision.

The clearing organization submits to the National Bank in electronic format, monthly, no later than the fifth working day of the month following the reporting month, reporting in accordance with Appendices 56, 57 and 58 to this decision.

A voluntary accumulative pension fund holding a license to carry out brokerage and (or) dealer activities does not submit to the National Bank reporting in accordance with Appendices 21, 22, 23, 24 and 25 to this decision.

Second-tier banks, branches of non-resident banks of the Republic of Kazakhstan and the National Postal Operator holding a license to carry out brokerage and (or) dealer activities in the securities market do not submit to the National Bank reporting in accordance with Appendices 2, 3, 4, 5, 6 and 26 to this decision.

Brokers and (or) dealers without the right to maintain client accounts do not submit to the National Bank reporting in accordance with Appendices 24 and 25 to this decision.

An investment portfolio manager holding a license to engage in brokerage and (or) dealer activities in the securities market does not submit to the National Bank reporting in accordance with Table 1 of Appendix 16 to this decision.

An organizer of trading, at least twenty-five percent of the total number of voting shares of which belong to the National Bank, does not submit to the National Bank reporting in accordance with Appendices 2, 3, 4, 5, 52, 53 and 54 to this decision.

Insurance (reinsurance) organizations having a license to carry out activities in managing an investment portfolio do not submit to the National Bank reporting in accordance with this decision.

Foreign exchange assets of the National Bank and assets of the National Fund of the Republic of Kazakhstan transferred in trust management are not indicated by the investment portfolio manager when filling out the forms established by Appendices 7, 8, 9, 10, 15, 16, 17 and 18 to this decision.";

in Appendix 1:

supplement the list of reporting by licensees carrying out activities in the securities market, the single operator with subparagraphs 26-1), 26-2) and 26-3) of the following content:

"26-1) Report on the cost of one conditional unit of pension assets held in trust management;

26-2) Report on the cost of one conditional unit of pension assets of the voluntary accumulative pension fund

26-3) Report on the coefficients of nominal yield of pension assets;";

in Appendix 2:

in the explanation for filling out the form of administrative data:

rephrase paragraph 11 as follows:

"11. In columns 9 and 14, currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 'Codes for designation of currencies and funds'.";

in Appendix 3:

in the explanation for filling out the form of administrative data:

rephrase paragraph 7 as follows:

"7. In column 7, currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 'Codes for designation of currencies and funds'.";

in Appendix 4:

in the explanation for filling out the form of administrative data:

rephrase paragraph 6 as follows:

"6. In column 5, currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 'Codes for designation of currencies and funds'.";

in Appendix 6:

in the explanation for filling out the form of administrative data:

rephrase paragraph 9 as follows:

"9. In column 6, the currency of the loan or receivable is indicated. Currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 'Codes for designation of currencies and funds'.";

in Appendix 8:

in the explanation for filling out the form of administrative data:

rephrase subparagraph 6) of paragraph 6 as follows:

"6) in columns 9 and 11, currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 'Codes for designation of currencies and funds';";

rephrase subparagraph 3) of paragraph 7 as follows:

"3) in columns 7 and 8, currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 'Codes for designation of currencies and funds';";

rephrase subparagraph 3) of paragraph 8 as follows:

"3) in column 5, currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 'Codes for designation of currencies and funds';";

in Appendix 11:

replace the words "Circle of persons presenting: voluntary accumulative pension fund" with the words "Circle of persons submitting the report: voluntary accumulative pension fund, trustee" in the title page;

in the explanation for filling out the form of administrative data:

rephrase paragraph 3 as follows:

"3. The form is compiled monthly by the voluntary accumulative pension fund, trustee and filled out for the reporting period. Data in the Form are filled out in tenge.";

in Appendix 12:

in the explanation for filling out the form of administrative data:

rephrase paragraph 3 as follows:

"3. The form is compiled monthly by the voluntary accumulative pension fund, trustee and filled out for the reporting period. Data in the Form are filled out in tenge.";

in paragraph 5:

rephrase subparagraph 2) as follows:

"2) in column 3, the type of economic activity is indicated in accordance with the general classifier of types of economic activity NK RK 03-2019. This column is filled out for non-state securities of issuers-residents of the Republic of Kazakhstan;";

rephrase subparagraph 6) as follows:

"6) in columns 8 and 10, currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 'Codes for designation of currencies and funds';";

rephrase subparagraph 2) of paragraph 6 as follows:

"2) in columns 7 and 8, currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 'Codes for designation of currencies and funds';";

rephrase subparagraph 2) of paragraph 7 as follows:

"2) in column 5, currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 'Codes for designation of currencies and funds';";

rephrase subparagraph 1) of paragraph 8 as follows:

"1) in column 4, currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 'Codes for designation of currencies and funds';";

rephrase subparagraph 2) of paragraph 9 as follows:

"2) in column 4, the currency of the transaction is indicated. The currency code is indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 'Codes for designation of currencies and funds';";

in Appendix 15:

in the explanations for filling out the form of administrative data:

rephrase subparagraph 5) of paragraph 5 as follows:

"5) in columns 10 and 13, currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 'Codes for designation of currencies and funds';";

rephrase subparagraph 4) of paragraph 7 as follows:

"4) in column 9, currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 'Codes for designation of currencies and funds';";

in Appendix 16:

in the explanation for filling out the form of administrative data:

rephrase subparagraph 5) of paragraph 5 as follows:

"5) in columns 9 and 12, currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 'Codes for designation of currencies and funds';";

rephrase subparagraph 4) of paragraph 7 as follows:

"4) in column 8, currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 'Codes for designation of currencies and funds';";

rephrase Appendix 27 in the edition according to Appendix 4 to this decision;

supplement with Appendices 27-1 and 27-2 in the edition according to Appendix 5 to this decision;

in Appendix 30:

replace the words "Circle of persons presenting: custodian of the voluntary accumulative pension fund" with the words "Circle of persons submitting the report: custodian of the voluntary accumulative pension fund, custodian carrying out storage and accounting of pension assets held in trust management of the investment portfolio manager" in the title page;

in the explanation for filling out the form of administrative data:

rephrase paragraph 3 as follows:

"3. The form is compiled monthly by the bank-custodian of the voluntary accumulative pension fund and the custodian carrying out storage and accounting of pension assets held in trust management of the investment portfolio manager, and filled out for each separate working day of the reporting period. Data in the Form are filled out in tenge.";

in Appendix 31:

in the explanation for filling out the form of administrative data:

rephrase paragraph 3 as follows:

in Appendix 32:

in the explanation for filling out the form of administrative data:

rephrase paragraph 3 as follows:

rephrase subparagraph 7) of paragraph 5 as follows:

"7) in columns 8 and 10, currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 'Codes for designation of currencies and funds';";

rephrase subparagraph 3) of paragraph 6 as follows:

"3) in columns 7 and 8, currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 'Codes for designation of currencies and funds';";

rephrase subparagraph 1) of paragraph 7 as follows:

"1) in column 3, currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 'Codes for designation of currencies and funds';";

rephrase subparagraph 1) of paragraph 8 as follows:

"1) in column 4, currency codes are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 'Codes for designation of currencies and funds';";

rephrase subparagraph 2) of paragraph 9 as follows:

in Appendix 33:

in the explanation for filling out the form of administrative data:

rephrase paragraph 3 as follows:

rephrase Appendices 34, 35, 36, 37, 38, 39, 40, 41, 42 and 43 in the edition according to Appendix 6 to this decision;

in Appendix 59:

in the Rules for submission of reporting by licensees carrying out activities in the securities market, the single operator:

exclude paragraph 2;

rephrase paragraph 3 as follows:

"3. Reporting in electronic format, authenticated by means of electronic digital signature of the first head of the Organization, chief accountant of the Organization, or persons authorized to sign the report on behalf of the Organization, is stored in the information system of the Organization.";

exclude paragraph 4.

The Department of Financial Market Statistics (Burambaeva A.M.) shall ensure in the manner established by the legislation of the Republic of Kazakhstan:

1) jointly with the Legal Department (Kasenov A.S.) the state registration of this decision in the Ministry of Justice of the Republic of Kazakhstan;

2) placement of this decision on the official Internet resource of the National Bank of the Republic of Kazakhstan after its official publication;

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

The Department of Information and Communications – Press Service of the National Bank (Adambaeva A.R.) shall ensure within ten calendar days after the state registration of this decision the sending of its copy for official publication in periodic printed editions.
Control over the implementation of this decision shall be entrusted to the Deputy Chairman of the National Bank of the Republic of Kazakhstan Baymagambetov A.M.
This decision enters into force upon the expiration of ten calendar days after the day of its first official publication.


