Rules on Reporting Compliance with Anti-Money Laundering, Counter-Terrorism Financing, and Counter-Proliferation Financing Legislation by Legal Entities Operating Solely Through Exchange Points

NATIONAL BANK OF THE REPUBLIC OF KAZAKHSTAN		DECISION OF THE BOARD
January 21, 2026 Astana city		No. 3 Astana city

On Approval of the Reporting Rules

on compliance with the legislation of the Republic of Kazakhstan on countering the legalization (laundering) of proceeds obtained by criminal means, terrorism financing and financing of the proliferation of weapons of mass destruction, by legal entities carrying out activities exclusively through an exchange point on the basis of a license of the National Bank of the Republic of Kazakhstan for foreign currency cash exchange operations

In accordance with subparagraph 48) of paragraph 2 of part 2 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 dated 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", the Board of the National Bank of the Republic of Kazakhstan DECIDES:

1. Approve the attached Reporting Rules on compliance with the legislation of the Republic of Kazakhstan on countering the legalization (laundering) of proceeds obtained by criminal means, terrorism financing and financing of the proliferation of weapons of mass destruction, by legal entities carrying out activities exclusively through an exchange point on the basis of a license of the National Bank of the Republic of Kazakhstan for foreign currency cash exchange operations.

2. Recognize as invalid certain decisions of the Board of the National Bank of the Republic of Kazakhstan, as well as a structural element of the decision of the Board of the National Bank of the Republic of Kazakhstan on the list according to the appendix to this decision.

3. The Department of Cash Circulation of the National Bank of the Republic of Kazakhstan shall ensure in the manner established by the legislation of the Republic of Kazakhstan:

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

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

3) within ten working days after the state registration of this decision, submit information to the Legal Department of the National Bank of the Republic of Kazakhstan on the implementation of the activity provided for in subparagraph 2) of this paragraph.

4. Control over the implementation of this decision shall be entrusted to the Deputy Chairman of the National Bank of the Republic of Kazakhstan overseeing the matter.

5. This decision shall enter into force after the expiration of ten calendar days from the date of its first official publication.

Chairman	T.M. Suleimenov

CONSULTED

Bureau of National Statistics

Agency for Strategic Planning and Reforms

of the Republic of Kazakhstan

CONSULTED

Agency of the Republic of Kazakhstan

on Financial Monitoring

CONSULTED

Agency of the Republic of Kazakhstan

on Regulation and Development

of the Financial Market

Approved

by the decision of the Board

of the National Bank

of the Republic of Kazakhstan

dated January 21, 2026 No. 3

Reporting Rules

on compliance with the legislation of the Republic of Kazakhstan on countering the legalization (laundering) of proceeds obtained by criminal means, terrorism financing and financing of the proliferation of weapons of mass destruction, by legal entities carrying out activities exclusively through an exchange point on the basis of a license of the National Bank of the Republic of Kazakhstan for foreign currency cash exchange operations

Chapter 1. General Provisions

1. The Reporting Rules on compliance with the legislation of the Republic of Kazakhstan on countering the legalization (laundering) of proceeds obtained by criminal means, terrorism financing and financing of the proliferation of weapons of mass destruction, by legal entities carrying out activities exclusively through an exchange point on the basis of a license of the National Bank of the Republic of Kazakhstan for foreign currency cash exchange operations (hereinafter - the Rules) are developed in accordance with subparagraph 48) of paragraph 2 of part 2 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 dated 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 submission, including forms intended for the collection of administrative data on a gratuitous basis, the frequency and deadlines for submitting reports on compliance with the legislation of the Republic of Kazakhstan on countering the legalization (laundering) of proceeds obtained by criminal means, terrorism financing and financing of the proliferation of weapons of mass destruction (hereinafter - reporting), by legal entities carrying out activities exclusively through an exchange point on the basis of a license of the National Bank of the Republic of Kazakhstan for foreign currency cash exchange operations (hereinafter - authorized organization) to the National Bank of the Republic of Kazakhstan (hereinafter - the National Bank).

Chapter 2. Procedure for submitting reporting

2. Reporting is submitted by the authorized organization in electronic format, using information systems in compliance with electronic digital signature confirmation procedures.

3. The completeness and accuracy of data in the reporting is ensured by the head or responsible person of the authorized organization, who is assigned the function of signing the report.

4. The authorized organization 1 (one) time per half-year, no later than the 20th (twentieth) day of the month following the reporting half-year, submits to the territorial branch of the National Bank:

1) a report on refusals to conduct foreign currency cash exchange operations, operations on the purchase and/or sale of refined gold bars issued by the National Bank, by individuals included in the list of persons associated with terrorism financing, extremism and financing of the proliferation of weapons of mass destruction, as well as on refusals to establish business relations with such persons, according to Appendix 1 to the Rules;

2) a report on the completion of foreign currency cash exchange operations, operations on the purchase and/or sale of refined gold bars issued by the National Bank, by individuals, according to Appendix 2 to the Rules;

3) a report on affiliated persons and beneficial owners of a legal entity carrying out activities exclusively through an exchange point on the basis of a license of the National Bank of the Republic of Kazakhstan for foreign currency cash exchange operations, and their foreign currency cash exchange operations, operations on the purchase and/or sale of refined gold bars issued by the National Bank, according to Appendix 3 to the Rules;

4) a report on money transfers to bank accounts of a legal entity carrying out activities exclusively through an exchange point on the basis of a license of the National Bank of the Republic of Kazakhstan for foreign currency cash exchange operations, opened in foreign banks, according to Appendix 4 to the Rules.

If the deadline for submitting reporting established by this paragraph falls on a non-working day, then the last day for submitting reporting is considered to be the next working day.

If the deadline for submitting reporting established by this paragraph falls within the period of a state of emergency throughout the territory of the Republic of Kazakhstan or the territory where the authorized organization is located, then the last day for submitting reporting is considered to be the tenth working day following the day of expiration of the state of emergency throughout the territory of the Republic of Kazakhstan or the territory where the authorized organization is located.

