Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 93 of 20 July 2020 on Amendments and Additions to Certain Resolutions of the Board of the National Bank of the Republic of Kazakhstan on Currency Operations in the Republic of Kazakhstan and Reporting by Insurance (Reinsurance) Organizations

	[pic]
«NATIONAL BANK		REPUBLICAN
OF THE REPUBLIC OF KAZAKHSTAN»		STATE INSTITUTION
REPUBLICAN		«NATIONAL BANK
STATE INSTITUTION		OF THE REPUBLIC OF KAZAKHSTAN»
RESOLUTION		RESOLUTION
OF THE BOARD		OF THE BOARD
20 July 2020		No. 93
Nur-Sultan city		Nur-Sultan city

On Amendments and Additions to Certain Resolutions of the Board of the National Bank of the Republic of Kazakhstan on Currency Operations in the Republic of Kazakhstan and Reporting by Insurance (Reinsurance) Organizations

In accordance with the laws of the Republic of Kazakhstan of 30 March 1995 "On the National Bank of the Republic of Kazakhstan", of 18 December 2000 "On Insurance Activity", of 19 March 2010 "On State Statistics", of 2 July 2018 "On Currency Regulation and Currency Control", the Board of the National Bank of the Republic of Kazakhstan RESOLVES:

1. To approve the List of certain resolutions of the Board of the National Bank of the Republic of Kazakhstan to which amendments and additions are made on currency operations in the Republic of Kazakhstan and reporting by insurance (reinsurance) organizations (hereinafter - the List).
2. The Payment Balance Department shall, in the manner established by the legislation of the Republic of Kazakhstan, ensure:
   1) together with the Legal Department, state registration of this resolution with the Ministry of Justice of the Republic of Kazakhstan;
   2) placement of this resolution on the official internet resource of the National Bank of the Republic of Kazakhstan after its official publication;
   3) within ten working days after state registration of this resolution, submission to the Legal Department of information on the implementation of the measures provided for by subparagraph 2) of this paragraph and paragraph 3 of this resolution.
3. The Information and Communications Department - Press Service of the National Bank shall ensure, within ten calendar days after state registration of this resolution, sending its copy for official publication to periodicals.
4. Control over the execution of this resolution shall be entrusted to the Deputy Chairman of the National Bank of the Republic of Kazakhstan Baymagambetov A.M.
5. This resolution shall enter into force upon expiry 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"
Ministry of Foreign Affairs of the Republic of Kazakhstan

"AGREED"
Ministry of Finance of the Republic of Kazakhstan

"AGREED"
Committee on Statistics of the Ministry of National Economy of the Republic of Kazakhstan

Annex
to the resolution of the Board of the National Bank of the Republic of Kazakhstan dated 20 July 2020 No. 93

List of certain resolutions of the Board of the National Bank of the Republic of Kazakhstan to which amendments and additions are made on currency operations in the Republic of Kazakhstan and reporting by insurance (reinsurance) organizations