Chairman of the National Bank	E. Dosayev

AGREED

Agency of the Republic of Kazakhstan for regulation and development of the financial market

AGREED

Bureau of National Statistics of the Agency for Strategic Planning and Reforms of the Republic of Kazakhstan

Appendix 1
to the decision

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

Form intended for collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

Administrative data form is posted on the Internet resource: www.nationalbank.kz

Report on the structure of the investment portfolio of pension assets

Index of administrative data form: 2- ENPF_SPPA

Frequency: weekly (monthly)

Reporting period: as of ""____ 20 ___ year

Circle of persons presenting information: unified accumulative pension fund

Submission deadline: monthly, no later than the seventh working day of the month following the reporting month

Form

Pension assets formed due to ______

Table 1. Securities acquired due to pension assets

(in tenge)


No. p/p	Name of Trustee	Name of Issuer	Type of Economic Activity	Country of Issuer	Type of Security	Identification Number
1	2	3	4	5	6	7
1.	Government Securities of the Republic of Kazakhstan
1.1.			x
…			x
2.	Non-state issue securities of organizations of the Republic of Kazakhstan
2.1.	securities of second-tier banks
2.1.1.
…
2.2.	securities of legal entities, excluding second-tier banks
2.2.1.
…
3.	Securities of foreign states
3.1.			x
…			x
4.	Non-state securities of issuers-non-residents of the Republic of Kazakhstan
4.1.			x
…			x
5.	Securities of international financial organizations
5.1.			x
…			x
6.	Units of investment funds
6.1.
…
7.	Total:		х

continuation of the table:


Quantity of Securities (pieces)	Nominal Value		Payment Currency	Purchase Price per One Security		Period		Purchase Cost of Security
currency	cost of one security	total (in tenge)	net price	date of initial recognition	date of maturity
8	9	10	11	12	13	14	15	16
…

continuation of the table:

| | | | | | | |
| --- | --- | --- | --- | --- | --- |
| Current Value of Securities | | | Reference: | | | |
| total (in tenge) | in nominal value currency | including accrued remuneration (in tenge) | formed reserves (provisions) | accounts receivable for securities | overdue accounts receivable for securities | formed reserves (provisions) for overdue accounts receivable |
| 17 | 18 | 19 | 20 | 21 | 22 | 23 |
| … | | | | | | |

continuation of the table:

| | | | | | |
| --- | --- | --- | --- | --- |
| Category of Securities | Rating | | Category of Stock Exchange List | | Current Coupon Rate in Portfolio |
| at the date of initial recognition | at the reporting date | at the date of initial recognition | at the reporting date | | |
| 24 | 25 | 26 | 27 | 28 | 29 |
| … | | | | | |

Table 2. Securities acquired and placed under reverse repo and repo operations

(in tenge)

| | | | | | | | | |
| --- | --- | --- | --- | --- | --- | --- | --- |
| No. p/p | Name of Trustee | Name of Issuer | Country of Issuer | Type of Security | Identification Number | Quantity of Securities (pieces) | Currency of Nominal Value | Currency of Transaction |
| 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 |
| 1 | Reverse Repo Operation | | | | | | | |
| 1.1. | direct method | | | | | | | |
| … | | | | | | | | |
| 1,2, | automatic method | | | | | | | |
| … | | | | | | | | |
| 2 | Repo Operation | | | | | | | |
| 2.1. | direct method | | | | | | | |
| … | | | | | | | | |
| 2.2 | automatic method | | | | | | | |
| … | | | | | | | | |

continuation of the table:

| | | | | | | | | |
| --- | --- | --- | --- | --- | --- | --- | --- |
| Opening Price per One Security | | Closing Price per One Security | | Period | | Current Value of Securities | Yield Rate on Operation | Note |
| total (in tenge) | in nominal value currency | total (in tenge) | in nominal value currency | date of opening operation | date of closing operation | | | |
| 10 | 11 | 12 | 13 | 14 | 15 | 16 | 17 | 18 |
| … | | | | | | | | |

Table 3. Deposits placed from pension assets

(in tenge)

| | | | | | | | |
| --- | --- | --- | --- | --- | --- | --- |
| No. p/p | Name of Trustee | Name of Bank | Bank Rating | | Deposit Currency | Date of Conclusion and Number of Bank Deposit Agreement | |
| at the date of deposit placement | at the reporting date | date | number | | | | |
| 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 |
| | | | | | | | |
| | Total: | | | | | | |

continuation of the table:


Deposit Term (in days)	Remuneration Payment Period		Remuneration Rate (percent per annum)	Principal Amount of Deposit
frequency	date	nominal	effective	total (in tenge)	in foreign currency
9	10	11	12	13	14	15
…

continuation of the table:


Current Value			Country of Residence	Reference:
total (in tenge)	including accrued remuneration		formed reserves	accounts receivable for deposits	overdue accounts receivable for deposits	formed reserves (provisions) for overdue accounts receivable
in tenge	in foreign currency
16	17	18	19	20	21	22	23
…

Table 4. Affined Precious Metals

(in tenge)


No.	Name of Trustee	Name of Affined Precious Metal	Quantity in Troy Ounces	Payment Currency	Purchase Price per One Troy Ounce		Total Purchase Cost		Current Value
in tenge	in currency	in tenge	in currency	in tenge	in currency
1	2	3	4	5	6	7	8	9	10	11

	Total:

Table 5. Contingent Claims and Obligations

(in tenge)


No.	Name of Trustee	Name of Derivative Financial Instrument Type	Underlying Asset	Currency	Identification Number	Amount of Claims (Obligations) at the Date of Derivative Operation	Current Value at Reporting Date
1		2	3	4	5	6	7
1.	Contingent Claims on Derivative Financial Instruments
1.1
1.1.1
1.1.n
2.	Contingent Obligations on Derivative Financial Instruments
2.1
2.1.1
2.1.n

Name______ Address______

Phone ______

Email Address ______

Executor______ ______

surname, first name, patronymic (if any) phone

Chief Accountant or person authorized to sign the report

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

First Head or person authorized by him to sign the report

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

Date “____” ______ 20__ year

Appendix

to the reporting form on the structure

of the investment portfolio

of pension assets

Explanation on filling out the administrative data form

Report on the Structure of the Investment Portfolio of Pension Assets

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

Chapter 1. General Provisions

This Explanation (hereinafter – Explanation) defines the unified requirements for filling out the administrative data form "Report on the Structure of the Investment Portfolio of Pension Assets" (hereinafter – Form).
The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan", paragraph 1 of Article 51 of the Law of the Republic of Kazakhstan "On Pension Provision in the Republic of Kazakhstan".
The Form is filled out by the Unified Accumulative Pension Fund monthly as of the end of the reporting period. Data on financial instruments for which recognition has ceased are not included in the Form. Data in the Form are indicated in 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

Starting from January 1, 2023, the Form is submitted separately for pension assets formed from mandatory pension contributions, mandatory professional pension contributions, and voluntary pension contributions, and for pension assets formed from employer's mandatory pension contributions.

In the line "Pension assets formed from", information is provided on pension assets formed depending on pension contributions: "mandatory pension contributions, mandatory professional pension contributions, and voluntary pension contributions" and "employer's mandatory pension contributions".

Regarding Table 1:

1) data on securities are indicated in the Form;

2) column 2 indicates the National Bank of the Republic of Kazakhstan or the name of the investment portfolio manager to whom pension assets have been transferred in trust management;

3) column 3 indicates the name of the issuer of the security;

4) column 4 indicates the type of economic activity in accordance with the general classifier of types of economic activities NK RK 03-2019. This column is filled out for non-state securities of resident issuers of the Republic of Kazakhstan;

5) column 6 indicates the type of acquired security with indication of its type;

6) column 7 indicates the identification number of the security;

7) column 8 indicates the quantity of acquired securities;

8) columns 9 and 11 indicate currency codes in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for designating currencies and funds";

9) column 10 indicates the monetary expression of the bond's value determined upon its issuance, on which a percentage remuneration on the coupon bond accrues, as well as the amount payable to the bondholder upon maturity. The amount is indicated in the currency of issuance;

10) columns 12 and 13 indicate the price reflected in the primary document confirming the transaction (exchange certificate, broker and/or dealer report, received confirmation via the international interbank system for transmitting information and making payments (SWIFT). Column 13 indicates: for debt securities, the clean price as a percentage of nominal value; for equity securities, in absolute terms;

11) column 14 reflects the date of initial recognition in accounting;

12) column 15 indicates the maturity date of debt securities;

13) column 16 indicates the purchase cost of the security, including expenses directly related to acquisition, including remuneration and commissions paid to agents, consultants, brokers and/or dealers, stock exchange fees, as well as banking services for transfer, reduced by the percentage paid by the buyer to the seller (if any);

14) column 17 indicates the value of securities reflected in accounting;

15) column 20 indicates the amount of reserves (provisions) reflected in accounting;

16) column 21 indicates the amount of accounts receivable for securities due for payment within the timeframe established by the offering prospectus;

17) column 22 indicates overdue accounts receivable for securities not paid within the timeframe provided by the offering prospectus;

18) column 23 indicates the amount of reserves (provisions) for accounts receivable and overdue debt reflected in accounting;

19) column 24 indicates the category of security "measured at fair value", "measured at amortized cost";

20) when filling columns 25 and 26, the rating of the security on bonds, the rating of the issuer on stocks, the rating of the country on government securities, assigned by one of the rating agencies specified in paragraph 3 of the Resolution of the Board of the National Bank of Kazakhstan dated December 24, 2012 No. 385 "On establishing the minimum rating for legal entities and countries, the presence of which is required in accordance with the legislation of the Republic of Kazakhstan regulating the activities of financial organizations, the list of rating agencies assigning this rating" (registered in the Registry of State Registration of Regulatory Legal Acts under No. 8318) (hereinafter - Resolution No. 385). In the absence of a rating, "no rating" is indicated in columns 25 and 26. These columns are not filled out for government securities of the Republic of Kazakhstan. Column 25 reflects the rating at the date of initial recognition in accounting;

21) columns 27 and 28 indicate the category of securities of residents of the Republic of Kazakhstan according to the official list of the stock exchange of the Republic of Kazakhstan. In the absence of a stock exchange list category for the Republic of Kazakhstan, "no listing" is indicated in columns 27 and 28. These columns are not filled out for securities of non-residents of the Republic of Kazakhstan and government securities of the Republic of Kazakhstan. Column 27 reflects the stock exchange list category at the date of initial recognition in accounting;

22) column 29 indicates the coupon rate on debt financial instruments at the date of submission of the Form.

Regarding Table 2:

1) column 2 indicates the National Bank of the Republic of Kazakhstan or the name of the investment portfolio manager to whom pension assets have been transferred in trust management;

2) column 5 indicates the type of security acquired under reverse repo operations, with indication of its type;

3) column 7 indicates the quantity of acquired securities under reverse repo operations;

4) columns 8 and 9 indicate currency codes in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for designating currencies and funds";

5) columns 10 and 11 indicate the price with accuracy up to four decimal places, reflected in the primary document confirming the reverse repo operation. In case of payment for the acquired security in foreign currency, columns 11 and 13 are filled with simultaneous reflection of the equivalent in the national currency – tenge in columns 10 and 12; in case of payment for the acquired security in the national currency – tenge, columns 10 and 12 are filled;

6) column 16 indicates the value reflected in accounting.