5. Quantitative data in the reporting submitted by the authorized organization is indicated in the national currency of the Republic of Kazakhstan - tenge, as well as in foreign currency.

6. Adjustments (corrections, additions) to data are made within one month after the deadline established for submitting reporting.

7. In the event of voluntary liquidation of the authorized organization, reporting is submitted to the territorial branch of the National Bank no later than the date of sending the notification about the adopted decision on the voluntary liquidation of the authorized organization.

Appendix 1

to the Reporting Rules

on compliance with the legislation of the Republic of Kazakhstan

on countering the legalization (laundering) of proceeds,

obtained by criminal means,

terrorism financing and

financing of the proliferation of weapons

of mass destruction,

by legal entities,

carrying out activities exclusively

through an exchange point

on the basis of a license of the National Bank of

the Republic of Kazakhstan for foreign currency cash exchange

operations

Form,

intended for the collection

of administrative data

Submitted to: the territorial branch of the 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: report on refusals to conduct foreign currency cash exchange operations, operations on the purchase and/or sale of refined gold bars issued by the National Bank, by individuals included in the list of persons associated with terrorism financing, extremism and financing of the proliferation of weapons of mass destruction, as well as on refusals to establish business relations with such persons

Index of the form, intended for the collection of administrative data on a gratuitous basis: AML-R1

Frequency: semi-annual

Reporting period: as of "_"__ 20 ___ year

Circle of persons submitting the form, intended for the collection of administrative data on a gratuitous basis: legal entity carrying out activities exclusively through an exchange point on the basis of a license of the National Bank of the Republic of Kazakhstan for foreign currency cash exchange operations (hereinafter - authorized organization)

Deadline for submitting the form, intended for the collection of administrative data on a gratuitous basis: 1 (one) time per half-year, no later than the 20th (twentieth) day of the month following the reporting half-year

BIN: ______

Collection method: in electronic form

Form

---

(full name of the authorized organization)

No.	Surname, first name, patronymic (if any)	Date of birth	Individual identification number	ID document data
name	issue date	number
1	2	3	4	5	6	7
1
…

continuation of the table:

Citizenship	Potential transaction volume in tenge	Potential transaction volume in foreign currency / operations with refined gold bars issued by the National Bank of the Republic of Kazakhstan	Operation code	Currency type	Date of refusal
8	9	10	11	12	13

Name______

Address ______

Phone ______

Email address ______

Executor______ ______

surname, first name and patronymic (if any) phone

Head or person assigned the function of signing the report______ ______

surname, first 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 refusals to conduct foreign currency cash exchange operations, operations on the purchase and/or sale of refined gold bars issued by the National Bank, by individuals included in the list of persons associated with terrorism financing, extremism and financing of the proliferation of weapons of mass destruction, as well as on refusals to establish business relations with such persons"

Appendix

to the form, intended for

collection of administrative

data on a gratuitous

basis "Report on refusals to conduct

foreign currency cash exchange

operations,

operations on the purchase and/or sale

of refined gold bars

issued by the National Bank

of individuals,

included in the list of persons associated

with terrorism financing,

extremism and financing of

proliferation of weapons

of mass destruction,

as well as refusal

to establish business relations

with such persons"

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

"Report on refusals to conduct foreign currency cash exchange operations, operations on the purchase and/or sale of refined gold bars issued by the National Bank, by individuals included in the list of persons associated with terrorism financing, extremism and financing of the proliferation of weapons of mass destruction, as well as on refusals to establish business relations with such persons"

(index - AML-R1, frequency - semi-annual)

Chapter 1. General Provisions

1. These instructions determine the unified requirements for filling out the form, intended for the collection of administrative data on a gratuitous basis "Report on refusals to conduct foreign currency cash exchange operations, operations on the purchase and/or sale of refined gold bars issued by the National Bank, by individuals included in the list of persons associated with terrorism financing, extremism and financing of the proliferation of weapons of mass destruction, as well as on refusals to establish business relations with such persons" (hereinafter - Form).

2. The Form is compiled by the authorized organization 1 (one) time per half-year. Data in the Form is filled out in tenge, unless otherwise specified.

3. The Form is signed by the head or person assigned the function of signing the report.

Chapter 2. Instructions for filling out the Form

4. For the form:

1) in column 4, the individual identification number (12 digits) is indicated, mandatory for citizens of the Republic of Kazakhstan and, if available, for foreigners or stateless persons;

2) in column 5, taking into account the features of paragraph 3 of Article 6 of the Law of the Republic of Kazakhstan "On Documents Confirming Identity" (hereinafter - Law on Documents Confirming Identity), the name of one of the documents confirming identity provided for in paragraph 1 of Article 6 of the Law on Documents Confirming Identity, or the Directory of Codes of Documents Confirming Identity, approved by Appendix 5 to the Rules for submission by subjects of financial monitoring of information and information on operations subject to financial monitoring, and signs of determining suspicious operations, approved by the Order of the Chairman of the Agency of the Republic of Kazakhstan on Financial Monitoring dated February 22, 2022 No. 13 (registered in the Registry of State Registration of Normative Legal Acts under No. 26924) (hereinafter - Rules for submission by subjects of financial monitoring of information and information on operations subject to financial monitoring);

3) in columns 6 and 7, data of the document confirming identity is indicated, in accordance with subparagraph 8) of paragraph 1 of Article 7 of the Law on Documents Confirming Identity (issue date and number of the document confirming identity);

4) for citizens of the Republic of Kazakhstan, columns 5, 6 and 7 are not filled;

5) in column 8, the two-letter code of the country of citizenship is indicated in accordance with the document confirming identity (not indicated for a stateless person) in accordance with the national classifier of the Republic of Kazakhstan NK RK 06 ISO 3166-1 "Codes for the presentation of names of countries and units of their administrative-territorial divisions. Part 1. Country codes";