1. To introduce into the resolution of the Board of the National Bank of the Republic of Kazakhstan dated 30 March 2019 No. 40 "On approval of the Rules for Currency Operations in the Republic of Kazakhstan" (registered in the Register of State Registration of Normative Legal Acts under No. 18512, published on 22 April 2019 in the Reference Control Bank of Normative Legal Acts of the Republic of Kazakhstan) the following amendments and additions:
in the Rules for Currency Operations in the Republic of Kazakhstan approved by the said resolution:
to supplement with paragraph 9-1 as follows:
"9-1. For currency operations related to reinsurance services in foreign currency from participants of the Astana International Financial Centre, insurance (reinsurance) organizations of the Republic of Kazakhstan shall submit to the National Bank, among other things, a report on reinsurance activity in the form according to Annex 22 to the resolution of the Board of the National Bank dated 31 December 2019 No. 275 "On approval of the list, forms, deadlines for submission of reporting by an insurance (reinsurance) organization and an insurance broker and the Rules for its submission", registered in the Register of State Registration of Normative Legal Acts under No. 19927."; paragraphs 19 and 20 shall be stated in the following wording:
"19. Resident legal entities (except authorized banks) shall purchase in one authorized bank on one working day non-cash foreign currency for national currency for purposes not related to the fulfillment of obligations in foreign currency in an amount not exceeding fifty thousand US dollars in equivalent. Purposes not related to the fulfillment of obligations in foreign currency include transfer of foreign currency to own accounts in foreign banks, gratuitous transfers of money in foreign currency, as well as crediting and (or) transfer of foreign currency to own accounts in authorized banks.
20. When executing an application for the purchase of non-cash foreign currency for national currency for an amount exceeding fifty thousand US dollars in equivalent, a resident legal entity (except an authorized bank) shall indicate the purpose of purchase, and also attach to the application a copy of the currency contract and an invoice or other payment document for the payment of which non-cash foreign currency is purchased. At the same time, to the application for the purchase of non-cash foreign currency for national currency, the resident legal entity (except an authorized bank) shall attach an instruction to the authorized bank, in case of its non-use within ten working days from the day of purchase for the declared purposes, to sell this currency for national currency within the following three working days, except for cases provided for by paragraph 20-1 of the Rules.
It is not allowed to use non-cash foreign currency purchased in accordance with this paragraph of the Rules for purposes not related to the fulfillment of obligations in foreign currency, except for the case provided for by paragraph 22 of the Rules. If the currency contract is subject to the requirement to obtain an accounting number, a copy of the currency contract with a mark on the assignment of the accounting number, or a copy of the registration certificate, or a copy of the notification certificate shall be submitted. Purchase by authorized organizations of non-cash foreign currency for national currency from an authorized bank shall be carried out on the basis of a valid license for exchange operations with cash foreign currency and a valid appendix (valid appendices) thereto."; to supplement with paragraph 20-1 as follows:
"20-1. When a resident legal entity (except an authorized bank) purchases non-cash foreign currency for the purposes of paying net income or part thereof distributed by this resident legal entity among its shareholders, founders, participants, submission to the authorized bank of the instruction provided for by paragraph 20 of the Rules is not required. When a resident legal entity (except an authorized bank) purchases, in accordance with paragraph 20 of the Rules, non-cash foreign currency for the purposes of repaying obligations in foreign currency to a non-resident of the Republic of Kazakhstan under external loans received, the amount of the currency contract for which exceeds one hundred million US dollars in equivalent, and bonds issued in foreign currency, the nominal amount under the prospectus of which exceeds one hundred million US dollars in equivalent, and for which the fulfillment of obligations occurs within ninety calendar days from the day of purchase of non-cash foreign currency, the resident legal entity shall attach an application for opening a separate bank account in the corresponding foreign currency, an instruction to the authorized bank to credit the purchased non-cash foreign currency to a separate bank account in foreign currency, an instruction to the authorized bank, in case of its non-use within ninety calendar days from the day of purchase for the declared purposes, to sell this currency for national currency within the following three working days, as well as documents confirming the amount and terms of fulfillment of obligations (loan agreement and payment schedule, other documents). The authorized bank shall credit the non-cash foreign currency purchased by the resident legal entity to a separate bank account and ensure its use by the resident legal entity exclusively for the declared purposes."; paragraphs 21, 22 and 23 shall be stated in the following wording:
"21. When executing an application of a resident legal entity (except an authorized bank) for the purchase of non-cash foreign currency for national currency for an amount exceeding fifty thousand US dollars in equivalent, the authorized bank shall verify the purposes of purchase and the amount of foreign currency specified in the application with the currency contract and invoice or other payment document confirming the purpose and amount of purchase of non-cash foreign currency, as well as with available information on previously made purchases of non-cash foreign currency for national currency on the basis of this currency contract in accordance with the Rules. Exceeding the total amount of purchases of non-cash foreign currency for national currency under a currency contract over the amount of the currency contract is not allowed. The total amount of purchases of non-cash foreign currency for national currency under a currency contract shall be calculated on the basis of applications of the resident legal entity and (or) information from other authorized banks on purchases of foreign currency made within the framework of this currency contract.
22. It is allowed to use non-cash foreign currency acquired in accordance with paragraphs 19 and 20 of the Rules for purposes related to the fulfillment of obligations in foreign currency under another currency contract, except for cases provided for by paragraph 20-1 of the Rules, upon submission by the resident legal entity (except an authorized bank) to the authorized bank of an additional application executed in accordance with part one of paragraph 20 of the Rules to the previously executed application according to which non-cash foreign currency was acquired.
When a resident legal entity (except an authorized bank) transfers previously acquired non-cash foreign currency in accordance with paragraph 20 of the Rules to its own account in another authorized bank for the purpose of fulfilling obligations in foreign currency under a currency contract, the authorized bank, simultaneously with the transfer of money, shall send to the other authorized bank information on the previously acquired non-cash foreign currency in accordance with paragraph 20 of the Rules for further currency control.
23. The authorized bank shall refuse to execute an application of a resident legal entity (except an authorized bank) for the purchase of non-cash foreign currency for national currency executed not in accordance with paragraphs 19, 20, 20-1 and 22 of the Rules, as well as if:
the amount of purchases of non-cash foreign currency for national currency under one currency contract, calculated on the basis of applications of the resident legal entity and (or) information from other authorized banks on purchases of foreign currency made, exceeds the amount of such currency contract and invoice or other payment document; the amount of purchases of non-cash foreign currency for national currency by one resident legal entity through one authorized bank on one working day for purposes not related to the fulfillment of obligations in foreign currency, calculated on the basis of applications of the resident legal entity, exceeds fifty thousand US dollars in equivalent.";
Annex 1 shall be stated in the wording according to Annex 1 to the List of certain resolutions of the Board of the National Bank of the Republic of Kazakhstan to which amendments and additions are made on currency operations in the Republic of Kazakhstan and reporting by insurance (reinsurance) organizations (hereinafter - the List);
Annex 2 shall be stated in the wording according to Annex 2 to the List.
2. To introduce into the resolution of the Board of the National Bank of the Republic of Kazakhstan dated 10 April 2019 No. 64 "On approval of the Rules for Monitoring Currency Operations in the Republic of Kazakhstan" (registered in the Register of State Registration of Normative Legal Acts under No. 18544, published on 25 April 2019 in the Reference Control Bank of Normative Legal Acts of the Republic of Kazakhstan) the following amendments:
part one of paragraph 34 shall be stated in the following wording:
"34. The authorized bank shall monthly, by the 18th (eighteenth) day (inclusive) of the month following the reporting period, submit to the central office of the National Bank a report on currency operations conducted in the form according to Annex 9 to the Rules, including, among other things, currency operations conducted on behalf of the client, the amount of which is equal to or exceeds 50,000 (fifty thousand) US dollars in equivalent, as well as information on the purchase and sale of foreign currency on behalf of the client regardless of the amount.";
Annex 9 shall be stated in the wording according to Annex 3 to the List.
3. To introduce into the resolution of the Board of the National Bank of the Republic of Kazakhstan dated 28 November 2019 No. 223 "On approval of the list, forms, deadlines for submission of reporting on the fulfillment of prudential standards by an insurance (reinsurance) organization, insurance group and Islamic insurance (reinsurance) organization and the Rules for its submission" (registered in the Register of State Registration of Normative Legal Acts under No. 19701, published on 11 December 2019 in the Reference Control Bank of Normative Legal Acts of the Republic of Kazakhstan) the following amendment:
table 2 of Annex 2 shall be stated in the wording according to Annex 4 to the List.
4. To introduce into the resolution of the Board of the National Bank of the Republic of Kazakhstan dated 31 December 2019 No. 275 "On approval of the list, forms, deadlines for submission of reporting by an insurance (reinsurance) organization and an insurance broker and the Rules for its submission" (registered in the Register of State Registration of Normative Legal Acts under No. 19927, published on 29 January 2020 in the Reference Control Bank of Normative Legal Acts of the Republic of Kazakhstan) the following amendment:
Annex 22 shall be stated in the wording according to Annex 5 to the List.

