Resolution of the Board of the National Bank of the Republic of Kazakhstan No. 99 of December 24, 2025 on Amendments to Certain Resolutions of the Board of the National Bank of the Republic of Kazakhstan

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Registered in the Ministry of Justice of the Republic of Kazakhstan on December 25, 2025 under No. 37681


NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN		BOARD OF DIRECTORS RESOLUTION
December 24, 2025 Astana		No. 99 Astana

On Amendments to Certain Resolutions of the Board of the National Bank of the Republic of Kazakhstan

The Board of the National Bank of the Republic of Kazakhstan RESOLVES:

Approve the List of certain Resolutions of the Board of the National Bank of the Republic of Kazakhstan subject to amendments, according to the Appendix to this Resolution.
The Balance of Payments Department of the National Bank of the Republic of Kazakhstan shall, in the manner established by the legislation of the Republic of Kazakhstan, ensure:

1) jointly with the Legal Department of the National Bank of the Republic of Kazakhstan, the state registration of this Resolution in the Ministry of Justice of the Republic of Kazakhstan;

2) publication 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 the state registration of this Resolution, submission to the Legal Department of the National Bank of the Republic of Kazakhstan of information on the implementation of the measure provided for in subparagraph 2) of this paragraph.

Supervision over the implementation of this Resolution shall be entrusted to the Deputy Chairman of the National Bank of the Republic of Kazakhstan in charge.
This Resolution is subject to official publication and shall enter into force on January 1, 2026.


Chairman	T.M. Suleimenov

APPROVED

Bureau of National Statistics

Agency for Strategic Planning and Reforms

of the Republic of Kazakhstan

APPROVED

Ministry of Foreign Affairs

of the Republic of Kazakhstan

APPROVED

Ministry of Finance

of the Republic of Kazakhstan

APPROVED

Ministry of Energy

of the Republic of Kazakhstan

Copy is correct:

Chief Specialist-Secretary of the Board Zh. Mukhambetova


Appendix to the Resolution of the Board of the National Bank of the Republic of Kazakhstan of December 24, 2025 No. 99

List

of certain Resolutions of the Board of the National Bank of the Republic of Kazakhstan subject to amendments

Make the following amendments to the Resolution of the Board of the National Bank of the Republic of Kazakhstan of November 29, 2018 No. 294 "On Approval of the Rules for Monitoring Sources of Demand and Supply in the Domestic Foreign Exchange Market of the Republic of Kazakhstan" (registered in the Registry of State Registration of Normative Legal Acts under No. 18214):

rephrase the preamble as follows:

"In accordance with subparagraph 44) of the second paragraph of part two of paragraph 19 of the Regulation on the National Bank of the Republic of Kazakhstan, approved by the Decree of the President of the Republic of Kazakhstan of December 31, 2003 No. 1271 "On Approval of the Regulation and Structure of 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 RESOLVES:";

in the Rules for Monitoring Sources of Demand and Supply in the Domestic Foreign Exchange Market of the Republic of Kazakhstan, approved by the said Resolution:

rephrase paragraph 1 as follows:

"1. These Rules for Monitoring Sources of Demand and Supply in the Domestic Foreign Exchange Market of the Republic of Kazakhstan (hereinafter - the Rules) are developed in accordance with subparagraph 44) of the second paragraph of part two of paragraph 19 of the Regulation on the National Bank of the Republic of Kazakhstan, approved by the Decree of the President of the Republic of Kazakhstan of December 31, 2003 No. 1271 "On Approval of the Regulation and Structure of the National Bank of the Republic of Kazakhstan", subparagraph 2) of paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics" and determine the procedure for monitoring sources of demand and supply in the domestic foreign exchange market of the Republic of Kazakhstan and the purposes of use of acquired foreign currency, as well as the forms and deadlines for submitting reports for its implementation.";

rephrase the second part of paragraph 7 as follows:

"The report of a professional participant reflects the volumes of purchase and sale of foreign currency by the professional participant and its clients.";

rephrase appendices 1, 2, 3, 4, 5 and 6 in the edition according to appendices 1, 2, 3, 4, 5 and 6 to this List of certain Resolutions of the Board of the National Bank of the Republic of Kazakhstan subject to amendments (hereinafter - the List);"

Make the following amendments to the Resolution of the Board of the National Bank of the Republic of Kazakhstan of March 30, 2019 No. 40 "On Approval of the Rules for Conducting Foreign Exchange Operations in the Republic of Kazakhstan" (registered in the Registry of State Registration of Normative Legal Acts under No. 18512):

rephrase the preamble as follows:

"In accordance with subparagraph 43) of the second paragraph of part two of paragraph 19 of the Regulation on the National Bank of the Republic of Kazakhstan, approved by the Decree of the President of the Republic of Kazakhstan of December 31, 2003 No. 1271 "On Approval of the Regulation and Structure of 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 RESOLVES:";

in the Rules for Conducting Foreign Exchange Operations in the Republic of Kazakhstan, approved by the said Resolution:

rephrase the first part of paragraph 1 as follows:

"1. The Rules for Conducting Foreign Exchange Operations in the Republic of Kazakhstan (hereinafter - the Rules) are developed in accordance with subparagraph 43) of the second paragraph of part two of paragraph 19 of the Regulation on the National Bank of the Republic of Kazakhstan, approved by the Decree of the President of the Republic of Kazakhstan of December 31, 2003 No. 1271 "On Approval of the Regulation and Structure of the National Bank of the Republic of Kazakhstan" (hereinafter - the Regulation on the National Bank) and determine the procedure for residents and non-residents to conduct foreign exchange operations in the Republic of Kazakhstan.";

rephrase the first part of paragraph 2 as follows:

"2. Concepts used in the Rules are applied in the meanings specified in the Law of the Republic of Kazakhstan "On Foreign Exchange Regulation and Foreign Exchange Control" (hereinafter - the Law on Foreign Exchange Regulation and Foreign Exchange Control)";

rephrase the third part of paragraph 5 as follows:

"If amendments and/or additions are made to a foreign exchange contract, on the basis of and/or in execution of which capital movement operations are carried out (hereinafter - foreign exchange contract for capital movement) or payments and/or transfers of money are carried out using an account in a foreign bank, to which an account number has been assigned or a registration certificate or notification certificate has been issued, and which, in accordance with paragraphs 15 and 22 of the Rules for Monitoring Foreign Exchange Operations in the Republic of Kazakhstan, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan of April 10, 2019 No. 64 "On Approval of the Rules for Monitoring Foreign Exchange Operations in the Republic of Kazakhstan" (registered in the Registry of State Registration of Normative Legal Acts under No. 18544) (hereinafter - Rules for Monitoring Foreign Exchange Operations), require obtaining a new account number, it is permitted to carry out a payment and/or transfer of money using the existing account number (number of the registration certificate or notification certificate). At the same time, the authorized bank (its branch) notifies the resident in any form of the need to obtain a new account number.";

rephrase the second part of paragraph 16-3 as follows:

"A client of an authorized bank, being a resident or non-resident conducting foreign exchange operations, upon the request of the authorized bank, submits documents and information necessary for the authorized bank to conduct monitoring and study of the operation in accordance with the requirements of the Law of the Republic of Kazakhstan "On Countering the Legalization (Money Laundering) of Proceeds from Crime, Terrorism Financing and Financing of Proliferation of Weapons of Mass Destruction" (hereinafter - the Law on AML/CFT).";

rephrase paragraph 20-1 as follows:

"20-1. When a resident legal entity (except an authorized bank) purchases non-cash foreign currency for the purpose of paying net income or its part distributed by such resident legal entity among its shareholders, founders, participants, submission to the authorized bank of the instruction provided for in paragraph 20 of the Rules is not required.

When a resident legal entity (except an authorized bank) purchases non-cash foreign currency from an authorized bank (except a professional participant of the securities market that does not have a license of the authorized body to open and maintain bank accounts) in accordance with paragraph 20 of the Rules for the purpose of repaying obligations in foreign currency to a non-resident of the Republic of Kazakhstan under external loans obtained, the amount of which exceeds one hundred million US dollars in equivalent, and bonds issued in foreign currency, the nominal amount of which exceeds one hundred million US dollars in equivalent according to the issue prospectus, and for which the fulfillment of obligations occurs within ninety calendar days from the date of purchase of non-cash foreign currency, the following documents shall be attached to the application(s) for the purchase of non-cash foreign currency by the resident legal entity:

1) an application to open a separate bank account in the corresponding foreign currency;

2) an instruction to credit the purchased non-cash foreign currency to a separate bank account in foreign currency;

3) an instruction to sell this currency for national currency within the next three working days, in case of its non-use within ninety calendar days from the date of purchase for the stated purposes;

4) documents confirming the amount and deadlines for fulfilling obligations (credit agreement and payment schedule, other documents that are mandatory in accordance with the terms of the foreign exchange contract).

The authorized bank (except a professional participant of the securities market that does not have a license of the authorized body to open and maintain bank accounts) credits the non-cash foreign currency purchased by the resident legal entity to a separate bank account and ensures its use by the resident legal entity exclusively for the stated purposes.

When a resident legal entity (except an authorized bank) purchases non-cash foreign currency from a professional participant of the securities market, being an authorized bank and not having a license of the authorized body to open and maintain bank accounts, in accordance with paragraph 20 of the Rules for the purpose of repaying obligations in foreign currency to a non-resident of the Republic of Kazakhstan under external loans obtained, the amount of which exceeds one hundred million US dollars in equivalent, and bonds issued in foreign currency, the nominal amount of which exceeds one hundred million US dollars in equivalent according to the issue prospectus, and for which the fulfillment of obligations occurs within ninety calendar days from the date of purchase of non-cash foreign currency, the following documents shall be attached to the application(s) for the purchase of non-cash foreign currency by the resident legal entity:

1) an application to open a separate personal account (sub-account) in the corresponding foreign currency;

2) an instruction to credit the purchased non-cash foreign currency to a separate personal account (sub-account) in foreign currency;

3) an instruction to sell this currency for national currency within the next three working days, in case of its non-use within ninety calendar days from the date of purchase for the stated purposes;

A professional participant of the securities market, being an authorized bank and not having a license of the authorized body to open and maintain bank accounts, credits the non-cash foreign currency purchased by the resident legal entity to a separate personal account (sub-account) and ensures its use by the resident legal entity exclusively for the stated purposes.";

rephrase appendices 1 and 2 in the edition according to appendices 7 and 8 to the List.

Make the following amendments to the Resolution of the Board of the National Bank of the Republic of Kazakhstan of March 30, 2019 No. 41 "On Approval of the Rules for Submission of Information by Branches (Representative Offices) of Foreign Non-Financial Organizations Carrying Out Activities in the Republic of Kazakhstan" (registered in the Registry of State Registration of Normative Legal Acts on April 12, 2019 under No. 18509):

rephrase the preamble as follows:

"In accordance with subparagraph 45) of the second paragraph of part two of paragraph 19 of the Regulation on the National Bank of the Republic of Kazakhstan, approved by the Decree of the President of the Republic of Kazakhstan of December 31, 2003 No. 1271 "On Approval of the Regulation and Structure of 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 RESOLVES:";

in the Rules for Submission of Information by Branches (Representative Offices) of Foreign Non-Financial Organizations Carrying Out Activities in the Republic of Kazakhstan, approved by the said Resolution:

rephrase paragraph 1 as follows:

"1. These Rules for Submission of Information by Branches (Representative Offices) of Foreign Non-Financial Organizations Carrying Out Activities in the Republic of Kazakhstan (hereinafter - the Rules) are developed in accordance with subparagraph 45) of the second paragraph of part two of paragraph 19 of the Regulation on the National Bank of the Republic of Kazakhstan, approved by the Decree of the President of the Republic of Kazakhstan of December 31, 2003 No. 1271 "On Approval of the Regulation and Structure of the National Bank of the Republic of Kazakhstan" (hereinafter - the Regulation on the National Bank), subparagraph 2) of paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics" and determine the procedure for submission of information by branches (representative offices) of foreign non-financial organizations carrying out activities in the Republic of Kazakhstan for more than one year (hereinafter - branches (representative offices)), including forms and deadlines for submitting reports, as well as types of activities for which branches (representative offices) are required to submit reports.";

rephrase paragraph 2 as follows:

"2. The Rules use concepts and terms applied in the meanings specified in the Law of the Republic of Kazakhstan "On Foreign Exchange Regulation and Foreign Exchange Control".";

rephrase paragraph 7 as follows:

"7. A branch (representative office) included in the list of branches (representative offices) submits the following reports to the territorial branch of the National Bank at its location:

1) a report on projects carried out in the Republic of Kazakhstan according to the form according to Appendix 2 to the Rules - annually by April 5 (inclusive) of the current year;

2) a report on the implementation of projects in the Republic of Kazakhstan according to the form according to Appendix 3 to the Rules - quarterly by the 20th (inclusive) of the first month following the reporting quarter;

3) a report on the movement of money in bank accounts in foreign banks according to the form according to Appendix 4 to the Rules - quarterly by the 20th (inclusive) of the first month following the reporting quarter;

4) a report on the reimbursement of costs and distribution of profit under a production sharing agreement according to the form according to Appendix 5 to the Rules - quarterly by the 25th (inclusive) of the first month following the reporting quarter.";

rephrase appendices 1, 2, 3, 4 and 5 in the edition according to appendices 9, 10, 11, 12 and 13 to the List.

Make the following amendments to the Resolution of the Board of the National Bank of the Republic of Kazakhstan of April 10, 2019 No. 64 "On Approval of the Rules for Monitoring Foreign Exchange Operations in the Republic of Kazakhstan" (registered in the Registry of State Registration of Normative Legal Acts of the Republic of Kazakhstan under No. 18544):

rephrase the preamble as follows:

"In accordance with subparagraph 41) of the second paragraph of part two of paragraph 19 of the Regulation on the National Bank of the Republic of Kazakhstan, approved by the Decree of the President of the Republic of Kazakhstan of December 31, 2003 No. 1271 "On Approval of the Regulation and Structure of 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 RESOLVES:";

in the Rules for Monitoring Foreign Exchange Operations in the Republic of Kazakhstan, approved by the said Resolution:

rephrase paragraph 1 as follows:

"1. The Rules for Monitoring Foreign Exchange Operations in the Republic of Kazakhstan (hereinafter - the Rules) are developed in accordance with subparagraph 41) of the second paragraph of part two of paragraph 19 of the Regulation on the National Bank of the Republic of Kazakhstan, approved by the Decree of the President of the Republic of Kazakhstan of December 31, 2003 No. 1271 "On Approval of the Regulation and Structure of the National Bank of the Republic of Kazakhstan" (hereinafter - the Regulation on the National Bank), subparagraph 2) of paragraph 3 of Article 16 of the Law of the Republic of Kazakhstan "On State Statistics" and determine the procedure for carrying out monitoring of foreign exchange operations in the Republic of Kazakhstan.";

rephrase the first part of paragraph 2 as follows:

"2. Concepts and terms used in the Rules are applied in the meanings specified in the Law of the Republic of Kazakhstan "On Electronic Document and Electronic Digital Signature" and in the Law of the Republic of Kazakhstan "On Foreign Exchange Regulation and Foreign Exchange Control" (hereinafter - the Law on Foreign Exchange Regulation and Foreign Exchange Control).";

rephrase paragraph 9 as follows:

"9. Account registration is subject to a foreign exchange contract for capital movement, under which it is provided:

1) receipt of property (money) into the Republic of Kazakhstan and/or the emergence of obligations of a resident to return property (money) to a non-resident for an amount exceeding 500,000 (five hundred thousand) US dollars (hereinafter - USD) in equivalent (without accrual of remuneration, commissions, fines and other payments);

2) transfer of property (transfer of money) from the Republic of Kazakhstan and/or the emergence of a resident's claims for the return of property (money) by a non-resident for an amount exceeding 500,000 (five hundred thousand) US dollars in equivalent (without accrual of remuneration, commissions, fines and other payments).";

rephrase subparagraph 3) of paragraph 16 as follows:

"3) in the absence of fulfillment of obligations by the parties to the foreign exchange contract after three years from the date of assignment of the account number and/or in the absence of fulfillment of obligations by the parties to the foreign exchange contract with an expired term of action and/or expired term of fulfillment of obligations;";

rephrase paragraph 30 as follows:

"30. Submission of reports on a foreign exchange contract for capital movement or an account in a foreign bank with an account number is not required if the resident has:

a court decision recognizing the debtor as bankrupt and liquidating it with the initiation of bankruptcy proceedings;

a decision of the territorial subdivision of the state revenue body to suspend the respondent's submission of tax reporting.

Copies of the specified decisions are submitted to the National Bank.

Submission of reports is resumed in the event of a court ruling to suspend or terminate proceedings in a bankruptcy case, a decision to refuse to recognize the debtor as bankrupt, or the cancellation of a court decision recognizing the debtor as bankrupt, after the expiration of the period specified in the decision to suspend the respondent's submission of tax reporting, in the event of the respondent resuming activities before the expiration of the period specified in the decision to suspend the respondent's submission of tax reporting, as well as in the event of the cancellation by the territorial subdivision of the state revenue body of the decision to suspend the respondent's submission of tax reporting.";

rephrase appendices 3, 4, 5, 6, 7, 8 and 9 in the edition according to appendices 14, 15, 16, 17, 18, 19 and 20 to the List.

Appendix 1

to the List of certain Resolutions

of the Board of the National Bank

of the Republic of Kazakhstan

subject to amendments

Appendix 1

to the Rules for Monitoring Sources of Demand and Supply in the Domestic Foreign Exchange Market of the Republic of Kazakhstan

Form,

designed for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

Form designed for the collection of administrative data on a gratuitous basis is posted on the Internet resource: www.nationalbank.kz

Name of the administrative form: Consolidated report on the movement of money in foreign currency in client bank accounts and transfers without opening and/or using a bank account

Index of the form designed for the collection of administrative data on a gratuitous basis: 1-INV

Frequency: monthly

Reporting period: as of "____" __20 year

Circle of persons submitting the form designed for the collection of administrative data on a gratuitous basis: second-level banks, Joint Stock Company "Development Bank of Kazakhstan", Joint Stock Company "Kazpost"

Deadline for submitting the form designed for the collection of administrative data on a gratuitous basis: monthly by the 10th (inclusive) of the month following the reporting period

BIN: ______

Collection method: in electronic form

in tenge


No.	Indicator Name	Line Code	Total	Residents		Non-residents
in particular for transactions with		in particular for transactions with
residents	non-residents	residents	non-residents
A	B	C	1	2	3	4	5
Section 1. Inflow of foreign currency for the benefit of clients
1	Total	10000
2	in particular:
3	payments and money transfers from counterparties to bank accounts:	11000
4	of individuals	11100
5	of legal entities	11200
6	in particular for transactions:
7	sale of goods and intangible assets	11210
8	provision of services	11220
9	receipt of principal debt and income on issued loans	11230
10	attraction of loans	11240
11	transactions with securities, bills and contributions ensuring participation in capital:	11250
12	other money transfers	11260
13	transfers without opening and/or using a bank account	12000
14	transfers by clients of money from their bank accounts	13000			X	X
15	of which opened in:
16	resident banks	13001			X	X
17	non-resident banks	13002			X	X
18	purchase of foreign currency for tenge	14000
19	in particular:
20	by individuals	14100
21	by legal entities	14200
22	crediting of cash foreign currency to bank accounts	15000
23	of which:
24	by individuals	15100
25	by legal entities	15200
Section 2. Withdrawal and/or transfer of foreign currency by clients
26	Total	20000
27	in particular:
28	payments and money transfers from counterparties from bank accounts:	21000
29	of individuals	21100
30	of legal entities	21200
31	in particular for transactions:
32	purchase of goods and intangible assets	21210
33	receipt of services	21220
34	issuance of loans	21230
35	fulfillment of loan obligations	21240
36	transactions with securities, bills and contributions ensuring participation in capital:	21250
37	other money transfers	21260
38	transfers without opening and/or using a bank account	22000
39	transfers by clients of money to their bank accounts	23000			X	X
40	of which opened in:
41	resident banks	23001			X	X
42	non-resident banks	23002			X	X
43	sale of foreign currency for tenge	24000
44	in particular:
45	by individuals	24100
46	by legal entities	24200
47	withdrawal of cash foreign currency from their bank accounts	25000
48	of which:
49	by individuals	25100
50	by legal entities	25200

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

First Head or person authorized to sign the report

surname, first name and patronymic (if any) signature

Date «__» ______ 20_ year

Note: the form is filled out in accordance with the explanation for filling out the form intended for the collection of administrative data on a gratuitous basis "Consolidated Report on the Movement of Money in Foreign Currency in Client Bank Accounts and Transfers Without Opening and/or Using a Bank Account".

Appendix

to form, intended for

collection of administrative data on

a gratuitous basis "Consolidated

Report on the Movement of Money in Foreign

Currency in Client Bank

Accounts and Transfers Without Opening

and/or Using a

Bank Account"

Explanation

on filling out the form intended for the collection of

administrative data on a gratuitous basis

Consolidated Report on the Movement of Money in Foreign Currency in Client Bank Accounts and Transfers Without Opening and/or Using a Bank Account (index – 1-INV, frequency – monthly)

Chapter 1. General Provisions

This explanation defines the unified requirements for filling out the form intended for the collection of administrative data on a gratuitous basis, "Consolidated Report on the Movement of Money in Foreign Currency in Client Bank Accounts and Transfers Without Opening and/or Using a Bank Account" (hereinafter – Form 1).
Form 1 is filled out by second-level banks, Joint Stock Company "Bank of Development of Kazakhstan", Joint Stock Company "Kazpost" (hereinafter – banks) in terms of sources of inflow and directions of use of foreign currency.
Form 1 consists of two sections:

section 1 – Inflow of foreign currency for the benefit of clients;

section 2 – Withdrawal and/or transfer of foreign currency by clients.

Data in Form 1 are indicated in the national currency of the Republic of Kazakhstan – tenge.
For the purpose of forming the report, assets in foreign currency are indicated in conversion at the market exchange rate determined by the joint Resolution of the Board of the National Bank of the Republic of Kazakhstan dated September 26, 2025 No. 56 and Order of the Minister of Finance of the Republic of Kazakhstan dated September 29, 2025 No. 544 "On Approval of the Rules for Determining the Market Exchange Rate of Currency" (registered in the Registry of State Registration of Normative Legal Acts under No. 36983), on the valuation date.
Form 1 is signed by the first head or person authorized to sign the report, the chief accountant or person authorized to sign the report, and the executor.

Chapter 2. Explanation on Filling Out Form 1

When filling out Form 1, the following conditions are ensured:

column 1 for all rows is equal to the sum of columns 2, 3, 4, 5;

row with code 10000 = row with code 11000 + row with code 12000 + row with code 13000 + row with code 14000 + row with code 15000;

row with code 11000 = row with code 11100 + row with code 11200;

row with code 11200 = row with code 11210 + row with code 11220 + row with code 11230 + row with code 11240 + row with code 11250 + row with code 11260;

in row with code 11240 loans also include loans attracted by clients from the bank providing the report;

in row with code 11260 other money transfers also include transfers using payment cards;

row with code 13000 = row with code 13001 + row with code 13002;

in row with code 13001 transfers by clients of money from their bank accounts opened in resident banks also include transfers by clients of money from a bank account opened in the bank providing the report (intra-bank transfers);

row with code 14000 = row with code 14100 + row with code 14200;

row with code 15000 = row with code 15100 + row with code 15200;

row with code 20000 = row with code 21000 + row with code 22000 + row with code 23000 + row with code 24000 + row with code 25000;

row with code 21000 = row with code 21100 + row with code 21200;

row with code 21200 = row with code 21210 + row with code 21220 + row with code 21230 + row with code 21240 + row with code 21250 + row with code 21260;

in row with code 21240 operations on fulfillment of loan obligations also include operations on fulfillment of loan obligations attracted by clients from the bank providing the report;

in row with code 21260 other money transfers also include transfers using payment cards;

row with code 23000 = row with code 23001 + row with code 23002;

in row with code 23001 transfers by clients of money to their bank accounts opened in resident banks also include transfers by clients of money to their bank accounts opened in the bank providing the report (intra-bank transfers);

row with code 24000 = row with code 24100 + row with code 24200;

row with code 25000 = row with code 25100 + row with code 25200.