Regarding Table 3:

1) column 2 indicates the National Bank of the Republic of Kazakhstan or the name of the investment portfolio manager to whom pension assets have been transferred in trust management;

2) when filling columns 4 and 5, the bank rating assigned by one of the rating agencies specified in paragraph 3 of Resolution No. 385 is reflected. In the absence of a rating, "no rating" is indicated in columns 4 and 5. These columns are not filled out for deposits in the National Bank of the Republic of Kazakhstan;

3) column 6 indicates currency codes in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for designating currencies and funds";

4) column 9 indicates the term of the deposit under the bank deposit agreement; in case of extension, the term is reflected taking into account the extension;

5) columns 10 and 11 indicate the date and frequency of payment of accrued remuneration in accordance with the terms of the bank deposit agreement;

6) columns 14 and 15 indicate the amount of placement of pension assets in a deposit in a bank. In case of placement of pension assets in a deposit in foreign currency, column 14 is filled with simultaneous reflection of the equivalent in the national currency – tenge in column 13; in case of placement of pension assets in a deposit in the national currency – tenge, column 13 is filled;

7) column 16 indicates the value of deposits reflected in accounting;

8) column 20 indicates the amount of reserves (provisions) reflected in accounting;

9) column 21 indicates the amount of accounts receivable for deposits;

10) column 22 indicates overdue accounts receivable for deposits;

11) column 23 indicates the amount of reserves (provisions) for accounts receivable and overdue debt reflected in accounting;

12) the table is filled out indicating the amount of deposits separately for each bank and for each deposit currency.

Regarding Table 4:

1) column 2 indicates the National Bank of the Republic of Kazakhstan or the name of the investment portfolio manager to whom pension assets have been transferred in trust management;

2) column 5 indicates the payment currency in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for designating currencies and funds";

3) columns 6 and 8 indicate the purchase price and purchase cost at the market exchange rate prevailing on the date of the transaction; column 11 indicates the amount at the market exchange rate prevailing on the reporting date. In case of acquisition of affined precious metal in the national currency – tenge, columns 6, 8, and 10 are filled;

4) column 10 indicates the amount reflected in accounting.

Regarding Table 5:

1) column 2 indicates the National Bank of the Republic of Kazakhstan or the name of the investment portfolio manager to whom pension assets have been transferred in trust management;

2) column 4 indicates the underlying asset of the derivative financial instrument (name of the security and its issuer, currency, remuneration rate, commodity, and other underlying assets);

3) column 5 indicates the currency of the transaction. The currency code is indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for designating currencies and funds";

4) column 6 is filled if the underlying asset of the derivative financial instrument is a security;

5) column 7 indicates the amount of contingent claims and obligations, which is formed during operations with derivative instruments, in accordance with the requirements of the Resolution of the Board of the National Bank of Kazakhstan dated July 1, 2011 No. 69 "On approval of the Instruction on accounting for operations with pension assets carried out by the Unified Accumulative Pension Fund and Voluntary Accumulative Pension Funds" (registered in the Registry of State Registration of Regulatory Legal Acts under No. 7118);

6) column 8 indicates the market value (replacement cost) of the derivative financial instrument, which represents:

for purchase transactions – the excess of the current market value of the derivative financial instrument over the nominal contractual value of this derivative financial instrument (contingent claims), the excess of the nominal contractual value of the derivative financial instrument over the current market value of this derivative financial instrument (contingent obligations);

for sale transactions – the excess of the nominal contractual value of the derivative financial instrument over the current market value of this derivative financial instrument (contingent claims), the excess of the current market value of the derivative financial instrument over the nominal contractual value of this derivative financial instrument (contingent obligations).

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

Appendix 2

to the resolution

Appendix 13

to the Resolution of the Board

of the National Bank

of the Republic of Kazakhstan

dated August 28, 2017 No. 167

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan

Administrative data form posted on the internet resource: www.nationalbank.kz

Report on Pension Payments for Mandatory Pension Contributions, Mandatory Professional Pension Contributions, Voluntary Pension Contributions

Administrative data form index: 8- ENPF_Vyplaty

Frequency: monthly

Reporting period: as of ""____ 20 ___ year

Circle of persons submitting report information: Unified Accumulative Pension Fund

Submission deadline: monthly, no later than the seventh working day of the month following the reporting month

Form

(in thousands of tenge)


Name of Articles	Symbol	For the period from the beginning of the current year			For the same period of the previous year
number of contributors (recipients)	number of payments	amount	number of contributors (recipients)	number of payments	amount
1	2	3	4	5	6	7	8
Payments of pension savings	100

at the expense of:
mandatory pension contributions:	101
by age	102
including:
Russian Federation
Republic of Belarus
Republic of Armenia
Kyrgyz Republic
due to disability	103
including:
Russian Federation
Republic of Belarus
Republic of Armenia
Kyrgyz Republic
in connection with leaving the territory of the Republic of Kazakhstan	104
to heirs	105
including:
Russian Federation
Republic of Belarus
Republic of Armenia
Kyrgyz Republic
for burial	106
to other persons	107
for improvement of housing conditions	108
for payment of treatment	109

at the expense of:
mandatory professional pension contributions:	200
by age	201
including:
Russian Federation
Republic of Belarus
Republic of Armenia
Kyrgyz Republic
due to disability	202
including:
Russian Federation
Republic of Belarus
Republic of Armenia
Kyrgyz Republic
in connection with leaving the territory of the Republic of Kazakhstan	203
to heirs	204
including:
Russian Federation
Republic of Belarus
Republic of Armenia
Kyrgyz Republic
for burial	205
to other persons	206
for improvement of housing conditions	207
for payment of treatment	208

at the expense of:
voluntary pension contributions:	300
upon reaching the age of fifty	301
including:
Russian Federation
Republic of Belarus
Republic of Armenia
Kyrgyz Republic
due to disability	302
including:
Russian Federation
Republic of Belarus
Republic of Armenia
Kyrgyz Republic
in connection with leaving the territory of the Republic of Kazakhstan	303
to heirs	304
including:
Russian Federation
Republic of Belarus
Republic of Armenia
Kyrgyz Republic
for burial	305
to other persons	306

Transfer of pension savings to an insurance organization	400

at the expense of:
mandatory pension contributions:	401
by age	402
due to disability	403
when there is sufficient pension savings to ensure a payment not lower than the size of the minimum pension and upon reaching the age established by subparagraph 2) of paragraph 1 of Article 31 of the Law of the Republic of Kazakhstan "On Pension Provision in the Republic of Kazakhstan"	404
when there is insufficient pension savings at the expense of mandatory professional pension contributions	405

at the expense of:
mandatory professional pension contributions:	500
by age	501
due to disability	502
when there is sufficient pension savings to ensure a payment not lower than the size of the minimum pension and upon reaching the age established by subparagraph 1) of paragraph 1 of Article 32 of the Law of the Republic of Kazakhstan "On Pension Provision in the Republic of Kazakhstan"	503
when there is insufficient pension savings at the expense of mandatory pension contributions	504

at the expense of:
voluntary pension contributions:	600
by age	601
due to disability	602
when there is insufficient pension savings at the expense of mandatory pension contributions	603
when there is insufficient pension savings at the expense of mandatory professional pension contributions	604

Other pension payments	700

Total	1000

Name______ Address______

Phone ______

Email address ______

Executor______ ______

surname, first name and patronymic (if any) phone

Chief accountant or person authorized to sign the report

surname, first name and patronymic (if any) signature, phone

First head or person authorized by him to sign the report

surname, first name and patronymic (if any) signature, phone

Date "____" ______ 20__ year

Appendix

to the report form on pension payments for mandatory

pension contributions, mandatory

professional pension contributions,

voluntary pension contributions

Explanation

on filling out the administrative data form

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

(index –8- ENPF_Vyplaty, frequency – monthly)

Chapter 1. General Provisions

This Explanation (hereinafter referred to as the Explanation) defines uniform requirements for filling out the administrative data form "Report on pension payments for mandatory pension contributions, mandatory professional pension contributions, voluntary pension contributions" (hereinafter referred to as the Form).
The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan", paragraph 1 of Article 51 of the Law of the Republic of Kazakhstan "On Pension Provision in the Republic of Kazakhstan".
The Form is filled out monthly by the Unified Accumulative Pension Fund as of the end of the reporting period. Data in the Form are indicated in thousands of tenge. An amount less than 500 (five hundred) tenge in the report is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (thousand) tenge.
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

Column 3 indicates the number of contributors (recipients) from whose accounts payments were made for the period from the beginning of the year (cumulative total).
Column 4 indicates the number of payments made to contributors (recipients) for the period from the beginning of the year (cumulative total). Information on the number of payments is reflected based on the payments (transactions) made to contributors (recipients).
Column 5 indicates the amount of payments for the period from the beginning of the year (cumulative total).
Column 6 indicates the number of contributors (recipients) from whose accounts payments were made for the same period of the previous year.
Column 7 indicates the number of payments made to contributors (recipients) for the same period of the previous year. Information on the number of payments is reflected based on the payments (transactions) made to contributors (recipients).
Column 8 indicates the amount of payments for the same period of the previous year.
In rows 405, 504, 603 and 604, the number of contributors (recipients) is indicated for reference and is not summed up in rows 401, 500 and 600.
In the absence of information, the Form is submitted with zero balances.