Annex 1
to the List of certain resolutions of the Board of the National Bank of the Republic of Kazakhstan to which amendments and additions are made on currency operations in the Republic of Kazakhstan and reporting by insurance (reinsurance) organizations

Annex 1
to the resolution of the Board of the National Bank of the Republic of Kazakhstan dated 30 March 2019 No. 40

Form

Form intended for the collection of administrative data

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

Card on violation No. _______

Index of the form of administrative data: KN1
Periodicity: monthly
Reporting period: for ______ month ______ year Circle of persons submitting information: authorized bank Deadline for submission: monthly, by the last day of the month following the reporting month

Line code	Type of information	Information on violation
10	Information on the bank's client:
11	name (for legal entities or branches (representative offices) of legal entities), full name (for individuals)
12	BIN (for legal entities or branches (representative offices) of legal entities)
13	IIN (for individuals)
14	client attribute:
	1 - legal entity, 2 - individual, 3 - branch (representative office) of a legal entity
15	place of permanent residence (location)
16	region code
20	Information on currency operation:
21	date
22	amount
23	currency
30	Information on violation:
31	type
32	description of violation
33	number of currency contract (indicated without spaces)
34	date of currency contract (in DD/MM/YYYY format)
35	accounting number (if available)
36	other information on currency contract (if available)
37	additional information on violation

Name______ Address______
Telephone______
Email address______
Executor ______ ______ last name, first name and patronymic (if available) signature, telephone Head or person performing his duties ______ ______ last name, first name and patronymic (if available) signature, telephone

Date "____" ______ 20__ year

Annex to the form
"Card on violation"

Explanation on filling out the form of administrative data Card on violation (index - KN1, periodicity - monthly)

Chapter 1. General provisions

1. This explanation defines the requirements for filling out the form intended for the collection of administrative data "Card on violation" (hereinafter - the Form).
2. The Form is developed in accordance with paragraph 6 of Article 5 of the Law of the Republic of Kazakhstan dated 2 July 2018 "On Currency Regulation and Currency Control".

Chapter 2. Filling out the Form

3. Information is submitted in the cases specified in paragraph 8 of the Rules.
4. In the line with code 11, the last name, first name, patronymic (if available) of the individual or the name of the legal entity or branch (representative office) of the legal entity shall be indicated.
5. In the line with code 16, the first 2 digits of the region code shall be indicated according to the state classifier of the Republic of Kazakhstan GK RK 11-2009 "Classifier of administrative-territorial objects".
6. Lines with codes 21, 22, 23 are not filled out for cases of violation of deadlines for submission of documents or information.
7. In the line with code 21, the date of the currency operation conducted in violation of currency legislation shall be indicated.
8. In the line with code 22, the amount of the currency operation conducted in violation of currency legislation shall be indicated in thousands of units of the operation currency.
9. In the line with code 23, the letter designation of the currency code for the currency operation conducted in violation of currency legislation shall be indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217-2012 "Codes for the representation of currencies and funds".
10. In the line with code 31, the type of violation shall be indicated in text and (or) numeric format.
11. In the line with code 32, a brief description of the violation in text format shall be provided.
12. Lines with codes 34, 35, 36 are filled out if there is a currency contract for the currency operation conducted in violation of currency legislation.

Annex 2
to the List of certain resolutions of the Board of the National Bank of the Republic of Kazakhstan to which amendments and additions are made on currency operations in the Republic of Kazakhstan and reporting by insurance (reinsurance) organizations

Annex 2
to the resolution of the Board of the National Bank of the Republic of Kazakhstan dated 30 March 2019 No. 40

Form

Information on currency operation

Code of authorized bank ______
Number of payment document ______
Date ______

Line code	Type of information	Information
01	Currency operation code
02	Attribute of payment (transfer of money) ("1" - intracorporate transfer of money; "0" - other payment (transfer of money))
10	Information on the sender and beneficiary of the payment and (or) transfer of money specified in the payment document
11	Country code of residence of the sender
12	Country code of residence of the beneficiary
20	Information on currency contract:
21	Number (name, if available) of the contract
22	Date of contract
23	Accounting number of contract (if available)
24	Other information on currency contract (if available)
30	Information on the sender of money under the currency contract (filled out in case of mismatch with the sender of money specified in the payment document)
31	Attribute of residence
32	Last name, first name, patronymic (if available) of the individual Name of the legal entity, its branch (representative office)
33	IIN or BIN (if available)
34	Code of the sector of the economy
35	Country code of residence
40	Information on the recipient of money under the currency contract (filled out in case of mismatch with the beneficiary specified in the payment document)
41	Attribute of residence
42	Last name, first name, patronymic (if available) of the individual Name of the legal entity, its branch (representative office)
43	IIN or BIN (if available)
44	Code of the sector of the economy
45	Country code of residence

Annex to the form
"Information on currency operation"

Explanation on filling out the form "Information on currency operation"

Chapter 1. General provisions

1. This explanation (hereinafter - the Explanation) defines the requirements for filling out the form "Information on currency operation" (hereinafter - the Form).
2. The Form is developed in accordance with paragraph 6 of Article 5 of the Law of the Republic of Kazakhstan dated 2 July 2018 "On Currency Regulation and Currency Control".
3. The Form is filled out as an annex to the corresponding payment document.