Corrections (changes, additions) to data in Form 1 are made until the 20th (twentieth) day (inclusive) of the month following the reporting month.
In the absence of information for the reporting period, Form 1 is submitted with zero values.

Appendix 2

to the List of Certain Resolutions

of the Board of the National Bank

of the Republic of Kazakhstan, to Which

Amendments Are Made

Appendix 2

to the Rules for Monitoring Sources of Demand and Supply in the Domestic Currency Market of the Republic of Kazakhstan

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

Form intended for the collection of administrative data on a gratuitous basis is posted on the internet resource: www.nationalbank.kz

Name of administrative form: report on the purchase (sale) of foreign currency by a bank and its clients

Index of the form intended for the collection of administrative data on a gratuitous basis: 2-INV

Frequency: monthly

Reporting period: as of «____» ______20____year

Circle of persons submitting the form intended for the collection of administrative data on a gratuitous basis: second-level banks, Joint Stock Company "Bank of Development of Kazakhstan", Joint Stock Company "Kazpost" (hereinafter – banks)

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: monthly until the 10th (tenth) day (inclusive) of the month following the reporting period

BIN: ______

Collection method: in electronic form

Section 1. Bank Operations


No.	Indicator Name	Line Code	Total					in particular for tenge
Total (tenge)	Of which by currency types (in currency units)				Total (tenge)	Of which by currency types (in currency units)
USD	EUR	RUB	CNY	USD	EUR	RUB	CNY
A	B	C	1	2	3	4	5	6	7	8	9	10
1	Purchase of foreign currency by the bank	110000
2	in particular:
3	from bank clients	110001
4	at JSC "Kazakhstan Stock Exchange"	110002
5	in the interbank market	110003
6	Sale of foreign currency by the bank	120000
7	in particular:
8	to bank clients	120001
9	at JSC "Kazakhstan Stock Exchange"	120002
10	in the interbank market	120003
11	Net position on the purchase (sale) from bank clients (to bank clients) of foreign currency in client operations using payment cards and through money transfer systems	130000	X	X	X	X	X

Section 2. Bank Client Operations

in tenge


No.	Indicator Name	Line Code	Total	in particular:
for tenge		for other foreign currency
by bank clients
residents	non-residents	residents	non-residents
A	B	C	1	2	3	4	5
1	Purchase of foreign currency by bank clients	210000
2	in particular:
3	by individuals	211000
4	of which credited to own bank accounts of clients in foreign currency	211400
5	by legal entities	212000
6	of which credited to own bank accounts of clients in foreign currency	212400
7	in particular for purposes:
8	conducting exchange operations with cash foreign currency (authorized organizations)	212410			X		X
9	making payments and money transfers	212420
10	in particular for transactions:
11	purchase of goods and intangible assets	212421
12	receipt of services	212422
13	payment of dividends and other income on equity participation	212423
14	provision (issuance) of loans	212424
15	fulfillment of loan obligations	212425
16	transactions with securities	212426
17	other	212427
18	placement in savings deposits in resident banks	212430
19	transfer of own funds to accounts in non-resident banks	212440
20	Sale of foreign currency by bank clients	220000
21	in particular:
22	by individuals	221000
23	of which credited to own bank accounts of clients in national currency	221400				X	X
24	by legal entities	222000
25	of which credited to own bank accounts of clients in national currency	222400				X	X

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

First Head or person authorized to sign the report

surname, first name and patronymic (if any) signature

Date «__» ______ 20_ year

Note: the form is filled out in accordance with the explanation for filling out the form intended for the collection of administrative data on a gratuitous basis "Report on the Purchase (Sale) of Foreign Currency by a Bank and Its Clients".

Appendix

to form, intended for

collection of administrative data on

a gratuitous basis "Report on

the Purchase (Sale) of Foreign

Currency by a Bank and Its Clients"

Explanation

on filling out the form intended for the collection of

administrative data on a gratuitous basis

Report on the Purchase (Sale) of Foreign Currency by a Bank and Its Clients (index – 2-INV, frequency – monthly)

Chapter 1. General Provisions

This explanation defines the unified requirements for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on the Purchase (Sale) of Foreign Currency by a Bank and Its Clients" (hereinafter – Form 2).
In Form 2, second-level banks, Joint Stock Company "Bank of Development of Kazakhstan", Joint Stock Company "Kazpost" (hereinafter – banks) reflect the volumes of purchase and sale of foreign currency (Section 1. "Bank Operations") and bank clients (Section 2. "Bank Client Operations").
In Form 2, the volumes of purchase and sale of foreign currency are reflected, both for tenge and for other currency, with actual delivery of the base asset on the valuation date.

Data in Form 2 are indicated in the national currency of the Republic of Kazakhstan – tenge.

For the purpose of forming the report, assets in foreign currency are indicated in conversion at the market exchange rate determined by the joint Resolution of the Board of the National Bank of the Republic of Kazakhstan dated September 26, 2025 No. 56 and Order of the Minister of Finance of the Republic of Kazakhstan dated September 29, 2025 No. 544 "On Approval of the Rules for Determining the Market Exchange Rate of Currency" (registered in the Registry of State Registration of Normative Legal Acts under No. 36983), on the valuation date.

Form 2 is signed by the first head or person authorized to sign the report, the chief accountant or person authorized to sign the report, and the executor.

Chapter 2. Explanation on Filling Out Form 2

Column 1 of Section 1 and Section 2 reflects the total volumes of purchased or sold foreign currency in tenge. Columns 2, 3, 4, 5 of Section 1 reflect, respectively, the volumes of purchased and sold for tenge and for other foreign currency US dollars (USD), euros (EUR), Russian rubles (RUB) and Chinese yuan (CNY) in units of the corresponding currency. Column 6 of Section 1 reflects the volumes of purchased or sold foreign currency for tenge. Columns 7, 8, 9, 10 of Section 1 reflect, respectively, the volumes of purchased and sold for tenge US dollars (USD), euros (EUR), Russian rubles (RUB) and Chinese yuan (CNY) in units of the corresponding currency.

Data from the bank's journal of registration of transactions in cash and non-cash foreign currency (blotter) are used to fill out Form 2.

Rows with codes 110000 and 120000 of Section 1 include information on exchange operations with bank clients (excluding operations with individuals through bank exchange offices) and operations carried out at the Kazakhstan Stock Exchange and in the interbank market.
In Section 2, data are reflected in terms of operations for the purchase (sale) of foreign currency for tenge and for other foreign currency, as well as operations carried out by client-residents and client-non-residents.

Operations of individuals on the purchase (sale) of foreign currency through bank exchange offices are not included in Section 2.

When filling out Form 2, the following conditions are ensured:

row with code 110000 >= rows with code 110001 + row with code 110002 + row with code 110003;

row with code 120000 >= rows with code 120001 + row with code 120002 + row with code 120003;

in Section 2, column 1 for all rows is equal to the sum of columns 2, 3, 4, 5;

row with code 210000 = row with code 211000 + row with code 212000;

row with code 211000 >= row with code 211400;

row with code 212000 >= row with code 212400;

row with code 212400 = row with code 212410 + row with code 212420 + row with code 212430 + row with code 212440;

row with code 212420 = row with code 212421 + row with code 212422 + row with code 212423 + row with code 212424 + row with code 212425 + row with code 212426 + row with code 212427;

row with code 220000 = row with code 221000 + row with code 222000;

row with code 221000 >= row with code 221400;

row with code 222000 >= row with code 222400.

When filling out Form 2, the following reconciliation of data between Form 2 and Form 1 is ensured:

row with code 211400 column 2 of Form 2 = row with code 14100 (column 2 + column 3) of Form 1;

row with code 211400 column 3 of Form 2 = row with code 14100 (column 4 + column 5) of Form 1;

row with code 212400 column 2 of Form 2 = row with code 14200 (column 2 + column 3) of Form 1;

row with code 212400 column 3 of Form 2 = row with code 14200 (column 4 + column 5) of Form 1;

row with code 221400 column 2 of Form 2 = row with code 24100 (column 2 + column 3) of Form 1;

row with code 221400 column 3 of Form 2 = row with code 24100 (column 4 + column 5) of Form 1;

row with code 222400 column 2 of Form 2 = row with code 24200 (column 2 + column 3) of Form 1;

row with code 222400 column 3 of Form 2 = row with code 24200 (column 4 + column 5) of Form 1.

Row with code 130000 of Section 1 includes the net position on the purchase (sale) from bank clients (to bank clients) of foreign currency for tenge, accompanying client operations using payment cards and through money transfer systems, in which the purchased currency is not credited to the client's bank account. Data are reflected on a net basis with a positive value for net purchase and a negative sign for net sale.
Corrections (changes, additions) to data in Form 2 are made until the 20th (twentieth) day (inclusive) of the month following the reporting month.
In the absence of information for the reporting period, Form 2 is submitted with zero values.

Appendix 3

to the List of Certain Resolutions

of the Board of the National Bank

of the Republic of Kazakhstan, to Which

Amendments Are Made

Appendix 3

to the Rules for Monitoring Sources of Demand and Supply in the Domestic Currency Market of the Republic of Kazakhstan

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

Form intended for the collection of administrative data on a gratuitous basis is posted on the internet resource: www.nationalbank.kz

Name of administrative form: report on the movement of money in client bank accounts in foreign currency

Index of the form intended for the collection of administrative data on a gratuitous basis: 3-INV

Frequency: monthly

Reporting period: as of «____» ______20____year

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: monthly until the 10th (tenth) day (inclusive) of the month following the reporting period

BIN: ______

Collection method: in electronic form

in currency units


№	№		Total					1					…
Client Name	Line Code	Total (tenge)	thereof by currency types (in currency units)				Total (tenge)	thereof by currency types (in currency units)				Total (tenge)	thereof by currency types (in currency units)
Business Identification Number (BIN) of the client
Indicator Name \ Currency of bank account	U S D	E U R	R U B	C N Y	U S D	E U R	R U B	C N Y	U S D	E U R	R U B	C N Y
A	B	V	1	2	3	4	5	6	7	8	9	10	11	12	13	14	15
1	Balance at the beginning of the period	100000
2	Receipts into clients' foreign currency bank accounts, total	210000
3	including from:
4	residents	211000
5	including for transactions:
6	sale of goods and intangible assets	211110
7	provision of services	211120
8	receipt of principal and income on loans granted	211130
9	borrowing from resident banks	211140
10	securities, bill operations and contributions ensuring equity participation:	211150
11	other money transfers	211160
12	non-residents	212000
13	including for transactions:
14	sale of goods and intangible assets	212110
15	provision of services	212120
16	receipt of principal and income on loans granted	212130
17	borrowing	212140
18	securities, bill operations and contributions ensuring equity participation:	212150
19	other money transfers	212160
20	clients transferring money from their bank accounts	210300
21	thereof opened in:
22	resident banks	210301
23	non-resident banks	210302
24	purchase of foreign currency for tenge	210400
25	crediting cash foreign currency to own bank accounts	210500
26	Withdrawal of money from clients' foreign currency bank accounts, total	220000
27	including in favor of:
28	residents	221000
29	including for transactions:
30	purchase of goods and intangible assets	221110
31	receipt of services	221120
32	granting loans	221130
33	fulfillment of obligations on loans borrowed from resident banks	221140
34	securities, bill operations and contributions ensuring equity participation:	221150
35	other money transfers	221160
36	non-residents	222000
37	including for transactions:
38	purchase of goods and intangible assets	222110
39	receipt of services	222120
40	granting loans	222130
41	fulfillment of loan obligations	222140
42	securities, bill operations and contributions ensuring equity participation:	222150
43	other money transfers	222160
44	clients transferring money to their bank accounts	220300
45	thereof opened in:
46	resident banks	220301
47	non-resident banks	220302
48	sale of foreign currency for tenge	220400
49	withdrawal of cash foreign currency from own bank accounts	220500
50	Balance at the end of the period	300000
51	Purchase of foreign currency (including for another foreign currency), total	410400
52	Sale of foreign currency (including for another foreign currency), total	420400

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 to sign the report

surname, first name and patronymic (if any) signature

Date “__” ______ 20_ year

Note: The form is filled out in accordance with the explanation for filling out the form intended for the collection of administrative data on a gratuitous basis "Report on the movement of money in clients' foreign currency bank accounts".

Appendix

to form, intended for

collection of administrative data

on a gratuitous basis "Report

on the movement of money in clients'

foreign currency bank accounts"

Explanation

on filling out the form intended for the collection

of administrative data on a gratuitous basis

Report on the movement of money in clients' foreign currency bank accounts (index – 3-INV, frequency – monthly)

Chapter 1. General Provisions

This explanation defines uniform requirements for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on the movement of money in clients' foreign currency bank accounts" (hereinafter – Form 3).
Form 3 is compiled by second-level banks, JSC "Bank of Development of Kazakhstan", JSC "Kazpost" (hereinafter – banks) for bank client transactions, the list of which is formed and updated by the National Bank of the Republic of Kazakhstan (hereinafter – the National Bank), based on the volume of currency transactions performed by them (hereinafter – Client List).

The Client List includes legal entities of the Republic of Kazakhstan, as well as branches and representative offices of non-resident legal entities operating on the territory of the Republic of Kazakhstan, whose transactions ensure the main volumes of foreign currency supply or demand in the domestic currency market.

The Client List is updated by the National Bank and upon its update is brought to the attention of the bank in writing.

For the purpose of forming the report, foreign currency assets are indicated in conversion at the market exchange rate determined by the joint Resolution of the Board of the National Bank of the Republic of Kazakhstan dated September 26, 2025 No. 56 and Order of the Minister of Finance of the Republic of Kazakhstan dated September 29, 2025 No. 544 "On Approval of the Rules for Determining the Market Exchange Rate" (registered in the Registry of State Registration of Regulatory Legal Acts under No. 36983), as of the valuation date.
Form 3 is signed by the head or person authorized to sign the report, the chief accountant or person authorized to sign the report, and the executor.

Chapter 2. Explanation on Filling Out Form 3

Form 3 is filled out for each bank client included in the Client List. Form 3 reflects the general state of the bank's clients' foreign currency bank accounts: balances at the beginning and end of the period with changes highlighted for the reporting period resulting from transactions on the bank's clients' bank accounts, including those opened in the following currencies: US dollars, euros, Russian rubles and Chinese yuan. Data for the final column is filled in tenge, columns by currency types are filled in units of the bank account currency.
When filling out Form 3, if the bank makes a payment (transfer) of the client in a currency different from the currency of the bank account, the payment (transfer) is reflected with its true purpose, not as a currency conversion.
When filling out Form 3, the following conditions must be met:

for all rows of the table, columns 1, 2, 3, 4, 5 are equal to the sum of values for all clients;

row with code 100000 = row with code 300000 for the previous reporting period;

row with code 300000 = row with code 100000 + (row with code 210000 - row with code 210400) + row with code 410400 - (row with code 220000 - row with code 220400) - row with code 420400 (Inequality in row with code 300000 is allowed in cases of exchange rate differences in the "Total (tenge)" columns;

row with code 210000 = row with code 211000 + row with code 212000 + row with code 210300 + row with code 210400 + row with code 210500;

row with code 211000 = row with code 211110 + row with code 211120 + row with code 211130 + row with code 211140 + row with code 211150 + row with code 211160;

in row with code 211140, operations on borrowing from resident banks also include loans borrowed from the reporting bank;

row with code 212000 = row with code 212110 + row with code 212120 + row with code 212130 + row with code 212140 + row with code 212150 + row with code 212160;

row with code 210300 = row with code 210301 + row with code 210302;

in row with code 210301, transfers of money by clients from their bank accounts opened in resident banks also include transfers of money by clients from the bank account opened in the reporting bank (interbank transfers);

row with code 220000 = row with code 221000 + row with code 222000 + row with code 220300 + row with code 220400 + row with code 220500;

row with code 221000 = row with code 221110 + row with code 221120 + row with code 221130 + row with code 221140 + row with code 221150 + row with code 221160;

in row with code 221140, the operation on fulfilling obligations on loans borrowed from resident banks also includes operations on fulfilling obligations on loans borrowed from the reporting bank;

row with code 222000 = row with code 222110 + row with code 222120 + row with code 222130 + row with code 222140 + row with code 222150 + row with code 222160;

row with code 220300 = row with code 220301 + row with code 220302;

in row with code 220301, transfers of money by clients to their bank accounts opened in resident banks also include transfers of money by clients to their bank account opened in the reporting bank (interbank transfers).

Corrections (changes, additions) to data in Form 3 are made until the 20th (twentieth) day (inclusive) of the month following the reporting month.
In the absence of information for the reporting period, Form 3 is submitted with zero values.

Appendix 4

to the List of certain resolutions

of the Board of the National Bank

of the Republic of Kazakhstan, to which

amendments are made

Appendix 4

to the Rules for Monitoring Sources of Demand and Supply in the Domestic Currency Market of the Republic of Kazakhstan

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

Form intended for the collection of administrative data on a gratuitous basis is posted on the internet resource: www.nationalbank.kz

Name of administrative form: report on bank clients' operations with large volumes of foreign currency purchase

Index of form intended for the collection of administrative data on a gratuitous basis: 4-INV

Frequency: monthly

Reporting period: as of “____” ______20____year

Circle of persons submitting the form intended for the collection of administrative data on a gratuitous basis: second-level banks, JSC "Bank of Development of Kazakhstan", JSC "Kazpost"

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: monthly until the 10th (tenth) day (inclusive) of the month following the reporting period

BIN: ______

Collection method: electronically


№	Client Name	Line Code	Total
Business Identification Number (BIN) of the client	Total (tenge)	thereof by currency types (in currency units)
Indicator Name	USD	EUR	RUB	CNY
A	B	V	1	2	3	4	5
Section 1. Purchase and sale of foreign currency (all types of currencies)
1	Purchase of foreign currency, total	212100
2	including:
3	credited to current account in foreign currency	212101
4	credited to savings account in foreign currency	212102
5	transferred to own accounts in other resident banks	212103
6	transferred in favor of other persons to accounts in resident banks	212104
7	transferred in favor of other persons to accounts in non-resident banks	212105
8	transferred to own accounts in non-resident banks	212106
9	issued in cash	212107
10	Sale of foreign currency, total	222100
11	including:
12	for another foreign currency	222120
13	for tenge	222110
14	thereof credited to national currency bank accounts	222111
Section 2. Purposes of purchasing foreign currency for national currency
15	Purchase of foreign currency for tenge, total	121100
16	including for purposes:
17	purchase of goods and intangible assets	121101
18	receipt of services	121102
19	payment of dividends and other income on equity participation	121103
20	provision (granting) of loans	121104
21	fulfillment of loan obligations	121105
22	securities transactions	121106
23	gratuitous financial (material) assistance and other gratuitous transfers	121107
24	placement on savings deposits in resident banks	121108
25	transfer of own funds to accounts in non-resident banks	121109
26	conducting exchange operations with cash foreign currency (authorized organizations)	121110
27	other	121111

continuation of the table


1					…
Total (tenge)	thereof by currency types (in currency units)				Total (tenge)	thereof by currency types (in currency units)
USD	EUR	RUB	CNY	USD	EUR	RUB	CNY
1	2	3	4	5	1	2	3	4	5
Section 1. Purchase and sale of foreign currency (all types of currencies)














Section 2. Purposes of purchasing foreign currency for national currency

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 to sign the report

surname, first name and patronymic (if any) signature

Date “__” ______ 20_ year

Note: The form is filled out in accordance with the explanation for filling out the form intended for the collection of administrative data on a gratuitous basis "Report on bank clients' operations with large volumes of foreign currency purchase".

Appendix

to form, intended for

collection of administrative data

on a gratuitous basis

"Report on bank clients' operations with large volumes of foreign currency purchase"

Explanation

on filling out the form intended for the collection of administrative data on a gratuitous basis

Report on bank clients' operations with large volumes of foreign currency purchase (index – 4-INV, frequency – monthly)

Chapter 1. General Provisions

This explanation defines uniform requirements for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on bank clients' operations with large volumes of foreign currency purchase" (hereinafter – Form 4).
Form 4 is compiled monthly by second-level banks, JSC "Bank of Development of Kazakhstan", JSC "Kazpost" (hereinafter – banks) for transactions of resident and non-resident legal entities that purchased foreign currency during the reporting period for a total amount exceeding one billion tenge in equivalent.
Form 4 is filled out for each bank client and reflects the volumes of purchase and sale of foreign currency by the client for national currency and another foreign currency (Section 1) and the volumes of purchase of foreign currency for national currency by purpose of acquisition (Section 2).
In Form 4, volumes of purchase and sale of foreign currency are reflected based on the actual delivery of foreign currency on the valuation date.

For the purpose of forming the report, foreign currency assets are indicated in conversion at the market exchange rate determined by the joint Resolution of the Board of the National Bank of the Republic of Kazakhstan dated September 26, 2025 No. 56 and Order of the Minister of Finance of the Republic of Kazakhstan dated September 29, 2025 No. 544 "On Approval of the Rules for Determining the Market Exchange Rate" (registered in the Registry of State Registration of Regulatory Legal Acts under No. 36983), as of the valuation date.

Form 4 is signed by the head or person authorized to sign the report, the chief accountant or person authorized to sign the report, and the executor.

Chapter 2. Explanation on Filling Out Form 4

Column 1 of Section 1 and Section 2 reflects the total volumes of purchased or sold foreign currency in tenge. Columns 2, 3, 4, 5 of Section 1 and Section 2 reflect, respectively, the volumes of purchased and sold US dollars (USD), euros (EUR), Russian rubles (RUB) and Chinese yuan (CNY) in units of the corresponding currency.

In Section 2, the purposes of purchasing foreign currency for tenge are indicated based on the applications оформленных by the client for the acquisition of foreign currency for national currency.

When filling out Form 4, the following conditions must be met:

row with code 212100 = row with code 212101 + row with code 212102 + row with code 212103 + row with code 212104 + row with code 212105 + row with code 212106 + row with code 212107;

row with code 222100 = row with code 222120 + row with code 222110;

row with code 222110 >= row with code 222111;

row with code 212100 >= row with code 121100;

row with code 121100 = row with code 121101 + row with code 121102 + row with code 121103 + row with code 121104+ row with code 121105 + row with code 121106 + row with code 121107 + row with code 121108 + row with code 121109 + row with code 121110 + row with code 121111.

In row with code 212104, transfers to bank accounts of other persons in the reporting bank are also included.

Corrections (changes, additions) to data in Form 4 are made until the 20th (twentieth) day (inclusive) of the month following the reporting month.
In the absence of information for the reporting period, Form 4 is submitted with zero values.