Appendix 3

to the resolution

Appendix 13-1

to the Resolution of the Board

of the National Bank

of the Republic of Kazakhstan

dated August 28, 2017 No. 167

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Report on the volume of pension and pension savings payments to workers (family members) of states – members of the Eurasian Economic Union on the territory of the Republic of Kazakhstan

Administrative data form index: 1- ENPF_Vyplaty_EEK

Frequency: monthly

Reporting period: as of ""____ 20 ___ year

Persons submitting the report information: Unified Accumulative Pension Fund

Submission deadline: quarterly, no later than the seventh working day of the month following the reporting quarter

Form

(in thousands of tenge)


Name of Articles	Symbol	For the period from the beginning of the current year			For the same period of the previous year
number of contributors (recipients)	number of payments	amount	number of contributors (recipients)	number of payments	amount
1	2	3	4	5	6	7	8
Payments of pension savings	100

by age	101
including:
Russian Federation
Republic of Belarus
Republic of Armenia
Kyrgyz Republic
due to disability	102
including:
Russian Federation
Republic of Belarus
Republic of Armenia
Kyrgyz Republic
to heirs	103
including:
Russian Federation
Republic of Belarus
Republic of Armenia
Kyrgyz Republic

Total	1000

Name______ Address______

Phone ______

Email address ______

Executor______ ______

surname, first name and patronymic (if any) phone

Chief accountant or person authorized to sign the report

surname, first name and patronymic (if any) signature, phone

First head or person authorized by him to sign the report

surname, first name and patronymic (if any) signature, phone

Date "____" ______ 20__ year

Appendix

to the report form on the volume of payments of pensions and

pension savings to workers

(family members) of states – members of

the Eurasian Economic

Union on the territory of the Republic of Kazakhstan

Explanation

on filling out the administrative data form

Report on the volume of payments of pensions and pension savings to workers (family members) of states – members of the Eurasian Economic Union on the territory of the Republic of Kazakhstan

(index – 1- ENPF_Vyplaty_EEK, frequency – monthly)

Chapter 1. General Provisions

This Explanation (hereinafter referred to as the Explanation) defines uniform requirements for filling out the administrative data form "Report on the volume of payments of pensions and pension savings to workers (family members) of states – members of the Eurasian Economic Union on the territory of the Republic of Kazakhstan" (hereinafter referred to as the Form).
The Form is developed in accordance with subparagraph 18-1) of Article 8 of the Law of the Republic of Kazakhstan "On the National Bank of the Republic of Kazakhstan", paragraph 1 of Article 51 of the Law of the Republic of Kazakhstan "On Pension Provision in the Republic of Kazakhstan".
The Form is filled out quarterly by the Unified Accumulative Pension Fund as of the end of the reporting period. Data in the Form are indicated in thousands of tenge. An amount less than 500 (five hundred) tenge in the report is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (thousand) tenge.
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

Column 3 indicates the number of contributors (recipients) to whom payments were made for the period from the beginning of the year (cumulative total).
Column 4 indicates the number of payments made to contributors (recipients) for the period from the beginning of the year (cumulative total). Information on the number of payments is reflected based on the payments (transactions) made to contributors (recipients).
Column 5 indicates the amount of payments for the period from the beginning of the year (cumulative total).
Column 6 indicates the number of contributors (recipients) to whom payments were made for the same period of the previous year.
Column 7 indicates the number of payments made to contributors (recipients) for the same period of the previous year. Information on the number of payments is reflected based on the payments (transactions) made to contributors (recipients).
Column 8 indicates the amount of payments for the same period of the previous year.
In the absence of information, the Form is submitted with zero balances.

Appendix 4

to the resolution

Appendix 27

to the Resolution of the Board

of the National Bank

of the Republic of Kazakhstan

dated November 26, 2019 No. 211

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Report on compliance with investment limits

Administrative data form index: 1-LIMITS-NPF

Frequency: monthly

Reporting period: as of "_____" ______ 20 __ year

Persons submitting the report: trustee

Form

Table 1. In debt securities of one issue of an issuer


No.	Name of issuer	Identification number	Total number of issued debt securities of this issue (in pieces)	Number of securities of this issue acquired at the expense of pension assets (in pieces)	Total as a percentage of the total number of issued debt securities of this issue acquired at the expense of pension assets
1	2	3	4	5	6

Table 2. In voting shares of a resident issuer of the Republic of Kazakhstan


No.	Name of resident issuer of the Republic of Kazakhstan	Identification number	Total number of voting shares of this issuer (in pieces)	Number of voting shares of the issuer, including those serving as the underlying asset of depositary receipts, acquired at the expense of pension assets (in pieces)	Number of voting shares of the issuer, including those serving as the underlying asset of depositary receipts, acquired at the expense of pension assets of the Unified Accumulative Pension Fund (in pieces)	Total as a percentage of the total number of voting shares of this issuer acquired at the expense of pension assets	Total as a percentage of the total number of voting shares acquired at the expense of pension assets of the Unified Accumulative Pension Fund
1	2	3	4	5	6	7	8

Table 3. In financial instruments issued (provided) by one person and its affiliated persons

(in thousands of tenge)


No.	Name of issuer who issued (provided) the financial instrument	Name of affiliated person of the issuer specified in column 2	Current value of investments in financial instruments issued (provided) by the issuer and its affiliated persons	Current value of pension assets	Total as a percentage of the current value of pension assets
1	2	3	4	5	6

Table 4. In financial instruments denominated in foreign currency

(in thousands of tenge)


No.	Name of issuer who issued (provided) the financial instrument	Type of financial instrument	Denomination currency	Current value of investments in financial instruments	Current value of pension assets	Total as a percentage of the current value of pension assets
1	2	3	4	5	6	7

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

surname, first name and patronymic (if any) signature, phone

Chief accountant or person authorized to sign the report

surname, first name and patronymic (if any) signature, phone

Head or person authorized by him to sign the report

surname, first name and patronymic (if any) signature, phone

Date "____" ______ 20__ year

Appendix

to the report form on compliance with investment limits

Explanation on filling out the administrative data form

"Report on compliance with investment limits"

(index: 1-LIMITS-NPF, frequency: monthly)

Chapter 1. General Provisions

This Explanation (hereinafter referred to as the Explanation) defines uniform requirements for filling out the form "Report on compliance with investment limits" (hereinafter referred to as the Form).
The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan "On the Securities Market".
The Form is compiled monthly by the trustee. Data in the Form are indicated in tenge.
The Form is signed by the first head, chief accountant or persons authorized to sign the report, and the executor.

Chapter 2. Explanation on Filling out the Form

The current value of investments in financial instruments and pension assets, as well as values in percentages, are indicated with two decimal places.
Regarding Table 1:

1) column 4 is filled based on data from Bloomberg and (or) Reuters information-analytical systems and (or) the Internet resource of JSC "Kazakhstan Stock Exchange";

2) column 6 is calculated as the ratio of column 5 to column 4.

Regarding Table 2:

1) column 4 is filled based on data from the official website of JSC "Kazakhstan Stock Exchange" and (or) the Internet resource of the authorized body for regulation, control and supervision of the financial market and financial organizations;

2) column 6 indicates the number of voting shares of the issuer, including those serving as the underlying asset of depositary receipts, acquired at the expense of pension assets of the Unified Accumulative Pension Fund, held in trust management by the National Bank of the Republic of Kazakhstan and managing the investment portfolio. Column 6 is filled based on the latest information on the structure of the investment portfolio of the Unified Accumulative Pension Fund at the expense of pension assets, published by the Unified Accumulative Pension Fund on its Internet resource;

3) column 7 is calculated as the ratio of column 5 to column 4;

4) column 8 is calculated as the ratio of column 6 to column 4.

Regarding Table 3:

1) column 3 is not filled with respect to persons more than 50 (fifty) percent of whose voting shares belong to the state or a national holding company;

2) column 4 is filled without taking into account investments in financial instruments of an affiliated person, if more than 50 (fifty) percent of its voting shares belong to the state or a national holding company;

3) column 6 is calculated as the ratio of column 4 to column 5.

Regarding Table 4:

1) when filling out Table 4, balances in foreign currency in the custodian's bank accounts carrying out accounting and storage of these pension assets are also included;

2) for securities, column 3 indicates the identification number of the security;

3) column 7 is calculated as the ratio of column 5 to column 6.

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

Appendix 5

to the resolution

Appendix 27-1

to the Resolution of the Board

of the National Bank

of the Republic of Kazakhstan

dated November 26, 2019 No. 211

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Report on the cost of one conditional unit of pension assets held in trust management

Administrative data form index: 1- RCB_YE

Frequency: monthly

Reporting period: for ______ 20 __ year

Persons submitting the report: trustee

Form


Calculation date	Transfers of pension assets received into trust management from another investment portfolio manager and (or) National Bank of the Republic of Kazakhstan for the calculation period	Transfers into trust management to another investment portfolio manager and (or) National Bank of the Republic of Kazakhstan for the calculation period	Current value of "net" pension assets as of the calculation date
1	2	3	4

continuation of the table:


Number of conditional units as of the calculation date	Cost of one conditional unit of pension assets as of the calculation date	Commission remuneration from pension assets for the calculation period	Commission remuneration from investment income for the calculation period	Investment income on pension assets accrued for the calculation period
5	6	7	8	9

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

surname, first name and patronymic (if any) signature, phone

Chief accountant or person authorized to sign the report

surname, first name and patronymic (if any) signature, phone

Head or person authorized by him to sign the report

surname, first name and patronymic (if any) signature, phone

Date "____" ______ 20__ year

Chief Accountant or person authorized to sign the report

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

Head or person authorized by him to sign the report

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

Date “____” ______ 20__ year

Appendix
to the form report on the cost of one conditional unit of pension assets under trust management

Explanation for filling out the administrative data form

“Report on the cost of one conditional unit of pension assets under trust management” (index: 1-RCB_YE, frequency: monthly)

Chapter 1. General Provisions

This explanation (hereinafter referred to as the Explanation) defines uniform requirements for filling out the form “Report on the cost of one conditional unit of pension assets under trust management” (hereinafter referred to as the Form).
The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan “On the Securities Market”, paragraph 1 of Article 51 of the Law of the Republic of Kazakhstan “On Pension Provision in the Republic of Kazakhstan”.
The Form is compiled monthly by the trust manager. Data in the Form are indicated in tenge.
The Form is signed by the head, chief accountant or persons authorized to sign the report, and the executor.

Chapter 2. Explanation for Filling out the Form

Column 5 indicates the number of conditional units of pension assets with a precision of three decimal places.
Column 6 indicates the cost of one conditional unit of pension assets with a precision of seven decimal places.
Columns 7, 8 and 9 are filled out for reference.
In the absence of information, the Form is submitted with zero balances.