6) in column 10, the amount in units of foreign currency is indicated (for operations with refined gold bars issued by the National Bank of the Republic of Kazakhstan, the volume in grams is indicated);

7) in column 11, the following four-digit operation code is indicated in accordance with the Directory of Codes of Operations Subject to Financial Monitoring, approved by Appendix 6 to the Rules for submission by subjects of financial monitoring of information and information on operations subject to financial monitoring:

0211 - purchase by the client of foreign currency cash through exchange points;

0221 - sale by the client of foreign currency cash through exchange points;

1711 - purchase by the client of refined gold bars issued by the National Bank of the Republic of Kazakhstan;

1721 - sale by the client of refined gold bars issued by the National Bank of the Republic of Kazakhstan;

8) in column 12, letter codes of currencies are indicated in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the presentation of currencies and funds";

9) in column 13, the date of refusal is indicated in the format "DD.MM.YYYY."

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

Appendix 2

to the Reporting Rules

on compliance with the legislation of the Republic of Kazakhstan

on countering the legalization (laundering) of proceeds,

obtained by criminal means,

terrorism financing and

financing of the proliferation of weapons

of mass destruction,

by legal entities,

carrying out activities exclusively

through an exchange point

on the basis of a license of the National Bank of

the Republic of Kazakhstan for foreign currency cash exchange

operations

Form,

intended for the collection

of administrative data

Submitted to: the territorial branch of the 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: report on the completion of foreign currency cash exchange operations, operations on the purchase and/or sale of refined gold bars issued by the National Bank, by individuals

Index of the form, intended for the collection of administrative data on a gratuitous basis: AML-R2

Frequency: semi-annual

Reporting period: as of "_"__ 20 ___ year

Circle of persons submitting the form, intended for the collection of administrative data on a gratuitous basis: legal entity carrying out activities exclusively through an exchange point on the basis of a license of the National Bank of the Republic of Kazakhstan for foreign currency cash exchange operations (hereinafter - authorized organization)

Deadline for submitting the form, intended for the collection of administrative data on a gratuitous basis: 1 (one) time per half-year, no later than the 20th (twentieth) day of the month following the reporting half-year

BIN: ______

Collection method: in electronic form

Form

---

(full name of the authorized organization)

No.	Surname, first name, patronymic (if any)	Date of birth	Individual identification number	ID document data
name	issue date	number
1	2	3	4	5	6	7
1
…

continuation of the table:

Citizenship	Transaction volume in tenge	Transaction volume in foreign currency / operations with refined gold bars issued by the National Bank of the Republic of Kazakhstan	Operation code	Currency type	List of states (territories) or state (territory)	Date of transaction
8	9	10	11	12	13	14
…

Name ______

Address ______

Phone ______

Email address ______

Executor______ ______

surname, first name and patronymic (if any) phone

Head or person assigned the function of signing the report______ ______

surname, first 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 completion of foreign currency cash exchange operations, operations on the purchase and/or sale of refined gold bars issued by the National Bank, by individuals"

Appendix

to the form, intended for

collection of administrative

data on a gratuitous

basis "Report on the completion

foreign currency cash exchange

operations,

operations on the purchase and/or sale

of refined gold bars

issued by the National Bank, by individuals"

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

"Report on the completion of foreign currency cash exchange operations, operations on the purchase and/or sale of refined gold bars issued by the National Bank, by individuals"

(index - AML-R2, frequency - semi-annual)

Chapter 1. General Provisions

1. These instructions determine the unified requirements for filling out the form, intended for the collection of administrative data on a gratuitous basis "Report on the completion of foreign currency cash exchange operations, operations on the purchase and/or sale of refined gold bars issued by the National Bank, by individuals" (hereinafter - Form).

2. The Form is compiled by the authorized organization 1 (one) time per half-year. Data in the Form is filled out in tenge, unless otherwise specified.

3. The Form is signed by the head or person assigned the function of signing the report.

Chapter 2. Instructions for filling out the Form

4. The Form reflects operations on the purchase and/or sale of foreign currency cash or refined gold bars issued by the National Bank of the Republic of Kazakhstan, conducted through exchange points:

1) by citizens of the Republic of Kazakhstan for an amount exceeding 2,000,000 (two million) tenge;

2) by foreigners or stateless persons - without establishing a threshold amount.

Operations with affiliated persons and beneficial owners of the authorized organization listed in Appendix 3 to these Rules are not reflected in the Form.

5. Regarding the Form:

1) Column 4 indicates the individual identification number (12 digits), mandatory for citizens of the Republic of Kazakhstan and, if available, for foreigners or stateless persons;

2) Column 5, taking into account the features of paragraph 3 of Article 6 of the Law of the Republic of Kazakhstan "On Documents Confirming Identity" (hereinafter - Law on Documents Confirming Identity), indicates the name of one of the identity documents provided for by paragraph 1 of Article 6 of the Law on Documents Confirming Identity, or by the Directory of Codes of Identity Documents approved by Appendix 5 to the Rules for Reporting by Financial Monitoring Subjects on Information and Operations Subject to Financial Monitoring, approved by Order of the Chairman of the Agency of the Republic of Kazakhstan for Financial Monitoring dated February 22, 2022 No. 13 (registered in the Registry of State Registration of Normative Legal Acts under No. 26924) (hereinafter - Rules for Reporting by Financial Monitoring Subjects on Information and Operations Subject to Financial Monitoring);

3) Columns 6 and 7 indicate the data of the identity document, in accordance with subparagraph 8) of paragraph 1 of Article 7 of the Law on Documents Confirming Identity (date of issue and number of the identity document);

4) For citizens of the Republic of Kazakhstan, columns 5, 6, and 7 are not filled;