Appendix 5

to the List of certain resolutions

of the Board of the National Bank

of the Republic of Kazakhstan, to which

amendments are made

Appendix 5

to the Rules for Monitoring Sources of Demand and Supply in the Domestic Currency Market of the Republic of Kazakhstan

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

Form intended for the collection of administrative data on a gratuitous basis is posted on the internet resource: www.nationalbank.kz

Name of administrative form: report on the purchase (sale) of foreign currency by a professional participant of the securities market having a license for exchange operations with foreign currency, not being a bank

Index of form intended for the collection of administrative data on a gratuitous basis: 5-INV

Frequency: monthly

Reporting period: as of "____" __20 year

List of persons submitting the form intended for the collection of administrative data on a gratuitous basis: professional participants of the securities market holding a license for foreign currency exchange operations, not being banks (hereinafter – professional participant), excluding the Joint Stock Company "KASE Clearing Center"

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: monthly until the 10th (inclusive) day of the month following the reporting period

BIN: ______

Collection method: in electronic form

Section 1. Operations of the professional participant


No.	Indicator Name	Line Code	Total					in particular for tenge
Total (tenge)	Of which by currency types (in currency units)				Total (tenge)	Of which by currency types (in currency units)
		USD	EUR	RUB	CNY	USD	EUR	RUB	CNY
A	B	V	1	2	3	4	5	6	7	8	9	10
1	Purchase of foreign currency by the professional participant	110000
2	in particular:
3	from clients	110001
4	at JSC "Kazakhstan Stock Exchange"	110002
5	in particular:
6	by client orders	111002
7	on own operations	112002
8	other operations	113002
9	on the interbank market	110003
10	in particular:
11	from residents	111003
12	from non-residents	112003
13	Sale of foreign currency by the professional participant	120000
14	in particular:
15	to clients	120001
16	at JSC "Kazakhstan Stock Exchange"	120002
17	in particular:
18	by client orders	121002
19	on own operations	122002
20	other operations	123002
21	on the interbank market	120003
22	in particular:
23	to residents	121003
24	to non-residents	122003

Section 2. Operations of the professional participant's clients

in tenge


No.	Indicator Name	Line Code	Total	in particular:
for tenge		for other foreign currency
by the professional participant's clients
residents	non-residents	residents	non-residents
A	B	V	1	2	3	4	5
1	Purchase of foreign currency by clients or the professional participant by client orders	210000
2	in particular:
3	by individuals	211000
4	of which for securities operations	211100
5	by legal entities	212000
6	in particular for purposes:
7	making payments and money transfers	212420
8	in particular for operations:
9	purchase of goods and intangible assets	212421
10	receipt of services	212422
11	payment of dividends and other income from equity participation	212423
12	provision (issuance) of loans	212424
13	fulfillment of loan obligations	212425
14	securities operations	212426
15	other	212427
16	transfer of own funds to accounts in resident banks	212430
17	transfer of own funds to accounts in non-resident banks	212440
18	Sale of foreign currency by clients or the professional participant by client orders	220000
19	in particular:
20	by individuals	221000
21	by legal entities	222000

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

First Head or person authorized to sign the report

surname, name and patronymic (if any) signature

Date "__" ______ 20_ year

Note: the form is filled out in accordance with the instructions for filling out the form intended for the collection of administrative data on a gratuitous basis "Report on the purchase (sale) of foreign currency by a professional participant of the securities market holding a license for foreign currency exchange operations, not being a bank".

Appendix

to form, intended for

collection of administrative data

on a gratuitous basis

"Report on the purchase (sale)

foreign currency

by a professional participant

of the securities market,

holding a license for foreign currency

exchange operations,

not being a bank"

Instructions

on filling out the form intended for the collection of

administrative data on a gratuitous basis

Report on the purchase (sale) of foreign currency by a professional participant of the securities market holding a license for foreign currency exchange operations, not being a bank

(index – 5-INV, frequency – monthly)

Chapter 1. General Provisions

These instructions define the unified requirements for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on the purchase (sale) of foreign currency by a professional participant of the securities market holding a license for foreign currency exchange operations, not being a bank" (hereinafter – Form 5).
In Form 5, the professional participant holding a license for foreign currency exchange operations, not being a bank (hereinafter – professional participant), excluding the Joint Stock Company "KASE Clearing Center", reflects the volumes of purchase and sale of foreign currency (Section 1. "Operations of the professional participant") and the professional participant's clients, excluding the Joint Stock Company "KASE Clearing Center" (Section 2. "Operations of the professional participant's clients").
Form 5 reflects the volumes of purchase and sale of foreign currency, both for tenge and for other currency, with actual delivery of the underlying asset on the value date.

Data in Form 5 are indicated in the national currency of the Republic of Kazakhstan – tenge.

For the purpose of forming the report, assets in foreign currency are indicated in conversion at the market exchange rate determined by the joint Resolution of the Board of the National Bank of the Republic of Kazakhstan dated September 26, 2025 No. 56 and Order of the Minister of Finance of the Republic of Kazakhstan dated September 29, 2025 No. 544 "On Approval of the Rules for Determining the Market Exchange Rate" (registered in the Registry of State Registration of Normative Legal Acts under No. 36983), on the value date.

Form 5 is signed by the first head or person authorized to sign the report, the chief accountant or person authorized to sign the report, and the executor.

Chapter 2. Instructions for Filling out Form 5

Column 1 of Section 1 and Section 2 reflects the total volumes of purchased or sold foreign currency in tenge. Columns 2, 3, 4, and 5 of Section 1 reflect, respectively, the volumes of purchased and sold for tenge and for other foreign currency United States dollars (USD), euros (EUR), Russian rubles (RUB), and Chinese yuan (CNY) in units of the corresponding currency.
Column 6 of Section 1 reflects the volumes of purchased or sold foreign currency for tenge. Data for column 6 are indicated in tenge. Columns 7, 8, 9, 10 of Section 1 reflect, respectively, the volumes of purchased and sold for tenge United States dollars (USD), euros (EUR), Russian rubles (RUB), and Chinese yuan (CNY) in units of the corresponding currency.
Lines with codes 110000 and 120000 of Section 1 include information on exchange operations with clients of the professional participant (including by client orders) and operations conducted at the Kazakhstan Stock Exchange and the interbank market.
In Section 1 and 2, operations for the purchase of foreign currency for other foreign currency are reflected as the purchase of one foreign currency and the sale of another foreign currency.
In Section 2, data are reflected in the breakdown of operations for the purchase (sale) of foreign currency for tenge and for other foreign currency, as well as operations conducted by client-residents and client-non-residents (including by orders of client-residents and client-non-residents).

Section 2 does not include operations of individuals for the purchase (sale) of foreign currency through exchange offices.

When filling out Form 5, the following conditions must be met:

line with code 110000 >= line with code 110001 + line with code 110002 + line with code 110003;

line with code 110002 = line with code 111002 + line with code 112002 + line with code 113002;

line with code 110003 = line with code 111003 + line with code 112003;

line with code 120000 >= line with code 120001 + line with code 120002 + line with code 120003;

line with code 120002 = line with code 121002 + line with code 122002 + line with code 123002;

line with code 120003 = line with code 121003 + line with code 122003;

in Section 2, column 1 for all lines equals the sum of columns 2, 3, 4, 5;

line with code 210000 = line with code 211000 + line with code 212000;

line with code 211000 >= line with code 211100;

line with code 212000 = line with code 212420 + line with code 212430 + line with code 212440;

line with code 212420 = line with code 212421 + line with code 212422 + line with code 212423 + line with code 212424 + line with code 212425 + line with code 212426 + line with code 212427;

line with code 220000 = line with code 221000 + line with code 222000;

Corrections (changes, additions) to data in Form 5 are made until the 20th (inclusive) day of the month following the reporting month.
In the absence of information for the reporting period, Form 5 is submitted with zero values.

Appendix 6

to the List of certain Resolutions

of the Board of the National Bank

of the Republic of Kazakhstan, to which

amendments are made

Appendix 6

to the Rules for Monitoring Sources of Demand and Supply in the Domestic Foreign Exchange Market of the Republic of Kazakhstan

Form,

intended for the collection of administrative data

Form intended for the collection of administrative data on a gratuitous basis, is posted on the internet resource: www.nationalbank.kz

Name of the administrative form: report on the movement of cash foreign currency

Index of the form intended for the collection of administrative data on a gratuitous basis: 16-PB

Frequency: monthly

Reporting period: as of "____" __20 year

List of persons submitting the form intended for the collection of administrative data on a gratuitous basis: second-level banks, Joint Stock Company "Kazakhstan Development Bank", Joint Stock Company "Kazpost" (hereinafter – banks)

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: monthly until the 10th (inclusive) day of the month following the reporting period

BIN: ______

Collection method: in electronic form

in currency units


No.	Indicator Name	Line Code	US Dollar	Euro	Russian Ruble	…
A	B	V	1	2	3	…
1	Balance of cash foreign currency at the beginning of the period	100
2	Receipt of cash foreign currency, total	200
3	in particular:
4	brought in by the bank to Kazakhstan	210
5	operations with resident banks and the National Bank	220
6	operations with non-resident banks and Central Banks of foreign states	225
7	receipt from non-bank legal entity-residents for crediting to currency accounts	230
8	receipt from non-bank legal entity-non-residents for crediting to currency accounts	240
9	purchased from authorized organizations	245
10	purchased from individuals through bank exchange offices	250
11	received from resident individuals for crediting to currency accounts	260
12	received from non-resident individuals for crediting to currency accounts	270
13	received from resident individuals for one-time transfer without opening and/or using a bank account	280
14	received from non-resident individuals for one-time transfer without opening and/or using a bank account	300
15	received from the sale of traveler's checks to individuals	311
16	other receipts	320
17	Spent cash foreign currency, total	400
18	in particular:
19	taken out by the bank from Kazakhstan	410
20	operations with resident banks and the National Bank	420
21	operations with non-resident banks and Central Banks of foreign states	425
22	issued to non-bank legal entity-residents from currency accounts	430
23	issued to legal entity-non-residents from currency accounts	440
24	sold to authorized organizations	445
25	sold to individuals through bank exchange offices	450
26	issued to resident individuals from currency accounts	460
27	issued to non-resident individuals from currency accounts	470
28	issued to resident individuals for one-time transfer without opening and/or using a bank account	480
29	issued to non-resident individuals for one-time transfer without opening and/or using a bank account	500
30	issued to individuals upon redemption (acceptance) of traveler's checks	511
31	other expenditures	520
32	Balance of cash foreign currency at the end of the period	600

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

First Head or person authorized to sign the report

surname, name and patronymic (if any) signature

Date "__" ______ 20_ year

Note: the form is filled out in accordance with the instructions for filling out the form intended for the collection of administrative data on a gratuitous basis "Report on the movement of cash foreign currency".

Appendix

to form, intended for

collection of administrative data

on a gratuitous basis

"Report on the movement of cash

foreign currency"

Instructions for filling out the form intended for the collection of administrative data on a gratuitous basis

Report on the movement of cash foreign currency

(index – 16-PB, frequency – monthly)

Chapter 1. General Provisions

These instructions define the unified requirements for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on the movement of cash foreign currency" (hereinafter – Form 16-PB).
In Form 16-PB, indicators are reflected by second-level banks, Joint Stock Company "Kazakhstan Development Bank", Joint Stock Company "Kazpost" (hereinafter – banks) in the breakdown of those types of foreign currency in which operations were conducted during the reporting period or there are balances of cash foreign currency at the beginning or end of the reporting period.
Data are indicated in currency units with accuracy to one unit.
Form 16-PB is signed by the first head or person authorized to sign the report, the chief accountant or person authorized to sign the report, and the executor.

Chapter 2. Instructions for Filling out Form 16-PB

Lines with codes 220 and 420 "Operations with resident banks and the National Bank" reflect operations for purchase and sale, as well as withdrawal from bank accounts and crediting to bank accounts of cash foreign currency.
Lines with codes 225 and 425 "Operations with non-resident banks" reflect operations for purchase and sale, as well as withdrawal from bank accounts and crediting to bank accounts of cash foreign currency, excluding operations included in lines with codes 210 or 410.
When filling out Form 16-PB, the following conditions must be met:

for each column of Form 16-PB:

line with code 200 = line with code 210 + line with code 220 + line with code 225 + line with code 230 + line with code 240 + line with code 245 + line with code 250 + line with code 260 + line with code 270 + line with code 280 + line with code 300 + line with code 311 + line with code 320;

line with code 400 = line with code 410 + line with code 420 + line with code 425 + line with code 430 + line with code 440 + line with code 445 + line with code 450 + line with code 460 + line with code 470 + line with code 480 + line with code 500 + line with code 511 + line with code 520;

line with code 600 = line with code 100 + line with code 200 - line with code 400.

Corrections (changes, additions) to data in Form 16-PB are made until the 20th (inclusive) day of the month following the reporting month.
In the absence of operations and/or balances of cash foreign currency at the beginning or end of the period in the reporting period, Form 16-PB is not submitted.
All operations must be allocated to the corresponding indicators. Operations for withdrawal from accounts in national currency with simultaneous conversion into foreign currency are reflected on line with code 450 "Sold to individuals through bank exchange offices".

Operations for receipt of foreign currency, including through an ATM, after simultaneous conversion and crediting to accounts in national currency are reflected on line with code 250 "Purchased from individuals through bank exchange offices".

Lines 320 "Other receipts" and 520 "Other expenditures" reflect other operations (surpluses, shortages, transfer of worn banknotes, banknotes in transit, etc.) with the submission of a supporting document.

If the difference upon control with the balance (700-N) exceeds 500 (five hundred) dollars (in equivalent), a calculation of the difference must be attached.

Appendix 7

to the List of certain Resolutions

of the Board of the National Bank

of the Republic of Kazakhstan, to which

amendments are made

Appendix 1

to [Rules](jl:33833162.1.1006702298_1" \o "Resolution of the Board of the National Bank of the Republic of Kazakhstan dated November 29, 2018 No. 294 ) for the implementation of currency operations in the Republic of Kazakhstan

Form,

intended for the collection of administrative data

Submitted to: National Bank of the Republic of Kazakhstan

Form intended for the collection of administrative data on a gratuitous basis, is posted on the internet resource: www.nationalbank.kz

Name of the administrative form: Violation Card No. __

Index of the form intended for the collection of administrative data on a gratuitous basis: KN1

Frequency: monthly

Reporting period: for ______ month ______ year

List of persons submitting the form intended for the collection of administrative data on a gratuitous basis: authorized bank

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: monthly, by the last day of the month following the reporting period

BIN: ______

Collection method: in electronic form


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), organizational-legal form (if any), surname, name, patronymic (if any) (for individuals)
12	BIN (for legal entities or branches (representative offices) of legal entities)
13	IIN (for individuals)
14	client status: 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 the currency operation:
21	date
22	amount
23	currency
30	Information on the violation:
31	type
32	description of the violation
33	currency contract number (indicated without spaces)
34	currency contract date (in DD/MM/YYYY format)
35	account number (if any)
36	other information on the currency contract (if any)
37	additional information on the violation

Name ______ Address ______

Phone______

Email address______

Executor______

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

Head or person performing his duties

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

Date "____" ______ 20__ year

Note: the form is filled out in accordance with the instructions for filling out the form intended for the collection of administrative data on a gratuitous basis "Violation Card".

Appendix

to the form intended for the collection of administrative data on a gratuitous basis

"Violation Card"

Instructions

on filling out the form intended for the collection of

administrative data on a gratuitous basis

Violation Card

(index – KN1, frequency – monthly)

Chapter 1. General Provisions

These instructions define the requirements for filling out the form intended for the collection of administrative data "Violation Card" (hereinafter – Form).

Chapter 2. Filling out the Form

Information is submitted in cases specified in paragraph 8 of the Rules.
In the row with code 11, the surname, first name, and patronymic (if any) of an individual; the name of a legal entity or branch (representative office) of a legal entity; and the organizational-legal form (if any) are indicated.
In the row with code 16, the first 2 digits of the region code according to the national classifier of the Republic of Kazakhstan NK RK 11 "Classifier of Administrative-Territorial Objects" are indicated.
Rows with codes 21, 22, and 23 are not filled in for cases of violation of the deadlines for submitting documents or information.
In the row with code 21, the date of the currency operation conducted in violation of currency legislation is indicated.
In the row with code 22, the amount of the currency operation conducted in violation of currency legislation, in thousands of units of the operation's currency, is indicated.
In the row with code 23, the letter code of the currency for the currency operation conducted in violation of currency legislation, in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the Representation of Currencies and Funds," is indicated.
In the row with code 31, the type of violation in text and/or numeric format is indicated.
In the row with code 32, a brief description of the violation in text format is provided.
Rows with codes 34, 35, and 36 are filled in if there is a currency contract for a currency operation conducted in violation of currency legislation.

Appendix 8

to the List of Certain Resolutions

of the Board of the National Bank

of the Republic of Kazakhstan

with Amendments

Appendix 2

to the Rules for conducting currency operations in the Republic of Kazakhstan

Form

Information on Currency Operation

Code of the authorized bank ______

Payment document number ______

Date ______


Row Code	Type of Information	Information
01	Code of currency operation
02	Payment (money transfer) indicator ("1" – intra-corporate money transfer; "0" – other payment (money transfer)
10	Information on the sender and beneficiary of the payment and/or money transfer specified in the payment document
11	Code of the sender's country of residence
12	Code of the beneficiary's country of residence
20	Information on the currency contract:
21	Number (name, if any) of the contract
22	Date of the contract
23	Accounting number of the contract (if any)
24	Other information on the currency contract (if any)
30	Information on the money sender under the currency contract (filled in if different from the money sender specified in the payment document)
31	Residence indicator
32	Surname, first name, patronymic (if any) of an individual. Name of a legal entity, its branch (representative office)
33	IIN or BIN (if any)
34	Code of the economic sector
35	Code of the country of residence
40	Information on the money recipient under the currency contract (filled in if different from the beneficiary specified in the payment document)
41	Residence indicator
42	Surname, first name, patronymic (if any) of an individual. Name of a legal entity, its branch (representative office)
43	IIN or BIN (if any)
44	Code of the economic sector
45	Code of the country of residence

Note: The form is filled in accordance with the instructions for filling out the form "Information on Currency Operation."

Appendix

to the form "Information on Currency Operation"

Instructions for Filling Out the Form "Information on Currency Operation"

Chapter 1. General Provisions

These instructions (hereinafter – Instructions) define the requirements for filling out the form "Information on Currency Operation" (hereinafter – Form).
The Form is filled out as an attachment to the corresponding payment document.

Chapter 2. Filling Out the Form

Rows 01, 02, 11, and 12 are filled out by resident and non-resident clients. Rows 21, 22, 23, 24, 31, 32, 33, 34, 35, 41, 42, 43, 44, and 45 are filled out only by residents.
Row 01 is filled out in accordance with the table of currency operation codes, which is an appendix to the Instructions.
In rows 11, 12, 35, and 45, the two-digit code of the country of residence is indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK ISO 3166-1 "Codes for the Representation of Country Names and Units of Their Administrative-Territorial Divisions. Part 1. Country Codes."

Country of residence – the country of registration of a legal entity, a structural subdivision of a legal entity, or the country of permanent residence of an individual (based on citizenship or rights granted in accordance with the legislation of the Republic of Kazakhstan or a foreign state).

Rows 31, 34, 41, and 44 are filled out in accordance with the Rules for applying codes of economic sectors and payment purposes, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 31, 2016 No. 203 "On Approval of the Rules for Applying Codes of Economic Sectors and Payment Purposes" (registered in the Register of State Registration of Normative Legal Acts under No. 14365), which is consistent with the National Classifier of Economic Sectors (NCE).

Appendix

to the instructions for filling out the form

"Information on Currency Operation"

Table

Codes of Currency Operations


Codes of Currency Operations		Name of Operations
1. Operations using bank accounts
11. Foreign trade operations (goods, works, services), including under commission agreements and purchase/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 within the territory of the Republic of Kazakhstan without their export beyond the territory of the Republic of Kazakhstan
1114		payments for goods purchased or sold outside the territory of the Republic of Kazakhstan 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 provided by a non-resident to a resident
1122		payments for works or services performed or provided by a resident to a non-resident
1123		payments for works or services provided by a resident to a resident.
1124		payments for works or services performed or provided by a non-resident to a non-resident
11.3 operations with electronic money
1131		operations with electronic money, the issuer of which is a resident
1132		operations with electronic money, the issuer of which is a non-resident
11.4 other payments:
1141		incidental payments under contracts for the supply of goods, performance of works, provision of services
1142		return of erroneously transferred sums, as well as payment for undelivered goods, unprovided services, unperformed works
1143		other payments under contracts for the supply of goods, performance of works, provision of services
12. Operations with real estate, other equipment and transport vehicles (except purchase or sale), non-produced non-financial assets, objects of intellectual property, intangible assets
12.1. acquisition of ownership rights, including partial participation in residential construction, full exclusive rights to objects of intellectual property
1211		acquisition of ownership rights to real estate, excluding property equated to real estate, non-produced non-financial assets (land, its subsoil)
1212		acquisition of ownership rights to property equated to real estate
1213		acquisition of full exclusive rights to objects of intellectual property
1214		acquisition of ownership rights to other intangible assets
12.2. current lease (including subsoil use rights), partial acquisition of exclusive rights
1221		lease of real estate, excluding property equated to real estate, non-produced non-financial assets (land, its subsoil)
1222		lease of property equated to real estate
1223		lease of equipment and transport vehicles
1224		acquisition of partially exclusive rights to objects of intellectual property
1225		licensing and other payments for the use of other intangible assets
12.3. financial leasing or lease with subsequent purchase
1231		lease of real estate, excluding property equated to real estate, with subsequent purchase
1232		financial leasing of property equated to real estate
1233		financial leasing of equipment and transport vehicles
12.4. other payments
1241		other payments: incidental payments (fines, penalties, forfeits, commissions), return of erroneously transferred sums, and other payments for operations with real estate, other equipment and transport vehicles (except purchase or sale), non-produced non-financial assets, objects of intellectual property, intangible assets
13. Operations with financial instruments
13.1. loans, equity instruments, securities, derivative financial instruments
1311		payments on loans (issuance and attraction, repayment and income from them)
1312		payments on derivative financial instruments and payment of income from them
1313		equity participation (formation of charter capital, purchase, sale)
1314		dividends (profit distribution)
1315		debt securities (issuance, purchase, sale, repayment, income from them)
13.2. under brokerage service agreements, portfolio investment management (if it is not possible 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. fiduciary management of property, trusts
1331		operations under agreements concluded with a fiduciary manager - resident
1332		operations under agreements concluded with a fiduciary 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 the implementation of joint activity within the territory of the Republic of Kazakhstan
1342		operations under agreements providing for the implementation of joint activity outside the territory of the Republic of Kazakhstan
13.5. other payments
1351		other payments: incidental payments (fines, penalties, forfeits, commissions), return of erroneously transferred sums, and other payments for operations with financial instruments, electronic money, brokerage service agreements, portfolio investment management, fiduciary management, trust, joint activity
14. Payments and/or money transfers on own accounts and non-trade operations
14.1. on own accounts
1411		transfer of money to own account (from own account) in another bank-resident
1412		transfer of money from (to) own (own) account (accounts) in a foreign bank
1413		withdrawal of foreign currency cash from an account in a bank-resident
1414		deposit of foreign currency cash to replenish an account in a bank-resident
1415		purchase by an authorized bank of foreign currency from a client, sale by a broker on behalf of a client of foreign currency for national currency, except for the operation specified in code 1419
1416		sale by an authorized bank of foreign currency to a client, purchase by a broker on behalf of a client of foreign currency for national currency
1417		purchase (sale) by an authorized bank of foreign currency from a client (to a client), purchase (sale) by a broker on behalf of a client of foreign currency for another foreign currency
1418		purchase/sale of other currency values
1419		sale by a client of previously purchased and unused foreign currency within the established deadlines
14.2. payments and/or money transfers to third parties (state bodies, other organizations or individuals)
1421		gratuitous transfers of money, gratuitous financial assistance, membership fees, and other payments and/or money transfers to third parties
1422		deposit of foreign currency cash to replenish a third party's account in a bank-resident
1423		payments using a payment card (if the operation is not classified otherwise)
1424		payment of fees, taxes, fines, court decisions, and the like
1425		payment of pensions, salaries, travel expenses
1426		remuneration and commissions on bank accounts
14.3. incidental payments
1431		other payments: incidental payments (fines, penalties, forfeits, commissions), return of erroneously transferred sums, and other operations not included in sections 14.1, 14.2
15. Operations with digital assets
1501		operations for the purchase of digital assets
1502		operations for the sale of digital assets
2. Operations without using bank accounts
21. Purchase of currency values from clients (except for foreign currency cash)
2101		purchase of checks, bills of exchange, other payment documents
2102		purchase of assay gold bars and other currency values
22. Sale of currency values to clients (except for foreign currency cash)
2201		sale of checks, bills of exchange, other payment documents
2202		sale of assay gold bars and other currency values
23. Payments and/or money transfers without opening an account
2301		payment and/or money transfer within the territory of the Republic of Kazakhstan
2302		payment and/or money transfer sent outside the territory of the Republic of Kazakhstan or received from abroad
24. Payments and/or money transfers on own accounts of an authorized bank, which is a professional participant of the securities market
24.1. on own accounts
2415		purchase by an authorized bank, which is a professional participant of the securities market, of foreign currency for its own purposes in national currency
2416		sale by an authorized bank, which is a professional participant of the securities market, of foreign currency for its own purposes in national currency
2417		purchase (sale) by an authorized bank, which is a professional participant of the securities market, of foreign currency for another foreign currency