Appendix 27-2
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan of November 26, 2019 No. 211

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan

Administrative data form posted on the Internet resource: www.nationalbank.kz

Report on the cost of one conditional unit of pension assets of the voluntary accumulated pension fund

Index of administrative data form: 1- RCB_DNPF_YE

Frequency: monthly

Reporting period: for ______ 20 __ year

Circle of persons submitting the report: voluntary accumulated pension fund

Form


Date	Pension contributions	Transfers from voluntary accumulated pension funds	Penalty received for late payment of pension contributions and for late investment of pension assets	Payments and transfers	Obligations for return of pension contributions and/or penalty received for late payment of pension contributions
1	2	3	4	5	6

continuation of the table:


Undistributed profit (uncovered loss)	Current value of “net” pension assets	Number of conditional units	Cost of one conditional unit of pension assets	Commission remuneration from pension assets	Commission remuneration from investment income (loss)	Investment income (loss) on pension assets accrued for the day
7	8	9	10	11	12	13

Name ______ Address______

Phone ______

Email address ______

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

Chief Accountant or person authorized to sign the report

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

Head or person authorized by him to sign the report

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

Date “____” ______ 20__ year

Appendix
to the form report on the cost of one conditional unit of pension assets of the voluntary accumulated pension fund

Explanation for filling out the administrative data form

“Report on the cost of one conditional unit of pension assets of the voluntary accumulated pension fund”

(index: 1- RCB_DNPF_YE, frequency: monthly)

Chapter 1. General Provisions

This explanation (hereinafter referred to as the Explanation) defines uniform requirements for filling out the form “Report on the cost of one conditional unit of pension assets of the voluntary accumulated pension fund” (hereinafter referred to as the Form).
The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan “On the Securities Market”, paragraph 1 of Article 51 of the Law of the Republic of Kazakhstan “On Pension Provision in the Republic of Kazakhstan”.
The Form is compiled monthly by the voluntary accumulated pension fund. Data in the Form are indicated in tenge.
The Form is signed by the head, chief accountant or persons authorized to sign the report, and the executor.

Chapter 2. Explanation for Filling out the Form

In column 7, the amount of undistributed profit (uncovered loss) at the end of the first working day of the week and at the end of the last calendar day of the month, subject to inclusion in the calculation of the cost of one conditional unit of pension assets, is indicated in the manner established by the legislation of the Republic of Kazakhstan.
In column 9, the number of conditional units is indicated with a precision of three decimal places.
In column 10, the cost of one conditional unit of pension assets is indicated with a precision of seven decimal places.
Columns 11, 12, 13 are filled out for reference.
In the absence of information, the Form is submitted with zero balances.

Appendix 27-3
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan of November 26, 2019 No. 211

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan

Administrative data form posted on the Internet resource: www.nationalbank.kz

Report on nominal yield coefficients of pension assets

Index of administrative data form: 1- RCB_K2

Frequency: monthly

Reporting period: as of “_____” ______ 20 __ year

Circle of persons submitting the report: trust manager

Form


No.	Name of indicator	Value of indicator
1	Average cost of one conditional unit of pension assets for the reporting period
2	Average cost of one conditional unit of pension assets for the similar period 12 months ago
3	Nominal yield coefficient K2 (for 12 months)
4	Average cost of one conditional unit of pension assets for the similar period 24 months ago
5	Nominal yield coefficient K2 (for 24 months)
6	Average cost of one conditional unit for the similar period 36 months ago
7	Nominal yield coefficient K2 (for 36 months)

Name ______ Address______

Phone ______

Email address ______

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

Chief Accountant or person authorized to sign the report

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

Head or person authorized by him to sign the report

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

Date “____” ______ 20__ year

Appendix
to the form report on nominal yield coefficients of pension assets

Explanation for filling out the administrative data form

“Report on nominal yield coefficients of pension assets”

(index: 1- RCB_К2, frequency: monthly)

Chapter 1. General Provisions

This explanation (hereinafter referred to as the Explanation) defines uniform requirements for filling out the form “Report on nominal yield coefficients of pension assets” (hereinafter referred to as the Form).
The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan “On the Securities Market”, paragraph 1 of Article 51 of the Law of the Republic of Kazakhstan “On Pension Provision in the Republic of Kazakhstan”.
The Form is compiled monthly by the trust manager.
The Form is signed by the head, chief accountant or persons authorized to sign the report, and the executor.

Chapter 2. Explanation for Filling out the Form

In rows 3, 5 and 7, the nominal yield coefficient is indicated with a precision of two decimal places.
In rows 1, 2, 4 and 6, the average cost of one conditional unit of pension assets is indicated with a precision of seven decimal places.
In the absence of information, the Form is submitted with zero balances.

Appendix 6
to the Resolution

Appendix 34
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan of November 26, 2019 No. 211

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan

Administrative data form posted on the Internet resource: www.nationalbank.kz

Report on applications for purchase/sale of securities

Index of administrative data form: 1- KASE_PSS

Frequency: daily

Reporting period: as of “_____” ______ 20 __ year

Circle of persons submitting: trading organizer

Form


Application number	Date and time of application submission		Type of application	Direction of application	Type of market
date	time
1	2	3	4	5	6

continuation of the table:


Security code	Identification number of security	Quotation currency	Price	Clean price	Yield on debt securities
7	8	9	10	11	12

continuation of the table:


Quantity	Volume	Code of member of trading organizer	Depot account	Personal identification number (ID)	Sign of application
13	14	15	16	17	18

continuation of the table:

Name ______ Address______

Phone ______

Email address ______

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

Chief Accountant or person authorized to sign the report

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

Head or person authorized by him to sign the report

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

Date “____” ______ 20__ year

Appendix
to the form report on applications for purchase/sale of securities

Explanation for filling out the administrative data form

“Report on applications for purchase/sale of securities”

(index: 1- KASE_PSS, frequency: daily)

Chapter 1. General Provisions

This explanation (hereinafter referred to as the Explanation) defines uniform requirements for filling out the form “Report on applications for purchase/sale of securities” (hereinafter referred to as the Form).
The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan “On the Securities Market”.
The Form is compiled daily by the trading organizer and filled out for each reporting day. Data in the Form are filled out in tenge with two decimal places.
The Form is signed by the head, chief accountant or persons authorized to sign the report, and the executor.

Chapter 2. Explanation for Filling out the Form

In column 1, the sequential number of the application is indicated.
In columns 2 and 20, the date of submission and the date of withdrawal of the application are indicated in the format “dd.mm.yyyy”.
In columns 3 and 21, the time of submission and the time of withdrawal of the application are indicated in the format “hours:minutes:seconds”.
In column 4, the type of application is indicated: “limit” – limit order, “market” – market order, “nego” – direct order.
In column 5, the direction of the application is indicated as purchase or sale.
In column 6, the type of market is indicated: “Tbills” – government securities market, “Equities” – stock market, “Debts” – bond market.
In column 7, the security code is indicated, determined by the trading organizer in accordance with the security coding procedure provided for in its internal documents.
In column 9, the quotation currency of the security is indicated.
In columns 10 and 14, the price per one security with the quoting precision determined by the trading organizer in accordance with its internal documents, and the volume of the application are indicated in tenge. As the volume of the application, the product of columns 10 (“Price”) and 13 (“Quantity”) is recognized. In column 10, the price at which a trading participant is ready to buy (sell) the security is indicated.
In columns 11 and 12, the clean price with the quoting precision determined by the trading organizer in accordance with its internal documents, and the yield at which the trading participant is ready to buy (sell) the debt security are indicated in percent. Columns 11 and 12 are filled out for debt securities.
In column 13, the quantity of securities in the application is indicated in pieces.
In column 15, the code of the member of the trading organizer is indicated, determined by the trading organizer in accordance with the coding procedure for members of the trading organizer provided for in its internal documents.
In column 16, the face account (sub-account) of the holder of securities opened in the central depository accounting system is indicated.
In column 17, the personal identification number (ID) of the stock exchange trader who submitted the application for concluding transactions is indicated.
In column 18, the sign of the application is indicated as a digit: “0” - if the application was submitted not by a market-maker, “1” - if the application was submitted by a trading participant for the purpose of performing market-maker functions to maintain quotations of securities.
In column 19, the unique client code assigned by JSC “Central Depository of Securities” is indicated.
In column 20, the status of the application provided for in the internal documents of the trading organizer is indicated.
In column 23, the market price of the security on the date of concluding the transaction is indicated, determined by the trading organizer in accordance with the security valuation methodology provided for in its internal documents. For bonds, the market price is indicated in percent of par value. Data in column 23 are indicated with four decimal places.
In column 24, the weighted average market price of the share or the weighted average market yield of the bond to maturity on the date of concluding the transaction is indicated, determined by the trading organizer in accordance with the procedure for calculating weighted average market prices of shares and weighted average market yields of bonds to maturity established by the authorized body.
In column 25, the trading mode provided for by the trading system is indicated.
In the absence of information, the Form is submitted with zero balances.

Appendix 35
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan of November 26, 2019 No. 211

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan

Administrative data form posted on the Internet resource: www.nationalbank.kz

Report on the results of securities trading with indication of transaction parties

Index of administrative data form: 1- KASE_ST

Frequency: daily

Reporting period: as of “_____” ______ 20 __ year

Circle of persons submitting: trading organizer

Form


Transaction number	Date and time of transaction conclusion		Type of market	Trading method	Type of market
date	time
1	2	3	4	5	6

continuation of the table:


Security code	Identification number of security	Quotation currency	Price	Clean price	Yield on debt securities	Maturity date of debt securities	Quantity
7	8	9	10	11	12	13	14

continuation of the table:


Volume	Code of member of trading organizer acting as seller	Sale depot account	Seller's client code	Sell application number	Code of member of trading organizer acting as buyer	Purchase depot account
15	16	17	18	19	20	21

continuation of the table:


Buyer's client code	Buy application number	Transaction status	Settlement date	Market price	Weighted average price	Trading mode
22	23	24	25	26	27	28

Name ______ Address______

Phone ______

Email address ______

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

Chief Accountant or person authorized to sign the report

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

Head or person authorized by him to sign the report

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

Date “____” ______ 20__ year

Appendix
to the form report on the results of securities trading with indication of transaction parties

Explanation for filling out the administrative data form

“Report on the results of securities trading with indication of transaction parties”

(index: 1- KASE_ST, frequency: daily)

Chapter 1. General Provisions

This explanation (hereinafter referred to as the Explanation) defines uniform requirements for filling out the form “Report on the results of securities trading with indication of transaction parties” (hereinafter referred to as the Form).
The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan “On the Securities Market”.
The Form is compiled daily by the trading organizer and filled out for each reporting day. Data in the Form are filled out in tenge with two decimal places.
The Form is signed by the head, chief accountant or persons authorized to sign the report, and the executor.