5) Column 8 indicates the two-letter country code of citizenship in accordance with the identity document (not indicated for stateless persons) in accordance with the National Classifier of the Republic of Kazakhstan NK RK 06 ISO 3166-1 "Codes for the Representation of Country Names and Units of Their Administrative-Territorial Divisions. Part 1. Country Codes";

6) Column 10 indicates the amount in foreign currency (for operations with refined gold in bars issued by the National Bank of the Republic of Kazakhstan, the volume in grams is indicated);

7) Column 11 indicates the following four-digit operation code in accordance with the Directory of Codes of Operations Subject to Financial Monitoring, approved by Appendix 6 to the Rules for Reporting by Financial Monitoring Subjects on Information and Operations Subject to Financial Monitoring:

0211 - purchase by the client of cash foreign currency through exchange offices;

0221 - sale by the client of cash foreign currency through exchange offices;

1711 - purchase by the client of refined gold in bars issued by the National Bank of the Republic of Kazakhstan;

1721 - sale by the client of refined gold in bars issued by the National Bank of the Republic of Kazakhstan;

8) Column 12 indicates currency codes in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the Representation of Currencies and Funds";

9) Column 13 indicates the following codes of the country of citizenship of the physical person:

"1" - the country of citizenship of the physical person is included in the list of states (territories) that do not perform and/or insufficiently perform the recommendations of the Financial Action Task Force (FATF);

"2" - the country of citizenship of the physical person is one of the following countries characterized as offshore zones:

United States of America (only in part of the territories of the U.S. Virgin Islands, the state of Wyoming, the island of Guam, and the Commonwealth of Puerto Rico);

Principality of Andorra;

State of Antigua and Barbuda;

Commonwealth of the Bahamas;

State of Barbados;

Kingdom of Bahrain;

State of Belize;

State of Brunei Darussalam;

United Republic of Tanzania;

Republic of Vanuatu;

Republic of Guatemala;

State of Grenada;

Republic of Djibouti;

Commonwealth of Dominica;

Dominican Republic;

New Zealand (only in part of the territories of the Cook Islands and Niue);

Spain (only in part of the territory of the Canary Islands);

Federal Islamic Republic of the Comoros;

Cooperative Republic of Guyana;

Republic of Costa Rica;

People's Republic of China (only in part of the territories of the Special Administrative Region of Aomen (Macau) and Xianggang (Hong Kong));

Republic of Colombia;

Republic of Liberia;

Lebanese Republic;

Republic of Mauritius;

Islamic Republic of Mauritania;

Malaysia (only in part of the territory of the Labuan enclave);

Maldives;

Republic of Malta;

Mariana Islands;

Republic of the Marshall Islands;

Principality of Monaco;

Kingdom of Morocco (only in part of the territory of the city of Tangier);

Union of Myanmar;

Republic of Nauru;

Federal Republic of Nigeria;

Netherlands (only in part of the territory of the island of Aruba and dependent territories of the Antilles);

Republic of Palau;

Republic of Panama;

Portugal (only in part of the territory of the Madeira Islands);

Independent State of Samoa;

Republic of San Marino;

Republic of the Seychelles;

State of Saint Vincent and the Grenadines;

Federation of Saint Kitts and Nevis;

State of Saint Lucia;

Republic of Suriname;

Kingdom of Tonga;

Republic of Trinidad and Tobago;

United Kingdom of Great Britain and Northern Ireland (only in part of the territories of Anguilla Island, Bermuda Islands, British Virgin Islands, Gibraltar, Cayman Islands, Montserrat Island, Normandy Islands (Guernsey, Jersey, Sark, Alderney Islands), South Georgia Island, South Sandwich Islands, Turks and Caicos Islands, Chagos Island, Isle of Man);

Sovereign Democratic Republic of Fiji;

Republic of the Philippines;

French Republic (only in part of the territories of Kerguelen Island, French Guiana, and French Polynesia);

Republic of Montenegro;

Democratic Republic of Sri Lanka;

Jamaica;

"3" - the country of citizenship of the physical person is a foreign state (territory) regarding which an international sanction (embargo) has been applied, adopted by a resolution of the United Nations Security Council;

"4" - the country of citizenship of the physical person is not a country falling under the above country affiliation codes.

If the country of citizenship of the physical person falls under two or more country affiliation codes, all applicable codes are indicated. For example, if the country affiliation codes are "1" and "2", then "1, 2" is indicated.

For stateless persons, indication of the above features is not required;

10) Column 14 indicates the date of the operation in the format "DD.MM.YYYY."

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

Appendix 3

to the Rules for Reporting

on Compliance with Requirements

of the Legislation of the Republic of Kazakhstan

on Combating Money Laundering,

Terrorist Financing, and

Proliferation Financing

by Legal Entities

Operating Exclusively

Through an Exchange Office

Based on a License of the National Bank

of the Republic of Kazakhstan for Exchange Operations

with Cash Foreign Currency

Form,

Intended for the Collection

of Administrative Data

Submitted to: Territorial Branch of the National Bank of the Republic of Kazakhstan

The 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 Affiliated Persons and Beneficial Owners of a Legal Entity Operating Exclusively Through an Exchange Office Based on a License of the National Bank of the Republic of Kazakhstan for Exchange Operations with Cash Foreign Currency, and Their Exchange Operations with Cash Foreign Currency, Operations for the Purchase and/or Sale of Refined Gold in Bars Issued by the National Bank

Index of the Form, Intended for the Collection of Administrative Data on a Gratuitous Basis: AML-R3

Frequency: Semi-annual

Reporting Period: As of "_"__ 20 __ year

Circle of Persons Submitting the Form, Intended for the Collection of Administrative Data on a Gratuitous Basis: Legal Entity Operating Exclusively Through an Exchange Office Based on a License of the National Bank of the Republic of Kazakhstan for Exchange Operations with Cash Foreign Currency (hereinafter - Authorized Organization)

Deadline for Submitting the Form, Intended for the Collection of Administrative Data on a Gratuitous Basis: 1 (one) time per half-year, no later than the 20th (twentieth) day of the month following the reporting half-year