Appendix 9

to the List of Certain Resolutions

of the Board of the National Bank

of the Republic of Kazakhstan

with Amendments

Appendix 1

to the [Rules](jl:34751939.100.1006869885_1" \o "Resolution of the Board of the National Bank of the Republic of Kazakhstan dated March 30, 2019 No. 41 \«On Approval of the Rules for Presenting Information by Branches (Representative Offices) of Foreign Non-Financial Organizations Carrying Out Activity in the Republic of Kazakhstan\» (as amended on 28.02.2022 g.)) for Presenting

Information by Branches (Representative Offices)

of Foreign Non-Financial Organizations,

Carrying Out Activity

in the Republic of Kazakhstan

Form,

Intended for the Collection of Administrative Data

Submitted: to the territorial branch of the National Bank of the Republic of Kazakhstan at the location of the branch (representative office) of a foreign non-financial organization carrying out activity in the Republic of Kazakhstan for more than one year

Form, intended for the collection of administrative data on a gratuitous basis, is posted on the internet resource: www.nationalbank.kz

Name of the administrative form: Report on the Branch (Representative Office) of a Foreign Non-Financial Organization

Index of the form intended for the collection of administrative data on a gratuitous basis: VM_BI_1

Frequency: one-time, upon request of the territorial branch of the National Bank of the Republic of Kazakhstan

Reporting period: for ______ year

Circle of persons submitting the form intended for the collection of administrative data on a gratuitous basis: branch (representative office) of a foreign non-financial organization carrying out activity in the Republic of Kazakhstan for more than one year

Deadline for submitting the form intended for the collection of administrative data on a gratuitous basis: no later than 10 (ten) working days from the date of receipt of the request from the territorial branch of the National Bank of the Republic of Kazakhstan

BIN: ______

Collection method: on paper

Name of the branch (representative office) of a foreign non-financial organization carrying out activity in the Republic of Kazakhstan for more than one year (hereinafter – branch (representative office)

Part A. "General Information"

Head ______

surname, first name, patronymic (if any)

Actual address ______

telephone ______ fax ______ e-mail______

Information on the foreign non-financial organization that created the branch (representative office) within the territory of the Republic of Kazakhstan:

Name ______

Country of registration______

Country of registration identification number (if any) ______

BIN (if any) ______

Information on the founders and/or shareholders of the foreign non-financial organization that created the branch (representative office) within the territory of the Republic of Kazakhstan, owning not less than ten percent of voting shares or participants' votes, or their equivalent


Name	Country of Registration	Country of Registration Identification Number (for a non-resident, if any), BIN or Individual Identification Number (for a resident)	Share (in percent) of participation in charter capital
1	2	3	4

Date of accounting registration of the branch (representative office)______
Types of activity ______

indicated in accordance with the regulation on the branch (representative office)

Number of employees ______ of whom non-residents ______

Part B. Specific Indicators of Production and Financial Activity for ______ year

in millions of tenge


Row Code	Name of Indicator	Amount
A	B	1
1	Part 1. Goods	x
2	Volume of produced goods
3	Volume of sold goods
4	Volume of purchased goods
5	Part 2. Services	x
6	Volume of produced services
7	Volume of sold services
8	Volume of purchased services
9	Part 3. Assets (claims)
10	in particular claims to non-residents (except for claims to branches (representative offices) of foreign financial and non-financial organizations carrying out activity within the territory of the Republic of Kazakhstan) ((11)+(12)+(13)+(14))
11	claims to the foreign non-financial organization that created the branch (representative office) within the territory of the Republic of Kazakhstan, its structural subdivisions abroad
12	accounts receivable of other non-residents related to the supply of goods (works, services)
13	foreign currency in cash form and in accounts in foreign banks
14	other claims
15	Part 4. Liabilities
16	in particular liabilities to non-residents (except for liabilities to branches (representative offices) of foreign financial and non-financial organizations carrying out activity within the territory of the Republic of Kazakhstan) ((17)+(18)+(19)+(20))
17	liabilities to the foreign non-financial organization that created the branch (representative office) within the territory of the Republic of Kazakhstan, its structural subdivisions abroad
18	financial loans from other non-residents
19	accounts payable to other non-residents related to the supply of goods (works, services)
20	other liabilities
21	Part 5. Net profit (loss) after payment of taxes

Name ______ Address ______

Telephone______

Email Address______

Executor______

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

Head or person acting on his behalf

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

Date "____" ______ 20__ year

Note: The form is filled out in accordance with the instructions for filling out the form intended for the collection of administrative data on a gratuitous basis "Report on the Branch (Representative Office) of a Foreign Non-Financial Organization."

Appendix

to the form intended for

the collection of administrative data

on a gratuitous basis

"Report on the Branch

(Representative Office) of a Foreign

Non-Financial Organization"

Instructions

for filling out the form intended for the collection of administrative data

on a gratuitous basis

Report on the Branch (Representative Office) of a Foreign Non-Financial Organization

(index – VM_BI_1, frequency – one-time)

Chapter 1. General Provisions

These instructions define the requirements for filling out the form intended for the collection of administrative data on a gratuitous basis, "Report on the Branch (Representative Office) of a Foreign Non-Financial Organization" (hereinafter – Form).
The Form is signed by the first head (during his absence – the person acting on his behalf).
The Form is submitted on paper.

Chapter 2. Filling Out the Form

The following concepts are used to fill out the Form:

1) country of registration – the country of registration of a legal entity, a branch (representative office) of a legal entity, or the country of permanent residence of an individual, including on the basis of citizenship or rights granted in accordance with the legislation of the Republic of Kazakhstan or a foreign state;

2) country of registration identification number – a unique identification number of a foreign state, formed for an individual or legal entity in accordance with the legislation of the country of registration.

In Part A of the Form, under "Country of Registration," the two-letter country code is indicated according to the national classifier of the Republic of Kazakhstan

NK RK ISO 3166-1 "Codes for the Representation of Country Names and Units of Their Administrative-Territorial Divisions. Part 1. Country Codes."

In Part B of the Form, the results of the branch (representative office) operations are reflected in millions of tenge.
Indicators of sections 1, 2, and 5 are reflected at the end of the year:

in the row with code 4, the volume of purchased goods is indicated, which includes costs for raw materials and components, semi-finished products, auxiliary materials, fuel, and energy;

in the line with code 8, the volume of purchased services is indicated, which includes services of a production and non-production nature performed by third-party organizations.

Indicators of sections 3 and 4 are reflected as of the end of the year:

in the line with code 9, the total amount of assets (claims) from the "Assets" section of the branch (representative office) balance sheet is indicated;

in the line with code 10, the amount of claims to non-residents (excluding claims to branches (representative offices) of foreign financial and non-financial organizations operating in the Republic of Kazakhstan) is indicated;

in the line with code 15, the total amount of liabilities from the "Liabilities" section of the branch (representative office) balance sheet is indicated;

in the line with code 16, the amount of liabilities to non-residents (excluding liabilities to branches (representative offices) of foreign financial and non-financial organizations operating in the Republic of Kazakhstan) is indicated.

In the absence of information for the reporting period, the Form is submitted with zero values.

Appendix 10

to the List of certain resolutions

of the Board of the National Bank

of the Republic of Kazakhstan, to which

amendments are made

Appendix 2

to the Rules for submission

of information by branches (representative offices)

of foreign non-financial organizations,

operating in

the Republic of Kazakhstan

Form,

designed for the collection of administrative data

Submitted to: the territorial branch of the National Bank of the Republic of Kazakhstan at the location of the branch (representative office) of a foreign non-financial organization operating in the Republic of Kazakhstan for more than one year

Form, designed for the collection of administrative data on a gratuitous basis, is posted on the Internet resource: www.nationalbank.kz

Name of the administrative form: Report on projects implemented in the Republic of Kazakhstan

Index of the form designed for the collection of administrative data on a gratuitous basis: VM_P_2

Frequency: annual

Reporting period: for ______ year

The circle of persons submitting the form designed for the collection of administrative data on a gratuitous basis: the branch (representative office) of a foreign non-financial organization included in the list of branches (representative offices) formed in accordance with point 5 of the Rules for submission of information by branches (representative offices) of foreign non-financial organizations operating in the Republic of Kazakhstan, which is an operator under a production sharing agreement

Deadline for submitting the form designed for the collection of administrative data on a gratuitous basis: April 5 (inclusive) of the current year

BIN: ______

Collection method: on paper or in electronic form

name of the branch (representative office) of a foreign non-financial

organization operating in the Republic of Kazakhstan

for more than one year (hereinafter – branch (representative office)

Part 1. Construction of objects


No.	Name of the object	Location of the object	Customer		Project validity period
Name	BIN (Individual Identification Number (hereinafter – IIN) (if any)	start date	end date
A	1	2	3	4	5	6

Part 2. Execution of works (provision of services)


No.	Name of works performed (services provided)	Project implementation location	Customer		Project validity period
Name	BIN (IIN) (if any)	start date	end date
A	1	2	3	4	5	6

Part 3. Contractors and subcontractors


No.	Name of contractor (subcontractor)	BIN (IIN) (if any)	Country of registration	Country of registration identification number (if any)	Name of works performed (services provided)
A	1	2	3	4	5

Name ______ Address ______

Phone ______

Email address ______

Executor ______

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

Head or person acting on his behalf

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

Date “____” ______ 20__ year

Note: the form is filled out in accordance with the instructions for filling out the form designed for the collection of administrative data on a gratuitous basis “Report on projects implemented in the Republic of Kazakhstan”.

Appendix

to the form designed for the collection

of administrative data on

a gratuitous basis

“Report on projects implemented

in the Republic of Kazakhstan”

Explanation

on filling out the form designed for the collection

of administrative data on a gratuitous basis

Report on projects implemented in the Republic of Kazakhstan

(index - VM_P_2, frequency - annual)

Chapter 1. General Provisions

This explanation defines the requirements for filling out the form designed for the collection of administrative data on a gratuitous basis, “Report on projects implemented in the Republic of Kazakhstan” (hereinafter – Form).
The Form is signed by the first head (in his absence - the person acting on his behalf) and the executor.
The Form is submitted on paper or in electronic form.

Chapter 2. Filling out the Form

The following concepts are used to fill out the Form:

1) project – a set of works performed (services provided) under a contract concluded between the customer and the executor (contractor and subcontractor);

2) country of registration – the country of registration of a legal entity, a branch (representative office) of a legal entity, or the country of permanent residence of a physical person, including on the basis of citizenship or rights granted in accordance with the legislation of the Republic of Kazakhstan or a foreign state;

3) country of registration identification number – a unique identification number of a foreign state formed for a physical person or legal entity in accordance with the legislation of the country of registration.

The Form reflects information about projects implemented in the reporting period in the Republic of Kazakhstan, with the participation of a branch (representative office).
Part 1 reflects information about construction services provided in the reporting period within the territory of the Republic of Kazakhstan.
Part 2 reflects information about works performed (services provided) implemented in the reporting period in the Republic of Kazakhstan, which are not reflected in Part 1.
Part 3 reflects information about contractors or subcontractors engaged in the reporting period to perform the works specified in Part 2, and to provide services specified in Parts 1 and 2.

In column 3 “Country of registration”, a two-letter country code is indicated according to the National Classifier of the Republic of Kazakhstan NC RK ISO 3166-1 “Codes for the presentation of country names and units of their administrative-territorial subdivisions. Part 1. Country codes”.

In the absence of information for the reporting period, the Form is submitted with zero values.
Corrections (changes, additions) to the Form are made within 6 (six) months after the established point 7 of the Rules for submission of information by branches (representative offices) of foreign non-financial organizations operating in the Republic of Kazakhstan, submission deadline.

Appendix 11

to the List of certain resolutions

of the Board of the National Bank

of the Republic of Kazakhstan, to which

amendments are made

Appendix 3

to the Rules for submission

of information by branches (representative offices)

of foreign non-financial organizations,

operating in

the Republic of Kazakhstan

Form,

designed for the collection of administrative data

Form, designed for the collection of administrative data on a gratuitous basis, is posted on the Internet resource: www.nationalbank.kz

Name of the administrative form: Report on the implementation of projects in the Republic of Kazakhstan

Index of the form designed for the collection of administrative data on a gratuitous basis: VM_PR_3

Frequency: quarterly

Reporting period: for _____ quarter 20____ year

Deadline for submitting the form designed for the collection of administrative data on a gratuitous basis: by the 20th (inclusive) day of the first month following the reporting quarter

BIN: ______

Collection method: on paper or in electronic form

name of the branch (representative office) of a foreign non-financial organization operating in the Republic of Kazakhstan for more than one year (hereinafter – branch (representative office)

Part 1. Purchase and sale of goods

in thousands of United States dollars (hereinafter – USD)


Line code	Indicator name	Cost
A	B	1
10	Equipment received from a foreign non-financial organization that created a branch (representative office) in the Republic of Kazakhstan, from its structural subdivisions abroad
11	Other goods received from a foreign non-financial organization that created a branch (representative office) in the Republic of Kazakhstan, from its structural subdivisions abroad
12	Equipment and other goods received from its structural subdivisions in Kazakhstan
13	Purchase of equipment and other goods from non-residents from the investor group (excluding branches (representative offices) of foreign financial and non-financial organizations operating in the Republic of Kazakhstan)
14	Purchase of equipment and other goods from other non-residents (excluding branches (representative offices) of foreign financial and non-financial organizations operating in the Republic of Kazakhstan)
15	Equipment sent to a foreign non-financial organization that created a branch (representative office) in the Republic of Kazakhstan, to its structural subdivisions abroad
16	Other goods sent to a foreign non-financial organization that created a branch (representative office) in the Republic of Kazakhstan, to its structural subdivisions abroad
17	Equipment and other goods sent to its structural subdivisions in Kazakhstan
18	Sale of equipment and other goods to non-residents from the investor group (excluding branches (representative offices) of foreign financial and non-financial organizations operating in the Republic of Kazakhstan)
19	Sale of equipment and other goods to other non-residents (excluding branches (representative offices) of foreign financial and non-financial organizations operating in the Republic of Kazakhstan)

Part 2. Provision of services to non-residents (excluding branches (representative offices) of foreign financial and non-financial organizations operating in the Republic of Kazakhstan)

in thousands of USD


No.	Operation description	Service type code	Customer				Amount
name	country of registration	BIN (if any)	country of registration identification number (if any)
A	1	2	3	4	5	6	7

	Total:

Part 3. Purchase of services from non-residents (excluding branches (representative offices) of foreign financial and non-financial organizations operating in the Republic of Kazakhstan)

in thousands of USD


No.	Operation description	Service type code	Executor				Amount
name	country of registration	BIN (if any)	country of registration identification number (if any)
A	1	2	3	4	5	6	7

	Total:

Part 4. Labor remuneration

in thousands of USD


Line code	Indicator name	Amount
A	B	1
1	Wages paid to non-resident employees
	including by country of registration:

Part 5. Separate financial indicators

in thousands of USD


Line code	Indicator name	Total	Including by country of registration

A	B	1	2	…
Part 5.1. Assets (claims) of the branch (representative office) at the end of the reporting period
10	Total assets		X	X
	of which:	X	X	X
11	Claims to a foreign non-financial organization that created a branch (representative office) in the Republic of Kazakhstan, to its structural subdivisions abroad
12	Claims to non-residents from the investor group (excluding branches (representative offices) of foreign financial and non-financial organizations operating in the Republic of Kazakhstan)
13	Claims to other non-residents (excluding branches (representative offices) of foreign financial and non-financial organizations operating in the Republic of Kazakhstan)
Part 5.2. Liabilities of the branch (representative office) at the end of the reporting period
20	Total liabilities		X	X
	of which:	X	X	X
21	Liabilities to a foreign non-financial organization that created a branch (representative office) in the Republic of Kazakhstan, its structural subdivisions abroad
22	Liabilities to non-residents from the investor group (excluding branches (representative offices) of foreign financial and non-financial organizations operating in the Republic of Kazakhstan)
23	Liabilities to other non-residents (excluding branches (representative offices) of foreign financial and non-financial organizations operating in the Republic of Kazakhstan)
Part 5.3. Income of the branch (representative office) for the reporting period
30	Net income (loss) received from the activities of the branch (representative office)		X	X
31	of which net income (loss) received from currency exchange rate changes		X	X
32	Taxes paid to the budget of the Republic of Kazakhstan		X	X
33	Income from the activities of the branch (representative office) paid to a foreign non-financial organization that created a branch (representative office) in the Republic of Kazakhstan		X	X
34	of which transferred to the accounts of a foreign non-financial organization that created a branch (representative office) in the Republic of Kazakhstan ((35)+(36)+(37))		X	X
35	by the branch (representative office)		X	X
36	by resident customers		X	X
37	by non-resident customers

Part 6. Financing of the branch (representative office)

in thousands of USD


Line code	Indicator name	Amount
10	Financing provided by a foreign non-financial organization that created a branch (representative office) in the Republic of Kazakhstan for the reporting period
20	Repayment of financing provided by a foreign non-financial organization that created a branch (representative office) in the Republic of Kazakhstan

Name ______ Address ______

Phone ______

Email address ______

Executor ______

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

Chief Accountant or person acting on his behalf

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

Date “____” ______ 20__ year

Note: the form is filled out in accordance with the instructions for filling out the form designed for the collection of administrative data on a gratuitous basis “Report on the implementation of projects in the Republic of Kazakhstan”.

Appendix

to the form designed for the collection

of administrative data on

a gratuitous basis

“Report on the implementation of projects

in the Republic of Kazakhstan”

Explanation

on filling out the form designed for the collection

of administrative data on a gratuitous basis

Report on the implementation of projects in the Republic of Kazakhstan

(index - VM_PR_3, frequency - quarterly)

Chapter 1. General Provisions

This explanation defines the requirements for filling out the form designed for the collection of administrative data on a gratuitous basis, “Report on the implementation of projects in the Republic of Kazakhstan” (hereinafter – Form).
The Form is signed by the chief accountant (in his absence – the person acting on his behalf), the executor.
The Form is submitted on paper or in electronic form.

Chapter 2. Filling out the Form

The following concepts are used to fill out the Form:

1) indirect investor – the direct investor of the direct investor;

2) project – a set of works performed (services provided) under a contract concluded between the customer and the executor (contractor and subcontractor);

3) investor group – direct investors, indirect investors, sister organizations of a foreign non-financial organization that created a branch (representative office) in the Republic of Kazakhstan;

4) direct investor – the founder and/or shareholder of a foreign non-financial organization that created a branch (representative office) in the Republic of Kazakhstan, owning not less than ten percent of voting shares or voting rights of participants, or their equivalent;

5) country of registration – the country of registration of a legal entity, a branch (representative office) of a legal entity, or the country of permanent residence of a physical person, including on the basis of citizenship or rights granted in accordance with the legislation of the Republic of Kazakhstan or a foreign state;

6) country of registration identification number – a unique identification number of a foreign state formed for a physical person or legal entity in accordance with the legislation of the country of registration.

The Form reflects reporting data on the progress of implementation in the reporting period of projects within the territory of the Republic of Kazakhstan with the participation of a branch (representative office).

The branch (representative office), which is an operator under a production sharing agreement, fills out Part 1 of the Form.

All indicators of the Form are reflected in thousands of US dollars, in whole numbers. If the currency of the operation and indicator differs from the US dollar, the equivalent amount is calculated using the market exchange rate of the currency on the day the operation was performed.
Operations for goods (works, services) are reflected by the date of their actual implementation (actual delivery of goods (actual performance of works, provision of services), and not by the time of actual payment. The date of actual performance of works (provision of services) is the date of signing the acceptance act for completed works (provided services). If the contract does not provide for the preparation of acceptance acts for completed works (provided services), the date of performance of works (provision of services) is the date of issuing the invoice (invoice).
Part 1 reflects information about the purchase and sale of goods within the implementation of projects.
Part 2 reflects information about the performance of works (provision of services) to non-residents (excluding branches (representative offices) of foreign financial and non-financial organizations operating in the Republic of Kazakhstan) within the implementation of projects.
Part 3 reflects information about works performed (services provided) by non-residents (excluding branches (representative offices) of foreign financial and non-financial organizations operating in the Republic of Kazakhstan) for the implementation of projects.
In Parts 2 and 3:

in column 1, a description of the operation performed for services provided is reflected according to the acceptance acts for services provided or the purpose of payment in invoices;

in column 2, the code of the type of services provided is indicated in accordance with Table 1;

in column 3, the name of the customer (executor) is indicated;

in column 4, the country of the customer (executor) is indicated;

in column 5, the BIN (if any) of the customer (executor) is indicated;

in column 6, the country of registration identification number (if any) of the customer (executor) is indicated;

in column 7, the amount of the operation in thousands of US dollars is indicated.

Part 4 reflects the accrued for the reporting period wages of non-resident employees in cash and in kind. In column 3, the amount is indicated in thousands of US dollars according to the name of the indicator (lines 50 and 60). Non-resident employees include foreign workers hired for work for less than a year, and foreign workers attracted to work on a shift basis. In-kind wages consist of payments in the form of goods and services, such as food, housing, vehicles, free travel, transportation to and from work, services of sports centers and rest homes, stock options.
Part 5 reflects indicators from the financial statements of the branch (representative office).
Part 5.1 reflects information from the “Assets” section, Part 5.2 – information from the “Liabilities” section of the branch (representative office) balance sheet: total (lines with codes 10 and 20) and with respect to various types of partners:

to a foreign non-financial organization that created a branch (representative office) in the Republic of Kazakhstan, and to its structural subdivisions abroad,

to non-residents from the investor group (excluding branches (representative offices) of foreign financial and non-financial organizations operating in the Republic of Kazakhstan),

to other non-residents (excluding branches (representative offices) of foreign financial and non-financial organizations operating in the Republic of Kazakhstan).

Claims and liabilities include claims and liabilities for financial loans, for the export (import) of goods (works, services), and for other operations.

In lines with codes 30 and 31, information from the income (expense) statement of the branch (representative office) is reflected.

In rows with codes 35 and 36, the income of the branch (representative office) from implemented projects is reflected, which was remitted by the project customers to the accounts of a foreign non-financial organization, bypassing the accounts of the branch (representative office) in foreign and/or authorized banks.