Chapter 2. Explanation for Filling out the Form

In column 1, the sequential number of the transaction is indicated.
In column 2, the date of transaction conclusion is indicated in the format “dd.mm.yyyy”.
In column 3, the time of transaction conclusion is indicated in the format “hours:minutes:seconds”.
In column 4, the type of market is indicated as a digit: “0” – if the transaction for the purchase and sale of securities was concluded on the secondary securities market, “1” – if the transaction for the purchase and sale of securities was concluded on the primary securities market.
In column 5, the trading method is indicated as a digit: “0” – if the transaction for the purchase and sale of securities was concluded by the method of continuous cross auction, “1” – if the transaction for the purchase and sale of securities was concluded by the method of concluding direct (addressed) transactions, “2” – if the transaction for the purchase and sale of securities was concluded by the fixing method, “3” – if the transaction for the purchase and sale of securities was concluded by the Frankfurt trading method, “4” – if the transaction for the purchase and sale of securities was concluded by the specialized trading method, “5” – if the transaction for the purchase and sale of securities was concluded by the English trading method, “6” – transaction for the purchase and sale of securities was concluded by the Dutch trading method, “7” – if the transaction for the purchase and sale of securities was concluded by the subscription method; “8” – if the transaction for the purchase and sale of securities was concluded by the discrete trading method; “9” – other methods provided for in the internal documents of the trading organizer.
In column 6, the type of market provided for by the trading system is indicated.
In column 7, the security code is indicated, determined by the trading organizer in accordance with the security coding procedure provided for in its internal documents.
In column 9, the quotation currency of the security is indicated.
In columns 10 and 15, the price per one security with the quoting precision determined by the trading organizer in accordance with its internal documents, and the volume of the transaction are indicated in tenge. As the volume of the transaction, the product of columns 10 (“Price”) and 14 (“Quantity”) is recognized. In column 10, the price at which a trading participant concluded a transaction with the security is indicated.
In columns 11 and 12, the clean price and yield with the quoting precision determined by the trading organizer in accordance with its internal documents, at which the trading participant concluded a transaction with the debt security, are indicated in percent. Columns 11 and 12 are filled out for debt securities.
In column 14, the quantity of securities in the transaction is indicated in pieces.
In column 16, the code of the member of the trading organizer is indicated, determined by the trading organizer in accordance with the coding procedure for members of the trading organizer provided for in its internal documents.
In columns 17 and 20, the account (sub-account) of the depot is understood as the face account (sub-account) of the holder of securities opened in the central depository accounting system.
In columns 18 and 22, the unique client codes assigned by JSC “Central Depository of Securities” are indicated.
In column 24, the status of the transaction provided for in the internal documents of the trading organizer is indicated.
In column 26, the market price of the security on the date of concluding the transaction is indicated, determined by the trading organizer in accordance with the security valuation methodology provided for in its internal documents. For bonds, the market price is indicated in percent of par value. Data in column 26 are indicated with four decimal places.
In column 27, the weighted average market price of the share or the weighted average market yield of the bond to maturity on the date of concluding the transaction is indicated, determined by the trading organizer in accordance with the procedure for calculating weighted average market prices of shares and weighted average market yields of bonds to maturity established by the authorized body.
In column 28, the trading mode provided for by the trading system is indicated.
In the absence of information, the Form is submitted with zero balances.

Appendix 36
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan of November 26, 2019 No. 211

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan

Administrative data form posted on the Internet resource: www.nationalbank.kz

Report on applications for repo operations with securities

Index of administrative data form: 1- KASE_ABR

Frequency: daily

Reporting period: as of "_____" ______ 20 __ year

Persons submitting: trading organizer

Form


Application number	Date and time of application submission		Direction of application	Repo type
date	time
1	2	3	4	5

continuation of the table:


Repo instrument code	Security code	Security identification number	Quotation currency	Price	Yield
6	7	8	9	10	11

continuation of the table:


Number of securities	Volume	Code of the trading organizer member	Depot account	Client code	Personal Identification Number (ID)
12	13	14	15	16	17

continuation of the table:


Application status	Date and time of application withdrawal		Repo term	Discount size	Trading mode
date	time
18	19	20	21	22	23

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief accountant or person authorized to sign the report

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

Head or person authorized by him to sign the report

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

Date "____" ______ 20__ year

Appendix

to the report form on applications

for repo operations

with securities

Explanation on filling out the administrative data form

"Report on applications for repo operations with securities"

(index: 1- KASE_ABR, frequency: daily)

Chapter 1. General Provisions

This explanation (hereinafter - Explanation) defines uniform requirements for filling out the "Report on applications for repo operations with securities" form (hereinafter - Form).
The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan "On the Securities Market".
The Form is compiled daily by the trading organizer and filled out for each reporting day. Data in the Form are filled in tenge with two decimal places.
The Form is signed by the first head, chief accountant or persons authorized to sign the report, and the executor.

Chapter 2. Explanation on filling out the Form

In column 1, the sequence number of the application is indicated.
In columns 2 and 18, the date of submission and the date of withdrawal of the application are indicated in the format "dd.mm.yyyy".
In columns 3 and 19, the time of submission and the time of withdrawal of the application are indicated in the format "hours:minutes:seconds".
In column 4, the direction of the application is indicated as purchase or sale.
In column 5, the method of the transaction is indicated: "direct repo" or "automatic repo".
In column 6, the code of the repo operation instrument is indicated, determined by the trading organizer in accordance with the instrument coding order for repo operations provided for in its internal documents.
In column 7, the security code is indicated, determined by the trading organizer in accordance with the security coding order provided for in its internal documents.
In column 9, the quotation currency of the security is indicated.
In columns 10 and 13, the price per one security with the quoting accuracy determined by the trading organizer in accordance with its internal documents, and the volume of the application are indicated in tenge. As the volume of the application, the product of columns 10 ("Price") and 12 ("Quantity") is recognized. When submitting an application for purchase under automatic repo operations, the money volume is recognized as the volume of the application. In column 10, the price at which the trading participant is ready to conduct a repo operation is indicated.
In column 11, the yield with the quoting accuracy determined by the trading organizer in accordance with its internal documents, at which the trading participant is ready to conduct a repo operation, is indicated in percent.
In column 12, the number of securities (in pieces) offered by the seller of the securities for the "direct (automatic) repo" operation is indicated.
In column 14, the code of the trading organizer member is indicated, determined by the trading organizer in accordance with the coding order of trading organizer members provided for in its internal documents.
In column 15, the personal account (sub-account) of the security holder opened in the central depository accounting system is indicated.
In column 16, the unique client code assigned by JSC "Central Depository of Securities" is indicated.
In column 17, the personal identification number (ID) of the stock exchange trader who submitted the application for concluding a repo operation with securities is indicated.
In column 18, the status of the application provided for in the internal documents of the trading organizer is indicated.
In column 21, the term of the repo operation is indicated, determined by the trading organizer in accordance with its internal documents.
In column 21, the discount rate applied to the price of the instrument that is the subject of the repo operation is indicated.
In column 23, the trading mode provided for by the trading system is indicated.
In the absence of information, the Form is submitted with zero balances.

Appendix 37

to the Resolution of the Board

of the National Bank

of the Republic of Kazakhstan

dated November 26, 2019 No. 211

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Report on repo operations with securities indicating their participants

Administrative data form index: 1- KASE_ABRvP

Frequency: daily

Reporting period: as of "_____" ______ 20 __ year

Persons submitting: trading organizer

Form

continuation of the table:


Security identification number	Price	Yield	Quantity	Volume	Code of the trading organizer member acting as seller	Sale depot account
8	9	10	11	12	13	14

continuation of the table:


Seller client code	Seller application number	Code of the trading organizer member acting as buyer	Purchase depot account	Buyer client code	Buyer application number
15	16	17	18	19	20

continuation of the table:


Deal status	Repo term	Closing date	Discount size	Opening deal number	Trading mode
21	22	23	24	25	26

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief accountant or person authorized to sign the report

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

Head or person authorized by him to sign the report

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

Date "____" ______ 20__ year

Appendix

to the report form on operations

repo with securities

indicating their participants

Explanation on filling out the administrative data form

"Report on repo operations with securities indicating their participants"

(index: 1- KASE_ABRvP, frequency: daily)

Chapter 1. General Provisions

This explanation (hereinafter - Explanation) defines uniform requirements for filling out the "Report on repo operations with securities indicating their participants" form (hereinafter - Form).
The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan "On the Securities Market".
The Form is compiled daily by the trading organizer and filled out for each reporting day. Data in the Form are filled in tenge with two decimal places.
The Form is signed by the first head, chief accountant or persons authorized to sign the report, and the executor.

Chapter 2. Explanation on filling out the Form

In column 1, the sequence number of the deal is indicated.
In column 2, the date of deal conclusion is indicated in the format "dd.mm.yyyy".
In column 3, the time of deal conclusion is indicated in the format "hours:minutes:seconds".
In column 4, the method of the transaction is indicated: "direct repo" or "automatic repo".
In column 5, the type of repo operation is indicated as opening or closing.
In columns 9 and 12, the price per one security with the quoting accuracy determined by the trading organizer in accordance with its internal documents, and the volume of the deal are indicated in tenge. As the volume of the deal, the product of columns 9 ("Price") and 11 ("Quantity") is recognized.
In column 10, the yield with the quoting accuracy determined by the trading organizer in accordance with its internal documents, at which the trading participant concluded a repo operation, is indicated in percent.
In column 11, the number of securities (in pieces) offered by the seller of the repo operation is indicated.
In column 13, the code of the trading organizer member is indicated, determined by the trading organizer in accordance with the coding order of trading organizer members provided for in its internal documents.
In columns 14 and 17, the depot account (sub-account) is understood as the personal account (sub-account) of the security holder opened in the central depository accounting system.
In columns 15 and 19, the unique client codes assigned by JSC "Central Depository of Securities" are indicated.
In columns 16 and 20, the sequence numbers of applications for concluding a repo operation submitted by the seller and buyer of securities, respectively, are indicated.
In column 21, the status of the deal provided for in the internal documents of the trading organizer is indicated.
In column 22, the term of the repo operation is indicated, determined by the trading organizer in accordance with its internal documents.
In column 23, the closing date of the repo operation is indicated in the format "dd.mm.yyyy". This column is filled only for the opening repo operation.
In column 24, the discount rate applied to the price of the instrument that is the subject of the repo operation is indicated.
In column 25, the sequence number of the corresponding opening repo deal is indicated. This column is filled only for the closing repo operation.
In column 26, the trading mode provided for by the trading system is indicated.
In the absence of information, the Form is submitted with zero balances.