BIN: ______

Collection Method: In electronic form

Form

---

(Full Name of the Authorized Organization)

Table 1. Transactions (Operations) with Physical Persons Who Are Affiliated Persons and/or Beneficial Owners of the Authorized Organization, Concluded During the Reporting Half-Year

No.	Surname, First Name, Patronymic (if any)	Date of Birth	Individual Identification Number (or Identification Number in the Country of Residence)	Data of the Identity Document
Name	Date of Issue	Number
1	2	3	4	5	6	7
1
…

Continuation of the table:

Citizenship	Transaction Volume in Tenge	Transaction Volume in Foreign Currency/Operations with Refined Gold in Bars Issued by the National Bank of the Republic of Kazakhstan	Operation Code	Currency Type	Date of Operation
8	9	10	11	12	13
…

Continuation of the table:

Weighted Average Rate for All Operations on the Day of the Transaction with the Affiliated Person and/or Beneficial Owner	Maximum Rate for All Operations on the Day of the Transaction with the Affiliated Person and/or Beneficial Owner	Minimum Rate for All Operations on the Day of the Transaction with the Affiliated Person and/or Beneficial Owner	Rate for the Affiliated Person and/or Beneficial Owner
14	15	16	17
…

Continuation of the table:

Feature by Which the Person is Classified as an Affiliated Person in Accordance with Paragraph 2 of Article 12-1 of the Law of the Republic of Kazakhstan "On Limited and Additional Liability Partnerships" and/or as a Beneficial Owner in Accordance with Subparagraph 3) of Article 1 of the Law of the Republic of Kazakhstan "On Combating Money Laundering, Terrorist Financing, and Proliferation Financing"
18
…

Table 2. Register of Affiliated Persons of the Authorized Organization

No.	Business Identification Number of the Legal Entity	Name of the Legal Entity	Country of Registration	Feature by Which the Person is Classified as an Affiliated Person in Accordance with Paragraph 2 of Article 12-1 of the Law of the Republic of Kazakhstan "On Limited and Additional Liability Partnerships"
1	2	3	4	5
1
…

Table 3. List of Beneficial Owners of the Authorized Organization

No.	Surname, First Name, Patronymic (if any)	Date of Birth	Individual Identification Number (or Identification Number in the Country of Residence)	Data of the Identity Document
Name	Date of Issue	Number
1	2	3	4	5	6	7
1
…

Continuation of the table:

Citizenship	Feature by Which the Person is Classified as a Beneficial Owner in Accordance with Subparagraph 3) of Article 1 of the Law of the Republic of Kazakhstan "On Combating Money Laundering, Terrorist Financing, and Proliferation Financing"
Direct or Indirect Ownership of 25% Share in the Authorized Capital or Shares (indicate %)	Other Control over the Organization (describe type of control)	Operations Conducted in Their Interest (Yes/No)
8	9	10	11
…

Name ______

Address ______

Telephone ______

Email Address ______

Executor ______ ______

Surname, First Name, and Patronymic (if any) Telephone

Manager 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 instructions for completing the form, intended for the collection of administrative data on a gratuitous basis "Report on Affiliated Persons and Beneficial Owners of a Legal Entity Operating Exclusively Through an Exchange Office Based on a License of the National Bank of the Republic of Kazakhstan for Exchange Operations with Cash Foreign Currency, and Their Exchange Operations with Cash Foreign Currency, Operations for the Purchase and/or Sale of Refined Gold in Bars Issued by the National Bank"

Appendix
to the Form, Intended for

the Collection of Administrative

Data on a Gratuitous Basis

"Report on Affiliated Persons

and Beneficial Owners

of a Legal Entity Operating

Exclusively Through

an Exchange Office Based on a License

of the National Bank of the Republic of Kazakhstan

for Exchange Operations with Cash

Foreign Currency, and Their

Exchange Operations with Cash

Foreign Currency,

Operations for the Purchase and/or

Sale of Refined Gold

in Bars Issued by

the National Bank"

Instructions for Completing the Form, Intended for the Collection of Administrative Data on a Gratuitous Basis

"Report on Affiliated Persons and Beneficial Owners of a Legal Entity Operating Exclusively Through an Exchange Office Based on a License of the National Bank of the Republic of Kazakhstan for Exchange Operations with Cash Foreign Currency, and Their Exchange Operations with Cash Foreign Currency, Operations for the Purchase and/or Sale of Refined Gold in Bars Issued by the National Bank"

(Index - AML-R3, Frequency - Semi-annual)

Chapter 1. General Provisions

1. These Instructions define the unified requirements for completing the Form, Intended for the Collection of Administrative Data on a Gratuitous Basis "Report on Affiliated Persons and Beneficial Owners of a Legal Entity Operating Exclusively Through an Exchange Office Based on a License of the National Bank of the Republic of Kazakhstan for Exchange Operations with Cash Foreign Currency, and Their Exchange Operations with Cash Foreign Currency, Operations for the Purchase and/or Sale of Refined Gold in Bars Issued by the National Bank" (hereinafter - Form).

2. The Form is compiled by the Authorized Organization 1 (one) time per half-year. Data in the Form is filled in tenge, unless otherwise specified.