For the purpose of filling out Part 5, exchange rates used in the preparation of financial statements are used for conversion. At the same time, weighted average rates for the reporting period are used for the conversion of income, and rates for the corresponding date are used for balances at the end of the reporting period.
Reporting data is reflected in a breakdown by countries of registration of partners in foreign economic operations. It is permitted to combine reporting data for several countries and attribute them to the country "Other countries" if the volume of operations and positions (balances) for each separate country does not exceed one thousand US dollars.
In Parts 2, 3, 4, and 5 of the Form, under "Country of Registration," a two-letter country code according to the national classifier of the Republic of Kazakhstan NC RK ISO 3166-1 "Codes for the representation of names of countries and their administrative-territorial units. Part 1. Country codes" is indicated.
Part 6 reflects the actual volumes of financing received from the foreign non-financial organization that created a branch (representative office) in the Republic of Kazakhstan, and financing returned to it during the reporting period.
In the absence of information for the reporting period, the Form is submitted with zero values.
Corrections (changes, additions) to the Form are made within 6 (six) months after the established paragraph 7 of the Rules for the submission of information by branches (representative offices) of foreign non-financial organizations carrying out activities in the Republic of Kazakhstan, deadline for submission.

Table 1

Types of Services


No.	Types of Services	Service Type Code
1.	Construction services cover all goods and services that are an inseparable part of construction contracts, including site preparation, construction of facilities, installation of prefabricated structures and equipment. They include drilling and construction of water wells, and other construction services, such as rental of construction or demolition equipment with an operator, construction repair.	200
2.	Financial services include commission remuneration for intermediaries in financial transactions and are typically provided by banks and other financial organizations (excluding insurance companies and pension funds). They also include other auxiliary financial services (financial consulting, financial asset management, credit rating services). Remuneration on deposits, loans, and borrowings is not included in financial services.	201
3.	Insurance services cover the provision of various types of insurance services by insurance companies, as well as additional insurance services, such as insurance agent commissions, insurance and pension consulting.	202
4.	Computer services include: sale (acquisition) of custom and off-the-shelf (mass production) software and related licenses; installation of technical equipment and software; consulting in the field of computer hardware and software; repair and maintenance of computers and peripheral devices, data processing and their placement on a server; purchase and sale of originals and ownership rights to system and application software. Computer services do not include: fees for licenses for reproduction and/or distribution of software (use of intellectual property), undeveloped for a specific user training computer courses (other services to individuals).	203
5.	Information services include providing news, photos, and articles to mass media; creation, storage, and distribution of databases; direct individual subscription to periodicals with delivery by mail and other means; library and archive services.	204
6.	Fees for the use of intellectual property include fees for the use of property rights (such as patents, copyrights, trademarks, technological processes, design), as well as fees for licenses for reproduction and/or distribution of produced originals and prototypes (such as books and manuscripts, computer software, cinematographic works, sound recordings).	205
7.	Operating leasing covers the rental of equipment without personnel, rental of vehicles without crew, rental of real estate. Financial leasing, rental of telecommunications lines or capacity (telecommunications services), rental of vehicles with crew (freight or passenger transportation) are excluded.	206
8.	Goods processing services include processing, assembly of material resources. These services include: processing of crude oil, natural gas, metal ores and concentrates; sewing clothes, assembly of electronics, and other types of assembly, except for assembly of ready-made construction structures (construction services).	207
9.	Repair and maintenance services include major and current repairs, maintenance of sea and air vessels, other vehicles, as well as other goods, except for construction repair, computer repair, repair of oil and gas wells. Cleaning and washing of vehicles (other transport services) is excluded.	208
10.	Legal services – legal advice and consulting; provision of services in legal, judicial, and legislative processes; operational assistance to firms; preparation of legal documentation; arbitration services.	209
11.	Accounting, auditing services – consulting services on accounting, bookkeeping, audit, and taxation, preparation of financial statements.	210
12.	Business and management consulting services cover general management consulting, financial management, human resource management, production management, and other management consulting; consulting, guidance, and operational assistance in business policy and strategy issues; public relations services. Management of construction projects (construction services) is excluded.	211
13.	Advertising and market research services – include designing, creating, and marketing advertising via advertising agencies; placement of advertising in mass media, including purchase and sale of advertising time; organization of exhibitions and trade fairs; advertising of goods abroad; marketing research; conducting public opinion polls on various issues.	212
14.	Research and experimental design work (R&D) covers fundamental and applied research in the field of natural and humanitarian sciences, experimental development of new products and technologies, development of operating systems representing technical innovations, as well as purchase and sale of R&D results (such as patents, copyrights, technological processes).	213
15.	Architectural, engineering, and other technical services include the development of architectural and construction projects; geological exploration and surveys, cartography; meteorological services; verification and certification of product quality, technical tests and analysis, technical control; engineering consulting and environmental consulting. Mining engineering is reflected in services related to the extraction of minerals.	214
16.	Waste processing and cleaning – processing of radioactive and other waste; cleaning of contaminated soil and wastewater; cleaning of pollutants, including oil spills; restoration of mining sites; cleaning and sanitary services. Also includes all services related to the cleaning and restoration of the environment.	215
17.	Services related to the extraction of minerals – services related to the extraction of oil, gas, and other minerals, including drilling, construction of drilling rigs, repair and dismantling, cementing of oil and gas wells; mining engineering.	216
18.	Training and personnel preparation – professional training and advanced training of workers. Payment for learning foreign languages, schooling in schools, universities, and others (services to individuals) is excluded.	217
19.	Medical services – medical care for workers related to the implementation of their professional activities. Payment for treatment and sanatorium treatment (services to individuals) is excluded.	218
20.	Trade-related services include commission remuneration for transactions in goods and services payable to traders, commodity exchange brokers, dealers, auctioneers. Brokerage services for financial instruments (financial services) and commission remuneration of agents related to freight and passenger transportation (other transport services) are excluded.	219
21.	Other services include services for the distribution of electricity, water, gas; personnel selection, security, oral and written translation, photographic services, room cleaning, catering organization, real estate services, publishing services, veterinary services, and other business services not included in the above services.	220
22.	Freight transportation – services of transport organizations for the transportation of goods.	221
23.	Passenger transportation – services of transport organizations for the transportation of passengers on charter flights (without purchasing tickets).	222
24.	Auxiliary transport services – include loading and unloading work, storage and warehousing, packaging, auxiliary maintenance of vehicles, as well as commission remuneration of agents related to freight and passenger transportation. Auxiliary transport services do not include the cost of transportation (freight or passenger transportation).	223
25.	Communication services include postal services, courier services, and telecommunications services. Telecommunications services cover the transmission of sound, images, or other information via telephone, teletype, telegraph, radio broadcasting, satellite communication, e-mail, fax, as well as business network services, teleconferences, ancillary services, the Internet, and access to it. Telecommunications services do not include the cost of transmitted information, telephone network installation services (construction services), computer services, as well as access and use of database information.	224
26.	Services to individuals and services in the field of culture and recreation cover services related to the production of films, radio and television programs, and recording of musical works; payment of wages to actors, directors in connection with tours, creation of theatrical productions, musical, sports, and circus programs; fees for rental of video and sound recordings, for the right to use (demonstration) of video and sound recordings, for access to TV channels; payments and receipts from rental; purchase and sale of originals and mass production of manuscripts, video and sound recordings; services related to the work of museums, libraries, archives; services for organizing sports events; services of teachers and medical workers outside their country, including services provided remotely.	225
27.	Renting of natural resources includes fees for the temporary use of natural resources, such as land, forests, reserves, reservoirs; for the right to extract minerals and catch fish; for the right of flight over the territory.	226

Appendix 12
to the List of certain resolutions of the Board of the National Bank of the Republic of Kazakhstan, into which amendments are made

Appendix 4
to Rules for the submission of information by branches (representative offices) of foreign non-financial organizations, carrying out activities in the Republic of Kazakhstan

Form, designed for the collection of administrative data

Submitted to: the territorial branch of the National Bank of the Republic of Kazakhstan at the location of the branch (representative office) of the foreign non-financial organization carrying out activities in the Republic of Kazakhstan for more than one year

The Form, designed for the collection of administrative data on a gratuitous basis, is posted on the Internet resource: www.nationalbank.kz

Name of the administrative form: Report on Money Movements on Bank Accounts in Foreign Banks

Index of the Form, designed for the collection of administrative data on a gratuitous basis: VM_MF_4

Frequency: quarterly

Reporting period: for the _____ quarter of 20____ year

Circle of persons submitting the Form, designed for the collection of administrative data on a gratuitous basis: branch (representative office) of a foreign non-financial organization included in the list of branches (representative offices) formed in accordance with paragraph 5 of the Rules for the submission of information by branches (representative offices) of foreign non-financial organizations carrying out activities in the Republic of Kazakhstan

Deadline for submitting the Form, designed for the collection of administrative data on a gratuitous basis: by the 20th (twentieth) day (inclusive) of the first month following the reporting quarter

BIN: ______

Collection method: on paper or in electronic form

name of the branch (representative office) of the foreign non-financial organization carrying out activities in the Republic of Kazakhstan for more than one year (hereinafter – branch (representative office)

in thousands of units of account currency


Row Code	Name of Indicator	Name of Foreign Bank, Country of Registration				…
US Dollar (hereinafter – USA)	Euro	Russian Ruble	Other	…
A	B	1	2	3	4	…
10	Balance at the beginning of the period
20	Money received during the period ((21)+(24)+(25)+(26)+(30)+(34)+(38)+(42))
	in particular:
21	from the foreign non-financial organization that created a branch (representative office) in the Republic of Kazakhstan, from its structural subdivisions abroad ((22)+(23))
22	in the form of financial loans
23	in other form
24	from its structural subdivisions in the Republic of Kazakhstan
25	from branches (representative offices) of foreign financial and non-financial organizations carrying out activities on the territory of the Republic of Kazakhstan
26	from non-residents from the investor group ((27)+(28)+(29))
27	in the form of financial loans
28	for payment of goods (works, services)
29	in other form
30	from residents from the investor group ((31)+(32)+(33))
31	in the form of financial loans
32	for payment of goods (works, services)
33	in other form
34	from other non-residents ((35)+(36)+(37))
35	in the form of financial loans
36	for payment of goods (works, services)
37	in other form (including remuneration on this account credited by the foreign bank)
38	from other residents ((39)+(40)+(41))
39	in the form of financial loans
40	for payment of goods (works, services)
41	in other form
42	by transfer from other own bank accounts, including currency conversion ((43)+(44))
43	from accounts in authorized banks
44	from accounts in foreign banks
50	Funds spent during the period ((51)+(54)+(55)+(56)+(60)+(64)+(68)+(72))
	in particular:
51	to the foreign non-financial organization that created a branch (representative office) in the Republic of Kazakhstan, to its structural subdivisions abroad ((52)+(53))
52	in the form of financial loans
53	in other form
54	to its structural subdivisions in the Republic of Kazakhstan
55	to branches (representative offices) of foreign financial and non-financial organizations carrying out activities on the territory of the Republic of Kazakhstan
56	to non-residents from the investor group ((57)+(58)+(59))
57	in the form of financial loans
58	for payment of goods (works, services)
59	in other form
60	to residents from the investor group ((61)+(62)+(63))
61	in the form of financial loans
62	for payment of goods (works, services)
63	in other form
64	to other non-residents ((65)+(66)+(67))
65	in the form of financial loans
66	for payment of goods (works, services)
67	in other form
68	to other residents ((69)+(70)+(71))
69	in the form of financial loans
70	for payment of goods (works, services)
71	in other form
72	by transfer to other own bank accounts, including currency conversion ((73)+(74))
73	to accounts in authorized banks
74	to accounts in foreign banks
80	Exchange rate changes (+)/(-)	X	X	X
81	Balance at the end of the period ((10)+(20)-(50)+(80))
82	Remuneration accrued in the reporting period by the foreign bank for this account
83	Overdraft debt at the end of the period (if any)

Name ______ Address ______

Phone ______

Email ______

Executor ______

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

Chief Accountant or person performing his duties

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

Date "____" ______ 20__ year

Note: the form is filled out in accordance with the explanation for filling out the Form, designed for the collection of administrative data on a gratuitous basis "Report on Money Movements on Bank Accounts in Foreign Banks".

Appendix
to Form, designed for the collection of administrative data on a gratuitous basis

"Report on Money Movements on Bank Accounts in Foreign Banks"

Explanation

for filling out the Form, designed for the collection

of administrative data on a gratuitous basis

Report on Money Movements on Bank Accounts in Foreign Banks

(index – VM_MF_4, frequency – quarterly)

Chapter 1. General Provisions

This explanation defines the requirements for filling out the Form, designed for the collection of administrative data on a gratuitous basis, "Report on Money Movements on Bank Accounts in Foreign Banks" (hereinafter – Form).
The Form is signed by the chief accountant (in his absence – the person replacing him), the executor.
The Form is submitted on paper or in electronic form.

Chapter 2. Filling out the Form

The following concepts are used to fill out the Form:

1) indirect investor – the direct investor of the direct investor;

2) investor group – direct investors, indirect investors, sister organizations of the foreign non-financial organization that created a branch (representative office) in the Republic of Kazakhstan;

3) direct investor – founder and/or shareholder of the foreign non-financial organization that created a branch (representative office) in the Republic of Kazakhstan, owning not less than ten percent of voting shares or votes of participants, or their equivalent;

4) country of registration – country of registration of a legal entity, branch (representative office) of a legal entity, or country of permanent residence of a physical person, including on the basis of citizenship or a right granted in accordance with the legislation of the Republic of Kazakhstan or a foreign state.

Under "Country of Registration," a two-letter country code according to the national classifier of the Republic of Kazakhstan NC RK ISO 3166-1 "Codes for the representation of names of countries and their administrative-territorial units. Part 1. Country codes" is indicated.
The Form is filled out for bank accounts in foreign banks in the aspect of foreign banks (indicating the name and country of registration) and three currencies in which bank accounts are opened – US dollar, euro, Russian ruble. For other currencies in which bank accounts are opened, information is provided in aggregate.

If several bank accounts in one currency are opened in one foreign bank of one country of registration, then information about such accounts is provided in aggregate.

If a deposit (deposits) is opened within a current account, then information about such deposit(s) is provided in aggregate with the current account in the corresponding currency.

Bank accounts include current, savings, and escrow accounts of the branch (representative office) opened in foreign banks, as well as joint accounts opened by contracting companies for the financing of projects implemented by branches (representative offices).

Financial loans include requests for the provision of money ("Cash Call Loan"), that is, loans under requests for the allocation of money in case the need of the branch (representative office) exceeds their receipt. The foreign non-financial organization that created a branch (representative office) on the territory of the Republic of Kazakhstan reserves an amount in the established (defined) size for payment of such requests, which are used for financing the project and the current activities of the branch (representative office).

Overdraft includes lending by a foreign bank to the bank account of the branch (representative office) for payment of payment documents by it in case of insufficient (absence) of money in the bank account of the branch (representative office) in accordance with the terms of opening a bank account in a foreign bank.

For bank accounts opened in US dollars, euros, Russian rubles, the report is filled out in thousands of units of account currency.

For bank accounts opened in other currencies, as well as for multi-currency accounts, the report is filled out in thousands of US dollars. Indicators in US dollars are calculated using the market exchange rate of the currency at the end of the previous period (row with code 10), at the end of the reporting period (row with code 81), and on the day of the transaction for other rows. The resulting exchange rate difference is reflected in the row with code 80.

Balance at the beginning of the reporting period (row with code 10) is equal to the balance at the end of the previous period (row with code 81);
Under the row with code 82, remuneration accrued by the foreign bank in the reporting period is reflected, without taking into account taxes on this remuneration.
Under the row with code 83, overdraft debt provided by the foreign bank (if any) is reflected.
In the absence of information for the reporting period, the Form is submitted with zero values.
Adjustments (changes, additions) to the Form are made within 6 (six) months after the established paragraph 7 of the Rules for submitting information by branches (representative offices) of foreign non-financial organizations carrying out activities in the Republic of Kazakhstan, deadline for submission.

Appendix 13

to the List of certain resolutions

of the Board of the National Bank

of the Republic of Kazakhstan, to which

amendments are made

Appendix 5

to Rules for submitting

information by branches (representative offices)

of foreign non-financial organizations,

carrying out activities

in the Republic of Kazakhstan

Form, designed for the collection of administrative data

Submitted to: the territorial branch of the National Bank of the Republic of Kazakhstan at the location of the branch (representative office) of a foreign non-financial organization carrying out activities in the Republic of Kazakhstan for more than one year

The Form, designed for the collection of administrative data on a gratuitous basis, is posted on the website: www.nationalbank.kz

Name of the administrative form: Report on Cost Recovery and Profit Distribution under a Production Sharing Agreement

Index of the Form, designed for the collection of administrative data on a gratuitous basis: VM_SRP_5

Frequency: quarterly

Reporting period: for the _____ quarter of 20____ year

List of persons submitting the Form, designed for the collection of administrative data on a gratuitous basis: branch (representative office) of a foreign non-financial organization included in the list of branches (representative offices) formed in accordance with paragraph 5 of the Rules for submitting information by branches (representative offices) of foreign non-financial organizations carrying out activities in the Republic of Kazakhstan, which is the operator under the production sharing agreement.

Deadline for submitting the Form, designed for the collection of administrative data on a gratuitous basis: by the 25th (twenty-fifth) day (inclusive) of the first month following the reporting quarter.

BIN: ______

Collection method: on paper or electronically

name of the project under the production sharing agreement

name of the branch (representative office) of a foreign non-financial organization carrying out activities in the Republic of Kazakhstan for more than one year

in thousands of United States dollars


Line Code	Indicator Name	Total	Share of the Republic of Kazakhstan	including contracting companies
residents		non-residents
Name of contracting company

100	Share of the contracting company in the production sharing agreement (hereinafter - PSA), %
200	Transactions for the reporting period	x	x	x	x	x	x	x
300	Costs under PSA	x	x	x	x	x	x	x
310	non-recoverable
320	recoverable
330	other
400	Income under PSA	x	x	x	x	x	x	x
410	accrued uplift
420	paid uplift
430	other
500	Product share - contracting company share	x	x	x	x	x	x	x
510	cost-oil
520	profit-oil
600	Adjustments under PSA	x	x	x	x	x	x	x
610	to non-recoverable costs
620	to recoverable costs
630	to uplift
640	other
700	Balance positions (accumulated balances)	x	x	x	x	x	x	x
710	At the beginning of the period	x	x	x	x	x	x	x
711	non-recoverable costs
712	recoverable costs
713	accrued but unpaid uplift
714	other
720	At the end of the period	x	x	x	x	x	x	x
721	non-recoverable costs
722	recoverable costs
723	accrued but unpaid uplift
724	other

Name ______ Address ______

Phone______

Email address______

Executor______

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

Chief Accountant or person performing their duties

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

Date "____" ______ 20__ year

Note: the form is filled out in accordance with the instructions for filling out the Form, designed for the collection of administrative data on a gratuitous basis "Report on Cost Recovery and Profit Distribution under a Production Sharing Agreement".

Appendix

to form, designed for the collection of

administrative data on a

gratuitous basis

"Report on Cost Recovery and

Profit Distribution under

a Production Sharing Agreement"

Explanation

on filling out the form, designed for the collection of

administrative data on a gratuitous basis

Report on Cost Recovery and Profit Distribution under a Production Sharing Agreement

(index - VM_SRP_5, frequency - quarterly)

Chapter 1. General Provisions

This explanation defines the requirements for filling out the Form, designed for the collection of administrative data on a gratuitous basis, "Report on Cost Recovery and Profit Distribution under a Production Sharing Agreement" (hereinafter - Form).
The Form is signed by the chief accountant (in his absence - the person acting in his place), the executor.
The Form is submitted on paper or electronically.

Chapter 2. Filling out the Form

The following concepts are used to fill out the Form:

1) uplift - a percentage accrued (paid) on the unrecovered part of costs;

2) cost-oil - compensatory oil and gas raw materials;

3) contracting company - a participant of the production sharing agreement (hereinafter - PSA) included in the contractor;

4) profit-oil - profitable oil and gas raw materials.

The Form is submitted by operators of projects under PSAs on the territory of the Republic of Kazakhstan in terms of the names of contracting companies and their residency.
Line 100 indicates the share of the contracting company in the PSA in percent. All other indicators are reflected in thousands of United States dollars (hereinafter - USD).
For transactions for the reporting period (lines with codes 310, 320, 330, 410, 420, 430, 510 and 520), if the currency of the indicator differs from USD, the equivalent amount is calculated using the market exchange rate of the currency on the day the transaction was made.
For balance indicators at the beginning of the period (lines with codes 711, 712, 713 and 714), the equivalent amount in USD is calculated using the market exchange rate of the currency at the end of the previous period. At the same time, balances at the beginning of the period must match balances at the end of the previous period.
For balance indicators at the end of the period (lines with codes 721, 722, 723 and 724), the equivalent amount in USD is calculated using the market exchange rate of the currency at the end of the period.
In case of submitting zero values in lines 510 and 520, the volumes of cost-oil and profit-oil in natural terms are indicated in the note, indicating the average price of product sales for the reporting period.
In the absence of information for the reporting period, the Form is submitted with zero values.
Adjustments (changes, additions) to the Form are made as changes are made to accounting documents and (or) reports under the PSA.

Appendix 14

to the List of certain resolutions

of the Board of the National Bank

of the Republic of Kazakhstan, to which

amendments are made

Appendix 3

to the Rules for monitoring currency transactions in the Republic of Kazakhstan

Form, designed for the collection of administrative data

Submitted to: the territorial branch of the National Bank of the Republic of Kazakhstan at the place of assignment of the account number.

The Form, designed for the collection of administrative data on a gratuitous basis, is posted on the website: www.nationalbank.kz.

Name of the administrative form: Report on the Utilization and Service of a Financial Loan.

Index of the Form, designed for the collection of administrative data on a gratuitous basis: PR-K/E-3.

Frequency: quarterly.

Reporting period: ______ quarter ____ year.

List of persons submitting the Form, designed for the collection of administrative data on a gratuitous basis: resident.

Submission deadline: by the 10th (tenth) day (inclusive) of the month following the reporting period.