Appendix 38

to the Resolution of the Board

of the National Bank

of the Republic of Kazakhstan

dated November 26, 2019 No. 211

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Report on applications for purchase/sale of derivative financial instruments

Administrative data form index: 1- KASE_ABD

Frequency: daily

Reporting period: as of "_____" ______ 20 __ year

Persons submitting: trading organizer

Form


Application number	Date and time of application submission		Type	Direction of application	Instrument code	Price per contract	Currency name
date	time
1	2	3	4	5	6	7	8

continuation of the table:


Number of contracts	Number of underlying assets in one contract	Volume	Code of the trading organizer member	Code of the trading account	Settlement code
9	10	11	12	13	14

continuation of the table:


Personal Identification Number (ID)	Application flag	Date and time of application withdrawal		Application status
date	time
15	16	17	18	19

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief accountant or person authorized to sign the report

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

Head or person authorized by him to sign the report

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

Date "____" ______ 20__ year

Appendix

to the report form on applications

for purchase/sale

derivative financial

instruments

Explanation on filling out the administrative data form

Report on applications for purchase/sale of derivative financial instruments

(index: 1- KASE_ABD, frequency: daily)

Chapter 1. General Provisions

This explanation (hereinafter - Explanation) defines uniform requirements for filling out the "Report on applications for purchase/sale of derivative financial instruments" form (hereinafter - Form).
The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan "On the Securities Market".
The Form is compiled daily by the trading organizer and filled out for each reporting day. Data in the Form are filled in tenge with two decimal places.
The Form is signed by the first head, chief accountant or persons authorized to sign the report, and the executor.

Chapter 2. Explanation on filling out the Form

In column 1, the sequence number of the application is indicated.
In columns 2 and 17, the date of submission and the date of withdrawal of the application are indicated in the format "dd.mm.yyyy".
In columns 3 and 18, the time of submission and the time of withdrawal of the application are indicated in the format "hours:minutes:seconds".
In column 4, the type of application is indicated: "limit" - limit order, "nego" - direct order.
In column 5, the direction of the application is indicated as purchase or sale.
In columns 7 and 11, the price per one contract and the volume of the application are indicated in tenge. In column 11, the product of columns 7 ("Price per contract") and 9 ("Number of contracts") is recognized as the volume of the application. In column 7, the price at which the trading participant is ready to conclude a transaction with derivative financial instruments is indicated as the price per contract.
In column 8, the name of the application currency is indicated.
In columns 9 and 10, the number of application contracts and the number of underlying assets in one contract are indicated in pieces.
In column 14, the clearing register intended for accounting information about the trading participant's collateral in cash and/or obligations on transactions, where the trading participant is a party, is indicated.
In column 15, the personal identification number (ID) of the stock exchange trader who submitted the application for concluding a transaction with derivative financial instruments is indicated.
In column 16, the application flag is indicated as a digit: "0" - if the application was submitted not by a market maker, "1" - if the application was submitted by a trading participant for the purpose of performing market maker functions to maintain quotations for derivative securities.
In column 19, the status of the application provided for in the internal documents of the trading organizer is indicated.
In the absence of information, the Form is submitted with zero balances.

Appendix 39

to the Resolution of the Board

of the National Bank

of the Republic of Kazakhstan

dated November 26, 2019 No. 211

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Report on the results of trading in derivative financial instruments indicating the parties to deals

Administrative data form index: 1- KASE_DT

Frequency: daily

Reporting period: as of "_____" ______ 20 __ year

Persons submitting: trading organizer

Form

continuation of the table:


Number of contracts	Number of underlying assets in one contract	Volume	Code of the trading organizer member acting as seller	Sale trading account code	Sale settlement code
8	9	10	11	12	13

continuation of the table:


Sale application number	Code of the trading organizer member acting as buyer	Purchase trading account code	Purchase settlement code	Purchase application number	Execution date
14	15	16	17	18	19

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief accountant or person authorized to sign the report

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

Head or person authorized by him to sign the report

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

Date "____" ______ 20__ year

Appendix

to the report form on the results

trading in derivative

financial instruments

indicating the parties to deals

Explanation on filling out the administrative data form

"Report on the results of trading in derivative financial instruments indicating the parties to deals"

(index: 1- KASE_DT, frequency: daily)

Chapter 1. General Provisions

This explanation (hereinafter - Explanation) defines uniform requirements for filling out the "Report on the results of trading in derivative financial instruments indicating the parties to deals" form (hereinafter - Form).
The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan "On the Securities Market".
The Form is compiled daily by the trading organizer and filled out for each reporting day. Data in the Form are filled in tenge with two decimal places.
The Form is signed by the first head, chief accountant or persons authorized to sign the report, and the executor.

Chapter 2. Explanation on filling out the Form

In column 1, the sequence number of the deal is indicated.
In column 2, the date of deal conclusion is indicated in the format "dd.mm.yyyy".
In column 3, the time of deal conclusion is indicated in the format "hours:minutes:seconds".
In column 5, the trading method is indicated as a digit: "0" - if the transaction for the purchase and sale of derivative financial instruments was concluded by the method of continuous cross auction, "1" - if the transaction for the purchase and sale of derivative financial instruments was concluded by the method of concluding direct (addressed) transactions.
In columns 6 and 10, the price per one contract and the volume of the deal are indicated in tenge. In column 10, the product of columns 6 ("Price per contract") and 8 ("Number of contracts") is recognized as the volume of the deal. In column 6, the price at which the trading participant concluded a transaction with derivative financial instruments is indicated as the price per contract.
In column 7, the name of the deal currency is indicated.
In columns 8 and 9, the number of deal contracts and the number of underlying assets in one contract are indicated in pieces.
In columns 11 and 15, the code of the trading organizer member is indicated, determined by the trading organizer in accordance with the coding order of trading organizer members provided for in its internal documents.
In column 13, the clearing register intended for accounting information about the trading participant's collateral in cash and/or obligations on transactions for the sale of a derivative financial instrument, where the trading participant is a party, is indicated.
In column 17, the clearing register intended for accounting information about the trading participant's collateral in cash and/or obligations on transactions for the purchase of a derivative financial instrument, where the trading participant is a party, is indicated.
In column 19, the actual settlement date of the deal is indicated in the format "dd.mm.yyyy".
In the absence of information, the Form is submitted with zero balances.

Appendix 40

to the Resolution of the Board

of the National Bank

of the Republic of Kazakhstan

dated November 26, 2019 No. 211

Form intended for collecting administrative data

Submitted to: National Bank of the Republic of Kazakhstan

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

Report on applications for purchase/sale of foreign currencies

Administrative data form index: 1- KASE_FC

Frequency: daily

Reporting period: as of "_____" ______ 20 __ year

Persons submitting: trading organizer

Form


Application number	Date and time of application submission		Direction of application	Financial instrument code	Price	Quantity	Volume
date	time
1	2	3	4	5	6	7	8

continuation of the table:


Code of the trading organizer member	Code of the trading account	Client code	Type of application	Status of application	Yield of currency swap	Trading mode
9	10	11	12	13	14	15

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief accountant or person authorized to sign the report

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

Head or person authorized by him to sign the report

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

Date "____" ______ 20__ year

Appendix

to the report form on applications

for purchase/sale

foreign currencies

Explanation on filling out the administrative data form

"Report on applications for purchase/sale of foreign currencies"

(index: 1- KASE_FC, frequency: daily)

Chapter 1. General Provisions

This Explanation (hereinafter referred to as the Explanation) defines uniform requirements for filling out the "Report on Applications for Purchase/Sale of Foreign Currency" form (hereinafter referred to as the Form).
The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan "On the Securities Market".
The Form is compiled daily by the trading organizer and filled out for each reporting day. Data in the Form is filled out in tenge with two decimal places.
The Form is signed by the head, chief accountant or persons authorized to sign the report, and the executor.

Chapter 2. Explanation on Filling Out the Form

In column 1, the sequential number of the application is indicated.
In column 2, the date of submission of the application is indicated in the format "dd.mm.yyyy".
In column 3, the time of submission of the application is indicated in the format "hours:minutes:seconds".
In column 4, the direction of the application is indicated as purchase or sale.
In column 5, the code of the financial instrument is indicated, determined by the trading organizer in accordance with the coding procedure for foreign currencies provided for in its internal documents.
In columns 6 and 8, the price per one financial instrument with the quoting accuracy determined by the trading organizer in accordance with its internal documents, and the volume of the application in tenge are indicated. As the volume of the application, the product of columns 8 ("Price") and 9 ("Quantity") is recognized, except for currency swap operations. In column 8, the price at which a trading participant is ready to buy (sell) a financial instrument is indicated.
In column 7, the quantity of financial instruments of the application is indicated in pieces.
In column 9, the code of the member of the trading organizer is indicated, determined by the trading organizer in accordance with the coding procedure for members of the trading organizer provided for in its internal documents.
In column 11, the client code is indicated, determined by the trading organizer in accordance with the coding procedure for foreign currencies provided for in its internal documents.
In column 12, the type of application is indicated: "limit" – limit order, "market" – market order, "nego" – direct order.
In column 13, the status of the application provided for by the internal documents of the trading organizer is indicated.
In column 14, the yield is indicated, with the quoting accuracy determined by the trading organizer in accordance with its internal documents, at which the participant is ready to buy (sell) foreign currency. Column 15 is filled out for currency swap operations.
In column 15, the trading mode provided for by the trading system is indicated.
In the absence of information, the Form is submitted with zero balances.