3. The Form is signed by the Manager or Person Authorized to Sign the Report.

Chapter 2. Instructions for Completing the Form

4. Regarding Table 1:

1) Column 4 indicates the individual identification number (12 digits), mandatory for citizens of the Republic of Kazakhstan and, if available, for foreigners or stateless persons (in the absence of an individual identification number for foreigners or stateless persons, their identification number in the country of residence is indicated);

2) Column 5, taking into account the features of paragraph 3 of Article 6 of the Law of the Republic of Kazakhstan "On Documents Confirming Identity" (hereinafter - Law on Documents Confirming Identity), indicates the name of one of the identity documents provided for by paragraph 1 of Article 6 of the Law on Documents Confirming Identity, or by the Directory of Codes of Identity Documents, approved by Appendix 5 to the Rules for Reporting by Financial Monitoring Subjects on Information and Operations Subject to Financial Monitoring, approved by Order of the Chairman of the Agency of the Republic of Kazakhstan for Financial Monitoring dated February 22, 2022 No. 13 (registered in the Registry of State Registration of Normative Legal Acts under No. 26924) (hereinafter - Rules for Reporting by Financial Monitoring Subjects on Information and Operations Subject to Financial Monitoring);

3) Columns 6 and 7 indicate the data of the identity document, in accordance with subparagraph 8) of paragraph 1 of Article 7 of the Law on Documents Confirming Identity;

4) For citizens of the Republic of Kazakhstan, columns 5, 6, and 7 are not filled;

5) Column 8 indicates the two-letter country code of citizenship in accordance with the identity document (not indicated for stateless persons) in accordance with the National Classifier of the Republic of Kazakhstan NK RK 06 ISO 3166-1 "Codes for the Representation of Country Names and Units of Their Administrative-Territorial Divisions. Part 1. Country Codes";

6) Column 9 indicates the amount in national currency;

7) Column 10 indicates the amount in units of foreign currency (for operations with refined gold in bars issued by the National Bank of the Republic of Kazakhstan, the volume in grams is indicated);

8) Column 11 indicates the following four-digit operation code in accordance with the Directory of Codes of Operations Subject to Financial Monitoring, approved by Appendix 6 to the Rules for Reporting by Financial Monitoring Subjects on Information and Operations Subject to Financial Monitoring:

0211 - purchase by the client of cash foreign currency through exchange offices;

0221 - sale by the client of cash foreign currency through exchange offices;

1711 - purchase by the client of refined gold in bars issued by the National Bank of the Republic of Kazakhstan;

1721 - sale by the client of refined gold in bars issued by the National Bank of the Republic of Kazakhstan;

9) Column 12 indicates currency codes in accordance with the National Classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the Representation of Currencies and Funds";

10) Column 13 indicates the date of the operation in the format "DD.MM.YYYY";

11) Columns 14, 15, 16, and 17 indicate the weighted average, maximum, and minimum rates (prices) for the purchase and/or sale for all operations conducted on the day of the transaction with the affiliated person and/or beneficial owner, and the rate (price per one gram of refined gold in bars issued by the National Bank of the Republic of Kazakhstan) for the affiliated person and/or beneficial owner, respectively, depending on the type of operation indicated in column 11;

12) Column 18 indicates the feature by which the person is classified:

• as an affiliated person in accordance with paragraph 2 of Article 12-1 of the Law of the Republic of Kazakhstan "On Limited and Additional Liability Partnerships" (hereinafter - Law on LLP):

"1" - founders, participants (physical persons);

"2" - close relatives, spouse (spouse), close relatives of the spouse (spouse) of physical persons indicated in subparagraphs 1), 3), and 9) of paragraph 2 of Article 12-1 of the Law on LLP;

"3" - officials of the partnership or legal entities indicated in subparagraphs 1), 4), 5), 6), 7), 8), 9), 10), and 11) of paragraph 2 of Article 12-1 of the Law on LLP;

"4" - a physical person associated with the partnership by a contract, according to which they have the right to determine decisions made by the partnership;

"5" - a physical person who independently or jointly with their affiliated persons owns, uses, or disposes of ten percent or more of voting shares (shares in the authorized capital) of legal entities indicated in subparagraphs 1), 4), 5), 6), 7), 8), 9), and 11) of paragraph 2 of Article 12-1 of the Law on LLP;

"6" - any other physical person who is an affiliated person of the partnership in accordance with subparagraph 11) of paragraph 2 of Article 12-1 of the Law on LLP;

• as a beneficial owner in accordance with subparagraph 3) of Article 1 of the Law of the Republic of Kazakhstan "On Combating Money Laundering, Terrorist Financing, and Proliferation Financing" (hereinafter - Law on AML/CFT/CPF):

"7" - a physical person to whom more than twenty-five percent of shares in the authorized capital or issued (excluding preferred and repurchased by the company) shares of the client - a legal entity or a foreign unincorporated structure directly or indirectly belong;

"8" - a physical person exercising control over the client in another manner;

"9" - a physical person in whose interest the client conducts operations with money and/or other property.

5. Regarding Table 2:

1) Column 2 indicates the business identification number (in the case of foreign organizations, the column is filled if information is available);

2) Column 4 indicates the two-letter country code of registration of the legal entity in accordance with the National Classifier of the Republic of Kazakhstan NK RK 06 ISO 3166-1 "Codes for the Representation of Country Names and Units of Their Administrative-Territorial Divisions. Part 1. Country Codes";

3) Column 5 indicates the feature by which the person is classified as an affiliated person in accordance with paragraph 2 of Article 12-1 of the Law on LLP:

"1" - founders, participants (legal entities);

"2" - a legal entity controlled by a founder (participant) or an official of the partnership;

"3" - a legal entity with respect to which a person who is a founder (participant) or an official of the authorized organization is a major shareholder or has the right to a corresponding share in the property;

"4" - a legal entity that, together with the authorized organization, is under the control of a third party;

"5" - a legal entity associated with the authorized organization by a contract, according to which it has the right to determine decisions made by the authorized organization;

"6" - a legal entity that independently or jointly with its affiliated persons owns, uses, or disposes of ten percent or more of voting shares (shares in the authorized capital) of legal entities indicated in subparagraphs 1), 4), 5), 6), 7), 8), 9), and 11) of paragraph 2 of Article 12-1 of the Law on LLP;

"7" - any other legal entity that is an affiliated person of the authorized organization in accordance with subparagraph 11) of paragraph 2 of Article 12-1 of the Law on LLP.