BIN/IIN: ______

Collection method: electronically/on paper

Account number of the National Bank of the Republic of Kazakhstan ______

Currency of the contract ______ thousands of units of the currency of the currency contract


Line Code	Indicator Name	Total	including in the form of money
		1	2
10	Rate at which remuneration on the loan is accrued in the reporting period (% per annum)		X
Section 1. Information on principal debt
Part 1. Borrower's claims against the lender - advances issued (prepayment)
11	Advances issued (prepayment) at the beginning of the reporting period		X
12	Advances issued by the borrower to the lender in the reporting period (prepayment)
13	Advances repaid by the lender to the borrower (funds provided under the loan by the lender to the borrower) in the reporting period
14	Other (+)/(-) changes to the advance
15	Advances issued (prepayment) at the end of the reporting period (=(11)+(12)-(13)+(14))		X
Part 2. Borrower's obligations to the lender
16	Principal debt at the beginning of the reporting period		X
17	including overdue debt		X
Changes during the reporting period:
18	Increase in debt due to change of resident to another resident (non-resident to another non-resident)		X
19	Increase in debt due to change of resident to non-resident (non-resident to resident)		X
20	Funds provided under the loan to the borrower by the lender
21	Capitalized remuneration (=51)		X
22	Debt repaid by the borrower to the lender
22a	including early
23	Set-off of debt with borrower's claims against the lender under other contracts		X
24	Debt forgiven by the lender to the borrower		X
25	Debt exchanged for equity instruments (of the borrower and/or third parties), real estate and other assets of the borrower		X
26	Debt exchanged for debt securities of the borrower, goods supply and other debt obligations of the borrower		X
27	Decrease in debt due to change of resident to another resident (non-resident to another non-resident)		X
28	Decrease in debt due to change of resident to non-resident (non-resident to resident)		X
29	Transfer (+)/(-) of debt due to obtaining a new account number for other reasons		X
30	Debt written off		X
31	Other (+)/(-) changes to debt (specify)
32	Unutilized part of the loan annulled		X
33	Principal debt at the end of the reporting period (=(16) + (18) + (19) + (20) + (21) - (22) - (24) - (25) - (26) - (27) - (28) + (29) - (30) + (31))		X
34	including overdue debt		X
Section 2. Information on remuneration
Part 1. Borrower's claims against the lender - advances issued (prepayment)
41	Borrower's claims against the lender at the beginning of the reporting period		X
42	Advances issued by the borrower to the lender in the reporting period (prepayment)
43	Advances repaid (remuneration accrued) in the reporting period		X
44	Other (+)/(-) changes to the advance
45	Borrower's claims against the lender at the end of the reporting period (=(41)+(42)-(43)+(44))		X
Part 2. Borrower's obligations to the lender
46	Remuneration debt at the beginning of the reporting period		X
47	including overdue debt		X
Changes during the reporting period:
48	Increase in remuneration due to change of resident to another resident (non-resident to another non-resident)		X
49	Increase in remuneration due to change of resident to non-resident (non-resident to resident)		X
50	Remuneration accrued in the reporting period		X
51	Remuneration capitalized in the reporting period		X
52	Remuneration paid, set-off of remuneration with borrower's claims against the lender under other contracts
53	including early
54	Remuneration forgiven by the lender to the borrower, including by reducing the remuneration rate		X
55	Remuneration exchanged for equity instruments (of the borrower and/or third parties), real estate and other assets of the borrower		X
56	Remuneration exchanged for debt securities of the borrower, goods supply and other debt obligations of the borrower		X
57	Decrease in remuneration due to change of resident to another resident (non-resident to another non-resident)		X
58	Decrease in remuneration due to change of resident to non-resident (non-resident to resident)		X
59	Transfer (+)/(-) of remuneration due to obtaining a new account number for other reasons		X
60	Remuneration written off		X
61	Other (+)/(-) changes to remuneration (specify)
62	Remuneration debt at the end of the reporting period (=(46) + (48) + (49) + (50) - (51) - (52) - (54) - (55) - (56) - (57) - (58) + (59) - (60) + (61)), including:		X
63	overdue debt		X
64	tax debt		X
Section 3. Information on ancillary payments to be paid by the borrower
69	Unpaid commissions, fines and other payments to be paid by the borrower, at the beginning of the reporting period		X
70	Commissions, fines and other payments payable by the borrower under the contract terms paid by the borrower in the reporting period
71	Commissions, fines and other payments payable by the borrower under the contract terms forgiven to the borrower in the reporting period		X
72	Commissions, fines and other payments payable by the borrower under the contract terms written off in the reporting period		X
73	Fines and other payments imposed on the borrower by courts and other state institutions paid by the borrower in the reporting period
74	Other payments by the borrower (specify)
75	Other operations of the borrower, other changes (specify)
76	Unpaid commissions, fines and other payments to be paid by the borrower, at the end of the reporting period		X
Section 4. Information on ancillary payments to be paid to the borrower
79	Unpaid commissions, fines and other payments to be received by the borrower, at the beginning of the reporting period		X
80	Commissions, fines and other payments payable to the borrower under the contract terms paid to the borrower in the reporting period
81	Commissions, fines and other payments payable to the borrower under the contract terms forgiven by the borrower in the reporting period		X
82	Commissions, fines and other payments payable to the borrower under the contract terms written off in the reporting period		X
83	Fines and other payments imposed on the lender by courts and other state institutions paid to the borrower in the reporting period
84	Other payments to the borrower (specify)
85	Other operations in favor of the borrower, other changes (specify)
86	Unpaid commissions, fines and other payments to be received by the borrower, at the end of the reporting period		X

Note______

Resident______

(surname, first name, patronymic (if any) of a natural person,

name of a legal entity)

Address______

Phone ______

Email address ______

Executor______ ______

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

Head or person authorized to sign the report

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

Date of signing the report "__" ______ 20_ year

Note: the form is filled out in accordance with the instructions for filling out the Form, designed for the collection of administrative data on a gratuitous basis "Report on the Utilization and Service of a Financial Loan".

Appendix

to the Form, designed for the collection of

administrative data on a

gratuitous basis "Report on the Utilization and

Service of a Financial Loan"

Explanation

on filling out the Form, designed for the collection of

administrative data on a gratuitous basis

Report on the Utilization and Service of a Financial Loan (index – PR-K/E-3, frequency – quarterly)

Chapter 1. General Provisions

This explanation defines the unified requirements for filling out the Form, designed for the collection of administrative data on a gratuitous basis, "Report on the Utilization and Service of a Financial Loan" (hereinafter - Form).
The Form is submitted quarterly by residents of the Republic of Kazakhstan under currency contracts for financial loans with an assigned account number.
The Form is signed by the head or person authorized to sign the report (for legal entities), and the executor.

Chapter 2. Filling out the Form

Column 1 reflects the utilization and service of the financial loan in the form of payments and/or money transfers, supply of goods (performance of works, provision of services), transfer of assets, other fulfillment of obligations, in column 2 – only in the form of payments and/or money transfers.
Line with code 10 reflects the net (excluding taxes) weighted average remuneration rate on the loan in the reporting period (% per annum). The remuneration rate is reflected in numerical form, rounded to hundredths. If the loan remuneration rate is floating, the base rate value in the reporting period should be used. If the remuneration rate is zero, a zero value is entered.

If the Form is submitted with zero values, then the line with code 10 is not filled.

In Sections 1, 2, 3 and 4, amounts are reflected in thousands of units of the currency of the currency contract. If the loan is multi-currency, amounts are reflected in thousands of United States dollars. The resulting exchange rate difference is reflected in other changes (lines with codes 14, 31, 44, 61, 75 and 85).

Section 1 reflects information on the utilization and repayment of the principal debt, Section 2 – information on the accrual and payment of remuneration (if remuneration is provided for in the currency contract), Sections 3, 4 – information on other transactions not reflected in Sections 1, 2 (if any): in Section 3 – on the borrower's own transactions, in Section 4 – on transactions in favor of the borrower.

Information on tax on remuneration is reflected in Section 2, on other taxes (if any) – in Sections 3, 4.

Sections 1, 2 include the borrower's claims against the lender (if any) (Part 1) and the borrower's obligations to the lender (Part 2).

In the presence of advances (prepayments) issued by the borrower to the lender for the principal debt (remuneration) (Part 1), information on the borrower's obligations to the lender (Part 2) is filled out after full repayment of advances.

Debt at the beginning of the reporting period (lines with codes 11, 16, 17, 41, 46, 47, 69 and 79) is equal to debt at the end of the previous reporting period (lines with codes 15, 33, 34, 45, 62, 63, 76 and 86, respectively). Debt is reflected, including tax debt.
Repayment of debt (line with code 22) includes repayment in the form of money, goods, works (services).

Under forgiveness of funds (debt, remuneration, commissions, fines and other payments – lines with codes 24, 54, 71 and 81) is understood as a partial or full voluntary reduction of the unpaid debt obligation by the borrower based on an agreement between the lender and the borrower.

Under writing off of funds (debt, remuneration, commissions, fines and other payments – lines with codes 30, 60, 72 and 82) is understood as:

1) writing off of funds (off-balance) by a resident unilaterally in the case of liquidation (death) of a non-resident;

2) recognition of funds as repaid in the bankruptcy of a legal entity-resident (not satisfied due to insufficient assets of the liquidated resident for an unclaimed creditor before the approval of the liquidation balance, claims of a creditor not recognized by the liquidation commission).

In the event of a change in the residency of the borrower (lender), obligations between the borrower and the lender are reflected in the report as written off (lines with codes 30, 60, 72 and 82).

Under annulment of the unutilized part of the loan (line with code 32) is understood as a reduction of the unreceived (unutilized) part of the loan funds amount provided for by the currency contract.

Lines with codes 18, 19, 27, 28, 48, 49, 57 and 58 are filled in when changing contract participants, including when assigning a new account number in place of the previously assigned one in accordance with subparagraph 2) of paragraph 15 of the Rules for monitoring currency transactions in the Republic of Kazakhstan, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 10, 2019
No. 64 "On Approval of the Rules for Monitoring Currency Transactions in the Republic of Kazakhstan", (registered in the Registry of State Registration of Normative Legal Acts under No. 18544), (hereinafter - Rules for Monitoring Currency Transactions in the Republic of Kazakhstan):

lines with codes 18, 27, 48 and 57 – if as a a result of assignment of claims (transfer of debt) or other agreements the original lender and the new lender (original debtor and new debtor) are both residents or are both non-residents;

lines with codes 19, 28, 49 and 58 – if as a result of assignment of claims (transfer of debt) or other agreements the original lender and the new lender (original debtor and new debtor) are a resident (non-resident) and a non-resident (resident).

Rows with codes 29, 59 are filled in when a new account number is assigned in place of a previously assigned one, on the grounds provided for by sub-items 1), 3), 4), 5) and 6) of item 15 of the Rules for monitoring currency operations in the Republic of Kazakhstan.

Line with code 50 reflects remuneration accrued in the reporting period, including tax on this remuneration. Tax actually paid in the reporting period is reflected on line with code 52 together with remuneration actually paid in the reporting period. At the same time, tax paid in the reporting period may relate to remuneration accrued prior to the reporting period.

Column 2 reflects the actual payment of remuneration and tax in the form of money.

When paying tax in the reporting period without paying remuneration, the payment of tax must be reflected in column 1 and in column 2.

Return of money (return of payment without execution) is reflected in other changes (in rows with codes 31, 61, 74 and 84).
Filling in rows with codes 25, 26, 31, 55, 56, 61, 74, 75, 84 and 85 requires clarification in the note to the Form, including a description of the asset and (or) the borrower's debt obligation.
In the absence of information for the reporting period, the Form is submitted with zero values.
Corrections (changes, additions) to the Form are made within 6 (six) months after the submission deadline established by item 24 of the Rules for monitoring currency operations in the Republic of Kazakhstan.

Appendix 15

to the List of certain resolutions

of the Board of the National Bank

of the Republic of Kazakhstan, to which

amendments are made

Appendix 4

to the Rules for monitoring currency operations in the Republic of Kazakhstan

Form,

designed for the collection of administrative data

Submitted to: the territorial branch of the National Bank of the Republic of Kazakhstan at the place of assignment of the account number.

The Form, designed for the collection of administrative data on a gratuitous basis, is posted on the Internet resource: www.nationalbank.kz.

Name of the administrative form: Report on participation in the capital of an investment object.

Index of the Form, designed for the collection of administrative data on a gratuitous basis: PR-I/G-4.

Periodicity: quarterly.

Reporting period: ______ quarter ____ year.

List of persons submitting the Form, designed for the collection of administrative data on a gratuitous basis: resident.

Submission deadline: until the 10th (tenth) day (inclusive) of the month following the reporting period.

BIN/IIN: ______

Collection method: in electronic form / on paper

Account number of the National Bank of the Republic of Kazakhstan ______

thousands of United States dollars (hereinafter - USD)


Row Code	Indicator Name	Investor's Name, Surname, First Name, Patronymic (if any)

A	B	1	2	…
Part 1. Investors' participation in the capital of the investment object
10	Accumulated value at the beginning of the reporting period
20	Changes (+increase/-decrease) during the reporting period ((21) + (22) + (23) + (24) + (25) + (26) + (27) + (28) + (29) + (30) + (31) + (32) + (33) + (34) + (35))
	including due to:
21	receipt (+)/withdrawal (-) of money
22	receipt (+)/withdrawal (-) of equipment, goods and other property
23	receipt (+)/withdrawal (-) of intangible assets
24	increase (+)/decrease (-) of authorized capital due to debt on commercial credits and financial loans
25	crediting of dividends to authorized capital (payment of dividends in shares) (+)
26	increase (+)/decrease (-) of authorized capital due to undistributed income of previous years, reserve capital or other capital items
27	contribution (+)/withdrawal (-) of real estate
28	contribution (+)/withdrawal (-) of securities of non-resident issuers (including bills of exchange)
29	contribution (+)/withdrawal (-) of securities of resident issuers
30	purchase (+)/sale (-)/gift (+/-) of participation shares by a resident to a resident (non-resident to non-resident)
31	assignment of a new account number (+)/(-)
32	exchange rate difference (+)/(-)
33	price changes (+)/(-)
34	write-off upon liquidation (-), reorganization of the investment object (+/-)
36	gift (+)/(-) of participation shares by a resident to a non-resident (non-resident to resident)
37	purchase (+)/sale (-) of participation shares by a resident to a non-resident (non-resident to resident)
38	other (clarify)
39	Accumulated value at the end of the reporting period ((10) + (20))
40	Investor's share in the authorized capital at the end of the reporting period, %
41	Dividends declared in the reporting period
50	Dividends paid (received) during the reporting period, including paid (payable) tax: ((51)+(52)+(53)), including
51	in the form of money
52	in the form of shares (participation shares)
53	other (clarify)
54	Debt at the end of the reporting period for payment of income tax on investor income, withheld at the source of payment
Information on transactions for the purchase (sale) of shares, participation shares of the investment object
Part 2. Resident's claim against non-resident
60	Non-resident's debt to the resident at the beginning of the reporting period
61	Increase in debt during the reporting period, including:
61.1	advance payment by the resident
61.2	transfer of ownership of the investment object to the non-resident with deferred payment
62	Repayment of debt during the reporting period, including:
62.1	transfer of ownership to the resident of the investment object
62.2	payment by the non-resident
63	Other changes in debt during the reporting period (clarify)
64	Non-resident's debt to the resident at the end of the reporting period (= (60) + (61) - (62) + (63))
Part 3. Resident's obligation to non-resident
70	Resident's debt to the non-resident at the beginning of the reporting period
71	Increase in debt during the reporting period, including:
71.1	advance payment by the non-resident
71.2	transfer of ownership of the investment object to the resident with deferred payment
72	Repayment of debt during the reporting period, including:
72.1	transfer of ownership to the non-resident of the investment object
72.2	payment by the resident
73	Other changes in debt during the reporting period (clarify)
74	Resident's debt to the non-resident at the end of the reporting period (= (70) + (71) - (72) + (73))

Note______

Resident______

(surname, first name, patronymic (if any) of a physical person,

name of a legal entity)

Address______

Phone ______

Email address ______

Executor______ ______

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

Head or person authorized to sign the report

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

Date of signing the report “__” ______ 20_ year

Note: the form is filled out in accordance with the instructions for filling out the form, designed for the collection of administrative data on a gratuitous basis "Report on participation in the capital of an investment object".

Appendix

to the form, designed for the collection

of administrative data on a gratuitous basis "Report on participation in the capital of an investment object"

Instructions

on filling out the form, designed for the collection of administrative data on a gratuitous basis

Report on participation in the capital of an investment object

(index - PR-I/G-4, periodicity - quarterly)

Chapter 1. General Provisions

These instructions define the uniform requirements for filling out the form, designed for the collection of administrative data on a gratuitous basis, "Report on participation in the capital of an investment object" (hereinafter - Form).
The Form is submitted quarterly by residents of the Republic of Kazakhstan on currency contracts for participation in the capital of an investment object with an assigned account number.
The Form is signed by the head or person authorized to sign the report (for legal entities) and the executor.

Chapter 2. Filling out the Form

For the purposes of filling out the Form, the following concepts are used:

1) investment object - a legal entity, a mutual fund, shares, participation shares, investment fund shares whose acquisition (acquired) takes place, as well as a legal entity, a simple partnership, a consortium, into the property of which property contributions are made (made). In the case of transactions with depositary receipts, the investment object is the issuer of the security that is their underlying asset;

2) investor - a physical or legal person to whom (who has) the right of ownership to the investment object passes (passed).

The Form is submitted for transactions for participation in the authorized capital (with shares, participation shares, investment fund shares), in capital other than the authorized capital.

It is permitted for a resident to fill out Part 1 for several account numbers obtained by him for transactions for participation in the capital of one investment object. In this case, the numbers of all account numbers for which the Form is submitted are indicated.

If the assigned account numbers were obtained by a resident-legal entity for transactions for participation in its capital, then in columns 1, 2 and further in Part 1, the surname, first name, patronymic (if any) of a physical person, the name of a legal entity of each non-resident and information on his participation in the capital of the resident are indicated separately.

If the assigned account numbers were obtained by a resident jointly with other residents for transactions for their participation in the capital of a non-resident, then in columns 1, 2 and further in Part 1, the surname, first name, patronymic (if any) of a physical person, the name of a legal entity of each resident and information on his participation in the capital of the non-resident are indicated separately.

For transactions between the buyer and seller of the investment object, Parts 1 and 2 are filled out - in case of arising of the resident's claim against the non-resident, Parts 1 and 3 - in case of arising of the resident's obligation to the non-resident. If the assigned account numbers were obtained by a resident for transactions for acquisition from a non-resident (sale to a non-resident) of shares, participation shares in the capital of a third-party resident, then Part 1 is not filled out.

Amounts are reflected in thousands of US dollars.

Transactions for the reporting period are reflected at their actual cost. Amounts expressed in other currencies are converted into US dollars using the market exchange rate of currencies on the date of the transaction or at the end of the reporting period, respectively. The resulting exchange rate difference is reflected on lines with codes 32, 63 and 73.

The balance at the beginning of the reporting period (lines with codes 10, 60 and 70) is equal to the balance at the end of the period preceding the reporting period (lines with codes 39, 64 and 74, respectively), for each column.

An increase in the value of the investment object's capital during the reporting period is reflected with a (+) sign, a decrease in the value of the capital with a (-) sign.

Line with code 31 is filled in when the National Bank of the Republic of Kazakhstan assigns an account number in place of a previously assigned account number in accordance with item 15 of the Rules for monitoring currency operations in the Republic of Kazakhstan, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 10, 2019 No. 64 "On Approval of the Rules for Monitoring Currency Operations in the Republic of Kazakhstan", (registered in the Registry of State Registration of Normative Legal Acts under No. 18544), (hereinafter - Rules for Monitoring Currency Operations in the Republic of Kazakhstan).

Lines with codes 36 and 37 reflect the actual transfer of ownership of the investment object to the investor (by the investor) in the case of a gift, purchase from third parties (sale to third parties) of the investment object, including installment.

Return of money (return of payment without execution) is reflected on line with code 38.

Line with code 41 reflects dividends declared in the reporting period, including tax withheld at the source of payment from these dividends.

Lines with codes 51, 52 and 53 reflect dividends actually paid to investors in the reporting period, with the amount of tax withheld at the source of payment and actually paid in the reporting period. At the same time, tax paid in the reporting period may relate to dividends declared prior to the reporting period.

When paying tax in the reporting period without paying dividends, the payment of tax must be reflected on the corresponding lines with codes 51, 52 and 53.

Debt on taxes is reflected on line with code 54.

Lines with codes 60, 61, 61.1, 61.2, 62, 62.1, 62.2, 63, 64, 70, 71, 71.1, 71.2, 72, 72.1, 72.2, 73 and 74 are filled in when purchasing from a third party (selling to a third party) by the investor of shares, participation shares of the investment object by advance payment or with deferred payment. In case of arising of the resident's claims against the non-resident, Part 2 is filled out. In case of arising of the resident's obligations to the non-resident, Part 3 is filled out.

Payment in the form of delivery of goods (performance of works, provision of services), other non-monetary execution requires clarification in the note to the Form.

Filling in rows with codes 38, 63 and 73 requires clarification in the note to the Form.
In the absence of information for the reporting period, the Form is submitted with zero values.
Corrections (changes, additions) to the Form are made within 6 (six) months after the submission deadline established by item 24 of the Rules for monitoring currency operations in the Republic of Kazakhstan.

Appendix 16

to the List of certain resolutions

of the Board of the National Bank

of the Republic of Kazakhstan, to which

amendments are made

Appendix 5

to the Rules for monitoring currency operations in the Republic of Kazakhstan

Form,

designed for the collection of administrative data

Submitted to: the territorial branch of the National Bank of the Republic of Kazakhstan at the place of assignment of the account number.

The Form, designed for the collection of administrative data on a gratuitous basis, is posted on the Internet resource: www.nationalbank.kz.

Name of the administrative form: Report on the fulfillment of obligations.

Index of the Form, designed for the collection of administrative data on a gratuitous basis: PR-D-5.

Periodicity: quarterly.

Reporting period: ______ quarter ____ year.

List of persons submitting the Form, designed for the collection of administrative data on a gratuitous basis: resident.

Submission deadline: until the 10th (tenth) day (inclusive) of the month following the reporting period.

BIN/IIN: ______

Collection method: in electronic form / on paper

Account number of the National Bank of the Republic of Kazakhstan ______

Section 1. Information on the fulfillment of obligations


No.	Type of obligation fulfillment	Payment purpose code	Asset name	Sender		Beneficiary		Date	Currency	Amount, thousands of units of currency	Note
Resident status	Name, surname, first name, patronymic (if any)	Resident status	Name, surname, first name, patronymic (if any)
1	2	3	4	5	6	7	8	9	10	11	12

Section 2. Information on accumulated value and income

thousands of United States dollars (hereinafter - USD)


Row Code	Indicator Name	Total
A	B	1
10	Accumulated value at the end of the reporting period, including in the form of:
11	money
12	securities, participation shares, including:
12.1	shares, mutual fund shares, money market funds
13	real estate
14	other (clarify)
20	Resident's income in the reporting period
21	Non-resident's income in the reporting period

Note______

Resident______

(surname, first name, patronymic (if any) of a physical person,

name of a legal entity)

Address______

Phone ______

Email address ______

Executor______ ______

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

Head or person authorized to sign the report

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

Date of signing the report “__” ______ 20_ year

Note: the form is filled out in accordance with the instructions for filling out the form, designed for the collection of administrative data on a gratuitous basis "Report on the fulfillment of obligations".

Appendix

to the form, designed for the collection

of administrative data on a gratuitous basis "Report on the fulfillment of obligations"

Instructions

on filling out the form, designed for the collection of administrative data on a gratuitous basis

Report on the fulfillment of obligations

(index - PR-D-5, periodicity - quarterly)

Chapter 1. General Provisions

These instructions define the uniform requirements for filling out the form, designed for the collection of administrative data on a gratuitous basis, "Report on the fulfillment of obligations" (hereinafter - Form).
The Form is submitted quarterly by residents of the Republic of Kazakhstan on currency contracts with an account number for transactions with securities, derivative financial instruments, property rights to real estate, property rights to intellectual property objects, joint activities, trust management, trust, transfer of money and financial instruments to professional participants of the securities market, gratuitous transfer of money and other currency values, accounts of branches (representative offices) of a resident with a place of location outside the Republic of Kazakhstan.
The Form is signed by the head or person authorized to sign the report (for legal entities) and the executor.

Chapter 2. Filling out the Form

For the purposes of filling out the Form, the following concepts are used:

1) securities options program for non-resident issuers for employees - a program under which an employee of a resident legal entity acquires a specified number of securities of non-resident issuers who are investors in this legal entity and (or) investors in investors of this legal entity;

2) securities of non-resident issuers - financial instruments recognized as securities in accordance with the legislation of the Republic of Kazakhstan and (or) the country of the issuer, including depositary receipts, the underlying asset of which are securities of non-resident issuers.

Section 1 reflects information on the fulfillment of obligations under a currency contract in the reporting period.

Column 2 reflects the type of fulfillment of obligations under a currency contract:

1) in the form of payments and (or) transfers of money;

2) in the form of delivery of goods (performance of works, provision of services);

3) in the form of transfer of an asset (securities, participation shares, mutual fund shares, real estate, property rights to an intellectual property object, other types of assets requiring clarification);

4) other (requiring clarification).