Chapter 2. Filling out the Form

4. Lines 01, 02, 11, 12 are filled out by resident and non-resident clients. Lines 21, 22, 23, 24, 31, 32, 33, 34, 35, 41, 42, 43, 44, 45 are filled out only by residents.
5. Line 01 is filled out in accordance with the table of currency operation codes, which is an annex to the Explanation.
6. In lines 11, 12, 35, 45, the two-digit country code of residence shall be indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 06 ISO 3166-1-2016 "Codes for the representation of names of countries and their administrative-territorial subdivisions. Part 1. Country codes".
   Country of residence - the country of registration of a legal entity, structural subdivision of a legal entity or the country of permanent residence of an individual (based on citizenship or a right granted in accordance with the legislation of the Republic of Kazakhstan or a foreign state).
7. Lines 31, 34, 41, 44 are filled out in accordance with the Rules for the application of codes of sectors of the economy and purposes of payments approved by the resolution of the Board of the National Bank of the Republic of Kazakhstan dated 31 August 2016 No. 203 "On approval of the Rules for the application of codes of sectors of the economy and purposes of payments", registered in the Register of State Registration of Normative Legal Acts under No. 14365.

Annex to the explanation
on filling out the form
"Information on currency operation"

Table

Currency operation codes

Currency	transaction codes	Name of operations
1. Operations using bank accounts
11. Foreign trade operations (goods, works, services), including under commission agreements and acquisition/redemption of electronic money
11.1 payments for goods:
1111	payments for goods imported into the territory of the Republic of Kazakhstan
1112	payments for goods exported from the territory of the Republic of Kazakhstan
1113	payments for goods purchased or sold in the territory of the Republic of Kazakhstan and without their export outside the Republic of
	Kazakhstan
1114	payments for goods purchased or sold outside the Republic of Kazakhstan and without their import into the territory of the Republic of
	Kazakhstan
11.2 payments for works and services:
1121	payments for works or services performed or rendered by a non-resident to a resident
1122	payments for works or services performed or rendered by a resident to a non-resident
1123	payments for works or services rendered by a resident to a resident.
1124	payments for works or services performed or rendered by a non-resident to a non-resident
11.3 operations with electronic money
1131	operations with electronic money whose issuer is a resident
1132	operations with electronic money whose issuer is a non-resident
11.4 other payments:
1141	accompanying payments under contracts for the supply of goods, performance of works, rendering of services
1142	refund of erroneously transferred amounts, as well as payment for goods not supplied, services not rendered, works not performed
1143	other payments under contracts for the supply of goods, performance of works, rendering of services
12. Operations with immovable property, other equipment and vehicles (except purchase or sale), non-produced non-financial
assets, intellectual property objects, intangible assets
12.1. acquisition of ownership right, including shared participation in housing construction, fully exclusive right to intellectual
property objects
1211	acquisition of ownership right to immovable property, except for property equated to immovable property, non-produced
	non-financial assets (land, its subsoil)
1212	acquisition of ownership right to property equated to immovable property
1213	acquisition of fully exclusive right to intellectual property objects
1214	acquisition of ownership right to other intangible assets
12.2. current lease (including subsoil use right), partial acquisition of exclusive right
1221	lease of immovable property, except for property equated to immovable property, non-produced non-financial assets (land, its
	subsoil)
1222	lease of property equated to immovable property
1223	lease of equipment and vehicles
1224	acquisition of partially exclusive right to intellectual property objects
1225	license and other payments for the use of other intangible assets
12.3. financial leasing or lease with subsequent purchase
1231	lease of immovable property, except for property equated to immovable property, with subsequent purchase
1232	financial leasing of property equated to immovable property
1233	financial leasing of equipment and vehicles
12.4. other payments
1241	other payments: accompanying payments (fines, penalties, forfeits, commissions), refund of erroneously transferred amounts and other payments
	for operations with immovable property, other equipment and vehicles (except purchase or sale),
	non-produced non-financial assets, intellectual property objects, intangible assets
13. Operations with financial instruments
13.1. loans, equity participation instruments, securities, derivative financial instruments
1311	payments on financial instruments: loans (issuance and repayment), equity participation instruments (formation of charter
	capital, purchase, sale), securities (purchase, sale, redemption) and payment of income on them (remuneration, dividends,
	distributed profit)
1312	payments on derivative financial instruments and payment of income on them
13.2. within brokerage service agreements, portfolio investment management (if it is impossible to determine the financial instrument)
1321	operations under agreements concluded with a broker, management company - resident
1322	operations under agreements concluded with a broker, management company, investment bank - non-resident
13.3. trust management of property, trusts
1331	operations under agreements concluded with a trust manager - resident
1332	operations under agreements concluded with a trust manager - non-resident
13.4. fulfillment of obligations of a participant in joint activity (except for operations included in sections 1, 2)
1341	operations under agreements providing for joint activity in the territory of the Republic of Kazakhstan
1342	operations under agreements providing for joint activity outside the Republic of Kazakhstan
13.5. other payments
1351	other payments: accompanying payments (fines, penalties, forfeits, commissions), refund of erroneously transferred amounts and other payments
	for operations with financial instruments, electronic money, under brokerage service agreements, portfolio investment
	management, trust management, trust, joint activity
14. Payments and (or) transfers of money on own accounts and non-trade operations
14.1. on own accounts
1411	transfer of money to own account (from own account) in another resident bank
1412	transfer of money from (to) own account in a foreign bank
1413	withdrawal of cash foreign currency from an account in a resident bank
1414	deposit of cash foreign currency to replenish an account in a resident bank
1415	purchase by the bank of foreign currency from a client for national currency, except for the operation provided for by code 1419
1416	sale by the bank of foreign currency to a client for national currency
1417	purchase (sale) by the bank of foreign currency from a client (to a client) for another foreign currency
1418	purchase/sale of other currency valuables
1419	sale by a client of previously purchased and unused foreign currency within the established timeframes
14.2. payments and (or) transfers of money in favor of third parties (state bodies, other organizations or individuals)
1421	gratuitous transfers of money, gratuitous financial assistance, membership fees and other payments and (or) transfers of money in favor
	of third parties
1422	deposit of cash foreign currency to replenish the account of a third party in a resident bank
1423	payments using a payment card (if the operation is not otherwise classified)
1424	payment of duties, taxes, fines, court decisions and the like
1425	payment of pensions, wages, travel expenses
1426	remuneration and commissions on bank accounts
14.3. accompanying payments
1431	other payments: accompanying payments (fines, penalties, forfeits, commissions), refund of erroneously transferred amounts and other operations
	not included in sections 14.1, 14.2
2. Operations without the use of bank accounts
21. Purchase of currency valuables from clients (except cash foreign currency)
2101	purchase of checks, bills of exchange, other payment documents
2102	purchase of measured bars of refined gold and other currency valuables
22. Sale of currency valuables to clients (except cash foreign currency)
2201	sale of checks, bills of exchange, other payment documents
2202	sale of measured bars of refined gold and other currency valuables
23. Payments and (or) transfers of money without opening an account
2301	payment and (or) transfer of money in the territory of the Republic of Kazakhstan
2302	payment and (or) transfer of money sent outside the Republic of Kazakhstan or received from abroad