6. Regarding Table 3:

1) Column 4 indicates the individual identification number (12 digits), which is mandatory for citizens of the Republic of Kazakhstan and, if available, for foreigners or stateless persons (in the absence of an individual identification number for foreigners or stateless persons, their identification number in the country of residence is indicated);

2) Column 5, taking into account the features of paragraph 3 of Article 6 of the Law on Documents Confirming Identity, indicates the name of one of the identity documents provided for by paragraph 1 of Article 6 of the Law on Documents Confirming Identity or the Reference Book of Codes of Identity Documents approved by Appendix 5 to the Rules for submission by subjects of financial monitoring of information and information on operations subject to financial monitoring;

3) Columns 6 and 7 indicate the data of the identity document in accordance with subparagraph 8) of paragraph 1 of Article 7 of the Law on Documents Confirming Identity;

4) For citizens of the Republic of Kazakhstan, columns 5, 6, and 7 are not filled;

5) Column 8 indicates the two-letter country code of citizenship in accordance with the identity document (not indicated for stateless persons) in accordance with the national classifier of the Republic of Kazakhstan NK RK 06 ISO 3166-1 "Codes for the presentation of names of countries and units of their administrative-territorial divisions. Part 1. Country codes".

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

Appendix 4

to the Rules for submission

of reporting on compliance with the requirements

of the legislation of the Republic of Kazakhstan

on countering the legalization (money laundering) of proceeds

obtained criminally,

terrorist financing and

financing the proliferation of weapons

of mass destruction,

by legal entities,

carrying out activities exclusively

through an exchange point

based on a license of the National Bank of

the Republic of Kazakhstan for exchange operations

with foreign currency in cash

Form, designed for the collection

of administrative data

Submitted to: the territorial branch 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 money transfers by bank accounts of a legal entity carrying out activities exclusively through an exchange point based on a license of the National Bank of the Republic of Kazakhstan for exchange operations with foreign currency in cash, opened in foreign banks

Index of the form designed for the collection of administrative data on a gratuitous basis: AML-R4

Frequency: semi-annual

Reporting period: as of "_"__ 20 ___ year

Circle of persons submitting the form designed for the collection of administrative data on a gratuitous basis: a legal entity carrying out activities exclusively through an exchange point based on a license of the National Bank of the Republic of Kazakhstan for exchange operations with foreign currency in cash (hereinafter - the authorized organization)

Deadline for submitting the form designed for the collection of administrative data on a gratuitous basis: 1 (one) time per half-year, no later than the 20 (twentieth) day of the month following the reporting half-year

BIN: ______

Collection method: in electronic form

Form

---

(full name of the authorized organization)

No.	Foreign bank in which the bank account is opened
	Name	Country	List of countries	Identification code (BIC)	Account number
1	2	3	4	5	6
1
…

continuation of the table:

Data on money transfer									Correspondent Bank
Date	Amount, currency units	Currency code	Transfer indicator	Transfer basis						Name	Country	List of states (territories) or states (territories)	Identification code (BIC)
7	8	9	10	11						12	13	14	15
…

Name______

Address ______

Phone ______

Email address ______

Executor______ ______

surname, first name and patronymic (if any) phone

Head or person entrusted with the function of signing 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 money transfers by bank accounts of a legal entity carrying out activities exclusively through an exchange point based on a license of the National Bank of the Republic of Kazakhstan for exchange operations with foreign currency in cash, opened in foreign banks"

Appendix

to form, designed for

the collection of administrative

data on a gratuitous

basis "Report on money transfers by

bank accounts of a legal entity,

carrying out activities exclusively

through an exchange point

based on a license of the

National Bank of the Republic of Kazakhstan for exchange operations

with foreign currency in cash,

opened in foreign banks"

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

"Report on money transfers by bank accounts of a legal entity carrying out activities exclusively through an exchange point based on a license of the National Bank of the Republic of Kazakhstan for exchange operations with foreign currency in cash, opened in foreign banks"

(index - AML-R4, frequency - semi-annual)

Chapter 1. General Provisions

1. This explanation defines the unified requirements for filling out the form designed for the collection of administrative data on a gratuitous basis "Report on transfers by bank accounts of a legal entity carrying out activities exclusively through an exchange point based on a license of the National Bank of the Republic of Kazakhstan for exchange operations with foreign currency in cash, opened in foreign banks" (hereinafter - Form).

2. The Form is compiled by the authorized organization 1 (one) time per half-year. Data in the Form is filled in tenge, unless otherwise specified (filled with quantitative or qualitative information).

3. The Form is signed by the head or person entrusted with the function of signing the report.

Chapter 2. Explanation for filling out the Form

4. Regarding the form:

1) Columns 3 and 12 indicate the two-letter code of the country of registration of the bank in accordance with the national classifier of the Republic of Kazakhstan NK RK 06 ISO 3166-1 "Codes for the presentation of names of countries and units of their administrative-territorial divisions. Part 1. Country codes";

2) Columns 4 and 13 indicate the following codes of the bank's country affiliation:

"1" - the bank's country is included in the list of states (territories) that do not perform and/or insufficiently perform the recommendations of the Financial Action Task Force (FATF);

"2" - the bank's country is one of the following countries characterized as offshore zones:

United States of America (only in part of the territories of the US Virgin Islands, the state of Wyoming, the island of Guam and the Commonwealth of Puerto Rico);

Principality of Andorra;

State of Antigua and Barbuda;

Commonwealth of the Bahamas;

State of Barbados;

Kingdom of Bahrain;

State of Belize;

State of Brunei Darussalam;

United Republic of Tanzania;

Republic of Vanuatu;

Republic of Guatemala;

State of Grenada;

Republic of Djibouti;

Commonwealth of Dominica;

Dominican Republic;

New Zealand (only in part of the territories of the Cook Islands and Niue);

Spain (only in part of the territory of the Canary Islands);

Federal Islamic Republic of the Comoros;

Cooperative Republic of Guyana;