If the obligation is fulfilled in the form of money, then column 3 indicates the payment purpose code, column 4 is not filled, and in columns 5, 6, 7, 8, 9, 10, 11, the sender of money, beneficiary of money, payment date, payment currency, payment amount in thousands of units of payment currency based on a payment document for the transfer (receipt) of money are indicated.

Payments and (or) transfers of money are reflected in the Form, including taxes. The Form reflects the return of money (return of payment without execution).

If the obligation is fulfilled in the form of transfer of an asset, then column 4 indicates the name of the asset, column 3 is not filled, and in columns 5, 6, 7, 8, 9, 10, 11, the person transferring the asset, the person receiving the asset, the date of transfer of the asset, the currency of the value of the asset, the amount of the value of the asset in thousands of units of the contract currency are indicated.

If the obligation is fulfilled in the form of performance of works, provision of services or in any other way, columns 3, 4 are not filled, and in columns 5, 6, 7, 8, 9, 10, 11, the person fulfilling the obligation, the person receiving the fulfillment of the obligation, the date of fulfillment of the obligation, the currency and the amount of the value of the fulfilled obligation in thousands of units of the contract currency are indicated.

Columns 3, 5, 7 are filled in accordance with the Rules for applying codes of economic sectors and payment purposes, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated August 31, 2016 No. 203 "On Approval of the Rules for Applying Codes of Economic Sectors and Payment Purposes" (registered in the Registry of State Registration of Normative Legal Acts under No. 14365). Column 10 is filled in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the presentation of currencies and funds".

When submitting the Form for an account in a foreign bank of a branch (representative office) of a legal entity with a place of location outside the Republic of Kazakhstan, the Form reflects intra-corporate transfers of money: sent by the legal entity to this branch (representative office) to this account, received by the legal entity from this branch (representative office) from this account.

Section 2 reflects information on the accumulated value at the end of the reporting period and income for the reporting period.

Section 2 is filled out in the following cases:

1) when submitting the Form for an account in a foreign bank, opened to a branch (representative office) of a legal entity with a place of location outside the Republic of Kazakhstan, the balance of the amount of money at the end of the reporting period on this account is reflected, remuneration accrued to the resident in the reporting period by the foreign bank for this account, including deposit(s);

2) when submitting the Form for transactions related to the acquisition of ownership rights to real estate abroad: the cost of the real estate at the end of the reporting period is reflected, as well as the resident's income from the real estate during the reporting period;

3) when transferring money and other property into trust management or a trust: the cost of the transferred property at the end of the reporting period is reflected, as well as the income of the resident (non-resident) during the reporting period, including income for managing the property;

4) for options programs on securities of issuer-non-residents concluded by a resident legal entity for its employees: the total cost of the securities of issuer-non-residents held by employees is reflected;

5) for transactions related to the transfer of money and financial instruments to professional participants of the securities market carrying out currency operations on behalf of clients, to accounts for accounting and storage of money belonging to clients: the cost of the transferred property at the end of the reporting period is reflected, as well as the income of the resident (non-resident) during the reporting period.

In the absence of information for the reporting period, the Form is submitted with zero values.
Corrections (changes, additions) to the Form are made within 6 (six) months after the submission deadline established by paragraph 24 of the Rules for Monitoring Currency Operations in the Republic of Kazakhstan, approved by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 10, 2019 No. 64 "On Approval of the Rules for Monitoring Currency Operations in the Republic of Kazakhstan", (registered in the Registry of State Registration of Normative Legal Acts under No. 18544).

Appendix 17
to the List of certain resolutions of the Board of the National Bank of the Republic of Kazakhstan, to which amendments are made

Appendix 6
to the Rules for Monitoring Currency Operations in the Republic of Kazakhstan

Form, designed for the collection of administrative data

Submitted to: the territorial branch of the National Bank of the Republic of Kazakhstan at the place of assignment of the registration number.

The Form designed for the collection of administrative data on a gratuitous basis is posted on the Internet resource: www.nationalbank.kz.

Name of the administrative form: Report on Money Movements in an Account at a Foreign Bank.

Index of the Form designed for the collection of administrative data on a gratuitous basis: PR-F-6.

Frequency: quarterly.

Reporting period: ______ quarter ____ year.

Circle of persons submitting the Form designed for the collection of administrative data on a gratuitous basis: resident legal entity.

Submission deadline: until the 10th (tenth) day (inclusive) of the month following the reporting period.

BIN: ______

Collection method: electronically / on paper

National Bank of the Republic of Kazakhstan registration number ______

Name of foreign bank, country ______

Currency of account ______

thousands of units of account currency


Line Code	Name of Indicators	Current Account	Deposit, deposit opened within this current account
A	B	1	2	…
10	Interest rate at which remuneration is accrued on the account during the reporting period (% per annum)
11	Balances at the beginning of the reporting period
20	Total money received during the period ((21) + (31) + (32))
	including:
21	from non-residents ((22) + (23) + (24) + (25) + (26) + (27) + (28) + (29) + (30)):
22	revenue from export of goods (works, services)
23	on attracted financial loans
24	from repayment of issued financial loans
25	on participation in capital (including shares, units of investment funds), including through a broker-non-resident
26	on transactions with securities (excluding shares, units) and derivative financial instruments, including through a broker-non-resident
27	from sale of real estate
28	from joint activities
29	remuneration and dividends
29a	including remuneration for this account
30	other (specify)
31	from residents
32	via transfer from other own bank accounts, including currency conversion ((33)+(34)+(35)):
33	from bank accounts in authorized banks-residents
34	from deposits in foreign banks, including remuneration on deposits
35	from other accounts in foreign banks, including remuneration on accounts
40	Total money spent during the period ((41) + (42) + (52) + (53))
	including:
41	for maintenance of own branches and representative offices
42	other spending on non-residents ((43)+(44) +(45) + (46) + (47) + (48) + (49) + (50) + (51)):
43	for import of goods (works, services)
44	for repayment of attracted financial loans
45	for issuance of financial loans
46	on participation in capital (including shares, units of investment funds), including through a broker-non-resident
47	on transactions with securities (excluding shares, units) and derivative financial instruments, including through a broker-non-resident
48	for purchase of real estate
49	for joint activities
50	for payment of remuneration and dividends
51	other (specify)
	including:
51.1	commission of foreign bank
52	other spending on residents
53	via transfer to other own bank accounts, including currency conversion ((54) + (55)+(55а)):
54	to bank accounts in authorized banks-residents
55	to deposits in foreign banks
55a	to other accounts in foreign banks
56	Changes due to exchange rate difference (+)/(-)
60	Balances at the end of the reporting period ((11) + (20) - (40)+ (56))
70	Remuneration accrued during the reporting period by the foreign bank for this bank account
Information about overdraft
80	Interest rate at which remuneration for overdraft is accrued during the reporting period (% per annum)
81	Balances at the beginning of the reporting period
82	including balances for remuneration for overdraft
83	Provision of overdraft by bank ((84) + (85) + (86) + (87))
	including:
84	for maintenance of own branches and representative offices
85	other spending on non-residents
86	other spending on residents
87	via transfer to other own bank accounts, including currency conversion
88	Remuneration accrued during the reporting period by the bank for overdraft
89	Repayment of overdraft to bank
90	Payment to bank of remuneration for overdraft
91	Other changes during the reporting period for overdraft (specify)
92	Other changes during the reporting period for remuneration (specify)
93	Balances at the end of the reporting period ((81) + (83) + (88) - (89) - (90) + (91) + (92))
94	including balances for remuneration for overdraft ((82) + (88) - (90) + (92))

Note______

Resident______
(name of legal entity)

Address______

Phone ______

Email address ______

Executor______ ______
(last name, first name, patronymic (if any), signature, phone)

Head or person authorized to sign the report

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

Date of signing the report «__» ______ 20_ year

Note: the form is filled out in accordance with the explanation for filling out the Form designed for the collection of administrative data on a gratuitous basis "Report on Money Movements in an Account at a Foreign Bank".

Appendix
to the Form designed for the collection of administrative data on a gratuitous basis "Report on Money Movements in an Account at a Foreign Bank"

Explanation

on filling out the Form designed for the collection of administrative data on a gratuitous basis

Report on Money Movements in an Account at a Foreign Bank

(index – PR-F-6, frequency – quarterly)

Chapter 1. General Provisions

This Explanation defines uniform requirements for filling out the Form designed for the collection of administrative data on a gratuitous basis, "Report on Money Movements in an Account at a Foreign Bank" (hereinafter – the Form).
The Form is submitted quarterly by a resident legal entity of the Republic of Kazakhstan for the registration number of the account at a foreign bank.
The Form is signed by the head or person authorized to sign the report, and the executor.

Chapter 2. Filling out the Form

Column 1 reflects information about the current account, deposit, unallocated metal account opened in a foreign bank.

In cases where a deposit is opened within the framework of a current account, information about such a deposit is reflected in column 2. In cases where several deposits are opened within the framework of a current account, information about such deposits is reflected separately for each deposit.

In the row with code 10, the net (excluding taxes) average rate of remuneration for the current account, deposit (% per annum) during the reporting period is reflected; in the row with code 80 – for overdraft. The remuneration rate is reflected in numerical form, rounded to hundredths. If the remuneration rate is floating, the base value of the rate during the reporting period is used. If the remuneration rate is zero, a zero value is entered.

If the Form is submitted with zero values, rows with codes 10, 80 are not filled.

Amounts are reflected in thousands of units of account (deposit) currency.

For multi-currency accounts (deposits), as well as unallocated metal accounts, amounts are reflected in thousands of tenge. Amounts expressed in other currencies are converted into tenge using the market exchange rate on the date of the transaction or at the end of the reporting period, respectively. The resulting exchange rate difference is reflected in the row with code 56.

In case of filling out rows with codes 34, 35, 55, 55a, the note should indicate the registration number of the account at a foreign bank from which (to which) money is transferred.
Information about overdraft is filled out when a foreign bank provides an overdraft to a resident legal entity for this account in accordance with the account opening conditions in the absence of an assigned registration number for such overdraft.

Overdraft is understood as lending by a foreign bank to a client's account for payment of settlement documents in case of insufficient or absent money in the client's account. With overdraft, the bank debits all available money in the client's account and simultaneously provides the client with a financial loan for part of the payment not covered by money in the client's account.

The resulting exchange rate difference is reflected in other changes (rows with codes 91 and 92).

Balance at the beginning of the reporting period (rows with code 11, 81 and 82) equals the balance at the end of the previous reporting period (rows with code 60, 93 and 94, respectively).
In rows with code 29a, 70, remuneration accrued during the reporting period is reflected, excluding taxes on this remuneration.
In the absence of information for the reporting period, the Form is submitted with zero values.
Corrections (changes, additions) to the Form are made within 6 (six) months after the submission deadline established by paragraph 24 of the Rules for Monitoring Currency Operations in the Republic of Kazakhstan, approved by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 10, 2019 No. 64 "On Approval of the Rules for Monitoring Currency Operations in the Republic of Kazakhstan", (registered in the Registry of State Registration of Normative Legal Acts under No. 18544).

Appendix 18
to the List of certain resolutions of the Board of the National Bank of the Republic of Kazakhstan, to which amendments are made

Appendix 7
to the Rules for Monitoring Currency Operations in the Republic of Kazakhstan

Form, designed for the collection of administrative data

Submitted to: the central apparatus of the National Bank of the Republic of Kazakhstan.

The Form designed for the collection of administrative data on a gratuitous basis is posted on the Internet resource: www.nationalbank.kz.

Name of the administrative form: Report on Conditions for Attracting in the Reporting Period by a Bank, Branch of a Bank - Non-Resident of the Republic of Kazakhstan Carrying Out Activities on the Territory of the Republic of Kazakhstan, Financial Loans from Non-Residents.

Index of the Form designed for the collection of administrative data on a gratuitous basis: PR-7.

Frequency: monthly.

Reporting period: ______ month ____ year.

Circle of persons submitting the Form designed for the collection of administrative data on a gratuitous basis: bank, branch of a bank - non-resident of the Republic of Kazakhstan carrying out activities on the territory of the Republic of Kazakhstan.

Submission deadline: until the 8th (eighth) day (inclusive) of the month following the reporting period.

BIN: ______

Collection method: electronically


No.	Name of Indicator	Information on Financial Loan 1	Information on Financial Loan 2	Information on Financial Loan …
A	B	1	2	…
1	Currency contract (name, number, date, purpose and designation)
2	Document(s) supplementing the currency contract (if any) (name, number, date, note)
3	Non-resident participant(s) of the currency contract (name, country, status in the currency operation)
4	Serial number (number of notification certificate (if any)) of this currency contract
5	Amount of the currency contract (in the currency of the currency contract)
6	Currency of the contract
7	Framework agreement (if any) (name, number, date)
8	Relationship of the non-resident to the bank (not filled by a branch of a bank - non-resident of the Republic of Kazakhstan carrying out activities on the territory of the Republic of Kazakhstan)
9	Interest rate (interest) for using the credit (in case of fixed interest rate, % per annum is indicated; in case of floating interest rate, the base for its calculation and margin size are indicated)
10	Rate for overdue payments on principal debt (for each day of delay, other (specify))
11	Ancillary payments (organization fee, management fee, commitment fee, other (specify), as a percentage of the loan amount, principal debt, other (specify))
12	Brief description of the operation (payment instruction, fund movement scheme, other (specify))
13	Information about the agent (operator, organizer) of the credit (if any) (name, business identification number (hereinafter – BIN) of the resident, country of the non-resident)
14	Presence of special conditions (right of borrower to extend, right to early repayment, right of creditor to demand early repayment of debt, other (specify))
15	Information about contracts financed within the framework of this currency contract (if any):
15.1	information about the applicant requesting financing (name, BIN of the resident, country of the non-resident)
15.2	information about the financed contract(s) (name, number, date, amount in the currency of the currency contract, currency, contract registration number, deal passport number (if any))
15.3	information about the beneficiary-participant of the contract (name, BIN of the resident, country of the non-resident)
15.4	form of financing by the bank, branch of a bank - non-resident of the Republic of Kazakhstan carrying out activities on the territory of the Republic of Kazakhstan, as creditor (receipt of funds to the bank's account, branch of a bank - non-resident of the Republic of Kazakhstan carrying out activities on the territory of the Republic of Kazakhstan, payment by creditor to beneficiary, other (specify))
16	Schedule of receipt of funds and repayment of debt (thousands of units of contract currency)
17	Note

Name of bank, branch of a bank - non-resident of the Republic of Kazakhstan, carrying out activities on the territory of the Republic of Kazakhstan

Address______

Phone ______

Email address ______

Executor ______
(last name, first name, patronymic (if any), signature, phone)

Head or person authorized to sign the report

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

Date of signing the report «__» ______ 20_ year

Note: the form is filled out in accordance with the explanation for filling out the Form designed for the collection of administrative data on a gratuitous basis "Report on Conditions for Attracting in the Reporting Period by a Bank, Branch of a Bank - Non-Resident of the Republic of Kazakhstan Carrying Out Activities on the Territory of the Republic of Kazakhstan, Financial Loans from Non-Residents".

Appendix to the Form designed for the collection of administrative data on a gratuitous basis "On Conditions for Attracting in the Reporting Period by a Bank, Branch of a Bank - Non-Resident of the Republic of Kazakhstan Carrying Out Activities on the Territory of the Republic of Kazakhstan, Financial Loans from Non-Residents"

Explanation

on filling out the Form designed for the collection of administrative data on a gratuitous basis

Report on Conditions for Attracting in the Reporting Period by a Bank, Branch of a Bank - Non-Resident of the Republic of Kazakhstan,

Carrying Out Activities on the Territory of the Republic of Kazakhstan, Financial Loans from Non-Residents

(index - PR-7, frequency - monthly)

Chapter 1. General Provisions

This Explanation defines uniform requirements for filling out the Form designed for the collection of administrative data on a gratuitous basis, "Report on Conditions for Attracting in the Reporting Period by a Bank, Branch of a Bank - Non-Resident of the Republic of Kazakhstan Carrying Out Activities on the Territory of the Republic of Kazakhstan, Financial Loans from Non-Residents" (hereinafter – the Form).
The Form is submitted monthly by banks, branches of banks - non-residents of the Republic of Kazakhstan carrying out activities on the territory of the Republic of Kazakhstan, for financial loans attracted by them in the reporting period from non-residents, and for financial loans attracted by them from non-residents earlier, regarding which information specified in subparagraphs 1), 2), 3), 4) and 6) of paragraph 15 of the Rules for Monitoring Currency Operations in the Republic of Kazakhstan, approved by Resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 10, 2019 No. 64 "On Approval of the Rules for Monitoring Currency Operations in the Republic of Kazakhstan", (registered in the Registry of State Registration of Normative Legal Acts under No. 18544), (hereinafter – Rules for Monitoring Currency Operations in the Republic of Kazakhstan), has changed.
The Form is signed by the head or person authorized to sign the report, and the executor.

Chapter 2. Filling out the Form

The Form is compiled by the bank for each financial loan in total for the banking system, by a branch of a bank - non-resident of the Republic of Kazakhstan carrying out activities on the territory of the Republic of Kazakhstan, for each financial loan in total for the branch of the foreign bank in Kazakhstan.
The Form reflects information on financial loans attracted by the bank, branch of a bank - non-resident of the Republic of Kazakhstan carrying out activities on the territory of the Republic of Kazakhstan, from non-residents for a term of more than 180 (one hundred eighty) days, if the amount of debt of the bank, branch of a bank - non-resident of the Republic of Kazakhstan carrying out activities on the territory of the Republic of Kazakhstan, within the framework of a currency contract exceeds or will exceed 500,000 (five hundred thousand) United States Dollars in equivalent:

1) on conditions for attracting such financial loans in the reporting period;

2) on changes in the reporting period in information specified in subparagraphs 1), 2), 3), 4) and 6) of paragraph 15 of the Rules for Monitoring Currency Operations in the Republic of Kazakhstan, for such financial loans attracted earlier.

Row with code 6 is filled out in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for Presentation of Currencies and Funds".

In the row with code 7, the framework agreement (general agreement, credit line and other) defining the framework conditions for lending separate transactions, including the currency contract specified in the row with code 1, is reflected.

In the row with code 8, the relationship of the creditor-non-resident to the bank (not filled by a branch of a bank - non-resident of the Republic of Kazakhstan carrying out activities on the territory of the Republic of Kazakhstan) is reflected:

1) direct ownership by a non-resident of 10 (ten) percent or more of voting shares of the bank;

2) indirect ownership by a non-resident of 10 (ten) percent or more of voting shares of the bank;

3) direct ownership by a resident of 10 (ten) percent or more of voting shares of the bank;

4) indirect ownership by a resident of 10 (ten) percent or more of voting shares of the bank;

5) the bank and the non-resident have no control or influence over each other, but are under control or influence of the same investor, directly or indirectly owning no less than 10 (ten) percent of voting shares of the bank;

6) cases not specified in subparagraphs 1), 2), 3), 4) and 5) of this paragraph of the Form.

Line with code 16 reflects information on the receipt of funds to the bank, branch of a bank - non-resident of the Republic of Kazakhstan, carrying out activities on the territory of the Republic of Kazakhstan, and on the repayment by the bank, branch of a bank - non-resident of the Republic of Kazakhstan, carrying out activities on the territory of the Republic of Kazakhstan, of the debt under a foreign exchange contract: the actual or expected (in the future) date of receipt of funds (in the form of money, goods (works, services), other) or the date of repayment of the principal debt and payment of remuneration, the amount of receipts (payments), in thousands of units of the contract currency. If the amount of the contract is not provided for by the foreign exchange contract, information is reflected only on the actual receipt of funds. In the case of a floating interest rate, the expected amount of remuneration payment is calculated based on the value of the base rate at the end of the reporting period, unless otherwise established by the foreign exchange contract.
If the amount in the foreign exchange contract consists of several amounts in different currencies, then separate columns of the Form are filled out for each amount and currency of the contract.
A serial number is assigned by the National Bank of the Republic of Kazakhstan to reflect information on the actual fulfillment of obligations under each financial loan in the Form on the utilization and servicing of financial loans attracted by the bank, branch of a bank - non-resident of the Republic of Kazakhstan, carrying out activities on the territory of the Republic of Kazakhstan, from non-residents for which there are unpaid obligations at the beginning and (or) end of the reporting period according to the form according to Appendix 8 to the Rules for monitoring foreign exchange operations in the Republic of Kazakhstan.

A serial number is not assigned to a framework agreement establishing the principles of cooperation, but not determining separate essential conditions for the financing of the bank, branch of a bank - non-resident of the Republic of Kazakhstan, carrying out activities on the territory of the Republic of Kazakhstan, by a non-resident.

In the absence of information for the reporting period, the Form is not submitted.
Corrections (changes, additions) to the Form are made within 6 (six) months after the submission deadline established by paragraph 32 of the Rules for monitoring foreign exchange operations in the Republic of Kazakhstan.

Appendix 19

to the List of certain resolutions

of the Board of the National Bank

of the Republic of Kazakhstan, to which

amendments are made

Appendix 8

to the Rules for monitoring foreign exchange operations in the Republic of Kazakhstan

Form,

designed for the collection of administrative data

Submitted to: the central apparatus of the National Bank of the Republic of Kazakhstan.

The Form, designed for the collection of administrative data on a gratuitous basis, is posted on the Internet resource: www.nationalbank.kz.

Name of the administrative form: Report on the utilization and servicing of financial loans attracted by the bank, branch of a bank - non-resident of the Republic of Kazakhstan, carrying out activities on the territory of the Republic of Kazakhstan, from non-residents, for which there are unpaid obligations at the beginning and (or) end of the reporting period.

Index of the Form, designed for the collection of administrative data on a gratuitous basis: 11-OB.

Frequency: quarterly.

Reporting period: ______ quarter ____ year.

Circle of persons submitting the Form, designed for the collection of administrative data on a gratuitous basis: bank, branch of a bank - non-resident of the Republic of Kazakhstan, carrying out activities on the territory of the Republic of Kazakhstan.

Submission deadline: by the 10th (tenth) day (inclusive) of the month following the reporting period.

BIN: ______

Collection method: in electronic form

Table 1. Utilization and servicing of financial loans, for which a report has been submitted to the National Bank of the Republic of Kazakhstan according to paragraph 32 of the Rules for monitoring foreign exchange operations in the Republic of Kazakhstan, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 10, 2019 No. 64 "On Approval of the Rules for monitoring foreign exchange operations in the Republic of Kazakhstan" (registered in the Registry of state registration of normative legal acts under No. 18544)


Serial number	Name of the creditor	Name of the loan currency
A	B	C

continuation of the table


Principal debt
Balance at the beginning of the reporting period, thousands of units of contract currency	Operations in the reporting period, thousands of units of contract currency					Balance at the end of the reporting period
Increase			Decrease
Total	of which due to		Total	of which due to reorganization	Amount, thousands of units of contract currency	Balance sheet account number
reorganization	capitalized remuneration
1	2	3	4	5	6	7	8

continuation of the table

Table 2. Utilization and servicing of other financial loans


Serial number	Serial number from the report for the previous period	Name of the creditor	Name of the loan currency	Loan amount
A	B	C	D	E

continuation of the table


Number of credit agreement (contract)	Period of validity		Name of the creditor's country
Date of start of utilization	Date of final repayment deadline
J	Z	I	K

continuation of the table


Principal debt
Balance at the beginning of the reporting period, thousands of units of contract currency	Operations in the reporting period, thousands of units of contract currency					Balance at the end of the reporting period
Increase			Decrease		Amount, thousands of units of contract currency	Balance sheet account number
Total	Of which due to		Total	of which due to reorganization
reorganization	capitalized remuneration
1	2	3	4	5	6	7	8

continuation of the table

Name of the bank, branch of a bank - non-resident of the Republic of Kazakhstan,

carrying out activities on the territory of the Republic of Kazakhstan

Address______

Phone ______

Email address ______

Executor ______

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

Head or person authorized to sign the report

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

Date of signing the report "__" ______ 20_ year

Note: the form is filled out in accordance with the explanation for filling out the Form, designed for the collection of administrative data on a gratuitous basis "Report on the utilization and servicing of financial loans attracted by the bank, branch of a bank - non-resident of the Republic of Kazakhstan, carrying out activities on the territory of the Republic of Kazakhstan, from non-residents, for which there are unpaid obligations at the beginning and (or) end of the reporting period".