Appendix 3
to the List of certain resolutions of the Board of the National Bank of the Republic of Kazakhstan to which amendments and additions are made on issues of carrying out currency operations in the Republic of Kazakhstan and reporting by insurance (reinsurance) organizations

Appendix 9
to the resolution of the Board of the National Bank of the Republic of Kazakhstan of 10 April 2019 No. 64

Form

Form intended for the collection of administrative data

Submitted to: the central office of the National Bank of the Republic of Kazakhstan Form of administrative data is posted on the official Internet resource: www.nationalbank.kz

Report on carried out currency operations

Index of the form of administrative data: PR-9 Frequency: monthly Reporting period: _______ month ____ year Circle of persons submitting information: authorized bank Deadline for submission: by the 18th (eighteenth) day (inclusive) of the month following the reporting period Business identification number (hereinafter - BIN) of the authorized bank ______

1. Details of the currency agreement
Currency agreement number	Currency agreement date	Currency agreement accounting number
1.1	1.2	1.3

continuation of the table

2. Sender of money under the payment document
Name or surname, first name, patronymic	BIN, individual identification number	Country code	Residency attribute	Economic sector code
(if any)	(hereinafter - IIN)
2.1	2.2	2.3	2.4	2.5

continuation of the table

3. Beneficiary under the payment document
Name or surname, first name, patronymic (if any)	BIN, IIN	Country code	Residency attribute	Economic sector code
3.1	3.2	3.3	3.4	3.5

continuation of the table

4. Information about the currency operation
Date	Currency operation code	Payment purpose code (PPC)	Amount in thousands of currency units	Currency code	Payment attribute	Intra-corporate money transfer attribute	Attribute of operation related to withdrawal of money
4.1	4.2	4.3	4.4	4.5	4.6	4.7	4.8

continuation of the table

5. Information about the organization (bank) of the counterparty to the currency operation
Identification code of the organization (bank) (BIC)	Name	Country code
5.1	5.2	5.3

continuation of the table

6. Sender of money under the currency agreement
Name or surname, first name, patronymic (if any)	BIN, IIN	Country code	Residency attribute	Economic sector code
6.1	6.2	6.3	6.4	6.5

continuation of the table

7. Recipient of money under the currency agreement
Name or surname, first name, patronymic (if any)	BIN, IIN	Country code	Residency attribute	Economic sector code
7.1	7.2	7.3	7.4	7.5

continuation of the table

8. Note

Name ______ Address______
Telephone ______
Email address ______
Executor ______ ______ surname, first name, patronymic (if any) signature, telephone Head or person acting as head ______ ______ surname, first name, patronymic (if any) signature, telephone Date “_” ______ 20 year

Appendix to the form
“Report on carried out currency operations”

Explanation on filling out the form of administrative data Report on carried out currency operations (index - PR - 9, frequency - monthly)

Chapter 1. General provisions

1. This explanation defines uniform requirements for filling out the form intended for the collection of administrative data, “Report on carried out currency operations” (hereinafter - the Form).
2. The Form is developed in accordance with paragraph 6 of Article 5 of the Law of the Republic of Kazakhstan of 2 July 2018 “On Currency Regulation and Currency Control” (hereinafter - the Law on Currency Regulation and Currency Control).
3. The Form is submitted by an authorized bank monthly and includes information on currency operations carried out by it, including currency operations on behalf of a client, the amount of which is equal to or exceeds 50,000 (fifty thousand) US dollars in equivalent, as well as information on the purchase and sale of foreign currency on behalf of a client regardless of the amount.
4. The head or chief accountant and the executor sign the Form indicating surname, first name, patronymic (if any).