Appendix 41
to the Resolution of the Board of the National Bank of the Republic of Kazakhstan of November 26, 2019 No. 211

Form intended for the collection of administrative data

Submitted to: the National Bank of the Republic of Kazakhstan

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

Report on Foreign Currency Trading Results

Administrative data form index: 1- KASE_RFC

Frequency: daily

Reporting period: as of "_____" ______ 20 __ year

Persons submitting: trading organizer

Form


Deal Number	Date and Time of Deal Conclusion		Code of Financial Instrument	Price	Yield
date	time
1	2	3	4	5	6

continuation of table:


Quantity	Volume	Code of Trading Organizer Member Acting as Seller	Code of Sale Trading Account	Client Code	Application Number for Sale	Code of Trading Organizer Member Acting as Buyer
7	8	9	10	11	12	13

continuation of table:


Code of Purchase Trading Account	Client Code	Application Number for Purchase	Deal Status	Execution Date	Deal Flag	Trading Mode
14	15	16	17	18	19	20

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

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

Head or person authorized by him to sign the report

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

Date "____" ______ 20__ year

Appendix
to the report form on results of foreign currency trading

Explanation on filling out the administrative data form

"Report on Foreign Currency Trading Results"

(index: 1- KASE_RFC, frequency: daily)

Chapter 1. General Provisions

This Explanation (hereinafter referred to as the Explanation) defines uniform requirements for filling out the "Report on Foreign Currency Trading Results" form (hereinafter referred to as the Form).
The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan "On the Securities Market".
The Form is compiled daily by the trading organizer and filled out for each reporting day. Data in the Form is filled out in tenge with two decimal places.
The Form is signed by the head, chief accountant or persons authorized to sign the report, and the executor.

Chapter 2. Explanation on Filling Out the Form

In column 1, the sequential number of the deal is indicated.
In columns 2 and 18, the date of conclusion of the deal and the actual settlement date for the deal are indicated in the format "dd.mm.yyyy".
In column 3, the time of conclusion of the deal and the actual settlement time for the deal are indicated in the format "hours:minutes:seconds".
In column 4, the code of the financial instrument is indicated, determined by the trading organizer in accordance with the coding procedure for foreign currencies provided for in its internal documents.
In columns 5 and 8, the price per one financial instrument with the quoting accuracy determined by the trading organizer in accordance with its internal documents, and the volume of the deal in tenge are indicated. As the volume of the deal, the product of columns 5 ("Price") and 7 ("Quantity") is recognized.
In column 6, the yield is indicated, with the quoting accuracy determined by the trading organizer in accordance with its internal documents, at which trading participants concluded a currency swap deal, in percent.
In column 7, the quantity of financial instruments is indicated in pieces.
In column 9, the codes of the members of the trading organizer are indicated, determined by the trading organizer in accordance with the coding procedure for members of the trading organizer provided for in its internal documents.
In columns 11 and 15, the client codes are indicated, determined by the trading organizer in accordance with the coding procedure for foreign currencies provided for in its internal documents.
In column 17, the status of the deal provided for by the internal documents of the trading organizer is indicated.
In column 19, the number of the main swap deal is indicated. Column 19 is filled out for currency swap operations.
In column 20, the trading mode provided for by the trading system is indicated.
In the absence of information, the Form is submitted with zero balances.

Appendix 42
k postanovleniyu Pravleniya
Natsional'nogo Banka
Respubliki Kazakhstan ot 28 novyabrya 2019 goda № 211

Form, intended for the collection of administrative data

Submitted to: the National Bank of the Republic of Kazakhstan

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

Report on Unexecuted Deals/Operations

Administrative data form index: 1- KASE-NONDEALINGs

Frequency: daily

Reporting period: as of "_____" ______ 20 __ year

Persons submitting: trading organizer

Form


Deal Number	Date and Time of Deal Conclusion		Reason for Non-execution	Instrument Code	Market Type	Security Identification Number	Price	Quantity
date	time
1	2	3	4	5	6	7	8	9

continuation of table:


Volume	Code of Trading Organizer Member Acting as Seller	Sale Depot Account	Seller Client Code	Code of Trading Organizer Member Acting as Buyer	Purchase Depot Account	Buyer Client Code	Note
10	11	12	13	14	15	16	17

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

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

Head or person authorized by him to sign the report

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

Date "____" ______ 20__ year

Appendix
to the report form on unexecuted deals/operations

Explanation on filling out the administrative data form

"Report on Unexecuted Deals/Operations"

(index: 1- KASE-NONDEALINGs, frequency: monthly)

Chapter 1. General Provisions

This Explanation (hereinafter referred to as the Explanation) defines uniform requirements for filling out the "Report on Unexecuted Deals/Operations" form (hereinafter referred to as the Form).
The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan "On the Securities Market".
The Form is compiled daily by the trading organizer and filled out as of the last day of the reporting month.
The Form is signed by the head, chief accountant or persons authorized to sign the report, and the executor.

Chapter 2. Explanation on Filling Out the Form

The Form is filled out for deals/operations that were not executed within the established deadlines, or for deals/operations terminated before the onset of their execution deadline, as well as for those where the initial parameters or conditions of the deal were changed.
In column 1, the sequential number of the deal is indicated. For a repo operation, the corresponding sequential number of the opening deal or closing deal is indicated.
In columns 2 and 3, the date and time of conclusion of the deal are indicated in the formats "dd.mm.yyyy" and "hours:minutes:seconds", respectively.
In column 4, the reason for non-execution is indicated: "1" – if the deal was not executed due to lack of funds by the buyer; "2" – if the deal was not executed due to lack of financial instruments by the seller; "3" – if the deal was terminated by mutual consent of the parties; "4" – for other reasons.
In column 5, the instrument code is indicated, determined by the trading organizer in accordance with the coding procedure for instruments provided for in its internal documents.
In column 6, the market type provided for by the trading system is indicated.
In columns 8, 9 and 10, the price, quantity and volume of the deal are indicated, respectively.
In columns 11 and 14, the code of the member of the trading organizer is indicated, determined by the trading organizer in accordance with the coding procedure for members of the trading organizer provided for in its internal documents.
In columns 12 and 15, the account (sub-account) depot is understood as the personal account (sub-account) of the securities holder opened in the central depository accounting system.
In columns 13 and 16, unique client codes assigned by JSC "Central Depository for Securities" are indicated.
In column 17, brief notes on the reasons for non-execution are indicated if "for other reasons" was indicated in column 4.
In the absence of information, the Form is submitted with zero balances.

Appendix 43
k postanovleniyu Pravleniya
Natsional'nogo Banka
Respubliki Kazakhstan ot 28 novyabrya 2019 goda № 211

Form, intended for the collection of administrative data

Submitted to: the National Bank of the Republic of Kazakhstan

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

Report on Transfer of Obligations for Settlement Execution with Custodian Participation

Administrative data form index: 1- KASE-LA-cust

Frequency: daily

Reporting period: for ______ 20 __ year

Persons submitting: trading organizer

Form


Transfer Number	Date and Time of Transfer		Direction of Transfer	Trading Mode	Security Code	Security Identification Number	Price
date	time
1	2	3	4	5	6	7	8

continuation of table:


Quantity	Volume	Code of Trading Organizer Member	Trading-Clearing Account	Client Code	Code of Trading Organizer Member	Trading-Clearing Account	Client Code
9	10	11	12	13	14	15	16

Name ______ Address______

Phone ______

Email address ______

Executor______ ______

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

Chief Accountant or person authorized to sign the report

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

Head or person authorized by him to sign the report

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

Date "____" ______ 20__ year

Appendix
to the report form on transfer of obligations for execution of settlements with participation of custodian

Explanation on filling out the administrative data form

"Report on Transfer of Obligations for Settlement Execution with Custodian Participation"

(index: 1- KASE-1- KASE-LA-cust, frequency: daily)

Chapter 1. General Provisions

This Explanation (hereinafter referred to as the Explanation) defines uniform requirements for filling out the "Report on Transfer of Obligations for Settlement Execution with Custodian Participation" form (hereinafter referred to as the Form).
The Form is developed in accordance with Article 3 of the Law of the Republic of Kazakhstan "On the Securities Market".
The Form is compiled daily by the trading organizer and filled out for each reporting day. Data in the Form is filled out in tenge with two decimal places.
The Form is signed by the head, chief accountant or persons authorized to sign the report, and the executor.

Chapter 2. Explanation on Filling Out the Form

The Form is filled out for deals with securities for which the transfer of obligations for settlement execution with participation of the custodian was carried out.
In column 1, the sequential number of the transfer is indicated.
In columns 2 and 3, the date and time of transfer are indicated in the formats "dd.mm.yyyy" and "hours:minutes:seconds", respectively.
In column 4, the direction of the transfer is indicated as purchase or sale.
In column 5, the trading mode provided for by the trading system is indicated.
In column 6, the instrument code is indicated, determined by the trading organizer in accordance with the coding procedure for instruments provided for in its internal documents.
In columns 8, 9 and 10, the price, quantity and volume of the transfer are indicated, respectively.
In column 11, the code of the trading organizer member transferring the obligation is indicated, determined by the trading organizer in accordance with the coding procedure for members of the trading organizer provided for in its internal documents.
In column 14, the code of the trading organizer member accepting the obligation is indicated, determined by the trading organizer in accordance with the coding procedure for members of the trading organizer provided for in its internal documents.
In column 15, the account (sub-account) depot is understood as the personal account opened in the central depository accounting system from which the transfer of obligations is carried out.
In column 13, the unique client code assigned by JSC "Central Depository for Securities" from which the transfer of obligations is carried out is indicated.
In column 15, the account (sub-account) depot is understood as the personal account opened in the central depository accounting system to which the transfer of obligations is accepted.
In column 16, the unique client code assigned by JSC "Central Depository for Securities" to which the transfer of obligations is accepted is indicated.
In the absence of information, the Form is submitted with zero balances.

Client code

Status of application

Date and time of application withdrawal

Market price

Weighted average price

Trading mode