Appendix

to the Form, designed for the collection

of administrative data on a gratuitous basis "Report on the utilization and servicing of financial loans attracted by the bank, branch of a bank - non-resident of the Republic of Kazakhstan, carrying out activities on the territory of the Republic of Kazakhstan, from

non-residents, for which there are

unpaid obligations at the beginning and (or) end of the reporting period"

Explanation

on filling out the Form, designed for the collection of administrative data on a gratuitous basis

Report on the utilization and servicing of financial loans attracted by the bank, branch of a bank - non-resident of the Republic of Kazakhstan,

carrying out activities on the territory of the Republic of Kazakhstan, from non-residents, for which there are unpaid obligations

at the beginning and (or) end of the reporting period

(index - 11-OB, frequency - quarterly)

Chapter 1. General Provisions

This explanation defines the unified requirements for filling out the Form, designed for the collection of administrative data on a gratuitous basis, "Report on the utilization and servicing of financial loans attracted by the bank, branch of a bank - non-resident of the Republic of Kazakhstan, carrying out activities on the territory of the Republic of Kazakhstan, from non-residents, for which there are unpaid obligations at the beginning and (or) end of the reporting period" (hereinafter - the Form).
The Form is submitted quarterly by the bank, branch of a bank - non-resident of the Republic of Kazakhstan, carrying out activities on the territory of the Republic of Kazakhstan, for financial loans attracted by them from non-residents.
The Form is signed by the head or person authorized to sign the report, and the executor.

Chapter 2. Filling out the Form

The Form reflects information separately for each financial loan for which there are unpaid obligations at the beginning and (or) end of the reporting period to non-residents as a whole for the bank system, as a whole for the branch of a bank - non-resident of the Republic of Kazakhstan, carrying out activities on the territory of the Republic of Kazakhstan.
Table 1 reflects information on the utilization, repayment and servicing of financial loans, for which the bank, branch of a bank - non-resident of the Republic of Kazakhstan, carrying out activities on the territory of the Republic of Kazakhstan, submitted a report on the conditions for attracting in the reporting period by the bank, branch of a bank - non-resident of the Republic of Kazakhstan, carrying out activities on the territory of the Republic of Kazakhstan, financial loans from non-residents according to the form established by Appendix 7 to the Rules for monitoring foreign exchange operations in the Republic of Kazakhstan, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated April 10, 2019 No. 64 "On Approval of the Rules for monitoring foreign exchange operations in the Republic of Kazakhstan" (registered in the Registry of state registration of normative legal acts under No. 18544), (hereinafter - Rules for monitoring foreign exchange operations in the Republic of Kazakhstan).
Table 2 reflects information on the utilization, repayment and servicing of other financial loans.
Amounts are reflected in thousands of units of the contract currency.
In Table 1:

in column A, the serial number assigned by the National Bank of the Republic of Kazakhstan to the financial loan in the report on the conditions for attracting in the reporting period by the bank, branch of a bank - non-resident of the Republic of Kazakhstan, carrying out activities on the territory of the Republic of Kazakhstan, financial loans from non-residents according to the form according to Appendix 7 to the Rules for monitoring foreign exchange operations in the Republic of Kazakhstan or the number of the notification certificate issued to the bank before the introduction of the Rules for monitoring foreign exchange operations in the Republic of Kazakhstan for the financial loan from a non-resident is reflected;

in column 14, the status of the credit agreement at the end of the reporting period is reflected from the list: "active", "full fulfillment of obligations by the parties". The credit agreement is considered active until the full fulfillment of obligations by the parties, including obligations for remuneration or for overdue payments.

In Table 2, column B indicates the serial number of the financial loan from the Form submitted for the previous period.
In Tables 1 and 2:

in column 1, the unpaid principal debt at the beginning of the reporting period, including overdue, is reflected;

in column 2, the increase during the reporting period of the principal debt due to the receipt of credit funds, reorganization of debt and capitalization of remuneration is reflected;

in column 3, the increase in debt due to reorganization upon assignment of claim (transfer of debt) is reflected;

in column 4, the capitalization of remuneration (allocation of remuneration to the principal debt) is reflected;

in column 5, the decrease during the reporting period of the principal debt, including overdue, due to repayment and reorganization is reflected;

in column 6, the decrease in debt due to reorganization is reflected. The main types of reorganization are early repayment, forgiveness, assignment of claim (transfer of debt), exchange of debt for equity participation instruments (borrower and (or) third parties), real estate and other assets of the borrower, debt securities of the borrower, delivery of goods and other debt obligations of the borrower;

in columns 7 and 8, the unpaid principal debt at the end of the reporting period, including overdue, and the balance sheet account number on which the debt balance is accounted for are reflected;

in column 9, the debt on remuneration, including overdue, at the beginning of the reporting period is reflected;

in column 10, the remuneration accrued during the reporting period is reflected;

in column 11, the decrease in remuneration during the reporting period, including overdue, due to payment, reorganization and capitalization of remuneration is reflected;

in columns 12 and 13, the debt at the end of the reporting period on remuneration, including overdue, and the balance sheet account number on which this debt is accounted for are reflected.

In column 15 of Table 1 and Table 2, the type of collateral and the amount of collateral in thousands of units of currency with indication of the currency are reflected (if any). In the presence of several types of collateral, all types of collateral and the total market value of the collateral in thousands of tenge are indicated.

Column C of Table 1 and column D of Table 2 are filled out in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the representation of currencies and funds".

Column K of Table 2 is filled out in accordance with the National Classifier of the Republic of Kazakhstan NK RK ISO 3166-1 "Codes for the representation of names of countries and units of their administrative-territorial subdivisions. Part 1. Country codes".

Arithmetic and logical control in Tables 1 and 2:

column 1 = column 7 of the Form submitted for the previous quarter;

column 2 >= column 3 + column 4;

column 5 >= column 6;

column 7 = column 1 + column 2 - column 5;

column 9 = column 12 of the Form submitted for the previous quarter;

column 12 = column 9 + column 10 - column 11.

In the absence of information for the reporting period, the Form is not submitted.
Corrections (changes, additions) to the Form are made within 6 (six) months after the submission deadline established by paragraph 33 of the Rules for monitoring foreign exchange operations in the Republic of Kazakhstan.

Appendix 20

to the List of certain resolutions

of the Board of the National Bank

of the Republic of Kazakhstan, to which

amendments are made

Appendix 9

to the Rules for monitoring foreign exchange operations in the Republic of Kazakhstan

Form,

designed for the collection of administrative data

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

The Form, designed for the collection of administrative data on a gratuitous basis, is posted on the Internet resource: www.nationalbank.kz

Name of the administrative form: Report on foreign exchange operations carried out

Index of the Form, designed for the collection of administrative data on a gratuitous basis: PR-9

Frequency: monthly

Reporting period: _______ month ____ year

Circle of persons submitting the Form, designed for the collection of administrative data on a gratuitous basis: authorized bank

Submission deadline for the Form, designed for the collection of administrative data on a gratuitous basis: monthly by the 10th (tenth) day (inclusive) of the month following the reporting period

BIN: ______

Collection method: in electronic form


1. Details of the foreign exchange contract
Number of the foreign exchange contract	Date of the foreign exchange contract	Accounting number of the foreign exchange contract
1.1	1.2	1.3

continuation of the table


2. Sender of money on the payment document
Name or surname, first name and patronymic (if any)	Business identification number (hereinafter - BIN), individual identification number (hereinafter - IIN)	Country code	Residency status	Code of the economic sector
2.1	2.2	2.3	2.4	2.5

continuation of the table


3. Beneficiary on the payment document
Name or surname, first name and patronymic (if any)	BIN, IIN	Country code	Residency status	Code of the economic sector
3.1	3.2	3.3	3.4	3.5

continuation of the table


4. Information on the foreign exchange operation
Date	Reference of the foreign exchange operation	Code of the foreign exchange operation	Payment destination code (PDC)	Amount in units of currency	Code of the payment currency	Payment indicator	Indicator of intra-corporate transfer of money	Type of operation related to the withdrawal of money, evasion from fulfilling the requirements of the foreign exchange legislation of the Republic of Kazakhstan
4.1	4.2	4.3	4.4	4.5	4.6	4.7	4.8	4.9

continuation of the table


5. Information on the organization (bank) of the counterparty to the foreign exchange operation
Organization (bank) identification code (BIC)	Name	Country code	Indicator of cross-border payment
5.1	5.2	5.3	5.4

continuation of the table


6. Sender of money on the foreign exchange contract
Name or surname, first name and patronymic (if any)	BIN, IIN	Country code	Residency status	Code of the economic sector
6.1	6.2	6.3	6.4	6.5

continuation of the table


7. Recipient of money on the foreign exchange contract
Name or surname, first name and patronymic (if any)	BIN, IIN	Country code	Residency status	Code of the economic sector
7.1	7.2	7.3	7.4	7.5

continuation of the table


8. Note

Name ______ Address______

Phone ______

Email address ______

Executor ______ ______

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

Head or person authorized to sign the report

surname, first name and patronymic (if any) signature

Date "__" ______ 20_ year

Note: the form is filled out in accordance with the explanation for filling out the Form, designed for the collection of administrative data on a gratuitous basis "Report on foreign exchange operations carried out".

Appendix

to the Form, designed for the collection

of administrative data on a gratuitous basis

"Report on foreign exchange operations carried out"

Explanation

on filling out the Form, designed for the collection

of administrative data on a gratuitous basis

Report on foreign exchange operations carried out

(index – PR-9, frequency – monthly)

Chapter 1. General Provisions

This explanation defines the unified requirements for filling out the Form, designed for the collection of administrative data on a gratuitous basis, "Report on foreign exchange operations carried out" (hereinafter - the Form).
The Form is submitted by the authorized bank monthly and includes information on the foreign exchange operations carried out by it, including on the instructions of clients.
The Form is signed by the head or person authorized to sign the report, and the executor.

Chapter 2. Filling out the Form

The Form includes information on foreign exchange operations for the reporting period in an amount equal to or exceeding the threshold value determined by the Rules for the implementation of foreign exchange operations in the Republic of Kazakhstan, approved by the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated March 30, 2019 No. 40 "On Approval of the Rules for the implementation of foreign exchange operations in the Republic of Kazakhstan" (registered in the Registry of state registration of normative legal acts under No. 18512), (hereinafter - Rules for the implementation of foreign exchange operations in the Republic of Kazakhstan).
Foreign exchange operations are reflected in the Form:

for payments and (or) transfers of money on the instructions of clients (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 the authorized bank's own payments and (or) transfers of money - 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 foreign exchange operations - on the date of the operation.

Information on payments and (or) transfers of money on foreign exchange 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 the resident or non-resident.

Parts 1, 6 and 7 of the Form are filled out in the case of carrying out foreign exchange operations on the basis of a foreign exchange contract.
In Part 1 of the Form, the details of the foreign exchange contract are indicated. Column 1.3 is filled out if an accounting number has been assigned to the foreign exchange contract.
In parts 2 and 3 of the Form, information on the sender of money and the beneficiary is indicated in accordance with the payment document.

In columns 2.3 and 3.3, the two-letter code of the country of registration (for a legal entity, branch (representative office) of a legal entity) or country of permanent residence (for an individual based on citizenship or rights granted in accordance with the legislation of the Republic of Kazakhstan or a foreign state) of the sender of money, beneficiary is indicated in accordance with the National Classifier of the Republic of Kazakhstan NK RK ISO 3166-1 "Codes for the representation of names of countries and units of their administrative-territorial subdivisions. Part 1. Country codes". In the absence of reliable information at the authorized bank about the country of registration or country of permanent residence of the sender of money or beneficiary, these columns are filled out based on the data of the payment document.

Columns 2.4, 2.5, 3.4, and 3.5 are filled out in accordance with the Rules on the application of economic sector codes and payment purposes, approved by Resolution No. 203 of the Board of the National Bank of the Republic of Kazakhstan dated August 31, 2016 "On Approval of the Rules on the Application of Economic Sector Codes and Payment Purposes" (registered in the Registry of State Registration of Normative Legal Acts under No. 14365), (hereinafter – Rules on the Application of Economic Sector Codes and Payment Purposes), which is aligned with the National Classifier of Economic Sectors (NCS).

When depositing (withdrawing) cash from a bank account in parts 2 and 3 of the Form, information about the account owner is provided, except in cases where cash is deposited (withdrawn) by a third party into a physical person's bank account. When a third party deposits cash into a physical person's bank account, part 2 of the Form contains information about the person depositing the money, and part 3 of the Form contains information about the account owner.

When a third party withdraws cash from a physical person's bank account, part 2 of the Form contains information about the account owner, and part 3 of the Form contains information about the person withdrawing the money.

When an authorized bank sells foreign currency, checks, bills of exchange, other payment documents, or other currency values, part 2 of the Form reflects information about the authorized bank, and 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 values, part 2 of the Form reflects information about the client-seller, and part 3 of the Form – about the authorized bank.

Part 4 of the Form indicates information about the currency operation.

In column 4.1, the date of the currency operation must correspond to the reporting period.

In column 4.2, the currency operation reference is indicated, consisting of four parts:

1) In the first part, the three-digit code of the authorized bank assigned by the National Bank of the Republic of Kazakhstan in accordance with the Instruction on Assignment, Use, and Cancellation of Bank Identification Codes by the National Bank of the Republic of Kazakhstan, as well as assignment and cancellation of codes of banks, branches of non-resident banks of the Republic of Kazakhstan, and organizations carrying out certain types of banking operations, and codes of branches of banks and organizations carrying out certain types of banking operations, their structure, formation, and maintenance of the Directory of Banks, Branches of Non-Resident Banks of the Republic of Kazakhstan, and Organizations Carrying Out Certain Types of Banking Operations, approved by Resolution No. 128 of the Board of the National Bank of the Republic of Kazakhstan dated October 27, 2020 "On Approval of the Instruction on Assignment, Use, and Cancellation of Bank Identification Codes by the National Bank of the Republic of Kazakhstan, as well as Assignment and Cancellation of Codes of Banks, Branches of Non-Resident Banks of the Republic of Kazakhstan, and Organizations Carrying Out Certain Types of Banking Operations, and Their Structure, Formation, and Maintenance of the Directory of Banks, Branches of Non-Resident Banks of the Republic of Kazakhstan, and Organizations Carrying Out Certain Types of Banking Operations" (registered in the Registry of State Registration of Normative Legal Acts under No. 21593), (hereinafter – Instruction No. 128);

2) In the second part, the code of the branch of the authorized bank according to Instruction No. 128, consisting of three digits, is indicated;

3) In the third part, the sequential number of the currency operation in the report is indicated;

4) In the fourth part, the reporting date in "DDMMYYYY" format is indicated.

For professional participants of the securities market, codes for the first and second parts of the reference are assigned in accordance with codes assigned to professional participants of the securities market by JSC "Kazakhstan Stock Exchange" as members of JSC "Kazakhstan Stock Exchange".

The reference of each currency operation must be unique.

Column 4.3 is filled out in accordance with Appendix 2 to the Rules on Currency Operations in the Republic of Kazakhstan.

Column 4.4 is filled out in accordance with the Rules on the application of economic sector codes and payment purposes.

In column 4.5, the amount is indicated in units of currency and rounded to a whole value by mathematical rounding.

In column 4.6, the three-letter alphabetic code of the currency is indicated in accordance with the National Classifier of the Republic of Kazakhstan NC RK 07 ISO 4217 "Codes for the Representation of Currencies and Funds".

In column 4.7, "01" is indicated – for outgoing payments or money transfers, operations for withdrawal of cash foreign currency, or sale by an authorized bank of foreign currency, checks, bills of exchange, other payment documents, or other currency values; "02" – for incoming payments or money transfers, operations for crediting cash foreign currency, or purchase by an authorized bank of foreign currency, checks, bills of exchange, other payment documents, or other currency values.

In column 4.8, "1" is indicated if the payment and/or money transfer is carried out between a legal entity and its structural subdivisions or between structural subdivisions of one legal entity; in all other cases, "0" is indicated.

Column 4.9 is filled out in accordance with paragraphs 16-1 and 16-2 of the Rules on Currency Operations in the Republic of Kazakhstan as follows:

"1.1" – financial loan providing for the provision of money by a non-resident to a resident (except for an authorized bank), if the terms of the corresponding currency contract (initially or after making changes and/or additions to the currency contract) 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;

"1.2" – financial loan providing for the emergence of claims against a non-resident by a resident (except for an authorized bank) for the return of money, if the terms of the corresponding currency contract (initially or after making changes and/or additions to the currency contract) 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;

"1.3" – financial loan providing for the provision of money by a resident to a non-resident who is not an affiliated person, if the terms of the corresponding currency contract (initially or after making changes and/or additions to the currency contract) do not provide for the payment of remuneration for the use of the subject of the financial loan;

"1.4" – export operations, if the terms of the corresponding currency contract (initially or after making changes and/or additions to the currency contract) provide that the term for the non-resident's fulfillment of obligations for payment for exports exceeds seven hundred twenty days from the date of fulfillment of obligations by the resident;

"1.5" – import operations, if the terms of the corresponding currency contract (initially or after making changes and/or additions to the currency contract) provide that the term for the non-resident's fulfillment of obligations for the supply of goods (performance of works, provision of services) or for the return of money, including advance payment or full prepayment amount (in case of non-fulfillment by the non-resident of its import obligations), exceeds seven hundred twenty days from the date of fulfillment of obligations by the resident;

"1.6" – money transfer by a resident to a non-resident – professional participant of the securities market carrying out currency operations on behalf of clients, for an amount exceeding fifty thousand US dollars in equivalent;

"1.7" – transfer by a resident of money to its own account abroad for an amount exceeding fifty thousand US dollars in equivalent;

"1.8" – gratuitous money transfer carried out by a resident in favor of a non-resident for an amount exceeding fifty thousand US dollars in equivalent;

"2.1" – payments and/or money transfers of one person for a calendar month under two or more currency contracts concluded with the same non-resident, for a total amount exceeding the threshold value, above which such currency contracts are subject to assignment of an accounting number;

"2.2" – operations by a non-resident to purchase in one authorized bank in one working day non-cash foreign currency for national currency for an amount exceeding fifty thousand US dollars in equivalent, if the source of origin of money in national currency is not related to the receipt by the non-resident of money from the sale of goods (performance of works, provision of services) to a resident, sale of other financial assets for national currency, receipt of dividends in national currency from activities on the territory of the Republic of Kazakhstan, refund by state revenue bodies of taxes and other mandatory payments previously paid by the non-resident to the budget, and other economically justified sources of origin of national currency;

"0" – in all other cases.

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 money transfers, the organization (bank) of the beneficiary for sent payments and/or money transfers. For intra-bank currency operations, information about the reporting authorized bank is indicated. If there is no information in the documents on the basis of which the payment and/or money transfer is carried out about the organization (bank) of the sender of money, part 5 of the Form is not filled out.

In column 5.3, the two-letter code of the country of the organization (bank) of the sender of money or beneficiary is indicated in accordance with the National Classifier of the Republic of Kazakhstan NC RK ISO 3166-1 "Codes for the Representation of Names of Countries and Units of Their Administrative-Territorial Divisions. Part 1. Country Codes". For intra-bank currency operations, the code "KZ" is indicated.

In column 5.4, "1" is indicated under the following conditions:

1) if the country from which the payment and/or money transfer was initiated (the country where the bank account of the primary sender of money, from which the payment and/or money transfer was sent, is located, is different from the Republic of Kazakhstan;

2) if the country to which the payment and/or money transfer was directed (the country where the bank account of the final beneficiary, to which the money was credited, is located, is different from the Republic of Kazakhstan.

In other cases, "2" is indicated.

Parts 6 and 7 of the Form indicate information about the sender of money or recipient of money under the currency contract. If the sender (recipient) of money under the currency contract coincides with the sender of money (beneficiary) under the payment document, then part 6 (7) of the Form is filled out with information similar to part 2 (3) of the Form.

In columns 6.3 and 7.3, the two-letter code of the country of registration (for a legal entity, branch (representation) of a legal entity) or country of permanent residence (for a physical person based on citizenship or 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 contract is indicated in accordance with the National Classifier of the Republic of Kazakhstan NC RK ISO 3166-1 "Codes for the Representation of Names of Countries and Units of Their Administrative-Territorial Divisions. Part 1. Country Codes". If the authorized bank lacks reliable information about the country of registration or country of permanent residence of the sender of money or beneficiary, these columns are filled out based on data from the payment document.

Columns 6.4, 6.5, 7.4, and 7.5 are filled out in accordance with the Rules on the application of economic sector codes and payment purposes, which is aligned with the National Classifier of Economic Sectors (NCS).

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 real estate object, special payment conditions, date of crediting money to the storage account in accordance with currency legislation.
The absence of clarifying information in part 8 of the Form is not a violation. Including in the Form currency operations for an amount less than the established threshold value is not a violation.
In the absence of information for the reporting period, the Form is submitted with zero values.
Corrections (changes, additions) to the Form are made until the 20th (twentieth) day (inclusive) of the month following the reporting month.
The following currency operations on behalf of clients are not included in the form:

1) currency operations of participants of the International Financial Center "Astana";

2) purchase (sale) of cash foreign currency through exchange points;

3) client transfers between their accounts within one authorized bank (including intra-corporate transfers);

4) withdrawal (crediting) by a non-resident of cash tenge from/to their own account in an authorized bank;

5) operations related to obtaining a credit from the reporting authorized bank (issuance, repayment, payment of interest and commissions);

6) payment of wages by a legal entity under the payroll project (for resident and non-resident clients);

7) operations on "Loro" accounts on behalf of clients of other banks;

8) operations of physical persons using payment cards for amounts less than fifty thousand US dollars in equivalent;

9) operations without opening and using a bank account;

10) deposits of clients of the reporting authorized bank (opening, closing, payment of remuneration to an account in the reporting authorized bank);

11) non-cash purchase and/or sale of foreign currency by clients of authorized banks who are professional participants of the securities market and are authorized banks.

The following proprietary currency operations of the authorized bank are not included in the form:

1) payments and transfers on the authorized bank's own accounts, including intra-corporate transfers;

2) operations related to issuance/receipt of credits by the reporting authorized bank (issuance, repayment, receipt of interest and commissions);

3) over-the-counter transactions with foreign currency (except for transactions carried out by professional participants of the securities market who are authorized banks);

4) operations related to interbank credits and deposits, including overnight operations, of the reporting authorized bank;

5) operations with derivative financial instruments and debt securities (except for operations of issuers of debt securities);

6) netting of settlements within payment systems, money transfer systems;

7) operations within custodial services;

8) operations on transit accounts;

9) operations with cash foreign currency (import, export, crediting, or withdrawal from accounts);

10) payments and/or money transfers of professional participants of the securities market who are authorized banks, including in execution of client orders.

Remuneration

Credit status

Balance at the beginning of the reporting period, thousands of units of contract currency

Operations in the reporting period, thousands of units of contract currency

Balance at the end of the reporting period

Amount, thousands of units of contract currency

Balance sheet account number