Chapter 2. Filling out the Form

5. The Form includes information on currency operations for the reporting period for an amount equal to or exceeding 50,000 (fifty thousand) US dollars in equivalent, except for currency operations for the purchase and sale of foreign currency on behalf of a client, which are included in the report regardless of the amount.
6. The Form does not include information on currency operations of participants of the Astana International Financial Center carried out in its territory, as well as on the purchase (sale) of cash foreign currency through exchange offices.
7. Currency operations are reflected in the Form:
   for payments and (or) transfers of money on client instructions (including those carried out using payment cards) - on the date of crediting money to the client's bank account in the authorized bank (debiting money from the client's bank account in the authorized bank); for own payments and (or) transfers of money of the authorized bank - on the date of crediting money to the correspondent account of the authorized bank (debiting money from the correspondent account of the authorized bank); for other currency operations - on the date of the operation. Information on payments and (or) transfers of money on currency operations carried out using payment cards is corrected by the authorized bank as information on such payments and (or) transfers of money is received from a resident or non-resident.
8. Parts 1, 6 and 7 of the Form are filled out in the case of carrying out currency operations on the basis of a currency agreement.
9. Part 1 of the Form indicates the details of the currency agreement. Column 1.3 is filled out if the currency agreement has been assigned an accounting number.
10. Parts 2 and 3 of the Form indicate information about the sender of money and the beneficiary in accordance with the payment document.
    Columns 2.3, 3.3 indicate the two-letter code of the country of registration (for a legal entity, branch (representative office) of a legal entity) or the country of permanent residence (for an individual on the basis of citizenship or a right granted in accordance with the legislation of the Republic of Kazakhstan or a foreign state) of the sender of money, beneficiary in accordance with the national classifier of the Republic of Kazakhstan NC RK 06 ISO 3166-1-2016 “Codes for the representation of names of countries and units of their administrative-territorial subdivisions. Part 1. Country codes”. Columns 2.4, 2.5, 3.4, 3.5 are filled out in accordance with the Rules for the application of codes of economic sectors and payment purposes, approved by resolution of the Board of the National Bank of the Republic of Kazakhstan of 31 August 2016 No. 203 “On approval of the Rules for the application of codes of economic sectors and payment purposes”, registered in the Register of state registration of normative legal acts under No. 14365, (hereinafter - the Rules for the application of codes of economic sectors and payment purposes). When depositing (withdrawing) cash to (from) a bank account, parts 2 and 3 are filled with information about the account holder, except for cases of depositing cash by a third party to a bank account of an individual. When depositing cash by a third party to a bank account of an individual, part 2 is filled with information about the person depositing the money, part 3 - about the account holder. When an authorized bank sells foreign currency, checks, bills of exchange, other payment documents or other currency valuables, part 2 of the Form reflects information about the authorized bank, part 3 of the Form - about the client-buyer. When an authorized bank purchases foreign currency, checks, bills of exchange, other payment documents or other currency valuables, part 2 of the Form reflects information about the client-seller, part 3 of the Form - about the authorized bank.
11. Part 4 of the Form indicates information about the currency operation.
    Column 4.2 is filled out in accordance with Appendix 2 to the Rules for Carrying Out Currency Operations in the Republic of Kazakhstan, approved by resolution of the Board of the National Bank of the Republic of Kazakhstan of 30 March 2019 No. 40 “On approval of the Rules for Carrying Out Currency Operations in the Republic of Kazakhstan”, registered in the Register of state registration of normative legal acts under No. 18512. Column 4.3 is filled out in accordance with the Rules for the application of codes of economic sectors and payment purposes. Column 4.5 indicates the three-letter currency code in accordance with the national classifier of the Republic of Kazakhstan NC RK 07 ISO 4217-2012 “Codes for the representation of currencies and funds”. Column 4.6 indicates “01” - for sent payments or transfers of money, operations for withdrawing cash foreign currency or selling by an authorized bank of foreign currency, checks, bills of exchange, other payment documents or other currency valuables, “02” - for incoming payments or transfers of money, operations for crediting cash foreign currency or purchasing by an authorized bank of foreign currency, checks, bills of exchange, other payment documents or other currency valuables. Column 4.7 indicates “1” if the payment and (or) transfer of money is carried out between a legal entity and its structural subdivisions or between structural subdivisions of one legal entity; in other cases “0” is indicated. Column 4.8 is filled out in accordance with paragraph 2 of Article 21 of the Law on Currency Regulation and Currency Control as follows:
    “1” - a financial loan providing for the provision by a non-resident of money to a resident (except for an authorized bank), if the terms of the relevant currency agreement do not provide for the transfer of money to be received from the non-resident to the bank accounts of the resident in authorized banks; “2” - a financial loan providing for the occurrence of a resident's (except for an authorized bank) claims against a non-resident for the return of money, if the terms of the relevant currency agreement do not provide for the transfer of money to be received from the non-resident to the bank accounts of the resident in authorized banks; “3” - a financial loan providing for the provision by a resident of money to a non-resident who is not an affiliated person for a period exceeding 720 (seven hundred and twenty) days without payment of remuneration for the use of the subject of the financial loan; “4” - export operations, if the terms of the relevant currency agreement provide that the deadline for the non-resident to fulfill obligations to pay for exports exceeds 720 (seven hundred and twenty) days from the date of fulfillment of obligations by the resident; “5” - import payment operations, if the terms of the relevant currency agreement provide that the deadline for the non-resident to fulfill obligations to return money (advance payment or full prepayment) in case of non-fulfillment by the non-resident of its import obligations exceeds 720 (seven hundred and twenty) days from the date of fulfillment of obligations by the resident; “0” - in other cases. For attribute “5”, the deadline for fulfillment of obligations means the deadline for fulfillment by the non-resident of obligations to return money (advance payment or full prepayment) in case of non-delivery of goods (non-rendering of services, non-performance of works). If the terms of the currency agreement do not provide for a separate deadline for the return of money in case of non-delivery of goods (non-rendering of services, non-performance of works), then the deadline for fulfillment of obligations means the deadline for delivery of goods (rendering of services, performance of works).
12. Part 5 of the Form indicates information about the organization (bank) of the counterparty to the currency operation - the organization (bank) of the sender of money for received payments and (or) transfers of money, the organization (bank) of the beneficiary for sent payments and (or) transfers of money. For intra-bank currency operations, information about the reporting authorized bank is indicated. In the absence in the documents on the basis of which the payment and (or) transfer of money is carried out of information about the organization (bank) of the sender of money, part 5 is not filled out.
    Column 5.3 indicates the two-letter country code of the organization (bank) of the sender of money or beneficiary in accordance with the national classifier of the Republic of Kazakhstan NC RK 06 ISO 3166-1-2016 “Codes for the representation of names of countries and units of their administrative-territorial subdivisions. Part 1. Country codes”. For intra-bank currency operations, code “KZ” is indicated.
13. Parts 6 and 7 of the Form indicate information about the sender of money or recipient of money under the currency agreement. If the sender (recipient) of money under the currency agreement coincides with the sender of money (beneficiary) under the payment document, then part 6 (7) is filled with information similar to part 2 (3) of the Form.
    Columns 6.3 and 7.3 indicate the two-letter code of the country of registration (for a legal entity, branch (representative office) of a legal entity) or the country of permanent residence (for an individual on the basis of citizenship or a right granted in accordance with the legislation of the Republic of Kazakhstan or a foreign state) of the sender or recipient of money under the currency agreement in accordance with the national classifier of the Republic of Kazakhstan NC RK 06 ISO 3166-1-2016 “Codes for the representation of names of countries and units of their administrative-territorial subdivisions. Part 1. Country codes”. Columns 6.4, 6.5, 7.4, 7.5 are filled out in accordance with the Rules for the application of codes of economic sectors and payment purposes.
14. Part 8 of the Form indicates additional information not included in parts 1, 2, 3, 4, 5, 6 and 7 of the Form: information about the investment object, issuer of securities, country of the immovable property object, special payment terms, date of crediting money to the custody account of the sender's instructions under currency legislation.
15. The absence of clarifying information in part 8 of the Form is not a violation. Inclusion in the Form of currency operations for an amount less than the established threshold value is not a violation.
16. In the absence of information for the reporting period, the Form is submitted with zero values.
17. Adjustments (changes, additions) to the Form are made within 6 (six) months after the deadline for submission established by paragraph 34 of the Rules for Monitoring Currency Operations in the Republic of Kazakhstan.