Republic of Costa Rica;

People's Republic of China (only in part of the territories of the Special Administrative Region of Aomen (Macau) and Xianggang (Hong Kong));

Republic of Colombia;

Republic of Liberia;

Lebanese Republic;

Republic of Mauritius;

Islamic Republic of Mauritania;

Malaysia (only in part of the territory of the Labuan enclave);

Maldives Republic;

Republic of Malta;

Marian Islands;

Republic of the Marshall Islands;

Principality of Monaco;

Kingdom of Morocco (only in part of the territory of the city of Tangier);

Union of Myanmar;

Republic of Nauru;

Federal Republic of Nigeria;

Netherlands (only in part of the territory of the island of Aruba and dependent territories of the Antilles);

Republic of Palau;

Republic of Panama;

Portugal (only in part of the territory of the islands of Madeira);

Independent State of Samoa;

Republic of San Marino;

Republic of the Seychelles;

State of Saint Vincent and the Grenadines;

Federation of Saint Kitts and Nevis;

State of Saint Lucia;

Republic of Suriname;

Kingdom of Tonga;

Republic of Trinidad and Tobago;

United Kingdom of Great Britain and Northern Ireland (only in part of the territories of the Island of Anguilla, the Bermuda Islands, the British Virgin Islands, Gibraltar, the Cayman Islands, the island of Montserrat, the Channel Islands (Guernsey, Jersey, Sark, Alderney), the South Georgia Island, the South Sandwich Islands, the Turks and Caicos Islands, the Chagos Island, the Isle of Man);

Sovereign Democratic Republic of Fiji;

Republic of the Philippines;

French Republic (only in part of the territories of the Kerguelen Islands, French Guiana and French Polynesia);

Republic of Montenegro;

Democratic Republic of Sri Lanka;

Jamaica;

"3" - the bank's country is a state (territory) subject to international sanctions (embargo) adopted by a resolution of the Security Council of the United Nations;

"4" - the bank's country is not a country falling under the above codes of the bank's country affiliation.

If the bank's country falls under two or more codes of the bank's country affiliation, all codes of affiliation under which the bank's country falls are indicated. For example, if the country affiliation code is "1" and "2", then "1, 2" is indicated;

3) Columns 5 and 14 indicate the bank identification code in accordance with the international standard ISO 9362: BIC (Bank Identifier Codes), which consists of 8 characters;

4) Column 6 indicates the account number assigned by the National Bank of the Republic of Kazakhstan in accordance with Article 16 of the Law of the Republic of Kazakhstan "On Currency Regulation and Currency Control";

5) Column 7 indicates the transfer date in the format "DD.MM.YYYY.";

6) Column 8 indicates the amount in units of foreign currency;

7) Column 9 indicates currency codes in accordance with the national classifier of the Republic of Kazakhstan NK RK 07 ISO 4217 "Codes for the presentation of currencies and funds";

8) Column 10 indicates the following operation indicators: "1" - for transfers sent from a bank account opened in a foreign bank", "2" - for transfers received to a bank account opened in a foreign bank. When making transfers between bank accounts opened in a foreign bank (foreign banks), such transfers are reflected in the report twice - separately for each bank account;

9) Column 11 indicates detailed information describing the basis for the transfer.

5. In the absence of quantitative information, zero values are indicated in the Form.

Appendix

to the Resolution of the Board of the

National Bank of

the Republic of Kazakhstan

dated January 21, 2026 No. 3

List of certain Resolutions of the Board of the National Bank of the Republic of Kazakhstan that have lost force, as well as a structural element of the Resolution of the Board of the National Bank of the Republic of Kazakhstan

1. Resolution of the Board of the National Bank of the Republic of Kazakhstan dated July 20, 2020 No. 91 "On Approval of the List, Forms and Deadlines for Submission of Reporting on Compliance with the Requirements of the Legislation of the Republic of Kazakhstan on Countering the Legalization (Money Laundering) of Proceeds Obtained Criminaly, and Terrorist Financing by a Legal Entity Carrying out Activities Exclusively through an Exchange Point Based on a License of the National Bank of the Republic of Kazakhstan for Exchange Operations with Foreign Currency in Cash, and Rules for its Submission", (registered in the Registry of State Registration of Normative Legal Acts under No. 21015).

2. Resolution of the Board of the National Bank of the Republic of Kazakhstan dated May 24, 2021 No. 52 "On Amendments to the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated July 20, 2020 No. 91 "On Approval of the List, Forms and Deadlines for Submission of Reporting on Compliance with the Requirements of the Legislation of the Republic of Kazakhstan on Countering the Legalization (Money Laundering) of Proceeds Obtained Criminaly, and Terrorist Financing by a Legal Entity Carrying out Activities Exclusively through an Exchange Point Based on a License of the National Bank of the Republic of Kazakhstan for Exchange Operations with Foreign Currency in Cash, and Rules for its Submission" (registered in the Registry of State Registration of Normative Legal Acts under No. 22868).

3. Paragraph 2 of the Resolution of the Board of the National Bank of the Republic of Kazakhstan dated September 26, 2023 No. 71 "On Amendments to the Resolutions of the Board of the National Bank of the Republic of Kazakhstan dated July 2, 2019 No. 114 "On Establishing the Period of Parallel Circulation of Circulation Coins of the National Currency of the Republic of Kazakhstan" and dated July 20, 2020 No. 91 "On Approval of the List, Forms and Deadlines for Submission of Reporting on Compliance with the Requirements of the Legislation of the Republic of Kazakhstan on Countering the Legalization (Money Laundering) of Proceeds Obtained Criminaly, and Terrorist Financing by a Legal Entity Carrying out Activities Exclusively through an Exchange Point Based on a License of the National Bank of the Republic of Kazakhstan for Exchange Operations with Foreign Currency in Cash, and Rules for its Submission" (registered in the Registry of State Registration of Normative Legal Acts under No. 33510).