Appendix 4
to the List of certain resolutions of the Board of the National Bank of the Republic of Kazakhstan to which amendments and additions are made on issues of carrying out currency operations in the Republic of Kazakhstan and reporting by insurance (reinsurance) organizations

Table 2. Amount of increase in the minimum solvency margin of an insurance (reinsurance) organization

(in thousands of tenge)

Name of reinsurance	Rating of the reinsurer on the international	Volume of obligations ceded (being ceded) to	Percentage of the volume of obligations ceded	Amount of increase in the minimum
organization	or national scale (solvency margin adequacy ratio)	reinsurance under existing reinsurance contracts, total	(being ceded) to reinsurance under existing reinsurance contracts	solvency margin (column 3 x column 4)
1	2	3	4	5
Reinsurance contracts concluded with reinsurers that are non-residents of the Republic of Kazakhstan, except reinsurers of the member states of the Treaty on the Eurasian Economic Union, ratified by the Law of the Republic
of Kazakhstan of 14 October 2014 "On Ratification of the Treaty on the Eurasian Economic Union" (hereinafter - the EAEU Treaty)
Group 1	"AA-" or higher		0%
Group 2	from "A+" to "A-"		0%
Group 3	from "BBB+" to "BBB-"		0.2%
Group 4	from "BB+" to "BB-"		0.75%
Group 5	from "B+" to "B-"		3.8%
Group 6	below "B-" or absent		22%
Reinsurance contracts concluded with reinsurers that are residents of the Republic of Kazakhstan
Group 7	not lower than "B" or "kzBB"		0%
Group 8	"B-", "kzBB-", "kzB+"		0.2%
Group 9	> 1.75		0.05%
Group 10	> 1.5		0.1%
Group 11	> 1.25		0.2%
Group 12	> 1.1		0.5%
Group 13	>= 1.0		3.8%
Group 14	1.0		5%
Reinsurance contracts concluded with reinsurers that are residents - participants of the AIFC
…
Reinsurance contracts concluded with reinsurers of the member states of the EAEU Treaty
Group 15	from "BBB+" to "BBB-"		0%
Group 16	from "BB+" to "BB-"		0.2%
Group 17	from "B+" to "B-"		0.5%
Group 18	below "B-" or absent		22%
Total:	xxx		xxx

Appendix 5
to the List of certain resolutions of the Board of the National Bank of the Republic of Kazakhstan to which amendments and additions are made on issues of conducting currency operations in the Republic of Kazakhstan and submission of reports by insurance (reinsurance) organizations

Appendix 22
to the resolution of the Board of the National Bank of the Republic of Kazakhstan of 31 December 2019 No. 275

Form

Form intended for the collection of administrative data

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

Report on reinsurance activity

Index of the form of administrative data: 22 - I(R)O_M Periodicity: monthly Reporting period: as of "___"____20 Circle of persons submitting: insurance (reinsurance) organization, Islamic insurance (reinsurance) organization

Form
Table "Reinsurance activity"

No.	Name of the reinsurance organization	Parent company	Rating	Name of the rating	Location (country) of the reinsurance	Name of the insurance
				agency	organization	broker
					name	country code
1	2	3	4	5	6	7	8
1	Insurance (reinsurance) organizations that are non-residents
1.1
…
2	Insurance (reinsurance) organizations that are residents
2.1
…
3	Insurance (reinsurance) organizations that are residents -
	participants of the AIFC
3.1
…
4	Total

continuation of the table:

Location (country) of the insurance broker	Name of the foreign	Volume of obligations ceded to	Volume of obligations ceded to reinsurance under	Insurance premiums ceded to the reinsurance
- non-resident	currency (in thousands of currency units)	reinsurance (for the period from the beginning of the current	existing insurance (reinsurance) contracts,	organization (for the period from the beginning of the current
		year), in thousands of tenge	in thousands of tenge	year), in thousands of tenge
name	country code
9	10	11	12	13	14
…

continuation of the table:

Insurance premiums ceded to the reinsurance	Insurance premiums ceded to the reinsurance	Compensation for risks received under	Insurance premiums accepted under reinsurance	Insurance payments under contracts accepted
organization (for the period from the beginning of the current	organization under existing insurance (reinsurance) contracts,	reinsurance contracts (for the period from the	contracts (for the period from the beginning of the	for reinsurance (for the period from the beginning of the
year), in thousands of foreign currency	in thousands of tenge	beginning of the current year), in thousands of tenge	current year), in thousands of tenge	current year), in thousands of tenge
15	16	17	18	19
…

continuation of the table:

Type of reinsurance (facultative/obligatory)	Form of reinsurance (proportional/non-proportional)	Name of the class of insurance
20	21	22
…

Name ______
Address______
Telephone______
Email address______
Executor______ ______ surname, name and patronymic (if any) signature, telephone Chief accountant or person authorized to sign the report ______ ______ surname, name and patronymic (if any) signature, telephone First head or person authorized by him to sign the report ______ ______ surname, name and patronymic (if any) signature, telephone Date "____" ______ 20__

Appendix
to the form of the report on reinsurance activity

Explanation on completing the form of administrative data Report on reinsurance activity (index - 22 - I(R)O_M, periodicity - monthly)

Chapter 1. General provisions

1. This explanation (hereinafter - the Explanation) defines uniform requirements for completing the form intended for the collection of administrative data "Report on reinsurance activity" (hereinafter - the Form).
2. The Form is developed in accordance with paragraph 2 of Article 74 of the Law of the Republic of Kazakhstan of 18 December 2000 "On Insurance Activity".
3. The Form is compiled monthly by an insurance (reinsurance) organization, an Islamic insurance (reinsurance) organization as of the end of the reporting period. Data in the Form are filled in in thousands of tenge. An amount of less than 500 (five hundred) tenge is rounded to 0 (zero), and an amount equal to 500 (five hundred) tenge and above is rounded to 1000 (one thousand) tenge.
4. The Form is signed by the first head, chief accountant or persons replacing them, and the executor.

Chapter 2. Explanation on completing the Form

5. Column 2 indicates the full name of the insurance (reinsurance) organization (without the use of abbreviations and contractions).
6. Columns 3 and 8 indicate the full name (without the use of abbreviations and contractions).
7. Column 4 indicates the rating assigned by one of the rating agencies in accordance with the resolution of the Board of the National Bank of the Republic of Kazakhstan of 24 December 2012 No. 385 "On establishing the minimum rating for legal entities and countries, the necessity 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 Register of state registration of normative legal acts under No. 8318. In the absence of a rating, column 4 indicates "no rating".
8. Column 11 indicates the name of the type of foreign currency.
9. The volume of obligations in column 12 is indicated under reinsurance contracts concluded for the period from the beginning of the reporting period.
10. The amount of obligations ceded to reinsurance under existing insurance (reinsurance) contracts to residents of the Republic of Kazakhstan, in the line "Insurance (reinsurance) organizations that are residents" of column 13 corresponds to the total amount of column 9 of the report on the volume of obligations, with the exception of the amount of the volume of obligations under the class of annuity insurance.
11. The amount of obligations ceded to reinsurance under existing insurance (reinsurance) contracts to non-residents of the Republic of Kazakhstan, in the line "Insurance (reinsurance) organizations that are non-residents" of column 13 corresponds to the total amount of column 10 of the report on the volume of obligations, with the exception of the amount of the volume of obligations under the class of annuity insurance.
12. The total amount of obligations ceded to reinsurance under existing insurance (reinsurance) contracts in column 13 corresponds to the sum of columns 9 and 10 of the report on the volume of obligations, with the exception of the amount of the volume of obligations under the class of annuity insurance.
13. The amount of insurance premiums ceded to residents of the Republic of Kazakhstan, in the line "Insurance (reinsurance) organizations that are residents" of column 14 corresponds to the total amount of column 14 of the report on insurance premiums.
14. The amount of insurance premiums ceded to non-residents of the Republic of Kazakhstan, in the line "Insurance (reinsurance) organizations that are non-residents" of column 14 corresponds to the total amount of column 15 of the report on insurance premiums.
15. The total amount of insurance premiums ceded to the reinsurance organization in column 14 corresponds to the total amount of column 13 of the report on insurance premiums.
16. Column 15 indicates the amount of insurance premiums in foreign currency ceded by the reinsurance organization for the period from the beginning of the reporting period.
17. Column 17 indicates data on compensation for risks received under reinsurance contracts.
18. Column 19 indicates the amounts of insurance payments under contracts accepted for reinsurance.
19. Column 22 indicates the name of the class of insurance. If insurance premiums for different classes of insurance were ceded to one reinsurance organization, the list of classes of insurance is indicated in one line.
20. In the absence of information, the Form is submitted with zero balances.